Guidelines and Policies

In pursuit of our core mission, and consistency with Icahn School of Medicine at Mount Sinai institutional policies and external regulatory requirements, we have developed guidance documents to direct certain aspects of faculty-industry interactions.

The Academic Research Organization (ARO) guidelines outline our institutional rules when Mount Sinai is asked to commit its academic expertise and institutional resources to provide research-related functions needed to support the conduct of industry-funded clinical trials.

The Guidance for Employee Participation in Small Business Innovation Research (SBIR) and Small Business Technology Transfer Research (STTR) provides direction for faculty members participating, or considering participation, in technology development with U.S.-based start-ups or small business concerns through the federally funded SBIR and STTR program.

The Policy on Mentor-Trainee Responsibilities Relating to Financial Conflicts of Interest in Research was designed to help faculty members and their research groups navigate the COI issues surrounding mentorship, collaborations, and academic freedom.

The Guidelines for Faculty Requesting Board of Directors/C-Suite Positions with Outside Entities delineates the criteria and process for the submission and review of Dean’s Exception requests for activities that would otherwise be prohibited as part of Mount Sinai’s institutional policy.

The Guidelines for Founders and/or Equity Owners provides the criteria and guidance for faculty requesting personal consulting agreements with an early stage start-up company, in which they have a personal financial interests, with the intent to effectively manage potential conflicts of interest and conflicts of commitment that arise in the transformation to a commercially viable entity. This document provides further guidance on the documents that are to be utilized. 

Other Institutional Policies include: