Master of Business Administration (Financial Services)

1. Organization and Program InformationAppendix 1.1. Submission Title PageFull Legal Name of Organization:Dalhousie UniversityOperating Name of Organization:Dalhousie UniversityCommon Acronym of Organization (if applicable):DALURL for Organization Homepage (if applicable):http://www.dal.ca/Proposed Degree Nomenclature:Master of Business Administration (Financial Services)Location (specific address) where program to be delivered (each location requires a locationspecificconsent from the Minister):Halifax, NS; Toronto, ON; Scarborough, ON; Calgary AB, Vancouver, BCContact Information:Person Responsible for this Submission:Name/Title: Ron Stubbert, Assistant Dean, AdministrativeFull Mailing Address:Dalhousie UniversityFaculty of Management6100 University Avenue, Suite 3050Halifax, NS B3H 3J5Telephone: (902) 494-1183Fax: (902) 494-1195E-mail: ron.stubbert@dal.caSite Visit Coordinator (if different from above):**Name/Title: Michelle HunterFull Mailing Address: 6100 University Avenue, Suite 3100Telephone: (902) 494-1828Fax: (902) 494-5164E-mail: michelle.hunter@dal.caAnticipated Start Date: Program started in 1996Anticipated Enrolment for the first 4 years of the program: (Program launched in 1996 with 95enrolled students)Enrolment numbers are based on the last four years – anticipate a steady enrolment of 200 -250for the next 4 years.Year 1 Fall 2006 = __228; Year 2 Fall 2007 = ___242_;Year 3- Fall 2008 = _244___; Year 4 – Fall 2009 = 234___Initial Tuition Fee: $ __2550.00/course___ (Part Time studies )* The person who is the primary contact for the submission on matters pertaining to proposalcontent and communications from the Postsecondary Education Quality Assessment Board.** This person will be the organization’s liaison for coordinating the site visit.1

Table of ContentsAppendix 1.2 Table of Contents1. Organization and Program Information .......................................................................................... 1Appendix 1.1. Submission Title Page ................................................................................................... 1Appendix 1.2 Table of Contents ........................................................................................................... 22. Executive Summary ........................................................................................................................... 4Appendix 2.1 Executive Summary ....................................................................................................... 43. Program Abstract .............................................................................................................................. 7Appendix 3.1 Program Abstract ........................................................................................................... 74. Program Degree- Level Standard .................................................................................................... 8Appendix 4.1 Degree Level Summary ................................................................................................. 8Appendix 4.2 Sample of Student Work .............................................................................................. 105. Admissions, Promotion, Graduation Standard............................................................................. 11Appendix 5.1.1 Admission Requirements Direct Entry ..................................................................... 18Appendix 5.1.2 Admission Policies and Procedures for Mature Students ......................................... 19Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures .............................................. 20Appendix 5.2.2 Advanced Placement Policies ................................................................................... 25Appendix 5.2.3 Degree Completion Arrangements ........................................................................... 50Appendix 5.2.4 Gap Analysis ............................................................................................................. 51Appendix 5.2.5 Bridging Courses ...................................................................................................... 52Appendix 5.3 Promotion and Graduation Requirements .................................................................... 536. Program Content Standard ............................................................................................................ 64Appendix 6.1 Program Advisory Committee ..................................................................................... 64Appendix 6.1.1. Program Advisory Committee Membership ............................................................ 65Appendix 6.1.2 Program Advisory Committee Minutes .................................................................... 68Appendix 6.2.1 Professional/Accreditation or Other Requirements .................................................. 69Appendix 6.3.1 Program Level Learning Outcomes .......................................................................... 70Appendix 6.3.2 Course Descriptions .................................................................................................. 77Appendix 6.3.3.1 Program Hour/Credit Conversion Justification ..................................................... 80Appendix 6.3.3.2 Undergraduate Academic Course Schedule ........................................................... 81Appendix 6.3.3.3 Graduate Academic Course Schedule Information ................................................ 82Appendix 6.4 Course Outlines ............................................................................................................ 84Appendix 6.5.1 Support for Work Experience ................................................................................... 877. Program Delivery Standard ............................................................................................................. 88Appendix 7.1 Quality Assurance for Program Delivery ................................................................... 88Appendix 7.1.2 Policy on Student Feedback .................................................................................... 1212

Appendix 7.1.3 Student Feedback Instruments ................................................................................ 124Appendix 7.2.2 Academic Community and online learning ............................................................ 1458. Capacity to Deliver Standard ........................................................................................................ 147Appendix 8.1 Legal Characteristics .................................................................................................. 147Appendix 8.2 Governance Structure ................................................................................................. 148Appendix 8.3.1 Coordinated Business and Academic Plans to Support Program Quality .............. 150Appendix 8.3.2 Administrative Staff ................................................................................................ 151Appendix 8.4 Participation in Academic Policies and Standards ..................................................... 153Appendix 8.5.1 Library Resources ................................................................................................... 156Appendix 8.5.2 Computer Access .................................................................................................... 167Appendix 8.5.3 Classroom Space ..................................................................................................... 177Appendix 8.5.4 Laboratories/Equipment ......................................................................................... 180Appendix 8.6 Resource Renewal ...................................................................................................... 181Appendix 8.7 Support Services ........................................................................................................ 182Appendix 8.8 Policies on Faculty ..................................................................................................... 186Appendix 8.9.2 Curriculum Vitae of Current Faculty Assigned to Degree Program ....................... 191Appendix 8.9.2 (E) Curriculum Vitae for On-line Learning Professional and Technical Staff ....... 289Appendix 8.10 Enrolment Projections and Staffing Implications .................................................... 2909. Credential Recognition ............................................................................................................... 29010. Regulation and Accreditation Standard ..................................................................................... 29311. Program Evaluation Standard ................................................................................................... 294Appendix 11.1 Program Evaluation Policies and Procedures .......................................................... 29412. Academic Freedom and Integrity Standard .............................................................................. 295Appendix 12.1.1 Academic Freedom Policy .................................................................................... 295Appendix 12.1.2 Academic Honesty Policy ..................................................................................... 296Appendix 12.1.3 Academic honesty Procedure ................................................................................ 303Appendix 12.2 Policy on Intellectual Policies .................................................................................. 307Appendix 12.3 Policy on Ethical Research Practices ....................................................................... 31013. Student Protection Standard ....................................................................................................... 316Appendix 13.1 Academic Calendar Information .............................................................................. 316Appendix 13.2 Student Protection Policies ...................................................................................... 317Appendix 13.2.1 Dispute Resolution ................................................................................................ 319Appendix 13.2.2 Fees and Charges .................................................................................................. 320Appendix 13.2.3 Student Dismissal.................................................................................................. 321Appendix 13.2.4 Withdrawals and Refunds ..................................................................................... 322Appendix 13.3 Student Protection Information ................................................................................ 3233

Section of SubmissionContent to Be IncludedQuality Assessment Panel Nominees1. Title Page 1Appendix 1.1 Submission Title PageAppendix 1.2 Table of Contents2. Executive Summary 2Appendix 2.1 Executive Summary3. Program Abstract 3Appendix 3.1 Program Abstract4. Program Degree-Level Standard 4Appendix 4.1 Degree Level SummaryAppendix 4.2 Samples of Student Work5. Admissions, Promotion, Graduation Standard 5Appendix 5.1.1 Admissions Requirements Direct EntryAppendix 5.1.2 Admissions Policies and Procedures for Mature StudentsAppendix 5.2.1 Credit Transfer/Recognition Policies and ProceduresAppendix 5.2.2 Advanced Placement PoliciesAppendix 5.2.3 Degree Completion ArrangementsAppendix 5.2.4 Gap AnalysisAppendix 5.2.4 Bridging CoursesAppendix 5.3 Promotion and Graduation Requirements6. Program Content Standard 6Appendix 6.1.1 Program Advisory Committee MembershipAppendix 6.1.2 Program Advisory Committee MinutesAppendix 6.2.1 Professional/Accreditation or Other RequirementsAppendix 6.2.2 Letters of Support: Professional/Accreditation or OtherRequirements (N/A)Appendix 6.3.1 Program Level Learning OutcomesAppendix 6.3.2 Course DescriptionsAppendix 6.3.3.1 Program Hour/Credit Conversion JustificationAppendix 6.3.3.2 (A and/or B) Undergraduate Academic Course Schedule(s)Appendix 6.3.3.3 (A and/or B) Graduate Academic Course Schedule (s)Appendix 6.4. Course OutlinesAppendix 6.5.1 Support for Work ExperienceAppendix 6.5.2 Work Experience Outcomes and Evaluation7. Program Delivery Standard 7Appendix 7.1.1 Quality Assurance PoliciesAppendix 7.1.2 Policy on Student FeedbackBinderTab

Appendix 7.1.3 Student Feedback InstrumentsAppendix 7.2.1 On-Line Learning Policies and PracticesAppendix 7.2.2 Academic Community Policies8. Capacity to Deliver Standard 8Program.Appendix 8.1 Legal CharacteristicsAppendix 8.2.1 Governance and Administrative StructureAppendix 8.2.1 Responsibilities of Governing BodiesAppendix 8.2.3 Reporting StructureAppendix 8.3.1 Coordinated Business and Academic PlansAppendix 8.3.2 Administrative StaffAppendix 8.4 Participation in Academic Policies and StandardsAppendix 8.5.1 Library ResourcesAppendix 8.5.2 Computer AccessAppendix 8.5.3 Classroom SpaceAppendix 8.5.4 Laboratories/Equipment (where applicable)Appendix 8.6 Resource Renewal and UpgradingAppendix 8.7 Support ServicesAppendix 8.8 Policies on FacultyAppendix 8.9.2 Curriculum Vitae for Current Faculty Assigned to DegreeAppendix 8.9.2 E Curriculum Vitae for On-line Learning Professional andTechnical StaffAppendix 8.10 Enrolment Projections and Staffing Implications9. Credential Recognition Standard 910. Regulation and Accreditation Standard 1011. Program Evaluation Standard 11Appendix 11.1 Periodic Review Policy and Schedule12. Academic Freedom and Integrity Standard 12Appendix 12.1.1 Academic Freedom PolicyAppendix 12.1.2 Academic Honesty PolicyAppendix 12.1.3 Academic Honesty ProcedureAppendix 12.2 Policy on Intellectual ProductsAppendix 12.3 Policy on Ethical Research Practices13. Student Protection Standard 13Appendix 13.1 Academic Calendar InformationAppendix 13.2.1 Dispute ResolutionAppendix 13.2.2 Fees and Charges

Appendix 13.2.3 Student DismissalAppendix 13.2.4 Withdrawals and RefundsAppendix 13.3 Student Protection Information14. Optional Material 14Appendices 14.1 – 14.n Other Relevant Information- Course outlines- Faculty of Graduate Studies Calendar- MBA(FS) Reference Guide- Package provided to students upon acceptance

2. Executive SummaryAppendix 2.1 Executive SummaryProgram Title and Credential:Master of Business Administration (Financial Services)Discipline/Field of Study:BusinessPrior work experience is required for admission and degree completionAnticipated Program Start Date:Dalhousie has been offering the MBA (Financial Services) program since 1996 with close to 720graduates and an expected 40 more this fall.Organization Overview and Program Description:Originally founded in 1818, by George Ramsey, the 9 th Earl of Dalhousie, Dalhousie Universityoperates under an act of the legislature of the Province of Nova Scotia. As the oldest, largest and mostcomprehensive university in Eastern Canada, Dalhousie has developed a strong national reputation forquality. This reputation is based on the University's academic excellence, the scope and breadth of itsprograms and the track record of its graduates in the working world.The Maritime Provinces Higher Education Commission (MPHEC) oversees all of the programapprovals, modifications and changes, as well as, audits the quality assurance for universities in NovaScotia, New Brunswick and Prince Edward Island.Dalhousie University is divided into eleven Faculties with each Faculty headed by a Dean whoexercises academic and administrative authority under the guidelines established by the University’sBoard of Governors. The Faculty of Management comprises four Schools: Business Administration,Public Administration, Information Management and Resource and Environmental Studies. TheFaculty offers four business programs that have been accredited by AACSB International, two fouryearundergraduate programs; the Bachelor of Commerce and the Bachelor of Management and twograduate programs; the MBA and the MBA (Financial Services).4

The FS program has been developed in response to industry demand. It specifically addresses theneeds of individuals who are working full-time, may be resident outside major communities withuniversities, and require materials that are available in a format providing for a process of self-directedstudy within the limitations of individual schedules. These needs are addressed while still providing ahigh level of academic standards, and having the student interact with the professor and other studentsfor a period of time which is similar in duration to that spent in class by full-time MBA students.This innovative degree program is primarily designed for upper-middle managers and juniorexecutives in the financial services sector. They are leaders who rely on people, financial resources,and technology to achieve results; managers who constantly face challenging decisions. A high calibreof students entering the program is ensured through a review of past academic performance as well asjob performance at the management level, references, and a review of each applicant’s personalresume. Once accepted by Dalhousie University, a student must complete the requirements for theMBA (FS) degree within seven years.The individuals selected for entrance to this program are expected to contribute to the development oftheir fellow students through their sharing of management experiences. The academic personnelinstructing each course provide the additional knowledge base, analytical skills and problem-solvingcapacity necessary for them to develop and expand participants’ existing management skills.SBA courses are offered via a distance education format consisting of seventeen weeks of distancestudy and assignments followed by a three-to-five-day intensive learning session. The capstonecourse, Strategic Leadership and Change, is taken after all other relevant courses are completed andconsists of eight weeks of distance study and assignments followed by a one-week intensive learningsession conducted at Dalhousie University. Students must be able to integrate their new knowledgeinto everyday responsibilities, on a course-by-course basis, in their existing positions and as theircareers progress.During the period students spend with the distance portion of the materials in each course, they submitassignments that are marked and returned with detailed feedback. In addition, students have access toa university professor by phone, fax, and e-mail, Internet conference boards and chat rooms.5

Generally, this is the same professor who will be instructing the intensive session held at the end ofeach course. As a result, the professor, through reviewing the students’ assignments and conversationwith them, is familiar with the students’ requirements when she/he arrives in the classroom for theintensive session. This provides a much stronger learning process than the situation where a professorsees the students for the first time on the day that the class starts, and will only spends a short time withthem. While many distance programs that offer accredited MBA programs do not require intensives inevery course, the FS program has continued to use them in spite of their considerable travel expensefor many students and their expense to the FS program itself.6

3. Program AbstractAppendix 3.1 Program AbstractThe Dalhousie MBA (Financial Services) degree helps managers in the financial services industryenhance their skills by furthering their abilities to exercise leadership and make sound businessdecisions, honing their analytical skills, and sharpening their judgment in managerial and client serviceroles. The program broadens the horizons of financial managers by exposing them to business conceptsnecessary inside and outside the industry, thereby enhancing performance in their present positions andincreasing their scope of career opportunities.The part-time MBA (FS) program is delivered using a blended learning model of combining distanceand classroom instruction.7

4. Program Degree- Level StandardAppendix 4.1 Degree Level SummaryThe MBA (FS) program is a master’s level degree program specifically tailored to the FinancialServices sector of the business world. There are several streams designed specifically for variousbanking and insurance institutions.Through the program, students will gain:• a detailed understanding of key issues faced by senior managers of financial institutions;• a grasp of concepts and skills utilized in an efficient and effective financial institutions;• a comprehensive look at the industry through the discussions with other students representingthe major financial institutions;• the ability to make the most effective use of the resources available to managers, and todevelop solid relationships with clients;• an enhanced ability to anticipate future trends so that managers can adjust their strategies tochanging conditions;• a better ability to understand the broad-based skills necessary to run a large business. This addsto and complements the functional training and experience developed through progressionwithin the work environment;• an enhanced ability to envision and manage the environment of change, which is a continuingdynamic in today’s business climate;• broader knowledge of business in general, enabling managers to better run their own businesswhile incorporating information and innovation from all business environments. This will alsoenhance the recognition of potential strategic partnerships within the business community.Successful applicants will be able to integrate their new knowledge into everyday job responsibilities,on a course-by-course basis, in their existing positions, and as their careers progress within thefinancial services industry.Its distance education format specifically addresses the needs of individuals who are working full time,who may be living outside communities with universities, whose job requires them to be mobile,and/or who require materials available in a self-directed study format. These needs are addressed whilestill ensuring a high level of academic excellence and enabling students to interact with their professors8

and each other for a specified period of time, similar in duration to that spent in class by full-timeMBA students.The part-time MBA (FS) program is delivered using a blended learning model of combining distanceand classroom instruction. Dalhousie MBA courses are offered via online distance education usinguniversity texts supplemented with teaching notes and on-line correspondence. The format of eachcourse is a four month distance portion concluding with a three to five day intensive classroomsessions (which includes a three-hour exam) held in a major centre where demand warrants. There isno guarantee that sessions will be held in a particular location and participants may be required totravel to attend these sessions. (If this is the case, students are responsible for their own transportationand accommodation.)The program concludes with a capstone course, Strategic Leadership and Change. The course may betaken only after completion of all other course requirements and is only offered during the summersession at Dalhousie University in Halifax.This “blended learning model program” gives students the same MBA degree from the Faculty ofGraduate Studies at Dalhousie University as students who are enrolled in the full-time, residentialprogram. As is the case with the full-time program, enrolment is not a guarantee of success. Studentsmust meet a rigorous standard of performance and will not be passed in any individual course wherethey do not meet this standard.The Dalhousie courses are comparable to the required core courses in the full-time MBA program anduse University texts supplemented with teaching notes prepared by Dalhousie professors or qualifiedpersonnel from other Canadian universities. To graduate from the MBA (Financial Services) Program,students must successfully complete all required courses outlined in the specific stream noted. Thisdegree has full and equal status with all other Masters-level degrees approved and granted byDalhousie University.The School of Business programs (including the MBA- Financial Services) is AACSB International(Association to Advance Collegiate Schools of Business) accredited.9

Appendix 4.2 Sample of Student Work“The organization has on file and available upon request samples of student work as per therequirements of Appendix 4.2 and Benchmark 2 of the Degree Level standard:Assessment of individual student work in the terminal stage of the program, that reflectsexemplary, average, and minimally acceptable performance, demonstrates that the degree levelstandard has been achieved.10

5. Admissions, Promotion, Graduation StandardThis innovative degree program is primarily designed for managers and executives in the financialservices industry. These individuals are leaders who must constantly make challenging decisions andhave to rely on people, financial resources and technology to achieve results. The high caliber ofstudents entering the program is ensured through a rigorous review of past academic performance, andcurrent job performance at the management level, as well as each applicant’s résumé and references.Admission RequirementsFaculty of Graduate Calendarhttp://gr.cal.dal.ca/FACS.htm2.2 Master's Degree ProgramCandidates for admission must hold at least a Bachelor's Degree with a minimum B average in the last60 credit hours from a university of recognized standing, with the following conditions:a. For entry into a Master's program with a thesis requirement, candidates must hold a Bachelor'sDegree with an honours or the equivalent of honours standing as granted by Dalhousie Universityin the area in which graduate work is to be done or an area which is relevant to the graduate work.A four (4)-year Bachelor's degree may be considered as equivalent of honours if there is evidenceof independent research capacity (such as a research project as part of a class) or if the degree isofficially approved as an honours equivalent. In those cases where a candidate has a three (3)-yeardegree and a four (4)-year degree honours program was not available to them, first-classcandidates will be considered for admission to a two-year program.b. For entry into all other programs, candidates must hold a Bachelor's Degree with at least four (4)classes, or their equivalent, taken at a senior undergraduate level in the area in which graduatework is to be done or an area which is relevant to the graduate work. Candidates must achieve anaverage of at least a B in those four classes, as well as the overall B average in the last 60 credithours for their degree.11

c. Some professional programs offer a one-year Master's program for which an honours degree orequivalent is not required for admission. See Departmental Listings for details of individualprogram admissions.A small number of mid-career Master's degrees (see 6.4.3) allow entry either with or without aBachelor's degree, depending on the qualifications of the applicant. Admission to such programs, aswith all graduate programs, is at the discretion of the Faculty of Graduate Studies.6.4.3 Specialty and Mid-Career Master's DegreesA number of specialty Master's degrees have been and continue to be developed to meet specific needsand demands for graduate education in commerce, public service, and industry. Some but not all ofthese programs are degrees designed for mid-career professionals. These are primarily class-basedprograms, with some component of work and professional experience (either as part of the program oras pre-requisites for admission). All or part of the classes may be offered in a distance education mode.They currently include the MBA (Financial Services), MPA (Management), MEng (Internetworking),EMEC (Executive Masters of Electronic Commerce) and MIM.(FGS) -II. Admission RequirementsRegulations of the Faculty of Graduate Studies govern admissions. Admission is approved by theFaculty of Graduate Studies, on the recommendation of the School of Business Administration.Applicants must hold a degree recognized by Dalhousie University as the equivalent of a four-yearBachelor's Degree in one of its own faculties or any institution recognized by Dalhousie University.The minimum requirement is a B average (GPA 3.0).A complete application includes:• $70.00 application fee• Faculty of Graduate Studies application forms• Two reference letters, (academic - unless working full-time 5+ years)• GMAT results (no required for MBA(Financial Services) program)• TOEFL results, where applicable (or MELAB, IELTS, CAEL or Cantest)12

• Letter of Financial Guarantee (non-Canadian applicants)• Transcripts from each institution attended (two copies - both originals)• Personal Statement• Your resume (two copies)• Proof for certificates or designations from Financial Planner Standards Council ifapplying for CFP stream• Prior Learning Assessment Portfolio (If required)13

• Sample of standard application form below; supplementary application documents andforms can be found on the program website:http://mbafs.management.dal.ca/CSI_Admission.htm14

Appendix 5.1.1 Admission Requirements Direct EntryAcademicRelated Work ExperienceOtherProgram Admission RequirementsApplicants must have a degree recognized by DalhousieUniversity as equivalent to an undergraduate degree withan equivalent Grade Point Average (GPA) of 3.0 (on a 4.3scale).3-5 years work experience in the Financial Service sectorResume, letter of intent, recommendation letters(minimum of 1 employment & 1 academic), confirmationof employment, complete admission interview, successfulcompletion18

Appendix 5.1.2 Admission Policies and Procedures for Mature StudentsAcademicAcademic – ProfessionalRelated Work ExperienceOtherProgram Admission RequirementsApplicants must have a degree recognized by DalhousieUniversity as equivalent to an undergraduate degree withan equivalent Grade Point Average (GPA) of 3.0 (on a 4.3scale).Evidence of continuing education (ie, professionalprograms or designations and/or some college oruniversity courses).See chart belowMinimum of 5 years management level experience andresponsibilities in the financial service sector.Resume, letter of intent, recommendation letters(minimum of 2), confirmation of employment, interview,Prior Learning Assessment portfolio (see attachedguidelines and assessment tools)19

5.2 Advanced StandingAppendix 5.2.1 Credit Transfer/Recognition Policies and ProceduresAcademicAcademic –ProfessionalRelated Work ExperienceOtherProgram Admission RequirementsApplicants must have a degree recognized by DalhousieUniversity as equivalent to an undergraduate degree withan equivalent Grade Point Average (GPA) of 3.0 (on a 4.3scaleSee chart below5 years work experience in the Financial Services sectorResume, letter of intent, recommendation letters(minimum of 2), confirmation of employment, interviewAdvanced Standing Program Chart*( all courses must have been completed within a 10 yearperiod prior to admission)All below courses/program have been reviewed andapproved by the Dalhousie MBA(Financial Services)Academic committee and the Faculty of Graduate StudiesCSI Financial Services Management Program(Professional Banking Program (PBP) )Human Resource Management: A Financial Institution PerspectiveGlobal Financial Systems and MarketsFinancial Services MarketingUsing Information Technology to Gain Competitive AdvantageBank Financial ManagementStrategic Thinking: a Financial Services ApproachIntegrative ProjectCSI Wealth Management Program(Personal Financial Planning/Personal Trust Programs)STREAM IAdmissionRequirementsIn addition to the abovenoted admission criteria,candidates applying foradvanced standing mustmeet the followingrequirements:To be admitted to theMBA (FinancialServices) Program underthe ProfessionalBanking programstream, applicants mustMinimum of 2 coursescompleted from thisprogram (must completeall 7 prior to registeringfor the final capstonecourse in the MBA (FS)program.To be admitted to theMBA (FinancialServices) Program underthe Wealth Management20

Servicing the ClientWealth ValuationRisk and InsuranceInvestment and Portfolio ManagementEstate PlanningEngineering of a Trustprogram Stream ,applicants must havecompleted a Minimumof 2 courses completedfrom this program (mustcomplete all 8 prior toregistering for the finalcapstone course in theMBA (FS) program.Trust and Estate ManagementUsing Information Technology to Gain Competitive AdvantageSTREAM IIFundamentals of Personal FinanceInvestment and Taxation FundamentalsInsurance and RetirementInvestment and Tax PlanningRisk Management and Estate PlanningEngineering of a TrustTrust and Estate ManagementUsing Information Technology to Gain Competitive AdvantageCanadian Securities ProgramAll applicants must complete this category.Canadian Securities Course (CSC)CoreApplicants must complete one of the core pairings.Professional Financial Planning Course (PFPC) and WealthManagement Techniques (WMT) and/or Managing High Net Worth(MHNW)Investment Management Techniques (IMT) and PortfolioTo be admitted to theMBA (FinancialServices) Program underthe Canadian Securitiesprogram stream,applicants must havecompleted three coursesfrom the CSI. Thesecourses must include theCanadian SecuritiesCourse (CSC) and 1 setof the core pairings (seechart below) with an21

Management Techniques (PMT)Derivatives Fundamentals Course (DFC) and Technical AnalysisCourse (TAC)Derivatives Fundamentals Course (DFC) and Financial MarketsRisk Management (FRM)Electivesoverall average markthat must be 70 percent or greater.The three additionalelectives must becomplete prior toregistering for the MBA(FS) capstone course.Applicants must complete three electives. If a course is to becounted as an elective, it cannot also be counted as part of thecore program.Professional Financial Planning Course (PFPC)Wealth Management Techniques (WMT)Investment Management Techniques (IMT)Portfolio Management Techniques (PMT)Derivatives Fundamentals Course (DFC)Options Licensing Course (OLC)Futures Licensing Course (FLC)Technical Analysis Course (TAC)Options Strategies Course (OSTC)Agricultural Markets Risk Management Course (ARM) – onlyoffered on special order to groupsEnergy Markets Risk Management Course (ERM)Financial Markets Risk Management Course (FRM)Canadian Insurance Course (CIC)Managing High Net Worth (MHNW)Fellow, Life Management Institute (FLMI) ProgramInsurance StreamPrinciples of Insurance: Life, Health and Annuities22To be admitted to theMBA (FinancialServices) Program underthe FLMI programstream, you must haveearned the FLMI

Insurance Company OperationsInsurance Administrationdesignation from LOMAwith a minimum averagegrade of 80 per cent.Legal Aspects of Life and Health Insurance - Canada OR BusinessLaw for Financial Services ProfessionalsMarketing Life and Health InsuranceManagement Principles and PracticesInformation Management in Insurance Companies OR Investmentsand Institutional InvestingFinancial Services EnvironmentAccounting and Financial Reporting in Life and Health InsuranceCompaniesManaging for Solvency and Profitability in Life and Health InsuranceCompaniesCFP Certification ProgramCFP Certification - Certified Financial Planner CertificationProfessional DesignationTo be admitted to theMBA (FinancialServices) Program underthe CFP programstream, applicants musthave a CFP (CertifiedFinancial Planner)designation ( in goodstanding) as certified bythe Financial PlannersStandards CouncilMBA (Financial Services) ADMISSIONS REQUIREMENTS – Advanced StandingI. Degree with GPA of 3.0 (B)i) Completion of minimum professional program courses as outline in chart above.ii) Employed in the financial services industryiii) Management experience irrelevantII. Degree without a GPA of 3.0 (B)1. 2.7 GPA (B-)i) Completion of minimum professional program courses as outline in chart above.ii) 3 years since graduation23

iii)5 years management experience at the appropriate job grade level.2. GPA Below 2.7i) Completion of minimum professional program courses as outline in chart above.ii) 5 years since graduationiii) 5 years management experience at the appropriate job grade level.III. Undergraduate Courses without Degree/ No Degree and No University Coursesi) Completion of minimum professional program courses as outline in chart above.ii) 5 years of management experience at the appropriate job grade level.iii) Prior Learning Assessment portfolio (see attached assessment guidelines)24

Appendix 5.2.2 Advanced Placement PoliciesThe organization’s admission policies that pertain to entrance examinations and advanced placement based onprior learning assessments.A small number of mid-career Master's degrees allow entry either with or without a Bachelor's degree,depending on the qualifications of the applicant. Admission to such programs, as with all graduateprograms, is at the discretion of the Faculty of Graduate Studies.The MBA (Financial Services) admission committee reviews and assesses the Prior Learning portfoliofor evidence that through professional experience the candidate possesses the skills equivalent to thosewhich would have been obtained through a traditional undergraduate degree experience and are requirefor success in a master’s level program. The major components are but are not limited to: of thefollowing components:1) Writing skills2) Analytical skills3) Research skills4) Management/Leadership skillsSECTION AI. Skills in research and investigation1. Use a variety of sources of information2. Apply a variety of methods to test the validly of data3. Identifying problems and needs4. Identify information sources appropriate to special needs or problems5. Formulate relevant questions to clarify a problem, topic or issueII. Report writing (demonstrated ability to write in a clear and informative manner)1. Logical sequencing2. Clarity of expression3. Ability to analyze and synthesize4. Capacity to present issues in a balanced manner5. Ability to draw conclusions and make recommendationsIII. Team work to accomplish tasks, i.e., reports and presentationsIV. Analytical SkillsV. Presentations—Can the applicant display that a presentation they have given:1. Addressed the relevant and significant issues2. Defined the key issues well25

3. Had appropriate facts, quotations, statistics, and documentation4. Reflected penetration in analysis5. Reflected appropriate sensitivity to political and administrative feasibility6. Had an introduction, development, and conclusion7. Reflected an adequate transition from one stage to anotherSECTION BI. Differentiate between fact and opinionII. Recognize and evaluate bias and rhetoricIII. Determine cause and effect relationshipsIV. Determine the accuracy/completeness of informationV. Recognize logical fallacies/faulty reasoningVI. Compare and contrast information/points of viewVII. Make inferences from materialsVIII. Make judgements and draw conclusionsSECTION C Part II. ManagingII. Project development & evaluationIII. OrganizingIV. CommunicationV. Managing organizations, people, resources and servicesVI. Preparing reportsSECTION C Part III. Provided advice on issues important to the organizationI. Displayed the ability to examine an issue in a critical manner:II. Challenged the status quoIII. Displayed a balance between theory and practiceIV. Added value to a reportV. Experience in evaluation techniques: personnel or projectVI. An understanding basic economic principles: supply and demand, different market typesVII. An understanding of basic accounting principles: budgeting, priority setting andfinancial planningVIII. Computer skills, ie., working with spreadsheets, word processing, email and the internetSECTION C Part IIII. Intellectual inquisitiveness and interest in exploring concepts and ideas in detail.II. The ability to learn a theoretical concept and apply it to a practical situation the work place.III. The ability to meet deadlinesIV. The ability to work under pressureV. The ability to multi task work assignmentsVI. Consistent work practices26

Samples of guidelines and assessment forms• MANAGEMENT EXPERIENCE PROFILE (Sent to applicant)MANAGEMENT EXPERIENCE PROFILEPlease complete this form if your GPA does not meet the minimum requirementsOR you do not have an undergraduate degree. When filling out this form please keep in mind theresponsibilities you have had in the past 5 years. If you have held different positions in the last 5years please fill out a separate form for each position.SECTION A (To be completed by Applicant)Name:Organization:Name of Immediate Manager:Email address of Immediate Manager:Job Title with Dates:SECTION B (To be completed by Applicant)1. HR ManagementAre you: (please check all that apply)• Responsible for the performance evaluation of more than one directreport• Responsible for approval of promotion and salary increases foryour direct reports• Responsible for signing performance appraisals as“Supervisor/Manager” or similar title• Responsible or co-responsible for hiring decisions• Responsible for approval to terminate unsatisfactory employees2. Financial ManagementDo you…: (please check all that apply)• Initiate first draft of budget preparation for his/her business unit andnegotiate changes with eventual authority to agree on final budget• Set annual sales quotas for more than one sales person• Have complete responsibility for the management of a unit budget(If “yes” please indicate amount $ )• Have major responsibility for in client investment portfolios (If“yes” please indicated amount $ )• Have supervisory, credit granting authority• Supervise others with lower credit-granting limits27

3. Information ManagementDo you act as an organization resource or subject matter expert at a high level for any of thefollowing?• Responsible for initiating, organizing, implementing and/ormanaging information/data with relation to technology and/orarchived materials• Certifies expertise that is applied in the performance of the job• Primary Responsible for the business unit’s knowledgemanagement• Makes decisions consistent with guidelines particular to an industryor profession (e.g. FICB, FLMI, CGA, CA, CMA, CMC, Memberof the bar)• Establish guidelines for subject matter expert’s to followApplicant’s Signature: ___________________________________________________________Date: ________________________________________________________________________SECTION C (To be completed by Manager)I hereby certify that the above information is correctManager’s Signature: ___________________________________________________________Manager’s Title: ________________________________________________________________Date: _________________________________________________________________________SECTION D For Office Use OnlyCFAME Approval:Date:28

• PRIOR LEARNING ASSESSMENT PORTFOLIO GUIDELINES (Sent to applicant)PRIORLEARNINGASSESSMENTGUIDELINESCENTRE FOR ADVANCED MANAGEMENT EDUCATIONDECEMBER 200729

Prior Learning Assessment GuidelinesIntroductionThese guidelines offer practical and step-by-step advice on how to develop a Prior LearningAssessment (PLA) Portfolio. Students interested in applying to the Master of Business Administration(Financial Services) Degree without an undergraduate degree are required to submit a PLA PortfolioThe Proir Learning Assessment or PLA is an extensive collection of documentation usually presentedin a three-ring binder, with labeled dividers, containing a coherent, well-organized and attractivelypresented inventory of skills and learning. These materials document and validate previously acquiredlearning. It details the research and writing skills that you normally obtain through an undergraduatedegree but have gained through your work experience by example submissions of papers anddocuments written as part of your career development. As well your presentation skills should beclearly evidence in the document with examples given. There are quite a number of competencies weare looking to be shown as well. Overall your portfolio should demonstrate who you are (attitudes andbehaviours), what you know (knowledge) and what you can do (skills and aptitudes).30

Your portfolio should contain the following sections:1. Letter of Intent2. Letters of Support3. Learning Matrix4. “Life History”5. Curriculum Vitae6. Current Job Description7. Performance Appraisals8. Writing, Research, Presentation Samples9. Certificates & Recognition10. Transcripts & Training11. Declaration of AuthenticityTo verify the information you present you may include tapes, videos, educational transcripts,certificates, awards, letters of support, newspaper articles or any other type of proof that is appropriateto your situation.31

1. Guidelines for Writing a Letter of IntentThe letter of intent or personal statement is a standard component of most graduate and professionalschool applications.Application essays give you an opportunity to explain -- through narrative, example, and analysis --aspects of your personal, educational, and professional history that may have led you to pursue anadvanced degree at a particular institution. Admissions committees rely heavily on these essays to puta face on impersonal test scores and grade point averages.For this reason, it's important for you to use details and thoughtful self-presentation to make your faceone that stands out in a crowd. Your essay should demonstrate your ability to make connectionsbetween your experience, education, and the program you have chosen. The most challenging aspect ofthe application essay is making those connections in a relatively small amount of space.Be focused. Take your cue first from the prompt given in the application form. If the prompt is verygeneral or the questions scattered, decide what point you want to make overall: that you are a provenachiever, or that you can deal with challenges, or that you have something special to contribute to theprofession....Be coherent. Being "together" is a quality of writing as well as of character. A clearly organizedletter can create a picture of a clear-minded and sensible person. You might want to write from anoutline or a diagram of main points. At least check the topic sentences of each paragraph in yourfinished piece to see if they make a logical sequence.Be interpretive. You need to make an impression concisely, so don't use your letter just to repeat thefacts set out in other parts of the application. Provide explicit answers for the question that arises in themind of any reader. Use nouns and adjectives that name qualities (outgoing, curiosity, confident) andverbs that show action (coordinated, investigated, tried). Make an effort to find the exact right ones tosuit the evidence you are offering.Be specific. There's no point making claims unless you can back them up. Refer to the fact lists inother parts of your application ("as my academic record shows"), but be sure to offer enough examplesin your letter so that it can stand on its own. Say that they are just instances, not your whole proof ("An32

incident from last summer is an example...."). The concrete language you use for these specificreferences will also balance the generalizing words of your interpretive points.Be personal. Your letter substitutes for an interview. In effect, the readers have asked you to tellstories, mention details, expand on facts. So mention things you might not have put into the rest of theapplication--your ethnic background or political interests, even. Don't be afraid to mention problems ordifficulties; stress how you overcame them. Use "I" rather than phrases like "this writer" or "myexperience" or "was experienced by me."References:The Writing Center, University of Wisconsin. Application Essays from:http://www.wisc.edu/writing/Handbook/apessay_overview.htmlHow to Write an Effective Admission Letter from: http://www.utoronto.ca/writing/admiss.html33

3. Guidelines for Learning Matrix:Competencies you must demonstrate:I. Skills in research and investigationII. Report writing (demonstrated ability to write in a clear and informative mannerIII. Team work to accomplish tasks, i.e., reports and presentationsIV. Analytical SkillsV. Presentations—Can the applicant display that a presentation they have givenSkills you must demonstrate:I. ManagingII. Project development & evaluationIII. OrganizingIV. CommunicationV. Managing organizations, people, resources and servicesVI. Preparing reportsThrough your work experience you need to show the following:I. Provided advice on issues important to the organizationII. Displayed the ability to examine an issue in a critical manner:III. Challenged the status quoIV. Displayed a balance between theory and practiceV. Added value to a reportVI. Experience in evaluation techniques: personnel or projectVII. An understanding basic economic principles: supply and demand, different market typesVIII. An understanding of basic accounting principles: budgeting, priority setting and financialplanningIX. Computer skills, ie., working with spreadsheets, word processing, email and the internetOther Skills:I. Intellectual inquisitiveness and interest in exploring concepts and ideas in detail.II. The ability to learn a theoretical concept and apply it to a practical situation the work place.III. The ability to meet deadlinesIV. The ability to work under pressureV. The ability to multi task work assignmentsVI. Consistent work practices34

This material is best presented in a chart with examples of how you meet each competency. Please usethe other sections like the one for writing samples to show the evidence of these competencies. Makesure to reference where this evidence is located in your chart.35

4. Guidelines on “Life History”:A short, two to four page summary of your Life History is included here. It tells the assessor how yougot to where you are today. Who you are (attitudes and behaviours), what you know (knowledge) andwhat you can do (skills and aptitudes). It is important that your Life History show how you and yourabilities are connected and related to the work you do today and the work you hope to do in the future.The goals of the Life History section of the PLA are to demonstrate the following to the assessors: Action – you have been able to move forward to obtain what you want and need. Clarity – you have been able to determine what you have to offer and what you want and needat each stage of your life. Strategy – you have been able to clearly communicate your value added to those who want orneed your abilities.36

5. Guidelines on Curriculum Vitae:Every person who applies for the MBA (Financial Services) must complete a resume using theguidelines below. When writing your resume, you should include any experience you may have inrelation to the below criteria. Do not rely on acronyms, and/or position titles to describe your dutiesand responsibilities. Position titles may be specific to your particular organization. The job descriptionshould reflect, at a minimum, your work history from the past five years; please include the number ofmonths spent in each position.The Admissions Committee will assess your management experience in terms of the followingcompetencies. It is, therefore, important to address each of these competency areas for each positionoutlined on your resume. Please note. We are not looking for a standard resume format, but a detaileddescription of your positions held.• Supervisory Experience: Are you responsible for the performance of subordinates? Do you have directreports?• Lending Authority: Do you have supervisory, credit-granting experience? Do you supervise others withlower credit-granting limits?• Hiring and Termination Responsibility: Do you evaluate personnel requirements? Do you have hiringauthority? Do you approve promotion and salary increases for your direct reports? Have you approval toterminate unsatisfactory subordinates?• Budget Authority: Are you responsible for establishing, managing and achieving a unit budget? Have youthe authority to allocate expenditures and approve subordinates’ expenses?• Managing Capital: Do you manage, invest or control a portfolio of capital? How large is the portfolio?• Managing Property: Have you searched, found and or/negotiated leases in relation to property? Haveyou been involved building management? Are you responsible for the infrastructure in a unit?• Managing Information: Have you been involved in initiating, organizing, implementing and/or managinginformation/data with relation to technology and/or archived materials?6. Writing, Research, Presentation Samples:This section is a very important part of the portfolio. A large part of an undergraduate degree isdeveloping skills in proper writing, research as well as analytical and presentation skills. Please usethis section to show that through your life, work, and volunteer experience you have developed theseskills. This section should also include the evidence from many of the competencies listed in the37

learning matrix. You can include in this section reports you have written, research projects, andpresentations you have done. Please note these documents should have your name as the author orhave signed authorization from your supervisor/manager that you are the original author of thematerial.38

7. Guidelines on Transcripts & Training:We require official transcripts from all/any post-secondary institutions you have attended. Alltranscripts must bear the official stamp/seal of the issuing institution. If you have submitted these withyour application please include copies in this section.You must list all post-secondary institutions attended. If you have only taken a few courses of aspecific program, but did not complete the program, you must note this and provide transcripts. If youhave completed a certificate or diploma program, you must note this and provide appropriatetranscripts.39

8. Sample Declaration of Authenticity:Declaration of AuthenticityI confirm that all the evidence and work in this portfolio is my own, and does notinclude any work completed by anyone other than myself. I give permission to theDalhousie University to review and reprint, if necessary, the materials contained in thisportfolio, and ask that their confidentiality be respected.__________________________________Your name HereDated:40

Prior Learning Assessment Resources:1. Slide show on how to create a PLAR:http://recognitionforlearning.ca/learner/aboutPLAR.php#anchor_module2. Athabasca University has examples, handbook on how to create a PLARhttp://priorlearning.athabascau.ca/index.php3. Nova Scotia Community College –http://www.nscc.ca/Services/Prior_Learning_Assessment_And_Recognition.asp4. Manitoba has a centre like ours:http://www.plarinmanitoba.ca/site/whatisplar/main_e.php5. Canadian Universities/Colleges that offer it:SIAST – Prince Albert SK http://www.siast.sk.ca/siast/admissions/plar.htmRed River College – Winnipeg http://www.rrc.mb.ca/prior/6. Canadian Association for PLA http://www.capla.ca7. Other resourceshttp://www.usask.ca/gmcte/drupal/?q=node/164http://www.career.fsu.edu/portfolio/http://careerservices.uvic.ca/tutorials/career-portfolio.htmlhttp://depts.washington.edu/geogjobs/Careers/pfolbasics.html41

• PRIOR LEARNING ASSESSMENT Criteria/Recommendation FORMS (To becompleted by admission committee)Prior Learning Assessment FormAdmissions to Dalhousie University Faculty of Graduate StudiesforName:Years of Management Experience:Recommendation for Admission:Marginal Recommendation forAdmission:Not Recommended for Admission:Comments:42

Assessor NameSignatureDateNote: For sections A and B the applicant must successfully meet the following competencies. Ifthe applicant does not meet the requirements in any one competency in Sections A or B they willnot be considered for admission to the MBA (Financial Services) ProgramSection ADoes the applicant’s portfolio display that they have experience in:I. Skills in research and investigation1. Use a variety of sources of information2. Apply a variety of methods to test thevalidly of data3. Identifying problems and needs4. Identify information sources appropriateto special needs or problems5. Formulate relevant questions to clarify aproblem, topic or issueII. Report writing (demonstrated ability towrite in a clear and informative manner)1. Logical sequencing2. Clarity of expression3. Ability to analyze and synthesize4. Capacity to present issues in a balancedmanner5. Ability to draw conclusions and makerecommendationsIII. Team work to accomplish tasks, i.e.,reports and presentationsIV. Analytical SkillsPresentations—Can the applicant display that apresentation they have given:1. Addressed the relevant and significantissuesMeetsRequirements1Does Not MeetRequirement0Comments43

2. Defined the key issues well3. Had appropriate facts, quotations,statistics, and documentation4. Reflected penetration in analysis5. Reflected appropriate sensitivity topolitical and administrative feasibility6. Had an introduction, development, andconclusion7. Reflected an adequate transition from onestage to another44

Section BDoes the applicant’s portfolio indicate that they can:I. Differentiate between fact andopinionII. Recognize and evaluate bias andrhetoricIII. Determine cause and effectrelationshipsIV. Determine theaccuracy/completeness ofinformationV. Recognize logical fallacies/faultyreasoningVI. Compare and contrastinformation/points of viewVII. Make inferences from materialsVIII. Make judgements and drawconclusionsMeetsRequirements1Does not MeetRequirements0Comments45

Section C1. The applicant must have an average score of 3.8 in Section C to be considered for admission.The applicant should be able to demonstrate that they have basic skills in:I. ManagingII. Project development & evaluationIII. OrganizingIV. CommunicationV. Managing organizations, people,resources and servicesVI. Preparing reportsMeetsRequirement1Does NoteMeetRequirements0CommentsTotal ScoreAverage Score________________46

2. The portfolio should indicate that the applicant, through their work experience, has:I. Provided advice on issues important tothe organizationII. Displayed the ability to examine anissue in a critical manner:III. Challenged the status quoIV. Displayed a balance between theoryand practiceV. Added value to a reportVI. Experience in evaluation techniques:personnel or projectVII. An understanding basic economicprinciples: supply and demand,different market typesVIII. An understanding of basic accountingprinciples: budgeting, priority settingand financial planningIX. Computer skills, ie., working withspreadsheets, word processing, emailand the internetMeetsRequirement1Does not meetrequirements0CommentsTotal ScoreAverage Score________________47

3. Has the applicant displayed:I. Intellectual inquisitiveness and interestin exploring concepts and ideas indetail.II. The ability to learn a theoreticalconcept and apply it to a practicalsituation the work place.III. The ability to meet deadlinesIV. The ability to work under pressureV. The ability to multi task workassignmentsVI. Consistent work practicesMeetsrequirements1Does Not meetrequirementsCommentsTotal ScoreAverage Score________________48

4. Has the applicant made any contribution to the field of work:List Required InformationDoes the applicant have any writtenmaterial that has been published ordistributed to their peers. Thesewould include brochures, articles,major reports etc.,.To whom has the applicant madepresentations to and what was thetopic area?Summary Comments:49

Appendix 5.2.3 Degree Completion ArrangementsNot Applicable to the MBA (Financial Services) program50

Appendix 5.2.4 Gap AnalysisNot Applicable to the MBA (Financial Services) program51

Appendix 5.2.5 Bridging CoursesNot Applicable to the MBA (Financial Services) program52

Appendix 5.3 Promotion and Graduation RequirementsVI. Degree RequirementsGraduate students have a maximum period of time within which to complete all of the requirements fortheir graduate program.The normal upper time limits for the completion of degrees are:• One-year Master's, full-time — Four years• One-year Master's, part-time — Five years• Two-year Master's, full-time — Five years• Two-year Master's, part-time — Seven years• PhD and JSD, full-time only — Six years• MBA-FS — Seven years• MPA (Management) — Seven years6.1 Program FormsEvery graduate student must have an individually approved program of studies. The program or courseof study for each graduate student must be approved by the Graduate Coordinator in each departmentor program and submitted for final approval to the Faculty of Graduate studies. The graduateCoordinator will enter the proposed program (with the total number of credits required, the names andnumbers of all classes required (including ancillary classes), and any other requirements andconditions) on the graduate Student Program form. The form must be signed by the students and theGraduate Coordinator before the submission to the Faculty of Graduate Studies. The signed form mustbe submitted to the Faculty within the first term of the students' program of studies. Once approved,the Program Form constitutes an agreed contract between the student and the university and is used toaudit the student's file for graduation. Any changes to the approved Program Form must be agreed toby the Graduate Coordinator and the Faculty of Graduate Studies by way of a Program Update Form.Forms are available at: www.dalgrad.dal.ca/forms/gc/.53

Sample OF PROGRAMME FORM (Contract between student and university)54

Faculty of Graduate StudiesMBA (FINANCIAL SERVICES) PROGRAMSTUDENT PROGRAMME FORMSECTION I: To be completed by DEPARTMENT ONE MONTH AFTER REGISTRATION.Full Name of StudentDal IDStudent AddressPhone Number Fax Number EmailDegree Program MBA Field of Study Financial Services Status Part-Time#Credit ClassesStart DateMaximum Completion Date:ICB Fin. Services Mgmt ICB Wealth Mgmt Stream I ICB Wealth Mgmt Stream IIHuman Resource Management Servicing the Client Fundamentals of Personal FinanceGlobal Financial Systems & Markets Wealth Valuation Investment and Taxation FundamentalsFinancial Services Marketing Risk & Insurance Insurance and RetirementUsing IT to Gain Competitive Advantage Investment & Portfolio Management Investment and Tax PlanningBank Financial Management Estate Planning Risk Management and Estate PlanningStrategic Thinking Engineering of a Trust Engineering of a TrustIntegrative Project Trust & Estate Management Trust & Estate ManagementUsing IT to Gain Competitive Advantage Using IT to Gain Competitive AdvantageMBA CoursesBUSI 5503 Quantitative Decision Making BUSI 5511 Information Systems BUSI 6207 Corporate FinanceBUSI 5703 Business Economics BUSI 6326 Mgmt Skills Development BUSI 5103 AccountingBUSI 5801 International Business BUSI 6410 Advanced Marketing BUSI 6990 Strategic Leadership &Change **Student will take approved ICB courses within his/her elected specialization (check one):Financial Services Management Stream (PBP) – (16 credits)Wealth Management (PFP/FPP/PT) – (17 credits)SECTION II: ApprovalsMBA(FS) ApprovalDateStudent ApprovalDateGraduate Studies Approval55**Please note that all ICB and Dalhousie courses must be completed prior to registering forthe capstone Strategic Leadership and Change courseDate

For additional sample, please refer to the links belowProgram of Study Form CFP.docProgram of Study Form CSIProgram of Study Form CSI Professional Banking and Wealth StreamProgram of Study Form FLMI Stream6.4.3 Specialty and Mid-Career Master's DegreesA number of specialty Master's degrees have been and continue to be developed to meet specific needsand demands for graduate education in commerce, public service, and industry. Some but not all ofthese programs are degrees designed for mid-career professionals. These are primarily class-basedprograms, with some component of work and professional experience (either as part of the program oras pre-requisites for admission). All or part of the classes may be offered in a distance education mode.They currently include the MBA (Financial Services), MPA (Management), MEng (Internetworking),EMEC (Executive Masters of Electronic Commerce) and MIM.6.6 Classes and GradesClasses may be full or half year (full or half credit respectively) and may be designated by thecandidate's committee as "Required" (pass mark is B-) or "Ancillary" (normal undergraduate passmark). Some departments cross-list postgraduate classes with senior undergraduate classes in whichcase the requirements for graduate students are more demanding than those for undergraduates.6.6.2 Grading PolicyMinimum grade of B- in all Dalhousie University coursesAll instructors of graduate classes (i.e., designated 5000 and above), with the exception of a fewclasses for which a pass/fail grading scheme has been approved, will use the following gradingscheme:Letter Grade Numerical (%) Equivalent GPAA+ 90-1004.3A 85-894.0A- 80-843.756

B+ 77-79B 73-76B- 70-72F < 703.33.02.7VII. In the following programs, Architecture, Business Administration, Computer Science,Engineering, Electronic Commerce, Library and Information Studies, Public Administration,Occupational Therapy MSc (Occupational Therapy-Post-Professional) program only, students areallowed to carry one failing grade (in a 3 credit hour class). The MSc (OT) entry to profession levelprogram follows pass standard. However, no credit will be granted for the failing grade and theclass must be repeated or replaced and a grade of "B-" or better obtained. (Failed core classes mustbe repeated; electives may be repeated or replaced at the discretion of the department). Failure of asecond class results in immediate academic dismissal. However, such a student may apply, inwriting, to the department for immediate reinstatement, (see 4.2.5, page 22 Readmission ofStudents), for approval by the Faculty of Graduate Studies. If readmitted, any subsequent "F" willresult in a final program dismissal.6.6.7 Withdrawal From ClassesThe last dates for adding and deleting classes are published in the schedule of Academic ClassAdd/Drop Dates at the front of this calendar. Students may not transfer from full to part-time status bywithdrawing from classes after the deadlines listed in the schedule of Academic Class/Add Drop dates.A class may be added or dropped on the web at of www.dal.ca/online by the deadline listed inAcademic Class Add/Drop Dates on page 1 of academic dates/deadlines.Please note that dropping or changing classes may affect your eligibility for student aid.Non-attendance does not, in itself, constitute withdrawal. Withdrawals are effective when astudent withdraws from classes on the web at www.dal.ca/online or written notification isreceived at the Faculty of Graduate Studies.6.6.8 Incomplete Classes57

A student who fails to complete the required work for a particular class during the normal period of theclass will receive a grade of "F". However, where circumstances warrant, a grade of "Incomplete"(INC) may be assigned. Subsequent completion of the work following the end of the class may resultin a change of grade by the class instructor, as long as the work is completed before the followingdeadlines:• Fall term classes — February 1• Winter and Regular (Sept-April) term classes — June 1• May-June classes — August 1• May-August classes — October 1• July-August classes — October 1• MBA(FS) — Please consult departmental entry.For GPA purposes a grade of INC holds a credit value of 0.0.After these deadlines, an "INC" cannot be changed without permission of the Faculty of GraduateStudies.Where the formal deadline for completion of work is beyond the INC deadline, the class instructor canrequest the Faculty of Graduate Studies to extend the INC for an approved period of time.At the discretion of the class instructor, alternate arrangements for examinations, tests or thecompletion of assignments may be made for students who are ill, or in other exceptionalcircumstances.All outstanding grades, including ILL or INC, must be addressed prior to registration for the next term.If grades are still outstanding into the next term and no arrangements have been made, students may berequired to re-register in the class.6.6.9 Incomplete due to IllnessWhere illness is involved, a certificate from the student's physician is required. This certificate mustindicate the dates and duration of the illness, and should describe the impact it had on the student'sability to fulfil academic requirements, and any other information the physician considers relevant andappropriate. To obtain a medical certificate, students who miss examinations, tests or the completion of58

other assignments should contact University Health Services or their physician at the time they are illand should submit a medical certificate to their class instructor as soon thereafter as possible. Suchcertificates will not normally be accepted after a lapse of more than one week from the examination orassignment completion date.All outstanding grades, including ILL or INC, must be addressed prior to registration for the next term.If grades are still outstanding into the next term and no arrangements have been made, students may berequired to re-register in the class.6.6.10 In Progress ClassesThe grade of "In Progress" (IP) may be used only to report thesis classes, research project classes, andthose designated as "open to independent completion of study." Final submission of grades for projectand independent study classes is April 30 for Fall term classes and August 31 for Winter term classes.Students must continue to register for the class each term until a final grade has been assigned.6.6.11 Academic StandardsWhen the work of a student becomes unsatisfactory, (including insufficient progress), or a student'sattendance is irregular without sufficient reason, the Faculty of Graduate Studies may requirewithdrawal from one or more classes, or academic dismissal from the Faculty.59

MBA (Financial Services) Degree requirementsDalhousieRequired Courses for theMBA(Financial Services) programAccountingAdvanced MarketingAdvanced Corporate FinanceBusiness EconomicsInternational BusinessQuantitative Decision MakingManaging Information SystemsManagement Skills DevelopmentAndAdvanced Standing Program Chart*( all courses must have beencompleted within a 10 year period priorto admission)All below courses/program havebeen reviewed and approved by theDalhousie MBA(Financial Services)Academic committee and the Facultyof Graduate StudiesCSI Financial Services ManagementProgram(Professional Banking Program(PBP) )Human Resource Management: AFinancial Institution PerspectiveGlobal Financial Systems and MarketsFinancial Services MarketingUsing Information Technology to GainCompetitive AdvantageBank Financial ManagementStrategic Thinking: a Financial ServicesApproachIntegrative ProjectStrategic Leadership and ChangeAccountingAdvanced MarketingAdvanced Corporate FinanceBusiness EconomicsAndCSI Wealth Management Program(Personal FinancialPlanning/Personal Trust Programs)STREAM IServicing the ClientWealth ValuationRisk and InsuranceInvestment and Portfolio ManagementEstate Planning60

International BusinessQuantitative Decision MakingManaging Information SystemsManagement Skills DevelopmentStrategic Leadership and ChangeEngineering of a TrustTrust and Estate ManagementUsing Information Technology to GainCompetitive AdvantageSTREAM IIFundamentals of Personal FinanceInvestment and Taxation FundamentalsAccountingAdvanced MarketingAdvanced Corporate FinanceBusiness EconomicsInternational BusinessQuantitative Decision MakingManaging Information SystemsManagement Skills DevelopmentRisk Management Course (Choose 1of 3 electives)Strategic Leadership and ChangeAndInsurance and RetirementInvestment and Tax PlanningRisk Management and Estate PlanningEngineering of a TrustTrust and Estate ManagementUsing Information Technology to GainCompetitive AdvantageCanadian Securities ProgramAll applicants must complete thiscategory.Canadian Securities Course (CSC)CoreApplicants must complete one of thecore pairings.Professional Financial Planning Course(PFPC) and Wealth ManagementTechniques (WMT) and/or Managing HighNet Worth (MHNW)Investment Management Techniques(IMT) and Portfolio ManagementTechniques (PMT)Derivatives Fundamentals Course (DFC)and Technical Analysis Course (TAC)Derivatives Fundamentals Course (DFC)and Financial Markets Risk Management(FRM)61

