Policy On Employees Providing Expert Representation

I. PURPOSE

The purpose of this Policy is to protect New York Medical College ("NYMC") against conflicts of interest and commitment and to clarify individual versus institutional roles when an employee seeks to engage in Expert Representation for an outside client.

II. POLICY

It is the policy of New York Medical College that any employee who is offered the opportunity to provide Expert Representation must comply with the procedures set forth below before accepting any Expert Representation.

III. SCOPE

This policy applies to all employees of NYMC who wish to engage in Expert Representation for a client outside of NYMC. This Policy does not apply to employees who wish or are subpoenaed to serve as fact witnesses in a Legal Proceeding; employees in such cases should email the Office of the General Counsel at via email (legal@nymc.edu) for guidance. 

IV. DEFINITIONS

Expert Representation – Services provided during or in preparation for a Legal Proceeding based on the employee’s knowledge, skill, experience, training or education. Expert Representation may include consulting, record review, preparation or revision of reports, the signing of affidavits/declarations, testimony during depositions, hearings, or trial, and related preparation.

Legal Proceeding - Any pending, threatened, or reasonably anticipated judicial, administrative, regulatory, professional disciplinary, arbitral, or other adjudicative matter, investigation, or dispute, whether civil or criminal and whether or not formally commenced.

V. PROCEDURES

A. Employees wishing to engage in Expert Representation shall provide the following information to (i) his/her direct supervisor or, in the case of faculty, department chair and (ii) to the Office of the General Counsel via email (legal@nymc.edu):

1. A description of the matter, including:

a. The name of all parties involved in the Legal Proceeding, including all law firms representing such parties;
b. The name of the client requesting the employee’s Expert Representation;
c. The forum, matter caption, and operative pleading or demand, if available; and
d. The subject matter of the Legal Proceeding.

2. A description of the scope of work of the Expert Representation, including:

a. The anticipated services to be provided by the employee;
b. The expected duration and time commitment of the engagement, including any timing during typical work hours;
c. Whether the proposed engagement would require the use of NYMC personnel, facilities, equipment, and/or data; and
d. Whether the employee expects to use an NYMC title or affiliation during such Expert Representation.

B. The employee’s direct supervisor/department chair or the Office of General Counsel may contact the employee for additional information if necessary for a complete review.

C. The Office of the General Counsel, in conjunction with the employee’s direct supervisor/department chair, will review the Expert Representation through an analysis of the following non-exhaustive criteria:

1. 1. 1. Adversity to or affiliation with NYMC, or its affiliates, trustees, employees, students, patients, clinical partners, insurers, or business/research partners;
      2. Whether NYMC/Touro provided care, education, employment, research, or other services materially involved in the matter;
      3. Overlap with institutional responsibilities or use of nonpublic institutional work product;
      4. Conflict of commitment;
      5. Use of NYMC name, title, letterhead, facilities, systems, personnel, or other resources;
      6. Risk that the engagement implies institutional endorsement or official-capacity testimony; and

D. Legal, contractual, accreditation, reputational, or insurance concerns.The employee may not accept Expert Representation or perform any substantive work until the Office of the General Counsel approves the representation in writing to the requesting employee.

1. 1. 1. Approval is on behalf of NYMC only and does not constitute legal advice to the employee or establish an attorney-client relationship between NYMC and the employee.
      2. The employee, in accepting an Expert Representation, shall do so in their individual capacity unless expressly authorized by NYMC to act in its institutional capacity. Unless so authorized, the employee must include a written disclaimer throughout their Expert Representation that their opinions are personal and do not represent the opinions of NYMC or its affiliates. Employees may identify their current title and affiliation with NYMC during the Expert Representation but may not use NYMC letterhead or logos during the Expert Representation absent written approval from the Office of the General Counsel.
      3. NYMC does not provide insurance or indemnification to any employee for Expert Representation undertaken in their individual capacity.

E. The employee must disclose and request further review pursuant to this Policy if there are changes to the parties, counsel, claims, scope, or time commitment of the underlying matter.

VI. EFFECTIVE DATE

This Policy is effective immediately. 

VII. POLICY MANAGEMENT

Executive Stakeholder: Chief Legal Counsel
Oversight Office: Office of the General Counsel