Appointments in Audit and Compliance
Rick N. Whitfield, Vice President for Audit and Compliance, said in
announcing key leadership appointments made in his area over the past several
months that they are part of "the progress toward accomplishing strategic
goals for restructuring.
"Penn's business environment has changed significantly, and change
will continue," he said. "The
Agenda for Excellence recognized the need to upgrade internal controls,
risk management and compliance functions to minimize Penn's financial,
operational, regulatory and reputation-al risks. The success of any organization
is dependent on having excellent people who understand changing business
environments, seek to continuously improve processes and approach change
in a proactive manner. I have been successful in recruiting these outstanding
leaders to join Penn's expanded management team."
Salim M. Alani, Director of Audit
Mr. Alani joined the Office of Audit and Compliance in September as
the Director of Audit/University, responsible for the management and oversight
of "all audit-related matters for the University." With 19 years'
experience in higher education and public accounting, he comes to Penn
from Tufts University, where he had been director of internal audit since
1985. There he was responsible for formalizing the internal audit function
and directing all internal audit activities. He was instrumental in preparing,
with Tufts' external auditors, an integrated audit work plan approach that
was the first of its kind in higher education. He also served on numerous
task forces, search committees and business process re-engineering projects.
Earlier he was at the Massachusetts Institute of Technology and at Arthur
Andersen & Company.
Mr. Alani received his B. S. in Business Administration from Northeastern
University and is a Certified Internal Auditor, Certified Information Systems
Auditor and Certified Fraud Examiner. He currently serves on the Grants
and Review Board of His Highness Prince Aga Khan Shia Imami Ismaili, U.S.A.
He is also a member of the Association of College and University Auditors,
Institute of Internal Auditors, Information Systems Audit and Control Association,
Association of Fraud Examiners, and past president of the New England Chapter
of Information Systems Audit and Control Association.
Mary Lee Brown, Director of Audit
Ms. Brown joined the Office of Audit and Compliance in March after 18
years with Johns Hopkins University. She served there in several leadership
roles, including director of accounting services in the Controller's Office,
and assistant director and EDP audit manager in the Office of Audits and
Management Services. Ms. Brown directed a large operational staff while
also leading or participating in diverse short- and long-range projects
to bring about major improvements and efficiencies to the overall financial
processes and systems.
As director of accounting services, she was responsible for the day-to-day
management of a $2.85 million annual budget and five operational units.
Utilizing her understanding of management information systems and business
processes and procedures, she co-developed a plan and effectively co-led
a team to complete a three-year financial system implementation.
Ms. Brown received her B.A. in Accounting from Loyola College in Baltimore,
Maryland. She is a member of the Association of College and University
Auditors, Institute of Internal Auditors, and the Information Systems Audit
and Control Association. She is a Certified Internal Auditor.
Craig A. Failing, Director of Audit,
Mr. Failing joined the Office of Audit and Compliance in June after
14 years' experience in both a "Big Six" professional services
firm and private industry. He has expertise in health-care, manufacturing
and biotech industries, and experience in audit, internal controls, mergers
and acquisitions, SEC filings, project management, consulting and managed
The former senior manager for Coopers & Lybrand, L.L.P., Philadelphia,
was interim chief financial officer for the University of Pennsylvania
Institute for Human Gene Therapy in 1996-97. His other responsibilities
at Coopers & Ly-brand included management of consulting and other professional
services, audits and relationships for local, domestic and international
clients. Earlier in his career held various posts at Playtex International.
Mr. Failing received his B.S./Accounting in 1983 from West Chester University,
and his M.B.A. in 1986 from Wilmington College.
Odell Guyton, Corporate Compliance
Odell Guyton, Esq., was named Corporate Compliance Officer of the University
of Pennsylvania on December 15, coming to Penn from the Philadelphia firm
of Miller, Alfano & Raspanti, P.C., where he had been counsel since
A 1977 alumnus of Moravian College, Mr. Guyton received his J. D. from
American Uni-versity's Washington College of Law in 1981, and embarked
on a 16-year career of complex litigation and investigative experience
in "white collar" criminal defense, fraud and abuse, tax, money
laundering, RICO, and qui tam litigation. In addition, he has acquired
extensive experience in the areas of corporate compliance, corporate internal
investigations, legal audit, federal and state grand jury representation
and the sentencing guidelines.
Prior to entering the private practice of law, he served as an Assistant
U. S. Attorney for the Eastern District of Pennsylvania from 1988 until
1993. During the latter part of 1993, Odell concluded his career as a federal
prosecutor by serving as a Special Assistant U. S. Attorney. In July 1992,
he received the prestigious Director's Award for Superior Performance as
an Assistant United States Attorney at a national ceremony in Washington,
D.C. Among his other honors, he was named to the Who's Who of Emerging
Leaders in America --1989-1990, the Who's Who in American Law --1987,
and the Outstanding Young Men of America --1981.
Earlier in his career, he served as a prosecutor for the Philadelphia
District Attorney's Office, 1981-1988, using the state grand jury to investigate
organized crime and corruption. He served with distinction at the Philadelphia
District Attorney's Office, and has held various supervisory positions
including that of Deputy District Attorney (the third highest rank in the
Mr. Guyton has appeared as a legal commentator on national and local
television programs. He is on the board of Northwest Victim Services in
Philadelphia and is on the executive committee of the Board of Trustees
of Moravian College. He is a member of the Pennsylvania Bar, the United
States District Court, the Bar of the Third Circuit Court of Appeals, the
Criminal Justice Act Selection Committee, the Philadelphia Bar Association
and the American Bar Association.