Science: 华人学者和美国NIH互怼，学术诚信还是种族标签？

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不久前，Science杂志在线发表一篇题为“NIH letters asking about undisclosed foreign ties rattle US universities”的新闻评述，报道美国国立卫生研究院（NIH）给数十家主要的研究型大学发函，要求他们提供一批接受NIH资助却又与外国政府保持未公开联系的研究人员的信息。

图片来自视觉中国

去年，NIH发表了关于保护美国生物医学研究诚信的声明，随后又协助美国联邦调查局（FBI）调查与国外机构有合作、接受经费资助的美国科学家。随着中美关系的紧张，许多在美的中国学者相继被调查，美国学界华裔学者的身份问题，成为一个敏感问题。

2019年3月22日，美洲华人生物科学学会（SCBA）、美国华裔血液和肿瘤专家协会（CAHON）和华人生物学家学会（CBIS）集体发声，在《Science》以“Racial profiling harms science”为题发表公开信，表达了他们对目前的政策和舆论环境的担忧。而NIH则在同期做出回应。

公开信称，依照美国的法律保护其国家利益，惩罚商业间谍或是其他任何有违法行为的人都是应该的。这些年，监管逐渐严格，对于保护知识产权，保障国家利益都有好处。但是政策的施行应当针对非法分子，而不是挑出某个族群对其贴上种族标签，进行盲目调查打压。绝大多数华裔的学者、学生等遵纪守法，但目前这样对人不对事的政治环境可能会给高度敬业的华裔学者群体带来困扰，恐惧和失望。

从科学进步的角度而言，在不威胁国家安全损坏国家利益的情况下，开放数据，打开合作之门，是推动科学快速进步的举措。美国目前的政策无异于闭门造车，将会阻碍科学发展。从个人的角度而言，一些华裔科学家被错误地指控间谍之后，其个人职业生涯面临毁灭性打击，尽管这些指控最终都被证明子虚乌有、全部被撤销。这样的事件，令整个华裔科学群体不寒而栗。

最后，公开信中表达了对未来的期冀，希望美国联邦及地方政府，能够抛开种族偏见，避免矫枉过正，创造一个开放，尊重，透明，高效的科研环境，打开合作的大门，从而保持美国的科技进步与创新。

有趣的是，NIH院长Francis Collins等人在当期《Science》做出回应，称华裔科学家在过去几十年为美国的科技发展做出了卓越的贡献，中美的科研合作也极大推动了科技的发展。但最近有外裔学者，的确侵犯了美国的国家利益。为了解决这个问题，NIH工作组认真考虑了如何确保研究经费正当使用，并更公平地保护知识产权，同时尽量避免危害国际合作以及其它裔籍的美国居民权益。NIH特别强调，目前的调查是面向所有外裔科学家的，并非只针对华裔学者。

图片来自：ROBERT NEUBECKER

记得五年前，NIH院长Collins在中国发表演讲称“科学不分国界，知识属于全人类”，如今听来，仿佛隔世。美国的高压政策，有人认为或许是中国的机会，大批顶级华裔科学家可能因此回到中国。也有人认为这是科学的灾难，令广大学者人人自危。不知道各位读者又如何看待呢？

英文原文如下：

Racial profiling harms science

On behalf of the Society of Chinese Bioscientists in America (SCBA), the Chinese American Hematologist and Oncologist Network (CAHON), and the Chinese Biological Investigators Society (CBIS), we write to express our concerns about the recent political rhetoric and policies that single out students and scholars of Chinese descent working in the United States as threats to U.S. national interests [e.g., (1) and pp. 6–7 in (2)]. These developments have led to confusion, fear, and frustration among these highly dedicated professionals, who are in danger of being singled out for scape-goating, stereotyping, and racial profiling. U.S. policies must avoid targeting, as Representative Judy Chu (D–California) put it, “an entire ethnic group of people for suspicion that they're spies for China” (3).

Existing U.S. laws are in place to safeguard America's interests and to punish perpetrators for stealing trade secrets or engaging in illegal activities. We absolutely support the well-established policies regarding intellectual property, employment, and governance of conflicts of interest. Such policies have been further enhanced in recent years with more detailed and specific requirements from various federal and state agencies, including the National Institutes of Health (NIH) (4). The vast majority of scientists and students of Chinese descent are law-abiding citizens, residents, or visitors who have followed these rules.

Open data access and data sharing are important for accelerating research advancement and can be implemented without putting U.S. security at risk. NIH has espoused such policies for years (5). Most Chinese-American scientists believe that biomedical research benefits all mankind and that multinational collaborations accelerate scientific progress and discovery. However, some NIH recommendations could target collaborations if implemented with bias. For example, NIH recommends fostering “trusted relationships” [p. 12 in (2)] with foreign partners but does not specify whether the trust must be established through official channels. NIH also suggests more disclosure requirements for foreign collaborators than domestic colleagues (pp. 12–13 in (2)], which could hinder collaborations.

In recent decades, there have been several high-profile cases in which Chinese-American scientists were wrongfully accused of spying [e.g., (6–10)]. Although all charges were eventually dropped and/or the individuals legally exonerated, the lawsuits have had not only devastating effects on the careers of these individuals but also a chilling and negative impact on the Chinese-American scientific community at large. It has also become increasingly difficult for Chinese students and scholars to obtain visas to enter the United States for scientific meetings, visits, and research opportunities (3).

It is our sincere hope that these actions, which we believe amount to racial profiling, will stop immediately and that increased security measures will not be used to tarnish law-abiding scientists and limit normal and productive scientific exchanges. We thus urge both federal and local governments to work with our academic and research institutions to create a respectful, transparent, and productive environment for everyone, regardless of their ethnic origin. We also hope that scientific collaborations and exchanges between the United States and foreign academic communities will be strengthened rather than suppressed. American scientific advances and technological innovations are the result of global efforts, and their future depends on the continuation of time-tested traditions of openness and cooperation on the global stage.

Response

The National Institutes of Health (NIH) appreciates the concerns expressed in the thoughtful letter from Lu et al. on behalf of the Society of Chinese Bioscientists in America, the Chinese American Hematologist and Oncologist Network, and the Chinese Biological Investigators Society. NIH greatly values scientists of Chinese descent as members of the American biomedical research enterprise. For decades, scientists of Chinese descent have contributed substantially to scientific innovations at research institutions across the United States. Collaborations with Chinese institutions have been critical to moving science forward. The vast majority of Chinese scientists working in America are honorable, conscientious, and dedicated to the cause of expanding knowledge for the betterment of humankind.

Unfortunately, instances have recently come to light where certain scientists, including some with links to foreign institutions and/or governments, have violated the honor-based systems and practices of the American research enterprise (1). Convened to address the issue, The NIH Advisory Committee to the Director working group (2) carefully considered how to ensure fairness of the grant process and intellectual property principles, while seeking to minimize jeopardy to innocent foreign nationals and important international collaborations. The working group recommendations apply to all foreign scientists, not just those of Chinese descent.

We are determined to maintain the integrity of the NIH research enterprise, but we are also deeply concerned about the issues raised by these three societies. NIH is committed to avoiding overreaction, stigmatization, harassment, and profiling. We will use our influence and bully pulpit as necessary to speak out against such prejudicial actions, for which there is no place in the biomedical research community.

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