百名麻省理工教授聲援華人教授陳剛：美國指控存嚴重缺陷和誤導性
導 讀
近日，麻省理工學院機械工程學院華人教授陳剛在美面臨三項刑事指控，分別為電匯欺詐、未能提交外國銀行和金融賬户報告、向美國政府機構作出虛假陳述，指責其隱瞞與中國的合作關係。
1月14日，陳剛在美被捕，後被保釋。事件發生後，麻省理工學院校長拉斐爾·賴夫（L. Rafael Reif）發文表示 “驚訝、非常沮喪且難以理解”。
《知識分子》從可靠信源處得到一封MIT教授發給校長萊夫（Leo Rafael Reif）的聯名信，表達了教員將與校長一起堅定支持陳剛的信念，針對陳剛的控訴是對正常科研行為和學術自由的詆譭。該聯名信全文翻譯如下：
22日，美國百名麻省理工教授聲援華人教授陳剛，“我們都是陳剛”。特朗普政府最近將其抓捕，面臨最高20年監禁。
親愛的拉斐爾：
作為麻省理工學院（MIT）陳剛教授的同事和朋友，我們對他最近被捕感到沮喪和痛苦[1]。
我們都知道陳剛是一位真正受人愛戴的老師、學者、科學家、導師、同事和世界領先的學術專家，他還是MIT團體的忠實成員和奉獻者。陳剛通過傑出的科學工作、對教育的深遠貢獻以及他的領導力，數十年來一直為MIT做着卓越的貢獻。
他的工作為美國的科學福利和經濟增長以及麻省理工學院的全球科學地位做出了重大貢獻。陳剛在全球做的所有工作都在推動麻省理工學院的使命：“在科學、技術和其他學術領域的增進知識，教育學生，以在21世紀為國家和世界提供最好的服務。”
我們與我們的同事陳剛團結一致，並感謝MIT領導正為陳剛自我辯護所提供的支持[2,3]，我們覺得他理應得到MIT的所有支持和承諾。因此，我們寫信鼓勵您和MIT繼續直率、自豪且堅定地站在陳剛的身後。
藉助可獲得的公開信息[1,2]，我們寫這封信來分享對陳剛受指控一事的關注，及此事對學術界開放和知識自由的影響，這是解決世界面臨的最大挑戰所必不可少的工作要素。令我們感到困擾的是，針對陳剛的控訴詆譭了正常的學術和研究活動，包括促進MIT的全球使命。
我們承認並尊重美國政府在阻止其他任何國家竊取本國知識產權方面的利益。這封信的簽署人是數百項專利的發明者們，我們認識到保護他們所授予的權利是非常重要的事情。我們還認識到，美國政府曾對中國使用非法手段竊取知識產權的行動表達關切[4]。我們堅決支持那些為反對任何其他國家從事此類非法活動而做出的的積極努力。
但在對陳剛的官方訴訟[2]和相關的公開聲明[3]中，有許多令我們感到困惑的內容。對陳剛的刑事起訴與知識產權保護毫無關係。
已發佈的認定存在嚴重缺陷和誤導性。這些指控充其量是美國政府對 MIT 在科研活動或科研資助方面的深深誤解。官方訴訟充斥的指控和影射，實則基於我們職業生活中的一些最常規而無害的習慣性做法。其中的一些常規行為，例如為學生寫推薦信以幫助他們獲得獎學金，亦或是幫助他們獲得有聲望且應得的職業發展，都被描繪成某種協助學生與外部勢力竊取美國技術的共謀。
我們對研究計劃的評估似乎也被以相類似的視角審視。我們沒有在自己的研究計劃書中報告所有這些活動，這一事實被用作指控我們故意進行不正當行為的認定基礎。而事實上，有關這些做法的信息是我們工作中眾所周知的常規要求。在許多方面，針對陳剛的指控是對我們所有人的指控，並且也是對所有重視科學及科學事業的人的冒犯。
雖然目前尚不清楚對美國政府針對陳剛的全部控訴內容，但在已公佈的逮捕陳剛的刑事起訴書中，已經包含了一些具有嚴重缺陷和誤導性的陳述：
指 控
自2013年以來，“陳剛及其研究小組已收到約2900萬美元外國資金，包括來自中國的南方科學大學（SUSTech）的1900萬美元。”
事 實
我們的理解是，陳剛沒有獲得2900萬美元，而MIT是這筆款項的接收者。這筆錢讓研究所和研究項目獲益，而這些項目中教員及其學生也參與眾多。單單將他和他的研究小組列為 “唯一” 接收者是完全錯誤的。與南方科技大學的合作伙伴關係是得到了MIT最高層的認可和監督的。
指控
南方科技大學是中國政府的代理人，因此不是一個合法的合作組織。
事 實
MIT已與南方科技大學建立了正式的中心，並且由MIT任命陳剛為該中心的教務主任。該中心的任務是鼓勵科學和教育交流，而在此使命的支持下，陳剛所做的也正是這些。MIT同中國及其他國家的大學和機構都建立過相似的關係。世界上的大部分重要大學都是公共機構，因此可以合理地描述為屬於該國政府的某個部門。如果美國政府領導者相信這些合作研究關係不當，可以從立法上或使用行政權力解決這些問題。
指控
在申請和彙報一項美國能源部（DOE）的經費時，陳剛隱瞞了與中國的隸屬關係和合作關係，以此犯下了 “電信欺詐”，即一項聯邦重罪。
事 實