AccountingAdvanced MarketingAdvanced Corporate FinanceBusiness EconomicsInternational BusinessAndElectivesApplicants must complete threeelectives. If a course is to be countedas an elective, it cannot also becounted as part of the core program.Professional Financial Planning Course(PFPC)Wealth Management Techniques (WMT)Investment Management Techniques(IMT)Portfolio Management Techniques (PMT)Derivatives Fundamentals Course (DFC)Options Licensing Course (OLC)Futures Licensing Course (FLC)Technical Analysis Course (TAC)Options Strategies Course (OSTC)Agricultural Markets Risk ManagementCourse (ARM) – only offered on specialorder to groupsEnergy Markets Risk Management Course(ERM)Financial Markets Risk ManagementCourse (FRM)Canadian Insurance Course (CIC)Managing High Net Worth (MHNW)Fellow, Life ManagementInstitute (FLMI) ProgramInsurance StreamPrinciples of Insurance: Life, Health andAnnuitiesInsurance Company OperationsInsurance AdministrationLegal Aspects of Life and Health Insurance- Canada OR Business Law for Financial62

Quantitative Decision MakingManaging Information SystemsManagement Skills DevelopmentMeasurement and MethodologicalApproaches in Risk ManagementConcepts of Risk ManagementLegal Aspects of Governance and RiskManagementServices ProfessionalsMarketing Life and Health InsuranceManagement Principles and PracticesInformation Management in InsuranceCompanies OR Investments andInstitutional InvestingFinancial Services EnvironmentAccounting and Financial Reporting in Lifeand Health Insurance CompaniesManaging for Solvency and Profitability inLife and Health Insurance CompaniesStrategic Leadership and ChangeAccountingAndCFP Certification ProgramAdvanced MarketingAdvanced Corporate FinanceCFP Certification - Certified FinancialPlanner Certification ProfessionalDesignationBusiness EconomicsInternational BusinessQuantitative Decision MakingManaging Information SystemsManagement Skills DevelopmentRisk Management Course (Choose 1of 3 electives)Investment and Money ManagementGlobal Market and InstitutionsStrategic Leadership and Change63

6. Program Content StandardAppendix 6.1 Program Advisory CommitteeThe Faculty of Management, Board of Advisors provide industry and professional guidance and adviceon all programs delivered by the Faculty of Management, including the MBA (Financial Services)program.64

Appendix 6.1.1. Program Advisory Committee MembershipFaculty of Mgmt, Board of Advisors update Aug 2009Mr. J. Lee Bragg Tel: 902-453-3078Co-Chief Executive Officer Fax: 902-446-4171EastLinkE-mail: lee.bragg@corp.eastlink.ca6080 Young Street, 8 th Floor EA: Mary Anne (902) 431-7140P.O. Box 8660, Station Amaryanne.struthers@corp.eastlink.caHalifax, NS B3K 5M3Mr. C. J. Chen Tel: 65-6232 0304Consultant Fax: 65-6533 1005Rajah and TannE-mail: cjchen@pacific.net.sg4 Battery Road #15-01Bank of China BuildingSingapore 049908Mr. Murray Coolican Tel: 902-446-553535 Birchview Drive E-mail: coolican.coolican@gmail.comHalifax, NS B3P 1G5Ms. Ruth DantzerTel: 613-992-8165 (Diana)President Fax: 613-943-1038Canada School of Public ServiceE-mail: ruth.dantzer@csps-efpc.gc.ca373 Sussex DriveOttawa, ON K1N 6Z2Dr. H. Larry Doane, FCATel: 902-477-7761 (h)13 McNab Drive Fax: 902-477-7626Halifax, NS B3P 2P3E-mail: the.doanes@ns.sympatico.caDr. Fred FountainTel: 902-423-8414 (Heather)President Fax: 902-422-7701The Great Eastern Corporation LimitedE-mail: hdowney@greateastern.com1969 Upper Water Street, Suite 2104Halifax, NS B3J 3R7Mr. Robert C. FowlerTel: 902-424-8940 (Shealagh McGrath)Deputy Minister Fax: 902-424-7638Treasury and Policy BoardE-mail: fowlerrc@gov.ns.caGovernment of Nova Scotia5 th Floor, 1700 Granville StreetOne Government PlaceP. O. Box 1617Halifax, Nova Scotia B3J 2Y365

Mrs. Ann Petley-Jones Tel: 441-292-5300Chair and Chief Executive Officer Cell: 489-0573PetaData Holdings, Ltd. Fax: 441-295-347412 Church Street, Suite 501 E-mail: ann.petley-P. O. Box HM 3237 jones@petadataholdings.comHamilton HM PXBermudaMr. Brian J. PorterTel: 416-863-7524 (Nina)Executive Vice-President Fax: 416-863-2803and Chief Risk OfficerE-mail: brian_porter@ scotiacapital.comScotiabankExecutive OfficesScotia Plaza44 King Street WestToronto, ON M5W 2X6Dr. Ken C. RoweTel: 902-493-3513 (Michelle)Chairman and CEO Fax: 902-453-6674IMP Group LimitedE-mail: ken.rowe@impgroup.com2651 Dutch Village Road, Suite 400Halifax, NS B3L 4T1Mr. Michael J. Russill Tel: 905-338-8767; (Cell) 647 400 957770 Allan Street E-mail: mjr@russillandcompany.comOakville, ON L6J 3M8Dr. Allan C. Shaw, C.M. Tel: 902-457-0689Chairman Fax: 902-484-6769The Shaw GroupE-mail: ashaw@shawgroupltd.com255 Lacewood Drive, Suite 100CHalifax, NS B3M 4G2Ms. Tanya Shaw WeeksTel: 902-492-2106 (Farris MacPherson)President and CEO Fax: 902-492-0078Unique Solutions Design Ltd.E-mail: tsweeks@uniqueltd.com133 Troop AvenueDartmouth, NS B3B 2A7Mrs. Nancy SmithersTel: 902-434-7206 (Janine)President / Owner Fax: 902-435-3698Naturally Nova ScotiaE-mail: nancy@ naturallynovascotia.com2769 Lawrencetown RoadDartmouth, NS B2Z 1L3Mr. Douglas W. Reid Tel: 902-492-6058Regional Managing Partner, Atlantic Tel: 902-492-6013KPMG LLP Fax: 902-492-13071959 Upper Water Street, Suite 1500 E-mail: dougreid@kpmg.caPurdy’s Wharf Tower OneHalifax, NS B3J 3N266

Dr. Lucia Fanning Tel: 902-494-3666Director Fax: 902-494-1001Marine Affairs ProgramE-mail: lucia.fanning@dal.caKenneth C. Rowe Management Building6100 University Avenue, Suite 2127Dalhousie UniversityHalifax, NS B3H 3J5Dr. Karen Beazley Tel: 902-494-1344Director Fax: 902-494-3728School for Resource and Environmental Studies E-mail: karen.beazley@dal.caKenneth C. Rowe Management Building6100 University Avenue, Suite 5010Dalhousie UniversityHalifax, NS B3H 3J5Dr. Fiona Black Tel: 902-494-3656Director Fax: 902-494-2451School of Information ManagementE-mail: fiona.black@dal.caKenneth C. Rowe Management Building6100 University Avenue, Suite 4010Dalhousie UniversityHalifax, NS B3H 3J5Dr. David Wheeler Tel: 902-494-7487Dean Fax: 902-494-1195Faculty of ManagementE-mail: davidwheeler@dal.caKenneth C. Rowe Management Building6100 University Avenue, Suite 3050Dalhousie UniversityHalifax, NS B3H 3J567

Appendix 6.1.2 Program Advisory Committee MinutesNot Available at this time (Senate Academic Planning Committee meeting minute: Program Proposal,June 20, 1995 and Senate Approval, August 14, 2005 available upon request.)68

Appendix 6.2.1 Professional/Accreditation or Other RequirementsDalhousie’s MBA (Financial Services) degree program is accredited by AACSB International.AACSB International was founded in 1916 and began its accreditation function with the adoption ofthe first standards in 1919. AACSB International members approved mission-linked accreditationstandards and the peer review process in 1991. In 2003, members approved a revised set of standardsthat are relevant and applicable to all business programs globally and which support and encourageexcellence in management education worldwide. Accreditation is a process of voluntary, nongovernmentalreview of educational institutions and programs. Institutional accreditation reviewsentire colleges and universities. Specialized agencies award accreditation for professional programsand academic units in particular fields of study. As a specialized agency, AACSB International grantsaccreditation for undergraduate and graduate business administration and accounting programs.AACSB International accreditation assures stakeholders that business schools:* Manage resources to achieve a vibrant and relevant mission.* Advance business and management knowledge through faculty scholarship.* Provide high-caliber teaching of quality and current curricula.* Cultivate meaningful interaction between students and a qualified faculty.* Produce graduates who have achieved specified learning goals.Accreditation standards can be found at: http://www.aacsb.edu/accreditation/standards.asp69

Appendix 6.3.1 Program Level Learning OutcomesDalhousie UniversityFaulty of ManagementMBA (Financial Services) ProgramAssurance of Learning PlanBackgroundThis document outlines the assurance of learning plan for the degree programs offered by DalhousieUniversity’s Faculty of Management. The plan is part of Dalhousie University’s maintenance ofaccreditation submission to the Association for the Advancement of Collegiate Schools of Business(AACSB) in the year 2008/2009.OrganizationThe assurance of learning plan (AOL) is organized in increasing levels of detail as follows:Goals – are macro-level statements of intent that cut across curriculum. The goals cannot be directlyassessed as stated but can be used to guide the development of one or more specific objective;Objectives – are operationally specific and link the goals to demonstrable outcomes; andDemonstrable Outcomes –identify the course components where students demonstrate outcomes thatdirectly evidence achievement of the objectives.70

Learning Goal 1Our graduates will understand the importance of values-based management (ethical behavior andsocial responsibility).Corresponding ObjectivesObjective 1.1Our students will recognize the connection between organizational values and actions.Objective 1.2Our students will articulate the consequences of behavior that is not ethical or socially responsible.Objective 1.3Our students will identify activities/issues that may present ethical challenges or that may not besocially responsible.Objective 1.4Our students will choose and defend a solution to an issue with ethical or social responsibilityconsequencesWeight ofCourse Number & Name Course ComponentComponent inCourse (as aBUSI 5103 AccountingCourse materials/intensive session discussions/assignments(Students must understand and apply accountingprinciples ethically and responsibly)percentage)30%BUSI 5503 Quantitative DecisionMakingBUSI 5511 Information Systems forand Information AgeBUSI 5703 Business EconomicsBUSI 5801 International BusinessBUSI 6207 Corp FinanceCourse materials/intensive sessiondiscussions/assignmentsCourse materials/onlinediscussions/assignments/Intensive session(Topics such as: “C16: The Impacts of IT onOrganizations, Individuals, and Society” and “Ethicsand Information Systems: The Corporate Domain”Course materials/online discussions/assignments (casestudies/Projects)/Intensive session(Students are required to identify analysis, report onand make recommendation with regards to ethical andresponsible international business practices. Examplesof topics covered include, assessing ethical dilemmas,identifying violations of rights, impacts onglobalization. In-depth analysis of the geographic,economic, political, cultural, and legal environment ofa particular countryCourse Material/Assignments/In class discussion((Students must understand and apply concepts, theory,and principles to finance in order to make ethically andresponsibly decision)Lesson 1 deals directly with Social CorporateResponsibility7130%20%50-60%10%

BUSI 6410 Advanced MarketingCourse Material/Assignments/In class discussion(The assignment requires the student to examine themarket potential for specific products and services, inwhich ethics and social responsibilities are factored into the SWOT analysis. Identify how the product orservice fits with the company/organizations branding,mission and vision statement30%BUSI 6326 Management SkillsDevelopmentBUSI 6300 Concepts of Risk MgmtBUSI 6540 Measurements &Methodological Approach to RiskMgmtBUSI 6601 Legal Aspects of RiskMgmtBUSI 6990 Strategic Leadership &ChangeOn-line group discussions, assignment andlesson/lecture material that deal directly withmanagerial ethical behaviors and social responsibility.(issues such as human rights, safety, responsibledecision making, power and influence to name a few)Course materials/online discussions/assignments (casestudies/Projects)/Intensive session(Example – Everest Case )50-70%50%Learning Goal 2Our graduates will be effective communicators.Corresponding Objectives:Objective 2.1Our students will produce professional quality documentsCourse Number & NameAll courses in the MBA (FS)program require students to submitprofessional quality documentsCourse ComponentAll qualitative courses have assignments and a majorpaper components that required students to produceprofessional documents that meet both academic andprofessional standards, ie Case studies, Marketingproposals, term paper (produced as if student wasrepresentative of consulting company), All quantitativecourses require students to produce assignments usingthe professional format with respect to the subjectmatter (ie, Accounting – financial statements,Economics – supporting graphs, Quants – statisticalanalysis reports, Finance – Financial analysis reports.)Weight ofComponent inCourse (as apercentage)85%Objective 2.2Our students will deliver professional quality presentationsCourse Number & NameCourse ComponentWeight ofComponent inCourse (as a72

percentage)All Qualitative CoursesBUSI 5801 International Business,BUSI 5511 Information SystemsBUSI 6326 Management SkillsDevelopmentBUSI Advanced MarketingBUSI 6990 Strategic Leadership &ChangeStudents are required to present subject relatedmaterial (case analysis, term paper projects, simulationexercises findings, real world situational analysis)Presentations can be delivered as part of individual orgroup efforts.BUSI 5703 Economics Individual Article review s 10%15%Objective 2.3Our students will demonstrate effective interpersonal skills in a team settingBUSI 5511 Information Systems forand Information AgeGroup work performed at intensive(Case studies)15%BUSI 5801 International BusinessBUSI 6410 Advanced MarketingBUSI 6326 Management SkillsDevelopmentBUSI 6990 Strategic Leadership &ChangeGroup work performed at intensive/ on occasion, theterm project is produced as a group effort(Case studies, project presentations, group work ontheory and application)Group work performed at intensive on occasion, theterm project is produced as a group effort.(Case studies and marketing plan presentations)9 Lessons, lectures and assignments devoted toInterpersonal and group skills development andassessment.Group based assignments via distance and on-site(intensives sessions)Practical application of exercises within students ownorganization.Activities, exercises and case work are primarily donein on group work settings.15-40%15-40%50-70 %15-40%73

Learning Goal 3Our graduates will demonstrate problem solving and critical thinking skills, supported by appropriateanalytical techniques.Corresponding Objectives:Objective 3.1Our students will use appropriate analytical techniques to identify problems in an organizationalsettingObjective 3.2Our students will generate and compare alternatives, and develop solutions to problems in anorganizational settingWeight ofCourse Number & Name Course ComponentComponentin Course(as aAll Qualitative CoursesBUSI 5801 International Business,BUSI 5511 Information SystemsBUSI 6326 Management SkillsDevelopmentBUSI 6410 Advanced MarketingBUSI 6990 Strategic Leadership &ChangeAlternative programs:BUSI Legal Aspect andGovernance of Risk ManagementBUSI Concepts of RiskManagementLesson notes, textbooks, intensive lectures, progresschecks, analytical tests, assignments, formula questions.The qualitative courses teach the students to look beyondthe top layer of the issue and dig down to the root of theproblems by a series of techniques and questions.(IeMarketing – SWOT Analysis; MSD – questionnaires, IB, SLC - researching key components – asking the rightquestions).percentage)30-70%All Quantitative coursesBUSI 5103 AccountingBUSI 5503 StatisticsBUSI 5703 EconomicsBUSI 6207 FinanceBUSI Meth & measurements ofRiskBUSI Concepts of RiskManagementLesson notes, textbooks, intensive lectures, softwareprograms (Statistics), formulae, charts, graphs & seriesof progressive checks, assignments, and term papers.The Quantitative courses provides students thetechniques to build strong quantifiable identificationfactors, (ie Economics – clear indications of problemscan be analysis in the graphs, Accounting –financialreports, Finance/Risk Mgmt – risk on return, analytic riskformulas.The teaching methodology design for all coursematerials in the MBA (FS) program , both qualitativeand quantitative (lesson notes, textbook, assignments,case studies, discussions, term projects and the exams)have been selected, and developed to provide studentwith the theories, concepts and techniques they require,and provide them with the knowledge, skills andconfidence to make sound management decisions.In some cases it’s about asking the right questions, inother cases it would be about reading the report,analyzing the data, applying the techniques mostappropriate for the situation. and applying Its aboutasking the right questions and having the skill set toapplying the correct7430-70%

Learning Goal 4*Our graduates will have the skills and knowledge require for leaders in the Financial Services industry.Corresponding Objectives:Objective 4.1Demonstrate leadership within financial services organizationsWeight of Component inCourse Number & Name or RequirementsCourse (as a percentage)other relatedPartnership ProgramsAll Qualitative CoursesBUSI 5801 International Business,BUSI 5511 Information SystemsBUSI 6326 Management SkillsDevelopmentBUSI 6410 Advanced MarketingBUSI 6990 Strategic Leadership &ChangeAlternative programs:BUSI Legal Aspect and Governanceof Risk ManagementBUSI Concepts of RiskManagementStudents demonstrate acquiredleadership skill when applying thetheory, concepts and standardpractices contained in the programcourses to their day to dayoperations.Ie,Managing people/Team leadershipStrategic PlanningAnalytical thinkingReporting analysisReport and presentations30-80%All Quantitative coursesBUSI 5103 AccountingBUSI 5503 StatisticsBUSI 5703 EconomicsBUSI 6207 FinanceBUSI Meth & measurements ofRiskBUSI Concepts of RiskManagementObjective 4.2Managing relationships between organization and stakeholders (Clients, shareholders, public, etc.)Weight of Component inCourse Number & Name RequirementsCourse (as a percentage)Partnership ProgramsAll Qualitative CoursesBUSI 5801 International Business,BUSI 5511 Information SystemsBUSI 6326 Management SkillsDevelopmentBUSI 6410 Advanced MarketingBUSI 6990 Strategic Leadership &ChangeAlternative programs:BUSI Legal Aspect and Governanceof Risk ManagementBUSI Concepts of RiskManagementAll Quantitative coursesBUSI 5103 AccountingThe application of program coursetheory, concepts and industrypractices (ie, accounting laws,Finance practices, Risk assessmentrules, Financial Planning, Trust andEstate Management, ethical issues,management issues etc…) providesstudents with the structure, skills andknowledge necessary for makingsound management decision.Students will make these decisionswith awareness to theirresponsibility to the shareholders.7530-80%

BUSI 5503 StatisticsBUSI 5703 EconomicsBUSI 6207 FinanceBUSI Meth & measurements ofRiskBUSI Concepts of RiskManagementObjective 4.3Industry related product and service awareness and knowledge.DescriptionRequirementsWeight of Component (as apercentage)Admission/Program RequirementsAdmission RequirementsStudents must complete industrypartnership programs that arecomprised of wealth managementand professional banking courses.Financial Services industry workexperience is a prerequisite forprogram admissionApplicable to all students70% average required for mostpartnership program coursesMust complete partnership programprior to capstone course.Applicable to all applicantsMajority of applicants in middleseniormanagement rolesObjective 4.4Application of industry standards and practices in relationship to management & leadershipThe Dalhousie MBA (Financial Services) degree is designed to provide enhanced management skillsto managers in the financial services industry by furthering their abilities to exercise leadership andmake sound business decisions, honing their analytical skills, and sharpening their judgment inmanagerial and client service roles. This program will broaden the horizons of financial managers byexposing them to business concepts with applications inside and outside the industry, therebyenhancing performance in their present positions and increasing their scope of career opportunities.Successful applicants will be able to integrate their new knowledge into everyday job responsibilities,on a course-by-course basis, in their existing positions, and as their careers progress within thefinancial services industry.76

Appendix 6.3.2 Course DescriptionsCOURSES OFFERED BY Dalhousie UniversityBUSI 5103.03: Business Accounting.This course introduces the principles and practices used to process and communicate financial informationabout an organization to various stakeholders. It is designed to be useful to those who aspire to be generalmanagers or management consultants, as well as those who wish to be specialists in specific areas such asfinance, marketing, international business, or strategic management and leadership.BUSI 5503.03: Quantitative Decision Making.This is an introductory course in quantitative methods with emphasis on business applications. Throughout thisclass an emphasis is placed on helping the student to recognize situations and areas in business in whichquantitative analysis might be useful.BUSI 5511.03: Management Information Systems.This class is meant to provide the student with a basic knowledge of information systems and their role inbusiness organizations. Fundamental to this basic knowledge is an understanding of the variety of informationsystems in business. An understanding of the use of computers in current and future information systems isstressed.BUSI 5703.03: Business Economics.Domestic and international markets, governments policy and central bank decisions present opportunities,challenges and threats to the operating and competitive decisions of business owners, managers and investors.This class provides a framework for the economic analysis of these issues.BUSI 5801.03: International Business.This class provide a survey treatment of international businesses that will benefit all MBA students and build afoundation for those proposing future study in this area. For students not going on in the field, it provides thetools needed to manage the interdependence between domestic and international markets.BUSI 6207.03: Advanced Corporate Finance.In the Advanced Corporate Finance course, students develop the special analytical techniques involved incorporate financial decisions. Equal emphasis is placed on theory and the application of theory to financialproblems. Students develop increased skills in conducting financial analyses and evaluating long-term financialstructure, dividend policy, management of working capital, lease financing, and international corporate finance.By the end of the course, students are able to integrate these issues with the basic theoretical principles ofcorporate finance.BUSI 6326.03: Management Skills Development.This class exposes students to key knowledge, skills, and attitudes (KSAs) considered critical to managerialsuccess. Such exposure is designed to provide the student with behaviours that will help ensure that, whenmanaging human resources, staff will perform at or near peak capabilities. This is a skill-building class.Significant amounts of classroom time are devoted to behaviour modeling exercises, role-plays, case studies,and group discussions.77

BUSI 6410.03: Advanced Marketing.Students will develop the ability to understand an industry from the point of view of a marketing manager.Students also develop the capability to prepare a market analysis and a marketing strategy.BUSI 6990.03: Strategic, Leadership and Change.The Strategic Leadership and Change course is the capstone course in the MBA (Financial Services) program.It provides students with the ability to integrate the concepts and techniques developed in earlier courses.Strategy-formulation abilities are enhanced, and strategy implementation is emphasized. Students are able todevelop and apply the skills necessary in managing organizational change.RISK MANAGEMENT COURSESBUSI 6601.03: Legal Aspects of Risk Management.This course focuses on law and legal compliance from the perspective of managing risk. Being the only legalaspects course in the program, it establishes a foundation in the most relevant areas of law, including dorts,contracts, interventions by equity, insurance, and business associations. It also considers the real-worldproblems faced by those engaged in the practice of corporate governance and examines the ethicalconsiderations involved.BUSI 6540.03: Measurement and Methodological Approaches in Risk Management.This course is concerned with the methodology and measurement of risk. The course content will provide themeasurement tools and methodological approach available in the study of risk. The course is presented in fivemodules in fourteen lessons. Module 1 provides an introduction to the theory of risk and a review of basicstatistical concepts used in risk measurement. Module 2 presents the foundation of risk assessment usingmodern portfolio theory and risk specific analysis applications. Module 3 continues with risk assessment modelspresenting alternative approaches and using regression analysis applications. Module 4 discusses the role ofoptions in risk measurement and assessment. Module 5 provides real world applications of risk measurement bypresenting several risk based studies.BUSI 6300.03: Concepts of Risk Management.This comprehensive course covers both enterprise risk management and financial risk management. Thecourse examines the essential methodologies for uncovering, measuring and managing risk exposures. Specifictopics include operational, strategic, and reputational risk, and the COSO framework for risk integration.Additionally financial hedging concepts with derivatives are studied.New Courses – currently in the approval stages as of June 2009BUSI 6XXX.03: Global Markets and InstitutionsGlobal Markets and Institutions is an introduction to the world of global finance. It has been designed to give atheoretical background to topics such as financial institutions and currency markets and to explain how theseimpact the world economy. Throughout the course, application to real-life examples will be used extensively.BUSI 6XXX.03: Investment and Money Management78

This course is designed to introduce students to the basics of the Modern Investment and Portfolio Theory and itsapplication to money management. A considerable effort will be made to compare and contrast investmentapproaches suggested in various theories with the activities of money managers on the street.79

Appendix 6.3.3.1 Program Hour/Credit Conversion JustificationNot Applicable to the MBA (Financial Services) program80

Appendix 6.3.3.2 Undergraduate Academic Course ScheduleNot Applicable to the MBA (Financial Services) program81

Appendix 6.3.3.3 Graduate Academic Course Schedule InformationCourse ScheduleYearandTermFall 2009Fall 2009Fall 2009Fall 2009Fall 2009Fall 2009Winter2010Winter2010Winter2010Winter2010Winter2010Winter2010Winter2010Summer2010Summer2010Summer2010Summer2010Summer2010Course TitleCourseSemesterCreditHoursCourse PrerequisitesandCo-requisitesProposedInstructor (orindicate iffaculty to berecruited)Highest QualificationEarned and Disciplineof Study (or requiredof faculty to be hired)BUSI 5703 BusinessEconomicsBUSI 5801 International.03.03Not applicableNot applicableDr. T CyrusDr. C McLarneyPhD (Economics)PhD (Business)BusinessBUSI 5511 Management .03 Not applicable G Sullivan MBA /ProfessionalInformation SystemsDesignationBUSI 5503 Quantitative .03 Not applicable Dr. L MacLean PhD (Statistics)Decision MakingBUSI 6601 Legal Aspects .03 Not applicable R. Klapstein PhD Preferredof Risk ManagementMBA/LLBBUSI 6207 Advanced .03 BUSI 5103Dr. I. Fooladi PhD (Finance )Corporate FinanceAccounting/Business(Special Cohort Section)BUSI 5103 Accounting .03 Not applicable C Conrod MBA /AccountingDesignationBUSI 5703 Business .03 Not applicable Dr. T Cyrus PhD (Economics)Economics(Special Cohort Section)BUSI 6207 AdvancedCorporate FinanceBUSI 6326 ManagementSkills DevelopmentBUSI 6410 AdvancedMarketingBUSI 6410 AdvancedMarketing(Special Cohort SectionBUSI 6540 Measurementand MethodologicalApproaches in RiskManagement.03 BUSI 5103Dr. G Hebb PhD (Finance )Accounting.03 Not applicable Dr. R Baltazar PhD(Business/Mgmt).03 Not applicable Dr. L Lee PhD(Business/Marketing).03 Not applicable Dr. L Lee PhD(Business/Marketing).03 BUSI 5503Quantitative DecisionMakingDr. B ArchibaldBUSI TBA .03 Not applicable TBA PhDBUSI 5503 QuantitativeDecision Making(Special Cohort Section)BUSI 5801 InternationalBusinessBUSI 6990 StrategicLeadership and Change(Special Cohort Section)BUSI 6990 StrategicLeadership and ChangePhD (Statistics).03 Not applicable Dr. L MacLean PhD (Statistics).03 Not applicable Dr. C McLarney PhD (Business).03 All RequiredMBA(FS) Courses(Capstone).03 All RequiredMBA(FS) Courses(Capstone)Dr. C McLarneyDr. C McLarneyPhD (Business)PhD (Business)Page Referenceto CV82

Course Selection GuideTentative program schedule***All program courses (CSI/ICB Stream) and all other Dalhousie courses must be completed prior toregistering for the capstone Strategic Leadership and Change course.Economics (T)September 2009 January 2010 Summer 2010Quantitative Decision Making (W&T)Information Systems for anInformation Age (T)International Business (W&T)Legal Aspects Risk Management**(T)Advanced Marketing (T)Accounting (W&T)Management SkillsDevelopment (W&T)Corporate Finance*Prereq Required(T)Measurements &Methological RiskManagement** (T)International Business(H)Strategic Leadership &Change (H)TBA (H)September 2010 January 2011 Summer 2011Economics (W&T)Quantitative Decision Making (T)Information Systems for anInformation Age (W&T)International Business (T)Risk Management (T) **Economics (T)Advanced Marketing (W&T)Accounting (T)Management SkillsDevelopment (T)Corporate Finance (W&T)*Prereq RequiredRisk Management ** (T)Management SkillsDevelopment(H)Strategic Leadership andChange (H)TBA (H)September 2011 January 2012 Summer 2012Quantitative Decision Making (W&T)Information Systems for anInformation Age (T)Advanced Marketing (T)Accounting (W&T)Management SkillsDevelopment (W&T)Information Systems for anInformation Age (H)Strategic Leadership andChange (H)International Business (W&T)Risk Management** (T)Corporate Finance (T)*Prereq RequiredRisk Management** (T)Please note the following coding for Intensive Sessions:(T) - Toronto Intensives(W) – Vancouver orCalgary Intensives(H) - Halifax IntensivesThe Strategic Leadership & Change course, is always offered during the summer in Halifax. Intensive locations will bedependent on the number of students registered in the course.*Prerequisite: Accounting must be completed prior to takingCorporate Finance** Risk Management course offerings will be based on enrollment for that term83

Appendix 6.4 Course Outlines(Outlines – saved as attached pdf or word documents)BUSI 5103.03: Business Accounting.H:\CFAME\Courses\MBA(FS)\200920\200BUSI 5503.03: Quantitative Decision Making.H:\CFAME\Courses\MBA(FS)\200910\QDMBUSI 5511.03: Management Information Systems.H:\CFAME\Courses\MBA(FS)\201010\201BUSI 5703.03: Business Economics.H:\CFAME\Courses\MBA(FS)\201010\201BUSI 5801.03: International Business.H:\CFAME\Courses\MBA(FS)\201010\201BUSI 6207.03: Advanced Corporate Finance.H:\CFAME\Courses\MBA(FS)\200920\200BUSI 6326.03: Management Skills Development.84

H:\CFAME\Courses\MBA(FS)\200930\200BUSI 6410.03: Advanced Marketing.H:\CFAME\Courses\MBA(FS)\200920\200BUSI 6990.03: Strategic, Leadership and Change.H:\CFAME\Courses\MBA(FS)\200930\200RISK MANAGEMENT COURSESBUSI 6601.03: Legal Aspects of Risk Management.H:\CFAME\Courses\MBA(FS)\201010\201BUSI 6540.03: Measurement and Methodological Approaches in Risk Management.H:\CFAME\Courses\MBA(FS)\COURSE OUBUSI 6300.03: Concepts of Risk Management.H:\CFAME\Courses\MBA(FS)\200920\200New Courses – currently in the approval stages as of June 2009BUSI 6XXX.03: Global Markets and InstitutionsH:\CFAME\MBA(FS)\Course Outline MBA(F85

BUSI 6XXX.03: Investment and Money ManagementH:\CFAME\MBA(FS)\Course Outline MBA(F86

7. Program Delivery StandardAppendix 7.1 Quality Assurance for Program Delivery88

MPHECCESPMMaritime Provinces CommissiondeHigher Education I'enseignement superieCommission des Provinces maritimAssessment ofDalhousie University'sQuality Assurance Policiesand Procedures89

The Council of Maritime PremiersLe Conseil des premiers ministres des Maritimes90

Assessment ofDalhousie University’sQuality Assurance Policiesand ProceduresReport prepared by the:AAU-MPHEC Quality Assurance Monitoring CommitteeReport approved by the:Maritime Provinces Higher Education CommissionSeptember 2003(This document is available in the working language of the institution only.)91

For additional copies of this Report:Visit our website www.mphec.ca and click on Publicationsor contact:Maritime Provinces Higher Education Commission /Commission de l’enseignement supérieur des Provinces maritimes82 Westmorland Street / 82, rue WestmorlandP.O. Box 6000 / C.P. 6000Fredericton, NB E3B 5H1Canada(506) 453-2844 ISBN0-919471-32-392

Table of Contents1. Introduction ....................................................................... 12. D e s c r i p t i o n o f t h e m o n i t o r i n g p r o c e s s 23. Overview of Dalhousie’s Quality assurance policies and procedures ........................ 34. Assessment of Dalhousie’s Quality Assurance policies and procedures ..................... 44.1 How well is the institution achieving what it set out to accomplish? .............................. 44.2 Is the institution doing what it should be doing? ........................................................ 64.2.1 Clarify and redefine the accountability for, and the relationship among,the different types of reviews ..................................................................... 64.2.2 Balance the policy to make it more student-centred ....................................... 74.2.3 Improve the timeliness of the process ....................................................... 84.2.4 Include a provision in the policy to evaluate the University’s existingquality assurance policy on a regular basis .................................................... 94.2.5 Increase community involvement and awareness ....................................... 95. Summary of recommendations .............................................................. 106. Conclusion ............................................................... 11Appendix 1: Institutional Response .............................................................................................. 13Appendix 2: Site Visit Agenda and Participants ............................................................................... 14Appendix 3: Quality Assurance Monitoring Policies and Procedures ........................................... 1593

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures .INTRODUCTIONThe Maritime Provinces Higher Education Commission’s Quality Assurance Monitoring Programme wasimplemented in 1999 in response to the Commission’s new mandate, which includes focussing on continuousquality improvement of programmes and teaching at post-secondary institutions.The monitoring process was created to provide assurances to stakeholder groups and the general public thatMaritime universities are committed to offering quality programmes and have quality assurance policies inplace. The specific objective of the monitoring function is to ascertain that the procedures used by institutionsto assess the quality of existing programmes, and other functions as appropriate, are performing adequatelyas quality control and quality improvement mechanisms. A key outcome of the process is to provideassistance and advice to institutions on ways to enhance their current quality assurance policy andprocedures.The Quality Assurance Monitoring Committee, a joint committee of the Association of Atlantic Universities(AAU) and the Maritime Provinces Higher Education Commission (MPHEC), carries out the monitoringfunction on behalf of the Commission. This Committee was established as a peer review committee whosepurpose is to advise and assist the MPHEC in ensuring continuous improvement in the quality of academicprogrammes and of teaching at post-secondary institutions included within its scope by monitoringinstitutional quality assurance activities. The Monitoring Committee’s Terms of Reference can be found underAppendix 3.The Monitoring Committee’s main objective is to answer the following two questions while paying particularattention to each institution’s mission and values:1. How well is the institution achieving what it set out to accomplish in its quality assurance policy?2. Is the institution doing what it should be doing in the area of quality assurance?The monitoring function is made up of the following steps:iiiiiiiian initial meeting between the university and the Monitoring Committee;submission by the university of its self-study;an analysis of all pertinent documentation by the Monitoring Committee;a site visit;an assessment report prepared by the Monitoring Committee;an institutional response;release of assessment report; andsubmission by the university of a follow-up action plan.The quality assurance monitoring process is currently in its pilot phase. Two universities, Dalhousie Universityand St. Thomas University, have volunteered to participate in the pilot phase. Once the MonitoringCommittee has completed the process with both institutions, it will review and modify, if necessary, themonitoring process based on its own assessment and feedback from both institutions involved in the pilotphase. Throughout the pilot phase, the Monitoring Committee was encouraged by both Dalhousie and St.Thomas Universities’ positive response to the process and willingness to receive feedback from the94

2 Assessment Report of Dalhousie University’s Quality Assurance Policies and ProceduresMonitoring Committee. The remaining institutions on the Commission’s schedule are expected to completethe monitoring process over the next few years.The Monitoring Committee’s assessment report begins with a description of the monitoring process and theactivities leading up to this report, followed by an overview of the quality assurance policies and proceduresat Dalhousie University. The report concludes by answering the two key questions of the monitoring function.2. DESCRIPTION OF THE MONITORING PROCESS WITH DALHOUSIE UNIVERSITYThe initial meeting between the Monitoring Committee and Dalhousie University occurred on May 9, 2001at which time the Monitoring Committee clarified its expectations regarding the monitoring process, timelines,and self-study. The Monitoring Committee was represented by Ms. Marie T. Mullally, Committee Chair, Dr.Henry Cowan, AAU representative and committee member and Ms. Mireille Duguay, MPHEC staff.Representing Dalhousie were Dr. Tom Traves, President, Dr. Sam Scully, Vice President Academic andProvost and Mr. Brian Christie, Executive Director, Institutional Affairs. At this meeting, the Universityreceived a copy of the Guidelines for the Preparation of the Institutional Self-Study and the AssessmentCriteria for the MPHEC Monitoring Process. These two documents can be found under Appendix 3.Dalhousie submitted to the Monitoring Committee a self-study of its Quality Assurance Policies andProcedures in November 2002. The Monitoring Committee held a meeting on December 14, 2002 to reviewthe self-study, after which a letter was sent to Dalhousie that identified the areas for which the MonitoringCommittee would like further clarification during the site visit as well as a list of possible participants.The site visit occurred on February 18, 2003. Committee Chair, Ms. Marie T. Mullally, and Committeemembers, Dr. Henry Cowan, Prof. Ivan Dowling, Ms. Sue Loucks and Dr. Don Wells were present at thismeeting as well as three MPHEC staff members. Representing Dalhousie’s senior administration were Dr.Tom Traves, President, Dr. Sam Scully, Vice President Academic and Provost, and Mr. Brian Christie,Executive Director, Institutional Affairs. Dr. Scully and Mr. Christie were present for most of the site visit. TheMonitoring Committee had an opportunity to hear from senate officers, faculty representatives, chairs ofrecent review committees and student representatives. The agenda for the site visit is included underAppendix 2.After the site visit, the Monitoring Committee requested additional documentation to further guide itsassessment. On May 8, 2003, the Monitoring Committee submitted to Dalhousie a draft of its AssessmentReport of Dalhousie’s Quality Assurance Policies and Procedures. The University was asked to validate thefactual information contained in the document and to provide an initial reaction to the report. A response wasreceived on May 26, 2003.The Monitoring Committee would like to extend its gratitude to Dalhousie for volunteering to be part of thepilot phase and for being responsive and cooperative throughout the entire process.95

4 Assessment Report of Dalhousie University’s Quality Assurance Policies and ProceduresAssessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 3.3. OVERVIEW OF DALHOUSIE’’S QUALITY ASSURANCE POLICIES AND PROCEDURESDalhousie University, located in Halifax, Nova Scotia, provides nearly 13,500 students from Nova Scotia, therest of Canada and abroad, with a post-secondary education in more than 125 undergraduate, graduate andprofessional degree programmes. In addition to arts and social sciences, science, management andcomputer science degree programmes, the University offers professional and specialized training in a varietyof health professions, medicine, dentistry, architecture and planning, engineering and law.The following summary of Dalhousie’s quality assurance policies and procedures is based on the informationprovided in the University’s self-study.In 1985, the University adopted its first governing policy for academic quality assessment and improvementin the document "Guidelines for Unit Reviews". According to these guidelines, the objectives of the reviewprocess are the improvement of the University’s academic offerings and the provision of information foracademic planning and subsequent budgetary activities. The University’s current policy focusses on thereview of academic activities. Dalhousie intends to introduce regular reviews of support units and servicesinto its quality assurance practices.Dalhousie’s quality review policy is two-tiered where:iiSenate reviews faculties and relationships with affiliated institutions and the programmes that areinvolved in these partnerships.Faculties review their constituent units: schools, departments, centres and institutes, andnon-departmentalized programmes. The Faculty of Graduate Studies reviews all graduateprogrammes.This arrangement allows the results of reviews to be primarily considered at the administrative level whereunit accountability and budgetary, curriculum, planning and staffing decisions are overseen, and to recognizethe differences amongst the disciplines. In addition, many programmes must undergo accreditation reviewsby an external body.Reviews, whether conducted by Senate, a faculty, or the Faculty of Graduate Studies, are to be carried outin a five to eight year cycle and consist of the following components: 1i the solicitation of the views of faculty, staff, students and external stakeholders such as alumni,professional associations and employers;i the preparation of a self-study by the unit; 2i a review by an internal committee; andi a review by one or two arms length external reviewers who typically make a site visit.1New graduate programmes are reviewed prior to implementation and as soon as96

possible after full implementation. 2 Refers to either a faculty, a department, or a graduate programme.Roles and responsibilities for reviews conducted under the auspices of Senate are as follows:iiiiThe Office of Institutional Affairs coordinates and supports the process, while the Vice-Chair ofSenate oversees the review process on behalf of Senate.The Senate Academic Priorities and Budget Committee (SAPBC) considers the reports by theinternal review committee and by the external reviewer(s) as well as the faculty's initial response tothe review and then decides whether to accept the report or not and what action, if any, should berecommended to Senate based on the report.The SAPBC also considers the follow-up reports and determines whether further action is expected.The Vice-President Academic and Provost reports to the SAPBC on the status of recommendationswithin a year to eighteen months following the review.Roles and responsibilities for reviews conducted by faculties, including the Faculty of Graduate Studies, aretypically as follows:iiiThe Associate Dean of the faculty in question coordinates reviews of its constituent departments.The Faculty Council of the faculty in question considers the reports by the internal review committeeand by the external reviewer(s) as well as the unit’s response to the review.The Dean of the faculty in question monitors follow-ups to recommendations resulting from a review.The reports on reviews conducted by Senate are distributed, as appropriate, to the President, Vice-PresidentAcademic and Provost, relevant deans, department heads and school directors, faculty members, theSAPBC, and other decision makers. They are also available for examination in the Senate Office.Dissemination of reviews conducted by Faculties follows a similar pattern at the Faculty level. As well, thesereports are filed with the Office of Institutional Affairs. The Vice-President Academic and Provost receivescopies of departmental and school reviews from a number of faculties.4. ASSESSMENT OF DALHOUSIE UNIVERSITY’’S QUALITY ASSURANCE POLICIES ANDPROCEDURES4.1 How well is the institution’s policy achieving what it set out to accomplish in the area ofquality assurance?Based on the documentation provided, Dalhousie’s quality assurance policies have generally beenimplemented according to the procedures outlined in its policies. Specifically, the process whether led bySenate, a faculty or the Faculty of Graduate of Studies, has included, as per the University’s policies: a selfstudy,student, staff and faculty input, an internal review committee, external reviewers, a final report withrecommendations, and a follow-up process to the report.Dalhousie’s quality assurance policy is designed to allow each faculty to develop its own terms of referenceand assessment criteria as long as these follow the basic criteria outlined in the Guidelines for Unit Reviewswhich were approved by Senate in 1985. This is a strength of Dalhousie’s policy as it recognizes thedifferences among disciplines and the autonomy of each faculty by allowing each faculty to tailor its reviewpolicy to reflect its individual mission and values. Two notable examples include the Faculty of Health97

Professions’ review policy which is student-centred and focussed on quality of learning and the Faculty ofGraduate Studies’ review policy, which focusses on individual programmes, concentrates on student98

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 5outcomes, and schedules the review of graduate programmes to complement the review of the departmentin which they are housed. In addition, the Monitoring Committee noted that Dalhousie reviews all newgraduate programmes externally prior to Senate approval and implementation.Another strength of Dalhousie’s quality assurance policy is that it includes a process to review itsrelationships with other institutions, such as with the Nova Scotia Agricultural College and the University ofKing’s College. This allows it to monitor the quality of programmes that are offered by two separateinstitutions but lead to Dalhousie credentials.Dalhousie clearly conducts a considerable number of reviews each year, and this requires significant effortand resources. The site visit provided valuable insight into how those who are directly involved in unitreviews regard the process, and it appears that the faculty and staff with whom the Monitoring Committeemet are committed to the review process.The Monitoring Committee identified two areas within Dalhousie’s policies which it felt could be improvedupon in terms of how they are implemented. The first area identified by the Monitoring Committee, as wellas by Dalhousie, was timeliness. The first round of Senate-led reviews took close to 15 years to complete,over twice the time set out in the University’s quality assurance policies. In its self-study, Dalhousie notedthat it has begun to examine ways to ensure the second round of reviews is completed according toschedule.The second area relates to the extent to which the assessment criteria, outlined in the Guidelines for UnitReviews, fully inform the two key objectives of Dalhousie’s review process:(1) the improvement of the University’s academic offerings; and(2) the provision of information for academic planning and subsequent budgetary activities.The "Guidelines for Unit Reviews" (page 3) state that:“In assessing the strengths and weaknesses of a unit, a review committee would probablywant to look at the quality and quantity of faculty in the unit, the organizational structureincluding support services and facilities within and outside the unit; the quantity and qualityof teaching equipment and supplies available to the unit; objectives or functions of the unit,and the degree to which those objectives were currently being fulfilled; and what plans theunit had for its future development.”While these information items clearly inform the objective, the provision of information for academic planningand subsequent budgetary activities, the Committee noted that the link between these items and decisionsrelated to the improvement of the University’s academic offerings is less clear. While the Committee did seeexamples of how the review process has led to the improvement of academic offerings, for some reviews itwas less evident. This is discussed with further suggestions below.In other respects, Dalhousie appears to have achieved what it set out to achieve in its policies. The nextsection of the report provides suggestions on ways Dalhousie can enhance the overall implementation of itsquality assurance programme.99

6 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures4.2 Is the institution doing what it should be doing in the area of quality assurance?As per the Commission’s Guidelines for Institutional Quality Assurance Policies, 3 Dalhousie’s current qualityreview processes include most of the elements which are deemed essential to a successful quality assurancepolicy. The policyiiiiiiiiis comprehensive and reflects Dalhousie’s mission and values;includes defined assessment criteria;includes a self-study component;entails an external review component;incorporates the participation of faculty not directly involved in the reviewed programme;allows for the participation of the wider network of stakeholders;includes a follow-up component to the assessment; andincludes a clearly defined review cycle.In order to better align Dalhousie’s policy with the Commission’s guidelines and to enhance the overall qualityof its review procedures, the Monitoring Committee has a number of suggestions for Dalhousie which areorganised as follows:1. Clarify and redefine the accountability for and the relationship among the different reviews;2. Balance the policy to make it more student-centred;3. Improve the timeliness of the process;4. Include a provision in the policy to evaluate the University’s existing quality assurance policy on aregular basis; and5. Increase community involvement and awareness.4.2.1 Clarify and redefine the accountability for, and the relationship among, the different types ofreviewsThe Monitoring Committee noted that, according to the documentation, Senate monitors the results of itsreviews of faculties but not the results of departmental reviews conducted by faculties. The MonitoringCommittee suggests that all academic elements of a review, regardless of the administrative unit under whichthe review is conducted, should be reported to Senate for discussion and decision. Because Senate is thesenior body responsible for academic matters, it is accountable for the quality of academic programmes,and it seems to be appropriate that it oversees the overall process.The Monitoring Committee noted that Dalhousie does not have an overarching policy that outlines theways in which the various review processes contribute to quality assurance within the University. In essence,its quality assurance policy is the sum of the Senate’s Procedures and Terms of Reference for Committees, theGuidelines for Unit Reviews, and each faculty’s, including the Faculty of Graduate Studies, respectiveTerms of Reference. As a result, Dalhousie’s two-tiered process appears somewhat disconnected. While thelink between a departmental review conducted by a faculty, and the review of graduate programmeshoused within the department is clear, the relationship between reviews of individual faculties by Senate andthe reviews of departments by the faculty in which they are housed is not.3These guidelines are included under Appendix 3.100

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 7The Monitoring Committee strongly suggests that Dalhousie develop an overarching policy that describesthe relationships among the different types of reviews (Senate-led, faculty-led, Faculty of Graduate Studiesledand Accreditation) and the ways in which each contributes to quality improvement within the University.An overarching policy with clearly defined links between reviews would enable the University to moreeffectively leverage and use the information from one review to complement another, thus minimizingduplication. In addition, this policy should identify common elements to be included in each review tofacilitate a comparison of units.The Monitoring Committee also suggests that an annual report, which highlights the review process,outcomes and follow-up action, be submitted to Senate as one way to strengthen the link and the lines ofaccountability between reviews done by faculties and reviews done by Senate.4.2.2 Balance the policy to make it more student-centredAs noted above, the Monitoring Committee believes that the Guidelines for Unit Reviews are more focussedon collecting data to provide information for academic planning and subsequent budgetary activities withinthe faculties, which, while forming a basis for the improvement of academic offerings, are not clearly relatedto the delivery of offerings and the student learning experience. Given that these guidelines are the templatefaculties must use to develop their respective quality assurance policies, it is not surprising that somefaculties have developed review policies that are more focussed on the allocation of resources than on thestudent experience. The Committee did note, however, that the Faculty of Graduate Studies and the Facultyof Health Professions have developed review policies that meet the requirements set out by the guidelines,that are student-centred and that are designed to collect a number of measures to inform decisions relatedto the improvement of academic offerings.The Terms of Reference for a committee reviewing a faculty under the auspices of Senate are focussed onmeasures related to faculty performance, organizational structure, and relationship with other units andprogrammes within and outside of Dalhousie and as a result are more in line with the objective, the provisionof information for academic planning and subsequent budgetary activities, and are more focussed on humanresources than on the student experience. Subsequently, and as noted in Dalhousie’s self-study and indiscussions during the site visit, the results of the reviews of faculties have been used primarily to inform, forexample, the reappointment or selection of deans, faculty selection (such as fields within a discipline requiringadditional faculty), physical plant planning, new programme development, and academic entrepreneurship.Many faculties seem to have equated the review process with resource allocation and specifically theallocation of faculty positions. While the Committee noted examples of reviews of faculties done under theauspices of Senate that clearly focussed on the student learning experience such as with the Faculty ofComputer Science and the Faculty of Architecture and Planning, this was less evident in Senate-led reviewsof faculties with multiple departments.Student evaluations of teaching, conducted on a class by class basis, are used extensively by Dalhousie toinform departmental decision-making and recommendations concerning tenure and promotion. TheMonitoring Committee believes that Dalhousie should also consider incorporating the aggregate results ofstudent evaluations into its quality assurance programme as well as integrating measures of academic qualitysuch as teaching and learning, and curriculum into its guidelines.Ideally, a quality assurance policy should focus on both research and scholarship and the student experience.While Dalhousie’s Guidelines and Terms of Reference for Senate led reviews do focus on the former, the101

8 Assessment Report of Dalhousie University’s Quality Assurance Policies and ProceduresMonitoring Committee suggests that the University strengthen the student experience focus by increasingthe emphasis on student-centred criteria, as some Faculties are already doing. This could be achieved byextending the scope of its Guidelines to consider students’ entire university experience, from support servicesto teaching and learning.The Monitoring Committee noted that Dalhousie intends to introduce regular reviews of support units andservices into its quality assurance practices. The Committee urges the University to implement thisinnovation as soon as possible in order to ensure that the review process at Dalhousie covers the fullspectrum of the student experience.Dalhousie’s Guidelines for Unit Reviews suggest that a student member be included on the review committeeand further states that, “a student member would be useful in drawing out student concerns which mightotherwise remain hidden” (p. 3). In practice, however, only the Faculty of Science and the Faculty ofEngineering have included a provision for a student member on the review committee in its Terms ofReference for Unit Review Committees. The Monitoring Committee understands that the Faculty of Sciencehas, in most cases, successfully found students to sit on Unit Review Committees. While appreciating someof the challenges in ensuring student participation, the Monitoring Committee strongly urges Dalhousie toincorporate the practice of having students sit on review committees within all faculties and the Universityshould make every effort to facilitate student participation on such committees.Student representatives with whom the Committee met indicated that the general student body’s knowledgeof the University’s quality assurance policies is limited. Generally, the only visible activities in this regard arestudent evaluations of individual courses performed at the end of each course. Students often perceive thecourse evaluations as being ineffective because they see no tangible changes as a result of their input.Despite these challenges, the Monitoring Committee believes that Dalhousie should take additional steps toensure full student participation in the quality assurance process, including as members of reviewcommittees. The Monitoring Committee suggests that Dalhousie enhance its communications with studentsand the broader university community about its quality assurance policies and the follow-up decisions.4.2.3 Improve the timeliness of the processThe Monitoring Committee noted that discussions have already begun among senior administrators on waysto ensure that the second round of Senate-led reviews is completed within the five- to eight-year timeframe,as per its policy. The Monitoring Committee believes that the review cycle should not extend past sevenyears, and ideally should be completed within five years.The timing of the different types of reviews could be more effectively managed in order to minimiseduplication and maximise resources. This would facilitate information and resource sharing among thedifferent types of reviews. For example, accreditation reviews would inform reviews by faculty, reviews byfaculty would inform reviews by the Faculty of Graduate Studies, and reviews by faculties would informreviews by Senate. Dalhousie suggested that it would like to modify the timing of its reviews to precede adecanal search. In this case, a review would ideally begin in September and end in April. The MonitoringCommittee supports this approach, although it cautions that the purposes of decanal reviews and unit reviewsare different and decanal searches must not overshadow the primary objective of the process, that is,continuous quality improvement.102

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 9Dalhousie identified the scope of reviews led by Senate, which mandates that each faculty under reviewaddress a total of 19 multi-faceted items, as one factor that likely contributed to delays in the past. TheMonitoring Committee agrees with Dalhousie’s assessment that there may be more effective means toaddress some of the items covered in the reviews and suggests certain items currently reviewed at theSenate level may be more appropriately reviewed at the faculty level.4.2.4 Include a provision in the policy to evaluate the University’s existing quality assurance policyon a regular basisThe Monitoring Committee recommends that Dalhousie integrate into its overarching quality assurance policya provision to evaluate the University’s existing quality assurance policy on a regular basis, including aprocess to ensure that the results of the review are tabled with Senate. The Monitoring Committeerecognizes that the Office of Institutional Affairs undertook an impressive review of Dalhousie’s qualityassurance policies and procedures in 1991, however, a similar review has not been done since that time.Having an actual provision in the policy to evaluate the quality assurance process would allow the Universityto determine if the process is meeting the anticipated objectives and outcomes, identify its strengths andweaknesses, implement improvements and ensure its continued relevancy.The Monitoring Committee believes that the following recommendations/suggestions identified in the 1991review are still applicable today:CCCCCCCThat a time frame for the completion of a review be established, including a deadline for submissionof a follow-up report to the recommendations.That the review process identify unit goals and activities and then assess if the activities meet theneeds of the goals.That the impact of review reports on decision-making throughout the University be increased.That review procedures must make clear “who” is the audience.That the methodology of the data collection and the structure of the reports should be clear to thereader and consistent among faculties.That the Terms of Reference for all faculties be revised to include the requirement of a progress orfollow-up report.That a central station at Dalhousie be responsible for monitoring the process of Unit reviews.4.2.5 Increase community involvement and awarenessCommunity involvement and awareness are important components of a university’s quality assurance policy.This includes the participation of the greater community during the review process as well as the proactivedissemination of information about a university's quality assurance policies to the university’s immediatecommunity (students, faculty, etc.) and the general public.Dalhousie's policy does require that the Senate Review Committee meet with staff, students andrepresentatives of external constituencies such as alumni, employers, professional associations, andprovincial government officials. However, in practice and as noted in Dalhousie's self-study, communityparticipation has varied and has frequently focussed on single issues, newspaper advertising of somereviews such as Medicine has produced few responses, and professional associations for the most part showlittle interest in reviews. Also, some Senate Review Committees have included a member from an external103

10 Assessment Report of Dalhousie University’s Quality Assurance Policies and Proceduresrepresentative of a relevant profession. Nonetheless, the Monitoring Committee believes that Dalhousie mustincrease its efforts to attract participation from the broader community.In terms of dissemination of information about quality assurance, the Monitoring Committee noted that it isnot enough that review reports are made available to the public upon request. The Monitoring Committeesuggests that Dalhousie communicate information pertaining to the University’s quality assurance policy andthe results of reviews to the University’s immediate community (students, faculty, etc.) and the general public.The dissemination of this information communicates to the University community and the general public thatthe University is focussing on providing quality programmes and services to its students and gives increasedconfidence in the quality of the programmes at Dalhousie.5. SUMMARY OF RECOMMENDATIONSRECOMMENDATION 1: Clarify and redefine the accountability for, and the relationship among, thedifferent types of reviewsPossible ways to achieve this include:iiiiThat all academic elements of a review, regardless of the administrative unit under which thereview is being conducted, be reported to Senate, the senior academic body, for discussion anddecision.That an annual report on the review process, outcomes and resulting follow-up action besubmitted to Senate.That an overarching policy be developed to clarify the relationship among the different types ofreviews, and to identify the contribution of each to quality improvement.That common elements to be included in each review be identified to facilitate a comparison ofunits.RECOMMENDATION 2: Balance the policy to make it more student-centredPossible ways to achieve this include:iiiiiiThat Dalhousie adjust the balance of the quality assurance policy to make it more student-centred.That the scope of reviews be extended to include students’ entire university experience fromsupport services to teaching and learning.That the aggregate results of student evaluations be integrated into the review process.That measures of teaching quality and curriculum be integrated into the review process.That Dalhousie take additional steps to ensure full student participation in the quality assuranceprocess, including as members of review committees.That Dalhousie improve its communications with students and the broader university communityabout its quality assurance policies and the follow-up decisions.104

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 11RECOMMENDATION 3: Improve the timeliness of the processPossible ways to achieve this include:iiiiThat the review cycle not extend past seven years, and ideally be completed within five years.That the timing of the different types of reviews be more effectively managed in order to minimiseduplication and maximise resources.That the Senate review guidelines be modified to identify any item that may be more appropriatelyreviewed at the Faculty level.That a time frame for the completion of each review be established, including a deadline forsubmission of a follow-up report to the recommendations.RECOMMENDATION 4: Include a provision in the policy to evaluate the University’s existing qualityassurance policy on a regular basisRECOMMENDATION 5: Increase community involvement and awarenessPossible ways to achieve this include:iiThat greater effort be made to include members of the community including students, professionalgroups and the general public in the review process; andThat information about the university’s quality assurance policy and the results of reviews becommunicated to the university’s immediate community (students, faculty, etc.) and to the generalpublic.6. CONCLUSIONThe Monitoring Committee compliments Dalhousie for recognizing early on that a quality assurance policyis key to ensuring quality academic programmes. Almost two decades have passed since Dalhousie firstimplemented its Guidelines for Unit Reviews in1985, allowing sufficient time for the notions of qualityassurance to become ingrained into the University’s culture. Those who are most directly involved in theprocess (senior administration, faculty and staff) appear to support the process and its outcomes. TheMonitoring Committee believes that this is an opportune time for Dalhousie to review and update its policies,particularly as the University moves to integrate the review of support services into its quality assuranceprogramme, and hopes that this report serves as a useful guide to facilitate a review of Dalhousie’s qualityassurance policies and procedures.105

12 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures106

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 13APPENDIX 1DALHOUSIE UNIVERSITY’S RESPONSE TO THE ASSESSMENT OF ITS QUALITY ASSURANCEPOLICIES AND PROCEDURES, SEPTEMBER 2003Dalhousie University was grateful for the opportunity to participate in the pilot phase of the MPHEC’s quality assurancemonitoring process. The self-reflection required for the preparation of the self-study document and our consideration ofthe report of the AAU-MPHEC Quality Assurance Monitoring Committee will result in improvements to the already rigorousacademic quality assurance program at Dalhousie. The final report of the Monitoring Committee will be carefullyconsidered and presented to the Senate Academic Priorities and Budget Committee (SAPBC) which has overallresponsibility for the academic unit and program review process at Dalhousie.The Monitoring Committee’s report provides a generally accurate description and assessment of the quality assurancepolicies and procedures at Dalhousie. Nevertheless, there are several issues raised in the report that deserve immediateresponse. As well, there are recommendations in the report that will require thoughtful consideration before appropriateresponses to the recommended changes to policies and procedures can be determined.Dalhousie’s major concern with the report relates to recommendation 2: “Balance the policy to make it more studentcentred.”We believe that the report understates the degree to which academic reviews at Dalhousie have dealt withstudent related issues. Certainly, there is variability in the extent to which individual reviews address issues that aredirectly student related and those that involve other matters such as faculty relations, administration, scholarship andresearch, and external relations. In a complex university such as Dalhousie, with multiple missions, there is a range ofresponsibilities that academic units must fulfill and that unit reviews must examine. The degree to which a reviewcommittee’s report is student-centred, therefore, depends on what the review finds in terms of problems, issues, concerns,and opportunities. Nevertheless, where there has been the potential or the need to improve academic offerings or thestudent experience, review committees have addressed them. For example, the most recent Senate review of a Faculty,that of the Faculty of Architecture and Planning, contained 42 recommendations. Of these, 29 (almost 70%) dealt with“student-centred” matters. Likewise, in the recent Senate review of the Faculty of Computer Science more than half ofthe recommendations (14 of 28) were student-centred. These results do not, we believe, provide evidence of animbalance. Nevertheless, the other individual suggestions provided in the report under the heading ofRecommendation 2 (page 10) will be carefully considered.Recommendations 1 and 3 are helpful. Action is already underway, in the form of amendments to thet erms of referencefor Senate reviews, that will address Recommendation 3.Recommendation 4, on the other hand, is puzzling. It calls for a review of the university’s quality assurance policies ona regular basis. As the report states, an “impressive” review was conducted in 1991. We consider the MPHEC’sassessment, which began in 2001, as a second review of the university’s policies and practices with respect to academicquality assurance. It includes a self-study and an external review with recommendations; it has already resulted inproposed changes that aim to improve the university’s processes. It is our expectation that the MPHEC process willcontinue on a regular basis, forming a fundamental element of a systematic, periodic review of Dalhousie’s qualityassurance regime. In this way, Recommendation 4 has been, and will be, fulfilled.Recommendation 5 and its components are, in our opinion, neither helpful nor practical. Efforts to involve professionalgroups and the general public in unit reviews have been substantial, varied and largely unproductive in the past. Welook to the MPHEC and the outcomes of this audit process to inform the general public about the extent and rigour of theQA practices of the universities; we understood public accountability to be one of the objectives of the Commission’s auditactivities.In conclusion, Dalhousie’s experience in the pilot phase of the quality assurance monitoring process has been useful.We thank the members of the Monitoring Committee and the MPHEC’s support staff for the time, openness andthoughtfulness that they contributed to the Dalhousie review. The university will carefully consider how the suggestionsin the report can lead to improvements in its already well-developed academic quality assurance processes.107

14 Assessment Report of Dalhousie University’s Quality Assurance Policies and ProceduresAPPENDIX 2SITE VISIT AGENDA AND PARTICIPANTSTuesday, February 18, 2003University Hall9:45 am Dr. Tom Traves, PresidentDr. Sam Scully, Vice-President Academic and Provost*Mr. Brian Christie, Executive Director, Institutional Affairs*11:15 am Senate Officers:Dr. Mohamed El-Hawary, ChairDr. Colin Stuttard, former Chair12:15 pm Working Lunch1:15 pm Faculty Representatives:Dr. Jan Kwak, Dean of Graduate StudiesDr. Noni MacDonald, Dean of MedicineDr. Lynn McIntyre, Dean of Health ProfessionsDr. Chris Moore, Acting Dean, Faculty of ScienceDr. David Schroder, Associate Dean, Faculty of Arts and Social Sciences2:15 pm Chairs of recent review committees:Dr. Jane Curran, Department of Classics ReviewDr. Keith Johnson, Department of Chemistry ReviewDr. Barrie Clarke, Faculty of Medicine ReviewDr. Richard Nowakowski, Faculty of Computer Science ReviewDr. Fred Wien, Faculty of Architecture and Planning Review3:15 pm Student Representatives:Johanne Galarneau, Student Union PresidentCurtis McGrath, Student Senator4:00 pm Wrap-up:Dr. Sam ScullyMr. Brian Christie4:30 pm Site visit concludes* present throughout the day, as available.108

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 15MPHEC POLICY ON QUALITY ASSURANCE:MONITORING INSTITUTIONAL QUALITY ASSURANCE POLICIES AND PROCEDURESAPPENDIX 31. ObjectiveThe monitoring of quality assessment procedures and practices is especially important given that the cornerstone ofquality assurance is self-assessment by the institutions.The specific objective of the MPHEC monitoring function is to ascertain that the procedures used by institutions to assessthe quality of existing programmes, and other functions as appropriate, are performing adequately as quality controlmechanisms.The purpose of the monitoring process is to answer the following two questions: first, “How well is the institution achievingwhat it set out to accomplish in its quality assurance policy?”, and second, “Is the institution doing what it should bedoing in the area of quality assurance?”.The process is formative; institutional policies and practices are reviewed with a view to provide assistance and adviceto institutions.2. F o c u s The monitoring functionfocuses on three elements:CCCthe institutional quality assessment policy;quality assessment practices; andfollow-up mechanisms.The process pays particular attention to each institution’s mission and values.3. ScopeGiven that the renewed MPHEC mandate provides for a direct focus on university education, only degree-grantinginstitutions on the MPHEC schedule are reviewed in the context of this policy. The following institutions are included inthe process:Acadia UniversityAtlantic School of TheologyDalhousie University, including Dal-TechMount Allison UniversityMount Saint Vincent UniversityNova Scotia Agricultural CollegeNova Scotia College of Art and DesignSt. Francis Xavier University4. CycleThe monitoring function will be performed once at each institution in a seven-year cycle. Over the course of the sevenyearcycle, two reviews per year will be conducted for the first five years, while three reviews will be conducted in eachof the remaining two years of the cycle. The particular order will be established by the MPHEC Quality AssuranceMonitoring Committee, in consultation with the institutions. The first review will begin in early 1999.5. Establishing a Baseline109Saint Mary’s University St.Thomas University Universitéde Moncton Université Sainte-Anne University College of CapeBretonUniversity of King’s CollegeUniversity of New BrunswickUniversity of Prince Edward IslandGiven that it will take seven years to complete the first cycle of the monitoring process, the first step in the overallmonitoring process will focus on establishing a baseline defining institutional activities and priorities in the area of qualityassurance. In early 1998, each institution will be asked to provide a statement describing how compatible their currentactivities in the area of quality assurance are with the MPHEC quality assurance policy in general, and with the Guidelinesfor Institutional Quality Assurance Policies in particular. In addition, the statement should identify future priorities in thearea of quality assurance. The statement will be submitted by January 1999.

