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FILED
IN THE SUPREME COURT OF TENNESSEE
AT NASHVILLE
APR -8 2022
Clerk of the Appellate Courts
Rec'd By
Lmirn
IN RE: DARRYL WAYNE HUMPHREY,BPR #016471
(Shelby County)
No. M2017-01881-SC-BAR-BP
BOPR # 2021-3173-9-DB-30.4d
ORDER OF REINSTATEMENT
This matter is before the Court, pursuant to Tenn. Sup. Ct. R. 9,§ 30.4(d), upon a
Petition for Reinstatement filed on June 2, 2021, by the Petitioner, Darryl Wayne
Humphrey. Mr. Humphrey was suspended from the practice oflaw by Order ofthis Court
entered on September 25, 2017. The Hearing Panel entered its Findings and Judgment on
February 16,2022,recommending Mr.Humphrey be reinstated with conditions. On March
23, 2022, Mr. Humphrey submitted a waiver of any right to appeal the Hearing Panel's
Judgment. The Findings and Judgment ofthe Hearing Panel was considered and approved
by the Board on March 28, 2022.
From all of which, the Court approves the Findings and Judgment of the Hearing
Panel and adopts the same as this Court's Order.
IT IS, THEREFORE, CONSIDERED, ORDERED, ADJUDGED, AND
DECREED BY THE COURT:
1. The Petitioner, Darryl Wayne Humphrey,is hereby reinstated to the practice oflaw
in the State of Tennessee pursuant to Tenn. Sup. Ct. R. 9, § 30.4(d), subject to the
following conditions:
a. During year one(1) of Mr. Humphrey's reinstatement, Mr. Humphrey shall, at
his own cost, engage the services of a practice monitor, who shall be selected
and approved in accordance with Tenn. Sup. Ct. R. 9, § 12.9(c).
b. Mr. Humphrey shall further be required to: Schedule a caseload review with the
Practice Monitor once per month for the first six(6) months, beginning no later
than forty (40) days after the Practice Monitor is approved. After the first six
(6) months, Mr. Humphrey shall schedule a caseload review with the Practice
Monitor every other month for the remaining six (6) months. Prior to each of
the meetings required with the Practice Monitor, Mr. Humphrey shall: provide
to the Practice Monitor a list of current and active client files; solicit specific
suggestions to assure the caseload is properly and professionally handled; make
available to the Practice Monitor all fee agreements and monthly billing
statements provided to clients to ensure compliance with the Tennessee Rules of
Professional Conduct; and submit a monthly written report to the Board of
Professional Responsibility following each meeting with the Practice Monitor,
which report will be signed by the Practice Monitor.
c. During the first month ofreinstatement, Mr. Humphrey shall complete the SelfAudit Checklist as contained in Exhibit A attached hereto and provide same to
his selected Practice Monitor immediately upon completion.
d. The Practice Monitor shall perform his or her duties in accordance with the
Board of Professional Responsibilitys Practice Monitor Guidelines and SelfAudit Checklist, which shall specifically include the following: supervision of
the Petitioner's compliance with trust account rules and accounting procedures;
review of Petitioner's billing system, including Petitioner's timekeeping and
time reporting systems and systems for tracking and recording costs and
expenses incurred on behalf of clients; supervision of Petitioner's caseload and
discussion ofconcerns with respect to any client matters; preparation ofa report
detailing the steps taken in the law office audit and verifying Petitioner has
completed all of the auditing tasks described herein; and immediately disclose
to the Board of Professional Responsibility any matters which are uncorrected
or which represent significant problems requiring corrective attention and
provide a copy of such disclosure to Petitioner.
e. During the first forty-five (45) days of reinstatement, Mr. Humphrey shall
complete a practice and professionalism enhancement program.
