AFFIDAVIT IN SUPPORT OF APPLICATION FOR CRIMINAL COMPLAINT I, Robert Plumb, being sworn, depose and state as follows: i l. I am a Special Agent with the Federal Bureau of Investigation and have been so employed since I 11116 2016. I am currently assigned to one of the Counterintelligence Squads in the BostOn Field Of?ce. My responsibilities include investigating violations of federal criminal laws relating to espionage and theft of trade secrets, the mishandling of classified and defense information, and export control laws. Previously, I was employed at the FBI as an Intelligence Analyst. I worked in this capacity for six years. I have participated in numerous investigations, during the course of which I have intervieWed witnesses, conducted physical surveillance, executed search warrants, and used other investigative techniques to secure relevant information regarding various federal crimes. 2. I submit this af?davit in support of a Criminal Complaint charging Dr. Charles Lieber with making materially false, fictitious and fraudulent statements in a matter within the jurisdiction of the Executive Branch of the United States, in violation of Title 18, United States Code, Section lOOl(a)(23. Specifically, based upon the evidence gathered thus far in this ongoing investigation, I have probable cause to believe and do, in fact, believe that LIEBER made materially false, ?ctitious and fraudulent statements regarding his participation in China?s Thousand Talents Plan to the US. Department of Defense on or about April 24, 2018. I also have probable cause to believe and do, in fact, believe that, on or about January 10, 2019, LIEBER made and caused to be made a series of materially false, fictitious and fraudulent statements to the National Institutes of Health about his involvement in the Thousand Talents Plan and his af?liation with Wuhan University of Technology in China. 3. Based on the evidence gathered to date, LIEBER was a ?Strategic Scientist? at WUT and a contractual participant in Chinais Thousand Talents Plan for signi?cant periods between at least 2012 and 2017. The terms of Thousand Talents contract called for LIEBER to be paid up to $50,000 per month in salary and approximately $150,000 per year for living and personal expenses by WUT. LIEBER was also awarded more than $1.5 million by WUT and the Chinese govemment to establish a research lab and conduct research at WUT. 4. The information in this af?davit is based upon my training and experience, my personal knowledge of this investigation, information conveyed to me by other law enforcement agents and officials who assisted in the investigation, and the other sources of information described herein. This af?davit is submitted for the limited purpose of establishing probable cause to believe that LIEBER has committed the offenses described above. Accordingly, I have not included each and every fact known to me and other law enforcement officers involved in this investigation. I have setforth only those facts that I believe are necessary to establish the requisite probable cause. ?7 FACTS SUPPORTING PROBABLE CA USE 7 Background 5. LIEBER is a full?time faculty member and Chair of the Department of Chemistry and Chemical Biology at Harvard University in Cambridge, Massachusetts. He has been af?liated with Harvard since approximately 1991 . According to biography on Harvard?s website, primary area of expertise and research is nanoscience. 6. At all times relevant to this complaint, LIEBER served as the Principal Investigator of the Lieber Research Group at Harvard University. According to its website, the Lieber Research Group ?is focused broadly on science and technology at the nanoscale, using novel building blocks to push scienti?c boundaries in diverse areas from biology/medicine to energy and computing.? The Lieber Research Group?s website identi?es its principal sponsors as NIH and including the Of?ce of Naval Research and the Air Force Of?ce of Scienti?c Research Based upon records maintained by NIH, and, Harvard University, I knowthat the LieberResearch Group has received more than $15,000,000 in grant funding from NIH and since 2008. 7. A component of the United States Department of Health and Human Services, NIH is a government agency responsible for biomedical and public health research. The NIH conducts its own scienti?c research through an intramural research program, and also provides major biomedical research funding to non-NIH research facilities through an extramural research program. Many of the non-NIH research facilities that receive ?inding through extramural research pro gram are colleges and universities, including Harvard University. 8. In order to receive NIH funding, non-NIH research institutions must submit a detailed application'describing, among other things: (a)lthe purpose and scope of the proposed research; the amOunt of funding requested; and (0) how the funding Will be used. Both during the application process and periodically after an award is made, the institution'must also disclose to NIH all foreign collaboration and foreign sources of research support, including, but not limited to, researCh grants, cooperative agreements, contracts and/or institutional awards. Additionally, NIH requires research institutions to identify and disclose to NIH signi?cant (typically greater than $5,000) ?nancial conflicts of interest by investigators (that is, the person or persons responsible for the design, cenducting the research, and publishing or reporting the research performed pursuant to the grant), including those related to funds received from a foreign institution of higher education or the government of another country. Although it is the research institution itself that submits the grant application and all other grant?related disclosures to NIH, the individual investigator(s) must certify to the institution and NIH that the information contained 'in grant applications, post-award Submissions and all other grant?related ?lings is accurate and complete, and also acknowledge that any false, ?ctitious or fraudulent statements or claims made to NIH may subject the investigator to criminal, civil and/or administrative penalties. I 9. WUT is a university located in Wuhan, China. It is considered a top?tier. Chinese - university recognized for its studies of scienceand technology. 