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Office of General Counsel Records
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Held at: Princeton University Library: University Archives [Contact Us]
This is a finding aid. It is a description of archival material held at the Princeton University Library: University Archives. Unless otherwise noted, the materials described below are physically available in their reading room, and not digitally available through the web.
Overview and metadata sections
The Office of General Counsel [as the Office of the University Counsel] was established in 1972 by President William G. Bowen. In the following decades, the Office of General Counsel continued much as Bowen had planned, providing counsel to officers and departments of the University requiring legal assistance, and serving as legal representative for the University in litigation, administrative matters, and transactions. In addition, the Office of General Counsel retains, oversees and provides liaison with outside law firms engaged on behalf of the University. Each of the General Counsel attorneys serves particular areas of practice relating to the University community. Such areas include affirmative action, benefits, construction, litigation, real estate and mortgages, and tax matters.
Prior to the establishment of the Office of the University Counsel, Princeton University's legal matters were generally handled by outside law firms. Local firm Smith, Stratton and Wise worked with local real estate transactions and New Jersey law questions. The firm Jackson, Nash, Brophy, Barringer, and Brooks of New York City dealt with trust, estates, and restricted securities matters. Additional aid from other outside law firms were employed by the University for such matters regarding federal tax disputes, federal securities litigations, and complex real estate development planning, to name a few. From the 1950s to early 1970s, Princeton employed two "in-house" lawyers on the administrative staff as part of the Office of Research and Project Administration (ORPA), Henry Sawyer Broad and Lawrence Robert Caruso. Broad, who was also employed by Smith, Stratton, served as legal counsel from 1956 to 1960. During 1958 and 1959, he served as legal counsel for the Committee on Project Research and Inventions, for which he provided legal assistance on Project Matterhorn, the controlled thermonuclear research effort undertaken at the Princeton Plasma Physics Laboratory. Caruso served as Assistant to the Executive Officer for the Committee on Project Research and Inventions from 1957 to 1958, and as legal counsel from 1958 to 1971. From 1968 to 1971, he also served as Assistant Secretary of the University. As legal counsel, Caruso dealt with a wide variety of legal problems referred to him from all areas of the University including departmental offices, academic departments, and University-sponsored student organizations.
In 1972, President Bowen recruited Thomas H. Wright, Jr. '62 to be Princeton's first University Counsel. In that capacity, Wright provided legal advice to the President and senior administrative staff, and managed the outside legal services that were used by the University. Wright's main objective for this newly appointed position was to centralize the main legal issues regarding University affairs within his office and to use the outside law firms in connection to their particular expertise.
Over the course of several years, the Office of the University Counsel began to expand both administratively and functionally within the University. In 1974, Wright was appointed Secretary of the University following Jeremiah Finch's retirement. With this appointment, the Office of the Secretary and the Office of the University Counsel merged under Wright's leadership.
That same year, Howard S. Ende joined the Office of the University Counsel as Assistant University Counsel. As assistant, Ende reported to Wright and to administrative office heads, including the Director of Development and the Director to the Office of Research and Project Administration. Ende's primary responsibilities included legal review of information made available to potential donors; securities issues; anti-fraud statute questions; and review of individual gift or bequest agreements. He lent his legal advice in connection with receipts of securities, including restricted securities, real estate, and various forms of giving. In addition, he reviewed proposed contracts for specific research projects such as the Princeton Plasma Physics Laboratory, and government and private industry contracts, purchasing systems, and specific University contract problems.
Ende also gave legal advice to the University regarding internal judicial procedures; federal guidelines for non-discriminatory practices; faculty and staff employment issues; federal, state, and local tax exemptions; and general financial management of securities and real estate.
In 1988, Thomas H. Wright was appointed Vice President of the University in addition to his positions as Secretary and University Counsel. Upon his appointment as Vice President, Wright requested Ende's assistance to reorganize and consolidate the University's legal office. In September 1989, the Office of Legal Services (OLS) was created with Ende serving as the Director and Senior University Counsel. The new office operated on its own budget and managed the University's legal affairs.
In 1990, Thomas Wright resigned his position as University Counsel to serve as Vice President and Secretary of the University. On December 14, 1990, Howard Ende was appointed General Counsel, reporting directly to Wright. With Ende's resignation as General Counsel in 2002, the Office of Legal Service's name was changed to the Office of General Counsel. As of 2006, Ende's successor Peter McDonough serves as chief legal advisor of the Office of General Counsel. The Office continues to reside at 120 Alexander Street.
