UConn Health

November 4, 2011 | Christopher DeFrancesco '95 (CLAS) - UConn Health

UConn Honored for Best Compliance Practices

UConn was recognized for “Governance, Oversight and Self-Assessment,” and the Health Center for “Monitoring Financial Conflict of Interest in Research.”

Research compliance monitor Gustavo Fernandez (right) accepts the Best Compliance Practices Award for Monitoring Financial Conflict of Interest in Research on behalf of the UConn Health Center from Dr. Mark Pastin of the Health Ethics Trust on October 25, 2011. (provided by Health Ethics Trust for UConn Health Center)

Research compliance monitor Gustavo Fernandez (right) accepts the Best Compliance Practices Award for Monitoring Financial Conflict of Interest in Research on behalf of the UConn Health Center from Dr. Mark Pastin of the Health Ethics Trust. (Photo provided by Health Ethics Trust)

Research compliance monitor Gustavo Fernandez (right) accepts the Best Compliance Practices Award for Monitoring Financial Conflict of Interest in Research on behalf of the UConn Health Center from Dr. Mark Pastin of the Health Ethics Trust on October 25, 2011. (provided by Health Ethics Trust for UConn Health Center)
Research compliance monitor Gustavo Fernandez (right) accepts the Best Compliance Practices Award for Monitoring Financial Conflict of Interest in Research on behalf of the UConn Health Center from Dr. Mark Pastin of the Health Ethics Trust. (Photo provided by Health Ethics Trust)

The University of Connecticut has been recognized with two Best Compliance Practices Awards from the Health Ethics Trust.

UConn won the category of “Governance, Oversight and Self-Assessment,” and the Health Center won “Monitoring Financial Conflict of Interest in Research.”

“We’re really proud of both of these awards,” says Mike Walker, UConn’s chief audit and compliance officer. “The committee award recognizes the structure and oversight of the Joint Audit and Compliance Committee (JACC). The best practice is having a board-level committee that has functional oversight, of the audit and compliance function,   independent from management. The reporting structure within our office is to the Audit Committee, and administratively to the President. That gives us sufficient independence to write reports and do investigations without intervention, and gives us validity with what we write, unbiased, at arm’s length from the administration. We are fortunate to operate in a supportive environment with President Herbst and Trustee Nayden (chair of the JACC) being strong advocates of compliance operations and our audit function.”

With respect to the conflict of interest in research monitoring program, Walker says avoiding the appearance of conflict of interest is crucial to the Health Center’s reputation.

“We want to encourage contact with industry and also ensure it is conducted in a transparent way that avoids a perception or actual conflict of interest,” Walker says. “The COI award is a tribute to Gus Fernandez and Dr. Joan Caron. They’ve really worked hard on that and have done a great job.”

Caron is the director of the Office of Research Compliance and Fernandez is a research compliance monitor. The Office of Research Compliance reports through the Health Center’s Compliance Office managed by Iris Mauriello, the compliance integrity/privacy officer.

Fernandez and Walker accepted the awards at the 14th Annual Healthcare Compliance Best Practices Forum in Washington, D.C., Oct. 24 and 25.

The Health Ethics Trust’s mission is to assist healthcare organizations committed cope with compliance requirements. It is a division of the nonprofit Council of Ethical Organizations of Alexandria, Va.

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