16 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures6. A Quality Assurance Monitoring CommitteeThe Quality Assurance Monitoring Committee carries out the monitoring function on behalf of the Commission. It isessentially established as a peer review committee. The members are respected by the post-secondary educationcommunity, have some appreciation for, and expertise in, quality assurance and periodic programme and unit reviews,and are not current members of an institution’s senior administration. The Terms of Reference of the Committee areappended to the policy.7. Process and OutcomesThe monitoring process takes place over a 10- to 12-month period. Two or three institutions are reviewed simultaneously.The quality assurance monitoring process includes the following steps:Step 1 Initial meetingNormally, the first step of the process is a meeting to clarify the expectations and the process, as well as to establish thetime frame for each step.Step 2 Self-studyThe self-study focusses on the quality assessment and improvement processes in place at the institution under review.It is both descriptive and analytical and includes clear statements as to how well the quality assessment and qualityimprovement processes are performing, and whether these processes are adequate for the task.The self-study provides answers to the two key questions guiding the monitoring process: first, “How well is the institutionachieving what it set out to accomplish in its quality assurance policy?”, and second, “Is the institution doing what it shouldbe doing in the area of quality assurance?”.The institution has a three- to four-month period after the initial meeting to produce the self-study and forward it to theMPHEC.Step 3 Analysis of all pertinent documentationOver the course of the following six to twelve weeks, the Committee and staff analyze the documentation and request anyadditional information deemed necessary.The basis of the Committee’s report is the documentation forwarded by the institution, to include:1. The institutional quality assessment policy. The Monitoring Committee uses the policy components andassessment criteria outlined elsewhere in the MPHEC Quality Assurance Policy as the backdrop to revieweach institutional policy;2. The institutional self-study;3. The list of all programme or unit assessments conducted in the last seven years. The institution mayindicate which units or programmes in that list reflect particularly well the institution’s mission and values;and4. The schedule of forthcoming assessments.From the list of assessments carried out by the institution, the Committee selects a number of assessments, normally fromthree to five, for further review by the Committee. The programme or unit assessments are chosen to reflect as accuratelyas possible the institution’s mission and values. The institution is then asked to forward:5. The complete dossier of these assessments.Step 4 On-site visitThe on-site visit completes the monitoring of institutional policy and practices. The Committee meets with individualsidentified during Step 2 and those identified during consultations with the institution in preparation for the visit. Theobjective of the on-site visit is to validate the statements offered in the self-study, as well as to verify elements containedin the assessments reviewed by the Committee.110

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 17Step 5 ReportThe Committee prepares a report on its findings and formulates recommendations, first and foremost, to the institution.The report is forwarded to the institution to validate factual information within eight to twelve weeks following the on-sitevisit. The institution can submit any correction to the report within 30 days of receipt.The report is then submitted to the Commission, accompanied by the comments and advice when applicable of the AAU-MPHEC Academic Advisory Committee. Once approved by the Commission, the report is made available by request tothe public, listed as an MPHEC publication, and mentioned in the annual report filed by MPHEC.Step 6 Institutional responseThe institution then develops a plan of action to respond to the report, to be filed with the MPHEC no later than one yearfollowing the publication of the monitoring report. The Committee and the Commission may comment and respond to theplan of action. A brief description of the institution’s plan of action, and of the Committee’s or Commission’s response,when applicable, are included in the next MPHEC annual report.8. Review of the MPHEC Monitoring ProcessAt the end of the first seven-year cycle, a 12-month hiatus will be imposed to review and analyze the process. Institutionswill be consulted in this review. Among the questions to be answered at that time are:1. Has the process met the anticipated objectives and outcomes?2. What are its strengths and weaknesses?3. How can it be improved?4. Is there value in pursuing it into a second cycle?111

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 195.18 Assessment Report of Dalhousie University’s Quality Assurance Policies and ProceduresAPPENDIX AQUALITY ASSURANCE MONITORING COMMITTEEPurposeTERMS OF REFERENCE1. To advise and assist the Maritime Provinces Higher Education Commission, an agency of the Council ofMaritime Premiers, in ensuring continuous improvement in the quality of academic programmes and of teachingat post-secondary institutions included within its scope by monitoring institutional quality assurance activities,as described in the MPHEC Quality Assurance Policy.Function2. The Committee shall:CCCMonitor the outcomes of institutional quality assessment policies and procedures, within the parametersestablished by the Commission. These parameters are described with details on the process in theCommission Quality Assurance Policy.Suggest relevant research/publications to the Commission and assist in their preparation, as they relateto quality assurance.Examine issues or carry out projects as the Commission may deem necessary and appropriate, as theyrelate to quality assurance.Objective of the monitoring function3. The specific objective of the monitoring function is to ascertain that the procedures used by institutions to assessthe quality of existing programmes, and other functions as appropriate, are performing adequately as qualitycontrol and quality improvement mechanisms.4. The purpose of the Committee in carrying out the monitoring process is to provide answers to the following twoquestions: first, “How well is the institution achieving what it set out to accomplish in its quality assurancepolicy?”, and second, “Is it doing what it should be doing in the area of quality assurance?”.5. The process is intended to be formative; institutional policies and practices will be reviewed with a view toprovide assistance and advice to institutions.Membership6. The Committee will be composed of seven members including the Chair.7. At least two Committee members are also Commission members.8. At least two, but ideally three Committee members will be selected from a list of nominees suggested by theAAU.9. At least one, but ideally two Committee members are students.10. One Committee member is also a member of the AAU-MPHEC Academic Advisory Committee.11. Members are appointed for a three-year mandate. (Note: to ensure continuity, three members of the initialmembership will be appointed for a four-year mandate.)Chair12. The Chair of the Committee is one of the Commission members appointed to the Committee and is designatedby the Chair of the Commission.13. The Chair of the Committee chairs meetings.112

20 Assessment Report of Dalhousie University’s Quality Assurance Policies and ProceduresReporting Structure14. The Committee reports to the Commission. It shall report to the Commission at regular interval.15. Monitoring reports are distributed to the AAU-MPHEC Academic Advisory Committee in advance of theCommission meeting to allow time for comment and advice.Staffing16. The Director of Academic Planning and Research and staff as assigned, is responsible for monitoringinstitutional quality assurance policies and procedures and reports to the Commission the Committee’s findingsand recommendations.17. The Committee is allowed to engage outside consultants, as required, to assist in the monitoring functions.113

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 21APPENDIX BGUIDELINES FOR INSTITUTIONAL QUALITY ASSURANCE POLICIES1. Purpose of the GuidelinesThe aim of these guidelines is to assist the institutions in establishing or improving their policies and processes and tosupport the Commission when assessing the policies and processes in place.2. Focus of the Institutional Quality Assurance PolicyAn institutional quality assurance policy should reflect the institution’s mission and values. All institutions should havea quality assurance policy in place.A quality assessment policy should focus on units (academic and other) and/or on programmes (or groups ofprogrammes). The policy should include provisions to cover all the functions and units of the institution (research,administration, community service, etc.).3. Objective of the Institutional Quality Assurance PolicyThe institutional policy’s objectives should be, at a minimum, to improve the quality of programmes and to ensure thatstated student outcomes can be realized.The purpose of the assessment itself should be to answer the following two questions: first, “How well is the unit or theprogramme achieving what it set out to accomplish?”, and second, “Is it doing what it should be doing?”.4. Components of an Institutional Quality Assessment PolicyIn addition to reflecting institutional mission and values, the institutional quality assurance policy should be comprehensiveand apply to all programmes and units. It should also, at a minimum, address the following elements:1. Identify the coordinating or administrative unit responsible for the overall management of the quality assuranceprocess. This unit should be located at a higher echelon of the institution’s administrative structure, and beaccountable to the institution’s leaders.2. Define the assessment criteria (see section 5).3. Require a self-study component, usually involving faculty and students participating in the programme or unit.The self-study should be student-centred as it would aim, in most cases to assess the quality of learning. Theself-study should be structured according to the defined assessment procedures criteria. When and whereappropriate, the results of accreditation may be included and/or substituted for this component, or a portionthereof.4. Entail an external review component, usually carried out by two experts external to the institution. Asappropriate, the results of accreditation may be included and/or substituted for this component, or a portionthereof.5. Incorporate the participation of faculty not directly involved in the reviewed programme (or discipline or unit).6. Enable the participation of the wider network of stakeholders, such as employers, graduates, professionalassociations, the local community, etc.7. Include appropriate mechanisms, that is at a minimum the procedures and areas of responsibility, to ensure aproper follow up to the assessment.8. Establish the assessment cycle, which should not exceed seven years. Newly established programmes or unitsshould be assessed once fully implemented, usually at the three- to five-year mark.9. Include provisions to review the policy periodically. The policy should betabled with the MPHEC as the body responsible for quality assurance.114

22 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures5. Key Assessment CriteriaThe assessment procedures and criteria should be student-centred, and reflect institutional mission and values. Theassessment criteria should be comprehensive (i.e. to include all programme and units) and address the followingelements:1. Assess intended and delivered curriculum;2. Review teaching practices;3. Clarify the expected outcomes for students;4. Examine the degree to which those outcomes are realized;5. Evaluate the appropriateness of support provided to students;6. Appraise the research carried out by the academic unit or by faculty involved in the reviewed programme;7. Value the contribution of the unit or programme to other aspects of the institutional mission (community service,for example); and8. Value the contribution of the unit or programme to the larger community or society in general.115

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 23APPENDIX CASSESSMENT CRITERIA FOR THE MPHEC MONITORING PROCESSIIntroductionThe specific objective of the monitoring function is to review the policy, processes and procedures used by institutionsto assess the quality of existing programmes and other functions as appropriate, to ensure they are performing adequatelyas quality control and quality improvement mechanisms.The purpose of the Committee in carrying out the monitoring process is to provide answers to the following two questions:first, “How well is the institution achieving what it set out to accomplish in its quality assurance policy?”, and second, “Isit doing what it should be doing in the area of quality assurance?”. The Committee will be assessing the institution’squality assurance policy and related processes, but will not be assessing the quality of specific programmes or units.The process is intended to be formative; institutional policies and practices will be reviewed with a view to provideassistance and advice to institutions.I. Assessment criteria1. Institutional context of the policy2. Generala. The policy is consistent with the institution’s mission and values.a. Appropriate scope of the policy, i.e. the policy is comprehensive in terms of reviewing all programmes andunits.b. The policy follows the Commission’s guidelines. Any discrepancy is explained/ justifiedc. The policy promotes continuous quality improvement.3. Policy objectivesa. Appropriate scope of objectives.b. Links to programme quality improvement.c. Links to decision-making process. (Use to be 3e)d. Links to realization of stated student outcomes.e. Links to the economic, cultural and social development of the university’s communities.4. Policy componentsa. Defined assessment criteria and their appropriateness, to include the adequacy of financial,human and physical resources.b. General guidelines for the programme/unit self-study are established and are appropriate.c. Objective external review process: clearly defined generic terms of reference for, and selectionprocess for, experts.d. Procedures allowing for the participation of students, faculty members, staff and thecommunity-at-large are established.e. (If the policy focuses on units) Mechanism(s) to review interdisciplinary programmes, typicallynot examined when a policy focuses on units.f. Identified linkages between programme review and accreditation requirements.g. Appropriate schedule of programme/unit reviews.h. Procedures to review the policy itself are identified.5. Policy implementation (quality assessment practices)a. Programme/unit self-studies address the institution’s assessment criteria.b. Programme/unit self-studies should include a component that is student-centered, as they aim,among other things, to assess the quality of learning.c. Students, faculty members, staff and the community-at-large participate in the review process.116

24 Assessment Report of Dalhousie University’s Quality Assurance Policies and Proceduresd. External review process is objective; experts selected during the peer review process have theappropriate expertise.e. Policy and procedures monitor the continuing relevance of the programme.f. Schedule of reviews is adhered to, or modifications to schedules can be reasonably explainedor justified.g. Required follow-up action is undertaken.6. Policy administrationa. Coordinating or administrative unit identified as the lead is appropriate.b. Effective support has been offered to programmes and units under review.c. Appropriate follow-up mechanisms are in place and are functioning appropriately.d. Assessment results have been appropriately disseminated.e. The process informs decision-making.(Approved - April 23, 200 1)117

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 25APPENDIX DGUIDELINES FOR THE PREPARATION OF THE INSTITUTIONAL SELF-STUDYI. Purpose and focus of the monitoring processThe specific objective of the monitoring function is to review the policy, processes and procedures used byinstitutions to assess the quality of existing programmes and other functions as appropriate, to ensure they areperforming adequately as quality control and quality improvement mechanisms.The process is intended to be formative; institutional policies and practices will be reviewed with a view toprovide assistance and advice to institutions.The overall monitoring process aims to provide answers to the following two questions:a. How well is the institution’s policy achieving what it set out to accomplish in the area of qualityassurance?b. Is the institution doing what it should be doing in the area of quality assurance?The monitoring function focuses on three elements:a. The institutional quality assurance policy;b. The institution’s quality assessment practices; andc. Follow-up mechanismsII.Focus of the institutional self-studyThe institutional self-study is both descriptive and analytical. It must include clear statements as to how well thequality assessment and quality improvement processes are performing, and whether these processes areadequate for the task.The self-study should engage as many individuals involved in quality assurance within the institution as possible,in a frank, objective and balanced appraisal of strengths and areas for improvement. The self-study is theprimary document on which the monitoring process is based and it is therefore important that it be wellorganized, clearly written and concise.In answering the above, the institution’s self-study should provide the following:a. What is the factual situation?b. What is the institution’s assessment of the situation?c. How are the results addressed?The institutional self-study should only rarely exceed 30 pages, excluding appendices.III.AAU-MPHEC Quality Assurance Monitoring Committee’s criteria for the review of the self-studyThe AAU-MPHEC Quality Assurance Monitoring Committee will review the institution’s self-study by answeringthe following questions:a. Is the self-study comprehensive? Sufficiently critical and analytical?b. Does the self-study provide the reader with a clear sense of the policy’s objectives?c. How have the policy’s objectives been translated in practice?d. Are the issues clearly articulated?e. Are solutions to issues formulated?IV.Suggested structure and content of the report on the self-study1. Introductiona. General history of the policy; date of initial implementation; evolution.118

26 Assessment Report of Dalhousie University’s Quality Assurance Policies and Proceduresb. Number and types of programmes and/or units reviewed to date, etc. (list of assessmentscompleted in the last seven years to be appended with date of review).c. Description of future plans in this area.2. Institutional contexta. How consistent is the policy with the institution’s mission and values?b. Any other element the institution believes the Committee must be aware of to proceed with theassessment of the policy.3. Description of the policya. What is the scope of the policy? To what extent is the scope appropriate?b. To what extent does the policy follow the Commission’s guidelines? If there are anydiscrepancies, why?c. How does the policy promote continuous quality improvement?4. Policy objectivesa. What are the objectives of the policy? Is their scope appropriate?b. How are the policy’s objectives linked to programme quality improvement?c. How are the policy’s objectives linked to the decision-making process within the institution?d. How are the policy’s objectives linked to the realization of stated student outcomes?e. How are the policy’s objectives linked to the economic, cultural and social development of theinstitution’s communities?5. Policy componentsa. What are the assessment criteria? Are they sufficiently defined? Are they appropriate? Howis the adequacy of financial, human and physical resources assessed?b. Are there established general guidelines for the programme/unit self-study? How are the generalguidelines adapted to the varying needs and contexts of individual programmes?”c. Are there established guidelines to ensure the external review process remains objective? Forexample, are there clearly defined terms of reference for, and selection process for, experts?d. Are there established procedures allowing for the participation of students, faculty members,staff, graduates, and the community-at-large? What are they? How effective have they been?e. (If the policy focuses on units) What are the mechanism(s) to review interdisciplinaryprogrammes?f. Are the guidelines regarding links between the programme/unit review process and accreditationrequirements clearly identified? Are they appropriate? Useful?g. Is there a schedule of programme/unit reviews? Is it reasonable?h. Are there identified procedures/timelines to review the policy itself? Are they appropriate?6. Policy implementation (quality assessment practices)a. To what extent have the programme/unit self-studies addressed the institution’s assessmentcriteria?b. To what extent have the programme/unit self-studies been student-centered? To what extenthave they aimed to assess the quality of learning?c. To what extent have students, graduates, faculty members, staff and the community-at-largeparticipated in the review process?d. To what extent has the external review process been carried out in an objective fashion? Didexperts selected during the peer review process have the appropriate expertise?e. To what extent do the policy and procedures monitor the continuing relevance of theprogramme/unit?f. To what extent has the schedule of reviews been adhered to? If it has not been adhered to,why?119

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 27g. To what extent has the required follow-up action generally been undertaken?7. Policy administrationa. Is the identified coordinating or administrative unit identified as the lead appropriate? Effective?b. Has effective support been offered to programmes and units under review?c. Are there appropriate follow-up mechanisms in place? Are they effective?d. Have the assessment results been appropriately disseminated?e. How has the process informed the decision-making process within the institution?8. Conclusiona. How well is the policy achieving what it set out to accomplish?b. Is the policy doing what it should be doing?c. Solutions to address any shortcomingsAppendices (to institutional report)I. Institutional policyII. List of all programme or unit assessments conducted in the last seven years. (The institution mayindicate which units or programmes in that list reflect particularly well the institution’s mission andvalues.)III. Schedule of forthcoming assessments.(Approved - April 23, 200 1)120

Appendix 7.1.2 Policy on Student FeedbackAll Dalhousie courses include the collection of student feedback and evaluation ofprogram delivery and instruction quality. The process is overseen within the university bythe Centre for Learning and Teaching (CLT). The following policy manual has beendeveloped by CLT for student evaluations:Student Ratings of Instruction ProgramPOLICY MANUALFebruary 20051. ConfidentialityThe qualitative and quantitative data collected from students in the Student Ratings ofInstruction program are highly confidential. Staff from the Centre for Learning andTeaching are instructed that any and all information that they may acquire through thedata is not to be disclosed to any person except as described below in item 3.2. Security of Confidential InformationThe information acquired through the Student Ratings of Instruction program issafeguarded in the following manner:a. Completed questionnaires (paper copy, scannable forms) are collected and storedin the original envelopes prepared for each class/instructor unit. The envelopes are sealedin appropriately labeled boxes and kept in a secure place within the offices of the Centrefor Learning and Teaching (CLT). Only CLT staff authorized by the Director orAssociate Director (Technology) shall have permission to access the questionnaires.b. Electronic versions of the data and data analysis are stored only on authorizedcomputers within the Centre for Learning and Teaching or, in the case of the onlineversion, on a secure university web server. As well, at the end of each academic year (thetwelve months ending August 31 of each calendar year) these data are copied ontoportable electronic media (e.g., CD-ROMs), which are stored indefinitely in a secureplace within the offices of the Centre for Learning and Teaching.c. Limited numbers of printed reports of the data analysis are prepared anddistributed as outlined below in section 3. No printed reports are kept by the Centre forLearning and Teaching.3. Access to SRI InformationThis section outlines who is authorized to access to the Student Ratings of Instructiondata (including electronic and print versions of the data and reports of data analysis).a. Original electronic data and data analysis is accessible to authorized CLT staffand by persons authorized by the President and Vice-President (Academic) and Provost,respecting the terms of any relevant collective agreement.b. Standard end-of-term SRI reports for individual faculty members are printed byCLT and distributed as follows:i. the individual faculty member receives a report for each class he/she teaches;121

ii. the head of each relevant teaching unit (Department Chair/Head or Director of aSchool) receives reports for every individual (i.e., Chair of History receives reports for allthose teaching History classes, and so on); andiii. from time to time at their written request, reports are provided to the President,Vice-President (Academic) and Provost, and the Dean of the Faculty in which theindividual teaches.c. Standard end-of-term SRI reports summarizing the mean responses (that is,collective “departmental means” defined as the mean of the means for individuals) foreach teaching unit (programs, departments, or schools or specific instructor groups likeTAs) are printed by CLT and distributed to:i. Department Head/Chair or Director of the relevant teaching unit,ii. Deans of the relevant Faculty, andiii. from time to time at their written request, the President or the Vice-President(Academic) and Provost.d. On the written authorization of the President, Vice-President (Academic) andProvost, or under the terms of the relevant collective agreement, CLT may preparecustomized reports based on SRI data for purposes such as institutional/program reviewor accreditation, or teaching/career award competitions. Deans are also authorized torequest customized reports based on SRI data for their own Faculties. To the extentpossible, the identity of individuals shall be protected unless essential to the purposes ofthe report (e.g., for award competitions).e. Outside of the normal distribution process, individuals must make a writtenrequest to CLT for SRI information to which they have authorized access.4. Archiving of SRI Data by CLTThe raw data for every course evaluated in each academic year (September 1 to August31), together with the reports generated, will be electronically archived and can beaccessed at a later date if necessary. At the end of each academic year (the twelve monthsending August 31 of each calendar year) these data are backed-up onto portableelectronic media (e.g., CD-ROMs), which are stored indefinitely in a secure place withinthe offices of the Centre for Learning and Teaching.5. Destruction of paper questionnairesa. Questionnaires for quantitative data collection (paper, scannable forms) will beheld secure by the Centre for Learning and Teaching for a period of no less than twelve(12) months after the end of the academic year in which they were collected before theyare shredded by CLT. For example, those questionnaires completed during the academicyear 2003-2004 (September 1, 2003 to August 31, 2004) will be shredded in September2005 (or as soon thereafter as is practicable).b. Questionnaires for qualitative data collection—so called “Student Commentforms”—are returned to the relevant teaching units who are advised by CLT to establishprocedures in conformity with the terms of the collective agreement and Universityregulations. To assist teaching units in devising appropriate procedures for students’written comments, CLT provides information on relevant University rules, regulations,and policies (see CLT bulletin: Information on the Dalhousie University Student Ratingsof Instruction Program).122

The use of student feedback instruments in the personnel evaluations of individualprofessors is governed by the following clauses in the Board of Governors – FacultyAssociation collective agreement:18.09(a) Multiple choice responses and other coded material gathered as a result of anycollective teacher evaluation authorized by the Senate or any Faculty of DalhousieUniversity shall not be considered anonymous material under the terms of Clause 18.08.Comments and remarks written by respondents during such evaluations are anonymousmaterial under the terms of Clause 18.08, unless the Senate or a Faculty of DalhousieUniversity specifically specifies otherwise. Signed comments are confidential, but shallbe revealed to the Member they concern without identifying their authors.(b) Student surveys/evaluations regarding a Member shall be placed by the Chairperson,Head or Director, Chief Librarian, Dean or Vice-President in any special file for aMember created for the specific purposes of consideration of the Member forreappointment, promotion, tenure, continuing appointment or appointment without termprovided the survey/evaluation instruments have been approved by the Faculty or Senate.The evaluations shall be made available in the form approved by the Faculty or Senate.Any unsigned comments from students shall be excised prior to the access to thesurvey/evaluation being provided to members of the Department or any decision-makeror committee considering the Member but such comments shall be provided by theChairperson, Head or Director, Dean, Chief Librarian or Vice-President in confidence tothe Member.(c) Subject to the provisions of Clauses 18.09(a) and (b), and if requested by the Member,the Chairperson, Head or Director, Chief Librarian, Dean or Vice-President shall providecopies of the raw data, whether in printed or computer-readable form, to the Member whois the subject of a survey/evaluation once it has been placed in any special file pursuant toClause 18.01(b).(d) Members shall be provided with student surveys/evaluations within thirty (30) days ofthe end of the academic year in which the evaluation occurred.123

Appendix 7.1.3 Student Feedback InstrumentsThe Dalhousie University Student Ratings of Instruction ProgramDownload this Word document to summarize your results: sri_sample_layout.doc.The Dalhousie University Student Ratings of Instruction (SRI) Program is designed to provideinformation on students' perceptions of the teaching effectiveness of their instructors. The data isintended for "summative" purposes. That is, the concern is with the overall quality of teachingperformance. The questionnaire focuses on those elements of teaching behavior that arecorrelated to positive student outcomes and other measures of effective teaching; thus, theresults are most appropriate for making judgments about general teaching quality andconsistency of performance. This standardized system is not meant to supplant teacher-designed"formative" evaluations that provide detailed, diagnostic information for improvement purposes.See Resources for more information on summative and formative evaluation of teaching.The Centre for Learning and Teaching (CLT) coordinates the SRI Program, providingquestionnaires, data processing and report production and distribution. Support staff in eachteaching unit assist by acting as liaisons and in assisting with the distribution and collection ofquestionnaires.The information collected from the students is confidential, and access to both the raw data andfinal reports is strictly controlled. See the procedures for data collection and reporting of results.Characteristics of the SRI Instruments and ReportsThe SRI usually consists of two components: a scannable "bubble" questionnaire and separate(optional) questionnaire for students' written comments. As outlined below, data from eachquestionnaire are treated differently, in accordance with the collective agreement.Quantitative results based on data from the scannable bubble sheets. Each professor receives areport summarizing the results of the quantitative data for each of his/her classes. In addition, thedepartment head or school director receives a copy of all reports. Reports include quantitativeresults for each class, departmental means (for either undergraduate or graduate classes, asappropriate), enrollment and response rates, as well as guidelines for interpreting the results.Qualitative comments. In most departments, students are also given the opportunity to submitwritten comments. When used by the university for the purpose of evaluating the teachingperformance of a faculty member, these comments must be handled according to Articles 18.08124

and 18.09 of the Collective Agreement between the Board Governors and the Dalhousie FacultyAssociation, 2004-2007. Only signed comments may be included in a personnel file or providedto the department head or to other academic administrators, and these signed comments may berevealed to the faculty member they concern without identifying their authors. Unsignedcomments are not placed in any personal file and are provided to the instructor only. CLTprovides forms for written comments. However, departments may devise their own forms, but allsuch forms used to gather data to evaluate teaching performance must receive approval from theSenate or relevant Faculty Council.125

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CFAME Student Rating of Instruction QuestionnaireCommentsProgram: MBA (FS) Course: BUSI - 6326 Term: 200930 - 95 Instructor: Ramon B• Please sign the form if you want your comments to be used for tenure, promotion, re-appointment,other personnel decisions.• All signed comments will be photocopied without your signature before being given to the instru• The original signed version will be kept in a confidential file and will not be seen by your instructo• If you choose not to sign, your original will be given only to your instructor.Please feel free to comment on any aspect of the course.1. What did your instructor do to facilitate your learning throughout the distance componencourse?__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________2. Did you contact your professor throughout the distance component of the course? YESIf yes, did you receive the assistance you requested in a timely manner?_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________3. Did you receive timely and valuable feedback on your assignments? If not, please elaborate._______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________127________________________________________________________________________Over →

4. Did the course material (Lesson Notes, Textbook and the practice problems) provide a logicalprogression for understanding the subject matter?________________________________________________________________________________________________________________________________________________________________________5. What component of the course materials did you find (A) most valuable and (B) least effective?(A)_______________________________________________________________________________(B)_______________________________________________________________________________6. What did your instructor do to facilitate your learning in the intensive session?________________________________________________________________________________________________________________________________________________________________________7. Was there anything that hampered your learning experience throughout the course? If so,elaborate.________________________________________________________________________________________________________________________________________________________________8. Course Website Comments:__________________________________________________________________________________________________________________________________________________________________9. Additional comments: Please feel free to comment on any item or issue pertaining to this courwould like to know what you thought worked well for this course and what you think coimproved upon.________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Name (Optional)____________________________Signature (Optional) ________________________128

Appendix 7.2.1 On-line Learning Policies and PracticesAll of the Dalhousie University, MBA (FS) courses are offered in a distance-educationformat consisting of 14-17 weeks of distance study and assignments followed by a 3.5 -5 day intensive learning session, which includes a three-hour final exam on the lastday. The intensive sessions are held at various locations across Canada.There is one exception to this format. The intensive for the capstone course, StrategicLeadership and Change will be held at Dalhousie University.To graduate from the MBA (Financial Services) program, students must successfullycomplete all courses in their study stream within seven years. This degree has full andequal status with all other Masters-level graduate degrees granted through the Faculty ofGraduate Studies at Dalhousie University.http://its.dal.ca/publications/policies/ITS Policies5. Information TechnologyNUMBER TITLE STATUS LAST REVIEWED5.1. General5.1.1 Acceptable Use Policy approved 2009-03-195.1.2 Electronic Services Eligibility pending 2006-09-265.1.3 Sets of Electronic Services draft 2007-03-245.1.4 Conflict of Interest approved 2002-02-225.1.5 Disclosure of Information approved 2002-10-23external Data Administration (formerly CODA) approved 2003-06-015.2 Security and Privacy5.2.1 Passwords approved 2008-01-025.2.2 User Identifiers (NetID) approved 2007-04-095.2.3 User Authentication approved 2000-09-135.2.4 Public Terminal Authentication approved 2003-03-055.2.5 Digital Copiers pending 2008-04-10external Protection of Personal Information from Access Outside Canada approved 2007-01-125.3 Networks5.3.1 UCIS Funded Network Ports approved 2006-02-225.3.2 Use of the 2.4GHz (wireless) Radio Frequency approved 2001-12-125.4 Email5.4.1 Dalhousie Email as Official Student Email approved 2003-06-245.4.2 Email Filtering approved 2007-01-025.5 Research129

5.5.1 Hosting of Research Computer Systems approved 2007-03-275.5.2 Network Traffic Research Data Sets pendingITS ProceduresTITLE STATUS LAST REVIEWEDAccess to Data by Suppliers approved 2008-01-16MBA (FS) ProceduresSTUDENT ORIENTATION - The Below information is a sample of the informationprovided to students in the MBA (Financial Services) program upon acceptance.GETTING CONNECTED WITH DALHOUSIEPlease note: Due to ever-changing technology, all information in this section is subject tochange as we strive to provide the best communications, course tools and websitesavailable.Part I – Getting Started; My.Dal and NetIdPart II – Managing Your CommunicationsPart III – The Technical PartGeneral RequirementsStudent Accessibility ChecklistPart IV – Course Management System; WebCTPart V – Student Guide to Your CFAME WebsitePart VI – Quick Resource LinksGETTING CONNECTED WITH DALHOUSIEPART IGETTING STARTED – My.Dal130

Like the bank, Dalhousie has very robust and secure server system. There are a fewthings which if you understand from the beginning will make navigating throughDalhousie’s computers easier. There are 2 main web accessible servers which asstudents you will have to use. They both require different logins and passwords and willgive you access to different information. You can access both systems directly fromDalhousie’s main webpage http://www.dal.ca/(upper right corner)The first is called Dal.Online. This is a site which you will not use very often but it is veryimportant. You use Dal.Online to access your personal data including address,transcript, tax data, and registration information. To access this system you will use yourstudent identification number (also known as your Banner number) and a PIN which isgenerated by the university. I will not go into great detail regarding this site as you willuse it only occasionally however, please keep the password for this site safe as it can behard to have it changed.The second of the 2 Dal’s systems is called My.Dal and is the system you will usevirtually every time you go to Dal. To Use this system you will use your NetID (moredetails below) and password, your net ID and password are critical to accessing all ofthe resources here at Dalhousie so please ensure you have it memorized, please do relyon your computers browser to remember this information please commit it to memory ashaving it reset can be a hassle.The MY.DAL information system is themain portal to Dalhousie Universityinformation, email and coursemanagement server.MY.DAL is a collection of web servicesgathered onto pages that areaccessed through tabs. The manner inwhich these are organized is calledyour layout. When you sign in toMY.DAL you arrive at the main page,and you can use the tabs provided tonavigate (see PART III for detailsregarding navigating through theMy.Dal portal).It is important to note that Dalhousie will use your campus email (webmail) to provideyou with vital university information. You may have another email address you use moreoften but it is important that you check your Dalhousie email. A good example of whenDalhousie uses this email is to send you details of how to get your T2202A tax form. Youwill find details in part III of this guide on how to arrange forwarding of your campus mailto another email of your choice to be sure you do not miss any important Dalhousieannouncements.How to Access the MY.DAL Site and your campus email (webmail)Your NetIDA unique username called a Network IDentifier (NetID for short) is provided for allstudents, faculty and staff. Your NetID facilitates your access to all centralizedcomputing services, Dalhousie Email (webmail) and your course management system131

(BLS). This ID is vitally important to your time at Dalhousie, keep it safe and incombination with a password of your choosing is your gateway to learning through theMBA (FS) program. Do not rely on your computers browser to remember this password.Getting your NetID1. Go to the website http://my.dal.ca2. Click on the New Users tab.3. Go down to What is my NetID?You will be prompted for your BannerID (Also called your student number) and your birthdate. The date should be entered in this format: 04-AUG-1975. If your BannerID andbirth date match our records your NetID will be displayed.For first time users, or if your password has been reset, a password change form will bepresented immediately after the NetID is found. Enter your current password (your birthdate) in the field marked password. Then enter a new password of your choice in theNew Password field and again in the Verify New Password field. Click the "ChangePassword" button. If you have a problem with your NetID please call the Help desk at902-494-2376 or the CFAME office 902-494-3597.Start using your Dalhousie NetIDYou are now ready to use your campus email account, your course management systemand have access to online university resources such as the library and universitycomputer services. All are now available to you through the My.Dal portal.Please visit: http://my.dal.ca ; login with your NetID and your new password andproceed to Part III of this guide to begin exploring the My.Dal portal.Part IIManaging your CommunicationsEASE OF COMMUNICATION IS KEY!Now that you have obtained your NetId and seen the My.Dal communication site, whatdoes it all mean and how are you to determine where to go in order to complete yourcourses and access relevant information.With one Dalhousie generated id, your NetID, you have access to all your coursecommunication tools. This screenshot is the first page you see upon signing into My.Dal.With it, you have access to:132

CAMPUS ANNOUNCEMENTSCOURSE REGISTRATION,RECORDS, ETC.CAMPUS EMAIL (WEBMAIL)COURSE WEBSITESBecause all of this is within the Dalhousie Website family, at any time from this page; theCFAME website; and your course websites, you can run searches and navigateDalhousie’s site simply by clicking on the Dalhousie logo in the top left hand corner.COURSE REGISTRATION, RECORDS, ETC:This link will take you to the Dal Online (or Banner) site. This is where you can go toupdate your personal information, view your transcripts, register for courses and etc.Dalhousie has made every effort to create systems in which the student only needs oneID and Password. This section, however, is the exception; due to the amount of personalinformation stored here, you must use your Student # (also known as “B,” “B00,” or“Banner” number) in order to keep the systems separate. For more information on DalOnline/Banner, please see the FAQs in section 9 of this binderCAMPUS MAIL (WEBMAIL):Any Dalhousie generated correspondence is associated with your NetID. This area iswhere you can go to send and retrieve mail specific to Dalhousie. You can have this mailforwarded to an outside account of your choice. To make changes to your campus emailsetting such as email forwarding and spam settings you can choose the link marked‘mail management’. You can also reach this link outside of the My.Dal.portal using thefollowing link:http://ucis.dal.ca/services/email/mail_management/index.htmlFrom this link you are able to have your Dal email forwarded to your BMO address,change you actual email address and add vacation messagesCOURSE WEBSITES:Each course you registered for is listed on this page and accessible on the course startdate through four weeks after grades are posted. The icons below each listing are quickaccess links to new postings since you last signed in; emails, discussions, grades, etc.All you course work is available for viewing and submission of deliverables through thislink. (You will not see any course listings here until closer to your start date; furtherinformation on the Course Website will be sent in advance.)GENERAL REQUIREMENTSPart IIIThe Technical Part133

Before you begin your course work at Dalhousie, there are some minimum requirementsyou may need and should be aware of, as well as critical computer settings:for computer and browser requirements:Recommendations include high-speed connectivity and up-to-date hardwareand software to allow for ease of use and movement.Browsers display multimedia (text, graphics, video, animation and/or sound)and require some plug-ins. Supported Browsers include:Windows (98/Me/2000/XP) - Internet Explorer 5.0 or higher, including 6.0(Note: IE 5.5. SP1 not supported) and Mac OS X 10.1 and OS 9.x - InternetExplorer 5.1Any questions you have regarding technical specifications can be directed toeither Derek.Tay@dal.ca or http://ucis.dal.ca/helpdesk/Computer accessory requirements:MicrophoneSpeakersHigh-speed connectivitySoftware and plug in requirements, include, but are not limited to:Java, Real Player, Quick Time, Flash (Macromedia), Adobe PDF ReaderSystem Settings vary from user to user. This necessitates a need for a“checklist” in user friendly terms for distance students and professors to adjusttheir own settings. This includes how to:turn off anonymous login, enable cookies, disable pop-ups, adjust screen sizeand etc.For further details and direct links, go to the following links or for quickaccess, please see the summary immediately following (WebCT StudentAccessibility Checklist) :• Browser tune-up:http://www.webct.com/tuneup/viewpage?name=tuneup_browser_tuneup_windows_ie• Help: www.dal.ca/helpdesk• Removing Ad and Spyware:http://ucis.dal.ca/services/helpdesk/faq/adware.htmlWEBCT STUDENT ACCESSIBILITY CHECKLISTBLS, the course management tool for your course site, sits on Dalhousie’s server. User’saccess BLS via the Internet using their computer’s browser (e.g., Internet Explorer). Webbrowsers are software applications used to locate and display the web pages anddisplay multimedia: text, graphics, video, animation, and sound. In some cases Plug-ins(small programs that work within a browser) are required to display some media. Otherprograms are used to create web pages and open attachments, e.g. MS Word, CorelWP, or HTML editor.134

Often, if a student is experiencing technical difficulty accessing a course, it is due to oneof four issues; Browsers and settings, Viruses, Spyware and/or Firewalls. Each isdiscussed and instructions are included to optimize the use of your learning resourcetools.As always, please feel free to contact Derek Tay at 902-494-3597 or derek.tay@dal.cashould you have any further questions.135

Part IVCOURSE MANAGEMENT SYSTEM - BLSPrior to your first Dalhousie course, detailed use on the course website will bedistributed. For your information, please find below a general idea of what is locatedwithin the sites.a. Homepage: Click on Homepage to review the menu items available.b. Overview: A breakdown of course requirements and expectations (i.e., outlines,professor information, assignment information, etc; the same info you will find inthe Introduction area of your printed Lesson Notes.)c. Lessons: PDF versions of your lesson Notes Manual. If available, this is alsowhere you would locate any additional or supplementary material.d. Communications: There are currently four sections of communications areas:Forums: This area is used primarily as a communication tool for specifictopics of discussion, (ie….Some courses require weekly discussions on eachof the required readings.) Instructions can be found in the Discussion entitledDiscussion/Forum Instructions.Mail: This section will serve as your main e-mail for course correspondence.To post a message, simply click on “Compose message”, click on the Browsebutton to select whom you wish to send your message to compose yourmessage and send. Please note that the mail system for BLS is internal. Thismeans that mail sent from with BLS remains within BLS and will not go toyour BMO email.Calendar: View important course deadline dates. Add personal entriesspecifically for your own schedule.Live Chat/Live Classroom: Synchronus events allowing real time lecturesand discussions. Times and dates are announced ahead of the event136

Part VSTUDENT GUIDE to your CFAME WEBSITEThe Centre For Advanced Management Education (CFAME) administrates your MBA(Financial Services) Program. We in CFAME are always pleased to hear from you.Below, we have provided general information to ease in your navigation through the siteas current students in the program. A brief description has also been provided on what isavailable through the potential students section for your information and to share withinterested colleagues.This site includes seven major sections Prospective Students; Current Students; Faculty;Alumni; News and Events, CFAME Contact Information and access to Related Pages.Although we highly recommend on-line exploration of the site, the following provides abrief overview.The homepage of our site is part of the Dalhousie Website family and as such, you cannavigate not only through program information but also have direct links and access toinvaluable campus resources and information.To access CFAME’s homepage, please go to http://mbafs.management.dal.ca. In theleft hand menu, the link marked as ‘MBA (Financial Services).’ will take you to thesection of the website devoted to your program. From this page you are able to accessall the sections mentioned in the above paragraph.Prospective StudentsThis part of the website gives detailed information on program requirements, provides asection for Frequent Asked Questions (FAQs) and an automated email link throughwhich application forms can be requested.Current StudentsThis section of the website is a rich resource for students and includes a broad spectrumof information from how to register, to a direct connection to the program coursemanagement site, program regulations, and a network of additional research links andresources.FacultyThis link will bring up a roster of our current professors. For each professor there is abiography available which will provide you with details regarding their research interests,backgrounds, awards and contact information.MBA (FS) AlumniThis section includes current and past news regarding our faculty and alumni. It willinclude upcoming events which are relevant to both our current students and alumni.This page also includes links to many of the other departments in the Faculty ofManagement which have rich website themselves worthy of exploration.137

Contact UsThis section will include all the details you require to get in touch with anyone in theCFAME office.News and EventsThis section contains information regarding current events happening here at Dalhousierelated to both Professors as well as students.Related PagesOn every page of the website you will find the navigation bar, below the navigation barthere is an area called ‘related pages’. These will appear in blue and are specific to thepage you are viewing. That is, depending on the content of the main page, these linkswill direct you to more resources based on the page content.Part VIQuick Resource LinksThis section is meant as reference page for students, containing many useful links bothwithin Dalhousie as well to external sites which we would consider to be highly useful forboth new students as well as existing students.Dalhousie Library Online Resourceshttp://www.library.dal.ca/How/http://www.library.dal.ca/Services/Distance/http://www.library.dal.ca/index.phphttp://libguides.library.dal.ca/content.php?pid=570http://plagiarism.dal.ca/A link on how to locate resources forpapers, cite references and searchdatabases.This link gives details on how to accesslibrary services remotely. What you need,how to do it and the fees involvedThese pages are devoted to informationspecifically about researching for businessadministration programs. Highlyrecommended.Excellent source of info regarding thepolicies and procedures surroundingplagiarism at DalhousieDalhousie Online Computer Resourceshttp://ucis.dal.ca/services/helpdesk/index.htmlHaving laptop problems?Computer malfunctioning orslow? These are the guys toemail or call, they providegeneral computer help to allstudents.Dalhousie Online Resources and Links138

http://writingcentre.dal.ca/res.htmlhttp://tutoring.studentservices.dal.ca/http://www.dal.ca/news/http://www.dal.ca/services/Having issues with writing papers, is theAPA style getting you down? This link mayhelpAre you in need of a tutor? This link can helpfind you one or call CFAME to check an seeif we can assist you with locating a tutor inyour area.Want to find out what’s happening here oncampus? Upcoming events, important datesand general information about the universitycan all be found hereWondering what services are available to youas a student this is where you can get the lowdown.You can find everything here from theSexual Harassment Office to The BlackStudent Advising CentreDalhousie Resources for Graduate Studentshttp://studentaccessibility.dal.ca/http://studentservices.dal.ca/rights/http://dalgrad.dal.ca/http://dalgrad.dal.ca/regulations/The student Accessibility Services providesindividualized support services to DalhousieUniversity studentsStudents, full or part-time employees,members of faculty, and visitors to campushave certain rights and responsibilities withinthe University environment. This InformationGuide offers a current list of the complaintsprocesses at Dalhousie University as well asinformation on where to obtain furtherassistance.If you are a graduate student at Dalhousiethen this site offers information for youduring admission, during your studies, andwhile you graduate. There is a lot to exploreon this site and we recommend that you takesome time and look around.This is a full listing of all the regulationspertaining to graduate students here atDalhousie.Off Campus Linkshttp://scholar.google.com/schhp?hl=en&tab=ws&q= Thinking about looking for some onlinejournal articles? Google has a greatresource for that right here.http://fileforum.betanews.com/searchLooking for a software program to dosomething specific? Have a word139

140document that you want in a Wordperfectformat? You can find all sorts ofinteresting free software here that can bevery useful.