The Office of General Counsel records document the financial and legal matters involving the University and the Office of General Counsel. While the records contain information that predates the formation of the office, the majority of the material dates from the official inception of the position of University Counsel in 1972. The records relate to legal matters involving litigation over estates, trusts, and gifts, as well as discrimination and injury cases involving University employees. In addition, information regarding financial audit and tax reports to several government agencies, including the Internal Revenue Service, can be found within these records.
Please see series descriptions in contents list for additional information about individual series.
Files are arranged as they were organized by the Office of General Counsel. The collection is arranged in the following series:
In the composition of this finding aid's history section, the following works were consulted: Office of General Counsel's website (located at http://web.princeton.edu/sites/ogc/); the Faculty and Professional Staff Index (located at http://www.princeton.edu/~mudd/databases/faculty.html) as well as the faculty files held by the Seeley G. Mudd Manuscript Library; the Administration and Deans card catalog files located in Seeley G. Mudd Manuscript Library; the Annual Reports to the President (AC068) by the University Counsel, Volume 51, 1972-1973, Administration, and by the Secretary and University Counsel, Volume 1, 1974-1975, Administration.
Periodic transfers of general records from the Office of General Counsel are expected indefinitely.
This collection has been transferred from the Office of General Counsel to the University Archives in periodic installments, most recently in March 1998.
Box 167 was loaned back to the Office of General Counsel in 2011.
Full text searching of this collection's archived websites is available through the Archive-It interface.
For preservation reasons, original analog and digital media may not be read or played back in the reading room. Users may visually inspect physical media but may not remove it from its enclosure. All analog audiovisual media must be digitized to preservation-quality standards prior to use. Audiovisual digitization requests are processed by an approved third-party vendor. Please note, the transfer time required can be as little as several weeks to as long as several months and there may be financial costs associated with the process. Requests should be directed through the Ask Us Form.
This collection was processed in 2006 by Susan Hamson, Matthew Reeder, Rosalba D. Varallo, and Janaya Kizzie with the assistance of Samuel Clendon '07, Shannon DeVore '07, Page Dykstra '06, Kim Kamarebe '07, Natasha Marshall '05, Brett Masters '08, Christina McMillan '07, Lauren Ridge '08, and Devin Silva '06. Finding aid written by Rosalba D. Varallo in 2006. Series 5 added by Jessica Serrao in 2016.
There is a gap in the number sequence; there is no Box 314, and Box 167 is on loan.
Appraisal information was not recorded at the time of accessioning.
People
Organization
- Tiger Inn (Princeton, N.J.)
- Ivy Club
- Howard Hughes Medical Institute
- Palmer Square, Inc. (Princeton, N.J.)
- Princeton University
- Princeton University. Chapel
- Princeton University. Employees.
- Princeton University. Faculty.
- Princeton University. Office of Research and Project Administration.
- Princeton University. Office of the Controller.
- Princeton University. Office of the President.
- Princeton University. Trustees
Subject
- Actions and defenses
- College administrators
- College benefactors--New Jersey--Princeton
- Endowments--United States
- Executors and administrators
- Freedom of association--New Jersey--Princeton
- Gifts--Taxation
- Landfill closures--New Jersey
- Research--New Jersey--Princeton
- Research grants--New Jersey--Princeton
- Sanitary landfills
- Trials (sex discrimination)
- Universities and colleges--New Jersey--Princeton--Auditing
- Universities and colleges--New Jersey--Princeton--Business Management
- Universities and colleges--New Jersey--Princeton--Finance
- University investments--New Jersey--Princeton
Place
- Publisher
- University Archives
- Finding Aid Author
- Rosalba D. Varallo; Jessica Serrao
- Finding Aid Date
- 2010
- Access Restrictions
-
Access to Series 1-Series 4 is restricted. Contact us through the Ask Us! form for further information. Series 5: Public Websites is open for research.
- Use Restrictions
-
Single copies may be made for research purposes. To cite or publish quotations that fall within Fair Use, as defined under U. S. Copyright Law, no permission is required. The Trustees of Princeton University hold copyright to all materials generated by Princeton University employees in the course of their work. For instances beyond Fair Use, if copyright is held by Princeton University, researchers do not need to obtain permission, complete any forms, or receive a letter to move forward with use of materials from the Princeton University Archives.
