FINDINGS OF SCIENTIFIC MISCONDUCT
Release Date: July 10, 2001
NOTICE: NOT-OD-01-048
Department of Health and Human Services
Notice is hereby given that the Office of Research Integrity (ORI) and the
Assistant Secretary for Health have taken final action in the following case:
David R. Jacoby, M.D., Ph.D., Harvard Medical School (HMS) and Massachusetts
General Hospital (MGH): Based on the report of an investigation conducted by
HMS and MGH and additional analysis carried out by ORI in its oversight
review, the U.S. Public Health Service (PHS) found that Dr. Jacoby, former
Instructor, Department of Neurology, MGH, engaged in 15 acts of scientific
misconduct by plagiarizing and falsifying research data taken from another
scientist"s different experiment in a published journal article for use in a
program project grant application submitted to, and funded by, the National
Institutes of Health (NIH).
Specifically, Dr. Jacoby plagiarized an image of a Southern blot analysis of
genomic DNA that appeared as Figure 3A in Balagu , C., Kalla, M., & Zhang, W.-
W. "Adeno-Associated Virus Rep78 Protein and Terminal Repeats Enhance
Integration of DNA Sequences into the Cellular Genome." J. Virology 71:3299-
3306, 1997. Dr. Jacoby first falsified the image by adding molecular weight
markers and lane labels that misrepresented the image as his own experimental
data. He further falsified the image using computer software to intensify a
band he claimed was a site-specific integration and to remove identifiable
background spots present in the original image. The effect of Dr. Jacoby"s
falsifications was to misrepresent the image as data from his own experimental
analysis of clonal cell lines derived from the infection of a human cell line
with a recombinant hybrid virus incorporating two transgenes and adeno-
associated virus genes into a herpes simplex virus amplicon. Dr. Jacoby"s
falsified image was material to his research because it supported his claim
that the transgene DNA had integrated into the cell genome at a specific site.
These plagiarized and falsified results were reported in:
1. appendix material supporting an application for a Program Project Grant,
Molecular Etiology of Early Onset Torsion Dystonia, 1 P01 NS37409-01A1,
submitted by Dr. Jacoby"s supervisor, Dr. Jacoby"s supervisor relied upon
falsified written and oral information provided to her by Dr. Jacoby in her
description of his recent research progress,
2. three presentations by Dr. Jacoby"s supervisor to colleagues at MGH in May
1998 regarding the status of the research in her laboratory, Dr. Jacoby"s
supervisor relied upon falsified written and oral information provided to her
by Dr. Jacoby in her description of his recent research progress, and
3. a grant application to NIH for continuation of Dr. Jacoby"s Clinical
Investigator Award grant, 5 K08 NS01887-03, signed by Dr. Jacoby on
May 29, 1998.
In addition, Dr. Jacoby subsequently altered the falsified image described
above further by changing the location of the molecular weight markers to make
it appear more consistent with the expected experimental results. Dr. Jacoby
then submitted the plagiarized and falsified results to a MGH colleague who
included them in a presentation at the First Annual Meeting of the American
Society of Gene Therapy, held in Seattle, Washington, on May 30, 1998.
During the institutional investigation in 1998, Dr. Jacoby presented another
falsified image as data from his own experiment. Specifically, he used
computer software to scan Figure 3A in Balagu et al. and then alter the
locations of three major bands in an effort to conceal the origin of the
falsified image (i.e., Figure 3A) and to deceive investigating officials into
believing that the results were from an independent experiment. Dr. Jacoby
then used the different band locations as "evidence" of the differences
between Figure 3A by Balagu et al. and the data purportedly from his own
experiment by presenting the falsified image: (1) to the Chief of MGH"s
Neurology Service, (2) to a scientist assisting the Inquiry Committee by
attempting to reproduce Dr. Jacoby"s experiment, and (3) to the Inquiry
Committee as data from his own independent experiment.
After the institution concluded that Dr. Jacoby had engaged in scientific
misconduct, Dr. Jacoby forged the signature of the institutional official for
the MGH Grants and Contracts Office and knowingly included false and material
information on his NIH non-competing renewal application for a Clinical
Investigator Award, 5 K08 NS01887-05. Specifically, after ceasing to work in
his supervisor"s laboratory and after being told by his supervisor that she
would no longer serve as his mentor on the Clinical Investigator Award, Dr.
Jacoby (1) listed his former supervisor as his mentor on his 5 K08 NS01887-05
application, (2) claimed that he was continuing to conduct grant-funded
research in her laboratory, (3) forged the signature of the MGH institutional
official to avoid detection by MGH, and then (4) submitted the completed
application directly to NIH on or about August 1, 2000.
Dr. Jacoby"s actions amount to significant and serious falsifications in the
proposing and reporting of research. His falsifications gave NIH reviewers
inaccurate information for their evaluation of the progress made by the
research group at MGH in its PHS-supported research. His falsifications also
substantially hindered the progress of the PHS-funded research project.
Finally, his falsifications induced NIH to conditionally approve Dr. Jacoby"s
5 K08 NS01887-05 grant at a time when he was no longer conducting research.
Accordingly, PHS further finds that Dr. Jacoby engaged in a pattern of
dishonest conduct through the commission of 15 acts of data falsification and
plagiarism, including additional steps taken to conceal the true nature and
origin of the research data, that further demonstrates a lack of present
responsibility to be a steward of Federal funds.
Dr. Jacoby has entered into a Voluntary Exclusion Agreement with PHS in which
he has voluntarily agreed for a period of five (5) years, beginning on June
12, 2001: (1) to exclude himself from any contracting or subcontracting with
any agency of the United States Government and from eligibility for, or
involvement in, nonprocurement transactions (e.g., grants and cooperative
agreements) of the United States Government as defined in 45 C.F.R. Part 76
(Debarment Regulations), [and] (2) to exclude himself from serving in any
advisory capacity to PHS, including but not limited to service on any PHS
advisory committee, board, and/or peer review committee, or as a consultant.
INQUIRIES
For further information contact:
Director
Division of Investigative Oversight
Office of Research Integrity
5515 Security Lane, Suite 700
Rockville, MD 20852
Telephone: (301) 443-5330
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