Below is a sample section of the Instructor’s contract with the Dalhousie Universityto provide teaching services an MBA (Financial Services) blended learning modelcourse.All instructors hired to deliver a course in the MBA (Financial Service) program wouldadhere to the following practices, policies and regulations.--------------------------------------------------------------------------------------------------------------------This Course Development and Delivery Services agreement made effective this_________ day of ________________, 2009.BETWEEN:DALHOUSIE UNIVERSITY, on behalf of the Faculty of Management(hereinafter called “Dalhousie”)-and-OF THE ONE PART_________________________ (hereinafter called the “Instructor”)OF THE SECONDPARTWHEREAS Dalhousie, in co-operation with its various partners, has developed aprogram of studies leading to a [insert degree name] degree,AND WHEREAS the Instructor has agreed to provide the Services set out in thisagreement;NOW THEREFORE in consideration of the mutual covenants contained herein andsubject to the terms and conditions of this Agreement, the parties agree as follows:1. SERVICES TO BE PROVIDED1.1. The Instructor agrees to provide the following services (the “Services”) in thecourse entitled [insert name of course and course number] with delivery startingXXX , 20XX and ending XXX , 20XX (the “Course”):1.1.1. Prepare for and present the required course material for the distanceportion of the Course, including preparation and grading of allassignments;141

1.1.2. Prepare for and present the required course material for the intensive studyportion of the Course, including preparation and grading of allassignments;1.1.3. Supervise and maintain responsibility for regular student contact throughthe Course site during the distance education portion of the Course; and1.1.4. Write and compile appropriate course materials (the “Materials”) forDalhousie in accordance with the terms of this agreement. The Materialsshall be prepared in accordance with the specifications contained inSchedule A.1.2. The Instructor understands and agrees that the Materials are subject to a finalreview and approval by the appropriate Program Director within Dalhousie’sFaculty of Management.1.3. The Instructor agrees that he/she shall devote the time, attention, abilities, andexpertise necessary to properly perform the Services.1.4. The Instructor agrees to be available for students should they have any questionsregarding the course material delivered to them during the distance educationportion of the Course. This will include daily monitoring of e-mail, the BlackboardLearning Systems (BLS) platform and phone messages. In the event the Instructoris absent (or out of contact) for more than 24 hours, he/she will designate a suitablesubstitute to respond to student inquiries. The Instructor further agrees that noquery made by a student will be left more than 24 hours without a response.1.5. The Instructor agrees that any assignments submitted by students will be evaluated,graded and returned within 7 calendar days.1.6. Exam booklets (if used), grade sheets (hard copy and electronic format) should beforwarded to the Program Director by ___________XXX XX, 20XX___.1.7. In providing the Services, the Instructor agrees that he/she will follow all DalhousieUniversity and Faculty of Management regulations, policies, procedures andguidelines.In addition to the services and support of the CFAME team, Dalhousie Universityhas departments dedicated to the on-line teaching and learning:Integrated Learning OnlineCentre for Learning and TeachingLibrary Services142

The mission of Integrated Learning Online (ILO) is to advise and assist faculty in the use ofteaching technologies, in order to effectively enhance student learning in the real or virtualclassroom.To realize this mission, ILO manages a carefully selected suite of educational computerapplications, available for use by all Dalhousie instructors. ILO also provides:oooRegularly scheduled workshops which facilitate training and sharing ideas withcolleagues.Advice from professional educators on how to enhance learning.Assistance in the resolution of problems.The impact of new technologies on learning and teaching is one of the greatest pressures oninstitutions of higher education to change. Bates (2000)?defines the rationale for usingtechnology in higher education:ooooooTo improve the quality of learning.To provide students with IT skills required for the modern life.To widen access to education and training.To respond to the "technological imperative."To reduce the costs of education.To improve the cost-effectiveness of education.The ILO team, in cooperation with other campus resources, ispositioned to assist with institutional change as instructorsexperiment with and adopt technology in order to complementin-class activities or teach fully online.The Centre for Learning and Teaching (CLT) works in partnership withacademic units, faculty members, and graduate students to enhance the practiceand scholarship of learning and teaching at Dalhousie University. CLT takes anevidence-based approach to advocating for effective learning and teachingpractices, curriculum planning, services to support the use of technology ineducation, and institutional policies and infrastructure to enhance the Dalhousielearning environment.Library Serviceshttp://www.library.dal.ca/Services/Distance/Distance ServicesDistance Services are offered to the following Dalhousie affiliatesDalhousie Distance Students, registered in a Dalhousie Distance course or program.143

Dalhousie Faculty teaching at a distance.Dalhousie students assigned to remote work placements.Dalhousie Graduate students completing theses or dissertations at a distance.http://www.library.dal.ca/Services/Distance/“The organization has on file and available upon request copies of current software,hardware, and systems agreements that pertain to the delivery of electronic/on-linelearning.”144

Appendix 7.2.2 Academic Community and online learningIntroductionThe MBA (FS) is offered through a “blended learning” approach. Blended learning isdefined as including a distance/online component complemented by a face-to-faceintensive of 3-5 days in length.Expertise and resources to support the delivery method and to ensure theireffectivenessThe MBA (FS) distance/online component is delivered using the Blackboard LearningSystem (BLS). Dalhousie University has considerable expertise in training facultymembers in beneficial practices around this System, which is managed by systemsprofessionals in order to ensure that the version of BLS in use in any academic year is“reliable, sufficient and scalable.” Furthermore, there are two units whose mandatesrelate directly to the provision of “accessible technical assistance for students andfaculty.” Integrated Learning Online (ILO)(its.dal.ca/services/other_services/ILO/index.html) offers both training and support. Inaddition to expert support from ILO staff, the MBA (FS) program’s online component isvery ably supported by designated staff in the Centre for Advanced ManagementEducation (CFAME). The mandate of this unit within the Faculty of Managementincludes the support of faculty and students in the MBA (FS) program. Students cancontact their CFAME expert at any time to receive timely assistance with any aspect oftheir online experience. In addition, budgetary provisions are made each fiscal year toreplace, update and maintain the “appropriate hardware, software and other technologicalresources and media” at Dalhousie generally and in the Faculty of Managementspecifically. The institutional unit that oversees all hardware and software is InstitutionalTechnology Services (its.dal.ca/index.html), a well-established “central services” unitthat provides integrated service, with designated staff in each Faculty.Understanding and scholarship about distance and blended learning has increasedsignificantly over the past ten years, through the publication of monographs (e.g.,Handbook of blended learning: Global Perspectives, local designs.) as well as scholarlypapers in journals relating to higher education. Dalhousie’s Centre for Learning andTeaching (learningandteaching.dal.ca/) has a physical and digital library of materialsreflecting this scholarship for the use of faculty members and teaching assistants. Inaddition, the Centre for Learning and Teaching supports research at Dalhousie relating toexcellence in learning and teaching, including online course delivery.Online delivery methods contribute to and enhance the creation of academiccommunity among students and between students and facultyThe MBA (FS) adheres to the beneficial practices accruing from published andinstitutional research in the following ways:• Students and faculty members use a wide array of the interactive learning toolsavailable through BLS, depending on the subject content of the particular course(e.g., Management Skills Development / Human Resources, or Accounting).These tools relate to communication as well as information delivery. For example,students may hold group meetings online, either synchronously or145

asynchronously. Group and team community formation is enhanced through theuse of such online applications.• For the convenience of most mid-career distance learners, much of the MBA (FS)online component is delivered asynchronously. In addition, faculty members mayrequest synchronous online activities, especially to explain complex concepts orpractices, for example in Accounting, where the faculty member can use “liveclassroom” features to work through specific accounting examples and problems.• BLS supports audio and video meetings in addition to synchronous onlinediscussions and these relate to the class as a whole (faculty and studentcommunity development) or student group meetings (student to studentcommunity development).• Discussion board postings generate community by means of threaded discussionson topics of mutual interest. Furthermore, students gain an awareness of theintellectual development of their classmates in a grounded manner through beingable to review classmates’ written comments.• Information literacy is essential for effective learning in an online environment.At Dalhousie, professional librarians provide online tutorials or LibCasts whichare available to MBA (FS) students (www.library.dal.ca/How/LibCasts/), as wellas customized reference assistance for groups or individuals from the designatedManagement Reference Librarian. These online facilities from DalhousieUniversity Libraries contribute to the faculty/student community in MBA (FS)courses.146

8. Capacity to Deliver StandardAppendix 8.1 Legal CharacteristicsDalhousie University was founded in 1818 by George Ramsey, Lieutenant –Governor ofNova Scotia and 9 th Earl of Dalhousie. As a public institution of higher education,Dalhousie University operates under an act of the Nova Scotia Provincial Legislature.Copies of original documentation are on file and are available for review if required.147

Appendix 8.2 Governance Structure(Information provided in appendix 8.2 covers items 8.21,8.2.2, 8.23)Board of GovernorsUnder the University's statutes, the Board of Governors is responsible for the operation ofthe University. The Board consists of representatives named by the Government of NovaScotia, the alumni, the Student Union and certain other bodies. Internal regulation of theUniversity is the primary concern of the Senate, subject to approval of the Board ofGovernors.The President and Vice-Chancellor is the Chief Executive Officer of the University,responsible to the Board of Governors and Senate for supervision of the University'sadministrative and academic work.The Senate is the University's senior academic decision-making body. It is responsiblefor the approval of new programs and academic units and it manages the reviews ofFaculties, Centres and Institutes. Senate approves the granting of degrees and diplomas,including the conferral of Honourary Degrees. It is responsible for setting academicregulations which affect the University as a whole, including regulations governingstudent conduct and discipline, as well as regulations concerning faculty tenure andpromotion.Senate has 73 members - 49 elected Faculty representatives, 16 academic administrators(President, Vice-President Academic and Provost, Vice-President Research, UniversityLibrarian, and the Deans of each faculty), six students elected by the Dalhousie StudentUnion, and a representative from the University of King's College and the Nova ScotiaAgricultural College.Executive OfficersPresident and Vice-Chancellor - Tom Traves, BA, MA, PhDVice-PresidentsAcademic and Provost - Alan Shaver, BSc (Hon), PhDFinance and Administration - Ken Burt, BA, MBAExternal - Floyd W. Dykeman, BA, MPLStudent Services - Bonnie Neuman, BA, MA, EdDResearch - Martha Crago, BA, MSc (A), PhDAssociate Vice-President Academic Outreach - Keith F. Taylor, BSc (St.FX), PhD(Alberta)Associate Vice-President Academic Programs - Susan Spence Wach, MHAAssociate Vice-President, Research - Russell J. Boyd, BSc, PhDAssistant Vice-President, Communications and Marketing - Jim Vibert, BAAssistant Vice-President, Enrolment Management and Registrar - Asa Kachan, BA,MLISAssistant Vice-President, Facilities Management - Jeffrey W. Lamb, BEng, MEng(Royal Military College)148

Assistant Vice-President, Financial Services - Ian Nason, BCommAssistant Vice-President, Government Relations - Gillian Wood, BA, MA (Economics)Assistant Vice-President, Human Resources - Katherine Sheehan, BA, CHRPAssistant Vice-President, Information Technology Services - Dwight Fischer, BSc, MSc,EMBADeans of FacultiesArchitecture and Planning - Christine Macy, BA (Arch) (California at Berkley), Reg.Arch. (WA)Arts and Social Sciences - Marian Binkley, BA, MA, PhD (Toronto)Computer Science - Michael Shepherd, MSc, PhD (Western)Dentistry - Thomas Boran, DDS, MEd (Dalhousie)Engineering - L. Joshua Leon, BSc, MSc, PhD (Dal), PEngGraduate Studies - Carolyn Watters, BSc, MSc, MLS (Western), PhD (TUNS)Health Professions - William G. Webster, BSc (Hon), MA, PhDLaw - Phillip Saunders, BA (Hon), MA, LLB (Dal)Management - David Wheeler, BSc (Hons) (Surrey), PhD (Surrey)Medicine - Harold W. Cook, BSc, MSc, PhD (Dal)Science - Chris Moore, BA, PhD (Cambridge, UK)College of Continuing Education - Andrew Cochrane, BPER, MBACollege of Arts and Science, Provost - Chris Moore, BA, PhD (Cambridge, UK)149

Appendix 8.3.1 Coordinated Business and Academic Plans to SupportProgram QualityAs one of Canada’s leading universities, with almost 200 years of tradition, DalhousieUniversity has the financial and administrative capability to effectively manage aninstitution of higher learning. Dalhousie develops its business and academic plans withthe framework of “Making an Impact: The President’s Strategic Focus, 2007-2010”which has been formally adopted by the Board of Governors. Seven key objectives areidentified as central to all of Dalhousie’s planning:• Enhance academic and research excellence• Enrich student experience• Strengthen enrolment• Sustain campus renewal• Develop excellent human resources• Increase philanthropic support• Ensure financial sustainabilityA copy of the document can be found at:http://senioradmin.dal.ca/files/Dalhousie%27s_New_Strategic_Plan.Final_Version.pdfThe 2008-09 operating budget was balanced for the twenty-first consecutive year andreceived theapproval of the Board of Governors at the June 24, 2008 meeting. Fiscal year 2008-09was the firstyear of a new three-year Memorandum of Understanding (MOU) between theGovernment of NovaScotia and the Province’s universities. A copy of Dalhousie’s audited financial statementcan be found at: http://as01.ucis.dal.ca/fs/pdf/2009ARReportfor_WEB.pdf150

Appendix 8.3.2 Administrative StaffPresidentThe President and Vice-Chancellor is the Chief Executive Officer, responsible to the Board ofGovernors and to the Senate for the supervision of Dalhousie University’s administrative andacademic work. The President is supported by staff and advisors, including Vice-PresidentsAcademic and Provost, Finance and Administration, Student Services, External Relations andResearch, who are responsible for various academic and non-academic services.Vice-President Academic and ProvostThe Vice-President Academic and Provost is responsible for providing leadership in the planning,management, and evaluation of Dalhousie’s academic activities. This involves working with theFaculty Deans and other administrators to promote outstanding academic administration andmanagement throughout the University, and to promote a high quality of instruction and thenecessary forms of support. The Vice-President Academic serves as a member of thePresident’s management group and contributes to the development of institutional strategy andpolicy.Vice-President Finance and AdministrationThe Vice-President Finance and Administration of Dalhousie University is responsible for issuesrelating to Finances, Human Resources, Management/Labour Relations, Facilities Management,Computing and Information Services, Environmental Health and Safety, the Business Processand Integration Office and the Dalhousie Arts Centre.Vice-President (Student Services)The Vice-President (Student Services) serves as a member of the President’s managementgroup and contributes to the development of institutional strategy and policy.As the head of the Student Services division provides strategic and financial direction to anumber of administrative units on campus.Student Enrolment Services:Office of the Registrar, including:Recruitment and AdmissionsSpring Student/Parent Information SessionsStudent Service Centre on the Sexton CampusStudent Financial AidStudent Academic Success Services:Academic Advising at Student ServicesBlack Student Advising CentreFirst-Year Advising CentreInternational Student and Exchange ServicesLearning Connections and the David and Leslie Bissett Centre for Academic SuccessServicesMark A. Hill Student Accessibility CentreMultifaith CentreStudying for Success ProgramTutoring ServiceWriting CentreStudent Community Services:BookstoreTrademarks OfficeUniversity DalCard OfficeUniversity Food Service151

University HousingStudent Experience Campus Life ProjectStudent Wellness Services:AthleticsRecreationCounselling and Psychological ServicesUniversity Health ServicesOffice of the OmbudspersonAdministration of the Dalhousie University Code of Student ConductStudent Career Services:Career Services CentreThe Lawson Career Information CentreVice-President Researchprovide assistance to Dalhousie Faculty by:• providing information on sources of grant funding through agencies and private sectororganizations• promoting grant applications and contract proposals by Dalhousie faculty members• processing requests for research funds• representing Dalhousie University in negotiations between research sponsors andUniversity Faculty• arranging acceptance of funds for sponsored research on behalf of the University.support Dalhousie researchers and administration by:• acting as a liaison between reseachers and University administrative departments• advising on Senate and Presidential policies and regulations which pertain to research• maintaining records and statistics on research done at Dalhousie University• participating in University committees and task forces on research issuespromote research carried out at Dalhousie by:• assisting in the organization, preparation and presentation of collaborative researchventures• representing the University on industry, government and community bodies concernedwith research policies and research administration• acting as a liaison with industry, government and the general public on issues of researchDetailed job descriptions will be made available if required152

Appendix 8.4 Participation in Academic Policies and StandardsIntroductionDalhousie University has a transparent system of oversight for curriculum development,academic policies and academic standards. The principal body whose mandate relates toquality control of all aspects of graduate programs is the Faculty of Graduate Studies(FGS), through its Academic Planning and Curriculum Committee(www.dalgrad.dal.ca/committees/apcc/). FGS is governed by policies and procedures aspresented in its governance manual(http://www.dalgrad.dal.ca/governance/governance.pdf).The principal body with a mandate to oversee general academic policies and standards isthe Senate Committee on Academic Administration. This committee meets monthly andmakes recommendations to Senate about new or modified programs, academic policiesand standards.Decision-making and approval processes for new programsThe following list provides, in order, those individuals and bodies responsible fordevelopment and review of new or modified programs. Programs must be approved bythe Senate of Dalhousie before being forwarded to the Board of Governors and,ultimately, the Maritime Provinces Higher Education Commission. Detailed guidelinesfrom Senate are provided athttp://senate.dal.ca/Files/forms/Procedures_for_Senate_Review_of_Program_Proposals.pdfCommittees with student representation are marked with an *. Students are usuallyelected, first by the relevant student associations and then by the relevant Council. Termsrange from one to two years. All committees are comprised mainly of faculty members,with representation also of senior administrative staff who support the various graduateprograms.1. MBA (external) Program Committee (whose membership includes the Directorof the School of Business Administration, and whose mandate is appendedbelow)2. School of Business Administration Council (chaired by a senior SBA professorand including the Director of SBA). This Council is the principal decisionmakingbody of the School3. *Faculty of Management Council (chaired by the Dean and includingrepresentatives of all schools in the Faculty and which meets monthly). ThisCouncil is the principal decision-making body of the Faculty4. Faculty of Graduate Studies (www.dalgrad.dal.ca). FGS is lead by a Dean andtwo Associate Deans, one of whom has responsibility for curricular153

development. Faculty members who are qualified to teach graduate programsare all members of FGS.a. FGS Associate Dean for Curriculum and Programsb. *FGS Academic Planning and Curriculum Committeei. Internal review committee (usually three faculty members fromother graduate programs at Dalhousie)ii. External reviewers (selected by FGS in consultation with theadministrative head of the program under review). The terms ofreference for external reviewers are provided at:http://senate.dal.ca/Files/forms/Terms_of_Reference_for_External_Reviewers%2C_Graduate_Programs.pdfc. *FGS Council (meets monthly and reports to Senate). This Council ischaired by the Dean of Graduate Studies.5. *Senate of the University of Dalhousie (meets bi-weekly)a. *Committee on Academic Administration6. Board of Governors of Dalhousie University7. Maritime Provinces Higher Education Commission Policy on QualityAssurance (May 2005)Governance of academic policies and standardsThe Senate, through the Senate Committee on Academic Administration, oversees allmatters relating to academic policies and standards. These include academic integrity,admissions standards, academic appeals, grading standards, academic dates, degreerequirements, etc. This committee, Chaired by the Associate Vice-President Academic, iscomprised of elected faculty members from across the university and supported by thesecretariat of Senate.-_______________________________________________________________________________MBA (External) Committee MandateThe rationale for the evolution of the MBA (FS) Committee towards an MBA (ExternalPrograms) Committee is the development of additional external MBA programs in 2009-2010 and the development of a core/specialization model without the necessity forindustry partners (previously referred to as the “standalone” model.The following model has been developed with input from colleagues involved with theMBA(FS).TitleMBA External Programs CommitteeMandate • Responsible for curriculum evolution andassessment154

• Advisory body (to SBA Director) on facultyhires for mid-career teaching• Advise and contribute to marketing andpromotionChair’s responsibilities • Be Academic Program Director for one yearterm• Signing authority on all admissions, programforms, etc.• Assess PLA applications• Liaise with external partners• Oversee three principle areas of committee’smandate (above)Reporting and liaising structure • Committee, through the Chair/AcademicProgram Director, reports to the AssociateDean (EP)• Committee’s work is supported by CFAME• Committee, through the Chair, liaises withthe SBA DirectorMembership • Four faculty members who teach coreexternal MBA courses, one of whom will beappointed Chair• A faculty lead for each of the specialty areas:FS, NR, HL, etc.• Director, School of Business Administration• Academic Director, Corporate Residency MBA• Senior CFAME representative• Associate Dean (External Programs)Secretariat provided by CFAME clerical staff memberMeeting cycleMonthlyNew program development will be the responsibility of designated faculty members inan ad hoc committee, some of whom may be members of the MBA External ProgramsCommittee.155

8.5 Learning and Information ResourcesAppendix 8.5.1 Library ResourcesDalhousie University LibrariesThe Dalhousie University Library System is organized to accommodate the needs of theundergraduate teaching programs, graduate and faculty research projects, and professionalschools. The system is made up of the following components: the Killam Memorial Library -Humanities, Social Sciences and Science, the Sir James Dunn Law Library, the Kellogg HealthSciences Library, and Sexton Design and Technology Library - Architecture, Engineering, andPlanning.As of April 1, 2007, the holdings of the Dalhousie Libraries include over 1,902,393 volumes ofbooks, bound periodicals, documents and bound reports, 365,299 microfilm and microfiche,95,235 maps and other media, 10,906 music scores and 11,798 music recordings. The librariessubscribe to 63,457 serials titles, including 59,040 electronic titles.Dalhousie libraries participate in Novanet, a network which shares a single automated onlinecatalogue of the holdings of the member libraries (Mount Saint Vincent University, Nova ScotiaCollege of Art & Design, Saint Mary's University, University College of Cape Breton, University ofKing's College, the Atlantic School of Theology, St. Francis Xavier University, Nova ScotiaAgricultural College and Nova Scotia Community College). Users borrow from Novanet librariesupon presentation of their University ID card.ABOUT THE DALHOUSIE LIBRARIESOur Mission:We advance learning and scholarship in our communities by providing expert and innovativeaccess to the world's information and knowledge.Our Vision"We are the source for scholarly information and a vital partner in the continual enhancement ofthe Dalhousie learning environment."We, the Dalhousie University Libraries, are central to all members of the Dalhousie Universitycommunity. We are the gateway to regional, national and global resources. We are partners inthe learning environment. We are essential to the heart of scholarly discourse on campus and inthe community.156

We provide innovative, friendly, and responsive services both on and off-site. We provideopportunities and facilities for collaborative learning. We promote outreach and community-basedinitiatives. We take a leadership role in the university and professional communities through theteaching of information literacy and knowledge management skills and by facilitating access tothe best information resources.We anticipate and actively address the needs of our communitieshttp://www.library.dal.ca/Services/SERVICES FOR STUDENTSDistance Services are offered to the following Dalhousie affiliatesDalhousie Distance Students, registered in a Dalhousie Distance course or program.Dalhousie Faculty teaching at a distance.Dalhousie students assigned to remote work placements.Dalhousie Graduate students completing theses or dissertations at a distance.What you need to start1. A Dalhousie ID cardContact the Dalhousie DalCard Office to arrange for your Banner ID card. You will need your Banner IDnumber and the barcode on the bottom of the card for a number of different library services such as NovanetExpress and access to databases via the proxy service. Click here for more information2. Register your library barcodeYou must register your Banner ID card and the barcode on the bottom of it before you can borrow material.This ensures that we have the correct address information for you. Go to Registration form3. Obtain ASIN Card (highly recommended)An ASIN (Atlantic Scholarly Information Network) card allows in-person borrowing at Canadian UniversityLibraries. Requests for ASIN cards can be made at the same time that you register your Banner ID card atyour home institution library. Your card will be processed and sent to you by mail. Click here for moreinformation.4. Activate your Dalhousie email account157

All Dalhousie students get a Dalhousie email account. Your email user name is required for remote access.Instructions for activating account. Username Lookup.5. Download an electronic document readerThis is necessary for viewing full text (pdf) documents like electronic journal articles. We recommend AdobeAcrobat Reader.6. Get access to ejournals and databases via the Dalhousie Proxy ServerMany library resources are restricted to current Dalhousie students, faculty and staff. When you try toaccess a restricted resource from home, you will be asked to authenticate yourself as a Dalhousie student.This simply means that when you are prompted you must type in your Dalhousie NetID / email usernameand your NetID password. More information.7. Delivery of MaterialAfter completing steps 1-5 a variety of delivery options of Dalhousie and other libraries material may beavailable to you. Please see Distance Services - Requesting & Delivery of Material for details. "Howto" Video for Document DeliveryOnline ResourcesThe Dalhousie University Libraries provide access to a large number of electronic materials thatyou can use from anywhere. Get help with researching a term paper using library resources.Find BooksNovanet lists print and electronic books, journals, newspapers, government documents, andmulti-media held by Dalhousie and other Novanet Libraries.Find ArticlesProwler quickly searches multiple databases journal articles, full-text of articles, statisticalinformation, etc. Use the Browse by Subject option to find databases covering specific subjects.Most databases are available from a distance.Electronic JournalsSearch for over 25,000 full-text electronic journals by title, keyword, subject, etc.Reference SourcesList of specially selected encyclopedias, research guides and much moreLibrary Instruction/Web TutorialsLearn how to use the library, write a bibliography, avoid plagiarism, etc.Tables of Contents Services158

• CISTISource - Provides table of contents of 14,000+ journals primarily in the fields ofscience, technology and health sciences. http://www.dal.ca/~techlib/help5.html• Ingenta Reveal - Provides table of contents of 18,000+ journals.Dalhousie University Distance Education web siteLists courses and programmes with contact informationRemote AccessDalhousie Library electronic resources are accessible remotely by all currently affiliatedDalhousie students, staff and facultyOff Campus AccessOn Campus AccessDalhousie's electronic resources (databases, journals) have restrictedaccess from off-campus locations. ** Dalhousie Libraries Proxy Policy**• Authenticate yourself using your NetID and password. If youdon't know your NetID, use the NetID Lookup• If your password does not work, reset it athttp://ucis.dal.ca/dal_netid/forgotexppwd.html.• Campus Offices / Computer Labs• Docking Ports• Wireless ConnectionsHelp• Need help with remote access? Contact us through the proxy help request form.• If you are new to Dalhousie, you need to claim your NetID• Retired Dalhousie faculty members are eligible for proxy access to library resources. Youmay continue to login using your Dalhousie NetID. If your NetID has expired, you maycontact the University Librarian for approval to be reissued a new NetID.• For PDF files, download Adobe Acrobat Reader for free.HOW DO I ...?Find out what guides, handouts, tutorials and LibCasts are available to help you use the libraries.Search for...SearchSearch TipsView all "How do I..." resourcesOR:Select Guide TypeMost popular "How Do I...?" Pages:Getting Started:159

• APA Style (Quick Guide)• MLA Style (Quick Guide)• Research a Term Paper• Decide where to findinformation• About RefWorks• Decide where to find information• Avoid Plagiarism (Dal website)• Research a Term Paper• Develop a Research Timeline (AssignmentCalculator)• Citation Style GuidesLIBGUIDES SUBJECTS: BUSINESS AND MANAGEMENTA Subject Specialist Librarian – Management & Economics is available toall Management students including those enrolled in the MBA (FinancialServices) program.Joyline Makani (MLIS, MBA) Management & Economics Librarianfollow Joyline at http://twitter.comContact Info:Research Consultation:Please call, email or drop-in, my schedule for the day is presented above.Office # 3626, Killam LibraryEmail: makani@dal.caphone: 902-494-2726Send EmailWelcome to LibGuides Business Research Guide Tags: business commerce managementaccounting marketing advertising company industry finance human_resources information_systemsmarket_share investments statistics stock_data financial_statementsWelcome! This guide will point you to research resources for a variety ofbusiness and management topics.URL: http://dal.ca.libguides.com/business Print Guide RSS Updates• Home• I need to find....• Databases• Journals• Books160

• Course Guides• Writing Help• What's New?161

SEARCH TOOLSHomePrint PageSearchGuidesYour Name:Your Email:Post Subject:Post Text:NewsStay current. Read today's news as soon as it's posted.ooooooThe Globe & MailThe Chronicle of Higher EducationMarketBeat: A Wall Street Journal blogThis week's EconomistTop World Business News (by Industry)New Business/Management BooksMost Popular Course GuidesView All Course Guides• BUSI 5401 Marketing Management.• Entrepreneurship• Company Research• Industry Research• International Business162

• FinanceKey Business DatabasesStart your search for articles by selecting a relevant database. Listed below are the keybusiness research databases available at Dal.• ABI Inform Global• Business Source Complete• Factiva• Econlit• LexisNexis• Marketline• Mergent• Investext (Thomson Research)• CBCA Complete• Economist Intelligence Unit (EIU)• Oxford scholarship online: Business & Management• Conference Board of Canada e-Library• Vault Online Career LibraryNot sure which database you need? Choose a research focus..Company Industry MarketingAccounting Finance Entrepreneurship163

I. B. Statistics LeadershipKey online Journals• Canadian Journal of Administrative Sciences• Academy of Management Review• Administrative Science Quarterly• Entrepreneurship Theory & Practice• Harvard Business Review• Journal of International Bus. Studies• Journal of Marketing• MIS Quarterly• Strategic Management JournalMore Information on finding print & e-journalsWriting/Research Help• Refworks• Searching for journal articles: Guides• Plagiarism/Academic IntegrityMore Research/Writing ToolsSERVICES FOR FACULTYSubject SpecialistsEach discipline is assigned a subject specialist who manages the book and journal fund for thatdiscipline. They will be happy to arrange an appointment with you.• Names and contact information• Services they offer164

• Recommendation for Purchase Form• Subject web pagesDocument DeliveryThe Libraries operate a full document delivery (interlibrary loan) service.• Information on the service• Electronic forms• Canadian University Reciprocal Borrowing Agreement• Atlantic Scholarly Information Network (ASIN)• OCLC Reciprocal Faculty Borrowing ProgramReserveFaculty can put assigned reading materials on Reserve for their courses.• Information on the service• Reserve guidelines• Electronic formsCopyrightIt is essential that faculty are aware of copyright regulations when preparing reading materials fortheir courses.• Information on the serviceInformation LiteracyThe libraries operate a full instructional program including course-related sessions, drop-inworkshops, guides (printed and web) and web tutorials.• Instruction Request Form• Information on the service• Information Literacy program• Complete list of guides and tutorials• Online information literacy tutorialsAlert ServicesThere are several tools for keeping up to date on what is being published.• CISTISource - brochure• Ingenta Reveal165

Resources for Teaching OnlineThere are a number of resources relevant to teaching on the web.• Incorporating Research Tools in Blackboard Courses• Online journals and documents devoted to teaching on the web• Incorporate links to articles in electronic journals• Lectora authoring software for creating interactive contentRemote AccessAll of the services and resources available on our web site can be accessed both on-campus andoff-campus.• Remote access instructions• Special information for distance studentsResources for Teaching and ResearchThe following is a selection of important resources:• Novanet - our online catalogue• Databases• Electronic Journals• Data / Statistics• Plagiarism - how to detect and how to avoid• Critical evaluation of web resources• Assignment Calculator• RefWorks - personal bibliographic management software166

Appendix 8.5.2 Computer AccessCOMPUTER LABS ON CAMPUSNumber ofStudents(cumulative)Number ofComputersAvailable toStudents inProposedProgramYear2009 200 200 + Whileon DalhousieCampusNumber ofComputerswith InternetAccessAvailable toStudents inProposedProgram200+ on-siteDalhousieUniversityLocation of ComputersOn site (√) Other (specify)200+DalhousieUniversityDistance Program withon-site component –students are expected tohave their owncomputers and internetaccessComputers and internetaccess are available tostudent while on campusand during intensivesession in variouslocations throughoutCanada.ITS supports over two dozen Student Computer Labs located in various locations anddepartments around campus. Laser printing is available in most labs at $0.05 per page.You will need a Dalhousie NetID to use the computers in the labs.Lab BookingsLab GuidelinesLab SoftwareLab Software InstallationLab SupportLab UsernamesPrinting in LabsCampus Map with Lab LocationsLabsArchitectureArts & Social SciencesBiology/Earth SciencesBlack Student Advising CentreCarleton CampusChemistryComputer ScienceHowe Hall ResidenceLawManagementMathematics & StatisticsMusicNursingPharmacy167

DalplexEarth Sciences - GISEconomicsEngineering - Dunn BuildingEngineering - Sexton CampusFenwickPlacehttp://its.dal.ca/services/computer_services/labs/labsoftware.htmlPhysicsPsychologyRisley Hall ResidenceScience (LSC 200)Science (LSC 2087)Shirreff HallResidencehttp://its.dal.ca/services/computer_services/labs/labposter.pdfOther student computing facilities open to all students include the Dalhousie Student Union'sCampus Copy lab and the Killam Library's Learning Commons. Some departments also havetheir own computing facilities.Architecture - Sexton Campus (H Building)Room HA30: 4 Macintosh and 1 Windows computerRoom HB1: 4 Macintosh and 4 Windows computersEast Studio: 2 Macintosh and 4 Windows computersWest Studio: 5 Macintosh and 1 Windows computerRoom HE-1: 10 Macintosh and 1 Windows computerLogin: NetID LoginPrinting: 4 Laser printers (pay with print credits @ $0.10/page)Staffing: part timeLab Manager: Ed Jones (Windows) 494-6057, Patrick Kelly (Macintosh) 494-3294Arts & Social Sciences - Marion McCain BuildingRoom 2018: 32 Windows computers plus instructor's stationRoom 2019: 52 Windows computers plus instructor's stationRoom 2020: 15 Windows computersRoom 2022: 32 Windows computers plus instructor's stationRoom 2104: 32 Windows computers plus instructor's stationComputer Study Rooms (3113, 3125, 3137, 3175 and 3187)30 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: part time (room 2019 only)168

Lab Manager: Scott McKenzie, 494-6587Rooms 2018, 2019, 2020, 2022 and 2104 all have projectors and may be reserved for classesFall & Winter Hours (rooms 2019 and 2020)Monday-Friday 8:00 AM - 10:00 PM (Staffed 9:00 AM - 9:00 PM)Weekend 8:00 AM - 6:00 PM (Staffed 12:00 PM - 6:00 PM)Fall & Winter Hours (rooms 2018, 2022 and 2104)Monday-Friday 8:00 AM - 5:30 PMWeekend - ClosedSummer HoursMonday-Friday 9:00 AM - 6:00 PM (Staffed 12:00 PM - 6:00 PM)Weekend ClosedBiology/Earth Science - Life Sciences CentreRoom 2084: 12 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: noneLab Manager: Chris Rozee, 494-6358Fall & Winter HoursMonday-Friday 8:30 AM - 4:30 PMWeekends CLOSEDSummer HoursMonday-Friday 8:30 AM - 4:30 PMWeekends CLOSEDBlack Student Advising Centre - Student Union Building3 Windows computersLogin: NetID LoginPrinting: Laser printerStaffing: noneLab Manager: Housing, Conference and Ancillary Services, 494-3834169

Carleton Campus - Dentistry BuildingRoom 2603: 22 Macintosh and 10 Windows computersTraining Annex, 2603B: 12 Macintosh computers plus instructor's station, projectorLogin: NetID LoginPrinting: Laser printer & colour laser printer (pay with print credits)Scanning: 24-bit colour scannerStaffing: full time, 494-6560Lab Manager: Craig Sheppard, 494-7148The training annex may be reserved for classes.Fall & Winter HoursMonday-Thursday 9:00 AM - 8:00 PM (Staffed)Friday 9:00 AM - 5:00 PM (Staffed)Saturday 10:00 AM - 5:00 PM (Staffed)Sunday 1:00 PM - 8:00 PM (Staffed)Summer HoursMonday-Friday 10:00 AM - 5:00 PM (Staffed)Weekends CLOSEDTraining Annex (Room 2603B)Open during building hoursOpen unattended when main lab is closedA key code may be required for access at some times.Chemistry Resource CentreRoom 122: 32 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: full timeLab Manager: Scott McKenzie, 494-6746Fall & Winter HoursMonday-Thursday 10:00 AM - 6:00 PMFriday 10:00 AM - 4:00 PM170

Weekends CLOSEDSummer HoursSummer school classes onlyComputer Science - Computer Science BuildingWindows, Macintosh and Unix computersLogin: lab specific username required, available from Computer SciencePrinting: Laser printers, pay using CS Print Credits (purchase at CS Help Desk)Staffing: full time (but not 24 hours)Lab Manager: contact departmentDalplex - Basement, Dalplex10 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: noneLab Manager: contact departmentEarth Sciences GIS - Life Sciences CentreRoom 2012 LSC (Biology Wing)Restricted to Earth Sciences students and students in GIS courses15 Windows computers, digitizing tablets & departmental equipment.Staffing: noneLab Managers: Charles Walls, 494-3705 and Thomas Duffett, 494-3777Economics - 6220/6214/6206 University Ave.10 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: noneLab Manager: Marc Serroul, 494-1779Engineering (Studley Campus) - Sir James Dunn Building171

Room 301B: 70 Windows computersLogin: NetID LoginStaffing: part timePrinting: Laser printer (pay with print credits)Lab Manager: Reg Peters (Engineering department), 494-2209Engineering - Sexton CampusB316: 60 Windows computers (projector)C300: 25 Windows computers (projector)C318: 22 Windows computers (projector)Alcove: 23 Windows computersI221: 32 Windows computers (projector)F203: 14 Windows computersG210: 8 Windows computersMET Lounge: 5 Windows computersLogin: NetID LoginPrinting: Laser printers in B316, C300, Alcove, I221 and F203 (pay with print credits)Staffing: part time 494-3139Lab Manager: Rosemary.MacLellan@Dal.CA, 494-3272Rooms B316, C300, C318 and I221 may be reserved for classes (contact Sexton Help Desk).Fenwick Place1st floor: 6 Windows computers, laser printerLogin: NetID LoginPrinting: Laser printer (pay using cash)Staffing: noneLab Manager: Housing, Conference and Ancillary Services, 494-3834Howe Hall ResidenceBasement: 2 Windows computersLogin: NetID LoginPrinting: noneStaffing: noneLab Manager: Housing, Conference and Ancillary Services, 494-3834172

Law - 1st floor, Sir James Dunn Law Library (Weldon Law Building)40 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: part time, 494-6415Lab Manager: Edward White, 494-1230Fall & Winter HoursMonday-Thursday 8:00 AM - 11:00 PM (Staffed 8:00 AM - 10:30 PM)Friday 8:00 AM - 9:00 PM (Staffed 8:00 AM - 6:00 PM)Saturday 9:00 AM - 6:00 PM (Staffed 12:00 PM - 6:00 PM)Sunday 11:00 AM - 11:00 PM (Staffed 1:00 PM - 10:30 PM)Summer HoursMonday-Friday 8:00 AM - 4:30 PM (Staffed 9:00 AM - 4:00 PM)Weekends CLOSEDFaculty of Management - K.C. Rowe Management BuildingRoom 3080: 30 Windows computers, instructor's podium and projectorRoom 4001: 23 Windows computers, instructor's podium and projectorRoom 4055: 45 Windows computersLogin: NetID LoginPrinting: Laser printer & colour laser printer (In room 4055, pay with print credits)Staffing: full time, 494-2289Lab Manager: Marc Serroul, 494-1779Rooms 3080 and 4001 may be reserved for classesFall & Winter HoursMonday - Thursday 8:00 AM - 10:00 PM (Staffed)Friday 8:00 AM - 7:00 PM (Staffed)Saturday 11:00 AM - 5:00 PM (Staffed)Sunday 11:00 AM - 10:00 PM (Staffed)Summer HoursMonday - Friday 8:30 AM - 4:00 PM (Staffed)173

Saturday ClosedSunday 12:00 PM - 5:00 PM (Staffed)Mathematics & Statistics - Chase BuildingChase 007: 15 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: noneLab Manager: Scott McKenzie, 494-6746Music - Basement, Arts Centre10 Macintosh computers with Midi-keyboardsLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: part timeLab Manager: Craig Sheppard, 494-7148Nursing - Forrest BuldingRoom G11: 11 Windows computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: noneLab Manager: Edward White, 494-1230Access for Nursing students onlyPharmacy - 5968 College St, Burbidge BuldingRoom 101: 5 Windows computersLogin: NetID LoginPrinting: Laser printer, pay using DalCard @ $0.10/pageStaffing: noneLab Manager: Edward White, 494-1230Fall & Winter HoursMonday - Sunday 8:00 AM - 4:30 PM (Unstaffed)174

Physics - Dunn Building2nd floor: 28 Macintosh computers, 35 Windows computersPrinting: Laser printerStaffing: noneLab Manager: Forest Fyfe (Physics department), 3505Facilities are used by Physics for coursesPsychology - Life Sciences CentreRoom 4207: 22 Macintosh computersLogin: NetID LoginPrinting: Laser printer (pay with print credits)Lab Manager: Craig Sheppard, 494-7148Facilities are used by Psychology for coursesRisley Hall ResidenceMain Floor: 2 Windows computersLogin: NetID LoginPrinting: noneStaffing: noneLab Manager: Housing, Conference and Ancillary Services, 494-3834Faculty of Science (Room 200) - Life Sciences CentreRoom 200: 21 Windows computers, projectorLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: part time, 494-6322Lab Manager: Chris Rozee, 494-6358This lab may be reserved for classes.Fall & Winter HoursMonday-Friday 9:00 AM - 5:30 PM (Staffed)SummerClosed175

Faculty of Science (Room 2087) - Life Sciences CentreRoom 2087: 30 Windows computers , scannerLogin: NetID LoginPrinting: Laser printer (pay with print credits)Staffing: part timeLab Manager: Chris Rozee, 494-6358This lab may be reserved for classes.Fall & Winter HoursMonday-Friday: 9:00 AM - 5:30 PM (staffed)Weekends: ClosedSummer HoursClosedShirreff Hall ResidenceRooms 167 & 267: 4 Windows computersLogin: NetID LoginPrinting: Laser printer (pay using DalCard)Staffing: noneLab Manager: Housing, Conference and Ancillary Services, 494-3834Computer Labs OffsiteDalhousie University uses a platform called the Blackboard Learning System (BLS) andusers access it via the Internet using their computer’s browser (e.g. Internet Explorer).Each student must have access to a computer (PC of Mac) with a high speed Internetconnection.The Centre for Advanced Management Education makes arrangements for a computerand internet access to be available during the intensive sessions for all off campusintensive sessions.176

Appendix 8.5.3 Classroom SpaceYearNumber ofStudents(cumulative)2009 200(Max 45students/course)Average =20 -35student /course2009 200 (Max 45students/courseAverage = 20 - 35student /courseNumber of Classrooms(include seatingcapacity)Dalhousie Universityhas 100+ classroomsavailable for oncampustoaccommodate theMBA (FS) intensivesessions.Sites chosen for offcampus intensivesessions have 10 -100+ classrooms toaccommodateMBA(FS) Intensivesessions.Location of ClassroomsOn siteDalhousieUniversity√ Example ofroom spaceavailable onDalhousieUniversitycampus shownbelowOther (specify)Off – Site (various sites acrossCanada)Examples of off Site locations –St Andrews Club andConference Ctr (17 conferencerooms available – 6 withcapacity for 35+)SFU Harbour Ctr - 30 +rooms available to facilityneeds.BCIT – 12 + rooms available tofacility needs.177

Dalhousie University - Faculty of Management BuildingPotter Auditorium – 400 seats6 state-of-the-art classrooms with 60 to 120 seats5-storey atrium with lounge and study area178

1. School of Public Administration2. Office of the Dean3. Centre for Advanced Management Education (CFAME)Teaching Lab (Main room booked from on site intensive sessions).179

Appendix 8.5.4 Laboratories/EquipmentNot applicable to the MBA (Financial Services) program180

Appendix 8.6 Resource RenewalThe resource renewal plans are based on the mandate of the university to maintain andupgrade resources and facilities.Example:ClassroomsClassroom Upgrade and renewals – Facilities Management conducted the annualclassroom condition inspections and surveyed professors regarding deficiencies in eachof the common pool classrooms. This information was provided to the ClassroomPlanning Committee of the Vice-President Academic and Provost and helped directclassroom renewal expenditures totaling almost $820k in 2007-08.181

Appendix 8.7 Support ServicesStudents in the MBA (Financial Services) program have access to all services that isavailable to on-campus students.Student ServicesThe Office of the Vice-President, Student Services, provides a point of referral for any studentconcern. The Vice-President, Student Services, is the chief student services officer, coordinatingthe activities of student services: Student Academic Success Services (which encompassesAcademic Advising; the Black Student Advising Centre; the First-Year Advising Centre; LearningConnections; the Multifaith Centre; Student Accessibility Services; Studying for SuccessProgram; Tutoring Service; the Writing Centre); Athletics and Recreational Services; Bookstores;Career Services Centre and Volunteering; Conference and Ancillary Services; CounselingServices; Health Services; International Student and Exchange Services; Office of theOmbudsperson; Registrar's Office; Sexton Student Service Centre; Student Community Services;Student Wellness Services; Trademarks; University Food Services; UPass Program.Students who experience difficulties with their academic programs or who are uncertain abouteducational goals, major selection, honours or advanced major information, degree regulations,changing faculties, inadequate study skills, or conflicts with faculty and regulations, can seek theassistance of the Academic Advisors in the Vice-President's Office.Services for Students:• Academic Advising• Allies for Gay and Lesbian Students• Black Student Advising Centre• Career Connectionso Career Services Centreo Career Counselling & Information Centreo Co-op Education• Classes: Select/Register• Counselling and Psychological Services• First Year Advising• Food Services• Health Services Clinic• International Student & Exchange Services• Libraries182

• Money Matters• Multifaith Centre• Registrar• Safety on Campus• Student Accessibility Services• Student Accounts• Studying for Success• Writing CentreCan't find what you're looking for? Check out the A-Z index.Student Services Offices:Studley Campus Room G28, Main Level, Killam LibraryPhone: 494-2404Sexton Campus B Building, Main Entrance, 1360 Barrington StreetPhone: 494-6047Support ServiceBrief Description of ServiceAcademic AdvisingAll students in the MBA (Financial Services) program have access to the AcademicDirector, Associate Director, Program Academic Advisor, Faculty members, theFaculty of Graduate Studies and Academic Advisors in the Vice-President's Office.Career CounsellingCareer Services CentreThe Career Services Centre assists you in:-exploring a full range of career and work possibilities that match yourcareer goals;-preparing job-search documents to present yourself effectively as acandidate for employment;- obtaining information on employment opportunities and prospectiveemployers;- connecting with career opportunities through campus interviews, job andvolunteer listings, referrals, direct application, networking, job-searchevents, publications, and/or information technology; and- developing and maintaining relationships with organizations that providecareer development and employment opportunities for you.Please refer to Career Services Centre website at http://www.dal.ca/csc for moreinformation on programs and services.Management Career Services offers specialized career development services to the183

students and alumni of programs offered by the Faculty of Management.Personal CounsellingPlacementServices for Students withDisabilitiesTutoringThe Counselling Services Centre offers programs for personal, career and learningdisability concerns. Counselling is provided by professionally-trained counsellorsand psychologists. Strict confidentiality is ensured. Counselling is available bothindividually and on a group basis. Topics covered by regularly offered groupprograms, or individual counselling, include Career Decision Making, What to dowith a Degree in . . . , Exam Anxiety Reduction, Public Speaking AnxietyReduction, Grief and Loss, Sleep and Relaxation, Overcoming Procrastination,Stress Management and Overcoming Depression. Information on a wide variety ofcareers and academic programs is available in The Frank G. Lawson CareerInformation Centre. The Internet, CD-ROMS, reference files and books, magazinesand newsletters, as well as a variety of takeaway tip sheets, all form part of theCentre's large and growing resource collection.N/ADalhousie University is committed to providing an accessible environment thatsupports our academically-qualified students with disabilities to fully participate inUniversity life. Staff at Student Accessibility Services (SAS) work with faculty andstaff to provide access to all educational programs, learning environments andcampus offerings. An Advisor facilitates an intake process to assess a student'sindividual needs and, when needed, to recommend classroom supports and examaccommodations to faculty.Staff at Student Accessibility Services, along with other student services atUniversity, support our students through a variety of academic and non-academicprograms.SAS also fosters a welcoming environment for students with disabilities throughongoing informational and educational opportunities for faculty and staff. Ongoingefforts consistent with a reasonable and practical allocation of resources are beingmade to continuously improve accessibility around campus, in the classroom andduring exams. Early consultation is advised to ensure appropriate accommodation ofyour needs. We can be contacted by phone: voice (902) 494-2836, or by email(access@dal.ca). Please refer to our website for further information:http://www.studentaccessibility.dal.ca.Students can access a range of academic support services through the Studying forSuccess Program, including study skills and tutoring services. For information,consult the website at http://www.dal.ca/tutoringAs part of Student Academic Success Services, Studying for Success offersprograms to help you reach your academic potential during your time at Dalhousie.Workshops are offered to students to develop or enhance personal learning strategiesand, when applicable, are customized to focus on particular disciplines or fields ofstudy ensuring that the workshop content is relevant to your needs. Topics regularlycovered include time management, getting the most from lectures, critical reading,problem-solving, preparing for and writing exams. Study Skills coaches offerpersonal coaching either by appointment or on a drop in basis during regularlyscheduled hours, and will refer students to other academic resources whenappropriate.Website: http://sfs.studentservices.dal.ca/The Writing Centre's programs recognize that students in all disciplines arerequired to write clearly to inform, persuade, or instruct an audience in term papers,laboratory reports, essay examinations, critical reviews and other academic184

assignments. Students benefit from discussing their work with supportive instructorsand peer tutors.The Centre currently offers a number of services. The main office in the LearningCommons allows students to obtain advice on writing issues. Tutors also work partof the week at the Sexton Library and the Kellogg Library. Finally, seminars areheld throughout the university year on topics such as essay writing, science writing,mechanics of writing, English as a second language issues, admission applications,etc.Other(s) (please specify)The Student Advocacy Service was established by the Dalhousie Student Unionand is composed of qualified students from the University. The main purpose of theService is to ensure that the student receives the proper information when dealingwith the various administrative boards and faculties at Dalhousie. An Advocate mayalso be assigned to assist students with academic appeals or in a disciplinary hearingfor an academic offence. Our goal is to make the often unpleasant experience ofchallenging or being challenged by University Administration less intimidating.The Dalhousie Office of the Ombudsperson offers assistance and adviceto anyone experiencing problems with the Dalhousie community, includingdifficulties associated with finances, academics, or accommodations. Thisstudent-run office can help resolve particular grievances and attempts toensure that existing policies are fair and equitable. Jointly funded by theUniversity and the Dalhousie Student Union, the Ombudsperson can provideinformation and direction on any University-related complaint. Clients retainfull control over any action taken on their behalf by the Office of theOmbudsperson, and all inquiries are strictly confidentialOffice of Human Rights, Equity & Harassment PreventionThe overall mandate of the Office of Human Rights, Equity & HarassmentPrevention is to foster and support an inclusive working and learning environmentwhere all members of the University community share responsibility for establishingand maintaining a climate of respect.The Office is responsible for administering a number of University policiesincluding: the Accommodation Policy; the Employment Equity Through AffirmativeAction Policy; complaints based on the Statement of Prohibited Discrimination; thePersonal Harassment Policy; and the Sexual Harassment Policy. The Human Rights& Equity Advisor and the Harassment Prevention Advisor also liaise with the Officeof the Vice-President, Student Services, regarding the Code of Student Conduct.Information Technology Services (ITS) provides computing and communicationservices for students, faculty and staff. Students have access to campus computingfacilities individually and in conjunction with their classes. ITS supports universityinstructional, research, and administrative needs. The department is responsible forall centrally managed computing, networking, and telecommunications facilities.185

Appendix 8.8 Policies on FacultyThe Faculty of Graduate Studies governs the credentials required for all faculty membersteaching in post-graduate programs. The procedures are as follows:IV.1. PROCEDURES RELATING TO MEMBERSHIP IN THE FACULTY OFGRADUATE STUDIESIV.1.1 Appointment of Regular MembersIV.1.1.1 CriteriaEach unit (department or school) offering graduate programs at Dalhousie has criteria formembership in FGS and procedures for recommending membership to the Dean.IV.1.1.2 Membership ApplicationNew faculty members appointed to Dalhousie and faculty members in Dalhousie unitsinitiating graduate programs for the first time may apply for membership in FGS. TheChair, Head or Director of a department, unit or program submits to the Dean thefollowing information:a) A letter of support from the Chair/Head/Director of the unit, which includes astatement of initial graduate responsibilities and, for inexperienced faculty members, aplan for phasing in their involvement in the graduate programs of the unitb) A recent C.V. of the member, including sections on research and scholarlyachievement and experience, as well as any previous graduate teaching and supervision.Members of the faculty who wish to supervise students in units other than that of theirmajor appointment may be recommended for membership in the faculty for each unit inwhich they are active; this is classified as a cross-appointment within the Faculty ofGraduate Studies. Membership applications are considered by the FGS AcademicPlanning and Curriculum Committee (APCC).IV.1.2 Appointment of Adjunct MembersIn order to include non-Dalhousie scholars/researchers as members of Dalhousie units,units must develop and maintain a policy governing such appointments, including aprocess for evaluating research achievement and teaching performance and a statement ofthe rights and responsibilities of honorary appointees within the unit. Adjunct membersare appointed by the Board of Governors upon recommendation from the Dean ofGraduate Studies and the Vice-President Academic. Units can recommend adjunctmembers to the Dean in any of the categories below including the same supportingmaterials as set out under section IV.1.1.2, as well as the address of the candidate’semployer (if applicable).The School of Business Administration, within the Faculty of Management, has policiesand procedures in place for the recruitment, retention and promotion of faculty thatconform to the standards articulated in the AACSB International accreditation process.The teaching function is critical to the School’s mission. As such, the School strives tohire doctorally-qualified faculty members who are good instructors. When a facultyvacancy exists, the Dean instructs the School’s and the appropriate area group’s head toinitiate the search process within University established guidelines. All vacancies must be186

advertised in accordance with Dalhousie’s employment equity policy and “AcademicRecruitment and Selection Guidelines”.Once the Dean receives budgetary approval to begin the search from the Vice-President(Academic), a search committee is convened in consultation with the School’s Director.The core of the search committee generally comprises members of the appropriate areagroup(s). The University encourages diversity in the makeup of search committees underits Employment Equity Policy. The Dean’s Office staff meets with all search committeesto review University policy regarding appropriate hiring practices.A faculty vacancy can be advertised in various ways:1. in “University Affairs” Magazine (published by the Association of Universitiesand Colleges of Canada),2. in a CAUT Bulletin,3. in regional newspapers,4. in discipline-specific publications,5. via the Canadian Federation of Business School Deans’ electronic distributionlist,6. through listings at regional and national conferences; and7. in Employment Equity Offices throughout Canadian UniversitiesApplicants submit a file containing a letter of application, vita, transcripts and letters ofrecommendation. All applicants receive an acknowledgement letter and a “Self-Identification Questionnaire,” requesting a statement of Canadian status. An optionalsection in the questionnaire allows self-identification regarding racial origin anddisabilities. The search committee reviews the applications and contacts references of themost qualified candidates before recommending a list of finalists to the Dean and Vice-President. Prior to inviting these finalists for on-campus visits, the selection process isagain reviewed to ensure its full compliance with the University’s Employment Equitypolicy.On-campus visits generally include:• meeting(s) with the search committee,• meetings with individual faculty members,• a formal research presentation,• a presentation in a class and meeting with students; and• a meeting with the Dean and the School’s Director.After on-campus visits, the search committee consults with faculty and makesrecommendations to the Director of the School. The Director reviews therecommendation and, if there is agreement, forwards it to the School’s Rank,Appointment, Tenure and Salary Committee for evaluation. The recommendation is nextforwarded to the Dean and, later, the Vice-President for approval. The Dean must thenobtain approval to make a conditional offer from the Vice-President (Academic). Final187

appointments are made only by the President, subject to the University’s Association andBoard Committee approval.The University provides a campus-wide orientation program during the Fall of each year,with presentations by several areas of the University. Faculty members are introduced tokey University Leaders including, the President, Vice-President (Academic), Dean ofGraduate Studies and University Librarian. The Office of Instructional Development andTechnology (OIDT) assumes a lead role in the orientation process and organizes a varietyof workshops and seminars. In 1999, the OIDT established the Dalhousie FacultyMentoring Program, to provide support and guidance to new faculty members.The orientation process begins during the recruiting meetings. Teaching, research andservice expectations, advisory responsibilities and tenure/promotion processes arediscussed with prospective faculty. Once hired, new faculty are guided and advised bytheir area group co-ordinator, by fellow area group members, and by the School’sDirector and the Dean. All newly appointed full- and part-time faculty receive a Schoolhandbook, which provides information regarding staff roles, procedures availableresources. This handbook is reviewed annually updated as need be.Retention and DevelopmentTenure and promotion represent the ultimate recognition of the faculty member’ssustained contribution and commitment to teaching, research and to service to theprofession and community. The process underlying tenure and promotion decisions isconsidered seriously at Dalhousie University, at the Faculty of Management and withinthe School of Business Administration.The review process for faculty retention, tenure and promotions is set forth in theconstitutions of the Faculty of Management and School of Business Administration and isgoverned by the Faculty Association/University collective bargaining agreement. Facultymembers are also given copies of “Faculty of Management Guidelines for Tenure andPromotion” and the University Senate’s “Report on Tenure”, to assist in their preparationand application.Conduct of the review process begins with the School’s Rank, Appointment, Tenure andSalary Committee. Its terms of reference are as follows:• The members of the Committee shall be elected by, and with the approval of, themajority of the full time members of the School. Their appointment, promotion andtenure fall principally within the jurisdiction of the School for three (3) years. They maybe reappointed; provided, however, that at the first appointment of the Committee, theterm of two (2) members shall expire at the end of two (2) years, and the term of two (2)other members shall expire at the end of one (1) year.• It shall review and make recommendations to the Director on all cases involvingthe appointment, renewal of contract, promotion, tenure and salary of existing facultymembers of the School, and the terms of appointment of prospective faculty members, inthe light of the Senate and Faculty of Management regulations on these matters, and ofcollective agreements.Following initial assessment by the School’s Rank, Appointment, Tenure and SalaryCommittee, recommendations for retention, tenure and promotion are forwarded for188

eview by the School’s Director, the Faculty of Management Tenure and PromotionCommittee and, finally, the Dean. At each stage the dossier is considered carefully, withspecial emphasis being placed the School’s desire for excellence in the classroom, itsemphasis on research and its focus on service to the profession, community anduniversity. The complete dossier, including the Dean’s final recommendation, is thenforwarded to the President and Vice-President (Academic) for their approval.The Dean and the Director of the School are responsible for supporting the continuedintellectual development and renewal of the faculty. Each year, faculty are responsible tosubmit a report addressing both past achievements and future objectives. The School’sDirector holds individual interviews with all faculty to review this annual report anddiscuss plans for the coming year. Annual reports, along with any relevant commentsfrom the Director, are forwarded to the Dean for further review and feedback whererequired.Dalhousie University has a long-standing policy and record of providing faculty memberswith sabbatical leave as a means to promote intellectual development and renewal. Ingeneral, faculty members are permitted a full year’s leave on a seven (7) year cycle.Faculty members also receive an annual travel allowance to attend scholarly conferencesor workshops, and have access to funding for the purchase of computer equipment,software and on-site technical support to assist in both their teaching and researchactivities.To further the aim of scholarly productivity, the Faculty of Management providesguidance to individual faculty. This can include provision of assistance with fundingsources, facilitation of linkage opportunities and identification of potential projects.Internal sources of research funding are made available to faculty through:• Dean, Faculty of Management,• Dean, Faculty of Graduate Studies,• Director of the School of Business Administration,• Centre for International Trade and TransportationThe School of Business Administration is committed to provide all students with aquality education which is rigorous and relevant. The School’s hiring practices emphasizerecruiting doctorally and professionally qualified individuals.Faculty members are considered academically qualified if:They have obtained a doctoral degree in an appropriate discipline in businessadministration, or they are successfully progressing toward one, and they have made atleast two (2) scholarly contributions within the last five (5) years to a discipline inbusiness administration.Faculty members are considered professionally qualified if:They have an MBA with a professional designation or have at least five (5) years ofrelevant managerial experience. Faculty with professional qualifications are hired notonly to address the general research and teaching needs of the unit, but they are also hired189

to enhance students’ learning and educational experience by bringing real-worldexperience into the classrooms. Professional qualifications are broadly defined to includea master’s degree in a business field or an MBA with a professional designation such as“Chartered Accountant”, “ Certified Management Accountant”, “ Certified GeneralAccountant” or having at least five (5) years of relevant managerial experience. TheSchool of Business Administration is committed to provide all students with a qualityeducation which is rigorous and relevant. The School’s hiring practices emphasizerecruiting doctorally and professionally qualified individuals.Faculty members are considered academically qualified if:They have obtained a doctoral degree in an appropriate discipline in businessadministration, or they are successfully progressing toward one, and they havemade at least two (2) scholarly contributions within the last five (5) years to adiscipline in business administration.Faculty members are considered professionally qualified if:They have an MBA with a professional designation or have at least five (5) yearsof relevant managerial experience. Faculty with professional qualifications arehired not only to address the general research and teaching needs of the unit, butthey are also hired to enhance students’ learning and educational experience bybringing real-world experience into the classrooms. Professional qualifications arebroadly defined to include a master’s degree in a business field or an MBA with aprofessional designation such as “Chartered Accountant”, “ CertifiedManagement Accountant”, “ Certified General Accountant” or having at least five(5) years of relevant managerial experience.190

Appendix 8.9.2 Curriculum Vitae of Current Faculty Assigned to DegreeProgram(all instructors teaching in the MBA (Financial Services program must be membersof the Faculty of Graduate Studies).Ramon G. BaltazarAcademicDegreesMay 2007 – Ph. D. in Business Administration (Management)Sobey School of Business, St. Mary’s University, Halifax, Canada• Sobey is accredited by AACSB• Thesis entitled ‘Nature, antecedents, and consequences ofmanagerial configuration-making preference’1982 – Master of International Management (Finance)American Graduate School of International Management atThunderbird, Glendale, USA• Graduated with Distinction1978 – Bachelor of Science in Management EngineeringAteneo de Manila University, Manila, Philippines• Graduated Cum Laude and Class ValedictorianTeachingExperience2001-PresentAdjunct Professor, Centre for Advanced Management EducationFaculty of Management, Dalhousie University, Halifax, Canada• Course assignments have included Strategic Leadership andChange and Management Skills Development in the MBA(Financial Services) Program for the Bank of Montreal, andManaging People in Diverse Organisations in the MPAManagement Program for government and not-for-profitmanagers1998-2006 / 1989-1996Lecturer/Assistant Professor, School of Business AdministrationFaculty of Management, Dalhousie University, Halifax, Canada• Course assignments included graduate and undergraduatecourses in Strategic Management and Organisation Design• Recipient of the 1991-1992 and 1995-1996 Dalhousie MBAProfessor of the Year Award and 1999-2000 DalhousieCommerce Professor of the Year Award1997-PresentInstructor, Management Department191

