MIT校长公开信澄清：是学校与南科大合作，不是陈刚个人

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MIT校长拉斐尔·赖夫就MIT与南方科技大学的合作以及陈刚在其中的作用进行澄清。

来源：知识分子

1月14日，麻省理工学院华人科学家陈刚在美被捕，后被保释。图源：http://meche.mit.edu/people/faculty/gchen2%40mit.edu
在美国司法部门对华人科学家、麻省理工学院（MIT）教授陈刚的起诉书中，其中一条称陈刚接受了2900万美元的海外经费资助，其中1900万美元来自中国的南方科技大学。2021年1月22日，MIT校长拉斐尔·赖夫（L. Rafael Reif）就MIT与南方科技大学的合作以及陈刚在其中的作用进行澄清：合作得到了MIT的支持，合作涉及到的2500万美元用于双方的合作研究和教学活动以及MIT的建筑翻新和研究生奖学金。

致麻省理工社区的信

关于麻省理工与南科大的合作关系和陈刚教授的几点澄清 2021年1月22日 致麻省理工人， 自上周陈刚教授被捕以来，我们的社区一直非常关心陈刚及其家人，深切关注与此案有关的更大问题。除了上周的分享之外（指1月14日校长的第一份公开信Distressing news about professor Gang Chen, 译者注），我想提供一些想法。 由于案件正在审理中，所以我不会谈具体细节。但是，由于政府的指控以及随之而来的媒体报道都提到了麻省理工与南方科技大学的合作，因此，我想就这一合作的性质作出澄清。 正如《麻省理工新闻》当时所报道的，麻省理工学院于2018年与南科大建立了合作关系，在两所高校创建了机械工程教学科研中心。虽然陈刚教授是麻省理工方的首任主任，但这一合作并不是他个人的合作，而是院系的合作，并得到了校方的支持。 该协议提供2500万美元，分五年支付给麻省理工学院。其中1900万美元用于合作研究和教学活动，600万美元作为捐赠用于支持我校的建筑翻新和研究生奖学金。迄今为止，我校已收到该协议承诺金额的一半左右，款项已分配用于支持机械工程系的科研和教学活动，以及奖学金和各种运营费用。换句话说，这些资金被用来推进了一批同事的研究工作以及学校的科研和教学任务。 与南科大的合作是教职工主导的我校与其他学术机构的众多合作之一。众所周知，合作，包括国际合作在内，对于推进前沿科学至关重要，这在学术界很常见。 与此同时，麻省理工会认真对待在复杂的世界中不断变化的国家安全要求，以及外国对科研的不当影响带来的特定风险。麻省理工作为一个群体，我们认为保持科研的诚信与严谨是一项基本责任。这一承诺是我们所有政策和实践的基石。 最后，我想对我们的华人和华裔美国人群体说——我们的本科生、研究生、博士后、学者、研究人员、员工、教职员工、校友和华裔校董事会成员：我听你们中很多人跟我讲过你们在社会上不断增长的不信任与怀疑氛围中的经历，这种氛围让我们的日常生活和工作变得困难、痛苦、疲惫不堪。 因此，我想明确地申明，就像之前那样，你们是麻省理工社区必不可少的关键一员。我们珍视你们作为学生、同事、老师、创新者和领导者所做的贡献；作为个人，我们珍视你们这样的朋友——正如我们珍视麻省理工全球大家庭的每一位成员，包括陈刚教授和他的家人。 在这个艰难时刻，让我们以尊重和体贴，彼此照顾。真诚地，拉斐尔·赖夫（L. Rafael Reif） 