10. The ?Chinese Talent Programs? refer collectively to various plans designed by the Chinese Government to attract, recruit, and cultivate high?level scienti?c talent in furtherance of China?s scientific development, economic prosperity, and-national security. Implemented in 2008, the ?Thousand Talents Plan? is the most prominent Chinese talent recruitment plan designed by the Chinese Government to incentivize individuals engaged in research and development in the United States to transmit the knowledge and research they gain here to China in exchange for salaries, research funding, lab space, honorary titles, and other incentives. The Thousand Talents . Plan is designed to lure both Chinese overseas talent and foreign experts to bring their knowledge and experience to China. The so-called ?World Recruitment Plan of Renowned Experts in China? is part of the Thousand Talents Plan. The Chinese Talent programs have rewarded individuals for stealing proprietary information and violating export controls. Lieber?s Affiliation with Thousand Talents Plan 1 1. According to records maintained by Harvard University, LIEBER traveled to WUT in mid-November 2011 ostensibly 'in order to participate in a Nano-Energy Materials Forum being hosted Just days before trip, a professor at WUT (hereafter the?WiUT Professor?) emailed LIEBER a ?Contract?for Strategic Scientist?s Appointment? (hereafter the ?Strategic Scientist Agreement?). He also informed LIEBER that LIEBER had been recommended for the ?The Recruitment Program of Global Experts,? which I know to be part of China?s Thousand Talents Plan. In subsequent communications on or about November 11, 2011, both LIEBER and the WUT Professor acknowledged that LIEBER would sign the Strategic Scientist Agreement at WUT on November 15, 2011. 12. According to the agreement, which Was written in both Chinese and English, LIEBER was appointed as a Strategic Scientist at WUT for ?ve years from on or about November 15, 2011, until on or about November 14, 2016. objectives and tasks under the agreement were as follows: Artiste ?i?n?u iiutpl?yment Objective and fur 1's 1. Malta; stratugitz. and creative research propelling to guide the advancement of disciplines ca? scienti?c research institutes to hematite first class disciptines scientific research institutes in China 01' the. wurld, especially in frontier urn-us. 2. Supewise gatingteuclicrs er receive them visiting hclliiliti?ti. guiding. ui' coaguiiling students {including students}, leading limit] to the intumuiiunnl forefront cf related fields, jointly publishing academic papers in ten international journals {in the name at Will?, and WUT faculty or students as the ?rst or publishing itigiisluwl sciatica-nit: and guiding arming teachers in win national. awards or in?uential international academia: Mantis. 3. Build up :1 Discipline ?Team, introducing and cultivating high-level talents in has as quali?ed 313 these. ul'Chinu?s Talents Plan, Distinguished Prul'csams ul' (Itungiiang Stitelars and winners at Natiuunl Science Fund liar Distinguigheii "fainting Scholars. 21. Conduct Institute! impuriunt {key} projects ur international mung-ration projects that nice: China?s nntiuunl strategic devciupmunl ur' stand. at the lbreiiunt cf internatiunn! science and technelngy research fluid, 5. Carry out international exchanges and cooperation, and host nrjuintiy' hast prominent internmimmi academic Clinic-retires in the unint- hr WUT. 13. I According to the contract, WUT agreed to pay LIEBER $50,000 US. Dollars per month, prorated according to ?actual work time? at WUT. WUT also 5 agreed to provide LIEBER with round?trip, business?class airfare to and from WUT.- Finally, the agreement alluded to future involvement with China?s Thousand Talents Plan, and allowed for seemingly greater compensation to LIEBER in the future: 1 vi, Dune Party 13 gains a Chinese gm'crnmentasponsored position through successful applies?uh? fer varieus Chinese talent?related prejeets, Party A shall adjust ils payment terms to ensure that Party 13 enjoys more bene?ts can the prineiple ni" ?taking the higher pay". but the same lie?ne?t terms will net be paid twice. 14. LIEBER returned to Massachusetts from WUT on or about November 16, 2011. Two days later, in an email to the WUT Professor, LIEBER wrote, very much appreciate-the effort that you put into making my visit a good one. I also agree that it would productive, and hope that we can push forward as per discussions to build up the joint laboratory to a truly world? A . level facility.? Approximately one month later, on or about December 19, 2011, the WUT Professor emailed portions of a proposed website for the ?WUT-Harvard Joint Nano Key Laboratory,? which, according-to the website, was established in 2009. The website prominently I featured name, photograph and biographical information, and it identified him as the ?Laboratory Director.? In his email to LIEBER about the website, the WUT Professor noted that ?the Chinese version [of the website] will be made- after your approval for [sic] the English version.? '15. On or about April 5, 2012, approximately ?ve months after executing the Strategic Scientist Agreementwith WUT, the WUT Professor wrote an email to LIEBER informing him that he had been selected to participate in China? Thousand Talents Plan. At that time, selection entailed awards and the Chinese Government of approximately $158,000 USD in ?personal bene?ts? and nearly $800,000 USD in c"research funding.? Specifically, the WUT Professor wrote, 16. with LIEBER a contract titled ?Employment Contract of One Thousand Talent? High Level Foreign Expert? between and WUT (hereafter the ?Thousand Talents Agreement?). The WUT Professor asked for "ideas/comrnents/suggestions" within ?one week when your schedule allows (of course, the sooner the better)? The first page of the agreement appeared as follows: I am very happy to let you know that, in the World Recruitment Plan of renowned experts in China (also called as one thousand plan of foreign experts), you have been approved and awarded as invited strategic foreign expert by Chinese government because of your world-leading achievements, the good collaboration basis between you and WUT, and your great contribution to national academic exchange between China and USA. You are provided with personal bene?t of one million (~158,800 USD), a research funding of '5 million RMB (~794,000 USD) for development of WUT?Harvard joint nano key lab and collaboration . research This plan is the highest plan/program for famous foreign scientists in Chinese scienti?c ?eld and only 40 famous experts from the world were awarded. (Emphasis original.) Nearly three months later, on or about June 27, 2012, the WUT Professor shared ?IF/war EMPLOYMENT 0r THOUSAND HIGH LEVEL FORTIGN EXPERT (aaee)~ EEJS 5? Exitfll? Charles M. Lieber Ed: EEZE Employer Party A Wuhan University of Technology Employee {Party One Thousand Talent? high level foreign expert, prnl?essor Charles Licher from Harvard University, USA. =FAit?l" . . Both sides, in line with the principles of legality, fairness, equality, and mutual agreement to ensure the implementation (if ?One Thousand Talent? high level foreign expert plan, and to guarantee the legal rights and obligations of both sidesl on the basis of Chinese laws and miles concerned, agree to sign this contract. EE . . I i. Duration of the Contract The term of this contract will be 3 years since the date of signature, Both parties can sign the new contract through and mutual consent alter the contract is upon expiration with the permission of superior authorities department. 