# Conflict Check Procedures

## Overview

Conflict of interest screening is a professional responsibility requirement under the Model Rules of Professional Conduct (Rules 1.7, 1.8, 1.9, 1.10, 1.11, 1.18). This guide outlines comprehensive procedures for identifying and managing conflicts.

## Types of Conflicts

### Current Client Conflicts (Rule 1.7)

**Direct Adversity**
- Representing opposing parties in same matter
- Suing a current client on behalf of another client
- Representing competitors with aligned adverse interests

**Material Limitation**
- Duties to another client limit representation
- Third-party relationships affect advice
- Lawyer's own interests impair representation

### Former Client Conflicts (Rule 1.9)

**Same or Substantially Related Matter**
- Previous work directly relevant to current matter
- Confidential information from prior representation could be used
- Former client's interests materially adverse to prospective client

### Prospective Client Conflicts (Rule 1.18)

- Information received during initial consultation
- Duty of confidentiality attaches even if no engagement
- May disqualify firm from adverse representation

### Imputed Conflicts (Rule 1.10)

- Conflicts imputed to all lawyers in firm
- Knowledge attribution throughout organization
- Screening may cure some (not all) imputed conflicts

## Conflict Search Procedures

### Step 1: Gather Search Terms

**Parties**
- Full legal entity names
- All DBAs and trade names
- Former names (maiden names, name changes)
- Parent companies and subsidiaries
- Affiliated entities

**Individuals**
- All variations of names
- Nicknames and aliases
- Former names
- Related family members (in certain matters)

**Related Entities**
- Investors, lenders, creditors
- Key executives and directors
- Insurers and guarantors
- Opposing counsel

### Step 2: Execute Searches

**Primary Database Search**
```
For each party/individual:
1. Exact name match
2. Phonetic variations
3. Partial name matches
4. Abbreviation expansions
5. Related entity lookups
```

**Search Locations**
- Firm conflict database
- Billing/matter management system
- Partner acknowledgment records
- Lateral hire records
- Previous declination records

### Step 3: Analyze Results

**For Each Hit**
- Identify matter type and status
- Determine relationship (client, adverse, other)
- Assess substantive overlap
- Review confidential information exposure
- Evaluate timing and duration

**Categorization**
- Clear: No relationship found
- Related: Connection exists, not conflicting
- Potential Conflict: Requires analysis
- Definite Conflict: Cannot proceed without waiver

### Step 4: Document and Decide

**Conflict Memorandum**
- Search terms used
- Results summary
- Analysis of potential conflicts
- Recommendation

**Decision Options**
- Cleared to proceed
- Proceed with conditions
- Obtain waiver
- Decline matter

## Lateral Hire Screening

### Pre-Offer Screening

1. **Initial inquiry**
   - List of current clients
   - List of significant former clients
   - Active matters description
   - Adverse party list

2. **Preliminary conflict check**
   - Run against firm database
   - Identify obvious conflicts
   - Assess ability to screen

### Post-Offer/Pre-Start

1. **Comprehensive submission**
   - Complete client list (5-10 years)
   - Matter descriptions
   - Adverse party details
   - Confidential information assessment

2. **Full conflict analysis**
   - Run all parties through system
   - Partner notification of hits
   - Develop screening plan if needed

3. **Pre-arrival setup**
   - Ethical wall documentation
   - System access restrictions
   - Physical office separation (if needed)
   - Staff notification

### Ethical Screening (Walls)

**When Screening Applies**
- Former government lawyers (Rule 1.11)
- Former judges/arbitrators (Rule 1.12)
- Lateral hires with disqualifying conflicts
- Where rules or courts permit screening

**Screening Requirements**
- Timely implemented
- No sharing of fees from screened matter
- Written notice to affected clients
- Certifications of compliance

**Screening Measures**
- Physical separation
- Electronic access restrictions
- File access controls
- Communication protocols
- Staff awareness and training
- Regular compliance monitoring

## Ethical Wall Implementation

### Documentation Requirements

```
ETHICAL WALL MEMORANDUM

Date Implemented: [Date]
Screened Attorney: [Name]
Conflicting Matter: [Description]
Affected Client: [Name]

Screening Measures:
1. [ ] Electronic access blocked in DMS
2. [ ] Matter restricted in billing system
3. [ ] Physical files secured
4. [ ] Email filters implemented
5. [ ] Calendar restrictions noted
6. [ ] Staff informed (list attached)
7. [ ] Screened attorney acknowledgment signed
8. [ ] Monitoring protocol established

Compliance Officer: [Name]
Review Schedule: [Monthly/Quarterly]
```

### Compliance Monitoring

**Periodic Reviews**
- Monthly access log audits
- Quarterly certification renewals
- Annual wall effectiveness review

**Violation Procedures**
- Immediate investigation
- Document scope of exposure
- Notify affected parties if required
- Implement corrective measures
- Consider disciplinary action

## Waiver Procedures

### Waivable Conflicts

**Generally Waivable**
- Business transaction conflicts (with full disclosure)
- Multiple representation with aligned interests
- Adverse representation in unrelated matters
- Some positional conflicts

**Not Waivable**
- Representation prohibited by law
- Claims between clients in same litigation
- Conflicts involving reasonable belief of competent representation

### Waiver Requirements

**Informed Consent**
- Full explanation of conflict
- Risks of joint representation
- Alternatives available
- Implications of waiver

**Written Confirmation**
- Written consent required (Rule 1.7(b)(4))
- Specific description of conflict
- Client acknowledgment of disclosure
- Signatures from all affected clients

### Waiver Letter Template

```
RE: Conflict Waiver - [Matter Description]

Dear [Client]:

We are writing to disclose a potential conflict of interest and
request your informed consent to our continued representation.

THE CONFLICT:
[Detailed description of the conflict, relationships, and
potential adverse effects]

RISKS OF CONTINUED REPRESENTATION:
[Specific risks to this client's interests]

ALTERNATIVES:
[Other options available to client]

BENEFITS OF CONTINUED REPRESENTATION:
[Reasons joint representation may be appropriate]

YOUR CONSENT:
By signing below, you acknowledge that:
1. You have read and understood this disclosure
2. You have had opportunity to ask questions
3. You consent to [firm's] representation despite the conflict
4. You understand you may revoke consent at any time

This waiver does not cover future conflicts that may arise.

_____________________________
[Client Name]
Date: _______________
```

## Conflict Database Management

### Required Information

**Matter Records**
- Matter name and number
- Practice area
- Client name and related entities
- Adverse parties
- Matter status (active/closed)
- Responsible attorney
- Date opened/closed

**Party Records**
- Full legal name
- All name variations
- Entity type
- Related entities
- Relationship to firm

### Data Quality

**Entry Standards**
- Standardized name formats
- Required field completion
- Regular duplicate review
- Merger/acquisition updates

**Maintenance Schedule**
- Daily new matter entry
- Weekly review of pending entries
- Monthly data quality audit
- Annual comprehensive review

## Common Pitfalls

1. **Incomplete searches** - Not searching all name variations
2. **Inadequate documentation** - Verbal clearances not recorded
3. **Delayed checks** - Work begins before clearance
4. **Imputed conflict missed** - Failing to check all firm lawyers
5. **Screening failures** - Inadequate wall implementation
6. **Waiver defects** - Insufficient disclosure or missing signatures