General Counsel

What is the program’s mission statement or statement of purpose? Why does the program exist?

The General Counsel (GC) serves as the chief legal officer for the university. All legal matters affecting the university are assigned to the GC for review. The GC provides expert legal advice and guidance to ensure that the university’s legal and ethical obligations are met. There are hundreds of federal and state laws and regulations affecting universities, and a violation of any single statute or rule may subject the university to financial or reputational damage thus impairing the university’s ability to achieve excellence. The Office of the General Counsel works on behalf of the Board of Trustees and the campus administration to avoid, eliminate, and minimize legal exposure. The GC provides advice to senior leadership regarding university policies, employment matters, contracts, and other management issues. The GC is responsible for determining when a legal matter is referred to external counsel, and is also responsible for ensuring that the interests of the university are properly represented. The GC supervises and directs the activities of the Office of Employee and Labor Relations. University employees are represented by ten bargaining groups and there are twelve collective bargaining agreements to manage. The GC is involved in contract negotiations and general labor relations. In addition, the GC serves as the Ethics Officer, the FOIA Officer, the Open Meetings Act Officer and the HIPAA Privacy Officer. As Ethics Officer, the GC serves as the campus liaison with the OEIG and the Executive Ethics Commission.

The Office of the General Counsel ensures that the university operates within legal constraints, and defends the interests of the university by proactively addressing legal and ethical issues. Administrators, faculty and staff rely on the General Counsel to provide timely, competent and thorough legal advice to help navigate the complex legal frameworks applicable to the modern university.

How does the program mission align with the university mission?

The Office of the General Counsel supports the framework and foundation of the university’s mission by preventing and responding to legal problems.  The General Counsel helps ensure that students, faculty and staff are treated fairly and that the rights and obligations of all members of the campus community are observed. This helps foster an environment conducive to the exercise of free thought and expression, creativity and the pursuit of academic excellence. The modern university is subject to an increasingly complex set of administrative rules and oversight systems, and the General Counsel serves as an important resource in support of the university’s mission.

Whom does the program serve?

The General Counsel serves all campus constituents including the Board of Trustees, the university President, vice-presidents, faculty, staff and students. The General Counsel also serves the public as the FOIA Officer. The General Counsel oversees and handles all legal matters and advises all administrators, faculty, and staff, as necessary, on all matters having legal implications for the University. This General Counsel reports to the President of the University, acts as his or her advisor in all matters of a legal nature, and represents the University’s interests. The General Counsel assists the Board of Trustees regarding various matters including compliance with the Open Meetings Act, and interpretation of, and amendments to, the Board Bylaws, Governing Policies, and Regulations.

What are the services provided? How do these services align with the university mission and program mission?

The General Counsel’s primary responsibility is to provide legal advice to the President and represent the University in all legal matters involving outside agencies or complainants. The General Counsel also provides legal advice to all University Vice-Presidential areas and their subordinate offices and, together with external counsel, provides legal advice to the Board of Trustees.   The General Counsel is responsible for the management and function of the Office of Employee and Labor Relations which is a direct report to the General Counsel. The General Counsel is also responsible for providing legal representation, advice, and opinions in all substantive areas of law affecting the University, including but not limited to:

-bringing legal issues and concerns to the attention of the administration;

-developing, revising, and interpreting internal University policies;

-advising the Board of Trustees in legal matters;

-providing advice relating to employment law, discrimination, and equal employment opportunity;

-providing counsel and advice relating to corporate non-profit law;

-providing advice regarding faculty participation in governance and student issues;

-representing the University in real estate transactions, litigation and settlements, and issues of real property and land use;

-representing the University in administrative hearings and arbitrations;

 -negotiating, drafting, and reviewing contracts;

-providing counsel and advice concerning compliance with federal and state laws and regulations affecting institutions of higher education;

-monitoring and resolving disputes which may lead to litigation;

-arranging for advice to be furnished by outside attorneys, and supervising outside counsel in litigation;

-participating in continuing legal education;

-serving as the University’s Ethics Officer;

-serving as the Freedom of Information Act Officer under the Illinois Freedom of Information Act for all University departments;

-serving as the University's Health Insurance Portability and Accountability Act (HIPAA) Privacy/Security Project Officer; and

-serving as the University's Open Meetings Act Officer.