17. The Thousand Talents Agreement was effective for three years ?from the date of signature.? Among other things, the agreement obligated LIEBER to conduct scienti?c research; to ?publish high?level articles in the renowned and important international academic journals in the name Of .Wuhan University ofITechnologyf? to assemble a research?team with ?strong ability of [sic] research and innovation? in ?eld of expertise; to ?guide 1?2 distinguished young scholars and 3?4 doctoral students and help them publish systematic articles in the international 8 renowned journals,? to ?organize 1-2 predominant in?uencing international conferences in his ?eld in the name of Wuhan University of Technology,? and ?invite 1?3 international top scientists to work in the lab as Visiting scholars.? The agreement also required LIEBER to work at or for WUT ?not less than nine months a year? by ?declaring international cooperation projects, cultivating young teachers and students, organizing international conference[s], applying for. patents and publishing articles in the name of WUT. 18. In exchange for his work for and on? behalf of WUT, WUT agreed to pay LIEBER $50,000 USD per month, and living expenses of up to 1,000,000 Chinese Yuan (basied? on 2012 - exchange rates, approximately $15 8,000 USD) to be paid over the three-year term of the contract. The contract also allocated 11,000,000 Chinese Yuan (or roughly $1.74 million USD based on i 2012 exchange rates) for the joint Harvard?WUT Nano Key Lab and related research. The . following portion of the contract documented those ?nancial terms. WUT is referred to as ?Party while LIEBER is referred to as ?Party EFXE 2. Etta, . mam E33221 1000 n??mm? (- 500 7552) noss?mumsusosu; (s?tfx?i?ElE-z EFE Emit 100 EE this . 375E331, Ennis-son 5 Mitosis litatt??lEls 1?Party A?s Obligations (l Party A shall respect Putty B's legal rights (2). Putty A shall provide Party 13 with necessary working and. living conditions- a. working and lab conditions: Party A shall provide Party with working and lab conditions according to Party B?s requirement 11. scienti?c research funding: Party A shall provide Party ten million Chinese Yuan (10,000,000 RMB) including five million 12.1?le from national fund during. tho term of this contract to the constmotion of new direction and infrastructure construction, equipments and instruments purchasing This amount of money shall be. managed by Partv A and Patty can use it oftor disoussing with tho co?ptott 5:10! t?tom Patty A c.1oleut team constluction condition: Party A shall conSti'ttct talent team according to Party B?s requirement and provide one million Chinese luau (LtltiiLGOO RMB) as the funds of talent team construction each year: The funds shall be mainly used as the payment, accommodation, and travel expense of tinny and tho team members. This amount of money shall he managed by Party A, and Party can use it. id. payment and living conditions: Party A shall provide Party with fii'tj,r thousand US. Dollars 50,000) per month (before. tint), paid according to his working time in Wuhan University ot? Technology. Party A sholl provido Party with one 111illion Chinese Yuan (after tax) as living allowance which will ho paid U3 :1 your for three years. 10 19. In a subsequent email to LlEBER?dated July 10,, 2012, the WUT Professor told LIEBER that president had signed the ?1000 plan agreement? and that executed Copies of the agreement had been mailed to LIEBER in? Massachusetts for his signature. In an email dated' on or about July 21, 2012, the WUT Professor informed LIEBER that WUT had received copies of the Thousand Talents Agreement signed by LIEBER. 20. . After signing the Thousand Talents Agreement, LIEBER returned to WUT in November 2012. travel expenses to and from Wuhan were paid by WUT. Prior to this trip, arrangements were made to pay LIEBER. his salary and living expenses as speci?ed in the Thousand Talents Agreement. For example, in an email dated on or about October 26, 2012, a WUT employee (hereafter the Employee?) wrote to Before your visit, I would like to talk about I one detail in the implementation of the contract of ?one thousand talent? high level foreign expert between you and our university. According to the. article concerning the payment and living conditions, I want to know the way you prefer to be paid so that everything can be prepared before your coming. I would like to provide twooptions for you to choose if you do not mind; Option one. I'help you open a new bank account in the Chinese Bank named [redacted]. The payment will be put into your account and you can get the payment from the branch of [redacted] in your country. Option Two. I can prepare the payment in cash. . 21. Less than three months. later, on or about January 10, 2013, the WUT Professor emailed LIEBER an agreement titled ?Academic Cooperative Agreement between Harvard University, USA and Wuhan University of Technology, PR. China.? The stated purpose of the agreement, which had a ?ve-year effective term, was to ?carry out advanced research and development of nanowire-based lithium ion batteries with high performance for electric vehicles.? Apart from its stated objective, the agreement provided for a ?cooperative research program? whereby researchers from WUT would ?Visit Department of Chemistry and Chemical Biology of 11 Harvard University for two months each year.? Without consulting any Harvard officials, LIEBER signed the agreement on Harvard?s behalf and returned the executed copies to the WUT Professor on or about January 11, 2013. I understand from conversations with Harvard?s representatives that LIEBER did not have the authority to execute this contract on behalf of Harvard. 