Notice of Investigation and Record Requests, 11059-11063 [2020-03812]

Download as PDF khammond on DSKJM1Z7X2PROD with NOTICES Federal Register / Vol. 85, No. 38 / Wednesday, February 26, 2020 / Notices Total Estimated Number of Annual Responses: 120,761. Total Estimated Number of Annual Burden Hours: 49,477. Abstract: The High School and Beyond 2020 study (HS&B:20) will be the sixth in a series of longitudinal studies at the high school level conducted by the National Center for Education Statistics (NCES), within the Institute of Education Sciences (IES) of the U.S. Department of Education. HS&B:20 will follow a nationallyrepresentative sample of ninth grade students from the start of high school in the fall of 2020 to the spring of 2024 when most will be in twelfth grade. The study sample will be freshened in 2024 to create a nationally representative sample of twelfth-graders. A high school transcript collection and additional follow-up data collections beyond high school are also planned. The NCES secondary longitudinal studies examine issues such as students’ readiness for high school; the risk factors associated with dropping out of high school; high school completion; the transition into postsecondary education and access/ choice of institution; the shift from school to work; and the pipeline into science, technology, engineering, and mathematics (STEM). They inform education policy by tracking long-term trends and elucidating relationships among student, family, and school characteristics and experiences. HS&B:20 will follow the Middle Grades Longitudinal Study of 2017/18 (MGLS:2017) which followed the Early Childhood Longitudinal Study, Kindergarten Class of 2010–11 (ECLS– K:2011), thereby allowing for the study of all transitions from elementary school through high school and into higher education and/or the workforce. HS&B:20 will include surveys of students, parents, students’ math teachers, counselors, and administrators, plus a student assessment in mathematics and reading and a brief hearing and vision test. In preparation for the HS&B:20 base-year full scale study, scheduled to take place in the fall of 2020, the request to conduct the HS&B:20 base year field test data collection and the base year full scale sampling and state, school district, school, and parent recruitment activities was approved in December 2018, with the latest update approved in December 2019 (OMB# 1850–0944 v.1–5). This request is to conduct the base-year full scale study data collection, scheduled to begin in August 2020. A new draft of Appendix B that will contain a Spanish translation of the Student Questionnaire will be added by April 20, 2020. VerDate Sep<11>2014 17:22 Feb 25, 2020 Jkt 250001 Dated: February 20, 2020. Stephanie Valentine, PRA Coordinator, Strategic Collections and Clearance Governance and Strategy Division, Office of Chief Data Officer. [FR Doc. 2020–03799 Filed 2–25–20; 8:45 am] BILLING CODE 4000–01–P DEPARTMENT OF EDUCATION Notice of Investigation and Record Requests Office of the General Counsel, Department of Education. ACTION: Notice. AGENCY: The Department publishes letters, dated February 11, 2020, notifying Yale University and Harvard University of investigations related to the universities’ reports of defined gifts and contracts, including restricted and conditional gifts or contracts, from or with a statutorily defined foreign source. FOR FURTHER INFORMATION CONTACT: Patrick Shaheen, U.S. Department of Education, Office of the General Counsel, 400 Maryland Avenue SW, room 6E300, Washington, DC 20202. Telephone: (202) 453–6339. Email: Patrick.Shaheen@ed.gov. If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay Service, toll free, at 1–800–877–8339. SUPPLEMENTARY INFORMATION: The Department publishes these letters, dated February 11, 2020, notifying Yale University and Harvard University of investigations related to the universities’ reports of defined gifts and contracts, including restricted and conditional gifts or contracts, from or with a statutorily defined foreign source. The letter to Yale University is in Appendix A of this notice. The letter to Harvard University is in Appendix B of this notice. Accessible Format: Individuals with disabilities can obtain this document in an accessible format (e.g., Braille, large print, audiotape, or compact disc) on request to the person listed under FOR FURTHER INFORMATION CONTACT. Electronic Access to This Document: The official version of this document is the document published in the Federal Register. You may access the official edition of the Federal Register and the Code of Federal Regulations at www.govinfo.gov. At this site you can view this document, as well as all other documents of this Department published in the Federal Register, in text or Portable Document Format (PDF). To use PDF you must have SUMMARY: PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 11059 Adobe Acrobat Reader, which is available free at the site. You may also access documents of the Department published in the Federal Register by using the article search feature at www.federalregister.gov. Specifically, through the advanced search feature at this site, you can limit your search to documents published by the Department. Reed D. Rubinstein, Principal Deputy General Counsel Delegated the Authority and Duties of the General Counsel. Appendix A—Letter to Yale University February 11, 2020 Dr. Peter Salovey, President, Yale University, 3 Prospect Street, New Haven, CT 06511 Re: Notice of 20 U.S.C. 1011f Investigation and Record Request/Yale University Dear President Salovey: Section 117 of the Higher Education Act of 1965, 20 U.S.C. 1011f, requires Yale University to report statutorily defined gifts, contracts, and/or restricted and conditional gifts or contracts from or with a statutorily defined foreign source, to the U.S. Department of Education. These reports are posted at https://studentaid.ed.gov/sa/about/ data-center/school/foreign-gifts. It appears Yale University failed to report a single foreign source gift or contract in 2014, 2015, 2016, and 2017. However, Yale University says it ‘‘has a considerable presence abroad, represented by sites in dozens of cities and countries . . . [some] operated by Yale or a closely affiliated entity’’, claims ‘‘considerable success’’ in setting up ‘‘jointly run laboratories with Chinese universities . . . funded by Chinese granting agencies . . .’’, and has solicited and received directed foreign contributions advancing specific religious and ideological priorities. See https://world.yale.edu/sites/ default/files/files/International_Affairs_ Report_Final.pdf; see also https:// web.archive.org/web/20180321012214/http:// www.thenation.com/article/why-are-uscolleges-collaborating-with-saudi-arabia/. Section 117(f), 20 U.S.C. 1011f(f), provides that whenever it appears an institution has failed to comply with the law, the Secretary of Education may request the Attorney General commence an enforcement action to compel compliance and to recover the full costs to the United States of obtaining compliance, including all associated costs of investigation and enforcement. The Department is now concerned Yale University’s reporting may not fully capture all gifts, contracts, and/or restricted and conditional gifts or contracts from or with all foreign sources. To meet our statutory duty to verify compliance prior to any potential referral for enforcement action, the Department has opened an administrative investigation of Yale University and requests that you produce the following within sixty days: 1. A list of all foreign sites ‘‘operated by Yale or a closely affiliated entity’’ as described at https://world.yale.edu/sites/ E:\FR\FM\26FEN1.SGM 26FEN1 khammond on DSKJM1Z7X2PROD with NOTICES 11060 Federal Register / Vol. 85, No. 38 / Wednesday, February 26, 2020 / Notices default/files/files/International_Affairs_ Report_Final.pdf. For each such foreign site, please: (a) Specify the location; (b) specify the operating ‘‘entity’’ (e.g., the name of the ‘‘closely affiliated entity’’) and describe in detail its financial and legal relationship with ‘‘Yale’’; (c) report the ‘‘foreign site’s’’ annual budget; (d) list the name and address of every nontuition revenue source in excess of $250,000 to each such ‘‘foreign site’’ during each relevant calendar year; (e) produce true copies of all gifts, contracts, and/or restricted or conditional gifts or contracts relevant to each such foreign site during each relevant calendar year; and (f) for each such foreign site, produce all records of, regarding, referencing, or relating to (i) governance, accounting, auditing, and reporting standards, (ii) Section 117 compliance, and (iii) conditions on curriculum and/ or academic freedom. The time frame for this request is August 1, 2013 to the present. 2. Please (a) list all gifts, contracts, and/or restricted or conditional gifts or contracts from or with a foreign source to or for the substantial benefit of the Paul Tsai China Center at Yale Law School, the Jackson Institute for Global Affairs a/k/ a the Yale Jackson School of Global Affairs, and the ‘‘Kerry Initiative’’; (b) provide the name and address of the foreign source for each such gift, contract, and/or restricted or conditional gift or contract; and (c) produce a true copy thereof. The time frame for this request is August 1, 2013 to the present. 3. All records of, regarding, or referencing gifts, contracts, and/or restricted or conditional gifts or contracts from or with a foreign source to the Institution. This includes, but is not limited to, true copies of pledge, donation, contribution, and/or contracts and agreements. The time frame for this request is August 1, 2013 to the present. 4. A list of all gifts, contracts, and/or restricted or conditional gifts or contracts from or with a foreign source that were not contemporaneously reported to the U.S. Department of Education by the Institution between August 1, 2013 and August 1, 2019. For each such gift, contract, and/or restricted or conditional gift or contract, please (a) list the name and address of the foreign source; (b) explain in a detailed narrative why the Institution failed to report such gift, contract, and/or restricted or conditional gift or contract; and (c) produce a true copy thereof. 