Describe the program’s origins (e.g. year established, purpose, expectations).

The university General Counsel Office is established to provide efficient and timely delivery of legal services from professionals with a background in higher education law.  It is assumed that the university has required legal counsel since its founding.

How has the unit changed or adapted over time?

The office has continually accepted new responsibilities including designation as the university’s FOIA officer, Open Meetings Act Officer, HIPAA privacy officer, and Ethics Officer. The FOIA and Ethics responsibilities in particular are time consuming, and require timely and thorough legal services. The office has also accepted responsibility for advising the Office of Civil Rights and Diversity on immigration matters related to the hiring of international faculty and staff. This has enabled the university to significantly reduce legal fees. The General Counsel also supervises the Office of Employee and Labor Relations. This transition occurred in 2009 and has allowed the university to provide services at a reduced employee headcount which results in a significant savings to the university.

If needed, provide supplemental comments to help the reader understand the program’s history and relevance to university mission.

Provide data, if available, on the numbers of students, faculty, staff, or others served by the program during the past four years. If no data are available, please estimate the numbers served annually.

The General Counsel’s office provides timely higher education law advice to many different campus constituents. These consultations are difficult to measure in terms of office visits, phone calls or email correspondence because the nature, importance, and depth of each consultation varies. It is safe to estimate that the office handles hundreds, if not thousands, of issues and questions each year. For example, a single area of responsibility can generate substantial office contacts. The office received and processed 109 FOIA requests in calendar year 2012. Each request requires an independent review to ensure that the requested information is subject to disclosure, that the document or information does not contain any information that should not be disclosed, and that the appropriate and legally defensible exemption is applied as necessary. This responsibility represents just one of the many areas of responsibility of the Office of General Counsel.

Does the program offer any co-curricular opportunities for students (e.g., internships, RSO support, service-learning activities)? Please describe.

The General Counsel’s Office regularly participates in student learning activities. The office currently provides a graduate assistantship opportunity for a deserving graduate student. This student receives free tuition through the Graduate School and a monthly stipend provided by the General Counsel’s Office. The General Counsel regularly presents legal information to classes on campus as both a speaker and panel participant. The General Counsel meets with students as requested to discuss the legal profession and has taken groups of students on tours of the courthouse. In addition, the General Counsel has served as a mock trial judge for the pre-law program.

Does the program contribute to the delivery of academic programs (e.g., providing professional expertise, serving as adjunct faculty)? Please describe.

The General Counsel served as chair of the Governance and Commitment to Rules Compliance sub-committee for the NCAA recertification process from 2009-2011. The General Counsel served as the chairperson of the screening committee for the head football coach.

The General Counsel served as an adjunct faculty member for many years teaching a variety of legal courses including Business Law, Constitutional Law, Human Resource Management, Labor Law and American Government prior to accepting the position of General Counsel. The General Counsel plans to resume teaching if additional staffing is made available to the General Counsel’s Office.

If needed, provide supplemental comments to help the reader understand the internal demand for the program. Note any clarifications or special circumstances (e.g., curriculum changes made by another program) that should be considered when reviewing the above data.

Is the program accredited or approved by a recognized external agency or otherwise certified to meet established professional standards? Provide an executive summary of and link to the program’s most recent accreditation or certification report, if available.

The General Counsel is a licensed attorney in the state of Illinois. Attorneys must annually register to be placed on the Illinois master roll of attorneys as required by the Attorney Registration and Disciplinary Commission. The General Counsel is also required to meet continuing legal education requirements. As the FOIA Officer and the Open Meetings Act Officer, the General Counsel is required to complete training on an annual basis. The General Counsel is also a member of the National Association of College and University Attorneys.

Is the program required to meet any regulatory or legal requirements? Is the program subject to any special auditing requirements?

see above.

What are the most important outreach or public service activities supported by the program?

The General Counsel provides timely and courteous responses to members of the general public who make general inquiries or who submit FOIA requests. For some individuals this may be their only point of contact with the university.