22. One year later, LIEBER continued to work closely with and continued to receive . compensation from WUT. For example, on or about January 18, 2014, LIEBER wrote to the WUT Professor and another person affiliated with WUT that he would accept a WUT graduate student (hereinafter the ?Graduate Student?) as a long-term joint student? provided that WUT ?Support all of [the Graduate Student?s] salary and research costs while working in my lab.? In the same communication, LIEBER discussed an upcoming visit to WUT in February 2014, and he made speci?c demands regarding the payment of his salary: I would like to receive of salary (for the current period) in US . dollars, with the remainder deposited into the bank account that was set-up. The '~00 that I promised to pay for the party following Lin . Xu?s defense in April, can be deduced from either 1/2. 23. In June of 2014, LIEBER continued to discuss his compensation under the Thousand Talents Agreement with WUT. In an email to?the WUT Employee dated June 16, 2014, LIEBER asked to maintain his bank account ?the Way it has been for now? and he reiterated his earlier request that half of his salary be deposited into his Chinese bank account and the other half be paid to him in cash when he next visited WUT. LIEBER further stated, think this is close to what [we] have done in [the] past.? 1 24. . In late January 2015, LIEBER outlined his ongoing relationship with WUT, confirming that he intended to visit WUT ?several? times per yea1 or ?perhaps more in the next couple years as we try to build up the nano?bio part of the lab,? that he would be available for ?electronic communication on a very regular basis 'with students (email, telephone, skype) so that 12 they obtain full input from me as an advisor;? and that ?students visiting [from-WUT] for periods at Harvard would have [the] same access as normal Harvard graduate students.? 25. Around the same time, independent of LIEBER, Harvard administrators learned for the ?rst time of the WUT?Harvard Joint NanolKey Laboratory at WUT, including the fact that LIEBER was the director of the lab. Harvard of?cials confrOnted LIEBER about the joint lab, and informed him that the improper use of Harvard?s name and logo orchestrated by LIEBER without Harvard?s consent violated University policy. In response, LIEBER falsely told Harvard of?cials that he was involved'in collaborative research with WUT for ?mutual scientific interaction,? but that WUT was using Harvard?s name and logo without his knowledge or consent. 26. On or. about February 3, 2015, LIEBER emailed the WUT Professor and told him- that WUT must cease using Haivard?s name, stating, ?Our agreement for research collaboration 1s 1 between you/ Wuhan University of Technology (WUT) and me, and does not constitute an agreement with Harvard University.? (Emphasis original.) Subsequent emails suggest that took additional steps to try and distance himself at least publically from WUT in the wake of Harvard?s discovery of the joint Harvard-WUT nano lab. These included cancelling a trip to WUT in June 2015 and advising a postdoctoral fellow at the Lieber Research Group to continue her work in lab rather than starting a position at WUT. 27. _Nevertheless, Thousand Talents Agreement and the earlier Strategic Scientist Agreement (which, according to their terms, expired in July 2015 and November 2016, respectively) appear to have remained in place well after January 2015. For example, in an email dated February 13, 2015, told the WUT ProfeSSor that he would continue his review of a manuscript written by WUT 1esearChe1s. In the same email, LIEBER also said that he? may be in touch with regards to several issues relating to my appointment/salary/funding l3 Although it is unclear what precise ?issues? LIEBER was referring to, at a minimum, this email shows that LIEBER cOntinued who paid by WUT after January 2015. 28. In an email dated November 26, 2015, the WUT Professor thanked LlEBERf?for all you have'done for our university and me!? The WUT Professor alsovtold LIEBER that WUT had ?put your salary in your [bank] card and we will help you change the cash for you when you come'to Wuhan.? The fact that WUT continued to pay salary in late 2015 indicates to me that LIEBER, in fact, continued to work for, and with, WUT throughout 2015. 29. The payment of salary to LIEBER by WUT appears to have continued into 2017. In an email dated January 17, 2017, the WUT Professor sent the following message to LIEBER: During our last meeting you mentioned the tour of Bejing in the end of Feb. or early March; President [of I- and all faculties and students in our Joint Nano Lab would like to invite you to visit WUT and our Joint Nano Lab. If your schedule is available, we would like to take this chance to express our'everlasting gratitude to your great support for our university and me! Our university has put your salary in your [bank] card and we will help you change the cash for you when you come to Wuhan. Our university will cover your first?class ?ight ticket and accomadation [sic] like before. We would like to know your idea. With my best regards and thank you very much for your strong support again. By this point, according. to their express terms, Strategic Scientist and Thousand Talents Agreements with WUT had expired. Insofar as it discusses the payment of additional salary to LIEBER in January 2017, this email is evidence that LIEBER may have executed a new agreement with WUT at some point in either late 2016 Or early 2017. 'Lieber?s False Statements to DOB 30. Since 2009, LIEBER has been the principal investigator associated with at least six research grants funded by various entities, including ONR and AFOSR. The total value of 14 these grants exceeded $8 million. As Of April 2018, LIEBER was the principal investigator associated with three active DOD grants. I 31. On April 24, 2018, DOD investigators interviewedLIEBER about his active grants and whether LIEBER had appropriately disclosed foreign research collaboration to DOD. During the interview, which took place at lab on the Harvard Campus, LIEBER said that he was familiar with China?s Thousand Talent?s Plan, but that he had never been asked to participate in the program. Although LIEBER stated that he was never asked to participate in the Thousand Talents Program, he also told DOD investigators that he ?wasn?t sure? how China categorized him. I believe these statements were false because, as described above, WUT expressly asked LIEBER on numerous Occasions in 2012 to. participate in the Thousand Talents Program and to sign a Thousand Talents Agreement with WUT. Moreover, based upon the email correspondence described above that I have reviewed, LIEBER did sign a three-year Thousand Talents Agreement with WUT on or about