5. All records of, regarding, or referencing gifts, contracts, and/or restricted or conditional gifts or contracts from or with: (i) The government of Saudi Arabia, Saudi nationals, and their agents; (ii) the government of People’s Republic of China, the Central Committee of the CPC, Huawei Technologies Co. Ltd., Huawei Technologies USA, Inc., ZTE Corp, Yenching Academy, Yale-NUS College, the National University of Singapore, and their agents; and (iii) the government of Qatar, the Qatar VerDate Sep<11>2014 17:22 Feb 25, 2020 Jkt 250001 Foundation for Education, Science and Community Development aka the Qatar Foundation aka the Qatar National Research Fund, Qatari nationals, and their agents. The time frame for this request is June 1, 2014, to the present. 6. All records of, regarding or referencing: (i) The ‘‘Thousand Talents Program’’ and/or its agents; (ii) ‘‘Hanban’’ or the Office of Chinese Language Council International and/or its agents; and (iii) any university, school, or other education or research entity domiciled in or organized under the laws of China, Qatar, Russia, Saudi Arabia, and/or their agents. The time frame for this request is January 1, 2012 to the present. 7. A list of each program, activity, and/or person at the Institution (e.g., an Islamic law program, a Confucius Institute, a research scientist funded in whole or substantial part by a foreign corporation, a foreign graduate student studying physics under a scholarship or other contractual arrangement with a foreign government, a fellow in a cultural studies program created by endowment or other gift by a foreign national) that is in whole or in substantial part directly funded or supported by and/or employed due to a gift, contract, and/or restricted or conditional gift or contract with or from a foreign source. The relevant foreign source, dates of support or benefit, and amount of support or benefit should be specified for each listed program, activity, and/or person. The time frame for this request is August 1, 2013 to the present. 8. All records of, regarding, or referencing conditions imposed or influence on any of the Institution’s curriculum, programs, or activities by any foreign source of a gift, contract, and/or restricted or conditional gift or contract. The time frame for this request is August 1, 2013 to the present. 9. A detailed narrative explaining, and all records of, regarding, or referencing, the Institution’s actions taken and/or the institutional controls established to determine and/or verify: (a) Whether and how the Institution determines a given person is a foreign source under each of 20 U.S.C. 1011f(h)(2)’s four enumerated categories; and (b) whether and how the Institution complies with Executive Order 13224 with respect to every gift, contract, and/or restricted or conditional gift or contract that it solicits, receives, or signs. The time frame for this request is August 1, 2013 to the present. 10. A list of all gifts, contracts, and/or restricted or conditional gifts or contracts from or with a person who is a ‘‘foreign source’’ as defined at 20 U.S.C. 1011f(h)(2)(D). For each such gift, contract, and/or restricted or conditional gift or contract please: (a) List the name and address of the 20 U.S.C. 1011f(h)(2)(D) foreign source; (b) list the name and address of the foreign source’s principal; and (c) provide true copies thereof. The time frame for this request is August 1, 2013 to the present. 11. All records of, regarding, or referencing PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 the Institution’s audit and accounting practices and/or other institutional controls used to: (a) Capture, track, report, and verify gifts, contracts, and/or restricted or conditional gifts or contracts from or with a foreign source; and (b) ensure (i) substantial compliance with the Single Audit Act, OMB Circular A– 133, and 34 CFR 75.730 with respect to foreign funds, foreign campuses, and other covered foreign facilities and (ii) that all financial records are kept in a manner facilitating an effective audit. The time frame for this request is August 1, 2013 to the present. 12. The name and address of each person responsible for the Institution’s 20 U.S.C. 1011f reporting and compliance. The time frame for this request is August 1, 2013 to the present. 13. All records of, regarding, or referencing the Institution’s compliance obligations or duties with and/or under 20 U.S.C. 1011f(a), (b), (c), and (e). The time frame for this request is August 1, 2013 to the present. 14. All records of, regarding, or referencing the Institution’s solicitation of gifts, contracts, and/or restricted or conditional gifts or contracts with or from a foreign source. The time frame for this request is January 1, 2015 to the present. 15. All records of, regarding, or referencing communications between the Institution and a foreign source listed as or resident or domiciled in a nation requiring cooperation with an international boycott under 26 U.S.C. 999(a)(3), or that is an agent thereof. For each gift, contract, and/or restricted or conditional gift or contract from or with such a foreign source please: (a) List the name and address of the foreign source; (b) identify the subsection of 20 U.S.C. 1011f(h)(2) applicable to such foreign source; and (c) produce true copies thereof. The time frame for this request is August 1, 2013, to the present. 16. All IRS Form 990s and schedules, including Schedules F and R, for tax years 2014, 2015, 2016, 2017, and 2018. 17. A verified statement by a duly authorized Yale University official: (a) Affirming that the Institution solicits and accepts gifts from, contracts with, and/or comingles or intermingles funds from foreign sources with funds from domestic sources, only in material compliance with all applicable federal laws, regulations, and executive orders and generally accepted and applicable accounting standards; (b) affirming that for the calendar years 2013, 2014, 2015, 2016, 2017, 2018, and 2019 (each a ‘‘reporting year’’) the Institution’s Section 117 reports were accurate, complete and timely filed; (c) describing for each reporting year the specific accounting and institutional controls in place to ensure all statutorily-defined foreign source gifts, contracts, and/or restricted or conditional gifts or contracts were (i) appropriately kept separate and auditable, and (ii) recognized, tracked, controlled and accounted for in the E:\FR\FM\26FEN1.SGM 26FEN1 khammond on DSKJM1Z7X2PROD with NOTICES Federal Register / Vol. 85, No. 38 / Wednesday, February 26, 2020 / Notices Institution’s Section 117 reports and federally-required audits; (d) affirming (i) that the Institution has materially complied with the Single Audit Act, OMB Circular A–133, and 34 CFR 75.730 with respect to foreign funds, foreign campuses, and other covered foreign facilities for each reporting year, and (ii) that all relevant financial records are kept in a manner facilitating an effective audit and that foreign funds are not intermingled or comingled with domestic funds; and (e) describing the records reviewed and individuals consulted in preparing the requested statement. If the Institution is unable to make the affirmation requested in subparts (a), (b), or (d) above, then please provide, in detailed narrative form, an explanation for such failure. As used in this Notice of Investigation and Information Request: ‘‘Agent’’ has its plain and ordinary meaning and includes, solely by way of example and not limitation, the U.S.-domiciled donor advised funds and foundations of a foreign source. ‘‘Contract’’ has the meaning given at 20 U.S.C. 1011f(h)(1). ‘‘Foreign source’’ has the meaning given at 20 U.S.C. 1011f(h)(2). ‘‘Gift’’ has the meaning given at 20 U.S.C. 1011f(h)(3). ‘‘Institution’’ has the meaning given at 20 U.S.C. 1011f(h)(4) and includes all campuses. Section 117 requires that when an institution receives the benefit of a gift from or a contract with a foreign source in the applicable amount, even if by an agent (e.g., employee) and through an intermediary (e.g., non-profit organization), it must disclose the gift or contract to the Department. Where a legal entity (e.g., centers, boards, foundations, research groups, partnerships, or non-profit organizations, whether or not organized under the laws of the United States and including, by way of example and not limitation, the Yale-NUS College, the YaleChina Association, the China-Yale Advanced University Leadership Program, the Yale Asia Development Council, the Yale Center Beijing, and the Paul Mellon Centre in London, England) operates substantially for the benefit or under the auspices of an institution, there is a rebuttable presumption that when that legal entity receives money or enters into a contract with a foreign source, it is for the benefit of the institution, and, thus, must be disclosed. ‘‘Record’’ means all recorded information, regardless of form or characteristics, made or received by you, and including metadata, such as email and other electronic communication, word processing documents, PDF documents, animations (including PowerPointTM and other similar programs) spreadsheets, databases, calendars, telephone logs, contact manager information, internet usage files, network access information, writings, drawings, graphs, charts, photographs, sound recordings, images, financial statements, checks, wire transfers, accounts, ledgers, facsimiles, texts, VerDate Sep<11>2014 17:22 Feb 25, 2020 Jkt 250001 animations, voicemail files, data generated by calendaring, task management and personal information management (PIM) software (such as Microsoft Outlook), data created with the use of personal data assistants (PDAs), data created with the use of document management software, data created with the use of paper and electronic mail logging and routing software, and other data or data compilations, stored in any medium from which information can be obtained either directly or, if necessary, after translation by the responding party into a reasonably usable form. The term ‘‘recorded information’’ also includes all traditional forms of records, regardless of physical form or characteristics. ‘‘Restricted or conditional gift or contract’’ has the meaning given at 20 U.S.C. 1011f(h)(5). Your record and data preservation obligations are more particularly described at Exhibit A. If you claim