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SPECIAL INVESTIGATIVE REPORT-04-2012

SPECIAL INVESTIGATIVE REPORT-04-2012

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Published by: jmartin4800 on Apr 26, 2012
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 SPECIAL INVESTIGATIVE REPORTREGARDING ALLEGATIONS OF IMPROPRIETYBY DR. C. KERN WILDENTHALRELATING TO TRAVEL AND ENTERTAINMENT EXPENSESPAID FOR BYUNIVERSITY OF TEXAS SOUTHWESTERN MEDICAL CENTER
byPaul Hastings LLPApril 23, 2012
 
TABLE OF CONTENTS
Page-ii-INTRODUCTION ............................................................................................................. 1I. EXECUTIVE SUMMARY ............................................................................................... 2II. THE DMN INVESTIGATION.......................................................................................... 5III. DR. WILDENTHAL’S SPENDING OF UTSW FUNDS ANDDOCUMENTATION AND OVERSIGHT BY UT SYSTEM AND UTSW ................... 6A. Dr. Wildenthal exercised questionable judgment in making discretionarydecisions on spending within UTSW’s broad mandate. ........................................ 71. Dr. Wildenthal’s Position at UTSW, Broad Spending Mandate andConduct ...................................................................................................... 72. Dr. Wildenthal’s Well-Defined Fundraising Strategy and Gifts of Appreciation to Donors .............................................................................. 9B. UT System and UTSW had policies and procedures in place governing theapproval, documentation, reporting and auditing of Dr. Wildenthal’s traveland entertainment expenses. ................................................................................ 101. Travel Authorizations .............................................................................. 102. Business Purpose for Travel .................................................................... 103. Documentation of Travel Expenditures ................................................... 124. Spousal Travel ......................................................................................... 125. Entertainment Expenses ........................................................................... 13C. UT System’s policies and procedures governing Dr. Wildenthal’sspending were adequate but not enforced at UTSW. ........................................... 141. Travel Authorizations .............................................................................. 142. Travel Expenses ....................................................................................... 153. Entertainment Expenses ........................................................................... 16D. Dr. Wildenthal’s spending was not sufficiently documented to show thebusiness purpose and benefit to UTSW, and as a result it was not subjectedto meaningful review. .......................................................................................... 161. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s trip to Copenhagen inSeptember and October 2008. .................................................................. 172. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s trip to a conference in Nicein June 2009. ............................................................................................ 173. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s trip to New Zealand inJanuary 2010. ........................................................................................... 19
 
TABLE OF CONTENTS
Page-iii-4. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s trips to England in February2009 and May 2009. ................................................................................ 20a. Dr. Wildenthal’s Trip to England: February 2009 ....................... 20b. Dr. Wildenthal’s Trip to England: May 2009 .............................. 205. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s trips to Raleigh-Durhambetween 2004 and 2010. .......................................................................... 216. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s trips to England in 2006 and2007 for partnership discussions with St. Mark’s Hospital. .................... 217. The DMN alleged that Dr. Wildenthal’s involvement with andexpenditures relating to Robert Lloyd did not have a legitimatebusiness purpose. ..................................................................................... 228. The DMN alleged that there was insufficient substantiation of business purpose for Dr. Wildenthal’s travel to Barcelona inSeptember 2005. ...................................................................................... 22E. UT System and UTSW audits failed to alert officials at UT System orUTSW that there were risks related to Dr. Wildenthal’s spending andexpense documentation ........................................................................................ 231. Audit System ............................................................................................ 23a. UT System ................................................................................... 23b. UTSW .......................................................................................... 242. Quarterly Reports ..................................................................................... 243. Annual Audit of Presidential Expenses ................................................... 25a. May 2006 Audit of UTSW .......................................................... 26b. November 2006 Audit of UTSW ................................................. 27c. December 2007 Audit of UTSW ................................................. 274. Special Audits Conducted of UTSW by UT System ............................... 27a. January 2008 Audit of UTSW ..................................................... 28b. March 2008 Audit of UTSW ....................................................... 28c. December 2008 Audit of UTSW ................................................. 295. Audit Committees at UT System Institutions .......................................... 31F. UTSW’s manner of accounting for and acknowledging Dr. Wildenthal’sdonations was inadequate, at times resulting in inaccurate gift letters beingissued to him. ....................................................................................................... 32

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