Financial Services

1. Organization and Program Information Appendix 1.1. Submission Title Page

Full Legal Name of Organization: Dalhousie University Operating Name of Organization: Dalhousie University Common Acronym of Organization (if applicable): DAL URL 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 location- specific consent from the Minister): Halifax, NS; Toronto, ON; Scarborough, ON; Calgary AB, Vancouver, BC Contact Information: Person Responsible for this Submission: Name/Title: Ron Stubbert, Assistant Dean, Administrative Full Mailing Address: Dalhousie University Faculty of Management 6100 University Avenue, Suite 3050 Halifax, NS B3H 3J5 Telephone: (902) 494-1183 Fax: (902) 494-1195 E-mail: [email protected] Site Visit Coordinator (if different from above):** Name/Title: Michelle Hunter Full Mailing Address: 6100 University Avenue, Suite 3100 Telephone: (902) 494-1828 Fax: (902) 494-5164 E-mail: [email protected] Anticipated Start Date: Program started in 1996 Anticipated Enrolment for the first 4 years of the program: (Program launched in 1996 with 95 enrolled students) Enrolment numbers are based on the last four years – anticipate a steady enrolment of 200 -250 for 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 proposal content and communications from the Postsecondary Education Quality Assessment Board. ** This person will be the organization’s liaison for coordinating the site visit.

Table of Contents Appendix 1.2 Table of Contents

1. Organization and Program Information ...... 1 Appendix 1.1. Submission Title Page ...... 1 Appendix 1.2 Table of Contents ...... 2 2. Executive Summary ...... 4 Appendix 2.1 Executive Summary ...... 4 3. Program Abstract ...... 7 Appendix 3.1 Program Abstract ...... 7 4. Program Degree- Level Standard ...... 8 Appendix 4.1 Degree Level Summary ...... 8 Appendix 4.2 Sample of Student Work ...... 10 5. Admissions, Promotion, Graduation Standard...... 11 Appendix 5.1.1 Admission Requirements Direct Entry ...... 18 Appendix 5.1.2 Admission Policies and Procedures for Mature Students ...... 19 Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures ...... 20 Appendix 5.2.2 Advanced Placement Policies ...... 25 Appendix 5.2.3 Degree Completion Arrangements ...... 50 Appendix 5.2.4 Gap Analysis ...... 51 Appendix 5.2.5 Bridging Courses ...... 52 Appendix 5.3 Promotion and Graduation Requirements ...... 53 6. Program Content Standard ...... 64 Appendix 6.1 Program Advisory Committee ...... 64 Appendix 6.1.1. Program Advisory Committee Membership ...... 65 Appendix 6.1.2 Program Advisory Committee Minutes ...... 68 Appendix 6.2.1 Professional/Accreditation or Other Requirements ...... 69 Appendix 6.3.1 Program Level Learning Outcomes ...... 70 Appendix 6.3.2 Course Descriptions ...... 77 Appendix 6.3.3.1 Program Hour/Credit Conversion Justification ...... 80 Appendix 6.3.3.2 Undergraduate Academic Course Schedule ...... 81 Appendix 6.3.3.3 Graduate Academic Course Schedule Information ...... 82 Appendix 6.4 Course Outlines ...... 84 Appendix 6.5.1 Support for Work Experience ...... 87 7. Program Delivery Standard ...... 88 Appendix 7.1 Quality Assurance for Program Delivery ...... 88 Appendix 7.1.2 Policy on Student Feedback ...... 121

Appendix 7.1.3 Student Feedback Instruments ...... 124 Appendix 7.2.2 Academic Community and online learning ...... 145 8. Capacity to Deliver Standard ...... 147 Appendix 8.1 Legal Characteristics ...... 147 Appendix 8.2 Governance Structure ...... 148 Appendix 8.3.1 Coordinated Business and Academic Plans to Support Program Quality ...... 150 Appendix 8.3.2 Administrative Staff ...... 151 Appendix 8.4 Participation in Academic Policies and Standards ...... 153 Appendix 8.5.1 Library Resources ...... 156 Appendix 8.5.2 Computer Access ...... 167 Appendix 8.5.3 Classroom Space ...... 177 Appendix 8.5.4 Laboratories/Equipment ...... 180 Appendix 8.6 Resource Renewal ...... 181 Appendix 8.7 Support Services ...... 182 Appendix 8.8 Policies on Faculty ...... 186 Appendix 8.9.2 Curriculum Vitae of Current Faculty Assigned to Degree Program ...... 191 Appendix 8.9.2 (E) Curriculum Vitae for On-line Learning Professional and Technical Staff ...... 289 Appendix 8.10 Enrolment Projections and Staffing Implications ...... 290 9. Credential Recognition ...... 290 10. Regulation and Accreditation Standard ...... 293 11. Program Evaluation Standard ...... 294 Appendix 11.1 Program Evaluation Policies and Procedures ...... 294 12. Academic Freedom and Integrity Standard ...... 295 Appendix 12.1.1 Academic Freedom Policy ...... 295 Appendix 12.1.2 Academic Honesty Policy ...... 296 Appendix 12.1.3 Academic honesty Procedure ...... 303 Appendix 12.2 Policy on Intellectual Policies ...... 307 Appendix 12.3 Policy on Ethical Research Practices ...... 310 13. Student Protection Standard ...... 316 Appendix 13.1 Academic Calendar Information ...... 316 Appendix 13.2 Student Protection Policies ...... 317 Appendix 13.2.1 Dispute Resolution ...... 319 Appendix 13.2.2 Fees and Charges ...... 320 Appendix 13.2.3 Student Dismissal...... 321 Appendix 13.2.4 Withdrawals and Refunds ...... 322 Appendix 13.3 Student Protection Information ...... 323