attorney-client or attorney-work product privilege for a given record, then you must prepare and submit a privilege log expressly identifying each such record and describing it so the Department may assess your claim’s validity. Please note no other privileges apply here. Finally, this investigation will be directed by the Department’s Office of the General Counsel with support from Federal Student Aid. To arrange transmission of the requested information, or should you have any other questions, please contact: Patrick Shaheen, Office of the General Counsel, U.S. Department of Education, 400 Maryland Ave. SW, Room 6E300, Washington, DC 20202, Patrick.Shaheen@ ed.gov. Sincerely, Reed D. Rubinstein, Principal Deputy General Counsel delegated the Authority and Duties of the General Counsel Appendix B—Letter to Harvard University February 11, 2020 Lawrence S. Bacow, President, Harvard University, Massachusetts Hall, Cambridge, MA 02138. Re: Notice of 20 U.S.C. 1011f Investigation and Record Request/Harvard University Dear President Bacow: Section 117 of the Higher Education Act of 1965, 20 U.S.C. 1011f, requires institutions including Harvard University to report all gifts, contracts and/or restricted and conditional gifts or contracts from or with a foreign source to the U.S. Department of Education, and to make those reports available to the public. These reports are posted at https://studentaid.ed.gov/sa/about/ data-center/school/foreign-gifts. Section 117(f), 20 U.S.C. 1011f(f), provides that whenever it appears an institution has failed to comply with the law, the Secretary of Education may request the Attorney General commence an enforcement action to compel compliance and to recover the full costs to the United States of obtaining compliance, including all associated costs of PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 11061 investigation and enforcement. The Department is aware of information suggesting Harvard University lacks appropriate institutional controls and, as a result, its statutory Section 117 reporting may not include and/or fully capture all reportable gifts, contracts, and/or restricted and conditional gifts or contracts from or with foreign sources. See, e.g., https:// www.justice.gov/usao-ma/pr/harvarduniversity-professor-and-two-chinesenationals-charged-three-separate-china; see also https://www.harvard.edu/president/ news/2019/message-to-community-regardingjeffrey-epstein. To obtain the information required to meet our statutory enforcement duty, the Department has opened an administrative investigation of Harvard and now requests that your institution produce the following within sixty days: 18. All records of, regarding, or referencing gifts, contracts, and/or restricted or conditional gifts or contracts from or with a foreign source. For each such gift, contract, and/or restricted or conditional gift or contract, please: (a) List the name and address of the foreign source; (b) identify the subsection of 20 U.S.C. 1011f(h)(2) applicable to such foreign source; and (c) produce true copies thereof. The time frame for this request is August 1, 2013 to the present. 19. All records of, regarding, or referencing gifts, contracts, and/or restricted or conditional gifts or contracts from or with (i) the government of the People’s Republic of China, Huawei Technologies Co. Ltd., Huawei Technologies USA, Inc., ZTE Corp, and their respective agents; (ii) the government of Qatar, the Qatar Foundation for Education, Science and Community Development aka the Qatar Foundation aka the Qatar National Research Fund, Qatari nationals, and their respective agents; (iii) the government of Russia, the Skolkovo Foundation, Kaspersky Lab and Kaspersky Lab US, Russian nationals, and their respective agents; (iv) the government of Saudi Arabia, Saudi nationals, and their respective agents; and (v) the government of the Islamic Republic of Iran, the Alavi Foundation, Iranian nationals, and their agents. For each such gift, contract, and/or restricted or conditional gift or contract, please: (a) List the name and address of the foreign source; (b) identify the subsection of 20 U.S.C. 1011f(h)(2) applicable to such foreign source; and (c) produce true copies thereof. The time frame for this request is August 1, 2013 to the present. 20. All records regarding or referencing: (i) The ‘‘Thousand Talents Program’’ and/or its agents; (ii) ‘‘Hanban’’ or the Office of Chinese Language Council International and/or its agents; (iii) Wuhan University of Technology and/or its agents; (iv) the ‘‘Wuhan University of TechnologyHarvard Joint Nano Key Laboratory’’ and/or its agents; and (v) any university, school, or other education or research entity domiciled in or organized under the laws of China, Qatar, or Russia and/ or their agents. The time frame for this request is January 1, 2012 to the present. E:\FR\FM\26FEN1.SGM 26FEN1 khammond on DSKJM1Z7X2PROD with NOTICES 11062 Federal Register / Vol. 85, No. 38 / Wednesday, February 26, 2020 / Notices 21. All records of, regarding, or referencing conditions imposed or influence on any of the Institution’s curriculum, programs, or activities by any foreign source. The time frame for this request is August 1, 2013 to the present. 22. All records of, regarding, or referencing the Institution’s solicitation of gifts, contracts, and/or restricted or conditional gifts or contracts with or from a foreign source. The time frame for this request is August 1, 2013 to the present. 23. The name and address of each person responsible for the Institution’s 20 U.S.C. 1011f reporting and compliance. The time frame for this request is August 1, 2013 to the present. 24. All records of, regarding, or referencing the Institution’s compliance obligations or duties with and/or under 20 U.S.C. 1011f. The time frame for this request is August 1, 2013 to the present. 25. A detailed narrative explaining, and all records of, regarding, or referencing, the Institution’s actions taken and/or the institutional controls established to determine and/or verify: (a) Whether and how the Institution determines a given person is a foreign source under each of 20 U.S.C. 1011f(h)(2)’s four enumerated categories; and (b) whether and how the Institution complies with Executive Order 13224 with respect to every gift, contract, and/or restricted or conditional gift or contract that it solicits, receives, or signs. The time frame for this request is August 1, 2013 to the present. 26. A list of all gifts, contracts, and/or restricted or conditional gifts or contracts from or with a person who is a ‘‘foreign source’’ as defined at 20 U.S.C. 1011f(h)(2)(D). For each such gift, contract, and/or restricted or conditional gift or contract please: (a) List the name and address of the 20 U.S.C. 1011f(h)(2)(D) foreign source; (b) list the name and address of the foreign source’s principal; and (c) provide true copies thereof. The time frame for this request is August 1, 2013 to the present. 27. All records of, regarding, or referencing communications between the Institution and a foreign source listed as or resident or domiciled in a nation requiring cooperation with an international boycott under 26 U.S.C. 999(a)(3), or that is an agent thereof. For each gift, contract, and/or restricted or conditional gift or contract from or with such a foreign source please: (a) List the name and address of the foreign source; (b) identify the subsection of 20 U.S.C. 1011f(h)(2) applicable to such foreign source; and (c) produce true copies thereof. The time frame for this request is August 1, 2013, to the present. 28. A list of each program, activity, and/or employee, faculty member, or student directly funded or supported by a gift, contract, and/or restricted or conditional gift or contract with or from a foreign source to the Institution. The relevant foreign source, dates of funding or support, and amount and/or nature of support or benefit should be specified for VerDate Sep<11>2014 17:22 Feb 25, 2020 Jkt 250001 each listed program, activity, and/or person. The time frame for this request is August 1, 2013 to the present. 29. All records of, regarding, or referencing the Institution’s audit and accounting practices and/or other institutional controls used to: (a) Capture, track, report, and verify gifts, contracts, and/or restricted or conditional gifts or contracts from or with a foreign source; and/or (b) ensure (i) that there is substantial compliance with the Single Audit Act, OMB Circular A–133, and 34 CFR 75.730 with respect to foreign funds, foreign campuses, and other covered foreign facilities, and (ii) that all financial records are kept in a manner facilitating an effective audit. The time frame for this request is August 1, 2013 to the present. 30. All IRS Form 990s and schedules, including Schedules F and R, for tax years 2014, 2015, 2016, 2017, and 2018. 31. A verified statement by a duly authorized Harvard University official: (a) Affirming that the Institution solicits and accepts gifts from, contracts with, and/or comingles or intermingles funds from foreign sources with funds from domestic sources, only in material compliance with all applicable federal laws, regulations, and executive orders and generally accepted and applicable accounting standards; (b) affirming that for the calendar years 2013, 2014, 2015, 2016, 2017, 2018, and 2019 (each a ‘‘reporting year’’) the Institution’s Section 117 reports were accurate, complete and timely filed; (c) describing for each reporting year the specific accounting and institutional controls in place to ensure all gifts, contracts, and/ or restricted or conditional gifts or contracts from or with a foreign source were (i) appropriately kept separate and auditable, and (ii) recognized, tracked, controlled, and accounted for in the Institution’s Section 117 reports and federally-required audits; (d) affirming (i) that the Institution has materially complied with the Single Audit Act, OMB Circular A–133, and 34 CFR 75.730 with respect to foreign funds, foreign campuses, and other covered facilities for each reporting year, and (ii) that all relevant financial records are kept in a manner facilitating an effective audit and that foreign funds are not intermingled or comingled with domestic funds; and (e) describing the records reviewed and individuals consulted in preparing the requested statement. If the Institution is unable to make the affirmation requested in subparts (a), (b), or (d) above, then please provide, in detailed narrative form, an explanation for such failure. As used in this Notice of Investigation and Information Request: ‘‘Agent’’ has its ordinary meaning and includes, solely by way of example and not limitation, the U.S.