July 21, 2012, and was paid by WUT over the course of several years pursuant to, that agreement: The agreement that LIEBER signed was titled ?Employment Contract of ?One Thousand Talent? High Level Foreign Expert?i and it referred to LIEBER as a ?One Thousand Talen i A 32. On April 26, 2018, two days after his interview with DOD, LIEBER'emailed a research aSsociate af?liated with the Lieber Research Group the following message: - Can you also provide me with the link/info to CAS webpage where I am listed as directing that lab at Wuhan? I lost a lot Of sleep worrying about all of these things last night and want to start taking . steps to correct sooner than later. I will be careful about what I discuss with Harvard University, and none of this will be shared with government investigators at this time. - I believe that refers to the China Academy of Sciences, which I know to be a top Chinese research institute. According to Harvard University?s website, LIEBER was elected to the CAS 15 in December 2015. At a minimum, this email demonstrates that LIEBER withheld information from ?government investigators? about his relationship with WUT. Given the timing of this email two days after his interview with DOD I believe LIEBER was referring speci?cally to the investigators. Lieber?s False Statements t0 NIH 3 3. I am aware that LIEBER was the principal investigator associated with at least three NIH-funded research grants awarded to Harvard University since 2008. The total value of those grants exceeded $10 million. Two of those grants were being actively funded by NIH as of November 2018. . I '34. On or about November 15, 2018, NIH inquired of Harvard about Whether LIEBER I and/or Harvard had failed to disclose then-suspected relationship with WUT and China?s Thousand Talents Plan. In order to respond to NIH?sinquiry, Harvard interviewed LIEBER about his foreign af?liations generally, and any connection he might have to WUT in. particular. Based upon information provided by LIEBER during that interview, Harvard submitted a detailed written response to NIH on or about January 10, 2019. I believe that LIEBER caused Harvard to make materially false and misleading statements about his connection to WUT and the Thousand Talents Plan in that written submission. 35. Speci?cally, LIEBER caused Harvard to tell NIH that LIEBER ?had no formal association with after 2012, but that continued to falsely exaggerate? involvement with WUT in subsequent years. This statement was false because, as described above, LIEBER maintained a formal, collaborative relationship with WUT between at least 2012 and 2017 that included the Visiting Scientist Agreement, the Thousand Talents Agreement, an I Academic Cooperative Agreement between Harvard and WUT, and possibly other agreements. 16 36. caused Harvard to tell NIH that LIEBER ?is not and has never been a participant in? China?s Thousand Talents Plan. This statement was also false because LIEBER did, in fact, Sign athree-year Thousand Talents Agreement with WUT on or about July 21, 2012. CONCLUSION 37. Based on the forgoing facts, and on my experience, training and discussions with other individuals involved in this investigation, I believe that probable cause exists to conclude that on or about April 24, 2018, LIEBER knowingly and willfully made materially false, ?ctitious and fraudulent statements to in Violation of 18 U.S.C. 1001(a)(2). In addition, I believe that probable cause exists to conclude that on or about January 10, 2019, LIEBER made and caused to be made a series of materially false, ?ctitious and fraudulent statements to NIH, also in violation in 18 use. Robert Plumb Special Agent, FBI Sworn and subscribed before me this day of January 2020, MARIANNE B. BOWLER UNITED STATES MAGISTRATE JUDGE l7 UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS UNITED STATES OF AMERICA Criminal No. I Violations: YANQING YE, Count One: Visa Fraud (18 U.S.C. 1546) Defendant (18 U.S.C. 1001(a)(2)) Count Three: Acting as an Agent of a Foreign Government (18 U.S.C. 951) Count Four: Conspiracy (18 U.S.C. 371)? 3 m: Making False Statements At all times relevant to this indictment: General Allegations A. The People?s Republic of China and itSMilitarv 1. The People?s Republic of China is a ?foreign government? as that term is de?ned under 28 CPR. The People?s Liberation Army is the military arm of the ChineseiCommunist Party and the armed forces of the PRC. The FLA is composed of six services and support f0rccs: the PLA Army; PLA Navy; PLA Air Force; PLA- Rocket Force; PLA Strategic Support Force; and the PLA Joint Logistics Support Force. The Central Military Commission controls the PLA. The FLA uses three schools. (the Academy. of Military Science, National Defense University,_and National University of Defense Technology) to formulate military strategy, research and advance its military capabilities and 1 weapons systems, and train its armed forces. Professorsat these schools also serve as military of?cers and leaders of the PLA. 2. National University of Defense Technology is a top military academy directed by China?s CMC. It was founded in 195 3 by the I-Iarbirl?s Military Engineering, Institute PLA. NUDT is involved in national defense research for the PLA and responsible for modernizing the armed forces and designing advanced weapons. NUDT is also responsible for training advanced scientific and engineering personnel, commanding personnel, and senior leadership in the PLA. B. The Defendant and Her Conspirators 3. YAN ING YE is a Chinese national, a female member of the PLA, and member of the CCP. At all times relevant to the Indictment, YE was a Lieutenant in the PLA and was being directed by senior leaders of the PLA while conducting research-at Boston University pursuant to a Jul non?imn?grant visa. 4. Co-conspirator A was, at all relevant times, supervisor as well as a Colonel in the PLA and full professor at NUDT. - 5 . Co-conspirator was, at all relevant times, an Assistant Professor in Management Science and Engineering at NUDT and a member of the PLA who according to YE had the rank i ?of less than Colonel.? YE was aware that Co?conspirator had workedon military research projects regarding rocket launchers. I 6. Co?conspirator was, at all relevant times, an Assistant Professor in College of Information Systems and Management. C. . YEFiaudulentlv Gained Entry into the United States 7. YE applied for, and obtained a, -1 non?immigrant visa to conduct research in the Department of Physics, Chemistry, and Biomedical Engineering, Center of Polymer Studies, at Boston University. research and studies in the United States at Boston University were funded by the Chinese .Scholarship Council The CSC was established in 1996 as a non-profit institution affiliated with the Ministry of Education. The CSC is responsible for the enrollment and administration of Chinese Government Scholarship programs and provides funding for both undergraduate and graduate students, as well as post?doctoral visiting scholars, to Chinese citizens wishing to study abroad and to foreign citizens wishing to study in China. CSC is financed mainly by the state?s special appropriations or scholarship programs. . 