For instances beyond Fair Use where the copyright is not held by the University, while permission from the Library is not required, it is the responsibility of the researcher to determine whether any permissions related to copyright, privacy, publicity, or any other rights are necessary for their intended use of the Library's materials, and to obtain all required permissions from any existing rights holders, if they have not already done so. Princeton University Library's Special Collections does not charge any permission or use fees for the publication of images of materials from our collections, nor does it require researchers to obtain its permission for said use. The department does request that its collections be properly cited and images credited. More detailed information can be found on the Copyright, Credit and Citations Guidelines page on our website. If you have any questions, please feel free to contact us through the Ask Us! form.
Collection Inventory
The Estate/Donor Files series includes information relating to trusts and estates for which the University is beneficiary. Files contain correspondence, memoranda, reports, legal documents including wills, agreements, affidavits, depositions, and other materials.
Arranged alphabetically by topic and chronologically within each folder. Recent accessions have been placed at the end of the run.
Physical Description90 boxes
90 boxes
The Litigation Files series documents the legal proceedings filed by or against Princeton University and the Trustees of the University by various persons, organizations, and corporations. The files concern disputes regarding employment discrimination, benefits, insurance, and injuries, as well as trusts, estates, gifts, real estate matters, mortgages, and contract disputes. Files include administrative correspondence, memoranda, medical records, legal briefs, summaries, affidavits, depositions, and settlement proposals. Documents from high-profile cases, such as the Sally Frank case, can be found in this series.
Arranged alphabetically by topic and chronologically within each folder.
Box 167 was loaned back to the Office of the General Counsel in 2011 and has not been returned.
Physical Description152 boxes
152 boxes
The General Files series contains information on a wide range of subjects involving academic and administrative departments, as well as legal proceedings which include the Stony Brook Regional Sewer Authority's "Sewer Odor Case." This series also includes disciplinary records, scholarship and memorial fund information, contracts, documentation regarding possible patents, and tax and copyright infringement information.
Organized into ten subseries which are arranged alphabetically, and within each box arranged according to the Office of General Counsel's organizational system.
Physical Description65 boxes
The Agreements subseries contains contracts and agreements made between Princeton University and various organizations and companies. One such agreement involving Princeton University and the Princeton Country Music Festival, a Chamber of Commerce event, can be found within this series.
Arranged according to the Office of General Counsel's organizational system.
Physical Description1 box
The Correspondence subseries contains correspondence, notes, inter-office memos, contracts regarding leases, loans, and sales of property of Palmer Square, Inc. Expense reports, stock purchase agreements, and information pertaining to various estates can be found within this series. Also included are financial records and accounts concerning Summer Intime, today known as the Princeton Summer Theater group.
Arranged according to the Office of General Counsel's organizational system.
Physical Description13 boxes
The Search for the Dean of the Chapel subseries documents the search that took place for the Dean of the Chapel from 1988-1989. Files contain the start-up file compiled by the search committee, which included Thomas H. Wright '63, letters of recommendation about the applicants, correspondence between members of the search committee, and resumes and sermons of candidates.
Arranged according to the Office of General Counsel's organizational system.
Physical Description1 box
The Facilities, Engineering (Helen Kramer Landfill) subseries consists of correspondence, memoranda, reports, and agreements made by Princeton Sewer Operating Committee, allocation plans, and court documents regarding Princeton University's involvement as part owner/operator of the Princeton Sewer Operating Committee. The landfill operated until 1981 when the New Jersey Department of Environmental Protection ordered the landfill to close, claiming the Princeton Sewer Operating Committee transported millions of gallons of sewage waste to be disposed of on this landfill without following proper sanitary procedures.
Arranged according to the Office of General Counsel's organizational system.
Physical Description9 boxes
The Gift Files subseries contains correspondence and legal contracts, procedural documentation, agreements, stock certificates, checks, and ledgers regarding restricted and non-restricted gifts, gifts of stock, and restricted and non-restricted securities made to the University by living donors, including individuals, organizations, and corporations.
Arranged according to the Office of General Counsel's organizational system.
Physical Description9 boxes
The Howard Hughes Medical Institute subseries concerns the collaboration of the Howard Hughes Medical Institute and the University in conducting a medical research program of genetics and cell biology and regulations. Files contain background information and research prepared for negotiation meetings, proposals, plans, and guidelines.
Arranged according to the Office of General Counsel's organizational system.