-domiciled donor advised funds and foundations of a foreign source. ‘‘Contract’’ has the meaning given at 20 U.S.C. 1011f(h)(1). ‘‘Foreign source’’ has the meaning given at 20 U.S.C. 1011f(h)(2). PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 ‘‘Gift’’ has the meaning given at 20 U.S.C. 1011f(h)(3). ‘‘Institution’’ has the meaning given at 20 U.S.C. 1011f(h)(4) and includes all campuses. Section 117 requires that when an institution receives the benefit of a gift from or a contract with a foreign source in the applicable amount, even if by an agent (e.g., employee) and through an intermediary (e.g., non-profit organization), it must disclose the gift or contract to the Department. Where a legal entity (e.g., centers, boards, foundations, research groups, partnerships, or non-profit organizations, whether or not organized under the laws of the United States and including, by way of example and not limitation, the ‘‘Harvard Management Company’’, ‘‘Harvard China Fund’’, the ‘‘Harvard Center Shanghai’’, the ‘‘Lieber Research Group at Harvard’’, the ‘‘Harvard Foundation for Intercultural and Race Relations’’, and the ‘‘Harvard Kennedy School of Government’’) operates substantially for the benefit or under the auspices of an institution, there is a rebuttable presumption that when that legal entity receives money or enters into a contract with a foreign source, it is for the benefit of the institution, and, thus, must be disclosed. ‘‘Record’’ means all recorded information, regardless of form or characteristics, made or received by you, and including metadata, such as email and other electronic communication, word processing documents, PDF documents, animations (including PowerPointTM and other similar programs) spreadsheets, databases, calendars, telephone logs, contact manager information, internet usage files, network access information, writings, drawings, graphs, charts, photographs, sound recordings, images, financial statements, checks, wire transfers, accounts, ledgers, facsimiles, texts, animations, voicemail files, data generated by calendaring, task management and personal information management (PIM) software (such as Microsoft Outlook), data created with the use of personal data assistants (PDAs), data created with the use of document management software, data created with the use of paper and electronic mail logging and routing software, and other data or data compilations, stored in any medium from which information can be obtained either directly or, if necessary, after translation by the responding party into a reasonably usable form. The term ‘‘recorded information’’ also includes all traditional forms of records, regardless of physical form or characteristics. ‘‘Restricted or conditional gift or contract’’ has the meaning given at 20 U.S.C. 1011f(h)(5). Your record and data preservation obligations are more particularly described at Exhibit A. If you claim attorney-client or attorney-work product privilege for a given record, then you must prepare and submit a privilege log expressly identifying each such record and describing it so the Department may assess your claim’s validity. Please note no other privileges apply here. Finally, this E:\FR\FM\26FEN1.SGM 26FEN1 Federal Register / Vol. 85, No. 38 / Wednesday, February 26, 2020 / Notices investigation will be directed by the Department’s Office of the General Counsel with support from Federal Student Aid. To arrange transmission of the requested information, or should you have any other questions, please contact: Patrick Shaheen, Office of the General Counsel, U.S. Department of Education, 400 Maryland Ave. SW, Room 6E300, Washington, DC 20202, Patrick.Shaheen@ ed.gov. Sincerely, Reed D. Rubinstein, Principal Deputy General Counsel delegated the Authority and Duties of the General Counsel. [FR Doc. 2020–03812 Filed 2–25–20; 8:45 am] BILLING CODE 4000–01–P DEPARTMENT OF EDUCATION [Docket No.: ED–2019–ICCD–0159] Agency Information Collection Activities; Submission to the Office of Management and Budget for Review and Approval; Comment Request; National Professional Development Program: Grantee Performance Report Office of English Language Acquisition (OELA), Department of Education (ED). ACTION: Notice. AGENCY: In accordance with the Paperwork Reduction Act of 1995, ED is proposing an extension of an existing information collection. DATES: Interested persons are invited to submit comments on or before March 27, 2020. ADDRESSES: To access and review all the documents related to the information collection listed in this notice, please use http://www.regulations.gov by searching the Docket ID number ED– 2019–ICCD–0159. Comments submitted in response to this notice should be submitted electronically through the Federal eRulemaking Portal at http:// www.regulations.gov by selecting the Docket ID number or via postal mail, commercial delivery, or hand delivery. If the regulations.gov site is not available to the public for any reason, ED will temporarily accept comments at ICDocketMgr@ed.gov. Please include the docket ID number and the title of the information collection request when requesting documents or submitting comments. Please note that comments submitted by fax or email and those submitted after the comment period will not be accepted. Written requests for information or comments submitted by postal mail or delivery should be addressed to the Director of the Strategic Collections and Clearance Governance and Strategy Division, U.S. Department khammond on DSKJM1Z7X2PROD with NOTICES SUMMARY: VerDate Sep<11>2014 17:22 Feb 25, 2020 Jkt 250001 of Education, 400 Maryland Ave. SW, LBJ, Room 6W–208D, Washington, DC 20202–4537. FOR FURTHER INFORMATION CONTACT: For specific questions related to collection activities, please contact Francisco Javier Lopez, 202–401–1433. SUPPLEMENTARY INFORMATION: The Department of Education (ED), in accordance with the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)(A)), provides the general public and Federal agencies with an opportunity to comment on proposed, revised, and continuing collections of information. This helps the Department assess the impact of its information collection requirements and minimize the public’s reporting burden. It also helps the public understand the Department’s information collection requirements and provide the requested data in the desired format. ED is soliciting comments on the proposed information collection request (ICR) that is described below. The Department of Education is especially interested in public comment addressing the following issues: (1) Is this collection necessary to the proper functions of the Department; (2) will this information be processed and used in a timely manner; (3) is the estimate of burden accurate; (4) how might the Department enhance the quality, utility, and clarity of the information to be collected; and (5) how might the Department minimize the burden of this collection on the respondents, including through the use of information technology. Please note that written comments received in response to this notice will be considered public records. Title of Collection: National Professional Development Program: Grantee Performance Report. OMB Control Number: 1885–0555. Type of Review: An extension of an existing information collection. Respondents/Affected Public: State, Local, and Tribal Governments. Total Estimated Number of Annual Responses: 138. Total Estimated Number of Annual Burden Hours: 6,900. Abstract: The NPD Program provides grants for eligible entities to implement professional development activities intended to improve instruction for English Learners (ELs) and assists education personnel working with ELs to meet high professional standards. Information in the NPD grantee performance report is being collected in compliance with the authorized by section 3131(c)(1)(C) of the Elementary and Secondary Education Act of 1965 as amended by the Every Student Succeeds PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 11063 Act, and in accordance with the Government Performance Results Act (GPRA) of 1993, Section 4 (1115), and the Education Department General Administrative Regulations (EDGAR), 34 CFR 75.253. Grantees are required to report targets and their progress toward meeting the objectives and goals established for each ED grant program. This information collection serves two purposes; the data are necessary to assess the performance of the NPD program on measures and also, budget information and data on project-specific performance measures are collected from NPD grantees for project monitoring and for the purpose of determining continuation funding. Dated: February 21, 2020. Kate Mullan, PRA Coordinator, Strategic Collections and Clearance Governance and Strategy Division, Office of Chief Data Officer. [FR Doc. 2020–03885 Filed 2–25–20; 8:45 am] BILLING CODE 4000–01–P DEPARTMENT OF ENERGY Environmental Management SiteSpecific Advisory Board, Northern New Mexico Office of Environmental Management, Department of Energy. ACTION: Notice of open meeting. AGENCY: This notice announces a meeting of the Environmental Management Site-Specific Advisory Board (EM SSAB), Northern New Mexico. The Federal Advisory Committee Act requires that public notice of this meeting be announced in the Federal Register. DATES: Wednesday, March 18, 2020; 1:00 p.m.–5:15 p.m. ADDRESSES: The Lodge at Santa Fe, 720 North St. Francis Drive, Santa Fe, New Mexico 87501. FOR FURTHER INFORMATION CONTACT: Menice Santistevan, Northern New Mexico Citizens’ Advisory Board (NNMCAB), 94 Cities of Gold Road, Santa Fe, NM 87506. Phone (505) 995– 0393; Fax (505) 989–1752 or Email: Menice.Santistevan@em.doe.gov. SUPPLEMENTARY INFORMATION: Purpose of the Board: The purpose of the Board is to make recommendations to DOE–EM and site management in the areas of environmental restoration, waste management, and related activities. SUMMARY: Tentative Agenda • Call to Order • Welcome and Introductions E:\FR\FM\26FEN1.SGM 26FEN1