LETTERS TO THE MIT COMMUNITY 

Letter to the community re. SUSTECH Relationship and Professor Chen

 To the members of the MIT community, Since last week’s arrest of Professor Gang Chen, our community has been deeply concerned – for Gang and his family, and about larger issues surrounding the case. I would like to offer a few thoughts beyond what I shared last week. Because the legal case is proceeding, I will not address its specifics. However, since the government’s complaint and the resulting media coverage touch on MIT’s collaboration with the Southern University of Science and Technology (SUSTech) in Shenzhen, China, I would like to clarify the nature of the SUSTech engagement.   As reported at the time in MIT News, MIT established a collaboration with SUSTech in 2018 to create the Centers for Mechanical Engineering Research and Education, at MIT and SUSTech. While Professor Chen is its inaugural MIT faculty director, this is not an individual collaboration; it is a departmental one, supported by the Institute. The agreement provides $25 million to be paid to MIT over five years. Of that sum, $19 million is for collaborative research and educational activities, and $6 million is designated as a gift to support MIT building renovation projects and an endowed graduate fellowship. To date, MIT has received about half of the amount committed under the agreement, which has been allocated to support research and educational activities of a number of Mechanical Engineering faculty members, as well as fellowships and various operational expenses. In other words, these funds are about advancing the work of a group of colleagues, and the research and educational mission of MIT. The SUSTech relationship is one of many faculty-led collaborations MIT maintains with academic institutions. As we all know, collaborations, including international collaborations, are crucial to advancing frontier science, and they are common in academia. At the same time, MIT takes seriously the evolving demands of national security in a complex world, and the specific risks of inappropriate foreign influence on research. As a community, we believe the integrity of our research is a fundamental responsibility. That commitment is bedrock to our policies and practice. Finally, to our Chinese and Chinese American community – our undergraduates, graduate students, postdocs, scholars, researchers, staff, faculty, alumni and Corporation members of Chinese descent: I have heard from many of you about your experiences with a growing atmosphere of mistrust and suspicion in our society, an atmosphere that can make daily life and daily work difficult, painful and exhausting. I would therefore like to state clearly, as I have before, that you are essential and integral members of our MIT community. We value your contributions as students, colleagues, teachers, innovators and leaders, and we value you personally as friends – just as we value every member of the global family of MIT, including Professor Chen and his family. In this difficult moment, let’s take special care to treat each other with respect and thoughtfulness. Sincerely,L. Rafael Reif 另外，《知识分子》从可靠信源处得到一封MIT教授发给校长莱夫（Leo Rafael Reif）的联名信，表达了教员将与校长一起坚定支持陈刚的信念，针对陈刚的控诉是对正常科研行为和学术自由的诋毁。该联名信全文翻译如下：