Physical Description1 box
The Jackson, Nash, Brophy, Barringer, and Brooks Law Firm subseries contains billing log-sheets for various Princeton University estates, trusts, and gifts.
Arranged according to the Office of General Counsel's organizational system.
Physical Description1 box
1 box
The Office Files subseries contains records kept by the Office of General Counsel in regards to general University legal matters in discrimination, injury, salary, benefits, scholarships and fellowships (includes the Robertson Foundation), and various other matters involving faculty members, academic departments, and student based organizations. Files include correspondence, negotiations, bound contracts, and litigation material.
Arranged according to the Office of General Counsel's organizational system.
Physical Description1 box
1 box
The Pooled Income Fund subseries concerns correspondence regarding the creation of the fund, drafts and various versions of the written guidelines and amendments, as well as information about Internal Revenue Service rulings.
Arranged according to the Office of General Counsel's organizational system.
Physical Description1 box
The Sponsored Research Records (S.R.R.) subseries contains files concerning faculty research on campus and its sponsorship. Specifically, the files of Professor Steven Orszag Research Group and its various government sponsored grants. The files include correspondence and budget reports regarding the move of Prof. Orszag Research Group from Fine Hall's Program in Applied and Computational Mathematics (PACM) to the E-Quad's Mechanical and Aerospace Engineering (MAE) Center. Also included are salary reports of research members, various accounts, travel procedures, and settlement documents regarding the Internal Revenue Service auditing of Prof. Orszag's research group and the department records of the Princeton Plasma Physics Laboratory. Files within this series also include correspondence, interview transcripts, proposals, government contracts, invoices, manuals, procedural memos, affidavits, and purchase orders.
Arranged according to the Office of General Counsel's organizational system.
There is a gap in the number sequence; there is no Box 314.
Physical Description29 boxes
The General and University Counsels series contains individual files of the Office of General Counsel staff members, particularly the files of Kate Buttolph (Norcross), Howard S. Ende, Peter McDonough, and Donald C. Meyer. Files document the specific legal and financial matters that involved the University and the Office of General Counsel. Files within this series contain correspondence, memos, notes, legal briefs, reports, proceedings, and agreements.
Arranged alphabetically by the person's last name.
Physical Description36 boxes
This subseries contains correspondence, pleadings, depositions, and contracts regarding Kate Buttolph's work on litigation matters involving administrative, employment, environmental, civil rights, insurance law, and real estate cases.
Arranged alphabetically by folder and chronologically within each folder.
Physical Description9 boxes
9 boxes
The Howard S. Ende subseries contains files documenting Ende's work in the Office of General Counsel. The files range from when he served as Assistant University Counsel to his appointment as General Counsel. Files include correspondence, notes, court papers, newspaper clippings and articles, estate tax, waivers, forms, and wills pertaining to the legal affairs of the University. Specifically, the affairs involving donations, individual gifts, including restrictive securities, real estate transactions, and personal injury and discrimination cases are located in this series. Also included are specific research contracts and grants for such departments as the Princeton Plasma Physics Laboratory (PPPL) and various divorce cases in which he represented and campaign material regarding his bid for Princeton Township Committee are also located in these files.
Half of this subseries is arranged alphabetically by folder. The other half has been arranged according to the Office of General Counsel's organizational system.
Physical Description18 boxes
18 boxes
The Peter McDonough subseries contains files of Peter McDonough pertaining to contracts and litigation cases in which McDonough was the primary lawyer assigned. Files also contain correspondence, memos, notes, and legal reports regarding to specific departmental issues, as well as incidents involving students and faculty members. Such incidents include plagiarism, honor code, housing, and employment issues, and sexual harassment cases.
Arranged alphabetically by folder and chronologically within each folder.
Physical Description3 boxes
3 boxes
The Donald C. Meyer subseries contains Meyer's correspondence, memoranda, notes, letters, permits, and clippings relating to taxes, specifically New Jersey tax laws and legislation.
Arranged according to the Office of General Counsel's organizational system.
Physical Description6 boxes
6 boxes
The Office of the General Counsel Public Website provides the Princeton community with information on legal matters related to Princeton, information about the office and its services, and legal resources and research. The site also contains a list of the office's attorneys and staff, areas of practice, legal facts about the University, and answers to frequently asked questions.
Full text searching of this archived web site is available through the Archive-It interface.
The original arrangement of the files was maintained.
Physical Description1 website