Agencies

[Federal Register Volume 85, Number 38 (Wednesday, February 26, 2020)]
[Notices]
[Pages 11059-11063]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-03812]


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DEPARTMENT OF EDUCATION


Notice of Investigation and Record Requests

AGENCY: Office of the General Counsel, Department of Education.

ACTION: Notice.

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SUMMARY: The Department publishes letters, dated February 11, 2020, 
notifying Yale University and Harvard University of investigations 
related to the universities' reports of defined gifts and contracts, 
including restricted and conditional gifts or contracts, from or with a 
statutorily defined foreign source.

FOR FURTHER INFORMATION CONTACT: Patrick Shaheen, U.S. Department of 
Education, Office of the General Counsel, 400 Maryland Avenue SW, room 
6E300, Washington, DC 20202. Telephone: (202) 453-6339. Email: 
[email protected].
    If you use a telecommunications device for the deaf (TDD) or a text 
telephone (TTY), call the Federal Relay Service, toll free, at 1-800-
877-8339.

SUPPLEMENTARY INFORMATION: The Department publishes these letters, 
dated February 11, 2020, notifying Yale University and Harvard 
University of investigations related to the universities' reports of 
defined gifts and contracts, including restricted and conditional gifts 
or contracts, from or with a statutorily defined foreign source. The 
letter to Yale University is in Appendix A of this notice. The letter 
to Harvard University is in Appendix B of this notice.
    Accessible Format: Individuals with disabilities can obtain this 
document in an accessible format (e.g., Braille, large print, 
audiotape, or compact disc) on request to the person listed under FOR 
FURTHER INFORMATION CONTACT.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. You may 
access the official edition of the Federal Register and the Code of 
Federal Regulations at www.govinfo.gov. At this site you can view this 
document, as well as all other documents of this Department published 
in the Federal Register, in text or Portable Document Format (PDF). To 
use PDF you must have Adobe Acrobat Reader, which is available free at 
the site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

Reed D. Rubinstein,
Principal Deputy General Counsel Delegated the Authority and Duties of 
the General Counsel.

Appendix A--Letter to Yale University

February 11, 2020
Dr. Peter Salovey, President, Yale University, 3 Prospect Street, 
New Haven, CT 06511

Re: Notice of 20 U.S.C. 1011f Investigation and Record Request/Yale 
University

Dear President Salovey:

    Section 117 of the Higher Education Act of 1965, 20 U.S.C. 
1011f, requires Yale University to report statutorily defined gifts, 
contracts, and/or restricted and conditional gifts or contracts from 
or with a statutorily defined foreign source, to the U.S. Department 
of Education. These reports are posted at https://studentaid.ed.gov/sa/about/data-center/school/foreign-gifts.
    It appears Yale University failed to report a single foreign 
source gift or contract in 2014, 2015, 2016, and 2017. However, Yale 
University says it ``has a considerable presence abroad, represented 
by sites in dozens of cities and countries . . . [some] operated by 
Yale or a closely affiliated entity'', claims ``considerable 
success'' in setting up ``jointly run laboratories with Chinese 
universities . . . funded by Chinese granting agencies . . .'', and 
has solicited and received directed foreign contributions advancing 
specific religious and ideological priorities. See https://world.yale.edu/sites/default/files/files/International_Affairs_Report_Final.pdf; see also https://web.archive.org/web/20180321012214/http://www.thenation.com/article/why-are-us-colleges-collaborating-with-saudi-arabia/.
    Section 117(f), 20 U.S.C. 1011f(f), provides that whenever it 
appears an institution has failed to comply with the law, the 
Secretary of Education may request the Attorney General commence an 
enforcement action to compel compliance and to recover the full 
costs to the United States of obtaining compliance, including all 
associated costs of investigation and enforcement. The Department is 
now concerned Yale University's reporting may not fully capture all 
gifts, contracts, and/or restricted and conditional gifts or 
contracts from or with all foreign sources. To meet our statutory 
duty to verify compliance prior to any potential referral for 
enforcement action, the Department has opened an administrative 
investigation of Yale University and requests that you produce the 
following within sixty days:

1. A list of all foreign sites ``operated by Yale or a closely 
affiliated entity'' as described at https://world.yale.edu/sites/