8. On or abOut August 4, 2017, YE electronically signed her visa application and certified that all of her answers on the form were true and correct when, in fact, she misrepresented her foreign military service to gain entry to the United States. In her visa application, YE described her foreign military service as follows: Name of Country/Region: CHINA Branch of Service: CIVIL SERVICE Rank/Position: STUDENT Military Specialty: NUDT [National University of Defense Technology] Date of Service From: 01 September 2009 Date of Service 7 To: 31 July 2017 This description was false as foreign military service did not end on July 31, 2017, as she represented to the-US. Government. Nor was her rank only that of a ?student? in NUDT. To the contrary, YE was in fact a Lieutenant in the PLA and continued to work as a Lieutenant in the PLA while studying andconducting research in the United States from in or about October 2017 to in or about April 2019. As described below, YE was tasked-with numerous assignments from PLA of?cers while she was in the United States such as conducting research, assessing US. military websites, and sending U.S. documents and information to China, which YE completed by masking her af?liation to the YE also lied on her visa application when she answered ?No? to the question: ?Do you seek to engage in espionage, sabotage, export control violations, or any other illegal activity while in the United. States?? Based upon false; . representations, on or about September 5, 2017, the US. Department of State approved application. On or about October 14, 2017, YE gained entry into the United States using, her visa. that she knew had been procured through fraud and making false statements, in Violation A of 18 U.S.C. ?1 1546. D. YE Makes False Statements to US. Law Enforcement 9. I On or about April 20, 2019, of?cers of Customs and Border Protection along with a Special Agent of the FBI conducted an interview of YE at Boston Logan International Airport. During this interview, YE stated, among other things, that Co-conspirator A was her Chinese . advisorand a f?full professor? at NUDT and he held the military rank of ?Colonel.? YE falsely claimed that she had minimal contact with Co?conspirator A, and that Co?conspirator A did not provide much oversight of her research projects. She further falsely denied participating in any of Co?c'onspirator A?s military projects. Yet, based upon records found on electronic deVices pursuant to a border search, at the instruction of Co?conspirator A, YE had accessed US. military websites, researched US. military proj ects, and compiled information for the PLA on . two US. persons with expertise in robotics and computer science. 4 1.0. During the April 20, 2019 interview, YE also denied having any involvement in Co?conspirator B?s research. YE described Co-conspirator as an Assistant Professor of NUDT Who held a military rank of ?less than colonel.? She also claimed that ,she had no recent communications with him when, infact?, she had numerous WeChat conversations with Co? conspirator in 2018 and 2019. Indeed, according to a January 2019 WeChat conversation between YE and Co?conspirator B, they were collaborating on a research paper that wasfocused on a risk assessment model designed to assist the PLA in deciphering data for. military . applications. On or?about April 11, 2019, Co~conspirator sent YE a message in Chinese that has been translated into English that states: ?See if [we can] find projects in risk analysis and I policy sponsored by the US military by searching risk US military directly.? YE also provided Co-conspirator her Boston University VPN login, including her username and password so I Co?Conspirator could log into YE?saccount. ll. Lastly, during this interview, YE stated that she held the rank of Lieutenant in the PLA and admitted she was a member of the CCP. She planned to return to the PRC and complete her at NUDT under the advisement of Co-conspirator A. YE indicated that part of her undergraduate studies at NUDT included classi?cation training and students at NUDT worked on clasSi?ed projects. E. YE Acted as an Agent of the PRC without Noti?cation to the Attorney General A 12. In direct violation of the terms of her 1 visa, while in the United States, YE had extensive communications with several senior PLA of?cers and she continued to work as a PLA Lieutenant. YE was tasked by senior PLA of?cers, completed those taskings, conducted research on the US. military for the PLA, collaborated with Co-conspirator on research 5 . projects that had potential military applications, and lied about her engagement with PLA of?cers when directly questioned about them. YE acted as an agent for the Chinese government, yet she never noti?ed the Attorney General as required for agents working for a foreign government. COUNT ONE Visa Fraud (18 U.S.C. 1546(a)) The Grand Jury chargesi I I 13. The allegations contained in paragraphs 1-12 are hereby re-alleged and incorporated by reference as if fully set forth herein. 14. - The conduct alleged in this Count occurred outside the jurisdiction of any particular State or district and within the venue of the United States District Court for the District of Massachusetts, as provided in 18 U.S.C. 3238. 15. On or about August 4, 2017, in the People?s Republic of China, the defendant YANQIN YE, . did knowingly subscribe as true, under penalty of perjury (28 U.S.C. 1746), a false statement with respect to a material fact in an application, to wit, in response to the question: ?Have you, ever served in the military?? on the Form Application for Immi grant Visa and Alien Registration, YE responded that she only had attained the rank of ?student? at NUDT and her period of service to Chinese military ended onJuly 31, 2017, which statement the defendant then and there knew was false. All in violation of Title 18, United States Code, Section 1546(a). COUNT TWO False Statements (18 U.S.C. 1001) The Grand Jury further charges: 16. The allegations contained in paragraphs 'l-12 are hereby?re-alleged and incorporated by reference as if fully set forth herein. 