How do the local community and the region benefit from the program?

The General Counsel serves the interests of the public and Illinois taxpayers by protecting university resources and preventing lawsuits which would drain much needed funds from the university’s academic mission.

If needed, provide supplemental comments or data sources to help the reader understand the external demand for the program.

What are the two or three more important measureable outcomes tracked to assess program quality? Does the program conduct an outcomes assessment, and if so, what has been the impact?

Through the best efforts of the General Counsel’s Office, capable faculty and administrators, and the Board of Trustees, the university has established and maintained an unsurpassed record of excellence regarding legal compliance. The General Counsel’s Office subscribes to the theory that the best way to win a lawsuit is to avoid it, and we have been very successful at defending and pursuing the university’s legal interests when necessary. In matters that the General Counsel’s Office has handled over the last several years, the university’s position has been regularly upheld. In addition, the university has maintained an exceptionally low number of external case filings. This results from the careful management of issues internally. When external cases are filed, the university regularly prevails with the assistance of excellent external counsel.

What are the two or three most effective best practices that the program has implemented? What benefits have been gained from implementing these best practices?

In order for a General Counsel to be effective, he or she must establish relationships with a variety of campus constituents including administrators, deans, directors, chairpersons and senior managers. These relationships must be built on trust and respect in order to encourage offices to seek and follow legal advice whenever issues arise. The General Counsel endeavors to provide sound legal advice and guidance in a timely manner. By following this approach, the General Counsel has established a network of campus contacts who feel comfortable seeking legal advice so that problems may be avoided, and the unit’s academic mission can be accomplished in a manner that complies with applicable laws and regulations.

What external recognitions (e.g., awards, accommodations, professional certifications, references in trade publications) have the program and its staff received in the past three years?

N/A

Is the program active with any regional, national, or international professional organizations?

 The General Counsel is a member of the Illinois State Bar Association, CUPA-HR and NACUA.

Note any presentations, publications, or offices held in the last three years.

Presenter – Investigation Tips from the General Counsel’s Perspective, March 2013 – CUPA-HR Western Region Conference, Salt Lake City, Utah.

Presenter – Changing the Conversation, Fiscal Constraints and Challenges, April 2012 – Labor and Employment Conference, Hunter College, New York, New York.

Presenter – Confidence Votes, November 2010 – AAUP Shared Governance Conference, Washington, D.C.

Presenter – Retaliation, Has the Bar Been Lowered? October 2008 – CUPA-HR National Conference, St. Louis, MO.

If needed, provide supplemental comments or data sources to help the reader understand the quality of program outcomes.

Note any special benefits (e.g., personnel support, equipment, permanent improvements) that the program has received in the past three years from its grants and other sponsored programs.

The General Counsel’s Office is not an office that generates revenue per se. However, through the efforts of this office, the university regularly avoids costs associated with defending the interests of the university. It is difficult to measure how much something did not cost the university when the problem is one that was avoided through careful management. But in one recent case, the university avoided a multi-million dollar assessment due to the diligence of the General Counsel’s Office. Of the hundreds of legal questions and issues that arise over the course of a given year, we may not know the costs avoided in each and every case. What we do know is that the university has not lost a lawsuit and has not been assessed a fine by the state or federal government for non-compliance in recent memory.

How does the program benefit from donor gifts (e.g., scholarships, endowed chairs)? Does donor support provide a significant percentage of the program’s overall funding?

N/A

List two or three key relationships that the program maintains with external constituencies (e.g., community colleges, other universities, government bodies). How do these relationships advance the university mission or otherwise benefit the university?

The General Counsel maintains a relationship with other university attorneys through a monthly conference call, conference attendance and personal contacts. These relationships enable the university to examine state and national legal trends and to align with our peer institutions when appropriate. The General Counsel maintains positive working relationships with state and federal agencies such as the Office for Civil Rights, the Illinois Department of Human Rights, the Executive Ethics Commission, and the Office of the Executive Inspector General.

If needed, provide supplemental comments to help the reader understand the resources generated by the program. Note any clarifications or special circumstances (e.g., revenue pass-throughs) that should be considered when reviewing the above data.

