[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