Section of Submission Binder Content to Be Included Tab Quality Assessment Panel Nominees 1. Title Page 1 Appendix 1.1 Submission Title Page Appendix 1.2 Table of Contents 2. Executive Summary 2 Appendix 2.1 Executive Summary 3. Program Abstract 3 Appendix 3.1 Program Abstract 4. Program Degree-Level Standard 4 Appendix 4.1 Degree Level Summary Appendix 4.2 Samples of Student Work 5. Admissions, Promotion, Graduation Standard 5 Appendix 5.1.1 Admissions Requirements Direct Entry Appendix 5.1.2 Admissions Policies and Procedures for Mature Students Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures Appendix 5.2.2 Advanced Placement Policies Appendix 5.2.3 Degree Completion Arrangements Appendix 5.2.4 Gap Analysis Appendix 5.2.4 Bridging Courses Appendix 5.3 Promotion and Graduation Requirements 6. Program Content Standard 6 Appendix 6.1.1 Program Advisory Committee Membership Appendix 6.1.2 Program Advisory Committee Minutes Appendix 6.2.1 Professional/Accreditation or Other Requirements Appendix 6.2.2 Letters of Support: Professional/Accreditation or Other Requirements (N/A) Appendix 6.3.1 Program Level Learning Outcomes Appendix 6.3.2 Course Descriptions Appendix 6.3.3.1 Program Hour/Credit Conversion Justification Appendix 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 Outlines Appendix 6.5.1 Support for Work Experience Appendix 6.5.2 Work Experience Outcomes and Evaluation 7. Program Delivery Standard 7 Appendix 7.1.1 Quality Assurance Policies Appendix 7.1.2 Policy on Student Feedback Appendix 7.1.3 Student Feedback Instruments Appendix 7.2.1 On-Line Learning Policies and Practices Appendix 7.2.2 Academic Community Policies 8. Capacity to Deliver Standard 8 Appendix 8.1 Legal Characteristics Appendix 8.2.1 Governance and Administrative Structure Appendix 8.2.1 Responsibilities of Governing Bodies Appendix 8.2.3 Reporting Structure Appendix 8.3.1 Coordinated Business and Academic Plans Appendix 8.3.2 Administrative Staff Appendix 8.4 Participation in Academic Policies and Standards Appendix 8.5.1 Library Resources Appendix 8.5.2 Computer Access Appendix 8.5.3 Classroom Space Appendix 8.5.4 Laboratories/Equipment (where applicable) Appendix 8.6 Resource Renewal and Upgrading Appendix 8.7 Support Services Appendix 8.8 Policies on Faculty Appendix 8.9.2 Curriculum Vitae for Current Faculty Assigned to Degree Program. Appendix 8.9.2 E Curriculum Vitae for On-line Learning Professional and Technical Staff Appendix 8.10 Enrolment Projections and Staffing Implications 9. Credential Recognition Standard 9

10. Regulation and Accreditation Standard 10

11. Program Evaluation Standard 11 Appendix 11.1 Periodic Review Policy and Schedule 12. Academic Freedom and Integrity Standard 12 Appendix 12.1.1 Academic Freedom Policy Appendix 12.1.2 Academic Honesty Policy Appendix 12.1.3 Academic Honesty Procedure Appendix 12.2 Policy on Intellectual Products Appendix 12.3 Policy on Ethical Research Practices 13. Student Protection Standard 13 Appendix 13.1 Academic Calendar Information Appendix 13.2.1 Dispute Resolution Appendix 13.2.2 Fees and Charges Appendix 13.2.3 Student Dismissal Appendix 13.2.4 Withdrawals and Refunds Appendix 13.3 Student Protection Information 14. Optional Material 14 Appendices 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 Summary Appendix 2.1 Executive Summary

Program Title and Credential: Master of Business Administration (Financial Services)

Discipline/Field of Study: Business

Prior work experience is required for admission and degree completion

Anticipated Program Start Date: Dalhousie has been offering the MBA (Financial Services) program since 1996 with close to 720 graduates and an expected 40 more this fall.

Organization Overview and Program Description: Originally founded in 1818, by George Ramsey, the 9th Earl of Dalhousie, Dalhousie University operates under an act of the legislature of the Province of Nova Scotia. As the oldest, largest and most comprehensive university in Eastern Canada, Dalhousie has developed a strong national reputation for quality. This reputation is based on the University's academic excellence, the scope and breadth of its programs and the track record of its graduates in the working world.

The Maritime Provinces Higher Education Commission (MPHEC) oversees all of the program approvals, modifications and changes, as well as, audits the quality assurance for universities in Nova Scotia, New Brunswick and Prince Edward Island. Dalhousie University is divided into eleven Faculties with each Faculty headed by a Dean who exercises academic and administrative authority under the guidelines established by the University’s Board of Governors. The Faculty of Management comprises four Schools: Business Administration, Public Administration, Information Management and Resource and Environmental Studies. The Faculty offers four business programs that have been accredited by AACSB International, two four- year undergraduate programs; the Bachelor of Commerce and the Bachelor of Management and two graduate programs; the MBA and the MBA (Financial Services). 4

The FS program has been developed in response to industry demand. It specifically addresses the needs of individuals who are working full-time, may be resident outside major communities with universities, and require materials that are available in a format providing for a process of self-directed study within the limitations of individual schedules. These needs are addressed while still providing a high level of academic standards, and having the student interact with the professor and other students for 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 junior executives 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 calibre of students entering the program is ensured through a review of past academic performance as well as job performance at the management level, references, and a review of each applicant’s personal resume. Once accepted by Dalhousie University, a student must complete the requirements for the MBA (FS) degree within seven years.

The individuals selected for entrance to this program are expected to contribute to the development of their fellow students through their sharing of management experiences. The academic personnel instructing each course provide the additional knowledge base, analytical skills and problem-solving capacity 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 distance study and assignments followed by a three-to-five-day intensive learning session. The capstone course, Strategic Leadership and Change, is taken after all other relevant courses are completed and consists of eight weeks of distance study and assignments followed by a one-week intensive learning session conducted at Dalhousie University. Students must be able to integrate their new knowledge into everyday responsibilities, on a course-by-course basis, in their existing positions and as their careers progress.

During the period students spend with the distance portion of the materials in each course, they submit assignments that are marked and returned with detailed feedback. In addition, students have access to a university professor by phone, fax, and e-mail, Internet conference boards and chat rooms.

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

3. Program Abstract Appendix 3.1 Program Abstract

The Dalhousie MBA (Financial Services) degree helps managers in the financial services industry enhance their skills by furthering their abilities to exercise leadership and make sound business decisions, honing their analytical skills, and sharpening their judgment in managerial and client service roles. The program broadens the horizons of financial managers by exposing them to business concepts necessary inside and outside the industry, thereby enhancing performance in their present positions and increasing their scope of career opportunities. The part-time MBA (FS) program is delivered using a blended learning model of combining distance and classroom instruction.

4. Program Degree- Level Standard Appendix 4.1 Degree Level Summary

The MBA (FS) program is a master’s level degree program specifically tailored to the Financial Services sector of the business world. There are several streams designed specifically for various banking 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 representing the major financial institutions; • the ability to make the most effective use of the resources available to managers, and to develop solid relationships with clients; • an enhanced ability to anticipate future trends so that managers can adjust their strategies to changing conditions; • a better ability to understand the broad-based skills necessary to run a large business. This adds to and complements the functional training and experience developed through progression within the work environment; • an enhanced ability to envision and manage the environment of change, which is a continuing dynamic in today’s business climate; • broader knowledge of business in general, enabling managers to better run their own business while incorporating information and innovation from all business environments. This will also enhance 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 the financial 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 while still ensuring a high level of academic excellence and enabling students to interact with their professors

8 and each other for a specified period of time, similar in duration to that spent in class by full-time MBA students.