[[Page 11060]]

default/files/files/International_Affairs_Report_Final.pdf. For each 
such foreign site, please: (a) Specify the location; (b) specify the 
operating ``entity'' (e.g., the name of the ``closely affiliated 
entity'') and describe in detail its financial and legal 
relationship with ``Yale''; (c) report the ``foreign site's'' annual 
budget; (d) list the name and address of every non-tuition revenue 
source in excess of $250,000 to each such ``foreign site'' during 
each relevant calendar year; (e) produce true copies of all gifts, 
contracts, and/or restricted or conditional gifts or contracts 
relevant to each such foreign site during each relevant calendar 
year; and (f) for each such foreign site, produce all records of, 
regarding, referencing, or relating to (i) governance, accounting, 
auditing, and reporting standards, (ii) Section 117 compliance, and 
(iii) conditions on curriculum and/or academic freedom. The time 
frame for this request is August 1, 2013 to the present.
2. Please (a) list all gifts, contracts, and/or restricted or 
conditional gifts or contracts from or with a foreign source to or 
for the substantial benefit of the Paul Tsai China Center at Yale 
Law School, the Jackson Institute for Global Affairs a/k/a the Yale 
Jackson School of Global Affairs, and the ``Kerry Initiative''; (b) 
provide the name and address of the foreign source for each such 
gift, contract, and/or restricted or conditional gift or contract; 
and (c) produce a true copy thereof. The time frame for this request 
is August 1, 2013 to the present.
3. All records of, regarding, or referencing gifts, contracts, and/
or restricted or conditional gifts or contracts from or with a 
foreign source to the Institution. This includes, but is not limited 
to, true copies of pledge, donation, contribution, and/or contracts 
and agreements. The time frame for this request is August 1, 2013 to 
the present.
4. A list of all gifts, contracts, and/or restricted or conditional 
gifts or contracts from or with a foreign source that were not 
contemporaneously reported to the U.S. Department of Education by 
the Institution between August 1, 2013 and August 1, 2019. For each 
such gift, contract, and/or restricted or conditional gift or 
contract, please (a) list the name and address of the foreign 
source; (b) explain in a detailed narrative why the Institution 
failed to report such gift, contract, and/or restricted or 
conditional gift or contract; and (c) produce a true copy thereof.
5. All records of, regarding, or referencing gifts, contracts, and/
or restricted or conditional gifts or contracts from or with: (i) 
The government of Saudi Arabia, Saudi nationals, and their agents; 
(ii) the government of People's Republic of China, the Central 
Committee of the CPC, Huawei Technologies Co. Ltd., Huawei 
Technologies USA, Inc., ZTE Corp, Yenching Academy, Yale-NUS 
College, the National University of Singapore, and their agents; and 
(iii) the government of Qatar, the Qatar Foundation for Education, 
Science and Community Development aka the Qatar Foundation aka the 
Qatar National Research Fund, Qatari nationals, and their agents. 
The time frame for this request is June 1, 2014, to the present.
6. All records of, regarding or referencing: (i) The ``Thousand 
Talents Program'' and/or its agents; (ii) ``Hanban'' or the Office 
of Chinese Language Council International and/or its agents; and 
(iii) any university, school, or other education or research entity 
domiciled in or organized under the laws of China, Qatar, Russia, 
Saudi Arabia, and/or their agents. The time frame for this request 
is January 1, 2012 to the present.
7. A list of each program, activity, and/or person at the 
Institution (e.g., an Islamic law program, a Confucius Institute, a 
research scientist funded in whole or substantial part by a foreign 
corporation, a foreign graduate student studying physics under a 
scholarship or other contractual arrangement with a foreign 
government, a fellow in a cultural studies program created by 
endowment or other gift by a foreign national) that is in whole or 
in substantial part directly funded or supported by and/or employed 
due to a gift, contract, and/or restricted or conditional gift or 
contract with or from a foreign source. The relevant foreign source, 
dates of support or benefit, and amount of support or benefit should 
be specified for each listed program, activity, and/or person. The 
time frame for this request is August 1, 2013 to the present.
8. All records of, regarding, or referencing conditions imposed or 
influence on any of the Institution's curriculum, programs, or 
activities by any foreign source of a gift, contract, and/or 
restricted or conditional gift or contract. The time frame for this 
request is August 1, 2013 to the present.
9. A detailed narrative explaining, and all records of, regarding, 
or referencing, the Institution's actions taken and/or the 
institutional controls established to determine and/or verify: (a) 
Whether and how the Institution determines a given person is a 
foreign source under each of 20 U.S.C. 1011f(h)(2)'s four enumerated 
categories; and (b) whether and how the Institution complies with 
Executive Order 13224 with respect to every gift, contract, and/or 
restricted or conditional gift or contract that it solicits, 
receives, or signs. The time frame for this request is August 1, 
2013 to the present.
10. A list of all gifts, contracts, and/or restricted or conditional 
gifts or contracts from or with a person who is a ``foreign source'' 
as defined at 20 U.S.C. 1011f(h)(2)(D). For each such gift, 
contract, and/or restricted or conditional gift or contract please: 
(a) List the name and address of the 20 U.S.C. 1011f(h)(2)(D) 
foreign source; (b) list the name and address of the foreign 
source's principal; and (c) provide true copies thereof. The time 
frame for this request is August 1, 2013 to the present.
11. All records of, regarding, or referencing the Institution's 
audit and accounting practices and/or other institutional controls 
used to: (a) Capture, track, report, and verify gifts, contracts, 
and/or restricted or conditional gifts or contracts from or with a 
foreign source; and (b) ensure (i) substantial compliance with the 
Single Audit Act, OMB Circular A-133, and 34 CFR 75.730 with respect 
to foreign funds, foreign campuses, and other covered foreign 
facilities and (ii) that all financial records are kept in a manner 
facilitating an effective audit. The time frame for this request is 
August 1, 2013 to the present.
12. The name and address of each person responsible for the 
Institution's 20 U.S.C. 1011f reporting and compliance. The time 
frame for this request is August 1, 2013 to the present.
13. All records of, regarding, or referencing the Institution's 
compliance obligations or duties with and/or under 20 U.S.C. 
1011f(a), (b), (c), and (e). The time frame for this request is 
August 1, 2013 to the present.
14. All records of, regarding, or referencing the Institution's 
solicitation of gifts, contracts, and/or restricted or conditional 
gifts or contracts with or from a foreign source. The time frame for 
this request is January 1, 2015 to the present.
15. All records of, regarding, or referencing communications between 
the Institution and a foreign source listed as or resident or 
domiciled in a nation requiring cooperation with an international 
boycott under 26 U.S.C. 999(a)(3), or that is an agent thereof. For 
each gift, contract, and/or restricted or conditional gift or 
contract from or with such a foreign source please: (a) List the 
name and address of the foreign source; (b) identify the subsection 
of 20 U.S.C. 1011f(h)(2) applicable to such foreign source; and (c) 
produce true copies thereof. The time frame for this request is 
August 1, 2013, to the present.
16. All IRS Form 990s and schedules, including Schedules F and R, 
for tax years 2014, 2015, 2016, 2017, and 2018.
17. A verified statement by a duly authorized Yale University 
official: (a) Affirming that the Institution solicits and accepts 
gifts from, contracts with, and/or comingles or intermingles funds 
from foreign sources with funds from domestic sources, only in 
material compliance with all applicable federal laws, regulations, 
and executive orders and generally accepted and applicable 
accounting standards; (b) affirming that for the calendar years 
2013, 2014, 2015, 2016, 2017, 2018, and 2019 (each a ``reporting 
year'') the Institution's Section 117 reports were accurate, 
complete and timely filed; (c) describing for each reporting year 
the specific accounting and institutional controls in place to 
ensure all statutorily-defined foreign source gifts, contracts, and/
or restricted or conditional gifts or contracts were (i) 
appropriately kept separate and auditable, and (ii) recognized, 
tracked, controlled and accounted for in the

[[Page 11061]]

Institution's Section 117 reports and federally-required audits; (d) 
affirming (i) that the Institution has materially complied with the 
Single Audit Act, OMB Circular A-133, and 34 CFR 75.730 with respect 
to foreign funds, foreign campuses, and other covered foreign 
facilities for each reporting year, and (ii) that all relevant 
financial records are kept in a manner facilitating an effective 
audit and that foreign funds are not intermingled or comingled with 
domestic funds; and (e) describing the records reviewed and 
individuals consulted in preparing the requested statement. If the 
Institution is unable to make the affirmation requested in subparts 
(a), (b), or (d) above, then please provide, in detailed narrative 
form, an explanation for such failure.