陳剛與中國在科學合作及其他的廣泛聯繫早被大量披露和公開記錄，從沒隱瞞過公眾，更不用説資深的DOE經費審查員。在這筆經費被執行之前和期間，陳剛定期地、一貫地且廣泛地將這些科學合作和資助記入他的發表物中，在公共數據庫中可獲取。他的簡歷中包含62條有關中國的參考條目，可在MIT網站上下載。他的發表中標註的國際資助，正是指控中聲稱的 “隱匿” 信息。我們強調，更普遍地説，陳剛參與的廣泛合作絕非秘密。
指控
陳剛推薦學生在中國擔任職務並獲得中國政府資助的獎學金。陳剛曾擔任中國國家科學基金會的評審員，並以此為中國服務。
事 實
推薦學生獲得國際職位和獎項，以及為美國和全世界的科學界評審提案和項目，是我們教師工作的一個重要和常規的部分。如果這項活動被描繪成不正當的、非美國人的或為外國勢力服務的行為，那就是對我們所有人的侮辱。此外，評審科學提案和推薦學生獲得職位和獎項是一項常規活動。對於形式上的疏漏有許多無害的解釋。
指控
“他明知故犯，蓄意騙取（納税人）1900萬美元的聯邦撥款，利用我們的系統來加強中國在納米技術方面的研究。” ——調查員博納沃隆塔（Agent Bonavolonta）
事 實
我們認為，這一寬泛和毫無根據的指控沒有得到任何證實。多年來，陳剛在麻省理工學院的研究部分是由聯邦撥款資助的。陳剛的研究使美國的科學技術、MIT的世界科學地位、全球科學界以及陳剛的許多美國和國際學生受益。數十篇科學出版物表明，陳剛的意圖和對研究支持的使用與麻省理工學院開展傑出基礎科學研究的核心使命是一致的。
這些具有誤導性的言論讓我們對採取極端措施逮捕陳剛的動機產生了疑問，陳剛是一位在MIT履行職責的敬業科學家和教育工作者。雖然刑事調查顯然在一年多前就開始了，但我們發現，值得注意的是，美國檢察官安德魯·萊林（Andrew Lelling）在其任期的最後幾天才開始實施逮捕。
萊林由特朗普總統任命，是司法部 “中國倡議”（China Initiative）指導委員會成員，該委員會率先使用“創新檢察方法”（innovative prosecutorial methods）[5]，針對來自中國或參與過與中國科學交流的學者。該運動的種族主義色彩，在萊林自己最近接受《科學》[6]採訪時的一句話中有所反映：“……不幸的是，我們的很多目標都是中國漢人。如果是法國政府把美國的技術當成目標，我們就會找法國人了。” 近年來，美國聯邦當局開展了大量涉及華裔美國科學家和其他亞裔及亞裔美國後裔科學家的調查，這讓我們更加擔憂。[7]
最後，我們感謝您和MIT對於陳剛教授的支持。我們知道學校正在經濟上支持他，併為他提供辯護所需的信息。我們也瞭解到更多的準備工作正在進行中，以支持陳剛的學生和研究活動。我們已經準備好，以任何必要的方式隨時與您共同協作，以度過這段艱難的時光。
我們也希望MIT能夠承擔起領導的責任，將這一艱難的時刻化為學習的機會，對於陳剛的這些指控將在維護這個國家學術自由的語境中討論。從多個方面來講，為陳剛辯護，就是為我們所珍視的科學事業辯護。我們都是陳剛。
簽名：
約100位MIT教授
Dear Rafael,
As colleagues and friends of MIT Professor Gang Chen, we share our dismay and pain over his recent arrest [1]. We all know Gang as a truly beloved teacher, scholar, scientist, mentor, colleague, and world leading academic. We also know him as a loyal and devoted member of the MIT community. Gang has served MIT with distinction over decades through his extraordinary scientific work, his profound contributions to education, and his leadership. His work has contributed significantly to American scientific welfare and economic growth, and to MIT’s worldwide scientific standing. All his global work has been furthering MIT’s mission “to advance knowledge and educate students in science, technology, and other areas of scholarship that will best serve the nation and the world in the 21st century”.