2. Pursuant to Tenn. Sup. Ct. R. 9, § 24.3, Mr. Humphrey shall pay to the Board of
Professional Responsibility the expenses and costs of this matter in the amount of
$1,360.00, pay an additional $100.00 filing fee assessed by this Court, and shall pay
to the Clerk of this Court the costs incurred herein within ninety (90) days of the
entry of this Order, for all of which execution may issue if necessary.
3. The Board of Professional Responsibility shall cause notice of this reinstatement to
be published as required by Tenn. Sup. Ct. R. 9,§ 28.11.
PER CURIAM
2
EXHIBIT A
SELF-AUDIT CHECKLIST
This checklist is a tool for the small law office to help identify strengths and weaknesses of office
management practices. It is designed for both lawyers and non- lawyer staff to complete, although nonlawyer staff may only be able to complete portions of the audit. Those completing any portion of the audit
should be candid, so responses may vary between lawyers and the non-lawyers. Use the results to foster a
better mutual understanding of what goes on within the office. This knowledge will enable you to take the
requisite action to ensure that the office is managed properly.
Name offirm:
Members offirm:
Areas of practice:
The areas addressed are: Client Relations, Confidentiality, Conflicts of Interest, Docket/Calendaring,
Records Management, Staff Management, Financial Management (Timekeeping-Billing-BudgetingFinancial Recordkeeping and Reporting), and Professional Practice and Technology.
Please take a few moments to review all of the questions and make note of any areas that you would like to
discuss more thoroughly. The last page allows space for your notes and clarifications."YES" means all or
most ofthe time;"Iâ10" means never or rarely. We recommend that all employees in the office also complete
this checklist.
I.
CLIENT RELATIONS
The relationship with the client is a critical consideration for law office management.
Everything that happens in a law firm has a direct or indirect effect on the client. The way a law
firm conducts its business will also influence its relationship with its clients.
Law firms are often set up so that the critical element of administrative support is service to the attorney.
The attomey, in turn, serves the client. Today, a client-centered law firm involves all personnel directly
serving the client. The attorney is a team member involved in providing overall service to the client.
Bxamine your client relation efforts by asking the following questions:
Yes
Do we return clients' phone calls and email within 24-48
hours?
Do we perform all the work we told the client we
would?
Do we send follow-up letters after a meeting or telephone
conversation in which new decisions have been reached?
Do we complete the work in a timely fashion?
Do we follow up with clients at least every sixweeks even
when their cases are inactive?
Do we acknowledge staff members for good client relations?
Do we ask the client for feedback as the matter moves along?
Do we use engagement letters to describe our office practices?
Do we use fee agreetnents and fee statements to clearly explain
what clients will be charged and when fees will be earned?
Do we use email with client permission?
Is our email marked "Confidential Privileged
Communication?"
No
N/A
11
CONFIDENTIALITY
Clients depend on their lawyer to safeguard the information they provide. The Rules of Professional
Conduct provide for only limited situations where this trust may be broken. Since trust is very
difficult to reestablish once it has been broken, it is important that you take steps to ensure that every
member ofthe firm does all they can to safeguard client information.
Yes No
N/A
Do all new employees sign a confidentiality form acknowledging they
have discussed confidentiality with you, read the relevant Rules of
Professional Conduct, and will not breach the confidentiality of any
client during and after their association with the firm?
Do we make sure no client files or other confidential materials are
ever left in the reception area or other public access areas?
While conferring in person with clients, do we avoid taking calls or
otherwise talking with other clients so as to protect client identities?
Are the fax machines and copiers located away from where nonfirm
persons may be able to see confidential materials?
If we are in an office-sharing arrangement, have we discussed
confidentiality with the landlord, other tenants and any employees
who may be privy to confidential information (e.g. receptionist, word
processor, etc.)?
Is the office locked every night to discourage theft?
Do we need a password to access date?
Do we have confidentiality agreements for cleaning services, contract
staff and computer maintenance vendors who have access to our
computer systems?