Faculty of Commerce, St. Mary’s University, Halifax, Canada• Course assignments included Strategic Management courses inthe undergraduate Commerce Program, Management Controlcourses in the MBA-CMA Program, and the Strategy forSuccess module in the Nunavut Advanced ManagementDevelopment Program1983-1986Assistant ProfessorAsian Institute of Management, Manila, Philippines• Taught graduate courses in Strategic Management• Provided instructional and consulting services to private andpublic sector organisations in Malaysia, Indonesia, and thePhilippines1978-1980LecturerNotre Dame of Marbel College, Cotabato, Philippines• Taught undergraduate courses in management and statisticsPublications and Conference ContributionsScholarlyContributionsBaltazar, R., Kelloway, K. & Chamard, J. (2008). Managerialconfiguration-making preferences in the Canadian bankingindustry. In 8 th Annual Hawaii International Conference onBusiness Proceedings, Honolulu: Hawaii InternationalConferences.Baltazar, R. & Brooks, M. R. (2007). Port governance, devolutionand the Matching Framework: A configuration theory approach.In M. R. Brooks & K. Cullinane (Eds.), Devolution, portgovernance and port performance (Vol. 17, pp. 379-403),Amsterdam: Elsevier Ltd.Mealiea, L. & Baltazar, R. (2005). A strategic guide for buildingeffective teams. Public Personnel Management, 34(2), 141-160Baltazar, R. & Santos, M. (2003). The benefits of banking megamergers:Event study evidence from the 1998 failed megamergerattempts in Canada. Canadian Journal of AdministrativeSciences, 20(3), 196-208Baltazar, R. (2003). Maritime Life Assurance Company: A caseand teaching note. In 2003 ASAC Conference Proceedings, Halifax:Administrative Sciences Association of Canada192

Mealiea, L. & Baltazar, R. (2003). Team climate factors and teameffectiveness: An extension of Mealiea’s work. In 2003 ASBConference Proceedings, Halifax: Atlantic Schools of BusinessMealiea, L. & Baltazar, R. (2003). A preliminary analysis ofleadership behaviours in teams and the resulting impact onteam outcomes. Presented, 2003 Atlantic Schools of BusinessConference, HalifaxBaltazar, R., Fooladi, I. & Santos, M. (2003). Is the oil & gasindustry a good hedge against political and/or economic risk?The Canadian case. In 2003 ASB Conference Proceedings, Halifax:Atlantic Schools of BusinessBaltazar, R. (2002). Cultural antecedents of port design.Presented, Port Governance Network Track, 2002 InternationalAssociation of Maritime Economists Conference, Panama CityBaltazar, R. & Brooks, M. R. (2001). The governance of portdevolution: A tale of two countries. Presented, 2001 WorldConference on Transportation Research, SeoulBaltazar, R. (1999). Towards a Competitive LeapfroggingStrategy Framework: A Case for Concept, Trajectory, CapacityBuilding Focus, Growth Mode, and Kinetics. Presented, 1999Atlantic Schools of Business Conference, HalifaxFry, J.N. & Baltazar, R. (1989). Deloitte Haskins + Sells. InBusiness policy: A Canadian casebook by J.N. Fry, J.P. Killing, R.E.White, & D.H. Thain, Scarborough: Prentice-Hall Canada, Inc.Instructional MaterialBaltazar, R. & Cassin, M. (2006). Managing people in diverseorganizations. Learning binder for the Master of PublicAdministration Program (Management), Halifax: DalhousieUniversityBaltazar, R. (2001). Strategy formulation. Learning binder for theMaster of Business Administration (Information Technology)Program, Halifax: Dalhousie UniversityBaltazar, R. (2001). Strategic leadership and change. Learningbinder for the Master of Business Administration (InformationTechnology) Program, Halifax: Dalhousie University193

Baltazar, R. (1999). Workers’ Compensation Board of NovaScotia: A case and teaching note, Halifax: Dalhousie UniversityBaltazar, R. (1985). Rubber Institute Smallholders’Development Authority. In Formulating Strategy, Manila: AsianInstitute of ManagementUniversityAdministrativeExperienceOtherInformationBaltazar, R. (1985). Parit Siraya Mini-Estate Project. InImplementing Strategy, Manila: Asian Institute of Management2002-2003Associate Director, School of Business Administration/Director,MBA ProgramSchool of Business Administration, Dalhousie University, Halifax,Canada1990-2002Member of standing Dalhousie University committees, includingthe School of Business Council, Faculty of Management Council,MBA Curriculum Committee (Chair, 2002-2003), School ofBusiness Nominating Committee (Chair, 2001-2003), UniversitySenate Nominating Committee, and Commerce CurriculumCommittee1993-1996Co-owner and OperatorHome Cinema Circuit, Halifax, Canada1986-1989Doctoral Candidate in Business Administration (Business Policy)Ivey Business School, University of Western Ontario, London,Canada• Successfully completed course work and comprehensiveexamination1982-1983Executive Assistant to the PresidentMerit International Ports Consulting Corporation, Manila,PhilippinesCanadian citizen with an international background• Have resided in Canada, the US, France, Japan, and thePhilippines194

CURRICULUM VITAEJune, 20091. Personal:Name:UniversityAddress:JOAN E.D. CONRODSchool of BusinessDalhousie University6100 University AvenueHalifax, NS B3H 3J52. Degrees:a) AcademicM.B.A. 1986 University of Toronto, Toronto, OntarioB. Comm 1977 Dalhousie University, Halifax, Nova Scotiab) ProfessionalF.C.A.C.A.1999 Nova Scotia1979 Nova Scotia3. Employment1997 - present Professor, Dalhousie University1989- 1997 Associate Professor, Dalhousie UniversityReceived early tenure in 1990/1991Senior Tutor, University of TorontoTutor, University of TorontoLecturer, Dalhousie UniversityStaff Auditor, Touche Ross & Co,Public Accountants195

4. HonorsFellow Chartered Accountant, 1999Dean’s List, M.B.A. University of Toronto, 1986-1987CICA Bronze Medal and Founders Prize, Harry G. Hoben and Nova ScotiaInstitute Prize, Uniform Final Examinations (1979). Placed third in Canada out of3400 candidates.University Award in Commerce, Dalhousie University (1977). Placed first inCommerce Program.5. Teaching AwardsFaculty of Management Teaching Award, 2008Leaders in Management Education, Atlantic Canada, PWC, 2004Association of Atlantic Universities, Distinguished Teacher Award, 1996Dalhousie Alumni Association Award for Teaching Excellence, 1995/6Commerce Professor of the Year, 2006/7Commerce Professor of the Year, 2004/5Commerce Professor of the Year, 2003/4Commerce Professor of the Year, 2001/2Commerce Professor of the Year, 1996/7Commerce Professor of the Year, 1994/5Commerce Professor of the Year, 1993/4Commerce Professor of the Year, 1992/36. Professional AffiliationsMember:Nova Scotia Institute of Chartered AccountantsCanadian Institute of Chartered AccountantsAmerican Accounting AssociationCanadian Academic Accounting Association7. Courses taughtDalhousie University:COM 2101 Introductory Accounting ICOM 2102 Introductory Accounting IICOM 3105 Intermediate Financial Accounting ICOM 3111/MBA 6108 Intermediate Financial Accounting IICOM 3113/MBA 6113 Financial Accounting TheoryCOM 3116/MBA 6106 Cost Management196

COM 4101/MBA 6110 Advanced Accounting ICOM 4102/MBA 6109 Advanced Accounting IIBUSI 5103 Introductory AccountingDalhousie University; executive program:BUSI 5103 Introductory Accounting (MBA FS)8. Publicationsa) BooksIntermediate Accounting, Fourth edition, T.H. Beechy, J.E.D. Conrod, McGrawHill, Toronto, 2008Intermediate Accounting, Third edition, T.H. Beechy, J.E.D. Conrod, McGrawHill, Toronto, 2005Intermediate Accounting, Second edition, T.H. Beechy, J.E.D. Conrod, McGrawHill, Toronto, 2002Intermediate Accounting, First edition, T.H. Beechy, J.E.D. Conrod, McGrawHill, Toronto, 2000Intermediate Accounting, Seventh Edition, T.R. Dyckman, R.E. Dukes, C.J.Davis, M. Nelson, J.E.D. Conrod, Irwin, Burr Ridge, 1995.Intermediate Accounting, Sixth Edition, T.R. Dyckman, R.E. Dukes, C.J. Davis,M. Nelson, M. Zin and J.E.D. Conrod, Irwin, Burr Ridge, 1992.Canadian Cases in Financial Accounting, Second Edition, C.E. Dilworth andJ.E.D. Conrod, Irwin, Burr Ridge, 1993.Canadian Cases in Financial Accounting, J.E.D. Conrod and C.E. Dilworth,Irwin, Burr Ridge, 1990.Lotus 1-2-3 for Accounting, Jeffrey Michelman and Joan E.D. Conrod,Courseware Technology Inc, Boston, 1990.Advanced Managerial Accounting, John R.E. Parker and Joan E.D. Conrod,Clarence Byrd Inc., Ottawa, 1982.Decision Problems in Intermediate Accounting, Joan E.D. Conrod and John R. E.Parker, Gage, Toronto, 1982.197

Case Supplement for Accounting Principles, Joan E.D. Conrod and John R.E.Parker, Gage, Toronto, 1981.b) Chapters in books“Accounting for Leases” in Intermediate Accounting, Second Canadian Edition,John R.E. Parker , H. Simons, J.M. Smith and K.F. Skousen, Gage, Toronto,1982.“Miscellaneous Topics”, (various portions) in Advanced Corporate FinancialReporting, John R.E. Parker and George C. Baxter, Irwin, Homewood, 1990.c) Articles (refereed)“Revenue Recognition: Judgment in the Spotlight” , Joan E.D. Conrod and JudyCumby, Canadian Accounting Perspectives, Volume 4, No 2, 2005“Non-financial Performance Measures in the Canadian Biotechnology Industry”,Judy Cumby and Joan E.D. Conrod, Journal of Intellectual Capital, Volume 2,Number 3, 2001.“Financial Accounting Theory and Policy, Course Outline”, Joan E.D. Conrodand Carol E. Dilworth in Accounting Trends, T.J. Burns, editor, McGraw Hill,1987.“The Comprehensive Case Revisited”, G.R. Chesley and Joan E.D. Conrod, CAMagazine, July, 1984.“EPS – A Financial Ratio in Question”, D.C. Cherry and Joan E.D. Conrod, CAMagazine, June, 1983.“An Analysis of the UFE Syllabus”, G.R. Chesley and Joan E.D. Conrod, CAMagazine, May, 1982.d) Articles (not refereed)“Corporate Governance: Do Core Principles Equate with Best Practices?”TechnicalReport with Steve Salterio, Queens Centre for Governance, 2008“Dalhousie University’s MBA Financial Services Program” in FOCUS, Centrefor Learning and Teaching, Dalhousie University, Fall 2008“The Teaching Master Class”,. with Laura Cumming, in FOCUS, Centre forLearning and Teaching, Dalhousie University, Spring 2009, forthcoming198

“Homburg Investment Inc, A Case Study on the Impact of IFRS,” McGraw HillIntermediate Accounting web site, 2008.“Orca Resources, A Case Study on the Impact of IFRS,” McGraw HillIntermediate Accounting web site, 2008.e) Conference proceedingsConrod, Joan and Cumby, Judy, Revenue Recognition Policy Change:Canadian Evidence In The TSE Small Cap, Atlantic School of BusinessConference, Halifax, 2005“Performance Measurement in the Canadian Biotechnology Industry: AnOverview”, Judy Cumby and Joan Conrod, Performance MeasurementAssociation Conference, 2002, Boston, July, 2002“The Extraordinary Earnings of Atlantic Trust”, D.C. Cherry and Joan E.D.Conrod. Atlantic School of Business Conference, Halifax, 1989.f) Correspondence CoursesFA3 Lesson Notes, CGA-Canada, Vancouver, 1994, and subsequent annualrevisions through 2009.Advanced Financial Accounting, Part 1 Atlantic School of CharteredAccountancy, 1990. Lessons 8-15.Intermediate Accounting I, Society of Management Accountants, 1983.g) Invited CommentariesAn Evaluation of the UFE, CA Magazine, March, 1999. Invited editorialUniversity Teaching, Focus, Dalhousie University, Vol. 6. No.2h) Conference Presentations“The Teaching Master Class”, with Laura Cumming, at Fostering StudentEngagement, Learning and Teaching Conference, Dalhousie University, Spring2009.Panel Discussion, “Fostering Student Engagement in the Faculty ofManagement,” at Fostering Student Engagement, Learning and TeachingConference, Dalhousie University, Spring 2009.“Revenue Recognition: Judgment in the Spotlight,” Joan E.D. Conrod and JudyCumby, ASB, October, 2004199

“Performance Measurement in the Canadian Biotechnology Industry: Closing theReporting Gap”, Judy Cumby and Joan Conrod, ASB, October, 2001“Non-financial Performance Measures in the Canadian Biotechnology Industry”,Judy Cumby and Joan Conrod, Fourth Annual Symposium on Intellectual Capital,January, 2001“Non-financial Performance Measures in the Canadian Biotechnology Industry”,Judy Cumby and Joan Conrod, ASB, September, 2000"Effective Teaching," presentation given by invitation at UNB, UPEI, and SMU,1998. Also presented at new faculty orientation, Dalhousie, in 1996, 1998, 1999,2000."University Teaching and Learning" presented by invitation to new student Convocation,Dalhousie University, September, 1996.9. SymposiumThe Teaching Master Class, with Laura Cumming, January 2009.Symposium for teaching effectiveness, run in the School of Business,involving observation and debriefing.10. GrantsCanadian Institute of Chartered Accountants, $10,000 development grant for Nonfinancialperformance measurement: Current reporting practice, with J. CumbyMcGraw Hill/ Irwin, text development grants, $2,500, in each of 2008, 2005,2003, 2000, 1997 and 1995, respectively11. Professional CoursesThe following courses are part of a post-undergraduate course of study that leadsto the CA designation; students are articling with CA firms. My role has been asa lecturer or seminar leader.Advanced Financial Accounting, Part II, Atlantic School of CharteredAccountancy (1982-2001, inclusive)Managerial Accounting, Planning & Control, Atlantic School of CharteredAccountancy (1990-2001, inclusive). Coordinator in 1997.Finalist Preparation, Atlantic School of Chartered Accountancy, (1984-1989,inclusive)Finalist Preparation Workshop, Clarkson Gordon, (1986-1989, inclusive)200

Summer School in Chartered Accountancy, Concordia University (1985)School of Accountancy, Ontario Institute of Chartered Accountancy (1980-1986,inclusive)12. Professional ExamsThis examination material is meant to challenge candidates at their final level ofpreparedness in the professional accounting programs. The material must beoriginal and complex, to provide constructive feedback and eliminate the weakercandidates.The material covers topics in financial and managerial accounting, integratingauditing and tax where appropriate in course coverage.Original material prepared for:Canadian Institute of Chartered Accountants, Uniform Final (CA) Exam, 2000Atlantic School of Chartered AccountancyCourse: Advanced Financial Accounting, Part II(1989 - 2001, inclusive, 1986, 1985)Course; Managerial Accounting, Planning and Control (1997 -1998)Course: Advanced Financial Accounting, Part I (1980)Clarkson Gordon Finalist Preparation WorkshopSeries of 6 to 8 exams at “CA final exam” level of difficulty prepared withgrading schemes (1986-1989, inclusive)13. Committee ServiceSummer School in Chartered Accountancy, Concordia University,Montreal.“CA final exam” level material provided (1989, 1985)Society of Management AccountantsFinal Accreditation Exams, Advanced Financial Accounting, (1990, 1986,1985, 1984)a) School of BusinessStudent Appeals Committee (2006-2008)Commerce Program Committee (2008)SBA Director Review committee (2005)Accounting Area Coordinator (2001-2003) (2009- present)Member, Undergraduate Program Committee (2000)201

Chair, Long-term Planning Committee (1999 – 2000)Member, MBA (Financial Services) Program Committee (1995 – 1999 and2006-present)Member, School Council (1994/5 and 2001-2003)Undergraduate Curriculum Committee (1989-1994)Chair, Undergraduate Curriculum Committee (1989/1990)b) Faculty of ManagementAdvisory Position, Budget Allocation Issues, 2007Member, MBA(FS) Academic Committee (2006 – present)Member, Dean Search (1994 and 1998)Member, Student Affairs (1993/1994)Member, Faculty Council (1989-1992)Member, Inter-school Curriculum Committee (1992/3)c) UniversityMember, Senate Committee on Learning and Teaching (2009- present)Member, Senate Review Committee for the Faculty of Health Professions(2005)Chair, Budget Advisory Committee (2001 – 2003)Member, Budget Advisory Committee (1998 – 2000)Member, Graduate Studies Dean Review Committee (1999 – 2000)Vice Chair, Senate (1995-1997)Secretary, Academic Priorities and Budget (1995-1997)Member, Board of Governors (1995-1997)Member, Senate Steering (1995-1997)Member, Audit Committee (1995-1997)Chair, Senate Financial Planning (1995)Member, Senate Academic Planning (1995)Member, Consultative Committee on Rationalization (1995)Member, Presidential Search Committee (1994)Member, Capital Campaign Finance Committee (1992)Member, Investment Committee (1991-1992)Member, Retirees Trust Fund (1991-1992)d) ProfessionalMember, Academic Advisory Committee, an advisory committee to theAccounting Standards Board, CICA (2005 - present)President, CAAA Board of Directors, (2002/3);Member, CAAA Board of Directors, Past President and Chair of theNominating Committee (2003/4), Chair of Membership Committee (2000),President-Elect (2001)Member, NS Institute of Chartered Accountants Council (1995- 1997)Member, Interprovincial Education Committee, CICA (1995-2000)202

Chair, Education Committee, NS Institute of Chartered Accountants (1993-1995)Member, Education Committee, NS Institute of Chartered Accountants (1995-1998)Member, Board of Directors, Atlantic School of Chartered Accountancy(1994-1997)Member, Task Force on Program Redesign, Atlantic School of CharteredAccountancy, 2001.14. Conference Servicea) OrganizerChair, Accounting Stream, ASB, Halifax, 1999Organizing Committee, CAAA Conference, Halifax, June, 2000.b) ParticipantModerator, Opening Plenary Session, CAAA Annual Conference, 2007(Sheila Fraser, guest speaker)Co-Chair, Department Heads Session, CAAA Annual Conference, 2007and 2008Moderator, CAAA session on Capital Market Research, Calgary, 2001Discussant and moderator, CAAA monograph on Audit Theory, CAAAconference, Halifax, 2000Host and organizer, Total Value Creation (TVC); CICA research projectworkshop held prior to the CAAA conference, Halifax, 2000.American Accounting Association, Annual Conference, 2007, 2000, 1998,1996, 1995, 1994, 1990, 1989, 1984.Canadian Academic Accounting Association, Annual Conference,2008,2007,2005, 2003,2002, 2001,2000,1999,1993, 1992, 1987.CICA Vision Forum, invited participant, 1999CAAA Accounting Educator’s Symposium, Kingston, 1983.Clarkson Gordon Education Symposium, Kitchener, 1984.203

TERESA L. CYRUSDalhousie UniversityDepartment of EconomicsHalifax, Nova ScotiaCanada B3H 3J5EDUCATION:DEGREE DATE FIELDSUniversity of California, Berkeley Ph.D. Dec. 1997 International EconomicsIndustrial OrganizationUniversity of California, Los Angeles B.A. cum laude Dec. 1988 Economics/InternationalArea StudiesSt. Andrews University, Scotland exchange year 1987-1988 EconomicsModern HistoryACADEMIC POSITIONS:Associate Professor, Department of Economics, Dalhousie University, 2005–.Assistant Professor, Department of Economics, Dalhousie University, 1998-2005.Undergraduate courses taught: Principles of Microeconomics, Principles ofMacroeconomics, International Trade, International Finance, Honours Seminar.Graduate courses taught: International Trade, International Finance, MBA Economics.Visiting Assistant Professor, Department of Economics, DePaul University, 1997-1998.Courses taught: International Economics (undergraduate- and MBA-level), Principles ofMicroeconomics.Teaching Assistant, Department of Economics, U.C. Berkeley, 1990-1996.Courses taught: International Monetary Economics, Intermediate Macroeconomics, Principles ofEconomics, Industrial Organization, World Economic History, Intermediate Microeconomics.Teaching Assistant, Haas School of Business, U.C. Berkeley, 1996-1997.Course taught: Intermediate Macroeconomics.Research Assistant, Department of Economics, U.C. Berkeley, 1993-1996.Empirical data research with Professors Jeffrey Frankel and David Romer on the effect of trade onincome.STUDENTS SUPERVISED:supervisor: (note: individual student names have been removed)Student 1 M.D.E. 2008Student 2 M.D.E. 2001Student 3 M.A. 2005Student 4 M.D.E. 2006Student 5 M.D.E. 2002Student 6 M.D.E. 2003Student 7 M.D.E. 2003

Student 8 M.D.E. 2006Student9 M.D.E. 2006Student10 M.A. 2003Student 11 B.Sc. (honours) 2002Student 12 B.A. (honours) 2004Student 13 B.A. (honours) 2006Student 14 B.A. (honours) 2002Student 15 B.Sc. (honours) 2008Student 16 B.A. (honours) 2003Student 17 B.Sc. (honours) 2000reader: (note: individual student names have been removed)Student A M.D.E. 2001Student B M.D.E. 2001Student C M.A. 2004Student D M.A. 2005Student E M.D.E. 2004Student F M.D.E. 2005Student G M.A. 2003Student H M.D.E. 2003Student I M.D.E. 2004Student J M.A. 2005Student K M.D.E. 2003Student L M.A. 2000Student M M.D.E. 2003Student N M.D.E. 2008Student O M.A. 2004Student P M.A. 2005Student Q M.A. 2004PUBLICATIONS IN PEER-REVIEWED JOURNALS:“The Double-Edged Sword of Trade” (with Lynn Lethbridge and Lars Osberg), Eastern Economic Journal33:2, 2007, 277-292.“Investor Protection and International Investment Positions: An Empirical Analysis” (with Talan Iscan andSheena Starky), International Finance 9:2, August 2006, 197-221.“Does Convergence Cause Trade, or Does Trade Cause Convergence?,” Journal of International Tradeand Economic Development 13:4, December 2004, 397-418.“Income in the Gravity Model of Bilateral Trade: Does Endogeneity Matter?,” The International TradeJournal XVI:2, Summer 2002, 161-180.205

BOOK CHAPTERS:“Cross-Border Cooperation: The North American Context,” in Cross-Border Cooperation, NationalAcademy of Public Administration, Office of the President of Ukraine, Barry Lesser and Ivan Rozputenko(eds.), 2003, 76-94.“Trade and Growth,” in Economic Issues: Theory and Application with Reference to Ukraine, Canada-Ukraine-Baltic Economic Management Training Program, Barry Lesser and Ivan Rozputenko (eds.), 2002,83-94.“Poverty Impacts of Trade, Macroeconomic, and Social Policy: Canada and the United States in the1990s” (with Lars Osberg), in Incomes and Productivity in North America, Commission for LaborCooperation (Washington, D.C.), 2001, 53-118.“Trade and Growth in East Asian Countries: Cause and Effect?” (with Jeffrey Frankel and David Romer),in NICs After Asian Miracle, New World Order Series, Vol. 23, H. Singer, N. Hatti, and R. Tandon (eds.),BR Publishing Corporation (India) Ltd., 2000 and NBER Working Paper No. 5732, August 1996.GOVERNMENT REPORTS:“Trade Agreements, the Health-Care Sector and Women’s Health” (with Lori Curtis), Status of WomenCanada Report, Catalogue No. SW21-113/2004, August 2004.BOOK REVIEWS:“Book review: Bertil Ohlin: A Centennial Celebration,” Journal of International Trade and EconomicDevelopment 12:3, September 2003, 316-18.TEACHING-RELATED PUBLICATIONS:Principles of Macroeconomics: First Canadian Edition, Chapters 16 (“International Trade and CapitalFlows”) and 17 (“Exchange Rates and the Open Economy”), co-authored with Robert Frank, BenBernanke, Melvin Cross, Brian MacLean, and Lars Osberg, McGraw-Hill Ryerson, 2002.Instructor’s Manual to Accompany Frank, Bernanke, Cross, MacLean, and Osberg, Principles ofMicroeconomics: Second Canadian Edition and Frank, Bernanke, Cross, MacLean, and Osberg,Principles of Macroeconomics: Second Canadian Edition, McGraw-Hill Ryerson, 2005.OTHER PUBLICATIONS:“U.S. Economic Sanctions: Their Impact on Trade, Jobs, and Wages” (with Gary C. Hufbauer, KimberlyAnn Elliott, and Elizabeth Winston), Institute for International Economics Report, 1997.WORKING PAPERS:“Why Do National Borders Matter? Industry-Level Evidence,” [September 2004].206

“Is Globalization Good for Women? Evidence from Vietnam” [August 2004].“Is Trade Good for Women?” [May 2003].“How Does Trade Affect Health?” (with Lori Curtis), Dalhousie University Department of EconomicsWorking Paper No. 2002-05, September 2002.RESEARCH FUNDING:Dalhousie University Research Development Fund grant ($3,210): “Is Globalization Good for Women?Evidence from Vietnam.”Status of Women Canada research grant (with Lori Curtis) ($25,500): “Trade Agreements, the Health CareSector, and Women’s Health.”CONFERENCE PRESENTATIONS:Discussant, Canadian Economics Association Annual Conference, Vancouver, June 8, 2008.“Trade Liberalization and the Gender Wage Gap: Evidence from Vietnam,” Canadian EconomicsAssociation Annual Conference, Vancouver, June 6, 2008.“Wage, Employment, and Gender Effects of Vietnam’s Transition to a Market Economy,” Atlantic CanadaEconomics Association Annual Conference, Antigonish, October 13, 2007.Discussant, Empirical Investigations in International Economics Conference, Ljubljana, Slovenia, June 14,2007.Discussant, Canadian Economics Association Annual Conference, Halifax, May 31-June 2, 2007.“Wage, Employment, and Gender Effects of Vietnam’s Transition to a Market Economy,” CanadianEconomics Association Annual Conference, Halifax, June 1, 2007.Discussant, Empirical Investigations in International Trade Conference, Banff, October 6, 2006.“The Role of Trade in Income Convergence,” Canadian Economics Association Annual Conference,Montreal, May 26, 2006.Discussant, Canadian Economics Association Annual Conference, Montreal, May 26, 2006.“Vietnam’s Gender Wage Gap in an Era of Renovation,” Atlantic Canada Economics Association AnnualConference, Halifax, October 22, 2005.Discussant, Atlantic Canada Economics Association Annual Conference, Halifax, October 23, 2005.“Vietnam’s Gender Wage Gap in an Era of Renovation,” International Association for FeministEconomics Annual Conference, Oxford, August 7, 2004.207

“Is Globalization Good for Women? Evidence from Vietnam,” Canadian Economics Association AnnualConference, Toronto, June 5, 2004.Discussant, Institute for Research on Public Policy Conference on “Thinking North America: Prospectsand Pathways,” October 16-18, 2003.“Is Trade Good for Women?,” Canadian Economics Association Annual Conference, Ottawa, May 30,2003.“How Does Trade Affect Health?,” Canadian Economics Association Annual Conference, Calgary, May31, 2002.Discussant, Policy Research Initiative Conference on “canada@theworld.ca,” Ottawa, November 30–December 1, 2000.Discussant, Policy Research Initiative Conference on “Rethinking the Line: The Canada-U.S. Border,”Vancouver, October 22–25, 2000.“Why Do National Borders Matter? Industry-Level Evidence” (revised), Canadian Economics AssociationAnnual Conference, Vancouver, June 2, 2000.“Policy Implications of the Canada-U.S. Border,” New Perspectives on Canada’s International Policies,Norman Paterson School of International Affairs, Carleton University, May 4-5, 2000.“Trade and Income Differences: Does Convergence Cause Trade, or Does Trade Cause Convergence?,”Western Economic Association Annual Conference, San Diego, California, July 10, 1999.Discussant, Western Economic Association Annual Conference, San Diego, California, July 10, 1999.“Trade and Income Differences: Does Convergence Cause Trade, or Does Trade Cause Convergence?,”Canadian Economics Association Annual Conference, Toronto, May 30, 1999.Discussant, Canadian Economic Association Annual Conference, Toronto, May 30, 1999.“Why Do National Borders Matter? Industry-Level Evidence,” Western Economic Association AnnualConference, Lake Tahoe, California, July 1, 1998.Discussant, Western Economic Association Annual Conference, Lake Tahoe, California, July 1, 1998.“Income in the Gravity Model of Bilateral Trade: Does Endogeneity Matter?,” Western EconomicAssociation Annual Conference, San Francisco, California, July 1, 1996.SEMINARS AND INVITED LECTURES:“Trade Agreements, the Health-Care Sector, and Women’s Health” presented at:208

• 6 th General Assembly of the Parliamentary Confederation of the Americas, Foz do Iguaçu, Brazil,May 10, 2005.“Vietnam’s Gender Wage Gap in an Era of Renovation” presented at:• Organization for Economic Cooperation and Development, Paris, France, August 9, 2004.“How Does Trade Affect Health?” presented at:• Dalhousie University Social Policy, Health, and Economic Research Unit, May 22, 2002.“Why Do National Borders Matter for Agricultural Trade?” presented at:• University of Saskatchewan Department of Agricultural Economics, March 2, 2001.“Poverty Impacts of Trade, Macroeconomic, and Social Policy: Canada and the United States in the1990s” presented at:• Dalhousie University Department of Economics, February 18, 2000.“Why Do National Borders Matter? Industry-Level Evidence” presented at:• Inter-American Development Bank, Washington, DC, April 3, 1998.• Dalhousie University Department of Economics, March 17, 1998.• Baruch College Department of Economics, City University of New York, New York, March 9,1998.• General Accounting Office, Washington, DC, February 3, 1998.• Saint Louis University Department of Economics, St. Louis, Missouri, January 20, 1998.• Loyola University Department of Economics, Chicago, November 10, 1997.• DePaul University Department of Economics, Chicago, November 3, 1997.“Trade and Income Differences: Does Convergence Cause Trade, or Does Trade Cause Convergence?”presented at:• Dalhousie University Department of Economics, March 26, 1999.• Public Policy Institute of California, January 30, 1997.• Wellesley College Department of Economics, Wellesley, Massachusetts, January 22, 1997.• College of William and Mary Department of Economics, Williamsburg, Virginia, January 20,1997.• Middlebury College Department of Economics, Middlebury, Vermont, January 17, 1997.TEACHING AWARDS AND RECOGNITION:Dalhousie University Economics Department Teaching Award, 2004.Listed in Maclean’s Guide to Canadian Universities 2004 and 2005 as one of Dalhousie’s “PopularProfs.”Nominated for Dalhousie University Faculty of Science Teaching Award, 2004.Nominated for Dalhousie University Faculty of Science Teaching Award, 2003.AFFILIATIONS:American Economic AssociationCanadian Economics Association209

Canadian Women Economists NetworkPROFESSIONAL SERVICE:Referee for:American Economic ReviewB.E. Journals in Economic Analysis and PolicyEmerging Markets Finance and TradeGlobal Economy JournalJournal of Development EconomicsJournal of International EconomicsJournal of International Trade and Economic DevelopmentCanadian Journal of EconomicsEconomic SystemsJournal of Economic EducationInternational Economic JournalB.E. Journals in Economic Analysis & PolicyBaltic Economic Management Training ProgramInstructor – 1999 Major Training Course, Canada.Instructor – 1998 Major Training Course, Canada.Canada-Ukraine-Baltic Economic Management Training ProgramInstructor – 2003 Training Course in International Economics, Kiev, Ukraine.Instructor – 2001 Training Course in International Economics, Kiev, Ukraine.Invited to make a presentation on cross-border trade and a common North American currency before theHouse Standing Committee on Foreign Affairs and International Trade, Halifax, February 26, 2002.Canadian Women Economists NetworkPresident, 2006–2008.Member-at-Large, Executive Council, 2000–2004.UNIVERSITY SERVICE:Department of Economics:Undergraduate Advisor, 2004–2006, 2007–.Member, Personnel Committee, 2002–2004, 2008–.Member, Academic and Financial Planning Committee, 1999–2002, 2004–2006, 2007–.Member, Department Self-Study Committee, 2005.Seminar Coordinator, 2000–2004.Chair, Physical Resources Committee, 1999–2002.Member, Physical Resources Committee, 1998–1999.Member, Undergraduate Advisory Committee, 1998–1999.Faculty of Science:Member, Curriculum Committee, 2005–2006, 2007–.210

Chair, Travel Advisory Committee, 2001–2003.Member, Travel Advisory Committee, 2000–2001.Member, Space Planning Committee, 2001–2003.Member, Department of Psychology Chair Selection Committee, Fall 1998.Faculty of Management:Member, MBA(FS) Advisory Committee, 2008–.College of Arts and Science:Member, Writing Across the Curriculum Committee, 2000–2003.Senate:Member, Senate Discipline Committee, 2008–.Member, Ombudsperson Advisory Committee, 2001–2006.last updated 3 September 2008211

January, 2008Curriculum VitaeName:Address:Iraj FooladiSchool of Business AdministrationKenneth C. Rowe Management BuildingDalhousie UniversityA. ACADEMIC AND PROFESSIONAL QUALIFICATIONS:Education:Ph.D. University of Oregon 1981M.S. Economics, University of Oregon 1981M.A. Economics, University of Tehran, Iran 1976B.S. Economics, National University of Iran 1970Fields of Specialization and Research Interests:Financial Management/Corporate FinanceInvestment/Portfolio ManagementFinancial InstitutionsRisk and UncertaintyB. WORK EXPERIENCE:Main Academic Positions1997 – Present The Douglas C. Mackay Chair in Finance, Schoolof BusinessAdministration, Dalhousie University1986-2004 Area Co-ordinator, Finance Area Group1991 - 1997 Professor of Finance, School of BusinessAdministration, Dalhousie University1986-1991 Associate Professor of Finance, School of Business Administration, DalhousieUniversity1982-1986 Assistant Professor of Finance, School of BusinessAdministration, Dalhousie University1981-1982 Assistant Professor of Economics, Department of Economics, University ofOregon212

Visiting and honorary Positions / Other Relevant Experience2007 – 2008 President, Administrative Sciences Association of Canada.2007 – 2008 President Elect, Administrative Sciences Association of Canada and the 2008ASAC Conference Chair.Fall 2007Winter 2004Visiting professor, Department of Finance, Carroll School of Management,Boston College.Visiting professor, Department of Finance, Carroll School of Management,Boston College.2000 - 2001 Visiting professor, Department of Finance, DePaul University.Summer 1995Spring 1994Winter 1994Fall 1993Spring 1990Visiting China in order to teach the corporate executives in three cities ofXiamen, Haikou, and ShenzhenVisiting Position at Victoria University of Wellington, Wellington, NewZealand; Research and teaching in Investment.Visiting Position at University of the Philippines, Manila, Philippines; Researchand teaching at the "Doctoral Program for the South East Asia".Visiting Position at Victoria University of Wellington, Wellington, NewZealand; Research and teaching in Capital Budgeting.Taught an Executive MBA Course in Corporate Finance, University ofWest Indies, Kingston, Jamaica1989-1990 Associate professor of Finance, College of Business Administration, ThePennsylvania State University (on leave from Dalhousie).1978-1981 Lecturer in Economics, University of Oregon.1977-1978 Research Assistant, University of Oregon, academic year conducted research ofprediction models for U.S. timber product import.Summer 1979Econometrician (Consultant), Oregon Department of Energy, workingon demand projection for energy for the State of Oregon.1973-1976 Economist, Economics Department, Agricultural Development Bank of Iran,Iran (A.D.B.I.). Prepared demand and supply forecasts for a wide variety ofagricultural products. Conducted feasibility studies for various agriculturalprojects. Drafted large sections of the Bank's annual report.1970-1972 Instructor, mathematics, Iranian Air Force School.ConsultingConsulted the Ontario Council of Graduate Studies in evaluating two proposed Master Programs (Master ofFinance and MSc. In management) at the WLU, June 2007.Consulted the New Zealand government (Debt Management Office, Treasury) in Measuring the Sensitivityof its assets to interest rate shocks, January - July 1993.213

Frequently consulted Canadian Corporations (mainly in Nova Scotia) on their capital budgeting decisionsvia students' projects from 1984 to 1996 (averaging 7-8 cases per year). Information on these cases isavailable upon requestFrequently teaching in the Professional Banking Program of the Institute of Canadian Bankers, 1997-2001.Consulting and teaching the bankers associated with the Wealth Management and Personal Financeprograms of the Saudi Arabian Monetary Agency (SAMA) through their Institute of Bankers.Occasionally Consulting Canadian Companies on their Investment Strategies (Recent example; MaritimeLife)C. HONOURS, AWARDS, AND SCHOLARSHIP:A. Gordon Archibald Teaching Excellence Award, 2007-2008.President, Administrative Sciences Association of Canada, 2008-2009.President-Elect, Administrative Sciences Association of Canada, 2007.Best paper award in the category of Fixed Income Research by the Financial Management Association,1989Best paper award the Western Economic Association, 1981.Passed with distinction, the qualification exam for the Ph.D, 1978.Scholarships from the University of Oregon for the Ph.D. work, 1977-1981.Scholarships from the Agricultural Development Bank of Iran for the PhD, 1977-1981.Scholarships from the Agricultural Development Bank of Iran for the MA in Economics, 1975-1976.Scholarships from the Iranian National Oil Company for junior high, high school, and undergraduatedegrees,1960 - 1970.Research Grant:Social Science and Humanities Research Council of Canada, “Three-Year Publication Grant” With MaryBrooks, November 2004 ($70,826)Social Science and Humanities Research Council of Canada, “Three-Year Publication Grant” With PhilipRosson, March 2002 ($61,774)Dalhousie University School of Business Research Funds, Duration Strategies and Risk Management ofGovernment Organizations, 1999 ($3500)Social Science and Humanities Research Council of Canada, "Duration Matching Techniques andstochastic models of decision making " April 1998 ($31,700)214

Dalhousie University Research Development Funds, Immunization Strategies for Non-Default-Free Bonds,1995 ($1550)Canadian International Development Agency, China's High-tech Industries; Their Social, Political andEconomic Impact. December 1992 ($1,700)Centre for International Business, Dalhousie University, An Evaluation of China's Open Door Policy 1992($3,500)Dalhousie University Research Development Funds, How does China Cope with the Problems Caused bythe Recent Economic Developments, 1992 ($2,200)Canadian International Development Agency, Special Economic Zone, the Case of Xiamen. May andJune of 1992 ($8,851).Social Science and Humanities Research Council of Canada, "How Financial Markets and EconomicAgents Cope with Risk" April 1992 ($24,000)Dalhousie University Research Development Funds, Heiner's Model and Event Studies, May 1991 ($2,175)Social Science and Humanities Research Council of Canada, "Studies on Bond Markets in Canada" (withG. Roberts). Awarded March 1990 ($23,000).Financial Research Foundation of Canada, "Bond Portfolio Duration Strategies" (With Gordon Roberts).Awarded February 1990 ($7,000).Social Science and Humanities Research Council of Canada, "Bond Portfolio Strategies" (with G. Roberts).Awarded May 1987 ($7,000).Courseware Development Project of S.O.B.A., Dalhousie University, " Council of Canada, "The Responseof Preferred Shares to Unexpected Changes on Common Stock dividends," Awarded April 1986 ($9,875).Canada Council, Dalhousie University Research Development Funds "Canadian Options Market's Reactionto Dividend Announcement: An event Study," Awarded November 1986 ($1,850).Canadian Life and Health Insurance Association Inc., "Risk Management and Insurance," Awarded August1986 ($5,000).Social Science and Humanities Research Council of Canada, "The Response of Preferred Shares toUnexpected Changes on Common Stock dividends," Awarded April 1986 ($9,875).Natural Science and Engineering Research Council of Canada, "Decision Making Under Uncertainty, II,"Awarded April 1986 for two years ($11,184).Natural Science and Engineering Research Council of Canada "Ethernet Communications Between VAXResearch Computer Systems", an Equipment Grant with Michael Dempster (Main Investigator) and 11investigators including Fooladi. Awarded April 1986 ($47,181).Natural Science and Engineering Research Council of Canada "Decision Making Under Uncertainty I,"Awarded April 1985, one year ($6,774).215

Canada Council, Dalhousie University Research Development Funds "Preferred Shareholders andDividend Announcements," Awarded September 1985 ($1,550).Canada Council, Dalhousie University Research Development Funds, "On Modern Portfolio Theory withCall Writing as a Substitute for Short Selling," Awarded 1984 ($750).Forestry Department of Oregon, "Prediction Models of U.S. Timber Product Imports," (with RonaldRipple, $5,000).Agricultural Development Bank of Iran, a grant for joining a workshop on "Small Scale IndustryFinancing," S.I.E.T. Institute, India (about $12,000).D. PROFESSIONAL ACTIVITIES AND SERVICES:Editorial ActivitiesCo-editor, Canadian Journal of Administrative Sciences, Jan. 2000 – Dec. 2005.Associate Editor, Journal of Applied Finance, 2002 - presentAssociate Editor, Studies in Economics and Finance, 2000 - presentEditorial Board member, Workplace Review, 2006 - presentGuest Editor, a special issue on “Fixed Income Securities and Term Structure of Interest Rate”,Canadian Journal of Administrative Sciences, June 2000.Refereeing, on ad-hoc basis, for:The American Economic ReviewJournal of Banking and FinanceJournal of Financial and Quantitative AnalysisJournal of Financial ResearchFinancial ManagementFinancial Practice and EducationFinancial ReviewJournal of Applied FinanceJournal of Business Finance and AccountingCanadian Journal of Administrative SciencesSocial Sciences and Humanities Research Council of CanadaNatural Sciences and Engineering Research Council of CanadaAdministrative Sciences Association of CanadaAtlantic Schools of Business Conference ProceedingsProfessional Associations:American Finance AssociationFinancial Management AssociationEuropean Finance AssociationEuropean Financial Management Association216

Western Economic AssociationAtlantic Economic AssociationAdministrative Sciences Association of CanadaNorth American Economics and Finance AssociationOrganizing Programs/ConferencesProgram Track Chair, Investment Track. Midwest Finance Association, 2009, Chicago.Program Chair “51stth Annual Conference of the Administrative Sciences Association ofCanada,” May 2008, Halifax, Canada.Member, Program Committee on the “12th Annual Conference of the Global FinanceAssociation,” June 2005, Dublin, Ireland.Member, Program Committee on the “11th Annual Conference of the Global FinanceAssociation,” April 2004, Las Vegas.Member, The Program Committee of the 2002 annual “Finance Management Association EuropeMeetings.”Member, The Organizing Committee of the 2000 annual “Midwestern Finance AssociationMeetings.”Member, The Executive Committee of the “Seventh Annual Global Finance Conference”, April19-22, 2000, ChicagoMember of the adjudicating for the best paper award at the “Seventh Annual Global FinanceConference”, April 19-22, 2000, ChicagoMember, Program Committee on the “1998 Annual Meetings of the Mid-West FinanceAssociation.”Canadian Representative of the Financial Management Association’s International StudentChapter Committee. 1997 – 2000.Member, Program Committee On the “1997 Annual Conference of the Global FinanceAssociation,” Montreal.Member, Program Committee on the “1993 Annual Conference of the Financial ManagementAssociation,” Toronto.Co-Program Chair of the Northern Finance Association Annual Meeting of 1993.Finance Program Chair and the Editor of the Proceedings for the 1988 Annual Meeting ofAdministrative Science Association of Canada.Program Chair and Editor of the Conference Proceedings (Finance Section) for 1985 AtlanticSchool of Business Conferences.Community Services and Services to The University:Chairman of the Board of Directors, Iranian Cultural Society, November 2002-December 2004.217

Servicing Graduate Students:2008: Ph.D. Member of the Dissertation Committee (the External Reviewer) for Dr. Bin Chang,Rothman School of Management, University of Toronto. The dissertation title: “Information Infinancial Markets”2004: Ph.D. Member of the Dissertation Committee (the External Reviewer) for Dr. Eve Trudel,Concordia University. The dissertation title: “Essays inclosed-end Funds.”1999: Ph.D. Member of the Dissertation Committee (the External Reviewer) for Dr. Gady Jacoby, YorkUniversity. The dissertation title: “Three Essays on Defaultable Fixed-Income Securities.”1998: MSc. Member of the Dissertation Committee (the Outside Reader) for Mr. James AtsuAmegashie, Dalhousie University. The dissertation Title: “The Efficiency Implications ofShortlisting in Economic Contests.”1997: Ph.D. Member of the Dissertation Committee (the External Reviewer) for Dr. Howard Nemiroff,Concordia University. The dissertation title: “Price Discovery Around Canadian Equity TradingHalts Using Intraday Data.”1987: MSc. Member of the Dissertation Committee (the outside reader) for Mr. PerrySmith, Dalhousie University. The dissertation Title: “An Assesment of Portfolio Insurancein Today’s Portfolio Management; A Canadian Study.”University Committees: (Present committees are in bold)- Member of the Senate Committee for honorary degrees- Member of the Dalhousie Investment Committee, 2001-present.- Member of the Dalhousie Pension Trust Fund Committee, 2001-present.- Member of the Dalhousie Retirees’ Trust Fund Committee, 2001-present.- Member, Senate Tenure and Promotion Appeal Committee, 1995 – Present- Member, MBA (Financial Services) Committee, 1994 - 2000, 2001 – 2004, and the present.- Member, Research and Visiting Speakers Committee, School of Business Administration, 1998-present.- Member, Selection Committee for the Director of School of Business, 2006.- Member, Dean’s Selection Committee, Faculty of Management, 2006.- Area Coordinator, Finance, July 1986-January 2000. and 2001 – 2003.- Member, The School Council Committee, 2002-2004.- Member, The Ad hoc Committee on Integrating Core Courses for the MBA Program, 2003.- Member, The Ad hoc Committee on Admission Policy for International MBA Students, 2002.- Member, The Workload Committees, Faculty of Management 2002.- Member, Review of the Black Chair, Faculty of Management 2002.- Member, Committee to Establish the Center for Risk Management, Faculty of Management 2002.- Member, MBA Curriculum Committee, 1990 - 2002.- Member, Faculty of Graduate Study’s Review Committee, 1999-2000.- Faculty of Management Representative in Senate, 1997 - 2000.- Member, School of Business Administration Council, 1998-2000.- Member, Dean’s Selection Committee, Faculty of Management, 1999.- Member, Faculty of Graduate Studies Council, 1994 - 1997.- Member, Faculty of Graduate Studies Curriculum Committee, 1994 - 1997.- Chairman, Dalhousie Retiree's Trust Fund Committee, 1992 - 1993.- Member, Dalhousie Retiree's Trust Fund Committee, 1990 - 1992.- Member, Dalhousie Investment Committee, 1990 - 1993218

- Chairman, Graduate Curriculum Committee 1990 - 1992 (during 1990-91 academic year, thisCommittee was in charge for a major revision in the MBA Curriculum Committee, implementationeffective 1992.)- Member, Task Force Committee for Designing the Continuous MBA Program Summer 1995- Member, Dean’s Review Committee, Faculty of Management, 1992- Member, Faculty of Management's, Rank, Appointment, and Tenure Committee, 1991 -1995.- Member, School of Business Administration's Rank, Appoints, and Tenure Committee 1990 - 1991.- Chairman, Research Committee 1983-86.- Member, Research Committee 1986-1988.- Organizer of Seminar Series and Visiting Speakers, School of Business Administration, 1983-86.- Member, The Academic Appeals Committee 1985-86.- Member, Graduate Admissions and Scholarship Committee 1986-87.- Member, Undergraduate Admission and Scholarship Committee 1986-89.- Member, Courseware Development Project Steering Committee 1987-89.- Member, Graduate Curriculum Committee 1986-present.- Member, Senate Investment Committee 1987-88.- Consultant for Dalhousie's "Saving Suggestion Plan" 1984-85.- Examiner, Perry Smith, dissertation for a Master degree in Economics, 1986.D. CONTRIBUTION TO AN ACADEMIC DISCIPLINE:Refereed PublicationsPapers:“Complexity of information and trading behavior: The case of dividend increase announcements” withFatemi, A., and Sanjay Deshmukh, Journal of Economics Psychology, leading article, 29, 1, 2008, 1 – 18.“Duration Analysis: An Historical Perspective” with Gerald O. Bierwag, Journal of Applied Finance, 16, 2,2006, 144-160.“Domestic Elasticity of Default-Free Foreign Bonds” with G. Jacoby, G. S. Roberts, and Z. Wiener,Journal of Applied Finance, 16, 2, 2006, 174-182.“Corporate International Diversification: Evidence From Canada” with Ali Fatemi, The InternationalJournal of Finance, 2006, 18, 2, pp. 3935 - 3952.“Globalization and Portfolio Risk over Time: The Role of Exchange Rate” with John Rumsey, Review ofFinancialEconomics, 15, 2006, 223 – 236.“Credit Risk Management: A Survey of Practices” with Ali Fatemi, Journal of Managerial Finance, 32, 3,2006, 227- 233.“Macrohedging For Financial Institutions: Beyond Duration” with Gordon Roberts, Journal of AppliedFinance, 2004, 14, 1, 11-19.“Is Entrepreneurship Only About Entering A New Business” with Nargess Kayhani, The Journal ofEntrepreneurial Finance & Business Ventures, leading article, 2003, 8, 2, 1-11.“Is Exchange Rate Volatility a Deterrent To International Diversification,” with John Rumsey, Journal ofApplied Finance, 2002, 12, 2, 7-13.“Emerging Markets and Financing with Preferred Stocks: The Case of Pacific Rim Countries," Journal ofManagerial Finance, 2002, 28, 2, 66-79.219

“Risk Management with Duration: Potential and Limitations,” with Gerald O. Bierwag and Gordon S.Roberts, Canadian Journal of Administrative Sciences, 17.2, June 2000, 126 - 142“Risk Management with Duration Analysis,” with Gordon Roberts, Journal of Managerial Finance, 26:32000, pp.18-28“Duration Analysis and its Applications: A Review,” with Gordon Roberts, Finance, Économie,Compatabilité, invited paper, 3, No. 1,1997, 1 – 39.“Duration for Bonds with Default Risk,” with Gordon Roberts and F. Skinner, Journal of Banking andFinance, leading article, 21, 1997, 1-16."Designing An Immunized Portfolio: IS M-Squared The Key," with G.O. Bierwag and G.S. Roberts,Journal of Banking and Finance, 17.3, 1993. 1147-1170"Bond Portfolio Immunization: Canadian Tests," with G.S. Roberts, Journal of Economics and Business,leading article, 44, No. 1, 1992, pp. 3-17."Random Cost Function and Production Decisions" with N. Kayhani, Eastern Economic Journal Vol.XVII, No. 2, April - June 1991."Preferred Stock and Taxes," with G. Roberts, Journal of Business Finance and Accounting, Vol. 18, No. 1,January, 1991."Profit Tax and Output Level Under Uncertainty," with N. Kayhani Atlantic Economic Journal, Vol.XVIII, No. 1, March 1990."How Effective are Duration-Based Bond Strategies in Canada" with G. Roberts, Canadian InvestmentReview, Vol. 2, No. 1, Spring 1989."Dividend Changes and Preferred Stock Returns," with Gordon Roberts International Journal of Finance,invited paper Vol. 1, No. 1, Autumn, 1988, 96-112."Preferred Share Rules Freeze Out the Individual Investor" with P. McGraw and G. Roberts, CA Magazine,April, 1988."The Effect of a Proportional Profit Tax on Output Level under Uncertainty," Atlantic Economic Journal,Vol. XIV, No. 4, December 1986."Entry Into Competitive Industries as Affected by Risk Aversion," Journal of Managerial Finance, Vol.12, No. 3, 1986."Captive Finance Subsidiaries: Overview and Synthesis" with G. Roberts and J. Viscione, The FinancialReview, invited paper May 1986, 259-275."On Preferred Stocks," with Gordon Roberts, Journal of Financial Research, Vol. IX, No. 4, Winter, 1986."A General Theory of the Competitive Firm Under Uncertainty," Atlantic Economic Journal, Vol. XIII,No. 3, September 1985."Financial Research: The Last Ten Years; The Next Ten Years," with L. Kryzanowski and G. Roberts, achapter in Selected Reviews in 10 Management Disciplines, ASAC, 1989.220

"Dividend Reinvestment Plan in Canada - A Survey," with Cecil Dipchand, the Journal of Cost andManagement, September-October 1984.Refereed Conference Proceedings:“Real and Nominal Duration: A Multi-dimension Hedging Strategy,” in Proceeding of the 36 thAnnual ASAC Conference, Halifax, Nova Scotia, May 24 – 27, 2008.“The Relative Valuation of Socially Responsible Firms: An Explanatory Study,” with Ali Fatemiand David Wheeler, an abstract in Critical Perspective on Health, Climate Change andCorporate responsibility, Proceedings of the 13 th Annual International Sustainable DevelopmentResearch Conference, June 10 – 12, 2007.“How do Shares of Canadian Multinationals Perform Compared To Those of Their DomesticCounterparts,” with Ali Fatemi, in Shifting Business Practice and Paradigms, proceedings of the35 th Atlantic Schools of Business Conference, Halifax, Nova Scotia, October 2005.“Is the Oil and Gas Industry a Good Hedge Against Political and/or Economic Risk: TheCanadian Case”, with Ramon Baltazar and Michael Santos, in Navigating the Global Tides ofChanges: Global Business in the New Century, proceedings of the 33rd Atlantic Schools ofBusiness Conference, Dartmouth, Nova Scotia, October 2003.“What Should We Tell Our Students About International Diversification And Exchange RateVolatilities,” with John Rumsey, 2001 Atlantic Schools of Business Conference, Halifax."Does Preferred Share Have a Role in Financing Projects in Emerging Markets" with A. Fatemiand N. Kayhani, in A Management Odyssée, Proceedings of the Annual Meeting of theAdministrative Sciences Association of Canada, May 2001.“Risk Management with Duration” with Gordon Roberts. 1999 Atlantic Schools of Business Conference,Halifax. Electronic proceeding."An Investigation Into What Causes a Greater Rate of Bankruptcies in Canada Over the United States" withC. Dipchand and J. Osteryoung in University and Community: The Role of Business Schools in CreatingJobs, 1995 Conference Proceeding of A.S.B.C., November, 1995."Duration for Corporate and Provincial Bonds with Default Risk" with G. Roberts and F. Skinner, inProceedings of the Annual Meeting of the Administrative Sciences Association of Canada, May 1993."Is the Stock Market Equally Efficient for All Securities," in Business and Education: A Partnership,proceedings of the 21st Annual Atlantic Schools of Business Conference, November 1991."How the 1987 Tax Law Affects Preferred Shares" with P. McGraw and Gordon Roberts, Fostering Cooperationto Ensure Prosperity for Atlantic Canada: Business, Government, and the UniversityConference Proceeding of the 20th Annual A.S.B.C., November 1990."Bond Portfolio Immunization: Canadian Tests," with Gordon Roberts, Conference Proceedings of 17thAnnual Meeting of the European Finance Association, August 1990, Athens. Also an earlier version waspresented at the ASAC in 1987.221

"An Anatomy of Bond Returns," with G.S. Roberts, Service Industries: Focusing on 80% of AtlanticCanada's Business, Conference Proceedings of the Nineteenth Annual A.S.B.C., 1989."Designing an Immunized Portfolio: Is M-squared the Key?" With G.O. Bierwag and G.S. Roberts,Conference Proceedings of 16th Annual Meeting of the European Finance Association, August 1989,Stockholm."New Tax Law and the Issue of Preferred Shares", with G. Roberts, Conference Proceeding of the ASAC,June 1989, Montreal."The Response of Preferred Shares to Unexpected Changes in Common Stock Dividends," with G. Roberts,Conference Proceedings of the ASAC, June 1988, Halifax."On Preferred Stock Issued by Unregulated Firms in Different Countries," with Gordon Roberts,Conference Proceedings of 13th Annual Meeting of the European Finance Association, August 1986,Dublin, Ireland (International)."Why Do Unregulated Firms Issue Preferred Stock? A Note," With Gordon Roberts, ConferenceProceedings of the ASAC, May 1985."On Preferred Stocks", with Gordon Roberts, Issue and Challenges For Atlantic Business in 1990's: HowCan Business Schools Contribute?, Conference Proceedings of the fifteenth annual A.S.B.C., 1985."Captive Finance Subsidiaries: Overview and Synthesis," with G. Roberts and J. Viscione, Issue andChallenges For Atlantic Business in 1990's: How Can Business Schools Contribute? ConferenceProceedings of the fifteenth annual A.S.B.C., 1985."A Note on Increasing Risk & Its Effect on Choice," Atlantic Canada Resources Management: Issues andAnswers, Conference proceedings of the 14th Annual A.S.B.C., 1984.Books, Monographs, Chapters in Books, and other Manuscripts:“The Relative Valuation of Socially Responsible Firms: An Exploratory Study” with A. Fatemi and D.Wheeler, in Finance for a Better World - The Shift Toward Sustainability, Palgrave Macmillan 2008,forthcoming.Fundamentals of Investment and Capital Markets, Financial Advisory Program of the Institution ofBankers, Saudi Arabia, August 2008.“Duration Analysis And Its Application, ” with G. Roberts in Encyclopedia of Finance, Springer Sciences+ Business media Inc., 2006.Iraj J. Fooladi, Advanced Corporate Finance, fourth edition, Henson College, Dalhousie University, 2005,for the bankers registered in the MBA (Financial Services) ProgramIraj J. Fooladi, Advanced Corporate Finance, third edition, Henson College, Dalhousie University, 2002,for the bankers registered in the MBA (Financial Services) ProgramIraj J. Fooladi, Advanced Corporate Finance, second edition, Henson College, Dalhousie University, 2000,for the bankers registered in the MBA (Financial Services) ProgramIraj J. Fooladi and Gordon S. Roberts, Financial Risk Assessment and exposure, 1999222