We are standing in solidarity with our colleague, we wish to express our appreciation for the support that MIT leadership is providing to Gang as he prepares to defend himself [2,3], and we feel that he deserves every support and commitment from MIT. Moreover, we are writing to encourage that you and MIT continue to stand forthrightly, proudly, and energetically behind Gang Chen.
With the information that is publicly available [1,2], we are writing to share our concerns on the allegations against Gang, and its implications for open academia and intellectual freedom, which are essential elements of work towards solving the World’s greatest challenges. We are troubled that the complaint against Gang vilifies what would be considered normal academic and research activities, including promoting MIT’s global mission.
We recognize and respect that the United States government has an interest in keeping any country from stealing intellectual property. The signatories to this letter are inventors of record on hundreds of patents, and we recognize the importance of protecting the rights that theyconfer. We also recognize that the United States Government has expressed concern that China is using illicit means to steal intellectual property [4]. We strongly support efforts to oppose any such activities conducted by any foreigncountry.
But we are baffled by many elements of the official complaint [2] and the associated public statements [3] against Gang Chen. The criminal complaint against Gang has nothing to do with protecting intellectual property. As published it is deeply flawed and misleading in its assertions. At best, it represents a deep misunderstanding of how research is conducted or funded at a place like MIT. The official complaint is filled with allegations and innuendo based on what are in fact some of the most routine and even innocuous elements of our professional lives. Standard practices such as writing recommendations for our students, so that they might receive fellowships or other prestigious and well-deserved career advancements, are portrayed as somesort of collusion with outside forces in an effort to help them steal American technology. Our routine participation in the evaluation of research proposals seems to be viewed in a similar manner. The fact that we do not report all these activities in our own research proposals is used as a basis for allegations of intentional wrongdoing, when in fact information about these practices is a well known and routine requirement of our job. In many respects, the complaint against Gang Chen is a complaint against all of us, and an affront to any citizen who values science and the scientific enterprise.
While the full extent of the charges against Gang are not known at this time, the criminal complaint as published to justify Gang’s arrest already contains some deeply flawed and misleading statements:
Allegation
That since 2013 “CHEN and his research group has received approximately $29 million of foreign funding, including $19 million from the PRC"s Southern University of Science and Technology [SUSTech]”
Facts
Our understanding is that, Gang did not receive $29 million, and MIT was the recipient of this money, which benefited the Institute, the research programs of many of its faculty, and its students. Singling him and his research group out as the “sole” recipient is simply wrong. The partnership with SUSTech was approved and overseen by MIT at the highest levels.
Allegation
That SUSTech operates as a proxy to the Chinese government and thus is not a legitimate organization to collaborate with.
Facts
MIT has created a formal Center with SUSTech University, it is MIT who appointed Gang as the Faculty Leader of this Center. The mission of this center is to encourage scientific and educational exchange, which is exactly what Gang has done under its auspices. MIT has similar relationships with universities and other entities from other countries as well as China. Most major universities in the world are public institutions and can be described reasonably as belonging to some arm of their country’s governments. If leaders in the U.S. government believe cooperative research relationships with them are improper, the issue could be addressed legislatively or with executive authority.
Allegation
That Gang hid his affiliation and collaborations with China in applying and reporting on a DOE grant and in doing so committed “wire fraud,” a federal felony.