RI
CONFLICTS OF INTEREST
Many law firms rely on the staffs' collective memories to do their conflict of interest checks. This
method rarely works accurately over any period oftime. Every case handled cannot be so memorable
that you will never forget every person involved. You should maintain a written electronic conflict of
interest system and keep it up to date. All staff members should be trained to use the system and
conflict checks should be done prior to the discussion of any new matter with a client or potential
client.
Examine the effectiveness of your conflict of interest system by answering the following questions:
Yes
No
N/A
Do we maintain and continuously update a master client list of
current clients, former clients, parties, employees and other
individuals with cross references to files to facilitate researching
apparent conflicts of interest?
Do
we get a signed waiver from the client if
representation is requested after a potential conflict has been
discussed?
Do we request information regarding other names (i.e,, maiden
marital, etc.) that potential clients and adverse parties may have
used in the past?
Do we properly identify and record information regardingthe
adverse party?
Do we check our master list for conflicts of interest before
accepting a new client or matter?
If we do not accept a potential client's case, do we notify the client
in writing?
IV.
DOCKETING and CALENDARING
Missing a filing deadline or court appearance can be extremely damaging to a client as well as
causing embarrassment and a potential malpractice claim for you. Each firm member should
maintain an individual calendar in addition to a master calendar for the entire firm. Answer the
following questions to determine how well you are doing in this area:
Yes
Do we keep individual calendars, i.e. attorney and
secretary/paralegal?
Does your calendar include (as applicable):
a)statutes of limitations?
b) all court appearances?
c) client and other appointments?
e)real estate closing dates?
No
N/A
f) all self-imposed, discretionary deadlines (i.e., promises made tc
others, promises made to you and work deadlines you have set foi
yourself?
Do we maintain a master calendar?
Do we have a good system for updating and maintaining each
calendar in case of scheduling?
Do we use reminder slips (tickler slips)to prompt attorney?
If the calendar is maintained on the computer, do we frequently print
out a copy to use in case of power failures or other computei
problems?
Do we use a networked (if applicable) calendar program?
V.
RECORDS MANAGEMENT
The client file represents a record of the work you have performed for the client. It also represents
one of the most frequently overlooked tasks in the office. Maintaining the files in an orderly manner
that allows for efficient access to client information will save time and money in the long run. In
addition, the ability to promptly respond to inquiries by having theinformation at your fingertips will
enhance your professional image. "Clerical?' does not mean "unimportareâespecially in a law office.
The following questions should help you determine the current status of your records management
program:
Yes
Do we have a standardized filing system for all client files?
Are all materials filed timely and regularly?
Do we follow a file retention schedule after a case is completed,
i,e. when to close, when to review for destruction, what to return
to client, what to keep and for how long?
Do we keep back-up media of electronic records off-site?
Does each file have a log or diary of all the events ofthe matter
including commitments to you and your commitments to others?
Do we back up our data at least weekly?
Do we attempt periodic "restores" ofdata(to check if it works)?
Do we use computer virus filters and a firewall?
No
N/A
Is there an office policy regarding email retention? Are emails saved
to the relevant client file? Is there a policy dictating who is
responsible for saving emails?
Does the firm utilize a cloud system for file storage? Is the security
ofthis system monitored periodically?
In case of a breach of electronically stored information, does the
firm have a procedure for informing clients?
VI.
STAFF MANAGEMENT
A large part of a client's impression of your law firm will come from the actions of your staff. It is
critical to your success that your staff is well trained and motivated to provide excellent service to
the firm's clients. Working in a law office is much more than just a job. A client's welfare is placed
directly at stake by your choices.
Check your policies and procedures against the following list of questions:
Yes
Do we have a current office policy and procedures manual and do we
follow it?
Do we sufficiently train our employees when first hired as well as
when major procedural changes occur, e.g.automation?
Do we train employees in the ethical requirements of working in alaw
office?
Do we ask all employees to read the Rules ofProfessional Conduct?
Do we offer our staffany continuing education opportunities?