    As used in this Notice of Investigation and Information Request:

``Agent'' has its plain and ordinary meaning and includes, solely by 
way of example and not limitation, the U.S.-domiciled donor advised 
funds and foundations of a foreign source.
``Contract'' has the meaning given at 20 U.S.C. 1011f(h)(1).
``Foreign source'' has the meaning given at 20 U.S.C. 1011f(h)(2).
``Gift'' has the meaning given at 20 U.S.C. 1011f(h)(3).
``Institution'' has the meaning given at 20 U.S.C. 1011f(h)(4) and 
includes all campuses. Section 117 requires that when an institution 
receives the benefit of a gift from or a contract with a foreign 
source in the applicable amount, even if by an agent (e.g., 
employee) and through an intermediary (e.g., non-profit 
organization), it must disclose the gift or contract to the 
Department. Where a legal entity (e.g., centers, boards, 
foundations, research groups, partnerships, or non-profit 
organizations, whether or not organized under the laws of the United 
States and including, by way of example and not limitation, the 
Yale-NUS College, the Yale-China Association, the China-Yale 
Advanced University Leadership Program, the Yale Asia Development 
Council, the Yale Center Beijing, and the Paul Mellon Centre in 
London, England) operates substantially for the benefit or under the 
auspices of an institution, there is a rebuttable presumption that 
when that legal entity receives money or enters into a contract with 
a foreign source, it is for the benefit of the institution, and, 
thus, must be disclosed.
``Record'' means all recorded information, regardless of form or 
characteristics, made or received by you, and including metadata, 
such as email and other electronic communication, word processing 
documents, PDF documents, animations (including 
PowerPointTM and other similar programs) spreadsheets, 
databases, calendars, telephone logs, contact manager information, 
internet usage files, network access information, writings, 
drawings, graphs, charts, photographs, sound recordings, images, 
financial statements, checks, wire transfers, accounts, ledgers, 
facsimiles, texts, animations, voicemail files, data generated by 
calendaring, task management and personal information management 
(PIM) software (such as Microsoft Outlook), data created with the 
use of personal data assistants (PDAs), data created with the use of 
document management software, data created with the use of paper and 
electronic mail logging and routing software, and other data or data 
compilations, stored in any medium from which information can be 
obtained either directly or, if necessary, after translation by the 
responding party into a reasonably usable form. The term ``recorded 
information'' also includes all traditional forms of records, 
regardless of physical form or characteristics.
``Restricted or conditional gift or contract'' has the meaning given 
at 20 U.S.C. 1011f(h)(5).

    Your record and data preservation obligations are more 
particularly described at Exhibit A. If you claim attorney-client or 
attorney-work product privilege for a given record, then you must 
prepare and submit a privilege log expressly identifying each such 
record and describing it so the Department may assess your claim's 
validity. Please note no other privileges apply here. Finally, this 
investigation will be directed by the Department's Office of the 
General Counsel with support from Federal Student Aid. To arrange 
transmission of the requested information, or should you have any 
other questions, please contact:

Patrick Shaheen, Office of the General Counsel, U.S. Department of 
Education, 400 Maryland Ave. SW, Room 6E300, Washington, DC 20202, 
[email protected].

Sincerely,
Reed D. Rubinstein,
Principal Deputy General Counsel delegated the Authority and Duties 
of the General Counsel

Appendix B--Letter to Harvard University

February 11, 2020
Lawrence S. Bacow, President,
Harvard University,
Massachusetts Hall,
Cambridge, MA 02138.

Re: Notice of 20 U.S.C. 1011f Investigation and Record Request/
Harvard University

Dear President Bacow:

    Section 117 of the Higher Education Act of 1965, 20 U.S.C. 
1011f, requires institutions including Harvard University to report 
all gifts, contracts and/or restricted and conditional gifts or 
contracts from or with a foreign source to the U.S. Department of 
Education, and to make those reports available to the public. These 
reports are posted at https://studentaid.ed.gov/sa/about/data-center/school/foreign-gifts.
    Section 117(f), 20 U.S.C. 1011f(f), provides that whenever it 
appears an institution has failed to comply with the law, the 
Secretary of Education may request the Attorney General commence an 
enforcement action to compel compliance and to recover the full 
costs to the United States of obtaining compliance, including all 
associated costs of investigation and enforcement. The Department is 
aware of information suggesting Harvard University lacks appropriate 
institutional controls and, as a result, its statutory Section 117 
reporting may not include and/or fully capture all reportable gifts, 
contracts, and/or restricted and conditional gifts or contracts from 
or with foreign sources. See, e.g., https://www.justice.gov/usao-ma/pr/harvard-university-professor-and-two-chinese-nationals-charged-three-separate-china; see also https://www.harvard.edu/president/news/2019/message-to-community-regarding-jeffrey-epstein. To obtain 
the information required to meet our statutory enforcement duty, the 
Department has opened an administrative investigation of Harvard and 
now requests that your institution produce the following within 
sixty days:

18. All records of, regarding, or referencing gifts, contracts, and/
or restricted or conditional gifts or contracts from or with a 
foreign source. For each such gift, contract, and/or restricted or 
conditional gift or contract, please: (a) List the name and address 
of the foreign source; (b) identify the subsection of 20 U.S.C. 
1011f(h)(2) applicable to such foreign source; and (c) produce true 
copies thereof. The time frame for this request is August 1, 2013 to 
the present.
19. All records of, regarding, or referencing gifts, contracts, and/
or restricted or conditional gifts or contracts from or with (i) the 
government of the People's Republic of China, Huawei Technologies 
Co. Ltd., Huawei Technologies USA, Inc., ZTE Corp, and their 
respective agents; (ii) the government of Qatar, the Qatar 
Foundation for Education, Science and Community Development aka the 
Qatar Foundation aka the Qatar National Research Fund, Qatari 
nationals, and their respective agents; (iii) the government of 
Russia, the Skolkovo Foundation, Kaspersky Lab and Kaspersky Lab US, 
Russian nationals, and their respective agents; (iv) the government 
of Saudi Arabia, Saudi nationals, and their respective agents; and 
(v) the government of the Islamic Republic of Iran, the Alavi 
Foundation, Iranian nationals, and their agents. For each such gift, 
contract, and/or restricted or conditional gift or contract, please: 
(a) List the name and address of the foreign source; (b) identify 
the subsection of 20 U.S.C. 1011f(h)(2) applicable to such foreign 
source; and (c) produce true copies thereof. The time frame for this 
request is August 1, 2013 to the present.
20. All records regarding or referencing: (i) The ``Thousand Talents 
Program'' and/or its agents; (ii) ``Hanban'' or the Office of 
Chinese Language Council International and/or its agents; (iii) 
Wuhan University of Technology and/or its agents; (iv) the ``Wuhan 
University of Technology-Harvard Joint Nano Key Laboratory'' and/or 
its agents; and (v) any university, school, or other education or 
research entity domiciled in or organized under the laws of China, 
Qatar, or Russia and/or their agents. The time frame for this 
request is January 1, 2012 to the present.

