[Federal Register Volume 87, Number 52 (Thursday, March 17, 2022)]
[Notices]
[Pages 15256-15257]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-05659]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Findings of Research Misconduct

AGENCY: Office of the Secretary, HHS.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: Findings of research misconduct have been made against Shuo 
Chen, Ph.D. (Respondent), formerly a postdoctoral researcher, 
Department of Physics, University of California, Berkeley (UCB). 
Respondent engaged in research misconduct in research reported in a 
grant application submitted for U.S. Public Health Service (PHS) funds, 
specifically National Institute of Neurological Disorders and Stroke 
(NINDS), National Institutes of Health (NIH), grant application K99 
NS116562-01. The administrative actions, including supervision for a 
period of one (1) year, were implemented beginning on February 28, 
2022, and are detailed below.

FOR FURTHER INFORMATION CONTACT: Wanda K. Jones, Dr.P.H., Acting 
Director, Office of Research Integrity, 1101 Wootton Parkway, Suite 
240, Rockville, MD 20852, (240) 453-8200.

SUPPLEMENTARY INFORMATION: Notice is hereby given that the Office of 
Research Integrity (ORI) has taken final action in the following case:
    Shuo Chen, Ph.D., University of California, Berkeley: Based on the 
report of an investigation conducted by UCB and additional analysis 
conducted by ORI in its oversight review, ORI found that Dr. Shuo Chen, 
formerly a postdoctoral researcher, Department of Physics, UCB, engaged 
in research misconduct in research reported in a grant application 
submitted for PHS funds, specifically NINDS, NIH, grant application K99 
NS116562-01.
    ORI found that Respondent engaged in research misconduct by 
intentionally, knowingly, and/or recklessly falsifying data and methods 
by altering, reusing, and relabeling source two-photon microscopy and 
electrophysiological data to represent images of mouse hippocampal 
neurons in the following grant application:
     K99 NS116562-01, ``Investigation into network dynamics of 
hippocampal replay sequences by ultrafast voltage imaging,'' submitted 
to NINDS, NIH, on June 25, 2019.
    ORI found that Respondent intentionally, knowingly, and/or 
recklessly falsified two-photon microscopy and in vivo 
electrophysiological activity images, figure legends, and text 
descriptions of hippocampal neurons from a mouse running on a treadmill 
in a head-fixed virtual reality (VR) set up. Specifically:
     Respondent reused an image of visual cortex neurons to 
represent fluorescence calcium imaging of hippocampal neurons in Figure 
6d and its associated text and figure legend of K99 NS116562-01.
     Respondent reused in vivo electrophysiological data from 
control mice of spatial receptive fields for all recorded place cells 
during linear track exploration sessions from Supplemental Figure 1b 
from Nat Neurosci. 2018 Jul;21(7):996-1003 (doi: 10.1038/s41593-018-
0163-8) to represent several sessions of two-photon hippocampal calcium 
imaging of progressive place fields, obtained from multiple mice 
running on a treadmill in a head-fixed VR set up, in Figure 6e and its 
associated text and figure legend of K99 NS116562-01.
    Respondent neither admits nor denies ORI's findings of research 
misconduct. The parties entered into a Voluntary Settlement Agreement 
(Agreement) to conclude this matter without further expenditure of 
time, finances, or other resources. The settlement is not an admission 
of liability on the part of the Respondent.
    Respondent voluntarily agreed to the following:
    (1) Respondent will have his research supervised for a period of 
one (1) year beginning on February 28, 2022 (the ``Supervision 
Period''). Prior to the submission of an application for PHS support 
for a research project on which Respondent's participation is proposed 
and prior to Respondent's participation in any capacity in PHS-
supported research, Respondent will submit a plan for supervision of 
Respondent's duties to ORI for approval. The supervision plan must be 
designed to ensure the integrity of Respondent's research. Respondent 
will not participate in any PHS-supported research until such a 
supervision plan is approved by ORI. Respondent will comply with the 
agreed-upon supervision plan.
    (2) The requirements for Respondent's supervision plan are as 
follows:
    i. A committee of 2-3 senior faculty members at the institution who 
are familiar with Respondent's field of research, but not including 
Respondent's supervisor or collaborators, will provide oversight and 
guidance during the Supervision Period. The committee will review 
primary data from Respondent's laboratory on a quarterly basis and 
submit a report to ORI at six (6) month intervals setting forth the 
committee meeting dates and Respondent's compliance with appropriate 
research standards and confirming the integrity of Respondent's 
research.
    ii. The committee will conduct an advance review of each 
application for PHS funds, or report, manuscript, or abstract involving 
PHS-supported research in which Respondent is involved. The review will 
include a discussion with Respondent of the primary data represented in 
those documents and will include a certification to ORI that the data 
presented in the proposed application, report, manuscript, or abstract 
is supported by the research record.
    (3) During the Supervision Period, Respondent will ensure that any 
institution employing him submits, in conjunction with each application 
for PHS funds, or report, manuscript, or abstract involving PHS-
supported research in which Respondent is involved, a certification to 
ORI that the data provided by Respondent are based on actual 
experiments or are otherwise legitimately derived and that the data, 
procedures, and methodology are accurately reported in the application, 
report, manuscript, or abstract.

[[Page 15257]]

    (4) If no supervision plan is provided to ORI, Respondent will 
provide certification to ORI at the conclusion of the Supervision 
Period that his participation was not proposed on a research project 
for which an application for PHS support was submitted and that he has 
not participated in any capacity in PHS-supported research.
    (5) During the Supervision Period, Respondent will exclude himself 
voluntarily from serving in any advisory or consultant capacity to PHS 
including, but not limited to, service on any PHS advisory committee, 
board, and/or peer review committee.

    Dated: March 14, 2022.
Wanda K. Jones,
Acting Director, Office of Research Integrity, Office of the Assistant 
Secretary for Health.
[FR Doc. 2022-05659 Filed 3-16-22; 8:45 am]
BILLING CODE 4150-31-P