A good client intake process gets an inquiry to the right lawyer without promising acceptance too early or collecting unnecessary confidential material. A conflict check is a legal review supported by a search process. It is not simply a “no matches found” message.
The CPRA governs professional duties concerning conflicts, client relationships, and confidentiality. This SOP is a suggested office procedure for supporting that review; it does not determine whether a conflict is waivable or whether a particular engagement is permitted.
Step 1: Capture a limited initial inquiry
Record the prospective client’s contact details, party names, broad issue, apparent urgency, and how the inquiry arrived. If an imminent hearing or deadline is mentioned, route it to a lawyer promptly. Staff should not promise that the firm has accepted responsibility for a deadline.
Ask for the names needed for screening before inviting a full evidence upload. Explain that a lawyer must review the proposed engagement. Use a secure channel for documents once the appropriate process has been established.
Step 2: Build the search list
Search spelling variations and distinguish people with similar names. Keep the search date, terms used, systems checked, and reviewer. A limited database creates a limited search result; disclose gaps rather than treating silence as clearance.
- •Prospective client’s full legal name and known variations.
- •Adverse parties, aliases, and relevant business names.
- •Related companies, controlling persons, or other material parties identified by counsel.
- •Existing and former client records and relevant matter parties.
- •Additional names or relationships disclosed during consultation.
Step 3: Escalate matches to a lawyer
Give the reviewer a concise match report with the party, relationship, matter reference, and reason for concern. Restrict access to underlying confidential details. Do not ask a receptionist to decide whether an old client relationship has legal significance.
Record the decision and its basis at an appropriate access level. If further analysis or consent is required, keep the inquiry pending until the permitted process is complete. Do not design a checkbox that assumes any conflict can be solved by consent.
Step 4: Approve the engagement and open the matter
Bring only verified information into the matter record. Keep unverified assertions clearly labeled so that an intake note does not later become a presumed fact in a pleading.
| Opening control | What to record |
|---|---|
| Conflict review | Reviewer, date, outcome, and unresolved conditions |
| Client identity and authority | Who the client is and who may instruct |
| Scope and fees | Approved engagement and billing summary |
| Dates | Known events, source records, and lawyer-approved deadlines |
| Team and access | Matter owner, backup, and permissions |
| Client communication | Confirmation of the accepted scope and next step |
Step 5: Close declined inquiries properly
Assign responsibility for the decline communication and record when it was sent. Handle any known urgency with lawyer-approved wording. A declined inquiry should not remain in the active queue indefinitely.
Apply the firm’s documented retention policy to the information collected. Keep only the records justified by the relevant purpose and professional obligations, with appropriate access. Review new parties later in an accepted matter; a conflict check is not necessarily complete forever at opening.
Download and adapt the checklist
The free checklist includes fields for search terms, records checked, matches, reviewer decision, engagement status, and handover. Use it as a working form and adapt it to the firm’s practice and information systems.
Train staff using fictional names and a deliberately ambiguous match. The exercise should show whether the system produces a clear escalation instead of an unauthorized acceptance.
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Frequently asked questions
Does no database match mean there is no conflict?
No. Search completeness, party relationships, prior representations, and applicable professional rules require lawyer review.
When should a firm repeat its conflict check?
Review when material new parties, relationships, instructions, or staff circumstances arise. The handling lawyer should determine the necessary scope.
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