[Federal Register Volume 84, Number 139 (Friday, July 19, 2019)]
[Notices]
[Pages 34878-34881]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-15425]


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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 July 3, 2019, 
notifying Cornell University and Rutgers 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 Ave. 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 letters, dated July 
3, 2019, notifying Cornell University and Rutgers 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 
Cornell University is in Appendix A of this notice. The letter to 
Rutgers 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.
    Program Authority: 20 U.S.C. 1011f.

Reed D. Rubinstein,
Acting General Counsel.

Appendix A--Letter to Cornell University

Martha E. Pollack, President
300 Day Hall
Cornell University
Ithaca, NY 14853

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

Dear President:

    Section 117 of the Higher Education Act of 1965, 20 U.S.C. Sec.  
1011f, requires certain institutions, including Cornell University, to 
report statutorily defined gifts and contracts, including 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.
    The Department believes Cornell 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 all of Cornell 
University's campuses and/or affiliated foundations and non-profit 
organizations--whether or not organized under the laws of the United 
States--that operate substantially for the benefit for or under the 
auspices of Cornell University (e.g., the Cornell University Foundation 
and the Cornell University Foundation (UK), Ltd.).
    Section 117(f), 20 U.S.C. Sec.  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. To meet our statutory duty, the 
Department has opened an administrative investigation of your

[[Page 34879]]

institution and requests production of these records within thirty 
days:

1. All records of gifts, contracts, and/or restricted or conditional 
gifts or contracts from or with a foreign source. The time frame for 
this request is January 1, 2014, to the present.
2. All records of, regarding, or referencing gifts, contracts, and/or 
restricted or conditional gifts or contracts from or with (a) the 
government of the People's Republic of China, its agencies, and agents, 
including but not limited to those persons known as Huawei Technologies 
Co. Ltd., Huawei Technologies USA, Inc., and ZTE Corp, their employees, 
subsidiaries, agents, and affiliates; and (b) the government of Qatar, 
its agencies, and agents, including but not limited to the Qatar 
Foundation for Education, Science and Community Development aka Qatar 
Foundation aka Qatar National Research Fund. The time frame for this 
request is January 1, 2012, to the present.
3. All records of, regarding, or referencing gifts, contracts, or 
restricted or conditional gifts or contracts from or with a foreign 
source to, with, or for the benefit of the Cornell Laboratory for 
Accelerator-Based Sciences and Education. The time frame for this 
request is January 1, 2010 to the present.
4. All records of, regarding, or referencing activities taken by 
Cornell University to comply with 20 U.S.C. Sec. Sec.  1011f(a), (b), 
(c), and (e). The time frame for this request is January 1, 2014, to 
the present.
5. All records of, regarding, or referencing activities taken by or 
required of Cornell University to confirm each foreign source of a 
gift, contract, and/or restricted or conditional gift or contract (a) 
does not engage in, or provide material support to any person who 
engages in, activities prohibited by 18 U.S.C. Sec. Sec.  2339, 2339A, 
2339B, 2339C, and 2339D; and (b)(i) is not owned or controlled by, (ii) 
does not act for or on behalf of, assist, sponsor, or provide 
financial, material, or technological support or other services to, or 
in support of, and (iii) is not otherwise associated with, any person 
who is a ``Specially Designated Global Terrorist'' under Executive 
Order 13224. The time frame for this request is January 1, 2010, to the 
present.
6. All IRS Form 990s and schedules, including Schedules F and R, for 
tax years 2014, 2015, 2016, 2017, and 2018, for Cornell University, the 
Cornell University Foundation, and the Cornell University Foundation 
(UK), Ltd.

    As used in this Notice of Investigation and Information Request:

``Agent'' means any person, including a subsidiary or affiliate of a 
foreign or domestic legal entity, who acts for or in place of another.
``Contract'' has the meaning given at 20 U.S.C. Sec.  1011f(h)(1).
``Foreign source'' has the meaning given at 20 U.S.C. Sec.  
1011f(h)(2).
``Gift'' has the meaning given at 20 U.S.C. Sec.  1011f(h)(3).
``Institution'' has the meaning given at 20 U.S.C. Sec.  1011f(h)(4) 
and includes all affiliated foundations and non-profit organizations 
that operate substantially for the benefit or under the auspices of 
Cornell University, such as the Cornell University Foundation and the 
Cornell University Foundation (UK) Ltd.
``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. Sec.  1011f(h)(5).

    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. Your record and data preservation obligations 
are outlined at Exhibit A.
    This investigation will be directed by the Department's Office of 
General Counsel with support from Federal Student Aid. Your legal 
counsel should contact:

Reed D. Rubinstein, Acting General Counsel
U.S. Department of Education
400 Maryland Ave., S.W., Room 6E300
Washington, D.C. 20202
[email protected]

Sincerely,

Mitchell M. Zais, Ph.D.