Iraj J. Fooladi, Advanced Corporate Finance, first edition, Henson College, Dalhousie University, 1997,for the bankers registered in the MBA (Financial Services) ProgramIraj J. Fooladi, Finance, Manual for Using at CCMEP Executive Workshop in China, July 1995Bierwag, G.O., Fooladi, I., and Roberts, G.S., "Managing the Crown's Assets and Liabilities, Phase I:Duration Measures for The Crown's Asset," July 1993.Finance, Proceeding of Administrative Science Association of Canada, Vol. 9/Part 1/1988. Editor."Finance" a chapter in Issues and Challenges For Atlantic Business in 1990's: How can Business SchoolsContribute?, Proceedings of A.S.B.C., November 1985. Editor."The Theory of the Firm Under Uncertainty." Doctoral Dissertation, University of Oregon, 1981."Testing the Hypothesis of Having Constant Income Elasticity of Demand for Eggs." Working Paper,University of Oregon, 1981."Prediction Models of U.S. Timber Product Imports" with R. Ripple, Prepared for the Forestry Departmentof Oregon, 1980."A Demand Projection for Major Foods in Iran by the End of the Sixth Plan." Master's Thesis, Universityof Tehran, 1975."Japan's Development and the Third World." National University of Iran, 1971.Notes, Summaries, Abstracts:"Designing An Immunized Portfolio: Is M-Squared The Key," a summary, with G.O. Bierwag and G.S.Roberts, Financial Management Collection, Vol. 5, No. 1, Spring 1990."How Effective are Duration-Based Bond Strategies in Canada," a summary, with G.S. Roberts, ISFADigest, Vol. 1, No. 1, Fall 1989."Bond Portfolio Immunization," an abstract, with Gordon Roberts, The Financial Review, Vol. 22, No. 3,August 1987.Other Non-refereed Publications:"Pension Fund Management and Duration Analysis," with G. S. Roberts, Nova Scotia Business Journal,October 1989."The Production, Demand, and Shortage Projection of Vegetable Oil in Iran," with B. Asani, Journal ofADBI, 1976."The Production, Demand, and Shortage Projection of Sugar in Iran," with H. Shams, Journal of ADBI,1975."The Production, Demand, and Shortage Projection of the Red Meat in Iran," with H. Shams, Journal ofADBI, 1975."An Economic Research on Sugar Situation in Iran," Journal of ADBI, 1974.223

"An Economic Research on Meat Situation in Iran," Journal of ADBI, 1974."An Economic Research on Poultry Situation in Iran," Journal of ADBI, 1974."An Economic Research on Rice Situation in Iran," Journal of ADBI, 1973.Papers Under Review:Work In Progress:Real and Nominal Duration: Interest Rate Risk Management and Inflation.Book Review:2004 “Investments: Analysis and Management,” Second Canadian Edition, John Wiley &Sons Canada, Ltd.2002 S. Ross, R. Westerfield, B. Jordan, and G. Roberts, "Corporate Finance" 3rd Canadianedition, reviewed for McGraw-Hill-Irwin, Inc.1999 “Investments: Analysis and Management.” First CanadianEdition, John Wiley & Sons Canada, Ltd., 1999.1999 S. Ross, R. Westerfield, B. Jordan, and G. Roberts, "Corporate Finance"2nd Canadian edition, reviewed for McGraw-Hill-Irwin, Inc.1998 Compared and contrasted: Giammarino, Mayers, Brealey, Myers, andMarcus, “Fundamentals of Corporate Finance.” First Canadian edition,McGraw-Hill Ryerson Limited, 1996 with: Ross, Westerfield, Jordan,and Roberts, “Fundamentals of Corporate Finance” Second Canadianedition, Irwin, 1996. The purpose of this review was to assist thepublisher in deciding which of the two books should be revised and keptin the market.1998 Compared and contrasted: Brealey, Myers, Sick and Giammarino,“Principles of Corporate Finance.” Second Canadian edition, McGraw-Hill Ryerson Limited, 1992 with: Ross, Westerfield, Jaffe, and Roberts,“Corporate Finance” Irwin, 1995. The purpose of this review was toassist the publisher in deciding which of the two books should be revisedand kept in the market.1996 Giammarino, Maynes, Brealey, Myers, and Marcus,“Fundamentals of Corporate Finance.” First Canadian edition,McGraw-Hill Ryerson Limited.1996 Ross, Westerfield, Jordan, and Roberts, “Fundamentals of CorporateFinance” Second Canadian edition, Irwin.1995 S. Ross, R. Westerfield, B. Jordan, and G. Roberts, "Corporate Finance" 1St Canadianedition, reviewed for Irwin, Inc.224

1992 Brealey, Myers, Sick and Giammarino, “Principles ofCorporate Finance.” Second Canadian edition, McGraw-Hill RyersonLimited.1991 Brigham E., Kahl A., Rentz W., and Gapenski, "Canadian Financial Management" 3rdedition, reviewed for Holt, Rinehart and Winston of Canada, Limited.1988 Books and Course materials used for Managerial Finance Course for the AdvancedManagement Center, Dalhousie University.1987 Books and materials used for a correspondence course in Economics for the AdvancedManagement Center, Dalhousie University.Invited Talks and Communications at Referred Conferences Without Proceedings:Invited Talks:2005 Was invited to organize a Panel Discussion on interest rate risk as a tribute to GerryBierwag, Dean of researchers in duration analysis at the 2005 annual meeting of theFinancial Management Association in Chicago, October, 2005.Moderator:George G. KaufmanPanelists:George G. KaufmanIraj J. FooladiLawrence FisherGordon Roberts2001 “International Diversification and Correlation,” with John Rumsey, Dalhousie University,Douglas C. Mackay Seminar Series, Halifax.2000 “Interest rate Risk management with Default Risk,” DePaul University, Department ofFinance Seminar Series, Chicago.225

“A Non Optimising Economics and Finance Model,” DePaul University, Department of FinanceSeminar Series, Chicago.“Macro-hedging With Duration: Complication of Convexity and Default Risk,” DalhousieUniversity, Douglas C. Mackay Seminar Series, Halifax.1999 “On Immunization Strategies,” Schulich School of Business, York University, Toronto.“On Behavioural Finance,” School of Business, Dalhousie University, Halifax1997 Gave a workshop on “Risk Management” for the visitors from the Baltic countries, DalhousieUniversity, Halifax.Presentations1994 “An Investment Seminar,” Victoria University of Wellington, Wellington, NewZealand.“Bond Portfolio Strategies,” University of the Philippines, Diliman, Philippines.“Duration Analysis and Immunization Strategies,” DeLasal University, Manila,Philippines.2008Presentation on SRI funds, the annual meetings of the Academy of InternationalBusiness, Milan, June 30 – July 3, 2008.Presentation at the “Social Responsibility Division” of ASAC 2008, May 24, 2008.Presentation on “Interest Rate Risk Management on Balance Sheet,” 2008 th annualmeetings of ASAC, May 25, 2008.2007Organized (jointly with Ali Fatemi of Depaul University ) a symposium on “SustainableValue Creation” and was a panelist in the symposium at the 2007 FMA Annual Meetings, October2007, Orlando, Florida.Presentation on Corporate Social Responsibility, the annual meetings of the NorthernFinance Association, Toronto, September 28 – 30, 2007“The Performance of Socially Responsible Investments,” with Ali Fatemi and David Wheeler, the13 th Annual International Sustainable Development Research Conference, June 10 – 12, 2007.“Interest rate Risk of Inflation Adjusted Instruments,” 2007 annual meeting of the Financialmanagement Europe, Barcelona, Spain, May - June 2007.2006 “Domestic Elasticity of Default-Free Bonds,” with G. Jacoby, G. S. Roberts, and Z. Wiener, 2006annual meeting of the Financial management Europe, Stockholm, Sweden, June 2006.2005 “International Diversification and Portfolio Risk,” with John Rumsey, the annual meeting ofCanadian Operations Research Society Conference, Halifax, Nova Scotia, May 2005.226

“Risk-adjusted Duration for Foreign Bonds,” with Gady Jacoby and Gordon Roberts, 12th annualmeeting of the Global Finance Association, Dublin, Ireland, June 2005.“Globalization and Portfolio Risk over Time: The Role of Exchange Rate,” with John Rumsey,12th annual meeting of the Global Finance Association, Dublin, Ireland, June 2005.“Duration Analysis: An Historical Perspective” the annual meeting of the Financial Management Association inChicago, October, 2005.2004 “Imperfect Markets or Imperfect Participants: The Case of Dividend Announcements,” withSanjay Deshmukh and Ali Fatemi, 2004 annual meeting of the Global Finance Association, LosVegas, April 2004.2003 “Why Does Diversification Internationally Still Have Value” with John Rumsey, North AmericanEconomics and Finance Association Meeting in Washington D.C., January 2003.“Who Is Responsible For Sub-optimal Decision? Imperfect Markets or ImperfectParticipants,” with Sanjay Deshmukh and Ali Fatemi, 2003 annual meeting of the Financialmanagement Europe, Dublin, Ireland, June 2003.“Is Entrepreneurship Only About Entering A Business” with Nargess Kayhani and Ali Fatemi,Academy of Entrepreneurial Finance, the 14 th international conference, May 2003, Chicago2002 “Why Does Diversification Internationally Still Have Value” with John Rumsey, FinancialManagement Association European Meeting, Copenhagen, June 2002. Also, at FinancialManagement Association Meeting in San Antonio, October 2002.“Real Options, Behavioral Models, and Exit/Entry Into Competitive Industries,” With NargessKayhani, Financial Management Association European Meeting, Copenhagen, June 2002.2001 "Why Does Diversification Internationally Still Have Value" with John Rumsey, Northern FinanceAssociation Meetings, Halifax.“Emerging Markets and Financing with Preferred Stocks: The Case of Pacific Rim Countries,,”with A Fatemi and N Kayhani, the 14 th Australian Finance and Banking Conference, Sydney,December 2001and European Financial Management meetings, Lugano, Switzerland July 2001.2000 “Risk Management with Duration: Potential and Limitations,” with Gerald O. Bierwag andGordon S. Roberts, the 2000 annual meetings of the Global Finance Association. Also presented atthe 2000 annual meetings of the European Financial Management Association, Athens.“ Macro Hedging with Duration: Complications of Convexity and Default Risk,” with GordonRoberts. The 2000 North American Economics and Finance Association meetings, Boston, January 2000 and the13 th Australian Finance and Banking Conference, Sydney, December 2000. Also, an earlier version was presented atthe 1999 annual meetings of the Financial Management Association in Orlando.227

“Issues Arising in Using Duration Analysis in Risk Management for Public Sector,” with GeraldO. Bierwag and Gordon S. Roberts, scheduled to be presented at the 2000 annual meetings of the FinancialManagement Association, Seattle.“Balance Sheet Risk Management,” with Gordon Roberts, presented at the 2000 annual meetingsof the Administrative Sciences Association of Canada, Montreal, Canada.1999 "Real Option Pricing, and Exit/Entry Into Competitive Industries," With Nargess Kayhani. European FinancialManagement meetings, Paris, France. This is the revised version of the paper presented in 1998.1998 “Zero Gap, Default Risk and Macro Hedging,” with Gordon Roberts. European FinancialManagement meetings, Lisbon Portugal. This paper was also presented at the 1998 annualmeetings of the Northern Finance Association"Option Pricing, Behavioral Models, and Exit/Entry Into Competitive Industries," WithNargess Kayhani, the annual meeting of the Global Finance Association, Mexico City, Mexico.1997 “Duration Analysis and its Applications: A Review,” with Gordon Roberts, European FinancialManagement meetings, Istanbul, Turkey. Also, presented at the annual meeting of the GlobalFinance Association, Montreal, Canada.1996 “Does Factor Analysis Help Understanding Banckruptcies,” with C. Dipchand and J. Osteryoung,1996 annual meeting of the European Financial Management Association, Innsbruck, Austria.1995 "Entry into Competitive Industries: More Evidence in Support of Heiner's Model," with N.Kayhani, Canadian Economics Association Meetings, Montreal. Also, earlier versions werepresented at the 1994 Atlantic Canada Economic Association Meeting in Halifax and at 31 stInternational Atlantic Economic Conference, Rome.1994 "Heiner's Model and Event Studies: Imperfect Markets or Imperfect Participants," with T.McInish and R. Wood, 1994 Annual meeting of the Northern Finance Association meeting,Vancouver, B.C. 1994 Annual meeting of the European Financial Management Association,Maastricht, Netherlands. Also, an earlier version was presented at 21 st Financial ManagementAssociation Annual Meeting, Chicago.1993 "Duration for Bonds with Default Risk," with G.S. Roberts and F. Skinner, 23rd FinancialManagement Association Annual Meeting, Toronto. Also, an earlier version presented at the 1993Annual Meeting of the Northern Finance Association, Halifax.228

1991 "Entry into Competitive Industries: More Evidence in Support of Heiner's Model," with N.Kayhani, 31 st International Atlantic Economic Conference, Rome.1989 "Designing an Immunized Portfolio: Is M-squared The Key?" with G.O. Bierwag and G.S.Roberts, 19th Annual Meeting of the FMA, Boston. Best Paper Award Winner.1987 "Bond Portfolio Immunization: Canadian Tests," with Gordon Roberts, 1987 Annual Meeting ofthe Eastern Finance Association, Baltimore."An Investigation into what Causes a Greater Rate of Bankruptcies in Canada over the UnitedStates," with C. Dipchand and J.S. Osteryoung, 17th Annual Meeting of the FMA, Las Vegas."Preferred Shares and Common Stock Dividends" 1987 NAEFA Annual Meeting, Chicago.1986 "The Response of Preferred Shareholders to Unexpected Changes in Common Stock Dividends"16th Annual Meeting of Financial Management Association, New York."Bond Portfolio Immunization: Canadian Tests" with G.S. Roberts, 16th Annual Meeting ofFinancial Management Association, New York."On Preferred Stocks issued by Unregulated Firms in Different Countries," 1986 NAEFA AnnualMeeting, New Orleans.1985 "Application of the Properties of the Covariance of the Monotone Functions to the Firm'sBehaviour Under Uncertainty," 1985 Annual Meeting of Canadian Applied Mathematics Society,May 23-24, Halifax (National)."On Preferred Stocks Issued by Unregulated Firms" Annual Meeting of Financial ManagementAssociation, Denver. Also at 25th Annual Conference of the WFA, 1986 (both International).1984 "Entry Into Competitive Industries as Affected by Risk Aversion." 54th Annual WEA, Las Vegas(International)."The Impact of U.S. FDI on U.S Share of Exports to the LDC Market," with N. Kayhani, 54thAnnual WEA, Las Vegas (International).1983 "Increasing Risk: Another Consideration," 1983 presented at 58th Annual WEA Conference,Seattle (International).1981 "Competitive Firm and the Optimal Output Level and Input Choices when Output and Input Pricesare Uncertain," 1981 best graduate student paper awarded by Western Economic Association,San Francisco (International).Other Communications at Refereed ConferencesFinancial Management Association European Meetings; Discussant, The 2007 Meltdown in StructuredSecuritization: Searching for Lessons not Scapegoats, Turin, Italy, June 2009.Financial Management Association European Meetings; Chairperson, Session [033] – Structured Lending,Prague, Turin, Italy, June 2009.Financial Management Association European Meetings; Discussant, The Pricing of Socially ResponsibleInvestment, Prague, Czech Republic, June 2008.229

Financial Management Association European Meetings; Chairperson, Session [038] – PortfolioManagement Strategies, Prague, Czech Republic, June 2008.2008 annual meetings of the Administrative Sciences Association of Canada; Discussant, Market Valuationof Corporate Charitable Donations, Halifax, Canada, May 2007.Northern Finance Association Meetings; Discussant, Do Labor Unions Affect Agency Cost of Debt?Toronto, Canada, September 2007.Northern Finance Association Meetings; Chairperson, Session on Financial Institutions and Markets,Toronto, Canada, September 2007.13 th Annual Sustainable Development research Conference, Discussant, Portfolio Performance andEnvironmental Risk, Vasteras, Sweden, June 2007.Financial Management Association European Meetings; Discussant, What Drives Provincial-Canada YieldSpread? Barcelona, Spain, May 2007.Financial Management Association European Meetings; Chairperson, Session [044] – Money and CapitalMarkets, Barcelona, Spain, May 2007.Financial Management Association Meetings; Discussant, The Risk-Adjusted Performance of US Buyouts,Salt Lake City, October 2006.Financial Management Association European Meetings; Chairperson, Session [036] – Bond Pricing,Stockholm, Sweden, June 2006.Financial Management Association European Meetings; Discussant, Contagion: Evidence from The BondMarket, Stockholm, Sweden, June 2006.Financial Management Association European Meetings; Chairperson, Session [010] – Issues in GlobalMarkets, Siena, Italy, June 2005.Financial Management Association European Meetings; Discussant, Exchange Rate Fluctuations andCross-Market Correlations in International Stock Markets, Siena, Italy, June 2005.North American Economics and Finance Association Meetings: Discussant – Performance of Closed-endFunds, January 2005, Philadelphia.Financial Management Association European Meetings; Discussant, Session [16] -- Issues in InternationalDebt, Copenhagen, June, 2002.ASAC 2001; Chair, Session [5]—Alternative Financing and Privatization – London Ontario, May, 2001.ASAC 2000; Discussant, Session [3]—Financing and Investment – London Ontario, May, 2001.Global Finance Association; Chair, Session [21]—Risk Management I – Chicago, April 2000.Global Finance Association; Chair, Session [05], Chinese Markets – Chicago, April 2000.European Financial Management Association; Chair, Session [05]-- Interest Rate Models, Athens, Greece,June 2000.230

European Financial Management Association; Discussant, Session [15]—term Structure of Interest Rates,Athens, Greece, June 2000.ASAC-IFSAM 2000; Chair, Session [F08A]—Security Offering and Market Pricing – Montreal, July,2000.ASAC-IFSAM 2000; Chair, Session [F09B]—Corporate Governance and Restructuring – Montreal, July,2000.ASAC-IFSAM 2000; Discussant, Session [F04A]—Risk Exposure and Security Prices – Montreal, July,2000.Financial Management Association Meetings; Chair, Session [52] -- Issues in Downsizing and Bankruptcy,Orlando, 1999Financial Management Association Meetings; Chair, Session [162] -- Issues in Capital Structure, Orlando,1999European Financial Management Association; Chair, Session [058]--Term Structure of Interest Rate –Paris, France, June 1999.Northern Finance Association; Chair, Session [C-Saturday] -- Security Markets – Toronto, Canada,September 1998European Financial Management Association; Discussant, Session [011]—Corporate Risk management --Lisbon, June 1998.Global Finance Association; Chair, Session [14]—Currency Exchange Issues – Mexico City, Mexico, May1998.Global Finance Association; Discussant, Session [32]-- Financial Engineering / Derivatives -- Mexico City,Mexico, May 1998.European Financial Management Association; Chair, Session [C5]—Term Structure -- Istanbul, June 1997.European Financial Management Association; Discussant, Session [C8]—Fixed Income Securities --Istanbul, June 1997.Global Finance Association; Chair, Session [C8]-- Investment Issues -- Montreal, Canada, May 1997.Global Finance Association; Discussant, Session [D13]-- Financial Engineering / Derivatives -- Montreal,Canada, May 1997.European Financial Management Association; Discussant, Session [D2]-- International finance --Innsbruck, June 1996.European Financial Management Association; Chair, Session [E2]-- Valuation -- Innsbruck, June 1996.European Financial Management Association; Discussant, Session [A1]-- Stock Index Derivatives --London, June 1995.European Financial Management Association; Chair, Session [B8]-- Real Estate Finance and AssetAllocation-- Maastricht, July 1994.231

References:European Financial Management Association; Discussant, Session [A2]-- Term Structure of Interest Ratesand Contingent Claims Valuation-- Maastricht, July 1994.European Finance Association; Discussant, Session [IIIA] -- Term Structure of Interest Rates --Copenhagen, 1993.European Finance Association; Discussant, Session [IVB] -- Risk Measurement -- Rotterdam, 1991.Financial Management Association Meeting: Discussant, Session 135 -- Topics in Valuation Debt --Orlando, 1990.European Finance Association; Discussant, Session [VA] -- Asset Pricing - Stockholm, 1989.Administrative Sciences Association of Canada, Chair & Discussant -- Capital Structure and DividendPolicies --Montreal, 1989.FMA; Discussant, Session (023) -- Bond Ratings -- New Orleans, 1988.European Finance Association; Discussant, Session [3A] -- Risk Aversion (two papers) -- Istanbul, Turkey1988.Administrative Sciences Association of Canada, Chair Sessions 2A, 6, and 7A, Halifax, 1988.European Finance Association; Discussant, Session [2A] -- Dividends -- Madrid, Spain, 1987.European Finance Association; Discussant, Session [7D] -- Rights vs. Underwritten Stock Offering --Dublin, Ireland (International), 1986.Participant, 1986 AACSB Workshop on Micro Computer Use in Finance, June 12-16, Provo, Utah.Discussion Animator (invited) at 1985 Management Research Workshop in Finance, May 31-June 5, 1985.Administrative Sciences Association of Canada Discussant, --Share Valuation Session -- Montreal, 1985.Participant, SSHRC 1984 Management Research Workshop in Finance, June 1-10.WEA; Chairman, Session [098] -- Games, Markets, and Regulations -- Las Vegas (International), 1984.WEA; Discussant, Session [003] -- Economics of Uncertainty and Inflation -- Las Vegas (International),1984.FMA; Discussant, Session (7) -- Capital Structure Theory, Inflation, and Income Taxes -- Toronto,(International), 1984.Participant in an International Workshop on "Small Scale Industry Financing," S.I.E.T. Institute, India, Jan.- Feb. 1984. ed. 1984.Available upon request232

Gregory M. HebbProfessor of FinanceSchool of Business AdministrationDalhousie UniversityHalifax, Nova ScotiaCanadaEducationMays School of Business, Texas A&M UniversityPh.D.Thesis Supervisor – Donald R. FraserGraduate School of Arts, Dalhousie UniversityMACollege of Business, Queen’s UniversityM.B.A.Finance1999Economics1995Concentration in Finance1993School of Arts & Sciences, McGill UniversityB.A.Economics1991EmploymentProfessor of FinanceDalhousie University, Halifax, Nova ScotiaDirector, Centre for International Tradeand TransportationDalhousie University, Halifax, Nova Scotia2008-present2006 – presentAssociate Professor of Finance,Dalhousie University, Halifax, Nova Scotia 2002 – 2008Assistant Professor of Finance,Saint Mary’s University, Halifax, Nova Scotia 1999-2002Director of Finance,233

Ambassatours Ltd., Halifax, Nova Scotia 1993-1994Professional EducationProfessional Financial Planners Course (2002)Canadian Securities Course (2000) – with honoursHonors and AwardsFaculty of Management Excellence in Teaching Award - 2006Best Paper Award – 2000 ASAC conferenceDean’s Award for Outstanding Teaching by a Doctoral Student. 1997-1998Texas A&M University Regents FellowshipQueen’s University Dean’s ListD.I. McLeod Progression Award (Queen’s University)D.I. McLeod Entrance Scholarship (Queen’s University)Faculty Scholar (McGill University)Refereed PublicationsHebb, G., “Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-Issue Performance Evidence”, International Research Journal of Economics and Finance,Issue 15, 2008, 124-135.Hebb, G. and S. MacLean, “Canadian Firms and Poison Pill Adoption – The Effects onFinancial Performance”, Journal of Business and Economic Studies, Volume 12, No. 1, 2006,40-54.Soral, Bartu H., T. Iscan, and G.Hebb, “Fraud, banking crisis, and regulatory enforcement:Evidence from micro-level transactions data”, European Journal of Law and Economics ,Volume 21, No.2, April 2006, 179-197.Hebb, G., “Canadian Capital Markets: Innovative but Constrained”, Latin AmericanBusiness Review, Volume 6, Issue 1, 2005, 115-123Hebb, G. and G. MacKinnon, “Uncertainty and IPO’s: Investment Bank vs. Commercial BankUnderwriters”, Journal Economics and Finance Spring 2004 Volume 28, no.1, 68-87.- On SSRN’s top 10 most downloaded papers in Banking and Financial InstitutionsApril 2001Hebb, G. and D.R. Fraser, “Conflict of Interest in Commercial Bank Security Underwritings:United Kingdom Evidence”, Quarterly Journal of Business and Economics Winter/Spring2003, Volume 42, 79-95.also Center for International Business Studies Working Paper DP-190234

Cleary, Sean, G. Hebb, and G. MacKinnon, “The Risk-Adjusted Performance of Closed-End Funds and theImpact of Discounts”, Journal of Today, December 2002, Volume 1, 119-133.Hebb, G. and D.R. Fraser, “Conflict of Interest in Commercial Bank Security Underwritings:Canadian Evidence”, Journal of Banking and Finance, October 2002, Volume 26, 1935-1949.Hebb, G. “Conflict of Interest in Commercial Bank Equity Underwritings” The FinancialReview, May 2002, Volume 37, 185-206.Biswas, R., D.R. Fraser, & G. Hebb, “On the Shareholder Wealth Effects of Deposit InsurancePremium Revisions on Large Publicly Traded Commercial Banks”, Journal of FinancialResearch, Summer 2000, Volume XXIII, No. 2, 223-241.Non-Refereed Publications“Future of Financial Services: Perspectives from the 17 th World Conference of BankingInstitutes”: Published in the Institute of Canadian Bankers Insider Newsletter, August 2007“Tax Harmony and Capital Investment: Canada vs. US” (with J. Groth and S. Byers) Center forInternational Business Studies Working Paper #193Working Papers“Economies of Scope and Hold Up Costs in Relationship Banking:Evidence from Debt Underwriting” (With D. Fraser and G. MacKinnon)“The Use of Antitakeover Defenses Outside The United States. An EmpiricalExamination of Poison Pill Adoptions in Canadian Firms” (with J. Bizjak and A. Mahajan)Work in Progress“ The Strategic Use of Credit Derivatives” (with R. Nason)“The Performance of Bank Run Mutual Funds”Publications in Refereed Preceedings“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Evidence” (WithD. Fraser) – Preceeding of the 2000 ASAC conference235

“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-IssuePerformance Evidence” (with D.Fraser) – Preceeding of the 2000 Atlantic Schools of BusinessConferencePresentations at Refereed Conferences“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-IssuePerformance Evidence”- Hawaii International Conference on Business, May 2007- PanAmerican Partnership Seminar, New York, May 2004- 2000 Atlantic Schools of Business Conference, St.John’s, Nfld., November 2000.“The Use of Antitakeover Defenses Outside The United States. An EmpiricalExamination of Poison Pill Adoptions in Canadian Firms” (with J. Bizjak and A. Mahajan)- Northern Finance Association Meetings, Montreal, September 2006“Fraud and Banking Crises: Evidence from Micro-level Transactions Data” (WithH. Bartu Soral and Talan B. İşcan)- Northern Finance Association Meetings, St.John’s September 2004“Canadian Capital Markets: Innovative but Constrained”- PanAmerican Partnership Seminar, New York, May 2004.-“Lending and Underwriting: Evidence on Tying Behavior by Banks” (With D. Fraser and G.MacKinnon)- Northern Finance Association Meetings , Quebec City September 2003- Atlantic Schools of Business Conference, Halifax November 2003“Valuation Uncertainty and IPO’s: Investment Bank vs. Commercial Bank Underwriters”(With G. MacKinnon)- 2002 European FMAEuropean Conference, Copenhagen, Denmark, June 2002.- 2002 Southern Finance Association Meetings, Key West, Floride, November 2002.“Canadian Firms and Poison Pill Adoption – The Effects on Financial Performance” (with S.MacLean)- 2002 Northern Finance Association Meetings, Banff, Alberta, September 2002.“Conflict of Interest in Commercial Bank Security Underwritings: United Kingdom Evidence”(With D. Fraser)- 2001 FMA European Conference, Paris, France, June 2001.- 2001 FMA Conference, Toronto,Canada, October 2001.236

“ Tax Harmony and Capital Investment: Canada Vs. US” (with J. Groth and S. Byers)- American Association of Business and Behavioral Sciences, Las Vegas, NV,February 2000.“Commercial Bank Involvement in Equity Underwritings”- Northern Finance Association, Toronto, Ontario, September 1998.- Financial Management Association, Orlando, Florida, October 1999.“ Tax Harmony and Capital Investment: Implications for Nordic/European Economies” (with J.Groth)- Nordic Conference on Business Studies, Helsinki, Finland, August, 1999.Invited Presentations“The use of Classroom Presenter as an alternative to PowerPoint”- Dalhousie Annual Teaching with Technology Showcase, November 2008.Faculty of Management Teaching Excellence Conference- Panel session on using technology in teaching, April 2008.“Effective Strategies for Engaging Learners”- Panel session at the Faculty of Management Teaching ExcellenceColloquium, May 2007“The Future of Financial Services”- 17 th World Conference of Banking Institutes, April 2007“Lending and Underwriting: Evidence on Tying Behavior by Banks” (With D. Fraser and G.MacKinnon)- Mackay Seminar Series, Dalhousie University School of Business, October2004.“Canadian Firms and Poison Pill Adoption – The Effects on Financial Performance” (with S.MacLean)- Mackay Seminar Series, Dalhousie University School of Business,November 2002.“Valuation Uncertainty and IPO’s: Investment Bank vs. Commercial Bank Underwriters”(With G. MacKinnon)- Mackay Seminar Series, Dalhousie University School of Business,November 2001.237

“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-IssuePerformance Evidence” (with D. Fraser)- Dept. of Finance and Management Science, Saint Mary’s University,October, 2000.“Tax Harmony and Capital Investment: Canada vs. US” (with J. Groth and S. Byers)- Mackay Seminar Series, Dalhousie University School of Business, March2000.“Commercial Bank Involvement in Equity Underwritings”- Dept. of Economics, Dalhousie University, February 2000.- Dept. of Finance and Management Science, Saint Mary’s University,December, 1999.Press Interviews“The Rising Price of Gold”- Interview on CTV news, March 14, 2008.“Calling Ma Bell; Aliant shareholders vote to create trust, hand wireless ops to Bell”- Halifax Chronicle Herald, May 18, 2006.Other Conferences AttendedNorthern Finance Association- Vancouver, September 2005Financial Management Association Conference- New Orleans, October 2004Conference on Challenges and Opportunities in Global Asset Management- McGill University, June 2003Professional ServiceDalhousie University- Acting Academic Director, MBA(FS) 2008- Member, Senate Review of Institute for Research in Materials 2007- Task Force on Graduate Funding 2007- Killiam Scholarship Committee 2006-- Faculty of Management Executive Committee 2006-238

- MBA(FS) subcommittee on partnership with Certified Financial Planners 2006-2007- Finance Area coordinator, 2004 –2005- Faculty of Management’s Review Committee for the R.A Jodrey Chair inCommerce 2004- MBA(FS) committee, 2004-- MBA(FS) subcommittee on partnership with Canadian Securities Institute (Chair),2003-2004- Dalhousie University Pension Committee, 2003 –- Center for International Business Studies Executive Committee, 2003-- Dean’s Review Committee, Faculty of Management 2004- Faculty of Management’s Review Committee for the Douglas C. Mackay Chair inFinance 2003- Research Committee, School of Business 2002-2003- Finance Representative on BComm Committee 2002-2003- Rank, Appointment, Tenure, and Salary Committee, School of Business 2002-2004- Exam reviewer for Hensen College’s Certified Employee Benefit SpecialistprogramExternal Service- Reviewer for 2008 NFA conference- Chair of Board, Point Pleasant Child Care, 2005-- Board Member, Point Pleasant Child Care, 2004-2005- Division Chair, Finance 2002 Administrative Sciences Association of CanadaMeetings, Winnipeg- Program Committee Member for 2002 Eastern Financial Association Meeting,Baltimore, MD.- Co-organizer of 2001 Northern Finance Association meetings in Halifax- Academic Reviewer and Program Chair for the Finance Division of the 2001Administrative Science Association of Canada meetings in London, Ontario.- Reviewer for Contemporary Financial Management (Moyer et al.)- Developed Web Cases for Finance in a Canadian Setting 6 th Ed. (Lusztig, Cleary,and Schwab)- Reviewer for Canadian Financial Management 4 th Ed. (Davis & Pinches)- Reviewer for Financial Institutions Management 3/e preliminary (Saunders &Thomas)- Ad Hoc reviewer for Journal of Banking and Finance, Quarterly Journal ofBusiness & Economics, Contemporary Economic Policy, and InternationalManagement.Research Grants239

- National Research Program in Financial Services and Public Policy(with R. Nason), 2003$57,400- Research Development Fund for the Humanities and Social SciencesDalhousie University, 2002-2003$2,283- Senate Research Grant, Saint Mary’s University, 2001-2002$1,350- Senate Research Grant, Saint Mary’s University, 2000-2001$3,500- SSHRC Special One-Time Institutional Grant$2,000Teaching ExperienceDalhousie University,- Comm 2202 – Finance 1- Comm 3203 – Financial Institutions- Busi 6203 – Financial Institutions (MBA)- Busi 6818 – Finance under NAFTA (MBA)- Comm 3207 – Canadian Securities Course (both on campus and online)- Comm 4250 – Theory of Finance- Comm 4203 Mergers & Acquisitions- Busi 6208 Mergers & Acquisitions (MBA)- Busi 6942 Global Markets and Institutions (MBA)- Advanced Corporate Finance (MBA Financial Services)Saint Mary’s University,- Fin 360: Business Finance I- Fin 361: Business Finance II- Fin 465: Mergers & Acquisitions- Fin 471: Financial Institutions- Fin 665: Mergers & Acquisitions (MBA)- Fin 671: Financial Institutions (MBA)Texas A&M University,240

Sessional Instructor, 1996-1999- Courses taught:- Finc 341 – Business Finance- Finc 460 – Money & Capital MarketsVisiting Assistant Professor, Summer 2000− Courses taught− Finc 460 – Money & Capital Markets− Finc 642 – Analysis of Money & Capital Markets (Masters Level)Visiting Assistant Professor, Summer 2002- Courses taught- Finc 642 – Analysis of Money & Capital Markets (Masters Level)- Finc 489/689 – Mergers & AcquisitionsOther Professional Teaching- Taught several executive education seminars with John Groth of Texas A&M University on Capital Investment Analysis. These seminarshave been offered to groups of 15-30 mid-level managers of large US corporations.- Taught a Canadian Securities Course prep-course through Continuing Education at SaintMary’s University241

CURRICULUM VITALee LiCURRENT POSITION2003 to presentAssociate ProfessorSchool of Administrative StudiesYork UniversityCanadaDEGREES1995 Doctor of Philosophy in Marketing,Lancaster University, United Kingdom1991 Master of Business Administration,Lancaster University, United KingdomEMPLOYMENT HISTROY2003-2004Associate ProfessorUndergraduate Program DirectorCo-ordinator of Marketing AreaSchool of Administrative StudiesYork UniversityCanada2000-2003Assistant ProfessorCo-ordinator of Marketing AreaSchool of Administrative StudiesYork UniversityCanada1998-1999Assistant Professor,Department of Management and MarketingSchool of BusinessUniversity College of the Cariboo,Canada1995-1998Export ManagerRobert Fletcher Ltd- 242 -

Oldham, UKSCHOLARLY AND PROFESSIONAL ACTIVIITESAwards2008 York University YUFA Merit Award2007 York University YUFA Merit Award2004 York University YUFA Merit AwardBooks:Li, L. (1996). The dynamics of export channels from the United Kingdom to the P.R.of China.UK: Ashgate Publishing Limited (ISBM 1 85972 373 X).Selected Refereed Journal ArticlesWith Qian, G., Li, J. and Qian, Z. “Regional Diversification and FirmPerformance,” Journal of International Business Studies. Vol. 39 No. 2. PP 197-214, 2008.With Qian, G. and Qian, Z. “Product diversification, multinationality, andcountry involvement: what is the optimal combination?” Journal of GlobalMarketing, Vol. 20 No. 4 pp 5-23, 2007.With Qian, G. “Profitability of small and medium sized enterprises in hightechindustries: The case of biotechnology industry”. StrategicManagement Journal, Vol. 24, pp.881-887, 2003.With Qian, G. “Technology industry success: Strategic options for smalland medium firms”. Business Horizons. Vol. 46, No.5, pp.41-46, 2003.“Synergies between export channels in the mature and emerging markets:An exploratory investigation”. Thunderbird International Business Review,Vol.45 No 5, pp567-585, 2003.With Ng, P. “Dynamics of export channel relationship in high-velocityenvironments”, Industrial Marketing Management, Vol. 31 No 6, pp.505-514, 2002.With Ng. P. “Market exchanges, hierarchical exchanges or relationalexchanges in export channels into emerging markets”, InternationalBusiness Review, Vol. 11, pp, 707-723, 2002.All Refereed Journal Articles- 243 -

1. With Qian, G. “Which factors matter? A study of the cost advantagesustainability of Chinese firms in labor-intensive industries”, Journal of GeneralManagement, Vol. 34, No. 4, 2009.2. With Qian, G. “Partnership or self-reliance entry modes: Large and smalltechnology-based enterprises' strategies in overseas markets”, Journal ofInternational Entrepreneurship Vol. 6 No. 4, pp.188-208, 2008.3. With Qian, G. “Partnership or self-reliance: The strategy for small high-tech firmsto enter overseas markets”. Journal of Business Strategy (forthcoming).4. With Qian, G., Li, J. and Qian, Z. “Regional Diversification and FirmPerformance,” Journal of International Business Studies. Vol. 39 No. 2. PP 197-214, 2008.5. With Qian, G. “Partnerships or self-reliance: Prescription for small andmedium size enterprise”, Journal of Business Strategy. Vol. 28 No.6,pp29-33, 2007.6. With Qian, G. and Qian, Z. “Product diversification, multinationality, andcountry involvement: what is the optimal combination?” Journal of GlobalMarketing, Vol. 20 No. 4 pp 5-23, 2007.7. With Ng, P. and Gaber, B. “Determinants of small trading companies'performance in high-tech industries”, Global Business and OrganizationalExcellence. Vol. 26 No 5, pp 57-72, 2007.8. With Qian, G. and Gaber, B. “Sustainability of cost advantage: Chineseenterprises’ success secret in labor-intensive industries”, Journal ofBusiness Strategy. Vol. 28 No. 3, 47-62, 2007.9. With Qian, G. and Ng, P. “Capability sequencing: Strategies by townshipand village enterprises in China”, Journal of Small Business andEnterprise Development. Vol.12 No.2, pp.34-42, 2006.10. With Qian, G. “Dimensions of international diversification: Their jointeffects on firm performance”, Journal of Global Marketing, Vol.18 No.3/4,pp.7-35, 2005.- 244 -

11. “Internet technology’s impacts on export channel structure”. ThunderbirdInternational Business Review, 46(4), pp 443-463, 2004.12. “What have happened to export intermediaries?” Journal of InternationalTechnology and Information Management, Vol. 12 (2), pp 41-52, 2003.13. “Determinants of export channel intensity in emerging markets: The Britishexperience in China”. Asia Pacific Journal of Management, Vol. 20 No. 4, pp501-516, 2003.14. “Synergies between export channels in the mature and emergingmarkets: An exploratory investigation”. Thunderbird International BusinessReview, Vol.45 No 5, pp567-585, 2003.15. “Joint effects of factors affecting exchanges between exporters and their foreignintermediaries: an exploratory study”. Journal of Business and IndustrialMarketing, Vol. 18, No2, pp 162-178, 2003.16. “Online trading’s impacts on Western manufacturers’ entry modes in China”,Review of Pacific Basin Financial Markets and Policies, Vol. 5 No 4, pp. 491-507, 2003.17. With Qian, G. “Internalisation or externalisation: The option for small andmedium-sized technology based enterprises in overseas markets”. InternationalJournal of Management and Enterprises Development, Vol. 1 No 1, pp. 55-70,2003.18. With Qian, G. “Profitability of small and medium sized enterprises in high-techindustries: The case of biotechnology industry”. Strategic Management Journal,Vol. 24, pp.881-887, 2003.19. With Qian, G. “Technology industry success: Strategic options for small andmedium firms”. Business Horizons. Vol. 46, No.5, pp.41-46, 2003.20. “Western exporting manufacturers’ channel structure in emerging markets”,Industrial Management and Data Systems, Vol. 102 No 9, pp.483-492, 2002.21. “Sales force opportunism in emerging market: An exploratory investigation”,Thunderbird International Business Review, Vol. 44 No. 4, pp.515-531, 2002.22. With Ng. P. “Market exchanges, hierarchical exchanges or relationalexchanges in export channels into emerging markets”, InternationalBusiness Review, Vol. 11, pp, 707-723, 2002.- 245 -

23. With Ng, P. “Dynamics of export channel relationship in high-velocityenvironments”, Industrial Marketing Management, Vol. 31 No 6, pp.505-514, 2002.24. “Networks, transactions, and resources: Hong Kong trading companies’strategic position in the China market”, Asia Pacific Journal of Management, Vol.18 No 3, pp.279-294, 2001.25. “The dynamics of export channels”, Journal of International MarketingManagement, Vol. 1, pp. 35-47, 1999.Conference ProceedingsQian, G. Khoury, T. and Li, L. (2008)."Resource combinations behind entrepreneurialinternationalization”. 2008 Academy of Management Meeting, Anaheim,California.Li, L and Qian, G. (2008). “Interactive effects of multinationality and countryinvolvement on the performance of multinational enterprises”. 2008 Annual AIB(Academy of International Business) Conference, Milan, Italy.Li, and Lu, I. (2007). “Partnership or self-reliance: The decision for Chinese newtechnology SMEs in overseas markets”. ASAC, Ottawa, Canada.Li, and Qian, G. (2007). “Who should export? A study of small- and medium-sizedfirms”. Oxford Business and Economic Conference, Oxford, England.Li, and Qian, G. (2006). “Do organizational resources matter?” Proceedings of 2006Annual AIB (Academy of International Business) Conference, Beijing, China.Li, L., and Lu, I. (2005). “Dynamics of firm resource bundles: A study of the shoemakingindustry in Asia”. 15 th International Conference on Pacific Rim -management, (ACME 2005), San Diego, USA.Li, L., Lu, I., and Qian, Q. (2005). “Performance of exporting small and medium sizedenterprises in high-tech industries”. 15 th International Conference on Pacific Rim-management, (ACME 2005), San Diego, USA.- 246 -

TEACHINGCourses TaughtAdvanced Marketing (MBA programs)Directed Reading in Marketing Strategy,Directed Reading in International Business,Business Administration,Business Management,Marketing Strategy,International Marketing,Introductory Marketing,Business to Business Marketing,Consumer Behaviour,Marketing Research,Business Strategy,Global Business,Course DevelopmentInternational Marketing – Developed a new course based on foreign directinvestment theory (FDI), OLI theory, and transaction cost theory (UniversityCollege of the Cariboo).Business to Business Marketing – Restructured the course to bring in allnew materials and to add greater emphasis on organizational behaviours(University College of the Cariboo).- 247 -

SERVICEAdministrative2003-2004 Undergraduate Program Director, School of AdministrativeStudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2000-2004 Marketing Area Co-ordinator, School of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork UniversityFaculty Committees2003-2004 Member of Tenure and Promotion CommitteeSchool of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2003-2004 Member of Research CommitteeSchool of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2003-2004 Member of Hiring CommitteeSchool of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2003 Member of MIS Hiring CommitteeSchool of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2002 Curriculum Committee on Program ReformSchool of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2002 Member of Hiring CommitteeSchool of Administrative StudiesJE Atkinson Faculty of Liberal and Professional StudiesYork University2000-2002 Member of Panel HearingJE Atkinson Faculty of Liberal and Professional StudiesYork University- 248 -

2000-2002 Member of the Committee on Examination and AcademicStandardsJE Atkinson Faculty of Liberal and Professional StudiesYork University2001 Member of New Faculty PanelSummer Institute for New Faculty TeachingYork UniversityAcademic reviewer2008 Ad hoc Academic ReviewerManagement International Review2007 Ad hoc Academic ReviewerInternational Business Review2006 Ad hoc Academic ReviewerThunderbird International Business Review2005 Ad hoc Academic ReviewerJournal of International Business Studies2003 Ad hoc Academic ReviewerAcademy of Management Journal2003 Ad hoc Academic ReviewerJournal of International Marketing Review2002 Ad hoc Academic ReviewerJournal of Business Venturing2002 Academic ReviewerIndustrial Management and Data Systems2002 Academic ReviewerACME 2003 March Conference in Seattle, USA2001 Academic ReviewerAsia Pacific Journal of Management2001 Academic ReviewerBritish Journal of Management2001 Academic Reviewer31st Atlantic Schools of Business Conference.- 249 -

Curriculum VitaeLEONARD C. MACLEANEducation:1976 Dalhousie University, Ph.D., Mathematics.Doctoral Thesis: “Optimal Economic Growth”1972 Dalhousie University, M.A., Mathematics.Masters Thesis: “Noncooperative Bimatrix Games”1965 St. Francis Xavier University, B.Ed.St. Francis Xavier University, B.A., MathematicsBachelors Thesis: “Number Theory”Relevant Experience:CurrentHerbert Lamb Chair in Business,School of Business Administration, Dalhousie UniversityProfessor, Dept of Community Health and EpidemiologyTeaching: graduate and undergraduate statistics; operations management.Research: investigating the properties of stochastic, dynamic models foroperating systems in finance, health and aviation. Of particular interest isin the risk, in terms of operating status, associated with control decisions.Director of Research, CanMac Economics, Halifax, NSParticipate in a variety of contract studies for public and privateorganizations.June,2008 –July, 2008Apr, 2004 –July, 2004Visiting Professor, Department of Mathematics and Statistics,University of Bergamo, Bergamo, ItalyTaught course “Topics in Quantitative Finance” to PhD studentsVisiting Fellow, Judge Institute of Management StudiesCambridge University, UKTaught course “Investments” to MBA students1999, 2000 Visiting Professor, Royal Roads University, Victoria, BC250

(June)Taught a concentrated course in Operations Management toundergraduate business students.1995-1997 Visiting Professor, Faculty of Commerce and BusinessAdministration, UBC.On leave from Dalhousie University. Working with Dr. W.T. Ziemba(UBC) and Dr. A. Richman (AlgoPlus), I successfully regenerated myresearch program in stochastic systems, after serving as Director of theSchool of Business Administration.1989-1995 Director, School of Business Administration, Dalhousie University.I was Director of the School at a most challenging time. The university system in NSwas under review, with a goal of rationalization. It was proposed that the DalhousieSchool of Business Administration be transferred to St. Mary’s University. Throughthe involvement of stakeholders, this rationalization was avoided. In the process, wedeveloped successful program initiatives such as the B. Comm. (Co-op), the minorsin Business in the B.A. and B.Sc. programs, and the 10-month MBA. A Ph.D.proposal was also brought to Senate, but since the Nova Scotia government was notapproving any new programs at that time, approval of the proposal by Dalhousie wasdeferred.1984-1985 Director of Health Services Research Unit, Department ofCommunity Health and Epidemiology, Dalhousie University.Worked with a small group (M. Brown, P. Ruderman, & L. MacLean) onhealth utilization issues in Nova Scotia.1983 Visiting Professor, Faculty of Commerce and Business Administration, University of British Columbia,Vancouver, BC.On sabbatical leave from Dalhousie University. Started working with Dr W. Ziembaon capital growth models in finance.1982 Visiting Professor, Department of Business Studies, University ofZimbabwe, Harare, Zimbabwe.On secondment to the University of Zimbabwe, with funding from CIDA. Dalhousiesubsequently received 10 years of CIDA funding for a university linkage program,with the objective of capacity building.1980 Visiting Professor, Department of Mathematics and Statistics, SimonFraser University, Burnaby, BC.Spent the summer term working with Dr. L. Weldon on statisticalestimation problems.1972 –1975 National Health Fellow, Department of Preventive Medicine,Dalhousie University.Supported by a grant from National Health and Welfare, I studied andcarried out research into health services in Nova Scotia.251

TeachingI have successfully taught statistics and operations in a variety of programs andinstitutions. In 1989, I was selected as Professor of the Year by MBA students. My usualteaching load is 5 classes, with approximately 250 students in total. I have taught thefollowing classes over the past decade.IUndergraduate CommerceStatistics for Business and Economics I and IIOperations ResearchOperations and Logistics ManagementIIUndergraduate MathematicsIntroduction to StatisticsIIIUndergraduate MedicineStatistics for MedicineIVVVIGraduate BusinessQuantitative Decision MakingQuantitative Decision AnalysisOperations ResearchAdvanced Operations ResearchApplied Multivariate AnalysisLinear Statistical ModelsTime Series AnalysisInvestmentsGraduate Medical ScienceBiostatisticsThesis ExaminerGuangyi Chen: MDE ( Dalhousie U., 1998)Claude DesRochers: Ph.D ( TUNS, 1997) – external examinerVincent Richman: Ph.D ( Columbia U, 1996)- external examinerJunJun Yi: Ph.D. ( Dalhousie U., 1989)Eileen Cormier: M.Sc. ( Dalhousie U., 1985)Bechara Toulany: M.Sc. ( Dalhousie U., 1978)252

ResearchWith the exception of the 6 years spent as Director of the School of Business, I haveactively engaged in research as part of my academic career at Dalhousie University. Myarea of interest is stochastic dynamic systems, with applications in finance, healthsystems, and aviation. I have a network of colleagues (W. Ziemba, A. Richman, L.Weldon), and I have worked with them over many years. I am a member of theStochastic Optimization Network (SONET), a broad coalition of researchers interested inthe theory and applications of stochastic models.Publications:MacLean, L., Richman, A. (2009). Risk Assessment for Multiple Hazards withSensitivity to the Concentration of Severity. Submitted to ISSC 27.MacLean, L., Zhao, Y. and Ziemba, W. (2009) Optimal capital growth with convex losspenalties. Working paper, School of Business Administration, Dalhousie University.MacLean, L., Thorp, E., and Ziemba, W. (2009). Good and bad properties of the KellyCriterion. To appear in The Kelly Capital Growth Investment Criterion: Theory andPractice. World Scientific Publishing Co., Singapore.MacLean, L., Thorp, E., Zhao, Y. and Ziemba, W. (2009) Medium term simulations ofKelly, fractional Kelly and proportional betting strategies. To appear in The Kelly CapitalGrowth Investment Criterion: Theory and Practice. World Scientific Publishing Co.,Singapore.MacLean, L., Consigli, G., Zhao, Y. and Ziemba, W. (2009) Risk Indicators in FinancialMarkets. Accepted by Mathematical Methods in Economics and Finance.MacLean, L., Zhao, Y., and Ziemba, W. (2009). Mean-Variance versus Expected Utilityin Dynamic Investment Analysis.” Computational Management Science (Forthcoming).Consigli, G., MacLean, L., Zhao, Y., and Ziemba, W. (2009). The Bond-Stock YieldDifferential as a Risk Indicator in Financial Markets. The Journal of Risk 11(3),1-22.MacLean, L., Zhao, Y., and Ziemba, W. (2009) Weak interest rate parity and currencyportfolio diversification. Accepted by Infiniti Conference (publishes selection of papersin Journal of Banking and Finance) .MacLean, L., Richman, A.(2008). An aggregate risk priority index for systems failures.Proceedings of 26 th International Systems Safety Conference, Vancouver, Canada.MacLean, L., Ziemba, W.T. (2008) The Kelly Strategy. In Encyclopedia of QuantitativeFinance. John Wiley and Sons, UK.253

MacLean, L., Zhao, Y., Consigli, G., and Ziemba, W.(2007). Estimating parameters in apricing model with state dependent shocks. in Handbook of Financial Engineering, C.Zopounidis, Ed., Springer. P 231 – 245.Richman, A. and Maclean, L. (2007). Airport Risk Management Intelligence Systems.Proceedings of 25 th International Systems Safety Conference, Baltimore, MD.MacLean, L., Richman, A. and Larsson, S. (2007). Statistical Methods for PoissonDistributors. Proceedings of 25 th International Systems Safety Conference, Baltimore,MD.MacLean, L., Richman, A. (2007). Early Evidence of Degradation in a Cohort ofAircraft. Proceedings of Aging Aircraft Conference, Palm Springs, CA.MacLean, L., Foster, M., & Ziemba, W.T. (2007). Covariance complexity andrates of return on assets. Journal of Banking and Finance, 31:11. p. 3503 –3523.MacLean, L., Zhao, Y., and Ziemba, W. (2006). “Endogenous Volatility for HedgingOptions with Transaction Costs.” Working paper, School of Business Administration,Dalhousie University. (Submitted to Quantitative Finance.)MacLean, L., Richman, A.(2006). An Aggregate Safety Index for Air TrafficManagement Systems. Proceedings of the 24 th International Systems Safety Conference,Albuquerque, NM.MacLean, L., Richman, A., and Larsson, S.(2006). Patterns of Use and Safety withCommercial Aircraft. Proceedings of the 24 th International Systems Safety Conference,Albuquerque, NM.Richman, A., Richman, V., MacLean, L. (2006) A New Performance Measure forCommercial Airlines: Daily Flying Hours Ratio. Perspectives on Performance, 5:1.p 13-15.MacLean,L., Zhao.Y., & Ziemba, W.T. (2006). Dynamic portfolio selection with processcontrol. Journal of Banking and Finance, 30:2, pp 317 – 339.MacLean, L., Ziemba, W. (2006) Capital Growth: Theory and Practice. in Handbook ofAsset and Liability Management, S. Zenios and W. Ziemba, eds. Elsevier Science,Amsterdam.MacLean, L. and Richman, A.(2005) Systems reliability and maintenance. Proceedingsof the 23 nd International Systems safety Conference. San Diego, Ca.MacLean, L., Ziemba, W., & Zhao, Y. (2005) Growth-Security Models and StochasticDominance. To appear in Planning under Uncertainty, G. Dantzig and G. Infanger, Eds.254

MacLean, L. & Ziemba, W.T. (2005). Time to wealth goals in capital accumulation..Quantitative Finance, v5:no4, pp. 343-357.MacLean,L., Richman,V., Richman,A., & Larsson, S. (2005). The Dynamics of AircraftDegradation and Mechanical Failure. Journal of Transportation and Statistics, Vol 8, No1, pp1-11.Foster, M., & L MacLean (2004). Historic Simulation of an Optimal Portfolio Model.Canadian Journal of Business Economics, Sept. 2004, pp 1-9.MacLean, L., & A. Richman (2004) A Summary Index of Risk with Application toAviation Safety. Proceedings of the 22 nd International Systems safety Conference,Providence,RI.MacLean, L., Consigli, G. and Ziemba, W. (2004) Modeling Market Returns with aSpeculative Bubble. 2004 Proceedings of the American Statistical Association,Alexandra, VA: American Statistical Association.MacLean, L., Richman, V., Richman, A. (2004). The Predictability of Aircraft Failureswith Age. Journal of Aerospace 2003, pp 413-420.MacLean, L., Larsson, S., Richman. A. (2003). An Efficiency Analysis of AircraftMaintenance Programs. SAE Transactions. Manuscript 2003-01-2978.MacLean, L., Richman, A. (2003). An Epidemiological Approach to Aviation Safety.stProceedings of 21 International Systems Safety Conference, Ottawa.MacLean, L., Zhao, Y., & Ziemba, W.T. (2003). A process control approach toinvestment risk. IEEE International Conference on Computational Intelligence forFinancial Engineering , p. 265-270.MacLean,L., Ziemba,W.T., & Zhao, Y.(2003). Capital growth with security. Journal ofEconomic Dynamics and Control ,vol. 28, no.5, p937-954.MacLean,L., Richman, A., & Weldon, K. (2002). Systems degeneration and repair:modeling health status. Working Paper, School of Business Administration, DalhousieUniversity.MacLean, L., Richman, V., Richman, A., & Larsson, S. (2002). A model for aircraftaging. 2002 Proceedings of the American Statistical Association, Alexandria, VA:American Statistical Association.MacLean, L., Foster, M., & Ziemba, W.T. (2003). Empirical Bayes estimation ofsecurities price parameters. in Financial Engineering, E-Commerce and Supply Chain.P.M. Paradalos and V.K.Tsitsiringos, eds. Boston: Kluwer Academic, 47-58.255