The part-time MBA (FS) program is delivered using a blended learning model of combining distance and classroom instruction. Dalhousie MBA courses are offered via online distance education using university texts supplemented with teaching notes and on-line correspondence. The format of each course is a four month distance portion concluding with a three to five day intensive classroom sessions (which includes a three-hour exam) held in a major centre where demand warrants. There is no guarantee that sessions will be held in a particular location and participants may be required to travel to attend these sessions. (If this is the case, students are responsible for their own transportation and accommodation.)

The program concludes with a capstone course, Strategic Leadership and Change. The course may be taken only after completion of all other course requirements and is only offered during the summer session at Dalhousie University in Halifax.

This “blended learning model program” gives students the same MBA degree from the Faculty of Graduate Studies at Dalhousie University as students who are enrolled in the full-time, residential program. As is the case with the full-time program, enrolment is not a guarantee of success. Students must meet a rigorous standard of performance and will not be passed in any individual course where they do not meet this standard.

The Dalhousie courses are comparable to the required core courses in the full-time MBA program and use University texts supplemented with teaching notes prepared by Dalhousie professors or qualified personnel 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. This degree has full and equal status with all other Masters-level degrees approved and granted by Dalhousie University.

The School of Business programs (including the MBA- Financial Services) is AACSB International (Association to Advance Collegiate Schools of Business) accredited.

Appendix 4.2 Sample of Student Work

“The organization has on file and available upon request samples of student work as per the requirements 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 reflects exemplary, average, and minimally acceptable performance, demonstrates that the degree level standard has been achieved.

5. Admissions, Promotion, Graduation Standard

This innovative degree program is primarily designed for managers and executives in the financial services industry. These individuals are leaders who must constantly make challenging decisions and have to rely on people, financial resources and technology to achieve results. The high caliber of students entering the program is ensured through a rigorous review of past academic performance, and current job performance at the management level, as well as each applicant’s résumé and references.

Admission Requirements Faculty of Graduate Calendar http://gr.cal.dal.ca/FACS.htm

2.2 Master's Degree Program

Candidates for admission must hold at least a Bachelor's Degree with a minimum B average in the last 60 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's Degree with an honours or the equivalent of honours standing as granted by Dalhousie University in 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 evidence of independent research capacity (such as a research project as part of a class) or if the degree is officially approved as an honours equivalent. In those cases where a candidate has a three (3)-year degree and a four (4)-year degree honours program was not available to them, first-class candidates 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 graduate work is to be done or an area which is relevant to the graduate work. Candidates must achieve an average of at least a B in those four classes, as well as the overall B average in the last 60 credit hours for their degree.

c. Some professional programs offer a one-year Master's program for which an honours degree or equivalent is not required for admission. See Departmental Listings for details of individual program admissions.

A small number of mid-career Master's degrees (see 6.4.3) allow entry either with or without a Bachelor's degree, depending on the qualifications of the applicant. Admission to such programs, as with all graduate programs, is at the discretion of the Faculty of Graduate Studies.

6.4.3 Specialty and Mid-Career Master's Degrees

A number of specialty Master's degrees have been and continue to be developed to meet specific needs and demands for graduate education in commerce, public service, and industry. Some but not all of these programs are degrees designed for mid-career professionals. These are primarily class-based programs, with some component of work and professional experience (either as part of the program or as 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 Requirements

Regulations of the Faculty of Graduate Studies govern admissions. Admission is approved by the Faculty 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-year Bachelor'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)

• 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 if applying for CFP stream • Prior Learning Assessment Portfolio (If required)

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

Appendix 5.1.1 Admission Requirements Direct Entry

Program Admission Requirements Academic Applicants must have a degree recognized by Dalhousie University as equivalent to an undergraduate degree with an equivalent Grade Point Average (GPA) of 3.0 (on a 4.3 scale). Related Work Experience 3-5 years work experience in the Financial Service sector Other Resume, letter of intent, recommendation letters (minimum of 1 employment & 1 academic), confirmation of employment, complete admission interview, successful completion

Appendix 5.1.2 Admission Policies and Procedures for Mature Students

Program Admission Requirements Academic Applicants must have a degree recognized by Dalhousie University as equivalent to an undergraduate degree with an equivalent Grade Point Average (GPA) of 3.0 (on a 4.3 scale). Evidence of continuing education (ie, professional programs or designations and/or some college or university courses). Academic – Professional See chart below Related Work Experience Minimum of 5 years management level experience and responsibilities in the financial service sector.

Other Resume, letter of intent, recommendation letters (minimum of 2), confirmation of employment, interview, Prior Learning Assessment portfolio (see attached guidelines and assessment tools)

5.2 Advanced Standing Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures

Program Admission Requirements Academic Applicants must have a degree recognized by Dalhousie University as equivalent to an undergraduate degree with an equivalent Grade Point Average (GPA) of 3.0 (on a 4.3 scale Academic –Professional See chart below Related Work Experience 5 years work experience in the Financial Services sector Other Resume, letter of intent, recommendation letters (minimum of 2), confirmation of employment, interview

Advanced Standing Program Chart Admission *( all courses must have been completed within a 10 year Requirements period prior to admission) All below courses/program have been reviewed and In addition to the above approved by the Dalhousie MBA(Financial Services) noted admission criteria, Academic committee and the Faculty of Graduate Studies candidates applying for advanced standing must meet the following requirements: CSI Financial Services Management Program (Professional Banking Program (PBP) ) To be admitted to the MBA (Financial Human Resource Management: A Financial Institution Perspective Services) Program under the Professional Global Financial Systems and Markets Banking program Financial Services Marketing stream, applicants must Minimum of 2 courses Using Information Technology to Gain Competitive Advantage completed from this program (must complete Bank Financial Management all 7 prior to registering for the final capstone Strategic Thinking: a Financial Services Approach course in the MBA (FS) Integrative Project program. CSI Wealth Management Program To be admitted to the (Personal Financial Planning/Personal Trust Programs) MBA (Financial Services) Program under STREAM I the Wealth Management

Servicing the Client program Stream , applicants must have Wealth Valuation completed a Minimum

Risk and Insurance of 2 courses completed from this program (must Investment and Portfolio Management complete all 8 prior to registering for the final Estate Planning capstone course in the MBA (FS) program. Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage

STREAM II

Fundamentals of Personal Finance

Investment and Taxation Fundamentals

Insurance and Retirement

Investment and Tax Planning

Risk Management and Estate Planning

Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage Canadian Securities Program To be admitted to the MBA (Financial All applicants must complete this category. Services) Program under the Canadian Securities Canadian Securities Course (CSC) program stream, Core applicants must have completed three courses Applicants must complete one of the core pairings. from the CSI. These courses must include the Professional Financial Planning Course (PFPC) and Wealth Canadian Securities Management Techniques (WMT) and/or Managing High Net Worth Course (CSC) and 1 set (MHNW) of the core pairings (see Investment Management Techniques (IMT) and Portfolio chart below) with an

Management Techniques (PMT) overall average mark that must be 70 per Derivatives Fundamentals Course (DFC) and Technical Analysis cent or greater. Course (TAC) The three additional Derivatives Fundamentals Course (DFC) and Financial Markets electives must be Risk Management (FRM) complete prior to registering for the MBA Electives (FS) capstone course.