Do we keep staff members informed and give them an opportunityto
offer input regarding matters affecting them?
Do we properly supervise employees by reviewing their work?
Do we set a good example of our staff by creating, implementing, and
monitoring dependable office policies and systems,(i.e., docket/work
control, conflicts of interests, good documentation,
etc.)?
Do we express appreciation to employees for work well done and
make sure any necessary criticism is shared privately, and in a timely
and constructive manner?
No
N/A
Do we clearly communicate expectations of performance to all firm
employees?
Do we encourage and motivate employees to take pride and
ownership in their work?
Do we provide support and assistance for staff members in the
handling of disrespectful, rude and otherwise out of line clients and
others?
Do we keep our sinffinformed as to our whereabouts and schedule?
Do we provide a "safe office environment? This question refers to
both the physical space as well as the office culture that allows for
the questioning of the work by anyone before it leaves the office.
Are attorneys and staff aware of consequences of hitting "reply all"
in responding to emails?
Is there a firm policy as to whether clients can be copied on
communications with opposing counsel? Is there a firm policy
asking opposing counsel not to copy his or her clients on email to
the firm?
VII.
FINANCIAL MANAGEMENT
Timekeeping, billing, budgeting and financial record keeping, and reporting are included under
the financial management umbrella. All of these activities should be coordinated to produce an
efficient accounting and record-keeping system. Mastering the elements of financial
management should give you a sense of control over the direction of your firm.
Timekeeping:
Yes
Do we have documented timekeeping procedures?
Do we train all timekeepers in proper timekeeping?
Is time recorded at the time the work is performed?
No
N/A
Billing:
Yes
No
N/A
Yes
No
N/A
Are all expense disbursements posted to clients' files on a regular
basis?
Are all internally incurred expenses(postage, long distance, etc.)
posted to clients' files regularly?
Are all payments and credits posted to clients' files?
Are all entries reviewed for accuracy?
Are aIl bills reviewed and approved?
Are bills sent out on a regularly scheduled basis?
Are the accounts receivable evaluated and followed upon
regularly?
Are client trust funds kept in a IOLTA or other bank trust
account,separate from operating funds in the operating account?
Budgeting:
Do we need a budget?
Do we compare actual results to the budget on a regular basis?
Financial Recordkeeping and Reporting:
Yes
No
N/A
Do we prcpare tax returns timely?
Do we have cash handling, and accounting checks and balances in place, i.e.,
division of responsibilities?
Do we generate monthly or other regularly-scheduled financial reports?
Do we share the firm's state of well being with everyone in the firm?
VIII.
PROFESSIONAL PRACTICE (STAFF RESPONSES NOTNECESSARY)
These questions relate to several ofthe details ofhow the lawyers handle daily events on client matters.
Your standards of care should be consistent and timelyâthat can be difficult with many
interruptions.
Yes
No
N/A
Do I give legal advice over the phone if I am not familiar
with the client?
Do I have a designated back-up attorney for my files?
Do I regularly go to CLEs in my specialty?
Do I discuss the recommended course of action with clients at a time
and place conducive to a good exchange of information and
questions?
Do I document the client's choice of action and so inform the client in
writing?
Do I have a system to follow up on assignments given to others in
the office?
Do I have a system for notifying clients ofthe results of motions on
their cases and so document the file?
Is the firm website checked periodically for accuracy?(Have
attorneys or staff left the firm? Are current attorney profiles and
contact information accurate?)
Are emails regarding the representation sent through the fmn
website responded to in a timely fashion?
DC.
TECHNOLOGY
Office technology is nothing more than the tools to best serve your clients. The challenge is to have
the knowledge to use these tools fully. Indeed, it may soon be that a lawyer's professional competence
will include the use of technology to benefit clients.
Yes
Do all our lawyers and staff use computers?
Is everyone trained to usefully use our software?
Do we use case management software?
Do we train new employees about our computer system?
No
N/A