17. On or about April 20, 2019, in the District of Massachusetts, the defendant YANQIN YE, in a matter within the jurisdiction of the executive branch of the Government of the United States, did knowingly and willfully make a materially false, ?ctitious and fraudulent statement and representation, which YE then knew to be false during an interview conducted by CBP officers and a FBI Special Agent. All in violation of Title 18, United States Code, Section 1001(a)(2). COUNT THREE Acting in the United States as an Illegal Agent of a Foreign Government (18 U.S.C. 951) The Grand Jury further charges: a 18. The allegations contained in paragraphs 1?12?are hereby re-alleged and incorporated by reference as if fully set forth herein. I i 19., Beginning on a date unknown to the Grand Jury, but no later than in or about October 2017, and continuing until in or about April-.2019, in the District of Massachusetts and elsewhere, YE, defendant herein, did knowingly act in the United States as an agent of a foreigngovemment, to Wit: the People?s Republic of China, Without prior noti?cation to the Attorney General of the United States as required by law. All in Violation of Title 18, United States Code, Section 951(a). COUNT FOUR Conspiracy (18 U.S.C. 371) The Grand Jury further charges: . 20. A The allegations contained in paragraphs 1?12 are hereby re-alleged and incorporated by reference as if fully set forth herein. 21. .-, Beginning on a date unknown to the Grand Jury, but no later than in or about October 2017, and continuing until in or about April 2019, in the District of Massachusetts and elsewhere, the defendant YANQING YE, did knowingly and willfully censpire with others known and-unknown to the Grand Jury to cornniit an offense against the United States, to Wit, 18 U.S.C. 951, that is, to knowingly act in the United States as an agent of a foreign government, the PRC, without prior noti?cation to the Attorney General as required by law, in Violation of 18 U.S.C 371. OVERT ACTS 21. In furtherance of the conSpiracy, and to effect its objects, the defendant and her co?conspirators committed overt acts, including but not limited to, the following: A a. On or about August 4, 2017, YE lied on the-Form DS-160, Application for Immigrant Visa and Alien Registration, about her military rank in the PLA, position in the PLA, and the end date of her service. She made these statements to fraudulently obtain a 1?1 Visa so as . to gain entry into the United States and Operate Within the United States under the direction and control of her senior leaders in the PLA. 10 b. On or about March '15, 2018, sent instructions to Co?conspirator in Chinese via WeChat on how to access Boston University?s document database using her Boston University VPN login information (username and password) thereby giving Co-Conspirator the ability to log into Boston University posing as YE. 0. Beginning in or about January 2019, Co-conspirator and YB collaborated on a research paper that was focused on a risk assessment model designed to assist in deciphering . data for military applications. As. part of this research project, among other things, on or about April .11, 2019, Co-conspirator advised YE via WeChat: ?See if [we can] find projects in risk analysis and policy research sponsored by the US military by searching risk US military directly.? In response, later on April 11, 2019, YE responded via WeChat that she would conduct this research. d. On or about April 6, 2019, Co-conspirator A instructed YB via WeChat to research?a U.S. professor. at the Naval Postgraduate School at Monterey, California whose work . focused on computer security, digital forensics, and computer and software engineering and prepare a summary of his biography for him. Co?conspirator A advised Ye: ?Compile the information into. a file, then send it to me please.? YE responded: ?Sure Teacher [Co-conspirator Please go to bed now. lwill start to work on it immediately.? Approximately, six hours later, YE sent Co-eonspirator A three documents: (1) a Word document that she prepared summarizing the professor?s biography; (2) the professor?s curriculum vitae from thelschool?s website; and (3) a list of his published articles- e. On or about April 11, 2019, Co?conspirator requested YE via WeChat to download a file from a US. navy website ll YE did as she Was instructed and sent CouConspirator this document via WeChat In response, Co?conspirator stated: ?Now a'days, we can?t connect to a link with mil top level domain from This is i' probably American taking precautions against us.? YE. agreed with these statements and revealed that when she has been searching for information recently, ?sometimes I have to use the IP of the university to enter certain websites.? I f. On or about April 15, 2019, Co?conspirator A sent YE requests via WeChat to access the US. navy website and ?check if it has a list of proj ects.? Later that same day, Co-conspirator A also requested YE to access theU.S. army website and review the contents of that website for him. g. On or about April 16, 2019, Co-conspirator A instructed YE via WeChat to conduct research and compile information on a Professor of Electrical and Computer Engineering at University of Texas at San Antonio. This professor?s research focused on system of systems technology and intelligent robotics. As instructed, YE compiled the information Co? conspirator A requested and sent it to Co?conspirator A ?via WeChat on or about April 16, 2019. All in violation of Title 18, United States Code, Section 371. a 12 Document41 'Filed 01/21/20 PagelofB 7 UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS Criminal No 9200 UNITED STATES OF AMERICA . Violations: v. the United States ZAOSONG ZHENG, - (18 U.S.C. 554) My: Smuggling Goods From Defendant Count Two: False Statements (18 U.S.C. General Allegations: A. The Defendant 1. ZAOSONG ZIIENG IS a Chinese national who enteied the United States through the ?1 non-immigrant visa program on or aboutAugust 8, 2018. .l-l visa application \yas sponsored by Harvard University and granted by the State Department on or about July 17, 2018. While in the United States, ZHENG received a stipend of approximately $2,000 per the Chinese Scholarship Council. The Chinese Scholarship Council was established in '1996 as a non-pro?t institution af?liated with the PRC?s'Ministiy of Education. The CSC is responsiblefor the enrollment and administration of Chinese GoVeInInent Scholarship programs and provides funding for both undergraduate and graduate students, as well as post?doctoral visiting scholars, to Chinese citizens wishing to study abroad and to foreign citizens wishing to study in China. CSC is ?nanced mainly by the state?s special appropriations or scholarship programs. - . 