Applicants must complete three electives. If a course is to be counted as an elective, it cannot also be counted 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 Management Course (ARM) – only offered on special order to groups

Energy 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) Program To be admitted to the Insurance Stream MBA (Financial Services) Program under Principles of Insurance: Life, Health and Annuities the FLMI program stream, you must have earned the FLMI 22

Insurance Company Operations designation from LOMA with a minimum average Insurance Administration grade of 80 per cent.

Legal Aspects of Life and Health Insurance - Canada OR Business Law for Financial Services Professionals

Marketing Life and Health Insurance

Management Principles and Practices

Information Management in Insurance Companies OR Investments and Institutional Investing

Financial Services Environment

Accounting and Financial Reporting in Life and Health Insurance Companies

Managing for Solvency and Profitability in Life and Health Insurance Companies CFP Certification Program To be admitted to the MBA (Financial CFP Certification - Certified Financial Planner Certification Services) Program under Professional Designation the CFP program stream, applicants must have a CFP (Certified Financial Planner) designation ( in good standing) as certified by the Financial Planners Standards Council

MBA (Financial Services) ADMISSIONS REQUIREMENTS – Advanced Standing

I. 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 industry iii) Management experience irrelevant

II. 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 graduation 23

iii) 5 years management experience at the appropriate job grade level.

2. GPA Below 2.7

i) Completion of minimum professional program courses as outline in chart above. ii) 5 years since graduation iii) 5 years management experience at the appropriate job grade level.

III. Undergraduate Courses without Degree/ No Degree and No University Courses

i) 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)

Appendix 5.2.2 Advanced Placement Policies

The organization’s admission policies that pertain to entrance examinations and advanced placement based on prior 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 graduate programs, is at the discretion of the Faculty of Graduate Studies.

The MBA (Financial Services) admission committee reviews and assesses the Prior Learning portfolio for evidence that through professional experience the candidate possesses the skills equivalent to those which would have been obtained through a traditional undergraduate degree experience and are require for success in a master’s level program. The major components are but are not limited to: of the following components:

1) Writing skills 2) Analytical skills 3) Research skills 4) Management/Leadership skills

SECTION A I. Skills in research and investigation 1. Use a variety of sources of information 2. Apply a variety of methods to test the validly of data 3. Identifying problems and needs 4. Identify information sources appropriate to special needs or problems 5. Formulate relevant questions to clarify a problem, topic or issue II. Report writing (demonstrated ability to write in a clear and informative manner) 1. Logical sequencing 2. Clarity of expression 3. Ability to analyze and synthesize 4. Capacity to present issues in a balanced manner 5. Ability to draw conclusions and make recommendations III. Team work to accomplish tasks, i.e., reports and presentations IV. Analytical Skills V. Presentations—Can the applicant display that a presentation they have given: 1. Addressed the relevant and significant issues 2. Defined the key issues well

3. Had appropriate facts, quotations, statistics, and documentation 4. Reflected penetration in analysis 5. Reflected appropriate sensitivity to political and administrative feasibility 6. Had an introduction, development, and conclusion 7. Reflected an adequate transition from one stage to another

SECTION B I. Differentiate between fact and opinion II. Recognize and evaluate bias and rhetoric III. Determine cause and effect relationships IV. Determine the accuracy/completeness of information V. Recognize logical fallacies/faulty reasoning VI. Compare and contrast information/points of view VII. Make inferences from materials VIII. Make judgements and draw conclusions

SECTION C Part I I. Managing II. Project development & evaluation III. Organizing IV. Communication V. Managing organizations, people, resources and services VI. Preparing reports SECTION C Part II I. Provided advice on issues important to the organization I. Displayed the ability to examine an issue in a critical manner: II. Challenged the status quo III. Displayed a balance between theory and practice IV. Added value to a report V. Experience in evaluation techniques: personnel or project VI. An understanding basic economic principles: supply and demand, different market types VII. An understanding of basic accounting principles: budgeting, priority setting and financial planning VIII. Computer skills, ie., working with spreadsheets, word processing, email and the internet SECTION C Part III 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 deadlines IV. The ability to work under pressure V. The ability to multi task work assignments VI. Consistent work practices

Samples of guidelines and assessment forms

• MANAGEMENT EXPERIENCE PROFILE (Sent to applicant) MANAGEMENT EXPERIENCE PROFILE

Please complete this form if your GPA does not meet the minimum requirements OR you do not have an undergraduate degree. When filling out this form please keep in mind the responsibilities you have had in the past 5 years. If you have held different positions in the last 5 years please fill out a separate form for each position.

SECTION A (To be completed by Applicant)

Name: Job Title with Dates: Organization: Name of Immediate Manager: Email address of Immediate Manager:

SECTION B (To be completed by Applicant)

1. HR Management Are you: (please check all that apply) • Responsible for the performance evaluation of more than one direct report • Responsible for approval of promotion and salary increases for your 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 employees

2. Financial Management Do you…: (please check all that apply) • Initiate first draft of budget preparation for his/her business unit and negotiate 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 limits

3. Information Management Do you act as an organization resource or subject matter expert at a high level for any of the following? • Responsible for initiating, organizing, implementing and/or managing information/data with relation to technology and/or archived materials • Certifies expertise that is applied in the performance of the job • Primary Responsible for the business unit’s knowledge management • Makes decisions consistent with guidelines particular to an industry or profession (e.g. FICB, FLMI, CGA, CA, CMA, CMC, Member of the bar) • Establish guidelines for subject matter expert’s to follow

Applicant’s Signature: ______Date: ______

SECTION C (To be completed by Manager)

I hereby certify that the above information is correct Manager’s Signature: ______