Appendix B--Letter to Rutgers University

Robert L. Barchi, President,
Rutgers, The State University of New Jersey,
Winants Hall,
7 College Avenue, 2nd Floor,
New Brunswick, NJ 08901

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

Dear President:

    Section 117 of the Higher Education Act of 1965, 20 U.S.C. Sec.  
1011f, requires certain institutions, including Rutgers, The State 
University of New Jersey (``Rutgers University''), to report 
statutorily defined gifts and contracts, including 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.
    The Department believes Rutgers 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 all of Rutgers 
University's campuses and affiliated foundations and non-profit 
organizations--whether or not organized under the laws of the United 
States--that operate substantially for the benefit for or under the 
auspices of Rutgers University (e.g., the Rutgers University 
Foundation).
    Section 117(f), 20 U.S.C. Sec.  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

[[Page 34880]]

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. To meet our 
statutory duty, the Department has opened an administrative 
investigation of your institution and requests production of these 
records within thirty days:
1. All records of gifts, contracts, and/or restricted or conditional 
gifts or contracts from or with a foreign source. The time frame for 
this request is January 1, 2014, to the present.
2. All records of, regarding, or referencing gifts, contracts, and/or 
restricted or conditional gifts or contracts from or with (a) the 
government of the People's Republic of China, its agencies, and agents, 
including but not limited to those persons known as Huawei Technologies 
Co. Ltd., Huawei Technologies USA, Inc., and ZTE Corp, their employees, 
subsidiaries, agents, and affiliates; (b) the government of Qatar, its 
agencies, and agents, including but not limited to those persons known 
as the Qatar Foundation for Education, Science and Community 
Development aka the Qatar Foundation aka the Qatar National Research 
Fund; and (c) the government of Russia, its agencies, and agents, 
including but not limited to Kaspersky Lab and Kaspersky Lab US, its 
agents, and affiliates. The time frame for this request is January 1, 
2012, to the present.
3. All records of, regarding, or referencing communications between 
Prof. John V. Pavlik and the government of Qatar, its agents, 
subsidiaries, and affiliates, including but not limited to the Qatar 
National Research Fund. The time frame for this request is January 1, 
2010, to the present.
4. All records of, regarding, or referencing ``Hanban'' or the Office 
of Chinese Language Council International. The time frame for this 
request is January 1, 2014 to the present.
5. All records of, regarding, or referencing gifts, contracts, and/or 
restricted or conditional gifts or contracts from or with the Confucius 
Institute (including the Confucius Institute of Rutgers University), 
its agents, employees, affiliates, or subsidiaries. The time frame for 
this request is January 1, 2010 to the present.
6. All gifts, contracts, or restricted or conditional gifts or 
contracts (e.g., ``General Cooperation Agreements'', ``Abbreviated 
General Cooperation Agreements'', ``To establish the Joint Research 
Laboratory for Advanced Electronic Materials and Sensors'', ``Double 
Degree Programs'', ``Research Collaboration'', and ``Other'') from or 
with entities identified as ``Partner Institutions'' at https://internationalpartnerships.gaiacenters.rutgers.edu/ and located in 
China, Pakistan, Qatar, Russia, or Saudi Arabia. The time frame for 
this request is January 1, 2014, to the present.
7. All records of, regarding, or referencing activities taken by 
Rutgers University to comply with 20 U.S.C. Sec. Sec.  1011f(a), (b), 
(c), and (e). The time frame for this request is January 1, 2014, to 
the present.
8. All records of, regarding, or referencing activities taken by 
Rutgers University to confirm each foreign source of a gift, contract, 
and/or restricted or conditional gift or contract (a) does not engage 
in, or provide material support to any person who engages in, 
activities prohibited by 18 U.S.C. Sec. Sec.  2339, 2339A, 2339B, 
2339C, and 2339D; and (b)(i) is not owned or controlled by, (ii) does 
not act for or on behalf of, assist, sponsor, or provide financial, 
material, or technological support or other services to, or in support 
of, and (iii) is not otherwise associated with, any person who is a 
``Specially Designated Global Terrorist'' under Executive Order 13224. 
The time frame for this request is January 1, 2010, to the present.
9. All IRS Form 990s and schedules, including Schedules F and R, for 
tax years 2014, 2015, 2016, 2017, and 2018, for Rutgers University and 
the Rutgers University Foundation.

    As used in this Notice of Investigation and Information Request:

``Agent'' means any person, including a subsidiary or affiliate of a 
foreign or domestic legal entity, who acts for or in place of another.
``Contract'' has the meaning given at 20 U.S.C. Sec.  1011f(h)(1).
``Foreign source'' has the meaning given at 20 U.S.C. Sec.  
1011f(h)(2).
``Gift'' has the meaning given at 20 U.S.C. Sec.  1011f(h)(3).
``Institution'' has the meaning given at 20 U.S.C. Sec.  1011f(h)(4) 
and includes all affiliated foundations and non-profit organizations 
that operate substantially for the benefit or under the auspices of 
Rutgers University, such as the Rutgers University Foundation.
``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 PowerPoint\TM\ 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. Sec.  1011f(h)(5).

    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.
    Your record and data preservation obligations are outlined at 
Exhibit A.
    This investigation will be directed by the Department's Office of 
General Counsel with support from Federal Student Aid. Your legal 
counsel should contact:

Reed D. Rubinstein, Acting General Counsel
U.S. Department of Education
400 Maryland Ave., S.W., Room 6E300
Washington, DC 20202
[email protected].

Sincerely,


[[Page 34881]]


Mitchell M. Zais, Ph.D.

[FR Doc. 2019-15425 Filed 7-18-19; 8:45 am]
BILLING CODE 4000-01-P