2. ZHENG obtained medical degrees while living in the People?s Republic of China 1 Case Document 41 Filed 01/21/20. Page 2 of 6 From in or about August 2018, and continuing until in or about December 2019, ZHENG conducted research in the area of biomedical sciences, speci?cally in cancer pathology, at the Beth Israel Deaconess Medical Center I B. I BethIlsracl Deaconess Medical Center and Wenvi Wei Laboratorv' I 4. i' BIDMC is a teaching hospital and medical research facility of l-Iarvard Medical . School located in Beston, Massachusetts. BIDMC has numerous laboratories, including the Wenyi Wei laboratory. The focus of the Wei Laboratory is the study of Cancer cells. D. ZHENG Smuggles Vials Containing Biological Research and Specimens Between on or abOut September 4, 2018, and on or about December 9, 2019, ZHENG worked at Wei?s laboratory at. BIDMC on cancer-cell research. 6. On or about Monday, December 9, 2019, ZHENG went to BostonLogan I International Airport and attempted to leave the United States bound for Beijing, China on 'Hainan Airlines (HU) ?ight 482 with vials of biological materials and research he had stolen from Wei?s laboratory. . I 7. Before ZHENG boarded HU ?ight 482, Customs andBorder Protection of?cers located two checked bags in name and examined them. They discovered 21 vials wrapped in plastic and hidden in a sock. The vials were visually inspected and appeared to contain liquid. The of?cers suspected that the contents were biological in nature. As indicated below, the vials have been tested and analyzed and the results of this testing con?rmed that the vials contained Deoxyribonucleic Acid and therefOre constitute biological specimens. Accordingly, ZHENG was required to package the vials in a heat sealed bag and label them with the words ?[s]cientific research specimens, 49 CF 173.4b applies.? The vials were not 2 Case Document 41 Filed 01/21/20 Page 3 of properly packaged or declared in accordance with US. transportation regulations. 8. CBP of?cers identi?ed ZHENG and approached him before he boarded HU ?ight 482. CBP of?cers asked ZHENG multiple times if he was traveling withuany biological items or research material. in either his carry-on or checked luggage. ZHENG replied ZHENG Was then removed from the jetway and escorted to the baggage secondary area, where he acknowledged his ownership of the checked baggage containing the" 21 vials. B. ZHENG Admits He Stole Biolog icalResearch from BIDMC- 9. On. or about December 10, 2019, ZHENG returned to Logan Airport to board a ?ight destined for the PRC. . When ZHENG arrived at the airport, he was met by Special Agents of the Federal Bureau Of Investigation. With the aid of a Mandarin linguist, ZHENG Was advised of his Miranda rights, which he waived, and was then interviewed. ZHENG explained that he worked at ailaboratory at BIDMC, conducting research related to cancer. ZHENG admitted, that he had stolen biological specimens from BIDMC and that he was planning to take the specimens to China so that he could conduct further researCh on the Specimens in his own laboratory and publish the results under his own name. 10. On or about December 10, 2019,- the vials found in luggage were sent to a government laboratory for testing. On or about January 17, 2020, the government received con?rmation from the laboratory that the material in the vials contained DNA, and therefore constituted biological specimens for the purpose of Title 49, United State Code, Section 173.4b. 1? 1. . 49 C.F.R. 173 sets forth the regulations for travel with hazardous materials. 49 C.F.R. 173.4b regulates air travel withnon-infectious biological specimens. In relevant part, it provides that: Case 1:2o-cr410015-DJC: Document 41 Filed 01/21/20 Page 4 of Non-infectious specimens, such as specimens of mammals, birds, amphibians, reptiles, . ?sh, insects an_d other invertebrates. .are not subject to the requirements of this subchapter- provided the following packaging, marking and documentation provisions, as applicable, are met: (1) The specimens are. (ii) Placed 1n vials or other rigid containers with no more than 30 mL of alcohol or - alcohol solution. The containers are placed 1n a plastic bag that IS heat?sealed; (2) The bagged specimens are placed in another plastic bag with suf?cient absorbent material to absorb the entire liquid contents inside the primary receptacle. The outer - plastic bag 15 then heat-sealed. .and (5) The outer package must be legibly marked ?Scienti?c research specimens, 49 CFR 173. 4b applies.? Smuggling Goods From the United States (18 U. S. C. 554) The Grand Jury charges: 12. The allegations contained in paragraphs 1-11 are hereby re-alleged and incorporated by reference as if fully set forth hereinabout December 9, 2019, in the District of Massachusetts, the defendant, ZAOSONG ZHENG, . did fraudulently and knowingly export and send, and attempt to export and send, from the United States, merchandise, articles, and objects, to wit: biological specimens, contrary to the?laws and I regulations of the United States, Speci?cally, 49 CPR. 173.4b. All in violation of Title 18, United States Code, Section 554. Those reqUirements set forth further regulations that govern the transportation of hazardous materials including infectious biological specimens. . 1 i 4 Case Document 41 Filed 01/21/20 Page 5 of6 COUNT Two False Statements (18 U.S.C. 1001(a)(2)) The Grand Jury further charges: 14. The allegations contained in paragraphs 1-11 are hereby re-alleged and incorporated. by reference as if fully set forth herein. 15. On or about December 9, 2019, in the. District of Massachusetts, the defendant, ZAOSONG ZHENG, knowingly and willfully made a materially false, fictitious and fraudulent statement and representation in a matter within the jurisdiction of the executive branch of the Government of the United States, that is, when asked by Customs and Border Protection officers whether he was traveling with any biological items or research material, he answered when in fact he had hidden 21 vials containing biological specimens in his luggage. All in violation of Title 18, United States Code, Section 1001(a)(2). Case Document 41 Filed 01/21/20 Page 6 of 6 A TRU BILL (V: . .- ASSISTANT UNITED STATE I ATTORNEY DISTRICT OF D?strict of Massachusetts; January 21, 2020 Returned into the District Court by the Grand Jurors and f1 ?mw I32).sz @tzx?gw