Notice of Investigation and Record Requests, 11059-11063 [2020-03812]
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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.
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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:
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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/https://
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/
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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
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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
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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
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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,
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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
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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.
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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
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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).
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‘‘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
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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 https://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 https://
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
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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
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]]>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]
-----------------------------------------------------------------------
DEPARTMENT OF EDUCATION
Notice of Investigation and Record Requests
AGENCY: Office of the General Counsel, Department of Education.
ACTION: Notice.
-----------------------------------------------------------------------
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/https://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