Manager’s Title: ______Date: ______

SECTION D For Office Use Only

CFAME Approval: Date:

• PRIOR LEARNING ASSESSMENT PORTFOLIO GUIDELINES (Sent to applicant)

PRIOR LEARNING ASSESSMENT GUIDELINES

CENTRE FOR ADVANCED MANAGEMENT EDUCATION

DECEMBER 2007

Prior Learning Assessment Guidelines

Introduction

These guidelines offer practical and step-by-step advice on how to develop a Prior Learning Assessment (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 Portfolio

The Proir Learning Assessment or PLA is an extensive collection of documentation usually presented in a three-ring binder, with labeled dividers, containing a coherent, well-organized and attractively presented inventory of skills and learning. These materials document and validate previously acquired learning. It details the research and writing skills that you normally obtain through an undergraduate degree but have gained through your work experience by example submissions of papers and documents written as part of your career development. As well your presentation skills should be clearly evidence in the document with examples given. There are quite a number of competencies we are looking to be shown as well. Overall your portfolio should demonstrate who you are (attitudes and behaviours), what you know (knowledge) and what you can do (skills and aptitudes).

Your portfolio should contain the following sections: 1. Letter of Intent 2. Letters of Support 3. Learning Matrix 4. “Life History” 5. Curriculum Vitae 6. Current Job Description 7. Performance Appraisals 8. Writing, Research, Presentation Samples 9. Certificates & Recognition 10. Transcripts & Training 11. Declaration of Authenticity

To 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 appropriate to your situation.

1. Guidelines for Writing a Letter of Intent

The letter of intent or personal statement is a standard component of most graduate and professional school 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 an advanced degree at a particular institution. Admissions committees rely heavily on these essays to put a 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 face one that stands out in a crowd. Your essay should demonstrate your ability to make connections between your experience, education, and the program you have chosen. The most challenging aspect of the 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 very general or the questions scattered, decide what point you want to make overall: that you are a proven achiever, or that you can deal with challenges, or that you have something special to contribute to the profession....

Be coherent. Being "together" is a quality of writing as well as of character. A clearly organized letter can create a picture of a clear-minded and sensible person. You might want to write from an outline or a diagram of main points. At least check the topic sentences of each paragraph in your finished 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 the facts set out in other parts of the application. Provide explicit answers for the question that arises in the mind of any reader. Use nouns and adjectives that name qualities (outgoing, curiosity, confident) and verbs that show action (coordinated, investigated, tried). Make an effort to find the exact right ones to suit the evidence you are offering.

Be specific. There's no point making claims unless you can back them up. Refer to the fact lists in other parts of your application ("as my academic record shows"), but be sure to offer enough examples in your letter so that it can stand on its own. Say that they are just instances, not your whole proof ("An 32 incident from last summer is an example...."). The concrete language you use for these specific references 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 tell stories, mention details, expand on facts. So mention things you might not have put into the rest of the application--your ethnic background or political interests, even. Don't be afraid to mention problems or difficulties; stress how you overcame them. Use "I" rather than phrases like "this writer" or "my experience" or "was experienced by me."

References:The Writing Center, University of Wisconsin. Application Essays from: http://www.wisc.edu/writing/Handbook/apessay_overview.html

How to Write an Effective Admission Letter from: http://www.utoronto.ca/writing/admiss.html

3. Guidelines for Learning Matrix:

Competencies you must demonstrate:

I. Skills in research and investigation II. Report writing (demonstrated ability to write in a clear and informative manner III. Team work to accomplish tasks, i.e., reports and presentations IV. Analytical Skills V. Presentations—Can the applicant display that a presentation they have given

Skills you must demonstrate:

I. Managing II. Project development & evaluation III. Organizing IV. Communication V. Managing organizations, people, resources and services VI. Preparing reports

Through your work experience you need to show the following:

I. Provided advice on issues important to the organization II. Displayed the ability to examine an issue in a critical manner: III. Challenged the status quo IV. Displayed a balance between theory and practice V. Added value to a report VI. Experience in evaluation techniques: personnel or project VII. An understanding basic economic principles: supply and demand, different market types VIII. An understanding of basic accounting principles: budgeting, priority setting and financial planning IX. Computer skills, ie., working with spreadsheets, word processing, email and the internet

Other 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 deadlines IV. The ability to work under pressure V. The ability to multi task work assignments VI. Consistent work practices

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

4. Guidelines on “Life History”:

A short, two to four page summary of your Life History is included here. It tells the assessor how you got to where you are today. Who you are (attitudes and behaviours), what you know (knowledge) and what you can do (skills and aptitudes). It is important that your Life History show how you and your abilities 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 need at each stage of your life.  Strategy – you have been able to clearly communicate your value added to those who want or need your abilities.

5. Guidelines on Curriculum Vitae:

Every person who applies for the MBA (Financial Services) must complete a resume using the guidelines below. When writing your resume, you should include any experience you may have in relation to the below criteria. Do not rely on acronyms, and/or position titles to describe your duties and responsibilities. Position titles may be specific to your particular organization. The job description should reflect, at a minimum, your work history from the past five years; please include the number of months spent in each position. The Admissions Committee will assess your management experience in terms of the following competencies. It is, therefore, important to address each of these competency areas for each position outlined on your resume. Please note. We are not looking for a standard resume format, but a detailed description of your positions held.

• Supervisory Experience: Are you responsible for the performance of subordinates? Do you have direct reports?

• Lending Authority: Do you have supervisory, credit-granting experience? Do you supervise others with lower credit-granting limits?

• Hiring and Termination Responsibility: Do you evaluate personnel requirements? Do you have hiring authority? Do you approve promotion and salary increases for your direct reports? Have you approval to terminate unsatisfactory subordinates?

• Budget Authority: Are you responsible for establishing, managing and achieving a unit budget? Have you the 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? Have you 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 managing information/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 is developing skills in proper writing, research as well as analytical and presentation skills. Please use this section to show that through your life, work, and volunteer experience you have developed these skills. This section should also include the evidence from many of the competencies listed in the 37 learning matrix. You can include in this section reports you have written, research projects, and presentations you have done. Please note these documents should have your name as the author or have signed authorization from your supervisor/manager that you are the original author of the material.

7. Guidelines on Transcripts & Training:

We require official transcripts from all/any post-secondary institutions you have attended. All transcripts must bear the official stamp/seal of the issuing institution. If you have submitted these with your application please include copies in this section.

You must list all post-secondary institutions attended. If you have only taken a few courses of a specific program, but did not complete the program, you must note this and provide transcripts. If you have completed a certificate or diploma program, you must note this and provide appropriate transcripts.

