Notice2022-05659
Findings of Research Misconduct
Primary source
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Published
March 17, 2022
Issuing agencies
Health and Human Services Department
Abstract
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.
Full Text
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<title>Federal Register, Volume 87 Issue 52 (Thursday, March 17, 2022)</title>
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[Federal Register Volume 87, Number 52 (Thursday, March 17, 2022)]
[Notices]
[Pages 15256-15257]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-05659]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
Findings of Research Misconduct
AGENCY: Office of the Secretary, HHS.
ACTION: Notice.
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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:
<bullet> 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:
<bullet> 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.
<bullet> 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
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