[[Page 11062]]

21. All records of, regarding, or referencing conditions imposed or 
influence on any of the Institution's curriculum, programs, or 
activities by any foreign source. The time frame for this request is 
August 1, 2013 to the present.
22. All records of, regarding, or referencing the Institution's 
solicitation of gifts, contracts, and/or restricted or conditional 
gifts or contracts with or from a foreign source. The time frame for 
this request is August 1, 2013 to the present.
23. The name and address of each person responsible for the 
Institution's 20 U.S.C. 1011f reporting and compliance. The time 
frame for this request is August 1, 2013 to the present.
24. All records of, regarding, or referencing the Institution's 
compliance obligations or duties with and/or under 20 U.S.C. 1011f. 
The time frame for this request is August 1, 2013 to the present.
25. A detailed narrative explaining, and all records of, regarding, 
or referencing, the Institution's actions taken and/or the 
institutional controls established to determine and/or verify: (a) 
Whether and how the Institution determines a given person is a 
foreign source under each of 20 U.S.C. 1011f(h)(2)'s four enumerated 
categories; and (b) whether and how the Institution complies with 
Executive Order 13224 with respect to every gift, contract, and/or 
restricted or conditional gift or contract that it solicits, 
receives, or signs. The time frame for this request is August 1, 
2013 to the present.
26. A list of all gifts, contracts, and/or restricted or conditional 
gifts or contracts from or with a person who is a ``foreign source'' 
as defined at 20 U.S.C. 1011f(h)(2)(D). For each such gift, 
contract, and/or restricted or conditional gift or contract please: 
(a) List the name and address of the 20 U.S.C. 1011f(h)(2)(D) 
foreign source; (b) list the name and address of the foreign 
source's principal; and (c) provide true copies thereof. The time 
frame for this request is August 1, 2013 to the present.
27. All records of, regarding, or referencing communications between 
the Institution and a foreign source listed as or resident or 
domiciled in a nation requiring cooperation with an international 
boycott under 26 U.S.C. 999(a)(3), or that is an agent thereof. For 
each gift, contract, and/or restricted or conditional gift or 
contract from or with such a foreign source please: (a) List the 
name and address of the foreign source; (b) identify the subsection 
of 20 U.S.C. 1011f(h)(2) applicable to such foreign source; and (c) 
produce true copies thereof. The time frame for this request is 
August 1, 2013, to the present.
28. A list of each program, activity, and/or employee, faculty 
member, or student directly funded or supported by a gift, contract, 
and/or restricted or conditional gift or contract with or from a 
foreign source to the Institution. The relevant foreign source, 
dates of funding or support, and amount and/or nature of support or 
benefit should be specified for each listed program, activity, and/
or person. The time frame for this request is August 1, 2013 to the 
present.
29. All records of, regarding, or referencing the Institution's 
audit and accounting practices and/or other institutional controls 
used to: (a) Capture, track, report, and verify gifts, contracts, 
and/or restricted or conditional gifts or contracts from or with a 
foreign source; and/or (b) ensure (i) that there is substantial 
compliance with the Single Audit Act, OMB Circular A-133, and 34 CFR 
75.730 with respect to foreign funds, foreign campuses, and other 
covered foreign facilities, and (ii) that all financial records are 
kept in a manner facilitating an effective audit. The time frame for 
this request is August 1, 2013 to the present.
30. All IRS Form 990s and schedules, including Schedules F and R, 
for tax years 2014, 2015, 2016, 2017, and 2018.
31. A verified statement by a duly authorized Harvard University 
official: (a) Affirming that the Institution solicits and accepts 
gifts from, contracts with, and/or comingles or intermingles funds 
from foreign sources with funds from domestic sources, only in 
material compliance with all applicable federal laws, regulations, 
and executive orders and generally accepted and applicable 
accounting standards; (b) affirming that for the calendar years 
2013, 2014, 2015, 2016, 2017, 2018, and 2019 (each a ``reporting 
year'') the Institution's Section 117 reports were accurate, 
complete and timely filed; (c) describing for each reporting year 
the specific accounting and institutional controls in place to 
ensure all gifts, contracts, and/or restricted or conditional gifts 
or contracts from or with a foreign source were (i) appropriately 
kept separate and auditable, and (ii) recognized, tracked, 
controlled, and accounted for in the Institution's Section 117 
reports and federally-required audits; (d) affirming (i) that the 
Institution has materially complied with the Single Audit Act, OMB 
Circular A-133, and 34 CFR 75.730 with respect to foreign funds, 
foreign campuses, and other covered facilities for each reporting 
year, and (ii) that all relevant financial records are kept in a 
manner facilitating an effective audit and that foreign funds are 
not intermingled or comingled with domestic funds; and (e) 
describing the records reviewed and individuals consulted in 
preparing the requested statement. If the Institution is unable to 
make the affirmation requested in subparts (a), (b), or (d) above, 
then please provide, in detailed narrative form, an explanation for 
such failure.

    As used in this Notice of Investigation and Information Request:

``Agent'' has its ordinary meaning and includes, solely by way of 
example and not limitation, the U.S.-domiciled donor advised funds 
and foundations of a foreign source.
``Contract'' has the meaning given at 20 U.S.C. 1011f(h)(1).
``Foreign source'' has the meaning given at 20 U.S.C. 1011f(h)(2).
``Gift'' has the meaning given at 20 U.S.C. 1011f(h)(3).
``Institution'' has the meaning given at 20 U.S.C. 1011f(h)(4) and 
includes all campuses. Section 117 requires that when an institution 
receives the benefit of a gift from or a contract with a foreign 
source in the applicable amount, even if by an agent (e.g., 
employee) and through an intermediary (e.g., non-profit 
organization), it must disclose the gift or contract to the 
Department. Where a legal entity (e.g., centers, boards, 
foundations, research groups, partnerships, or non-profit 
organizations, whether or not organized under the laws of the United 
States and including, by way of example and not limitation, the 
``Harvard Management Company'', ``Harvard China Fund'', the 
``Harvard Center Shanghai'', the ``Lieber Research Group at 
Harvard'', the ``Harvard Foundation for Intercultural and Race 
Relations'', and the ``Harvard Kennedy School of Government'') 
operates substantially for the benefit or under the auspices of an 
institution, there is a rebuttable presumption that when that legal 
entity receives money or enters into a contract with a foreign 
source, it is for the benefit of the institution, and, thus, must be 
disclosed.
``Record'' means all recorded information, regardless of form or 
characteristics, made or received by you, and including metadata, 
such as email and other electronic communication, word processing 
documents, PDF documents, animations (including 
PowerPointTM and other similar programs) spreadsheets, 
databases, calendars, telephone logs, contact manager information, 
internet usage files, network access information, writings, 
drawings, graphs, charts, photographs, sound recordings, images, 
financial statements, checks, wire transfers, accounts, ledgers, 
facsimiles, texts, animations, voicemail files, data generated by 
calendaring, task management and personal information management 
(PIM) software (such as Microsoft Outlook), data created with the 
use of personal data assistants (PDAs), data created with the use of 
document management software, data created with the use of paper and 
electronic mail logging and routing software, and other data or data 
compilations, stored in any medium from which information can be 
obtained either directly or, if necessary, after translation by the 
responding party into a reasonably usable form. The term ``recorded 
information'' also includes all traditional forms of records, 
regardless of physical form or characteristics.
``Restricted or conditional gift or contract'' has the meaning given 
at 20 U.S.C. 1011f(h)(5).
    Your record and data preservation obligations are more 
particularly described at Exhibit A. If you claim attorney-client or 
attorney-work product privilege for a given record, then you must 
prepare and submit a privilege log expressly identifying each such 
record and describing it so the Department may assess your claim's 
validity. Please note no other privileges apply here. Finally, this

[[Page 11063]]

investigation will be directed by the Department's Office of the 
General Counsel with support from Federal Student Aid. To arrange 
transmission of the requested information, or should you have any 
other questions, please contact:

Patrick Shaheen, Office of the General Counsel, U.S. Department of 
Education, 400 Maryland Ave. SW, Room 6E300, Washington, DC 20202, 
[email protected].

Sincerely,
Reed D. Rubinstein,
Principal Deputy General Counsel delegated the Authority and Duties 
of the General Counsel.
[FR Doc. 2020-03812 Filed 2-25-20; 8:45 am]
BILLING CODE 4000-01-P