8. Sample Declaration of Authenticity:

Declaration of Authenticity

I confirm that all the evidence and work in this portfolio is my own, and does not include any work completed by anyone other than myself. I give permission to the Dalhousie University to review and reprint, if necessary, the materials contained in this portfolio, and ask that their confidentiality be respected.

______Dated: Your name Here

Prior Learning Assessment Resources:

1. Slide show on how to create a PLAR: http://recognitionforlearning.ca/learner/aboutPLAR.php#anchor_module

2. Athabasca University has examples, handbook on how to create a PLAR http://priorlearning.athabascau.ca/index.php

3. Nova Scotia Community College – http://www.nscc.ca/Services/Prior_Learning_Assessment_And_Recognition.asp

4. Manitoba has a centre like ours: http://www.plarinmanitoba.ca/site/whatisplar/main_e.php

5. Canadian Universities/Colleges that offer it: SIAST – Prince Albert SK http://www.siast.sk.ca/siast/admissions/plar.htm Red River College – Winnipeg http://www.rrc.mb.ca/prior/

6. Canadian Association for PLA http://www.capla.ca

7. Other resources http://www.usask.ca/gmcte/drupal/?q=node/164 http://www.career.fsu.edu/portfolio/ http://careerservices.uvic.ca/tutorials/career-portfolio.html http://depts.washington.edu/geogjobs/Careers/pfolbasics.html

• PRIOR LEARNING ASSESSMENT Criteria/Recommendation FORMS (To be completed by admission committee)

Prior Learning Assessment Form

for

Admissions to Dalhousie University Faculty of Graduate Studies

Name:

Years of Management Experience:

Recommendation for Admission:

Marginal Recommendation for Admission:

Not Recommended for Admission:

Comments:

Assessor Name

Signature

Date

Note: For sections A and B the applicant must successfully meet the following competencies. If the applicant does not meet the requirements in any one competency in Sections A or B they will not be considered for admission to the MBA (Financial Services) Program

Section A

Does the applicant’s portfolio display that they have experience in:

Meets Does Not Meet Comments Requirements Requirement 1 0 I. Skills in research and investigation 1. Use a variety of sources of information 2. Apply a variety of methods to test the validly of data 3. Identifying problems and needs 4. Identify information sources appropriate to special needs or problems 5. Formulate relevant questions to clarify a problem, topic or issue II. Report writing (demonstrated ability to write in a clear and informative manner) 1. Logical sequencing 2. Clarity of expression 3. Ability to analyze and synthesize 4. Capacity to present issues in a balanced manner 5. Ability to draw conclusions and make recommendations III. Team work to accomplish tasks, i.e., reports and presentations IV. Analytical Skills Presentations—Can the applicant display that a presentation they have given: 1. Addressed the relevant and significant issues 43

2. Defined the key issues well 3. Had appropriate facts, quotations, statistics, and documentation 4. Reflected penetration in analysis 5. Reflected appropriate sensitivity to political and administrative feasibility 6. Had an introduction, development, and conclusion 7. Reflected an adequate transition from one stage to another

Section B

Does the applicant’s portfolio indicate that they can:

Meets Does not Meet Comments Requirements Requirements 1 0 I. Differentiate between fact and opinion II. Recognize and evaluate bias and rhetoric III. Determine cause and effect relationships IV. Determine the accuracy/completeness of information V. Recognize logical fallacies/faulty reasoning VI. Compare and contrast information/points of view VII. Make inferences from materials VIII. Make judgements and draw conclusions

Section C

1. 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:

Meets Does Note Comments Requirement Meet 1 Requirements 0 I. Managing II. Project development & evaluation III. Organizing IV. Communication V. Managing organizations, people, resources and services VI. Preparing reports

Total Score ______Average Score ______

2. The portfolio should indicate that the applicant, through their work experience, has:

Meets Does not meet Comments Requirement requirements 1 0 I. Provided advice on issues important to the organization II. Displayed the ability to examine an issue in a critical manner: III. Challenged the status quo IV. Displayed a balance between theory and practice V. Added value to a report VI. Experience in evaluation techniques: personnel or project VII. An understanding basic economic principles: supply and demand, different market types VIII. An understanding of basic accounting principles: budgeting, priority setting and financial planning IX. Computer skills, ie., working with spreadsheets, word processing, email and the internet

Total Score ______Average Score ______

3. Has the applicant displayed:

Meets Does Not meet Comments requirements requirements 1 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 deadlines IV. The ability to work under pressure V. The ability to multi task work assignments VI. Consistent work practices

Total Score ______Average Score ______

4. Has the applicant made any contribution to the field of work:

List Required Information

Does the applicant have any written material that has been published or distributed to their peers. These would include brochures, articles, major reports etc.,.

To whom has the applicant made presentations to and what was the topic area?

Summary Comments:

Appendix 5.2.3 Degree Completion Arrangements

Not Applicable to the MBA (Financial Services) program

Appendix 5.2.4 Gap Analysis

Not Applicable to the MBA (Financial Services) program

Appendix 5.2.5 Bridging Courses

Not Applicable to the MBA (Financial Services) program

Appendix 5.3 Promotion and Graduation Requirements

VI. Degree Requirements

Graduate students have a maximum period of time within which to complete all of the requirements for their 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 years

6.1 Program Forms

Every graduate student must have an individually approved program of studies. The program or course of study for each graduate student must be approved by the Graduate Coordinator in each department or program and submitted for final approval to the Faculty of Graduate studies. The graduate Coordinator will enter the proposed program (with the total number of credits required, the names and numbers of all classes required (including ancillary classes), and any other requirements and conditions) on the graduate Student Program form. The form must be signed by the students and the Graduate Coordinator before the submission to the Faculty of Graduate Studies. The signed form must be 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 to audit the student's file for graduation. Any changes to the approved Program Form must be agreed to by 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/.

Sample OF PROGRAMME FORM (Contract between student and university)

Faculty of Graduate Studies

MBA (FINANCIAL SERVICES) PROGRAM STUDENT PROGRAMME FORM

SECTION I: To be completed by DEPARTMENT ONE MONTH AFTER REGISTRATION.