MacLean, L., Zhao, Y., & Ziemba, W.T. (2002). Wealth goals investing. in Applications ofStochastic Programming, Wallace and W.T. Ziemba, eds, MPS-SIAM Series inOptimization. p.509 - 521.MacLean, L., & Foster, M. (2001). Empirical Bayes estimation of securities pricedistributions. 2001 Proceedings of the American Statistical Association, Alexandria, VA:American Statistical Association.MacLean,L. & Richman, A. (2001). Resource absorption in health maintenance systems.Health Care Management Science, vol. 4, no.4, pp. 337-347.MacLean, L., Richman, A., & Larsson, S. (2000). Aircraft maintenance: An efficiencyanalysis. Proceedings of Atlantic Schools of Business Conference, St. Johns, Nfld.MacLean, L.C., & Ziemba, W.T. (2000). Efficiency concepts in capital accumulationmodels. Philosophical Transactions of the Royal Society A, vol. 357, p. 2029-2037.MacLean, L.C., & Richman, A. (1999). Cost versus reliability in aircraft maintenance.Proceedings of the Sciences and Engineering Section, American Statistical AssociationJoint Meetings, Baltimore.MacLean, L.C., & Ziemba, W.T (1999). Growth versus security in dynamic investmentanalysis. Annals of Operations Research. vol. 85, pp.193-225.MacLean, L.C., & Richman, A. (1998). The efficiency of aircraft maintenance programs.in Handbook of Airline Finance. New York: McGraw-Hill, p. 585-592.MacLean, L.C., & Weldon, K.L. (1996). Estimation of multivariate random effectswithout replication. Communications in Statistics, vol. 25, no. 7, pp. 1447-1469.MacLean, L.C., Ziemba, W.T., & Blazenko, G. (1992). Growth versus security indynamic investment analysis. Management Science, vol. 38, no. 11.MacLean, L.C., & Ziemba, W.T. (1991). Growth-security profiles in capitalaccumulation under uncertainty. Annals of Operations Research vol. 81.MacLean, L.C., & Richman, A. (1990). Service profile variations. Proceedings of theAmerican Statistical Association.MacLean, L.C., & Ziemba, W.T. (1989). Balancing growth and security. in Computingand Computers for Control Systems, P. Borne, et al., ed. Basel, Switzerland: J.C. Baltzer,AG Scientific Publishing Co., pp. 417-419.MacLean, L. , & Richman, A.(1989). Physician practice style variations. Socio-EconomicPlanning Sciences, vol. 23, no. 6, 361-371.256

MacLean, L.C., & Weldon, K.L. (1988). Bayes estimation of factor scores. Proceedingsof the American Statistical Association.MacLean, L., Richman, A., & Garner, B. (1987). Adaptive decisions in the use ofhospital beds. Health Services Research vol. 21, no.6.Sutherland, W.R.S., & MacLean, L.C. (1987). Sensitivity analysis of optimal growthplans. Journal of Economics, vol. 21, no. 6, pp.741-755.MacLean, L.C., & Ziemba, W.T. (1986). Growth versus security in a risky investmentmodel. in Stochastic Programming, (ed. F. Archetti, G. DiPillo, and M. Lucertini),Lecture Notes in Control and Information Sciences, 76, New York: Springer-Verlag, pp.78-88.MacLean, L.C., & Ziemba, W.T. (1985). Expected values versus probability of ruinstrategies. in Stochastic Optimization, ed. V. Arkiin, A. Shiracv, and R. Wets, LectureNotes in Control and Information Sciences, 81, New York: Springer-Verlag, pp. 448-457.MacLean, L.C., & Sutherland, W.R.S. (1985). A nonlinear planning model withborrowing. Utilitas Mathematica, vol. 28, pp.19-29.MacKay, R.C., Storey, R.G., & MacLean, L.C. (1985). Job design for staff nurses:Different jobs for different nurses. Nursing Management, pp. 76-80.Coffey, W.J., MacLean, L.C., & Goodchild, M. (1982). Randomness and order in thetopology of settlement systems. Journal of Economic Geography, vol. 58, pp. 20-29.MacLean, L.C., Field, C.A., & Sutherland, W.R.S. (1981). Optimal growth anduncertainty: The borrowing models. Journal of Economic Theory, vol. 24, no. 2, pp.168-187.MacLean, L.C. (1980). Lagrange multipliers for chance constrained programs. Methodsof Operations Research, 41.Brown, M.G., & MacLean, L.C. (1980). Computerized ECG Interpretation:Technological Change for the Masses. In Optimization of computer – ECG Processing,ed. H. Wolf and P. MacFarlane, Amsterdam: North Holland.MacLean, L.C., & Weldon, K.L. (1977). Self sufficiency in a regional hospital system.Health Services Research, Fall, pp. 511-522.Gordon, P.O., Weldon, K.L., & MacLean, L.C. (1975) Trends in the frequency ofselected surgical procedures. N.S. Medical bulletin, vol. 54, pp. 191-195.MacLean, L.C., Weldon, K.L. , & Gordon, P.C. (1974). Trends in hospital beds in NovaScotia: Current supply and future needs. N.S. Medical Bulletin, 53, pp. 3-12.257

Gordon, P.C., Weldon, K.L., & MacLean, L.C. (1974). Trends in hospital utilization inNova Scotia. N.S. Bulletin, 53.Foster, M.E., & MacLean, L. C. (1985, June) An Evaluation of the Strait of CansoSubsidiary Agreement. Report to Department of Regional Industrial Expansion.MacLean, L.C. (1984, January). The Health Service System in Nova Scotia: A PhysicianPerspective, Report to Nova Scotia Medical Society for the Federal Task Force onResource Association.Storey, R.G., MacLean, L.C., et al. (1981, July). Turnover of Staff Nurses in Nova Scotia:Causes and Remedies, Queens Printer, Nova Scotia, 201 pp.MacLean, L.C., & Duffy, J.F. (1981, March). An Experiment in CoeducationalVenturing, a report to the Girls in Scouting task group.MacLean, L.C., & Weldon, K.L. (1978, July). Household Distribution in the Rural Areasof the Atlantic Provinces, Government Studies Program, Dalhousie University.(Technical report to the Department of Communications, Government of Canada).Weldon, K.L., & MacLean, L.C. (1977, July). Atlantic Region Demographic Study,Government Studies Program, Dalhousie University. (Technical report to the Departmentof communications, Government of Canada).MacLean, L.C., & Pereira, L. (1974). A Compendium of Health Indices, Department ofPreventive Medicine, Dalhousie University. (This 18 volume series contains profiles ofthe counties of Nova Scotia).Conference Presentations (in abstract)I have made over 70 presentations at national and international seminars, workshops andconferences. Presentations in the most recent years:“ Risk Indicators in Financial markets”, MAF’08, Venice, March 26-28, 2008.“The Control of Investment Risk” SPXI Conference, Vienna, August 27 – 31, 2007.258

“Statistical Methods for Poisson Distributors”, Systems Safety XXI Conference,Baltimore, August 15, 2007.“Weak Interest Rate Parity and Currency Portfolio Diversification” EURO 2007, Prague,July, 2007“The Kelly Criterion”, Keynote address (with W. Ziemba) at EURO 2006, Reykjavik,Iceland, July, 2006.“Risk Control in a Speculative Financial Market”, presented at EURO 2006, Reykjavik,Iceland, July, 2006.“Weak Interest Rate Parity and Currency Portfolio Diversification”, presented at theChina International Finance Conference 2006, Xi’an, China, July, 2006.“Speculative Bubbles: Asset Prices with Yield Dependent Market Corrections”, presentedat the International Conference in Financial Engineering, Gainsville, Florida, March,2006.“Pricing Models with State Dependent Shocks”, presented at International Federation ofOperations Research Societies Conference, Hawaii, August, 2005.“Systems Reliability and Maintenance”, presented at theSafety Conference, San Diego, August, 2005.rd23 International Systems“Capital Growth: Theory and Practice”, presented at Canadian Operations ResearchSociety Conference, June, 2005.“Market Bubbles and Dynamic Control Strategies”, presented at X StochasticProgramming Conference, Tucson, Arizona, October, 2004.“Modeling Market Returns with a Speculative Bubble”, presented at the Joint StatisticalMeetings, Toronto, Canada, August, 2004.“Risk Indexing with Commercial Aircraft”, presented at 22 nd International SystemsSafety Conference, Providence, NH, August, 2004.“Risk Control in a Speculative Financial Market”, presented at Bachelier Finance SocietyThird World Congress, Chicago, July, 2004.“Market Bubbles and Dynamic Control Strategies”, presented at APMOD2004, BrunelUniversity, London, UK, June, 2004.“Risk Control of Dynamic Investment Models,” presented at INFORMS, Atlanta,October, 2003.259

“Epidemiological Approach to Aviation Safety,” presented at the 21 st InternationalSystems Safety Society Conference, Ottawa, August, 2003.“Empirical Bayes Estimation with Portfolio Models,” presented at the Statistical Societyof Canada Annual Conference, Halifax, June, 2003.“Alternative Approaches to Investment Risk,” presented at the International Conferenceon Modeling, Optimization and Risk Management in Finance, University of Florida,March, 2003.“Time to Wealth Goals in Capital Accumulation,” presented at the Bachelier FinanceSociety World Congress, Crete, June, 2002.“Wealth Goals Investing,” presented at APMOD 2002, Varena, Italy, June, 2002.“Aging Aircraft: Evidence from Unscheduled Landings,” presented at the AmericanStatistical Association JSM, New York, August, 2002.“Capital Growth with Security,” presented at the IX Stochastic Programming Conference,Berlin, August, 2001.“Empirical Bayes Estimation of Asset Price Distributions,” presented at the AmericanStatistical Association JSM, Atlanta, August, 2001.“System Degeneration and Repair: Modeling Health Status,” presented at theHealth Services Research Conference, Los Angeles, July, 2001.“Aircraft Maintenance: An Efficiency Analysis,” presented at the Atlantic Schools ofBusiness Conference, St. Johns, October, 2000.“Growth Versus Security in Capital Accumulation,” presented at the Workshop on Risk,Carnegie Mellon University, Pittsburg, July 2000.“Capital Growth with Security,” presented at APMOD 2000, Brunel University, London,April, 2000.“Cost versus Reliability in Aircraft Maintenance,” presented at the American StatisticalAssociation JSM, Baltimore, Aug. 1999.“Time to Wealth Goals in Capital Accumulation,” presented at the Workshop onApplications of Planning under Uncertainty, EPRI, Palo Alto, California, July 1999.“Growth versus Security in Dynamic Investment Analysis,” presented at HighPerformance Computing for Financial Planning, Ischia, Italy, April, 1999.260

Research GrantsI have held external funding for my research program during my career atDalhousie (1972 – present). My grants have been to support travel, andexpenses such as computing, printing and telephone. Since the degreesoffered by the School of Business Administration do not have a thesisrequirement, and there are no research students, I have not providedfinancial support to students or assistants.Type of Grant Funding Agency Amount TermResearch Grant Lamb Trust $50,0002005-2010Discovery GrantNSERC$55,0002005-2010IndividualOperating GrantNSERC$50,0002000-2005 (5 yr.)Research GrantSchool of Business$3,5002000IndividualOperating GrantNSERC$40,0001996 – 2000IndividualOperating GrantNSERC$18,0001989 – 1992IndividualOperating GrantNSERC$15,0001986 - 1989IndividualOperating GrantNSERC$12,0001983 – 1986Travel GrantNSERC$7201983Research GrantRDF$1,1001981IndividualOperating GrantNSERC$10,0001980 – 1983IndividualOperating GrantNSERC$7,5001977 - 1980Research GrantNova ScotiaCouncil of Health$3,3001975Research GrantDennis MedicalFund$1,2001974261

ResearchFellowshipNational Health andWelfare$28,800 1972 - 1975.Administration and ServiceCommitteesI have served on many university committees and administrative units. In the mostrecent year (2003) I serve on the following:AssociationsUniversity SenateSenate Committee on Academic AdministrationFaculty of Graduate Studies: RDF CommitteeFaculty of Graduate Studies: International Development Studies Unit ReviewCommitteeFaculty of Medicine: CH&E Promotion and Tenure CommitteeFaculty of Management: SBA Research Committee.Faculty of Management: MBA Curriculum Committee.I am a member of the following associations:American Statistical Association (ASA)Stochastic Optimization Network (SONET)EURO Working Group on Financial Modeling.INFORMSReviewingI have been a reviewer for the following journals:Annals of Operations ResearchApplied Mathematical FinanceBanking and FinanceCanadian Journal of Administrative SciencesComputational Optimization and ApplicationsHealth Services ResearchInternational Journal of Operations ManagementJournal of Economic TheoryManagement ScienceQuantitative FinanceSocio-Economic Planning Sciences262

CAROLAN McLARNEYFaculty of ManagementDALHOUSIE UNIVERSITYHalifax, NS B3H 3J5EducationDoctor of Philosophy (Policy)York University,Schulich School of Business, North York, Ontario, CANADA.Major:Strategic Management and International BusinessDissertation Topic: Strategic Planning and Environmental TurbulenceGraduation Date: June 1997Masters of Business AdministrationUniversity of WindsorFaculty of Business Administration, Windsor, Ontario, CANADA.Major: International BusinessThesis Topic: International Marketing StrategiesGraduation Date: June 1988Bachelor of Commerce (Economics)University of WindsorFaculty of Business Administration, Windsor, Ontario, CANADA.Double Major: Business Administration and EconomicsGraduation Date: June 1987Diploma in Radiological TechnologyFanshawe College, London, Ontario, CANADA.Graduation Date: September 1982.Research and Teaching ExperienceJuly 2007–PresentProfessorDalhousie University: International & Strategic Management263

July 2002–PresentAssociate ProfessorDalhousie University: International & Strategic ManagementJuly 2001–July 2004Director, Centre for International Business StudiesAssociate ProfessorDalhousie UniversityJuly 1999–July 2002Assistant ProfessorDalhousie University: International & Strategic ManagementMarch 1999Aug 1996-Course Developer & InstructorState Farm Executive ProgramAssistant ProfessorJune 1999 Illinois State University: International& Strategic ManagementJan 1994- Course Co-Ordinator1996 York University: Strategic Management (Undergraduate Level)June 1993 Senior Tutor1995 York University: East/West Enterprise Exchange1992 to 1994 Research Assistant to Dr. Philip PhanPolicy DepartmentFaculty of Administrative Studies, York University1987 to 1988 Graduate Assistant to Dr. BJ PunnettDepartment of Policy & StrategyFaculty of Business Administration, University of Windsor264

Grant HistoryDATESAGENCYAMOUNT2005 Centre for International Business $ 5,0002004 Centre for International Business $ 1,0002003 Centre for International Business $12,5002001 Centre for International Business $ 2,5002000 Centre for International Business $ 2,5002000 School of Business AdministrationDalhousie University $ 3,5001999 School of Business AdministrationDalhousie University $ 2,4641999 Centre for International Business $ 2,5001998 Illinois State University $ 6,5001998 Institute for Entrepreneurial Studies $ 2,2001997 Illinois State University $ 6,5001997 Mitsubishi Motor Manufacturing Company $25,0001996-94 Social Science & Humanities Research Council $28,0001994-92 Schulich School of BusinessYork University $24,000265

Honours2008 Faculty of Management, Teaching Excellence AwardDalhousie University2008 Teaching Excellence Award, Faculty of Management,Dalhousie Student Union, Dalhousie University2008 Second Year MBA Professor of the Year,School of Business Administration, Dalhousie University2008 Commerce Professor of the Year,School of Business Administration, Dalhousie University2005 Faculty of Management Teaching Excellence Award,Dalhousie University2003 A. Gordon Archibald Award for Teaching Excellence,Dalhousie University2003 MacLean’s Ranking: Hot Professor for Dalhousie University2002 MacLean’s Ranking: Hot Professor for Dalhousie University2001 MacLean’s Ranking: Hot Professor for Dalhousie University2001 Commerce Professor of the Year,School of Business Administration, Dalhousie University1999 ANBAR Citation of Excellence for “Post Materialism’s ‘SilentRevolution’ in Consumer Research,” Marketing Intelligence andPlanning1999 Best Paper for the Marketing Division. “Post Materialism’s ‘SilentRevolution’ in Consumer Research: Still Silent After All These Years,”Atlantic Schools of Business Conference.1999 Outstanding Paper of the Year for Management Decision and ANBARCitation of Excellence for “When Giants Collide: Strategic Analysisand Application,”1994-96 S.S.H.R.C. Doctoral Fellowship1992-94 York University Doctoral Scholarship1988 Canada-Hong Kong Trade Competition266

Academic ServiceFaculty AdvisorInternational Business Major (B.Comm)Concentration in International Business (MBA)Committee Member Senate, Dalhousie University (’06-’09)Senate Academic Priorities and Budget Committee (’06-’09)Senate Library Committee (’07-’09)Senate Disciplinary Committee (’06–’07)MBA (Financial Services) Curriculum Committee (’03-on going)MBA Curriculum Committee (’99-’00)B.Comm Curriculum Committee (’00-’03)Library Liaison (’99-’02)Research Mentoring Committee (’02-’03)Research and Visiting Speakers Committee (’99-05)International Programs Committee, Academy of ManagementAcademic Reviewer Strategy Division, ASAC 2001Program Chair Strategy Division, ASAC 2002Division Chair Strategy Division, ASAC 2003ReviewerBoard MemberManagement Education Division, Academy of ManagementAdministrative QuarterlyCaptus PressStrategy Division, ASACInternational Business Division, ASACSocial Sciences and Humanities Research CouncilWorkplace Review, Editorial Board267

Summary of Scholarly ActivityRefereed Journal Articles 23Edited Book Chapters and Academic Contributions 2Refereed Conference Proceedings 21Refereed Conference Presentations 22Manuscripts Under Review 32009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999Journal2 5 1 1 2 1 3 4 4ArticlesProceedings 1 3 2 1 2Chapters 1 1Research & PublicationsUnder ReviewMcLarney, C. & Chung, E. (2009) “Corporate Strategy Operating within NAFTA,”International Journal of Economic Studies.Moros, O. & McLarney, C. (2009) “Knowledge Management: Application of TacitKnowledge in Business Organizations,” Vikalpa.PublishedMcLarney, C. & Chung, E. (2009) “The UK Beverage Industry: Changing Nuances ofEffective Strategic Planning Processes,” forthcoming Journal of ManagementResearch.McLarney C. (2009) “Mary Parker Follett on Leadership,” Journal of Management., Vol.7,No. 1, pp12-23.Frade, L & McLarney, C. (2008) “Game Theory Applied to the Insurance Industry:Observations of the Prisoner”, Academy of Taiwan Business ManagementReview, Vol. 4, No. 3.McLarney, C. (2008) “The 7 UP’s: Transforming Planning Processes in the BritishBeverage Industry,” Journal of Management Research Vol. 7, No 2.Chung, E, McLarney, C & Gillen, M. (2008) “”And it’s gonna take some time this time”:Social Policy Recommendations to Alleviate Stress Among Informal Providers ofElder Care”. International Journal of Sociology and Social Policy, Vol. 28, pp.340-350.268

McLarney, C. & Chung, E. (2008) “An Investigation of The Kaisha: A Study in PartnerManagement,” International Journal of Business Strategy, Vol. 5, No. 2, pp. 7-23.McLarney, C., Chung, E. Wicks, D (2008) “On-Line Surveys May Be Hazardous to YourCorporate Health,” Journal of Business Research. Vol. 7, No. 1, pp. 59-73.Howse, J & McLarney, C. (2006) “The Big Pictures: Sources of NationalCompetitiveness in the Global Movie Industry” Vikalpa, Vol. 31, no. 3, pp. 19-44.Rosson, P. & Mclarney, C. (2006) “Industry Clusters in Peripheral Regions: ABiotechnology Case Study” in R. Macgregor & A. Hodgkison (Eds.), SmallBusiness Clustering Technologies: Applications in Marketing, Management,Economics, Finance and IT, Ideas Publishing, pp. 99-126.Rosson, P. & McLarney, C. (2005) “Developing Clusters in Peripheral Regions:Biotechnology in Halifax, Nova Scotia, Canada” Proceedings, Joint 8thUddevalla Symposium and McGill International Entrepreneurship Conference.Shaikh, S. & McLarney, C. (2005) “Where does all the money go? An Investigation ofDonation Filtration” International Journal of Sociology and Social Policy, Vol. 25,No. 6.Howse, J & McLarney, C. (2004) “The Big Pictures: Sources of NationalCompetitiveness in the Global Movie Industry” Proceedings, Atlantic Schools ofBusiness Conference.Shaikh, S. & McLarney, C. (2004) “Where does all the money go? An Investigation ofDonation Filtration” Proceedings, Atlantic Schools of Business Conference.McLarney, C. (2004) “Grape ‘N Hops: Transforming Planning Processes in the BeverageIndustry,” Proceedings, Mid West Academy of International BusinessConference.Rosson, P. & McLarney, C. (2004) “Biotechnology Companies and Clustering in NovaScotia,” in D. Wolfe & M. Lucas (Eds.), Clusters in a Cold Climate: InnovationDynamics in a Diverse Economy, McGill-Queen’s University Press and School forPolicy Studies, Queen’s University, 73–94.McLarney, C. (2003) “To Calm a Turbulent Sea: An Assessment Of Effective StrategicPlanning Processes In Chaotic Environments,” Vikalpa.McLarney C. (2003) “A Driving Force: An Analysis of Strategic Planning in theAutomotive Industry,” Business Process Management Journal.269

McLarney, C. (2002) “Stepping into the Light: Impact of Stakeholders on Competition,”Journal of Organizational Change Management, Vol. 15, Issue 3, 255-273.Chung, E., Jenkel, I & McLarney, C. (2001) "Deconstructing Paradise: Beneath theHegemonic Illusions of Harmony," International Journal of Sociology and SocialPolicy, Vol. 21, No. 7, 9-25.McLarney, C. (2001) “Strategic Planning-Effectiveness-Environment Linkage: An ExplorationUsing the Case Study Methodology,” Management Decision, Vol.39, No. 10, 809-817.Brar, B. & McLarney, C. (2001) “Poised for Success?: An Analysis of the Halifax BiotechnologyCluster” Proceedings, Atlantic Schools of Business Conference, 190-191.Gollogly, K. & McLarney, C. (2001) “The Forgotten Partners: Canadian Private SectorInvolvement in Latin America” Proceedings, Atlantic Schools of Business Conference, 130-144.McLarney, C. & Ramakrishna, D. (2001) “Socio-Political Structures as Determinants ofGlobal Success: The Case of Enron Corporation,” International Journal of SocialEconomics, Vol.28, No. 4, 349-367.McLarney, C. & Chung, E. (2000) “What Happened is Prologue: Creative Divergenceand its Role in the Fabrication of Corporate Culture,” Management Decision,Vol. 38, No. 6, 410-419.McLarney, C. & Chung, E. (2000) “The Classroom as a Service Encounter: Suggestionsfor Value Creation,” Journal of Management Education, Vol. 24, No. 4, 484-500.McLarney, C. & Rhyno, S. (2000) “International Joint Venture Negotiations: UsingReciprocating Agency Theory to Examine Behavior and Relationship Outcomes,”Journal of Global Business, Vol. 11, No. 21, 37-47.Downes, M., Thomas, A. & McLarney, C. (2000) “Cyclical Effect of ExpatriateSatisfaction: The Link to Organizational Performance” The LearningOrganization, Vol. 7, No.3, 122-134.McLarney, C., Wicks, D., Rhyno, S. & Chung, E. (2000) “On-Line Surveys May beHazardous to Your Corporate Health: A Framework for Assessing and ImprovingMarket Research Survey Quality,” Proceedings of the 2000 IBAM Conference,November 2000.McLarney (1999) “Playing in the Giant’s Field: Resource Leveraging as CompetitiveStrategies for Global SME’s,” New England Journal of Entrepreneurship. Vol. 2,No. 2, 21-30.270

1McLarney, C. & Chung, E. (1999) “Post Materialism’s ‘Silent Revolution’ in ConsumerResearch,” Marketing Intelligence and Planning. Vol. 17, No. 6. 288-297.McLarney, C. & Randolph, S. (1999) “Supplier-Partnering Management: A Case Studyof the Kaisha,” Proceedings, Atlantic Schools of Business Conference, October1999.McLarney C. & Rhyno, S. (1999) “Mary Parker Follett: Visionary Leadership andStrategic Management,” Women in Management. Vol. 14, No. 7, 292-302.2Chung, E & McLarney, C. (1999) “Post Materialism’s ‘Silent Revolution’ in ConsumerResearch: Still Silent After All These Years,” Proceedings, Atlantic Schools ofBusiness Conference, October 1999.3&4Chung, E. & McLarney C. (1999) “When Giants Collide: Strategic Analysis andApplication,” Management Decision. Vol. 37, No. 3, 233-247.McLarney, C. (1998) “Resource Leveraging: Competitive Strategies for SME’s in theGlobal Marketplace,” Proceedings, Allied Academies International Conference,October 1998, 187-199.McLarney, C. (1998) “China in the 21 st Century: The Daimler Benz Experience,”Proceedings of the 1998 International Business and Economics Conference,October 1998, 8-20.McLarney C. (1998) “First Among Equals: Leadership Roles in Group Decision Making-The Follettian Perspective,” Proceedings, North American Management SocietyConference, March 1998, 85-91.McLarney, C. & Rhyno, S. (1998) “Learning to Play Well with Others: Team Buildingwith MBA Students” Proceedings, Illinois State University Teaching Symposium,Fall 1998, 38.McLarney, C. & Rhyno, S. (1998) “Beyond Agency Theory: The Use of ReciprocatingRelationships to Predict International Joint Venture Success,” Research inInternational Business & International Relations (JAI Press), Vol. 7., 219-246.McLarney, C. & Chung, E. (1998) “Maneuvering in the Global Marketplace: Using Lessand Getting More,” Proceedings, Globalization and its (Dis)Contents: MultiplePerspectives Conference, April 1998.1 Received ANBAR Citation of Excellence2 Received Best Paper for the Marketing Division.3 Received ANBAR Citation of Excellence.4 Received Outstanding Paper of the Year for Management Decision271

McLarney C. (1997) “The Shadows Step Out: A Stakeholder View of CompetitiveStructure,” Proceedings, Institute of Behavioural & Applied ManagementConference, October 1997, 162-170.McLarney C. (1997) “Let the Circle be Unbroken: Wrestling with CompetitiveDynamics,” Proceedings, Global Competitiveness Conference, October 1997,302-314.McLarney, C. & Clarke, S. (1995) “Shocks to the Competitive System: The Ties ThatBind,” Proceedings, Administrative Science Association of Canada Conference,Summer 1995, 57-66.McLarney, C. (1994) “Visionary Leadership: A Follettian Perspective,” Proceedings ofthe International Federation of Scholarly Associations of ManagementConference, Summer 1994, 238-244.McLarney, C. (1994) “Life is Not a Dress Rehearsal: An Ethnographic Study,”Proceedings, Qualitative Health Research Conference, Summer 1994, 100-110McLarney, C. & Chung, E. (1994) Instructor’s Manual for Global Management (writtenby Mendenhall, Punnett and Ricks) Fall 1994.McLarney, C. & Chung, E. (1994) “Objects in the Rear-View Mirror May Appear CloserThan They Are: Creative Divergence as Entrepreneurial Strategy,” Proceedings,Annual Nordic Marketing Conference, Fall 1994, 49-60.McLarney, C. & Chung, E. (1994) “Maneuvering at Midway: Leveraging your way out ofAnnihilation,” Proceedings, Annual Nordic Marketing Conference, Fall 1994, 1-16.Phan, P., Lee, S., & McLarney, C. (1993) “Beyond Agency Theory: Human Capital asthe Critical Link in the Performance-CEO Dismissal Equation,” Presentation atthe 1993 Academy of Management Meetings.McLarney, C. (1983) “Is Ultrasonography Safe?” Radiology, Spring 1983.McLarney, C. (1982) “Ultrasonography of the GallBladder: Case Analysis,” Radiology,Spring 1982.272

Richard Ronald NasonEducation• Chartered Financial Analyst (CFA), Association for Investment Management Research,1996• Doctor of Philosophy (Finance), Ivey School of Business at The University of WesternOntario, 1993• Master of Business Administration, Ivey School of Business at The University ofWestern Ontario, 1990• Master of Science (Physics), The University of Pittsburgh, 1985• Bachelor of Science, Summa Cum Laude, (Chemistry, Mathematics), McMurryUniversity, 1983Thesis“Heteroscedasticity in Returns: ARCH Effects Versus the Mixture of DistributionsHypothesis”, Completed Spring, 1993, Supervisor Dr. Robert W. WhiteHonours, Scholarships and Awards• Management Teaching Excellence Award, 2008• A. Gordon Archibald Award for Teaching Excellence, 2006• Voted “Second Year Professor of the Year”, by MBA Students, Dalhousie University,2006, 2007• Voted “Professor of the Year” by MBA Students, Dalhousie University, 2004• Voted “First Year Professor of the Year” by MBA Students, Dalhousie University 2003• Honourary Membership in Golden Key International Honour Society, 2004• Social Sciences and Humanities Research Council of Canada Doctoral Fellowship1991, 1992• University of Western Ontario Plan for Excellence Fellowship 1991• University of Western Ontario Special University Scholarship 1990, 1991• University of Western Ontario MBA Entrance Scholarship 1989• Who’s Who in American Colleges and Universities 1983• McMurry University Dean’s List 1981, 1982, 1983• Top Male Student Athlete, McMurry University 1983• Lone Star Conference Male Singles and Doubles Champion 1983• Lone Star Conference All Academic Team 1983• Welch Undergraduate Research Fellowship, McMurry University 1983• Outstanding Physics Student, McMurry University 1981, 1982, 1983• Outstanding Mathematics Student, McMurry University 1981, 1982• CRC Press Freshman Chemistry Award, McMurry University 1981273

• McMurry University Presidential Scholarship, 1981, 1982, 1983• McMurry University Endowed Chemistry Scholarship, 1981, 1982, 1983• Alpha Chi Honourary Scholarship Society• Gamma Sigma Epsilon Honourary Chemical FraternityIndustry Experience• Senior Partner, RSD Solutions LLC, Chicago, Illinois, January 2003 – PresentFounding partner in a financial risk management consulting firm that provides cuttingedge risk management solutions for middle market corporations, investment funds andglobal financial institutions. Consulting projects have included developing credit riskmodels for a multinational bank, advising on hedging strategies to corporations,developing financial risk management policies and procedures, and delivering trainingprograms to a variety of different financial institutions.• Principal, Head of Training and Development, Global Markets Group, Bank ofAmerica, Chicago, Illinois, July 2000 – December 2001Created a department for the training and development of both front and back officecapital market professionals. Developed and delivered a curriculum that included courseson derivatives (interest rate, foreign exchange, credit and commodity), risk management,fixed income, foreign exchange, financial mathematics and CFA reviews. Researchedand delivered custom seminars on a wide range of topics including real options,investment fund ratings, interest rate history, stochastic calculus, Monte Carlo simulation,and advanced portfolio theory. In partnership with outside vendors, my group designedand implemented a series of distance training program using several new methodologies.• Vice-President, Head of Credit Derivatives, BMO-Nesbitt Burns (Bank of Montreal),Chicago, Illinois, October 1997 – July 2000Managed the development of the bank’s credit derivatives operation from start-up to afully operational unit. Responsibilities included developing business strategy,researching proprietary risk management and pricing models, managing portfolio andtrading risk, initiating a marketing effort, handling necessary administrative tasks,staffing and general development of the business within the context of the Bank’ssyndication and credit portfolio activities. Bank of Montreal was considered to be aleader in credit derivatives at this groundbreaking time for this market and I wasfrequently asked to present at conferences or to be quoted in the industry journals.• Faculty Head, Corporate Finance and Capital Markets, Bank of Montreal, InstituteFor Learning, Scarborough, Ontario, July 1995 - October 1997Developed and implemented a new finance curriculum for the internal training centre ofBank of Montreal, Nesbitt Burns and Harris Bankcorp. Particular emphasis was placed274

upon developing a culture of financial engineering in order to increase awareness of itsimportance within the corporate and investment bank. Courses developed and taughtincluded derivatives, financial engineering and risk management, corporate valuation,mergers & acquisition finance, financial mathematics, and financial product marketing.• Equity Derivatives Specialist, Citibank, New York, New York, June 1993 - June 1995Responsible for the origination, structuring and marketing of derivatives strategies forthe equity derivatives group. Directly involved in all phases of new productdevelopment from idea origination , product risk analysis, and pricing through to designand implementation of the marketing strategy. Clients included high net worthindividuals and groups, pension funds, other institutional investors, and corporates.Developed a proprietary portfolio risk analytic methodology for analyzing a client’sinvestment portfolio or a corporate’s ALM portfolio for derivative applications.Academic Experience• Assistant / Associate Professor, Dalhousie University, September 2002 - PresentProfessor for both core undergraduate and graduate corporate financial managementcourses. Designed and delivered MBA elective courses on corporate finance, derivatives,investments, capital budgeting and risk management. Additionally designed anddelivered a for credit prep course for the Chartered Financial Analysts program that wasconducted at St. Mary’s University. Initiated and mentored a student run Finance Clubthat brought in a variety of speakers from the Canadian Financial industry.• Mathematics Department, University of Toronto, Toronto, Ontario, 1999, 2000Co-developed, designed and delivered the course “Applied Corporate Finance andCapital Markets” in the Financial Mathematics Program at the University of Toronto.This financial engineering seminar series focused on the development and marketing ofderivative products to both the corporate and institutional investor markets. Was also anoriginal member of the program’s Advisory Board.• Richard Ivey School of Business, University of Western Ontario, London, Ontario,1996, 1997Redesigned and delivered a second year MBA course on Financial Management. Topicscovered included risk management, derivatives, financial structuring, valuation, EVA,mergers and acquisitions, capital raising and alternative financing, and stakeholdermanagement.• Rotterdam School of Management, Rotterdam, Netherlands, 1993, 1994275

In partnership with a colleague, conducted the first year MBA corporate finance courseat Erasmus University. Topics included valuation, financial strategy, capital structure,dividend policy, mergers & acquisitions, derivatives and risk management.Refereed Papers• Nason, R., Cochran, A., 2006, “Conservation of Value: Lessons from Physics forFinance”, JOURNAL OF APPLIED BUSINESS AND ECONOMICS, 6, (2),• Smith, B., White, R.W., Robinson, M., Nason, R., 1997, “Intraday volatility andtrading volume after takeover announcements”, JOURNAL OF BANKING ANDFINANCE 21, 337• Nason, R., Cohen, B.L., 1987, “Correlations between 226 Ra in soil, 222 Rn in soil gas,and 222 Rn inside adjacent houses,” HEALTH PHYSICS 52, 73• Cohen, B.L., Nason, R., 1987, “Indoor radon levels in Cumberland County, Pa.,”ENVIRONMENT INTERNATIONAL 13, 293.• Cohen, B.L., Nason, R., 1986, “Radon chamber for calibration of charcoal detectors,”HEALTH PHYSICS 51, 135.• Cohen, B.L., Nason, R., 1986, “A Diffusion barrier charcoal absorption collector formeasuring Rn concentrations in indoor air,” HEALTH PHYSICS 50, 457.• Cohen, B.L., Rakowski, J., Nason, R., 1986, “A simple compact apparatus formeasuring diffusion properties of Rn through soils and other materials,” HEALTHPHYSICS 50, 133Sponsored Publication• Nason, R., Cromarty, C., Maglic, S., “Credit derivatives: an organisational dilemma”CREDIT RISK SPECIAL REPORT - RISK, March 1998276

Published Cases• Branson Brothers, Used for the 2007 RMA / RBC Credit Risk Centre Credit RiskCase Competition• Seaview Fabricators, Used for the 2006 RMA / RBC Credit Risk Centre Credit RiskCase Competition• Learning Dividends, Used for the 2005 RMA / RBC Credit Risk Centre Credit RiskCase Competition• Byelorussian Stock Exchange [under the supervision of J. Kairys], The University ofWestern Ontario, 1992• Township Motors [with J. Humphrey and P. Bishop] in Canadian Cases in FinancialManagement, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant,P. Bishop, Prentice-Hall, Scarborough, Canada 1991• Wright Anderson Machines [with P. Bishop] in Canadian Cases in FinancialManagement, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant,P. Bishop, Prentice-Hall, Scarborough, Canada 1991• Air Canada – IPO [with D. Shaw] in Canadian Cases in Financial Management,Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant, P. Bishop,Prentice-Hall, Scarborough, Canada 1991• Waterside Furniture Company [with P. Bishop] in Canadian Cases in FinancialManagement, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant,P. Bishop, Prentice-Hall, Scarborough, Canada 1991• British Columbia Telephone Company [with J. Hatch] in Canadian Cases in FinancialManagement, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant,P. Bishop, Prentice-Hall, Scarborough, Canada 1991• Fisher Electric Inc. [with D. Shaw] in Canadian Cases in Financial Management,Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant, P. Bishop,Prentice-Hall, Scarborough, Canada 1991• Gourmet Gadgets Inc. [with J. Humphrey] in Canadian Cases in FinancialManagement, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch, L. Wynant,P. Bishop, Prentice-Hall, Scarborough, Canada 1991• Noranda Mines Limited [with D. Porter, D. Shaw and P. Bishop] in Canadian Casesin Financial Management, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch,L. Wynant, P. Bishop, Prentice-Hall, Scarborough, Canada 1991277

• Grapple Grommet Corporation [with M. Geisterfer and P. Bishop] in Canadian Casesin Financial Management, Second Edition, edited by D. Shaw, J. Humphrey, J. Hatch,L. Wynant, P. Bishop, Prentice-Hall, Scarborough, Canada 1991• Belleview Hotel [with J. Humphrey], Ivey Business School Publications, 1991• Fair Weather Boat [with J. Hatch], Ivey Business School Publications, 1991• Highland Dairies [with D. Shaw], Ivey Business School Publications, 1991• Perreault Brothers [with J. Hatch], Ivey Business School Publications, 1991Research and Projects Currently in Development• “Credit Derivatives as a Leading Indicator”. This study is examining whether or notthe credit derivatives market acts as a leading indicator over the fixed income / bondmarket, and the stock market. Existing evidence indicates that trading in the creditderivative market, in part due to its linkages to the corporate bank loan market, is amore efficient source of information about forthcoming credit changes than either thebond or the equity markets. This study examines a specific test of this hypothesis.• “Credit Derivatives and Strategic Management Issues”. This study follows on thearticle written in 1998 for RISK with C. Cromarty and S. Maglic. The rapid rise ofthe credit derivatives market has created a new set of strategies that banks can nowutilize to manage their credit risks. This study examines the pros and cons of each ofthe different strategic management choices that financial institutions must make uponentering the credit derivative market and how these choices impact the success of thegroup in achieving its strategic goals.• “Strategic Implications of the Credit Derivatives Market”. Following from thepreviously mentioned research, this project looks at the implications of the rise of thecredit derivatives market from a macro-economic perspective. Particularly thisproject examines two main issues; (1) the relation of the credit derivatives market tothe pricing and availability of corporate credit, and (2) whether Canadian financialinstitutions are disadvantaged or not due to a relative lack of liquidity in Canadiancredits in the global credit derivative market. This project is being funded by a grantfrom the Schulich School of Business National Research Program in FinancialServices and Public Policy• “Psychological Factors for Predicting Trading Skill”, in collaboration with Dr. DavidClark of the University of New Brunswick. Utilizing a sample group composed ofnew hires for bank trading desks, this study will test various psychological factors tosee, what if any relationships exist between a person’s psychological make-up andtheir trading skill. A secondary component of this study will examine the differencebetween a person’s perception of risk and resultant risk in a trading context.278

• “Valuation of Intellectual Property”, directing the research Interdisciplinary PhDstudent Andrew Cochran. This study looks at the very important, but academicallyignored area of valuation of intellectual property. In particular, the research isdeveloping new frameworks which incorporate ideas from physics, biology, networktheory and law.• “Market Impacts of Corporate Financial Risk Management”. This project examinesthe use of derivatives and other hedging mechanisms by corporations and measuresthe impact on company valuation, stock price performance and volatility.279

Presentations at Professional Meetings & Invited Lectures• Mackay Lecture Series, “Lessons From the Credit Crunch”, Halifax, November 2007• Shad Valley Seminar, “Three Tough Business Problems for Scientists”, Halifax, July2007• Ottawa CFA Society Luncheon, “Credit Derivatives as Investments”, Ottawa,December 2006• McMurry University, “Trends in International Finance”, & “Business Studies in aLiberal Arts Context”, November 2006• Canadian Annual Derivatives Conference, “Behavioural Finance: Psychology MeetsTrading”, pre-conference seminar presentation, Toronto, September 2006• Treasury Management Association of Canada Annual Conference, “HaveAccountants and Regulators Gone Completely Mad?” with Stephen McPhie,Montreal, September, 2006• Shad Valley Seminar, “My Life as a Quant”, Halifax, July 2006• Risk Magazine Conference, “Derivatives Master Class”, pre-conference trainingseminar, New York, July 2006• Atlantic Canada CFA Society Luncheon, “Credit Derivatives as Investments”,Halifax, March 2006• Treasury Management Association of Canada Halifax Chapter Meeting, “Hope is Nota Risk Strategy”, Halifax, May 2006• Dalhousie Open House, “The Evolving Investment Industry”, with Steve Mantle,Halifax, October 2005• Shad Valley Seminar, “Monte Carlo Simulation and Valuing Baseball Contracts”,Halifax, July 2005• Treasury Management Association of Canada St. John’s Chapter Meeting, “Hope isNot a Risk Strategy”, St. John’s, June 2005• Atlantic Schools of Business Conference, “Conservation of Value: Lessons fromPhysics for Valuation” with Andrew Cochran, Halifax, September 2005280

• Atlantic Schools of Business Conference, “Institutional Management of CreditDerivatives” with Greg Hebb and Mark Griffiths, Halifax, September 2005• National Business and Economics Society, “Conservation of Value: Lessons FromPhysics”, Key West, FL, March 2005• Dalhousie Master Minds Lecture Series, “Jimmy Stewart Would Be Amazed”,Halifax, October 2004• University of New Brunswick, Saint John, “Credit Derivatives”, Saint John, August2004• Saint Mary’s University, “Credit Derivatives: A Heaven Sent Pandora’s Box”,Halifax, May 2004• Nova Scotia Energy Research and Development Forum, “Managing Energy PriceRisk”, Antigonish, May 2004• Dalhousie University, “Credit Derivatives: A Heaven Sent Pandora’s Box”, Halifax,February 2003• Dalhousie University, “Credit Derivatives: An Introduction to the Issues”, November2002• Canadian Institute of Actuaries, “Three mini-lectures on derivatives for riskmanagement and investing”, (Lecture at Society Investment Meeting), Toronto, 2002• Centro de Estudios Monetarios Latinamericanos (CEMLA), “An Introduction toDerivatives”, (a set of lectures to Latin American Central Bankers), Mexico City,2001• Thunderbird American Graduate School of International Management Winterim(Lecture to the Thunderbird’s Winterim Class of 2000), “The Credit DerivativesMarket”, New York 2000• Thunderbird International School of Management, “Credit Derivatives – A NewMarket”, (Open lecture to faculty, students, and alumni), Glendale, AZ, 1999• McMurry University, “From the Science Building to Wall Street”, (Open lecture tofaculty, students and public), Abilene, TX, 1999• Federal Reserve Bank of Chicago, “An Introduction to Credit Derivatives”, (Lectureto Federal Reserve Banker’s Conference), Chicago, 1999281

• Lehigh University, “The Emergence of Credit Derivatives”, (Lecture to faculty andstudents), Bethlehem, PA, 1998• “Heteroscedasticity in Returns: ARCH Effects Versus The Mixture Of DistributionHypothesis,” Financial Management Association Doctoral Student Seminar, (Invitedlecture at Doctoral Student Consortium), San Francisco, 1992• University of Calgary, “Heteroscedasticity in Returns: ARCH Effects Versus TheMixture Of Distribution Hypothesis,” (Lecture to faculty and students), Calgary, 1992• Byelorussian Stock Exchange, “North American Exchanges”, (Lecture to the weeklymeeting of the Byelorussian Stock Exchange), Minsk, Belarus, 1992Activities & Other Interests• Former Board Member, Bridgeway Academy, Halifax,• Former Treasurer, St. Matthews United Church, Halifax• Former Community Advisory Panel, Co-Operators• Corporate Editorial Board, Thunderbird International Business Review• Former Member of McMurry University Board of Trustees• Former Board Member, Atlantic Canada Financial Analysts Society• Former Member of the Advisory Board for the MSc. Program in FinancialMathematics at the University of Toronto282

Grant Sullivan PMP, MEC, MBA, P. Eng.Degrees2001 Masters in Electronic Commerce – Dalhousie University1995 Masters in Business Administration – Dalhousie University1991 Bachelor of Engineering – Dalhousie UniversityEmployment HistoryDirector - CGI, Halifax, NS 2006 – Present• Delivery – Responsible for CGI Projects delivered from Atlantic Canada.One of only two business units within CGI without “Red” projects. Chaireda global council for Project Manager competency across CGI.• Operations – Led teams in Halifax and Charlottetown to meet agreedservice levels. With a team of over 250 staff, achieved 20% growth,significant system stability improvement and 30% rise in profitability.• Change Management - Successfully migrated the work of 220 staff to anoffshore development centre in India.• Solution Architecture – Architected global outsourcing solutions for severalfortune 500 clients leading to $20M in new business.• Account Management - Oversight for 7 International Business Unitrelationships and $30 M (annual) business.Director - Keane, Halifax, NS 2001 – 2006• Global Delivery Director – Led distributed teams in NYC, Toronto andHalifax in delivery to agreed service levels. Achieved 100% growth to 250staff in one year.• Country Manager – General Management of $25 M (annual) IT supportcenter for Morgan Stanley in Toronto, Halifax and New York City.• Engagement Manager – Delivered $8M (annual) IT support for criticalapplication support to Toyota’s supply chain.• Change Agent – Led a team of 45 to successful CMM Level 5 benchmarkFounder - OKAMLogic, Halifax, NS 2000 – 2001• President - Founded and secured seed financing for start-up businessrecognized as one of top 25 “Up and comers” in Canada.• VP Business Development – Developed product features andrequirements.• VP Business Development – Secured several early customers for betatesting of product suite.Project Manager - MDA, Halifax, NS 1996 – 2000• Business Development Manager – Responsible for several large pursuitsand booking $10M annual revenue.• Project Manager – Managed following fixed price System Developmentprojects:• $9 M ERP implementation for Canadian Coast Guard.• $3M subcontract as part of CP140 modernization.283

• $4M contract to deliver advanced acoustic surveillance system.• $3M contract to deliver communications subsystem for CanadianNavy.• Systems Engineer – Developed software requirements document for $20Msecure communications system and satellite tracking system.• Integration, Test and Trials Officer for $80 M subcontract to shipbuilder.Systems Engineer – Canadian Navy Lt(N), 1991-1995• Naval Engineering Unit, Halifax, NS 1995• Combat Systems Engineer, Halifax, NS 1991-94• Extensive Leadership trainingHonours* New Business of the Year Award (Silver) - 2001* TARA Scholarship – 2001* NATO Medal of Service (Former Yugoslavia) - 1995* APENS Convocation Award – 1991Scholarly and Professional Activities* Board Member – IT Association of Nova Scotia, 2008 – Present* Board Member – Telecom Applications Research Alliance, 2004 – Present* Consultant/Mentor – Export Mentoring Program, Halifax, NS 2002 – 2005* Recent Conferences Attended* Gartner IT Expo – 08* Gartner Sourcing Exposition - 08* Keane Leadership Program – 05* CGI Leadership Program - 06* Wireless seminar coordinator and speaker, Halifax, Feb 02* Recent Speaking Engagements* Sept 03 – “Making Information Profitable”, IIA Conference, Halifax* Nov 03 – “Building a Globally Recognized Software Capability”, PMI Dinner Event,Halifax* Sep 05 – “Leveraging a Global Workforce”, PMI Dinner Event, Halifax* Oct 05 – “Doing Business in Atlantic Canada”, Shared Services Conference, LasVegas* Feb 07 – “Innovative Metrics for Partnership Success”, Informatics 2007, Halifax* May 08 – “Building a World Class Software Facility”, CIPS Dinner Event,CharlottetownCourses Delivered* Summer 2001/2002 – BUSI 6523 – IT Project Management* Fall 2002/2003 – ECMM 6000 – Overview Electronic Commerce* Winter 2002/2003 – BUSI 6420 – Marketing Informatics* Summer 2002/2003 – BUSI 6523 – IT Project Management* Fall 2003/2004 – IENG 4558 – Project Management and Control* Fall 2003/2004 – ECMM 6000 – Overview Electronic Commerce* Fall 2003/2004 – BUSI 5511 – Management Information Systems(Distance)* Summer 2003/2004 – BUSI 5623 – IT Project Management284

* Fall 2004/2005 – IENG 4558 – Project Management and Control* Fall 2004/2005 – BUSI 5511 – Management Information Systems(Distance)* Summer 2004/2005 – BUSI 5623 – IT Project Management* Fall 2005/2006 – IENG 4558 – Project Management and Control* Fall 2005/2006 – BUSI 5511 – Management Information Systems(Distance)* Summer 2005/2006 – HINF 6300 – IT Project Management* Fall 2006/2007 – BUSI 5511 – Management Information Systems(Distance)* Winter 2006/2007 – BUSI 5511 – Management Information Systems(Distance)* Fall 2007/2008 – BUSI 5511 – Management Information Systems(Distance)* Summer 2007/2008 – ECMM 6022 – IT Project Management* Fall 2008/2009 – ECMM 6000 – Overview Electronic Commerce* Fall 2008/2009 – BUSI 5511 – Management Information Systems(Distance)* Summer 2008/2009 – MGMT 5103 – Information Systems andTechnologies (Distance)* Summer 2008/2009 – BUSI 5511 – Management Information Systems(Distance)Graduate Supervisions* Not ApplicableResearch Funding* Not ApplicablePublications* Not Applicable285

Other ActivitiesOtherBoard Member – IT Association of Nova Scotia, 2008 – Present* Working with NS Leadership teams in IT sectorBoard Member – Telecom Applications Research Alliance, 2004 –Present* Member firms include Nortel, Aliant, Cisco, and several local technologyfirmsFaculty Member – Dalhousie University, Halifax, NS 2001 – Present* Taught courses in Project Management, Informatics, Information SystemsConsultant – Export Mentoring Program, Halifax, NS 2002 – 2005* Various small engagements funded by ACOA for export mentoring to SMEs* Certified Facilitator* Functional French Profile* Top Secret Security Clearance286

Key Qualifications* Senior delivery experience with over 275 direct reports.* Proven leadership of major organizational change initiatives.* Strong communication skills including Fortune 100 executive level.* Demonstrated ability to develop and build value in an organization.* Over 15 years experience as Professional Engineer in Nova Scotia.* Certified Project Management Professional with over 15 years experience.* Masters degrees in Electronic Commerce and Business Administration.Demonstrated Core CompetenciesLeadership and Execution* Strategy Formulation – built business plans for small enterprises and largeservice delivery departments* Operations – ran IT support centers for fortune 100 firms (>$25M annual)* People Development – Implemented new management structure anddevelopment program for 300+ remote team* Managed several large domestic and international subcontracts.* Led distributed teams in NYC, Toronto and Halifax to agreed servicelevels.Revenue and Profit Orientation* Achieved 100% growth year over year growing business to 260 staff whileimproving profitability.* Proposal manager for several large (>$50 M) bids.* Successful sales management responsibility to meet > $10 M annualtargets.* Led a profit improvement initiative to repurpose staffing business tomanaged services.* Coordinated several large client workshops and demonstrations leading tobusiness growth.Innovation and Continual Improvement* Set up and chaired organizational innovation programs.* Achieved 20% yearly productivity gains through automation andimprovement.* Led a team of 45 to successful CMM Level 5 benchmark.* Utilized support programs to offset >$1M innovation costs.Employee Engagement and Development* Championed staff capability development initiatives resulting in certifiedproject managers and business analysts.* Built and mentored a leadership team within an existing supplementalstaffing engagement.287

* Sponsored a multi-site employee committee responsible for employeeevents and workplace improvements.288

Appendix 8.9.2 (E) Curriculum Vitae for On-line Learning Professionaland Technical StaffCV not available at this time; please refer to the Learning Coordinate position descriptionfor details of requirements and duties.JOB CLASSIFICATION: Learning Coordinator, ADM-05 (Provisional*)DEPARTMENT:Centre for Advanced Management Education,Faculty of ManagementJOB SUMMARY: The Centre for Advanced Management Education(CFAME) is a cost-recovery unit within Dalhousie’s Faculty of Management whichmanages graduate programs delivered in a distance format. CFAME currently managestwo graduate programs, Master of Business Administration (Financial Services) andMaster of Public Administration (Management). The office provides education andservices to approximately 300 students, who live and work from Halifax to Vancouverand into the USA. The Learning Coordinator is responsible for the design, developmentand implementation of online courses for CFAME, and will work with faculty membersand course designers in order to plan and manage instructional design, structure,development and delivery of the entire life cycle of online courses. S/he will provideadvice and guidance on instructional design methodology; offer individual or grouptraining regarding tools and resources for online course delivery; provide ongoingsupport to professors regarding the use of technology and tools; monitor course sites forproblems, and problem-solve with faculty or students in order to maintain a high qualityeducational experience; identify, recommend, and implement policies and proceduresrelating to online course issues. In addition to CFAME, the Learning Coordinator alsoserves as a resource person to the Faculty of Management in matters relating to onlinecourse delivery, and provides advice and guidance to other faculty members to apply webtechnology in the development of courses. The Learning Coordinator will also managethe hard copy materials for the program (involves overseeing design, layout, collation anddissemination of materials to instructors and students). This position reports to theAssociate Director, CFAME.NOTE: Some travel is required.QUALIFICATIONS/EXPERIENCE:Undergraduate degree in a field suchas computer science or educational media, plus approximately 3 – 5 years relatedexperience in the design and development of multimedia instructional materials (orequivalent combination of training and experience). Training and/or experience ininstructional design and adult education principles and distance education modalitiesrequired. Good knowledge of computer applications (such as HTML, BLS, internet, anddesktop applications). Good communication (written and verbal) skills andorganizational skills required.289

Appendix 8.10 Enrolment Projections and Staffing ImplicationsThe MBA (Financial Services) program expects to maintain a steady cumulativeenrolment of 200-250 students.YEARCumulativeEnrolmentStaffing Requirements – ProjectedFull time Part Time Technical,Faculty Faculty support andEquivalents Equivalents TA’sRatioStudent/FacultyAvgClass SizeAvg2009 200-250 N/A 18 21 12:1 332010 200-250 N/A 18 21 12:1 332011 200-250 N/A 18 21 12:1 332012 200-250 N/A 18 21 12:1 339. Credential RecognitionDalhousie University is one of 18 post-secondary institutions falling within thejurisdiction of the Maritime Provinces Higher Education Commission (MPHEC). TheMaritime Provinces Higher Education Commission (MPHEC) was established in 1974.The MPHEC is an "agency of the Council of Maritime Premiers." In June 1997, theMinisters of Education in New Brunswick, Nova Scotia and Prince Edward Islandagreed, after extensive review, to renew and refocus the Commission's mandate throughan "Agreement Respecting the Renewal of Arrangements for Regional CooperationConcerning Post-Secondary Education. This renewed mandate was ratified by theCouncil of Maritime Premiers. In January 2005, the new Maritime Provinces HigherEducation Commission Act was proclaimed, giving full force to the Commission'srenewed mandate.The new legislation defines the Commission’s mandate as follows:The Commission shall, in carrying out its duties, give first consideration to improvingand maintaining the best possible service to students as life-long learners by:* Taking measures intended to ensure that programs of study are of optimum lengthand best quality;* Stressing prior learning assessment and recognition, and credit transfer, to implementthe principle that duplication of effort is not required in order to gain credit for learningwhich has been successfully accomplished;* Promoting smooth transitions between learning and work;* Promoting equitable and adequate access to learning opportunities, including makingthose opportunities available at times and places convenient to the student; and* Taking measures intended to ensure teaching quality.290

The Commission aims to assist institutions and governments in enhancing the postsecondarylearning environment through the following nine objectives:1. Provide assurances that programs developed by institutions within the MPHEC’sscope meet agreed-upon quality criteria.2. Confirm that institutions within the MPHEC’s scope have appropriate policies andpractices to ensure the ongoing quality of their programs.3. Facilitate and promote cost-effectiveness of, and accessibility to, the broadest rangepossible of programs.4. Collect, store and maintain quality, comprehensive and relevant information acrossall mandated functions.5. Devise data and information products providing stakeholders with value, across allmandated functions, especially related to key post-secondary education issues.6. Increase awareness of, and dialogue on, Maritime Post-Secondary Education (PSE)issues and opportunities, both in the Maritimes and nationally.7. Promote and facilitate cooperation within the Maritimes and with other provincesand external partners to, among other things, facilitate, among institutions and amonggovernments for example, the development of cost-effective and collaborativeapproaches to PSE administration, programs and policies.8. Provide advice and services to the provinces, as requested.9. Ensure the effective and efficient management of Commission resources (corporateobjective).All of the Commission’s activities and initiatives fall under one of these objectives. Incarrying out its main functions (quality assurance, data and information, cooperativeaction, regional programs, and providing specific services to one or more provinces orinstitutions as agreed to by the Ministers), the Commission focuses primarily onuniversity education.There are currently eighteen post-secondary institutions within the scope of the MPHEC,sixteen of which are publicly-funded universities. Of these sixteen, two (Cape BretonUniversity and Nova Scotia Agricultural College) also offer college-level or technologybasedcertificate and diploma programs in addition to degree programs. The remainingtwo institutions (Holland College in Prince Edward Island and the Maritime College ofForest Technology in New Brunswick) offer primarily non-degree programs (HollandCollege can, and does, grant applied degrees).As an agency of the Council of Maritime Premiers the Commission serves a number ofstakeholders from across the region, including 16 publicly funded institutions offeringuniversity degree programs, two specialized applied arts and technology post-secondaryinstitutions, the Ministers responsible for Post-Secondary Education in the Maritimes,and the public-at-large (includes students). Stakeholders:Government:Council of Atlantic Premiers291