Provide an executive summary of and link to any metrics or benchmarks that the program tracks to measure productivity.

It can be argued that the General Counsel’s Office has reached maximum efficiency. Because the office is staffed with only one attorney, the workload is very high.

What initiatives has the program implemented to enhance staff productivity (e.g., access to training, workflow improvements)? Briefly describe the costs and benefits of these initiatives.

The General Counsel subscribes to relevant legal literature and research services to ensure that the university keeps pace with legal trends and emerging issues. The General Counsel’s Office utilizes modern tracking methods to ensure that all legal matters are attended to on a timely basis.

If needed, provide supplemental comments to help the reader understand the productivity of the program. Note any clarifications or special circumstances (e.g., accreditation requirements, curricular changes, program restructuring) that should be considered when reviewing the above data.

If needed, provide supplemental comments to help the reader understand the costs associated with the program. Note any clarifications or special circumstances (e.g., expenditures made centrally or externally, expenditures made on behalf of other units) that should be considered when reviewing the above data.

Program costs in both areas are trending downward and this is expected to continue. The General Counsel’s Office is very careful with expenditures including travel expenses, and strives to be a good steward of university resources.

How does the program seek to distinguish itself from similar programs at other institutions?

The General Counsel’s Office is arguably understaffed compared to several Illinois public universities. While SIU, with approximately seven attorneys, and the U of I, with approximately twenty five attorneys, differ in size and scope as compared with EIU, it is notable that NIU, with five attorneys, ISU with three attorneys, and Chicago State University, with three attorneys, have significantly larger offices than EIU. In spite of the staffing imbalance, the General Counsel’s Office continues to protect the university’s legal interests.

Note any unique and/or essential contributions that the program makes to the university.

The General Counsel’s Office provides many unique services to the university. For example, the Board of Trustees Regulations appoint to the General Counsel signature authority for contracts over $250,000. This regulation helps ensure that large expenditures are ethical, proper and legal thus ensuring that the university continues to operate within the many state and federal legal constraints. The General Counsel provides advice to the Board, the university president, and members of senior management on many different legal issues. In addition, the General Counsel serves as the FOIA Officer, Open Meetings Act Officer, Ethics Officer, and HIPAA Privacy Officer.

Provide any program-specific metrics that help to document program contributions or program quality. Examples of some commonly used program-specific metrics may be found here.

If needed, provide supplemental comments to help the reader understand the program impact on the university mission.

Provide a link to or listing of the program’s goals and/or strategic plan.

The General Counsel's Office strives to provide exceptional service in a timely manner.  In addition to providing legal advice and  fulfilling the many office responsibilities, the General Counsel attempts each year to increase the number of campus contacts and speaking engagements in order to provide educational opportunities for campus constituents and to strengthen and establish relationships with campus colleagues.  As evidenced by the General Counsel's regular conference presentations, these types of engagements also remain an annual goal.

What role will the program have in the implementation of the university’s strategic plan (provide link to strategic plan)?

All areas of campus life are affected by federal and state laws and regulations. In order for academic units and other departments to function effectively, they must not be encumbered by unnecessary lawsuits, complaints or administrative investigations. And when such issues do arise, campus personnel must have quick access to knowledgeable and competent legal guidance and advice. The campus is affected by laws almost too numerous to count.

As mandated by the state of Illinois, the university must have a FOIA Officer, Open Meetings Act Officer, and Ethics Officer. By fulfilling all of these state requirements, the General Counsel contributes to the efficient functioning of the university by making financial and human resources available to perform other university responsibilities.

In the next two or three years, what best practices, improvements in operations, or other opportunities to advance the university’s mission are likely to be implemented?

Federal and state oversight is increasing at a steady rate. Each year the university is subjected to additional reporting and/or legal requirements, and the old requirements remain.  For the university to continue meeting its legal and ethical obligations, serious consideration must be given to increasing staffing in the Office of the General Counsel.

It is also timely and appropriate to consider creating a new vice-presidential area encompassing legal affairs, labor relations, and other miscellaneous offices. This model is found at other universities and would be an appropriate consideration at EIU.

If needed, provide supplemental comments to help the reader understand future opportunities for the program.