Full Name of Student Dal ID

Student Address

Phone Number Fax Number Email

Degree Program MBA Field of Study Financial Services Status Part-Time

#Credit Classes

Start Date Maximum Completion Date:

ICB Fin. Services Mgmt ICB Wealth Mgmt Stream I ICB Wealth Mgmt Stream II Human Resource Management Servicing the Client Fundamentals of Personal Finance Global Financial Systems & Markets Wealth Valuation Investment and Taxation Fundamentals Financial Services Marketing Risk & Insurance Insurance and Retirement Using IT to Gain Competitive Advantage Inves tment & Portfolio Management Investment and Tax Planning Bank Financial Management Estate Planning Risk Management and Estate Planning Strategic Thinking Engineering of a Trust Engineering of a Trust Integrative Project Trust & Estate Management Trust & Estate Management Using IT to Gain Competitive Advantage Using IT to Gain Competitive Advantage MBA Courses BUSI 5503 Quantitative Decision Making BUSI 5511 Information Systems BUSI 6207 Corporate Finance BUSI 5703 Business Economics BUSI 6326 Mgmt Skills Development BUSI 5103 Accounting BUSI 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: Approvals

MBA(FS) Approval Date

Student Approval Date

55 Graduate Studies Approval Date

**Please note that all ICB and Dalhousie courses must be completed prior to registering for the capstone Strategic Leadership and Change course For additional sample, please refer to the links below

Program of Study Form CFP.doc

Program of Study Form CSI

Program of Study Form CSI Professional Banking and Wealth Stream

Program of Study Form FLMI Stream

6.4.3 Specialty and Mid-Career Master's Degrees

6.6 Classes and Grades

Classes may be full or half year (full or half credit respectively) and may be designated by the candidate's committee as "Required" (pass mark is B-) or "Ancillary" (normal undergraduate pass mark). Some departments cross-list postgraduate classes with senior undergraduate classes in which case the requirements for graduate students are more demanding than those for undergraduates.

6.6.2 Grading Policy

Minimum grade of B- in all Dalhousie University courses All instructors of graduate classes (i.e., designated 5000 and above), with the exception of a few classes for which a pass/fail grading scheme has been approved, will use the following grading scheme: Letter Grade Numerical (%) Equivalent GPA A+ 90-100 4.3 A 85-89 4.0 A- 80-84 3.7

B+ 77-79 3.3 B 73-76 3.0 B- 70-72 2.7 F < 70

VII. 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 are allowed to carry one failing grade (in a 3 credit hour class). The MSc (OT) entry to profession level program follows pass standard. However, no credit will be granted for the failing grade and the class must be repeated or replaced and a grade of "B-" or better obtained. (Failed core classes must be repeated; electives may be repeated or replaced at the discretion of the department). Failure of a second class results in immediate academic dismissal. However, such a student may apply, in writing, to the department for immediate reinstatement, (see 4.2.5, page 22 Readmission of Students), for approval by the Faculty of Graduate Studies. If readmitted, any subsequent "F" will result in a final program dismissal.

6.6.7 Withdrawal From Classes

The last dates for adding and deleting classes are published in the schedule of Academic Class Add/Drop Dates at the front of this calendar. Students may not transfer from full to part-time status by withdrawing 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 in Academic 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 a student withdraws from classes on the web at www.dal.ca/online or written notification is received at the Faculty of Graduate Studies.

6.6.8 Incomplete Classes

A student who fails to complete the required work for a particular class during the normal period of the class 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 result in a change of grade by the class instructor, as long as the work is completed before the following deadlines:

• 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 Graduate Studies.

Where the formal deadline for completion of work is beyond the INC deadline, the class instructor can request 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 the completion of assignments may be made for students who are ill, or in other exceptional circumstances.

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 be required to re-register in the class.

6.6.9 Incomplete due to Illness

Where illness is involved, a certificate from the student's physician is required. This certificate must indicate the dates and duration of the illness, and should describe the impact it had on the student's ability to fulfil academic requirements, and any other information the physician considers relevant and appropriate. To obtain a medical certificate, students who miss examinations, tests or the completion of 58 other assignments should contact University Health Services or their physician at the time they are ill and should submit a medical certificate to their class instructor as soon thereafter as possible. Such certificates will not normally be accepted after a lapse of more than one week from the examination or assignment completion date.

6.6.10 In Progress Classes

The grade of "In Progress" (IP) may be used only to report thesis classes, research project classes, and those designated as "open to independent completion of study." Final submission of grades for project and 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 Standards

When the work of a student becomes unsatisfactory, (including insufficient progress), or a student's attendance is irregular without sufficient reason, the Faculty of Graduate Studies may require withdrawal from one or more classes, or academic dismissal from the Faculty.

MBA (Financial Services) Degree requirements

Dalhousie Advanced Standing Program Chart *( all courses must have been completed within a 10 year period prior to admission) Required Courses for the All below courses/program have MBA(Financial Services) program been reviewed and approved by the Dalhousie MBA(Financial Services) Academic committee and the Faculty of Graduate Studies And CSI Financial Services Management Program Accounting (Professional Banking Program (PBP) )

Advanced Marketing Human Resource Management: A Financial Institution Perspective Advanced Corporate Finance Global Financial Systems and Markets

Business Economics Financial Services Marketing

International Business Using Information Technology to Gain Competitive Advantage

Quantitative Decision Making Bank Financial Management

Managing Information Systems Strategic Thinking: a Financial Services Approach

Management Skills Development Integrative Project

Strategic Leadership and Change

And CSI Wealth Management Program (Personal Financial Planning/Personal Trust Programs)

STREAM I Accounting Servicing the Client Advanced Marketing Wealth Valuation

Advanced Corporate Finance Risk and Insurance

Business Economics Investment and Portfolio Management

Estate Planning

Engineering of a Trust International Business Trust and Estate Management Quantitative Decision Making Using Information Technology to Gain Competitive Advantage Managing Information Systems

STREAM II Management Skills Development Fundamentals of Personal Finance Strategic Leadership and Change Investment and Taxation Fundamentals

Insurance and Retirement

Investment and Tax Planning

Risk Management and Estate Planning

Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage Accounting And Canadian Securities Program

All applicants must complete this Advanced Marketing category.

Advanced Corporate Finance Canadian Securities Course (CSC)

Core Business Economics Applicants must complete one of the International Business core pairings.