Government of New BrunswickNew Brunswick Department of Post Secondary Education, Training and LabourGovernment of Nova ScotiaNova Scotia Department of EducationGovernment of Prince Edward IslandPrince Edward Island Department of Innovation and Advanced LearningInstitutions:Collège de Technologie forestière des MaritimesUniversité de Moncton (Campus de Shippagan)Université de Moncton (Campus d’Edmundston)Université de Moncton (Campus de Moncton)Mount Allison UniversityMaritime College of Forest TechnologySt. Thomas UniversityUniversity of New Brunswick (Fredericton)University of New Brunswick (Saint John)Université Sainte-AnneAtlantic School of TheologyDalhousie UniversityMount Saint Vincent UniversityNova Scotia College of Art and DesignSaint Mary’s UniversityUniversity of King’s CollegeNova Scotia Agricultural CollegeSt. Francis Xavier UniversityCape Breton UniversityHolland CollegeUniversity of Prince Edward IslandAdditionally, Dalhousie University’s business programs, including the MBA (FinancialServices), are internationally recognized and accredited by AACSB International.www.mphec.cawww.aacsb.edu292

10. Regulation and Accreditation StandardNot applicable to the MBA (Financial Services) program293

11. Program Evaluation StandardAppendix 11.1 Program Evaluation Policies and ProceduresPeriodic Review Policy and ScheduleMPHEC Assessment of Quality Assurance Policies and Procedures (Publicly-fundeduniversities)The objective of the monitoring function is to ascertain that the procedures used byinstitutions to assess the quality of existing programs, and other functions as appropriate,are performing adequately as quality control and quality improvement mechanisms.The Quality Assurance Monitoring Committee, a joint committee of the Association ofAtlantic Universities (AAU) and the Commission, carries out the monitoring function onbehalf of the Commission. Its main objective is to answer the following two questions:1. Is the institution following its own quality assurance policy?2. Could the institution’s quality assurance policy be modified to better ensure thequality of the academic programs and services or is it satisfactory as is?The Policy on Monitoring Institutional Quality Assurance Policies and Procedures,including a description of the process, assessment criteria, and guidelines for thepreparation of the institutional report are described in the Policy on Quality Assurance.For those universities that have completed the monitoring process, a copy of theAssessment report can be downloaded below. Note: These reports are available in theworking language of the institution only.* Acadia University (June 2007)* Cape Breton University (June 2009)* Dalhousie University (September 2003)* Mount Allison University (August 2006)* Mount Saint Vincent University (March 2009)* Nova Scotia College of Art and Design (July 2008)* Saint Mary's University (October 2008)* St. Thomas University (September 2003)* Université de Moncton (August 2006)* Université Sainte-Anne (June 2007)* University of New Brunswick (November 2006)* University of Prince Edward Island (April 2009)The remaining universities are expected to have completed the process by June 2009.294

12. Academic Freedom and Integrity StandardAppendix 12.1.1 Academic Freedom PolicyDFA - Board of Governors Collective Agreement (2007-2011)Article 3: Academic FreedomDalhousie Faculty Association - Board of Governors Collective Agreement (2007-2011)3.01 The Parties recognize and affirm that academic freedom is essential to thefulfillment of the purpose of Dalhousie University in the search for knowledge and thecommunication of knowledge to students, colleagues and society at large. The Partiesagree that academic freedom carries with it a corresponding responsibility on the part ofMembers to use their freedom responsibly, with due concern for the rights of others, forthe duties appropriate to the Member's university appointment, and for the welfare ofsociety. Academic freedom does not confer legal immunity either inside or outsideDalhousie University, nor does it prevent collective self-governance and peer evaluationas conducted or approved by the Senate or by other academic, research or professionalbodies whether within or outside Dalhousie University. Academic freedom does notrequire neutrality on the part of the individual. Rather, academic freedom makescommitment possible.3.02 The Parties agree that they will not infringe or abridge the academic freedom of anymember of the academic community. Members of the bargaining unit are entitled tofreedom, as appropriate to the Member's university appointment, in carrying out researchand in publishing the results thereof, freedom of teaching and of discussion, freedom tocriticize, including criticism of the Board and the Association, and freedom frominstitutional censorship.3.03 Academic freedom, as appropriate to the Member's university appointment, impliesprotection of Members by the Board and the Association from pressure intended tohinder or prevent them pursuing their scholarly and research interests and communicatingthe results thereof to students, colleagues and the community at large. The Partiesacknowledge this responsibility, whether such pressure emanates from inside or outsidethe University.295

Appendix 12.1.2 Academic Honesty PolicyIntellectual HonestyA university should be a model of intellectual honesty. Failure to meet the University's standardsin this regard can result in an academic offence. The length of time a student has attendeduniversity, the presence of a dishonest intent and other circumstances may all be relevant to theseriousness with which the matter is viewed.Violations of intellectual honesty are offensive to the entire academic community, not just to theindividual faculty member and students in whose class an offence occurs.Instructors are responsible for setting examinations and assignments as part of the learningprocess and for evaluating those examinations and assignments, including ensuring that anyrules stated for the procedures used in an examination or assignment are followed. Any violationof such stated rules which could result in a student gaining advantage may be considered to bean academic offence.Examples of Academic OffencesThere are many possible forms of academic dishonesty. Since it is not possible to list allinstances of academic dishonesty, the following list of examples should be considered only as aguide. The omission of a dishonest action from this list does not prevent the University fromprosecuting an alleged instance of that action.A. PlagiarismDalhousie University defines plagiarism as the submission or presentation of the work of anotheras if it were one's own.Plagiarism is considered a serious academic offence which may lead to the assignment of afailing grade, suspension or expulsion from the University. If a penalty results in a student nolonger meeting the requirements of a degree that has been awarded, the University may rescindthat degree.Some examples of plagiarism are:• failure to attribute authorship when using a broad spectrum of sources such as written ororal work, computer codes/programs, artistic or architectural works, scientific projects,performances, web page designs, graphical representations, diagrams, videos, andimages;• downloading all or part of the work of another from the Internet and submitting as one'sown; and296

• the use of a paper prepared by any person other than the individual claiming to be theauthor.The University attaches great importance to the contribution of original thought to learning andscholarship. It attaches equal importance to the appropriate acknowledgement of sources fromwhich facts and opinions have been obtained.The proper use of footnotes and other methods of acknowledgement vary from one field of studyto another. Failure to cite sources as required in the particular field of study in the preparation ofessays, term papers and dissertations or theses may, in some cases, be considered to beplagiarism.Students who are in any doubt about how to acknowledge sources should discuss the matter inadvance with the faculty members for whom they are preparing assignments. In many academicdepartments, written statements on matters of this kind are made available as a matter of routineor can be obtained on request. Students may also take advantage of resources available throughthe Writing Centre at writingcentre.dal.ca or the Dalhousie Libraries atinfolit.library.dal.ca/tutorials/Plagiarism/.B. Irregularities in the Presentation of Data from Experiments, FieldStudies, etc.Academic research is based on the presentation of accurate information and data that areobtained honestly. The falsification of data in reports, theses, dissertations and otherpresentations is a serious academic offence, equivalent in degree to plagiarism, for which thepenalties may include the assignment of a failing grade, suspension or expulsion from theUniversity or the withdrawal of a degree previously awarded.C. Other IrregularitiesA member of the University who attempts, or who assists any other person in an attempt, to fulfill,by irregular procedures, any requirements for a class, commits an academic offence and issubject to a penalty.In the absence of specific approval from the instructor of a class, all students should assume thatall assignments are to be completed independently, without any form of collaboration.Students should take reasonable precautions to prevent other students from having access,without permission, to their tests, assignments, essays or term papers.297

The following are some examples of irregular procedures. The list should be used only as a guidesince it is not possible to cover all situations that may be considered by the Senate DisciplineCommittee to be irregular.• writing an examination or test for someone else;• attempting to obtain or accepting assistance from any other person during an examinationor test;• during the time one is writing an examination or test, using or having in one's possession,material that is not specifically approved by the instructor;• without authorization, obtaining a copy of an examination or test, topic for an essay orpaper, or other work;• without authorization from the faculty member in charge of that class, submitting any workfor academic credit when one is not the sole author or creator;• without authorization submitting any work that has been previously accepted for academiccredit in any other class in any degree, diploma or certificate program, or has beencompleted as part of employment within the University, for example, as research activity.A repeated class is considered to be a separate class.D. Aiding in the Commission of an Academic OffenceNo student may encourage or aid another student in the commission of an academic offence, forexample,• by lending another student an assignment knowing that he or she may copy it forsubmission;• by allowing another student to copy answers during an examination.E. MisrepresentationAny person who provides false or misleading information during an investigation of a suspectedacademic offence is guilty of an offence.Discipline1. Members of the University, both students and staff, are expected to comply with thegeneral laws of the community, within the University as well as outside it.2. Alleged breaches of discipline relating to student activities under the supervision of theDalhousie Student Union are dealt with by the Student Union. Alleged breaches ofdiscipline relating to life in the residences are dealt with by the residence discipline policyunless the President determines that some non-residence University interests areinvolved. Senate is charged with the authority to deal with cases of alleged academicoffenses, see examples above, as well as with certain other offenses that areincompatible with constructive participation in an academic community.3. On report of a serious breach of the law, or a serious academic offence deemed by thePresident, or in his or her absence by a Vice-President or the Dean of a Faculty, to affectvital University interests, a student involved may be temporarily suspended and deniedadmission to classes or to the University by the President, Vice-President or Dean, but298

any suspension shall be reported to the Senate, together with the reasons for it, withoutdelay.4. No refund of fees will be made to any student required to lose credit for any class taken,required to withdraw or who is suspended or dismissed from any class or any Faculty ofthe University.Academic DishonestyI. PreambleThese procedures deal with academic dishonesty and do not deal with violations of the studentcode of conduct. The purpose of these procedures is to delegate assessment of certainallegations of academic dishonesty to the Faculty level.II. Academic Integrity Officers1. Academic Integrity Officers are associated with the Faculties of Dalhousie University.2. The Academic Integrity Officer shall act between the student and instructor, and mayappear at Hearing Panels of the Discipline Committee or the Discipline Appeals Board topresent the case against the student.3. The Academic Integrity Officer is the Dean of the Faculty. The Dean may furtherdelegate this role to one or more members of his/her academic staff except those whoare Senate Officers, who are otherwise involved in the student discipline process, or whootherwise are in a potential conflict of interest relative to this role. Annually the name ofthe delegate(s) shall be communicated in writing to the Secretary of Senate who shallreport to Senate.4. The Academic Integrity Officers shall meet as a group with the Senate DisciplineCommittee (SDC) at least once a year to discuss relevant policy issues and trainingrequirements with a view to maximizing consistency and predictability in theadministration of academic offences across the University. Such meetings will beconvened and chaired by the Secretary of Senate.III. Faculty Procedures1. When an academic offence is suspected, the instructor shall submit a signed statementoutlining the basis for the allegation, together with all relevant supporting evidence, tothe Academic Integrity Officer of the Faculty which is responsible for the delivery of thecourse at issue, or in the case of an allegation in relation to a graduate thesis or othernon course graduate materials, to the Academic Integrity Officer of the Faculty ofGraduate Studies.2. Upon receipt of the material from the instructor, the Academic Integrity Officer shalldetermine whether or not the material supports a prima facie case that the student hascommitted an academic offence. If no prima facie case is made out, no further stepsare taken in relation to the allegation, and the instructor and student will be so advisedin writing.3. If a prima facie case is established, then the Academic Integrity Officer will take thefollowing further steps:a) Check the academic discipline database maintained by the Senate Office todetermine if the student(s) has a record of prior academic offence(s);299

) If the student(s) has a record of prior academic offence(s), forward the allegation tothe Senate Discipline Committee;c) If the allegation appears to be a first offense, inform the student(s) in writing of thenature of the allegation, the instructor's statement, the evidence, the procedures to befollowed, the possible penalties, and possible sources of advice and support (will be astandard document);d) Convene a meeting with the student(s), the student(s)'s advisor, if any, and theinstructor within 5 working days upon receipt of the allegation by the student, whichtime may be extended at the request of the student or instructor in appropriatecircumstances.;e) If the meeting does not take place within the time set out above, refer the allegation tothe Senate Discipline Committee.4. Following the meeting convened in accordance with paragraph 8, the AcademicIntegrity Officer shall make a preliminary assessment of whether there is sufficientevidence to support a finding that the student has committed an academic offence, andif there is sufficient evidence, make a preliminary assessment of what penalty would beappropriate in the circumstances. In making the latter assessment, the AcademicIntegrity Officer shall exercise broad discretion in considering possible mitigatingcircumstances including but not limited to extraordinary personal circumstances andlack of educational experience.5. If the Academic Integrity Officer's assessment is that there is insufficient evidence tosupport a finding that the student has committed an academic offence, s/he shall informthe student in writing with a copy to the Instructor within 5 working days of the meeting.This does not preclude an Academic Integrity Officer from proceeding with theallegation at a later date, should new evidence become available.6. If the Academic Integrity Officer's assessment is that there is sufficient evidence tosupport a finding that the student has committed an academic offence, AND that theappropriate penalty for the student's conduct is any of the penalties described in sectionIV page 25, except those listed in subparagraphs 5 to 9 the Academic Integrity Officershall provide the student with the option of accepting the finding and the proposedpenalty, or of proceeding to the Senate Discipline Committee for a full hearing. Theoption shall be presented to the student within 5 working days of the meeting, and thestudent shall have 2 working days to respond. In the event that the student elects toaccept the finding and proposed penalty, the Academic Integrity Officer shall so advisethe Secretary of Senate.7. Upon being advised of the finding and agreed penalty, the Secretary of Senate shallbring the matter before Senate for ratification at the next sitting of Senate following theprocedures set out for ratification of academic appeals, with necessary changes in pointof detail. Following Senate's ratification, the Secretary of Senate shall ensure that theoffence is recorded on the Senate Discipline database and that the Registrar and anyothers are notified of the finding and penalty for immediate implementation.8. If the Academic Integrity Officer's assessment is that there is sufficient evidence tosupport a finding that the student has committed an academic offence, but that theappropriate penalty for the student's conduct is one of those listed in subparagraphs 5to 9 of section IV of these Procedures, the Academic Integrity Officer shall, within 5working days of the meeting, notify the student in writing, with a copy to the instructor,that the matter will be forwarded to the Senate Discipline Committee for a full hearing.Senate Discipline CommitteeI. Composition300

The Committee comprises thirteen representatives of the faculty elected by Senate for staggeredthree-year terms, one of whom shall be the Chair (chosen annually by the Committee), fiverepresentatives of the Dalhousie University student body, and two representatives of theUniversity of King's College student body. A student who is a member of the Judicial Board of theDSU may not at the same time be a member of the Senate Discipline Committee.The Senate Nominating Committee shall arrange for nominations to fill casual vacancies for theremainder of the second term.II. FunctionsThe Senate Discipline Committee shall:1. consider all complaints or allegations respecting offenses or irregularities of anacademic nature, including those relating to admissions procedures and evaluationprocedures, and may impose penalties in cases where the Committee finds an offenceor irregularity has occurred;2. have the power to discipline a student who, before or during the course of thedisciplinary process involving him or her but prior to adjudication, has:a) been compelled to withdraw academically;b) chosen to withdraw from the class, program or University prior to being disciplined;c) chosen not to register at the University;3. assume jurisdiction when a complaint or allegation respecting offenses or irregularitiesof an academic nature are brought to its attention by the Secretary of Senate;complaints or allegations may be made by faculty or other evaluators of academic workdone by students; a panel of Discipline Advisors is available to assist and adviseevaluators, and guidelines for evaluators are set out in the document entitled Guidelinesfor Academic Evaluators Regarding Violations of Academic Regulations by students;4. conduct hearings according to the rules of natural justice and such other procedures asthe Committee may decide in advance, with due notice to all interested parties. A panelof three faculty and two students shall hear each complaint, including complaints madeunder the Code of Student Conduct. The Committee Chair or alternate chosen by andfrom the Committee shall chair each hearing;5. evaluate the evidence of innocence or guilt of an accused student. This evaluation shallinclude the premise that the more senior the student in terms of chronological age, yearof university registration, extent of other exposure to university rules and regulations atDalhousie University or elsewhere, the less credible are assertions of ignorance orinnocence and the stronger is the case for a more severe penalty than would beimposed on a less senior student;6. report its findings, and any penalty imposed to the Secretary of Senate who shallforward a copy of the report to the student; if the alleged offender is not a student, acopy shall also be sent to the Vice-President (Academic and Provost).III. AppealsAppeals from decisions of the Senate Discipline Committee may be made to a Senate DisciplineAppeal Board, but only on the limited grounds: (a) denial of natural justice; (b) disputedjurisdiction of the Senate Discipline Committee. Decisions of a Senate Discipline Appeal Board301

are final and binding on all parties. At the time of filing the appeal a student must specificallyindicate the facts and allegations that will form the basis of the appeal. An appeal will be limited tomatters so alleged.Where the rules of a faculty, such as Health Professions, expressly provide that suitability,fitness, or aptitude for the practice of the profession is a requirement for advancement orgraduation, or both, and a Faculty determines that a student should be suspended or dismissedor otherwise should not advance or graduate because of unsuitability for the relevant profession,an appeal from the Faculty decision may be made to an ad-hoc appeal committee established bythe Senate Steering Committee. The Ad-hoc Appeal Committee shall:(1) hear an appeal by astudent from the decision of a Faculty regarding suitability, fitness or aptitude for the practice ofthe relevant profession when: a) the student has exhausted the approved appeal regulations andprocedures of the relevant Faculty; and b) the student alleges that there were irregularities orunfairness in the application of the regulations in question. The Ad-hoc Appeal Committee shallnot hear appeals: a) by students on a matter involving a requested exemption from theapplication of Faculty or University regulations or procedures; b) on substantive aspects of afinding of unsuitability.IV. PenaltiesThe range of penalties which may be imposed by the Senate Discipline Committee becircumscribed only by the requirement that such penalty or penalties be of an academic natureand, without restricting the generality of the foregoing, may include any one or more of:1. notation of the fact of discipline on the offender's transcript for a period of one (1) ormore years, but not exceed five (5) years;2. repeat of the assignment that triggered the discipline;3. a failing grade or mark or assessment in the piece of work triggering the discipline;4. failure of the class or seminar or program;5. failure of the academic year;6. suspension for an academic term or year (to a maximum suspension of three (3)academic years);7. expulsion from the University;8. loss of a current or continuing scholarship, or both, or loss of eligibility to receive or tomaintain scholarships or prizes or bursaries; and9. removal from the Dean's List.PLEASE NOTE: If transcripts are issued for a student while a Senate Discipline case is pending,and the Committee subsequently makes a decision that affects the student's transcript, revisedtranscripts will be sent to recipients of transcripts issued while the case was pending302

Appendix 12.1.3 Academic honesty ProcedureFaculty Discipline Procedures Concerning Allegations of AcademicOffences as approved by the Senate on March 26, 2007, and amended by Senate April 27,2009 (*italic sections take effect as of September 1, 2009)PreambleThese procedures deal with allegations of academic offences and do not deal withviolations of the student code of conduct. The purpose of these procedures is to delegateassessment of certain allegations of academic offences to the Faculty level.Academic Integrity Officers1. Academic Integrity Officers are associated with the Faculties of Dalhousie University.2. The Academic Integrity Officer shall act between the student and instructor, and mayappear at Hearing Panels of the Discipline Committee or the Discipline Appeals Board topresent the case against the student.3. The Academic Integrity Officer is the Dean of the Faculty. The Dean may furtherdelegate this role to one or more members of his/her academic staff except those who areSenate Officers, who are otherwise involved in the student discipline process, or whootherwise are in a potential conflict of interest relative to this role. Annually the name ofthe delegate(s) shall be communicated in writing to the Vice-Chair (AcademicAdministration) who shall report to Senate.4. The Academic Integrity Officers shall meet as a group with the Senate DisciplineCommittee (SDC) at least once a year to discuss relevant policy issues and trainingrequirements with a view to maximizing consistency and predictability in theadministration of academic offences across the University. Such meetings will beconvened and chaired by the Vice-Chair (Academic Administration).Penalties5. Penalties shall follow the guidelines contained within the University’s AcademicRegulations and the Senate Discipline Committee terms of reference set out in Section 10of the Senate Constitution, which are reproduced below for convenience.“The range of penalties which may be imposed by the Senate Discipline Committee becircumscribed only by the requirement that such penalty or penalties be of an academicnature and, without restricting the generality of the foregoing, may include any one ormore of:1. notation of the fact of discipline on the offender’s transcript for a period of one (1) ormore years, but not exceed five (5) years;2. repeat of the assignment that triggered the discipline;3. a failing grade or mark or assessment in the piece of work triggering the discipline;Page 2 of 44. failure of the class or seminar or program;5. failure of the academic year;6. suspension for an academic term or year (to a maximum suspension of three (3)academic years);303

7. expulsion from the University;8. loss of a current or continuing scholarship, or both, or loss of eligibility to receive or tomaintain scholarships or prizes or bursaries; and9. removal from the Dean's List.”Faculty Procedures6. When an academic offence is suspected, the instructor shall submit a signed statementoutlining the basis for the allegation, together with all relevant supporting evidence, tothe Academic Integrity Officer of the Faculty which is responsible for the delivery of thecourse at issue, or in the case of an allegation in relation to a graduate thesis or other noncourse graduate materials, to the Academic Integrity Officer of the Faculty of GraduateStudies, *within 10 working days of becoming aware of the alleged offence, but in anyevent no later than the deadline for submission of final grades to the Registrar, except inextraordinary circumstances, as determined by the Academic Integrity Officer.7. Upon receipt of the material from the instructor, the Academic Integrity Officer shalldetermine whether or not the material supports a prima facie case that the student hascommitted an academic offence. If no prima facie case is made out, no further steps aretaken in relation to the allegation, and the instructor and student will be so advised inwriting.8. If a prima facie case is established, then the Academic Integrity Officer will take thefollowing further steps:a. Check the academic discipline database maintained by the Senate Office to determineif the student(s) has a record of prior academic offence(s);b. *With the exception of cases involving 2 or more students facing allegations arisingfrom the same fact situation (“common allegation”) which shall proceed in accordancewith paragraph 9, if the student(s) has a record of prior academic offence(s), forward theallegation to the Senate Discipline Committee;c. If the allegation appears to be a first offense, *and in all cases of 2 or more studentsfacing a common allegation, inform the student(s) in writing of the nature of theallegation, the instructor’s statement, the evidence, the procedures to be followed, thepossible penalties, and possible sources of advice and support (will be a standarddocument);d. Convene a meeting with the student(s), the student(s)’s advisor, if any, and theinstructor within 5 working days upon receipt of the allegation by the student, which timemay be extended at the request of the student, instructor, *or Academic Integrity Officer,in appropriate circumstances.;e. If the meeting does not take place within the time set out above, *the AcademicIntegrity Officer has the discretion to convene another meeting with the student(s), thestudent(s)’s advisor, if any, and the instructor. The Academic Integrity Officer also hasthe discretion to convene additional meetings as may be reasonably required. In the eventan initial meeting does not occur within a reasonable time after a prima facie case isestablished, the Academic Integrity Officer shall refer the allegation to the SenateDiscipline Committee.304

9. *Notwithstanding paragraph 8b, in the case of 2 or more students facing allegationsarising from the same fact situation (“common allegation”), the Academic IntegrityOfficer has the authority to convene a meeting with all such students in accordance withparagraphs 8d and 8e and to make findings for all such students under these Procedures,regardless of the fact that one or more of such students may have a record of prioracademic offence(s). If the Academic Integrity Officer’s assessment is that there issufficient evidence to support a finding that a student facing a common allegation hascommitted an academic offence, for any such student who has no record of prioracademic offence(s), subject to paragraph 14, the Academic Integrity Officer shall assessan appropriate penalty for the student in accordance with these Procedures; and for anysuch student who has a record of prior academic offence(s), the Academic IntegrityOfficer shall forward the matter to the Senate Discipline Committee for assessment of anappropriate penalty.10. Following the meeting convened in accordance with paragraph 8, the AcademicIntegrity Officer shall make a preliminary assessment of whether there is sufficientevidence to support a finding that the student has committed an academic offence, and ifthere is sufficient evidence, make a preliminary assessment of what penalty would beappropriate in the circumstances. In making the latter assessment, the Academic IntegrityOfficer shall exercise broad discretion in considering possible mitigating circumstancesincluding but not limited to extraordinary personal circumstances and lack of educationalexperience.11. If the Academic Integrity Officer’s assessment is that there is insufficient evidence tosupport a finding that the student has committed an academic offence, s/he shall informthe student in writing with a copy to the Instructor within 5 working days of the meeting.This does not preclude an Academic Integrity Officer from proceeding with the allegationat a later date, should new evidence become available.12. If the Academic Integrity Officer’s assessment is that there is sufficient evidence tosupport a finding that the student has committed an academic offence, AND that theappropriate penalty for the student’s conduct is any of the penalties described inparagraph 5, above, except those listed in subparagraphs 5 to 9 the Academic IntegrityOfficer shall provide the student with the option of accepting the finding and theproposed penalty, or of proceeding to the Senate Discipline Committee for a full hearing.The option shall be presented to the student within 5 working days of the meeting, andthe student shall have 2 working days to respond. In the event that the student elects toaccept the finding and proposed penalty, the Academic IntegrityOfficer shall so advise the Vice-Chair (Academic Administration).13. Within 14 calendar days of the Vice-Chair (Academic Administration) being advisedof the finding and agreed penalty under paragraph 12, the Vice-Chair (AcademicAdministration), or in his or her absence, the Chair or Vice-Chair (Academic Programs),and a student Senator appointed by the Dalhousie Student Union shall jointly review thefinding and agreed penalty to determine whether the process is consistent with theFaculty Discipline Procedures Concerning Allegations of Academic Offences. If so, theyshall ratify the matter on behalf of Senate and the Vice-Chair shall notify the student andthe Academic Integrity Officer of such ratification.305

For ratification to occur, the decision must be unanimous. The finding and agreed penaltyshall stand, despite possible insubstantial procedural errors. The Vice-Chair (AcademicAdministration) shall ensure that the offence is recorded on the Senate Disciplinedatabase and that the Registrar and any others are notified of the finding and penalty forimmediate implementation. If the Vice-Chair (Academic Administration) and/or thestudent Senator have any material concerns about the process, the Vice-Chair (AcademicAdministration) shall consult with the Academic Integrity Officer to determine whetherthe concerns can be resolved.If the Vice-Chair (Academic Administration) and the Academic Integrity Officer areunable to resolve any concerns, the matter shall be referred back to the AcademicIntegrity Officer for further consideration under these Procedures, after which the Vice-Chair (Academic Administration) and a student Senator shall jointly re-considerratification. Should ratification still not occur, the matter shall be referred to the SenateDiscipline Committee for a hearing14. If the Academic Integrity Officer’s assessment is that there is sufficient evidence tosupport a finding that the student has committed an academic offence, but that theappropriate penalty for the student’s conduct is one of those listed in subparagraphs 5 to 9of paragraph 5 of these Procedures, the Academic Integrity Officer shall, within 5working days of the meeting, notify the student in writing, with a copy to the instructor,that the matter will be forwarded to the Senate Discipline Committee for a full hearing.15. *Should a student request that an allegation be referred back to the AcademicIntegrity Officer after it has been forwarded to the Senate Discipline Committee, theAcademic Integrity Officer has the discretion to grant such a request. A student’s requestshall be in writing, and delivered to the Vice-Chair (Academic Administration) within 5working days of the date the allegation letter is sent to the student by the Vice-Chair(Academic Administration).16. *Prior to a hearing by the Senate Discipline Committee of an allegation against astudent, the Academic Integrity Officer shall provide a written allegation to the Senateoffice identifying the evidence initially presented by the instructor pursuant to paragraph6 and any additional evidence obtained by the instructor in the course of the assessmentof the matter. The written allegation shall not include reference to whether or not anymeeting(s) did occur pursuant to paragraph 8d or 8e, any statements that may have beenmade by the student at such meeting(s), or any alternate versions of the facts andcircumstances that may have been presented by one or more students at such meeting(s).The student shall have the opportunity to provide a written submission in response priorto the hearing by the Senate Discipline Committee.Notwithstanding the foregoing, in the event of a statement made by a student at a hearingof the Senate Discipline Committee that is inconsistent with a statement previously madeby that student in the meeting(s) with the Academic Integrity Officer, then the AcademicIntegrity Officer may refer to statements that may have been made by the student at suchmeeting(s).17. *Confidentiality must be maintained by those involved in each case when anacademic offence is suspected and the instructor submits an allegation to the AcademicIntegrity Officer, except as is reasonably necessary to implement the finding and agreedpenalty or as required in subsequent disciplinary proceedings related to the same matter.306

Appendix 12.2 Policy on Intellectual PoliciesArticle 23: Copyrights, Patents and Author's RightsDalhousie Faculty Association - Board of Governors Collective Agreement (2007-2011)23.01 Except as dealt with in Clauses 23.05 and 23.06, the Board makes no claim to thecopyrights in books, articles and similar material in the print media written or preparedby any Member. The Board makes no claim to the copyright of any work of art, such aspainting, sculpture, music or the like, created by any Member. The Board, therefore,undertakes to transfer to those Members who are the authors, and hereby transfers tothose Members who are the authors, the copyrights of all material they have created inthe print media and in works of art.23.02 The Board undertakes to transfer, and hereby transfers, to those Members who arethe authors, any and all rights in regard to computer programs. The Board shall have freeuse of any program developed in the course of the administrative duties of Members, andof any program developed to process Dalhousie University data and records, and of anyprogram developed for use in the degree programmes of Dalhousie University. Such freeuse shall cease one year after the termination of the employment of the Member whoholds the copyright. The Board may acquire continued use of such computer programs onpayment of an appropriate fee.23.03 Members are sole copyright holders in their own lectures. The Board shall giveevery reasonable assistance to Members to prevent publication, recording or broadcastingof lectures not authorized by the Members concerned.23.04 The copyright of any recorded work, such as film, videotape, audio recording andthe like, belongs to the Member who is the creator of its content.23.05(a) A Member whose workload includes editing a journal or magazine published byDalhousie University shall not own any copyrights therein save and except for articles,reviews or literary pieces written by the Member.(b) Continuing Education Members shall have the same rights under Article 23 as allMembers except that Continuing Education Members shall not own any copyright inmaterials which are produced for use in the College of Continuing Education programs orproduced under the terms of a contract or externally funded project arranged on behalf ofthe College of Continuing Education or the University or except as may otherwise beagreed in writing by the Board and the Member.23.06(a) Members agree to waive any claim for monetary compensation arising out ofcopyright claims in relation to teaching manuals produced internally within theUniversity as part of their workload, provided that such manuals are sold only within theUniversity at a price set to recover direct costs (i.e., paper, bindings, salaries of supportstaff, and duplicating costs, but not honoraria or similar payments) or less. If the Boardsells at a price higher than direct costs or sells to the general public, then the Board shallpay to the Member(s) who holds the copyright in the teaching manual a ten percent(10%) royalty on all such sales.(b) If the Member agrees in writing that his or her workload as specified in Article 20shall include the production, without any direct funding other than salary, of a recorded307

work, textbook, printed lectures, laboratory notes or other teaching materials, except forteaching manuals as provided in Clause 23.06(a), the Board may use such materials in itseducational programmes. This right shall cease five years after the termination ofemployment by the Member. However, the Board may arrange for continued use of thematerial upon payment of an appropriate royalty or fee.23.07 The Board will do its utmost to make available to Members, without cost,production facilities and funds necessary to produce recorded works for use in DalhousieUniversity's educational Programmes. Priority for the amount of funds and the kinds offacilities shall be determined by the Senate.23.08 Where a Member has copyright in a recorded work produced with the assistance ofdirect funding by the Board or with the use of Dalhousie University production facilities,free of charge or substantially less than the local commercial rates, the Member shallgrant to the Board a license to use the recorded work in its educational Programmes,including the right to grant others permission to use the work for that same purpose inDalhousie University. Such license shall cease one year after the termination of theemployment of the Member who holds the copyright. The Board may acquire continueduse of such work for the above purpose on payment of an appropriate fee.23.09 The Member directly, or through the agency of the Association, shall establish afee to be charged to third parties wishing to use work recorded under the conditions givenin Clause 23.08. If agreement on such a fee cannot be reached within thirty days of arequest by the Member, an appropriate fee shall be set by the Committee on Patents andCopyrights, set up in accordance with Clause 23.13.23.10 Any fees or royalties or other income received by the Board as a consequence ofthe exploitation of work recorded under the conditions given in Clause 23.08 shall bedistributed fifty percent to the Member and fifty percent to the Board.23.11 Members who believe their work recorded under the conditions given in Clause23.08 is unsatisfactory for a proposed use due to dating or other good reason, shall havethe right to require the said work to be amended on the same terms as the originalproduction or to require its use to cease.23.12 Where more than one copyright holder has an interest in a work recorded under theconditions given in Clause 23.08, each copyright holder shall exercise his or her rightswith respect to his or her contribution, providing that contribution may be erased withoutdestroying the value of other contributions to the same recording or series. Disagreementsbetween the holders of shared copyrights in such recorded material shall be referred tothe Committee on Patents and Copyrights set up in accordance with Clause 23.13.23.13 The Board and the Association shall continue the Committee on Patents andCopyrights composed of two members appointed by the Board and two Membersappointed by the Association. The chairperson of this committee shall be, at alternatemeetings, one of its members appointed by the Board then one of the Members appointedby the Association.23.14 The Committee on Patents and Copyrights shall meet within fifteen (15) days of acase having been referred to it. It shall consider copyright and patent cases referred to itby Members as well as those referred by the Board, including disputes over fees. Thecommittee shall render a decision within two months of receipt of a request.308

23.15 The Board makes no claim to any invention, improvement, design or developmentmade by a Member without the use of the Board's funds or support or technicalpersonnel. The payment of a regular salary to a Member and the provision of an academicenvironment in which to work shall not be construed as the use of the Board's funds orsupport or technical personnel in interpreting this Clause 23.15 or others in Article 23.Any claim that the Board may wish to make on any invention, improvement, design ordevelopment made by a Member shall be stated in writing at the time monies other thanregular salary or support or technical personnel are provided.23.16 Members have no obligation to seek patent protection for the results of their workor to modify their research to enhance patentability. Members also have the unqualifiedright to publish their inventions, improvements, designs and developments.23.17 Members shall have the right to process applications for patents and the right toprocess such patents either on their own or through Nova Universities Technology Inc.,or other similar agency with which the Board may have an agreement. The Board agreesnot to modify, change, alter or abandon its agreement with Nova Universities TechnologyInc., or other similar agency without consulting the Association through the AssociationBoard Committee.23.18 Members who process applications for patents through the Board's agreement withNova Universities Technology Inc., or other similar agency may be required to sign anagreement governing proceeds and other terms.23.19 Where Members make their own arrangements to patent an invention which hasinvolved the use of the Board's funds or support or technical personnel, such Membersshall grant fifty percent of the net proceeds to the Board.23.20 Disputes about patents may be referred to the Committee on Patents andCopyrights.309

Appendix 12.3 Policy on Ethical Research PracticesA research grant or contract is issued to the University. As an employee of theUniversity, you are listed as the Principal Investigator. A University signature isrequired on all grants and contracts because it removes any direct liability from youand places it with the University. While the University accepts liabilityresponsibilities, researchers need to be aware of the administrative responsibilitythey undertake as Principal Investigator for a research project. While many of theadministrative services of the University are available to assist you, ultimately it isthe researcher who is responsible for the administration of his/her contract or grant.This includes supervision of personnel, compliance with University and agencypolicies, financial decisions, and responsibility for meeting the terms and conditionsof the grant or contract.Here are some highlights of our research policies:PUBLICATIONThe University will not engage in a research project or agreement that deniesthe University and/or the researcher the right to publish. The limitations onpublication varies between a grant and a contract. The Office of ResearchServices will review any publication clause with the researcher prior tosignature if it is deemed to conflict with University policy.INTELLECTUAL PROPERTYAll intellectual property developed during the course of a research projectvest with the researcher(s). Often agencies and companies will negotiaterights to this IP and sometimes even demand ownership of all IP developed asa result of a grant or contract. The Office of Research Services will consultwith a researcher when an intellectual property clause is included as a part ofa research agreement. Additionally, the Office of Industry Liaison &Innovation can assist researchers with appropriate IP information andprotection. The University will negotiate IP clauses if it is the will of theresearcher and will not refuse to sign a grant or contract because of an IPclause unless instructed to do so by the researcher. Researchers should beaware of the potential outcome of any research they wish to undertake andcarefully review any clauses that deal with their intellectual property.CONFIDENTIALITY AGREEMENTSMany companies/agencies insist that a confidentiality agreement be signed.This happens not only with research contracts but also with grants. Theconfidentially of proprietary information must be assured. However, oftentimes these agreements also includes the confidentiality new information thatmay be developed as a result of the proposed research. Researchers areencouraged to send these agreements to Research Services for review beforesigning them.310

GRANTSFinancial support for an individual, orgroup of individuals, conductingresearch in a particular subject areaor field without any formal detailedstipulations as to the direction of suchresearch.CONTRACTSContract research includes any researchproject or program entered into by theUniversity and the contracting agencythrough a contract, memorandum ofunderstanding, or other agreementenforceable by law under specific stipulationsand conditions.Contract research includes any researchproject or program entered into by theUniversity and the contracting agencythrough a contract, memorandum ofunderstanding, or other agreementenforceable by law.The Office of Research Services shouldconduct contract negotiations for allUniversity-based research contracts.In general, there is:• no direct or indirectreimbursement to the principalinvestigator,• no stipulations as todeliverables• no limitations on publication• no specific transfer of resultsto the sponsorContracts often:• outline the scope and nature of theresearch• set the time periods for the activity• define the deliverables• establish ownership of the intellectualproperty, and patent rights andlicensing agreements• provide for confidentiality ofinformation supplied and created• establish considerations foracceptance and/or termination• limit liability of the participantsPayment is generally made to theuniversity in advance of expenditures.Payment is often made to the University on areimbursement for expenditures basis.Dalhousie University has two University Research Ethics Boards which reviewall faculty and graduate thesis research that involves human participants,human tissue or human data:ooThe Health Sciences Research Ethics BoardThe Social Sciences and Humanities Research Ethics Board311

In addition, Departmental Committees are responsible for the ethics review ofhuman subject research when it is conducted as part of undergraduate orgraduate course-work, or as undergraduate thesis work when it poses less thanminimal risk to participants. Where such research poses greater than minimalrisk, it must be referred to a University Board for review.Faculty and students submitting their research projects for human ethics reviewmust prepare their submissions using the appropriate forms and guidancedocuments which are specific to each Board. The selection of the correct formsis governed by the nature of the research and research participant population,not the home Department or discipline of the Researcher. If researchers areuncertain which guidelines are suitable, they should consult the Office ofResearch Ethics Administration for advice.Forms and guidance documents are listed in the left-hand column.Faculty / staff should use:• Ethics submission deadlines (PDF file)• Application for submission to the Dalhousie Health SciencesREB (MSW file)orApplication for submission to the Social Sciences and HumanitiesREB (MSW file)• Guidance for Submitting an Application for Ethics review (for thecorresponding Board - HSREB or SSHREB) (PDF file)Students should use:• Ethics submission deadlines (PDF file)• Application for submission to the Dalhousie Health SciencesREB (MSW file)orApplication for submission to the Social Sciences and HumanitiesREB (MSW file)• Guidance for Submitting an Application for Ethics review (for thecorresponding Board - HSREB or SSHREB) (PDF file)• Confirmation of Supervisor’s Review (PDF file)312

**********************************************************************************************NEW UNIVERSITY POLICY ON HUMAN RESEARCH ETHICSAs of July 2008, a new "Dalhousie University Policy on the Ethical Conduct ofResearch Involving Humans" came into effect.The policy describes what responsibilities lie with the central administration,the two University Research Ethics Boards, individual academic units, faculty,students and staff related to the conduct and review of human subject research.All those conducting research with human participants, data, or tissue must befamiliar with and follow this policy. Also, Departments where studentsconduct such research must ensure that the appropriate ethics review andreporting activities are carried out according to the requirements of this policy.**********************************************************************************************RESEARCH INVOLVING ANIMALSGeneralWEBSITE for information and formsUCLA secretary leslie.lord@dal.cawww.animalethics.dal.caAll use of vertebrates and invertebrates in research, teaching or testing at Dalhousie Universitymust be covered by an approved protocol. This also includes the use of tissues and cells obtainedat necropsy or from a slaughterhouse and the use of eggs, protozoa or other single-celledorganisms. This requirement also applies to collaborative work done with other investigators fromanother institution and research conducted in the field.The University Committee on Laboratory Animals (UCLA) is the Dalhousie animal ethics committeeresponsible for the review and approval of protocols proposing the use of animals. This committeedetermines if the procedures being proposed are within established guidelines and are humane.The UCLA is a Presidential Committee reporting through the Office of the Vice-President(Research) whose functions and responsibilities are clearly defined by the Canadian Council onAnimal Care (CCAC) guidelines. These guidelines are available from the CCAC website(www.ccac.ca).UCLA Representatives: UCLA membership consists of University faculty members, IWK-Gracefaculty members, external community members, university non-animal user (faculty) members,University veterinarian, Director of the Carleton Animal Care Facility, Aquatron manager, animalcare technician, graduate student and ex-officio representative from Research Services,.Meetings: The Committee meets on the third Thursday of each month. Deadline for submissionsfor inclusion in the agenda is the second Thursday.Activities relating to protocol review should be addressed to the Secretary or the Chair of theUCLA. Requests for protocol forms, submission of new protocols or renewal of protocols and313

general inquiries should be directed to the Secretary at 494-1270 or Leslie.Lord@Dal.Ca.Interpretation of university policies, Committee decisions and other inquiries should be directed tothe Chair or veterinarians.FORMS supporting information is available at www.animalethics.dal.caConsulation: All investigators are encouraged to consult with the University Veterinarians, UCLArepresentatives, animal facility supervisors and UCLA Secretary or UCLA Chair before submitting aprotocol for review. This consultation will aid in the design of a project regarding the selection ofspecies, number of animals required, caging or housing requirements, special technical assistanceand costs etc. and will serve to avoid delays in the approval processProceduresInvestigators are encouraged to submit a completed protocol (FORM A) at least three monthsahead of the anticipated date of beginning research, even if funding has not yet been received.This allows time for any questions to be addressed or information to be obtained. There are oftenissues that need clarification and a delay of several days to weeks in the start of a project can beavoided by planning.Researchers will be required to indicate whether they have submitted a protocol for animal usewhen they submit a research grant or contract proposal to the Office of Research Services.There are detailed instructions for protocol submission in the READ ME section from the web page.The Committee requires a detailed description of all proposed animal use. Copies of grants orcontracts are not acceptable for submission. It is essential that all committee members understandthe procedures that they are reviewing. Use lay language when describing your work. Anythingthat enhances the comprehension of the proposed work such as flow charts is appreciated and willfacilitate the approval process.Approval periods: Protocols are given a one year approval period. At the end of the one yearperiod an extension (FORM B) may be applied for, for a further one year extension if there havebeen no changes to the work approved in the original FORM A application. At the end of this twoyear period, the protocol must be re-submitted for full review. The extension form (FORM B) forrenewal also includes an amendment section that may be used to make minoramendments/adjustments to the approved protocol.Investigators proposing the use of invertebrates, tissues obtained at necropsy or from aslaughterhouse, must submit a one page protocol (FORM C) for approval.The FORM C protocols are given a two year approval period and are required for fund release.Scientific peer review of all proposed studies is required and there is information on this process onthe website or contact the UCLA secretary.http://animalethics.dal.ca/index.php**********************************************************************************************314

Research Involving Biohazardous Materials or Techniques• If the proposed research involves any material or procedure which might posea risk of infection, the proposal should be submitted to the Chair of theFaculty of Medicine Biohazards Safety Committee for approval. Thiscommittee has University-wide responsibility for reviewing such proposals.Research accounts cannot be opened until such approvals are verified.Further information can be obtained through Medical Research Services.• If the proposed research involves the use of nuclear substances/radioactivematerials contact the Environmental Health and Safety Office @mailto:Safety.Office@Dal.Ca.315

13. Student Protection StandardAppendix 13.1 Academic Calendar Information(Academic Calendar Provided)All students are shipped an Graduate Studies Academic CalendarCurrent AcademicCalendar PageNumberOn WebsitePage 6 & 7Listed under eachFaculty/Degreeprogram: see Facultylisting in Table ofContents Page I ofthe Faculty ofGraduate StudiesCalendar.Information2009-2010Graduate Studies CalendarThe organization’s mission and goalsDalhousie University: http://senioradmin.dal.ca/president/mission.phpA history of the organization and its governance and academic structureFor additional information on the History:http://www.dal.ca/About%20Dalhousie/History/For additional information with regards to the governance and academicstructure, please see:If the organization currently offers degree programs, a general description (e.g.purpose, outcomes, length) of each degree programMBA(FS) – Page 79SeniorAdministratorsPage 6 & 7BusinessAdministrationPage 67MBA(FinancialServices)Pages 81-82The academic credentials of faculty and senior administrators (Dean andabove)Individual descriptions of all subjects in these programs, and their credit value316

Appendix 13.2 Student Protection PoliciesII. Sources of Information: Programs and FeesA. Program informationAs a graduate student, most of your academic experience will focus uponyour department. You should know some basic things about being a graduatestudent:1. Graduate CoordinatorsEach graduate program at Dalhousie has a graduate coordinator who is yourmain first point of contact for information and advice on your program, yourdepartment, your faculty, and your university. Graduate coordinators arethere to help and advise you. They do not know everything, but they canpoint you in the right direction. Make sure you find out who your graduatecoordinator is and introduce yourself to him or her so you are known as well.2. SupervisorsIf you are in a thesis program, you will have a thesis supervisor(s). In manydepartments you will know who your supervisor is before you arrive. In otherdepartments, supervisors are arranged sometime in your first year. Thesissupervisors are there primarily to provide direction in your research, but theyare also very helpful for advice and information. Some non-thesis programsmay also assign research supervisors.3. Faculty of Graduate StudiesFor certain aspects of your life as a graduate student you will need to contactFGS, which is located on the 3rd floor (Room 314) of the Henry HicksAcademic Administration Building (Studley Campus), tel: 902-494-2485,email: graduate.studies@dal.ca. Staff is available to address your inquiresand concerns from 8:30 am to 4:30 pm, Monday through Friday.B. Fee informationInquires regarding payment of tuition and residence fees, balance owing,etc., and the international student health plan, are handled through Student317

Accounts on the Studley/Carleton Campus, or the Student Services Centre atthe Sexton Campus, Monday to Friday, 9:00 am to 4:00 pm.318

Appendix 13.2.1 Dispute ResolutionFaculty of Graduate Studies Regulations — Updated April-22-2009XI. AppealsUnit/program and Faculty decisions are subject to the normal appeals proceduresthat begin with the unit (department, school, faculty or program). If not resolved atthe Faculty level, the student may appeal to the Faculty of Graduate Studies on thegrounds below. There are no appeals on admission decisions, or decisions onscholarships, grants or bursaries.The grounds for appeal are limited to the following:1. procedural unfairness;2. bias; or3. irregularity in procedure.A written appeal must be submitted to the Dean of the Faculty of Graduate Studieswithin sixty (60) days following a) the event or circumstances appealed, or b)notification to the appellant of the outcome of the appeal at the unit level, whicheveris later. The submission must include:a. a description of the exact nature of the appeal including a summary of eventsand chronologyb. specific details of the alleged unfairness, bias or irregularity; and any other relevantconsideration or informationc. the requested resolution of the appeal.In an appeals process the student has the right to representation. The student isrequired to inform the Dean, in writing, if s/he will have a representative presentingthe appeal.Decisions of the Appeals Committee are forwarded to the Dean. Students may appealthe final Faculty of Graduate Studies decision to the Secretary of Senate within 15working days of the receipt of the Faculty decision. See the Senate office wbsite atwww.senate.dal.ca319

Appendix 13.2.2 Fees and ChargesThe 2009/2010 fee per course, including $400 for course materials, is $2550. For answers toquestions concerning all financial charges consult the MBA Financial Services Program Office.Tuition fees for Fall are due on September 25, 2009 and January for the Winter.• There are various ways to pay your tuition fees. Please see Section 2(e) of the How toRegister Online Guide for methods of payment. For those of you whose fees are beingpaid by your employer a Third Party Billing form is needed to authorize the payment. Forthis form please contact the office or go to:https://as01.ucis.dal.ca/stdacct/whatsnew.cfm?article=Third+Party+Billinghttp://as01.ucis.dal.ca/staccts/2009-2010/GPCS.pdfWhat happens if a student decides not to take courses for a term?Students who choose not to register for courses in the fall and winter term must submit a form bythe registration deadline to the Dalhousie Centre for Advanced Management Educationrequesting a program continuance for which a $50 fee is charged.320

Appendix 13.2.3 Student Dismissal4.2.1 Registration DeadlineAll students must be registered by the deadline for each term. Students whodo not register on or before the university's last day to register must apply inwriting to the Faculty of Graduate Studies for permission to register. Afinancial penalty will apply. Any student who fails to register by the officialdeadlines will not receive any service whatsoever from the University duringthat term. Continuing students who fail to register by the final deadline willhave to apply for readmission during the next available admissions cycle (see4.2.5).4.2.2 Failure to Register (Program Fee Students)Students who fail to register within the approved deadlines will be consideredto have lapsed registration. Such students will not be permitted to submit athesis nor will they receive any services from the University during thatacademic term. Students who allow their registration to lapse will beconsidered to have withdrawn and will be required to apply for readmission.(See section 4.2.5.1).4.2.4 Academic DismissalA student may be required to withdraw from a program for academic reasons(e.g., failure to meet admission or program requirements or lack of academicprogress), for academic offences such as plagiarism, irregularities in thepresentation of data, etc., (see Intellectual Honesty and Senate DisciplineCommittee, page 24), for non-academic reasons, (see Code of StudentConduct, page 25), or for failing to maintain registration status (see 4.1above). The student will be notified by the appropriate body of the reason forthe required withdrawal. Academic work completed at another institution,while on Academic Dismissal can not be used for credit at Dalhousie.321

Appendix 13.2.4 Withdrawals and Refunds4.2.3 WithdrawalStudents who withdraw from a degree program are to immediately informthe Graduate Coordinator of their program and the Faculty of GraduateStudies in writing. The immediacy of notification is important since theamount and speed of possible fee reimbursement is influenced by the date ofwithdrawal. Students must contact Student Accounts directly to makearrangements to receive their fee reimbursement. A withdrawal is notofficial until it has been approved by the Faculty of Graduate Studiesand received in the Registrar's Office. Under no circumstances willthe Faculty of Graduate Studies back-date a withdrawal notice.Withdrawal from a classNon-attendance at a class does not, in itself, constitute withdrawal.Withdrawals are not effective until an add/drop form is received at FGS.Please refer to the Graduate Studies Calendar for withdrawal deadlines.MBA (Financial Services) Fall 2009Dates to rememberThe last day for Fall term registration. For any changes to yourJuly 17 , 2009registration you must contact the MBA (FS) program office.Winter course materials will be shipped via courier this week.August 24, 2009 This is the last day to withdraw from a course and have bothtuition fees ($2150) and material fees ($400) refunded.September 1 , 2009 Start date for Fall courses.September 25, 2009 Tuition fee dueLast day to Drop courses for Fall Term. Tuition fees ($2150) willSeptember 29, 2009 be refunded for any courses dropped up to this date. Material feesare NOT refunded after course materials have been shipped.Last day to withdraw from a Fall course without academic penalty.October 13, 2009 Tuition fees will not be refunded, but your class will not show onyour academic record.Please Note: Non- completion of assignments or non-attendance at intensive sessionsdoes NOT constitute withdrawal. The university must receive written notification ofwithdrawal.322

Appendix 13.3 Student Protection InformationUpon acceptance to the MBA (Financial Services) Program all students are provided withthe Graduate Studies University Calendar, Admission Information Package andReference package. The above listed sources of information cover all topics/itemsoutlined in section 13.3 Student Protection Informationa) method of course delivery;b) academic honesty;c) admissions;d) credit transfer arrangements with and recognition by other institutions;e) credit transfer arrangements for incoming students;f) prior learning assessment;g) entrance examinations;h) dispute resolution;i) grading;j) intellectual property rights;k) the ability of international students admitted to the program to meet program requirements fordegree completion;l) payment of fees and charges;m) scholarships and other financial assistance;n) student complaints and grievances;o) student dismissal;p) student support and services;q) tuition;r) withdrawals and refunds;s) institutional closure;t) where appropriate, supervision, preparation, and examination of theses/dissertations.The students are asked to review the policies, procedures and regulations prior toregistering in the program.Freedom of Information and Protection of Privacy(See page 9 of Graduate Calendar)Dalhousie University is committed to making every reasonable effort to assist persons seekinginformation concerning the university, to help them with Freedom of Information and Protection ofPrivacy (FOIPOP) applications and to respond without delay in an open, accurate and completemanner. Internal procedures have been developed and are constantly reviewed and revised toensure that we remain compliant with the requirements of the Act and make appropriatedecisions about our records in the spirit of the Act.This section outlines Dalhousie FOIPOP procedures and describes FOIPOP issuesrelevant to Dalhousie.323

The purpose of the FOIPOP Act is twofold:• To make public bodies more open and accountable to the public by providing access toinformation contained in records under the custody or control of the public body. (The Actprovides that certain information is or may be exempted from disclosure).• To protect the privacy of personal information in the records of the public body and toprevent their improper disclosure.As of November 23, 2000 the provisions of the FOIPOP Act are extended to Universities in NovaScotia and specific provisions are included in the Act and regulations which affect the rights of thepublic to access to university information.What is covered under FOIPOP and what is not?The FOIPOP Act allows individuals access to records containing their own personal informationand gives them the right to request corrections to that personal information. In addition, it allowsthe public the right to access university records in the custody and control of the Universitysubject to a limited number of specific exemptions from disclosure which are either mandatory ordiscretionary. Decisions taken by the University to claim an exemption from disclosure are subjectto review by an independent body to ensure there has been compliance with the Act.The Act contains certain specific situations when it does not apply. These include requests formaterial that is already available for purchase by the public or that is already on the public record.Insofar as the Act is in addition to and does not replace existing procedures for access toinformation of records within the University, attempts should be made obtain the informationthrough internal informal procedures rather than by making a formal FOIPOP application. TheFOIPOP Coordinator may be contacted to determine whether university records may bedisclosed without the necessity of a FOIPOP application. The University will be endeavoring tomake as much publically releasable information available as is possible in order to avoid thecomplexity of a FOIPOP application.At Dalhousie University any written FOIPOP application received anywhere on campus will bedirected to the Dalhousie FOIPOP Coordinator who will also be available to answer any inquiriesregarding the application of the FOIPOP Act to Dalhousie University. All inquiries or FOIPOPApplications should be directed to:324

Mr. John HopeDalhousie FOIPOP CoordinatorRoom 225, Henry Hicks Academic Administration BuildingStudley Campus, 6299 South StreetHalifax, N.S. B3H 4H6Phone (902) 494-2184John.Hope@Dal.caThere are some aspects of the FOIPOP Act that might require the university or departments toreconsider the manner in which they create, handle, store or dispose of records and the use towhich they are made. Units are encouraged to consider implementing a comprehensive recordsmanagement policy which deals with the creation, access and retention or disposal of records inorder to make better use of available space and to ensure that only necessary and/or appropriaterecords are retained. Contact the University FOIPOP Coordinator for further information.Personal informationBecause of the prohibition in the Act concerning the collection, use and disclosure of personalinformation except in specified circumstances, some practices such as the posting of grades in amanner which identifies a student will have to be changed. Additionally references for studentsmay not be able to be made without the written consent of the student. University personnel areencouraged to become familiar with the Act and to direct their inquiries to or discuss any possibleconcerns regarding their practices with the FOIPOP Coordinator.The FOIPOP Act contains section 24(4) which requires the University to retain for one year anypersonal information concerning an individual which has been used "to make a decision thatdirectly affects the individual". This will affect the manner in which the university handles certainrecords that are used to make decisions and units will have to determine whether they haverecords which must be retained for this required one year period.Since any record under the custody or control of the University is potentially accessible under theAct, university members should be aware that any record they create may be read or disclosed toothers in accordance with the Act. Although some records are subject to exemption fromdisclosure, the fact that someone may be embarrassed by the disclosure is not grounds for avalid non-disclosure of the record. Thus it is important to have an appropriate recordsmanagement policy in place to ensure that only permanent records are maintained. The Act does325

not require that any records actually be created but, where they are, they may be subject to theAct. Records of a purely transitory nature (such as voice mail messages) need not be maintainedunless it is important that they form part of a permanent record.Records which no longer are of any value or use to the institution and of no historical interestshould be disposed of in accordance with the unit's records management policy. Older recordsthat are of use or value or historical interest should be maintained in accordance with the policyor, if appropriate, transferred to the University Archives. If a record is requested under theFOIPOP Act, however, there must not be any intentional destruction or alteration of such a recordin order to evade its disclosure under the Act since such an action would constitute an offenceunder the Act and may lead to personal fines and/or imprisonment.Note: The information provided herein is intended to be of assistance in understanding theFreedom of Information and Protection of Privacy Act and Regulations as it applies to DalhousieUniversity. The information contained herein is subject to revision and review and is not to beconsidered as a replacement or substitute for University regulations or policy. The informationcontained herein should not be construed as legal advice.326