Facts
Gang’s scientific collaborations and broader connections to China are a matter of extensive disclosure and public record and anything but hidden from the eyes of the public let alone thesophisticated grant reviewers at the DOE. Gang routinely, consistently and extensively credited these scientific collaborations and funding in his publications available on public databases before and during this grant execution. His CV, available for download on MIT’s website, contains 62 references to China, and his publications cite international funding specifically from the very sources claimed in the complaint to be “hidden”. We emphasize that more generally, the extensive collaborative efforts that Gang is involved in are far from secret.
Allegation
That Gang recommended students for positions in China and for scholarship awards funded by the Chinese Government. Chen served as a reviewer for the National Science Foundation of China and in doing so served the PRC.
Facts
Recommending students for international positions and awards, as well as reviewing proposals and projects for the scientific community in the US and world-wide, is an essential and routine part of our job as faculty. That this activity would be portrayed as improper, unamerican or as a service to a foreign power is an affront to all of us. Moreover, reviewing scientific proposals and recommending students for positions and awards is a routine activity. There are many innocuous explanations for omissions on forms.
Allegation
“He knowingly and willfully defrauded (the Taxpayers) out of $19 million in federal grants by exploiting our system to enhance China’s research in nanotechnology.” – Agent Bonavolonta
Facts
We believe that there is no substantiation provided to this broad and unqualified accusation. Gang’s research at MIT has been funded in part through federal grants over the years. Gang’s research has benefitted American science and technology, MIT’s worldwide scientific standing, and the global scientific community, as well as Gang’s many American and international students. Dozens of scientific publications demonstrate that Gang’s intent and use of research support were consistent with MIT’s core mission of conducting outstanding basic scientific research.
These misleading statements lead us to question the motivation for taking the extreme step of arresting Gang Chen, a dedicated scientist and educator performing his duties at MIT. While the criminal investigation apparently started more than a year ago, we find it noteworthy that U.S. Attorney Andrew Lelling commenced the arrest in the last few days of his tenure. Lelling was appointed by President Trump and is a member of the Steering Committee of the DOJ’s “China Initiative”, which has spearheaded the use of “innovative prosecutorial methods” [5] to target academics who are from or have participated in scientific exchange with China. The racial undertones of this campaign are reflected in the following quote from Lelling himself in a recent interview for Science [6] “….unfortunately, a lot of our targets are going to be Han Chinese. If it were the French government targeting U.S. technology, we’d be looking for Frenchmen.” Ourconcerns are compounded by the number of investigations involving Chinese American scientists and other scientists of Asian and Asian American descent conducted by federal authorities in the United States in recent years [7].
Finally, we appreciate your and MIT’s support of Gang. We understand that the Institute is supporting him financially and providing him with the information he needs to defend himself. We also understand that preparations are underway to support Gang’s students and research activities. We stand ready to work with you in whatever way is necessary to help in this difficult time.
We also urge that MIT assume leadership in transforming this difficult time to a learning moment, in which the allegations against Gang Chen are discussed in the context of defending academic freedom in this country. In many respects the defense of Gang Chen is the defense of the scientific enterprise that we all hold dear. We are all Gang Chen.
Signed by:
~100 MIT faculty
參考文獻
1.https://news.mit.edu/2021/professor-gang-chen-fraud-0114
2.Criminal complaint Agent McCarthy on January 13, 2021;https://www.wwlp.com/wpcontent/uploads/sites/26/2021/01/Chen-Gang-criminal-complaint.pdf
3.Remarks in press conference by FBI Agent Bonavolonta;https://www.fbi.gov/contactus/field-offices/boston/news/press-releases/fbi-special-agent-in-charge-joseph-rbonavolontas-remarks-at-press-conference-announcing-arrest-of-mit-professor-gang-chen
4.The federal government worldwide threat assessment;https://www.dni.gov/files/ODNI/documents/2019-ATA-SFR---SSCI.pdf
5.Op-Ed in the Boston Globe on Feb. 11, 2020 written by Lelling and Bonavolonta;https://www.bostonglobe.com/2020/02/11/opinion/intel-chinas-counterintelligencethreat-america/
6.Lelling interview with Science on Feb. 3 2020;https://www.sciencemag.org/news/2020/02/us-prosecutor-leading-china-probe-explainseffort-led-charges-against-harvard-chemist
7. https://news.bloomberglaw.com/bloomberg-law-analysis/analysis-china-rises-as-u-sdomestic-law-enforcement-concern