亲爱的拉斐尔： 作为麻省理工学院（MIT）陈刚教授的同事和朋友，我们对他最近被捕感到沮丧和痛苦 [1]。我们都知道陈刚是一位真正受人爱戴的老师、学者、科学家、导师、同事和世界领先的学术专家，他还是MIT团体的忠实成员和奉献者。陈刚通过杰出的科学工作、对教育的深远贡献以及他的领导力，数十年来一直为MIT做着卓越的贡献。他的工作为美国的科学福利和经济增长以及麻省理工学院的全球科学地位做出了重大贡献。陈刚在全球做的所有工作都在推动麻省理工学院的使命：“在科学、技术和其他学术领域的增进知识，教育学生，以在21世纪为国家和世界提供最好的服务。” 我们与我们的同事陈刚团结一致，并感谢MIT领导正为陈刚自我辩护所提供的支持 [2,3]，我们觉得他理应得到MIT的所有支持和承诺。因此，我们写信鼓励您和MIT继续直率、自豪且坚定地站在陈刚的身后。 借助可获得的公开信息 [1,2]，我们写这封信来分享对陈刚受指控一事的关注，及此事对学术界开放和知识自由的影响，这是解决世界面临的最大挑战所必不可少的工作要素。令我们感到困扰的是，针对陈刚的控诉诋毁了正常的学术和研究活动，包括促进MIT的全球使命。 我们承认并尊重美国政府在阻止其他任何国家窃取本国知识产权方面的利益。这封信的签署人是数百项专利的发明者们，我们认识到保护他们所授予的权利是非常重要的事情。我们还认识到，美国政府曾对中国使用非法手段窃取知识产权的行动表达关切 [4]。我们坚决支持那些为反对任何其他国家从事此类非法活动而做出的的积极努力。 但在对陈刚的官方诉讼 [2] 和相关的公开声明 [3] 中，有许多令我们感到困惑的内容。对陈刚的刑事起诉与知识产权保护毫无关系。已发布的认定存在严重缺陷和误导性。这些指控充其量是美国政府对 MIT 在科研活动或科研资助方面的深深误解。官方诉讼充斥的指控和影射，实则基于我们职业生活中的一些最常规而无害的习惯性做法。其中的一些常规行为，例如为学生写推荐信以帮助他们获得奖学金，亦或是帮助他们获得有声望且应得的职业发展，都被描绘成某种协助学生与外部势力窃取美国技术的共谋。我们对研究计划的评估似乎也被以相类似的视角审视。我们没有在自己的研究计划书中报告所有这些活动，这一事实被用作指控我们故意进行不正当行为的认定基础。而事实上，有关这些做法的信息是我们工作中众所周知的常规要求。在许多方面，针对陈刚的指控是对我们所有人的指控，并且也是对所有重视科学及科学事业的人的冒犯。 虽然目前尚不清楚对美国政府针对陈刚的全部控诉内容，但在已公布的逮捕陈刚的刑事起诉书中，已经包含了一些具有严重缺陷和误导性的陈述：  指  控 自2013年以来，“陈刚及其研究小组已收到约2900万美元外国资金，包括来自中国的南方科学大学（SUSTech）的1900万美元。”  事  实 我们的理解是，陈刚没有获得2900万美元，而MIT是这笔款项的接收者。这笔钱让研究所和研究项目获益，而这些项目中教员及其学生也参与众多。单单将他和他的研究小组列为 “唯一” 接收者是完全错误的。与南方科技大学的合作伙伴关系是得到了MIT最高层的认可和监督的。  指  控 南方科技大学是中国政府的代理人，因此不是一个合法的合作组织。  事  实 MIT已与南方科技大学建立了正式的中心，并且由MIT任命陈刚为该中心的教务主任。该中心的任务是鼓励科学和教育交流，而在此使命的支持下，陈刚所做的也正是这些。MIT同中国及其他国家的大学和机构都建立过相似的关系。世界上的大部分重要大学都是公共机构，因此可以合理地描述为属于该国政府的某个部门。如果美国政府领导者相信这些合作研究关系不当，可以从立法上或使用行政权力解决这些问题。  指  控 在申请和汇报一项美国能源部（DOE）的经费时，陈刚隐瞒了与中国的隶属关系和合作关系，以此犯下了 “电信欺诈”，即一项联邦重罪。  事  实 陈刚与中国在科学合作及其他的广泛联系早被大量披露和公开记录，从没隐瞒过公众，更不用说资深的DOE经费审查员。在这笔经费被执行之前和期间，陈刚定期地、一贯地且广泛地将这些科学合作和资助记入他的发表物中，在公共数据库中可获取。他的简历中包含62条有关中国的参考条目，可在MIT网站上下载。他的发表中标注的国际资助，正是指控中声称的 “隐匿” 信息。我们强调，更普遍地说，陈刚参与的广泛合作绝非秘密。  指  控 陈刚推荐学生在中国担任职务并获得中国政府资助的奖学金。陈刚曾担任中国国家科学基金会的评审员，并以此为中国服务。  事  实 推荐学生获得国际职位和奖项，以及为美国和全世界的科学界评审提案和项目，是我们教师工作的一个重要和常规的部分。如果这项活动被描绘成不正当的、非美国人的或为外国势力服务的行为，那就是对我们所有人的侮辱。此外，评审科学提案和推荐学生获得职位和奖项是一项常规活动。对于形式上的疏漏有许多无害的解释。  指  控 “他明知故犯，蓄意骗取（纳税人）1900万美元的联邦拨款，利用我们的系统来加强中国在纳米技术方面的研究。” ——调查员博纳沃隆塔（Agent Bonavolonta）  事  实 我们认为，这一宽泛和毫无根据的指控没有得到任何证实。多年来，陈刚在麻省理工学院的研究部分是由联邦拨款资助的。陈刚的研究使美国的科学技术、MIT的世界科学地位、全球科学界以及陈刚的许多美国和国际学生受益。数十篇科学出版物表明，陈刚的意图和对研究支持的使用与麻省理工学院开展杰出基础科学研究的核心使命是一致的。 这些具有误导性的言论让我们对采取极端措施逮捕陈刚的动机产生了疑问，陈刚是一位在MIT履行职责的敬业科学家和教育工作者。虽然刑事调查显然在一年多前就开始了，但我们发现，值得注意的是，美国检察官安德鲁·莱林（Andrew Lelling）在其任期的最后几天才开始实施逮捕。莱林由特朗普总统任命，是司法部 “中国倡议”（China Initiative） 指导委员会成员，该委员会率先使用“创新检察方法”（innovative prosecutorial methods）[5]，针对来自中国或参与过与中国科学交流的学者。该运动的种族主义色彩，在莱林自己最近接受《科学》[6] 采访时的一句话中有所反映：“……不幸的是，我们的很多目标都是中国汉人。如果是法国政府把美国的技术当成目标，我们就会找法国人了。” 近年来，美国联邦当局开展了大量涉及华裔美国科学家和其他亚裔及亚裔美国后裔科学家的调查，这让我们更加担忧。[7] 最后，我们感谢您和MIT对于陈刚教授的支持。我们知道学校正在经济上支持他，并为他提供辩护所需的信息。我们也了解到更多的准备工作正在进行中，以支持陈刚的学生和研究活动。我们已经准备好，以任何必要的方式随时与您共同协作，以度过这段艰难的时光。 我们也希望MIT能够承担起领导的责任，将这一艰难的时刻化为学习的机会，对于陈刚的这些指控将在维护这个国家学术自由的语境中讨论。从多个方面来讲，为陈刚辩护，就是为我们所珍视的科学事业辩护。我们都是陈刚。 签名： 约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 they confer. 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 foreign country. 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 some sort 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 the sophisticated 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.” Our concerns 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 
参考文献：1. https://news.mit.edu/2021/professor-gang-chen-fraud-01142. Criminal complaint Agent McCarthy on January 13, 2021; https://www.wwlp.com/wpcontent/uploads/sites/26/2021/01/Chen-Gang-criminal-complaint.pdf3. 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-chen4. The federal government worldwide threat assessment; https://www.dni.gov/files/ODNI/documents/2019-ATA-SFR---SSCI.pdf5. 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-chemist7. https://news.bloomberglaw.com/bloomberg-law-analysis/analysis-china-rises-as-u-sdomestic-law-enforcement-concern

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