Professional Financial Planning Course Quantitative Decision Making (PFPC) and Wealth Management Techniques (WMT) and/or Managing High Managing Information Systems Net Worth (MHNW)

Investment Management Techniques Management Skills Development (IMT) and Portfolio Management Techniques (PMT) Risk Management Course (Choose 1 Derivatives Fundamentals Course (DFC) of 3 electives) and Technical Analysis Course (TAC)

Strategic Leadership and Change Derivatives Fundamentals Course (DFC) and Financial Markets Risk Management (FRM)

Electives

Applicants must complete three electives. If a course is to be counted as an elective, it cannot also be counted 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 Management Course (ARM) – only offered on special order to groups

Energy Markets Risk Management Course (ERM)

Financial Markets Risk Management Course (FRM)

Canadian Insurance Course (CIC)

Managing High Net Worth (MHNW) Accounting And Fellow, Life Management Institute (FLMI) Program Insurance Stream Advanced Marketing Principles of Insurance: Life, Health and Advanced Corporate Finance Annuities

Insurance Company Operations Business Economics Insurance Administration International Business Legal Aspects of Life and Health Insurance - Canada OR Business Law for Financial 62

Services Professionals Quantitative Decision Making Marketing Life and Health Insurance Managing Information Systems Management Principles and Practices Management Skills Development Information Management in Insurance Companies OR Investments and Measurement and Methodological Institutional Investing Approaches in Risk Management Financial Services Environment

Concepts of Risk Management Accounting and Financial Reporting in Life and Health Insurance Companies Legal Aspects of Governance and Risk Managing for Solvency and Profitability in Management Life and Health Insurance Companies

Strategic Leadership and Change

Accounting And CFP Certification Program

Advanced Marketing CFP Certification - Certified Financial Planner Certification Professional Advanced Corporate Finance Designation

Business Economics

International Business

Quantitative Decision Making

Managing Information Systems

Management Skills Development

Risk Management Course (Choose 1 of 3 electives)

Investment and Money Management

Global Market and Institutions

Strategic Leadership and Change

6. Program Content Standard

Appendix 6.1 Program Advisory Committee

The Faculty of Management, Board of Advisors provide industry and professional guidance and advice on all programs delivered by the Faculty of Management, including the MBA (Financial Services) program.

Appendix 6.1.1. Program Advisory Committee Membership

Faculty of Mgmt, Board of Advisors update Aug 2009

Mr. J. Lee Bragg Tel: 902-453-3078 Co-Chief Executive Officer Fax: 902-446-4171 EastLink E-mail: [email protected] 6080 Young Street, 8th Floor EA: Mary Anne (902) 431-7140 P.O. Box 8660, Station A [email protected] Halifax, NS B3K 5M3

Mr. C. J. Chen Tel: 65-6232 0304 Consultant Fax: 65-6533 1005 Rajah and Tann E-mail: [email protected] 4 Battery Road #15-01 Bank of China Building Singapore 049908

Mr. Murray Coolican Tel: 902-446-5535 35 Birchview Drive E-mail: [email protected] Halifax, NS B3P 1G5

Ms. Ruth Dantzer Tel: 613-992-8165 (Diana) President Fax: 613-943-1038 Canada School of Public Service E-mail: [email protected] 373 Sussex Drive Ottawa, ON K1N 6Z2

Dr. H. Larry Doane, FCA Tel: 902-477-7761 (h) 13 McNab Drive Fax: 902-477-7626 Halifax, NS B3P 2P3 E-mail: [email protected]

Dr. Fred Fountain Tel: 902-423-8414 (Heather) President Fax: 902-422-7701 The Great Eastern Corporation Limited E-mail: [email protected] 1969 Upper Water Street, Suite 2104 Halifax, NS B3J 3R7

Mr. Robert C. Fowler Tel: 902-424-8940 (Shealagh McGrath) Deputy Minister Fax: 902-424-7638 Treasury and Policy Board E-mail: [email protected] Government of Nova Scotia 5th Floor, 1700 Granville Street One Government Place P. O. Box 1617 Halifax, Nova Scotia B3J 2Y3

Mrs. Ann Petley-Jones Tel: 441-292-5300 Chair and Chief Executive Officer Cell: 489-0573 PetaData Holdings, Ltd. Fax: 441-295-3474 12 Church Street, Suite 501 E-mail: ann.petley- P. O. Box HM 3237 [email protected] Hamilton HM PX Bermuda

Mr. Brian J. Porter Tel: 416-863-7524 (Nina) Executive Vice-President Fax: 416-863-2803 and Chief Risk Officer E-mail: brian_porter@ scotiacapital.com Scotiabank Executive Offices Scotia Plaza 44 King Street West Toronto, ON M5W 2X6

Dr. Ken C. Rowe Tel: 902-493-3513 (Michelle) Chairman and CEO Fax: 902-453-6674 IMP Group Limited E-mail: [email protected] 2651 Dutch Village Road, Suite 400 Halifax, NS B3L 4T1

Mr. Michael J. Russill Tel: 905-338-8767; (Cell) 647 400 9577 70 Allan Street E-mail: [email protected] Oakville, ON L6J 3M8

Dr. Allan C. Shaw, C.M. Tel: 902-457-0689 Chairman Fax: 902-484-6769 The Shaw Group E-mail: [email protected] 255 Lacewood Drive, Suite 100C Halifax, NS B3M 4G2

Ms. Tanya Shaw Weeks Tel: 902-492-2106 (Farris MacPherson) President and CEO Fax: 902-492-0078 Unique Solutions Design Ltd. E-mail: [email protected] 133 Troop Avenue Dartmouth, NS B3B 2A7

Mrs. Nancy Smithers Tel: 902-434-7206 (Janine) President / Owner Fax: 902-435-3698 Naturally Nova Scotia E-mail: nancy@ naturallynovascotia.com 2769 Lawrencetown Road Dartmouth, NS B2Z 1L3

Mr. Douglas W. Reid Tel: 902-492-6058 Regional Managing Partner, Atlantic Tel: 902-492-6013 KPMG LLP Fax: 902-492-1307 1959 Upper Water Street, Suite 1500 E-mail: [email protected] Purdy’s Wharf Tower One Halifax, NS B3J 3N2

Dr. Lucia Fanning Tel: 902-494-3666 Director Fax: 902-494-1001 Marine Affairs Program E-mail: [email protected] Kenneth C. Rowe Management Building 6100 University Avenue, Suite 2127 Dalhousie University Halifax, NS B3H 3J5

Dr. Karen Beazley Tel: 902-494-1344 Director Fax: 902-494-3728 School for Resource and Environmental Studies E-mail: [email protected] Kenneth C. Rowe Management Building 6100 University Avenue, Suite 5010 Dalhousie University Halifax, NS B3H 3J5

Dr. Fiona Black Tel: 902-494-3656 Director Fax: 902-494-2451 School of Information Management E-mail: [email protected] Kenneth C. Rowe Management Building 6100 University Avenue, Suite 4010 Dalhousie University Halifax, NS B3H 3J5

Dr. David Wheeler Tel: 902-494-7487 Dean Fax: 902-494-1195 Faculty of Management E-mail: [email protected] Kenneth C. Rowe Management Building 6100 University Avenue, Suite 3050 Dalhousie University Halifax, NS B3H 3J5

Appendix 6.1.2 Program Advisory Committee Minutes

Not Available at this time (Senate Academic Planning Committee meeting minute: Program Proposal, June 20, 1995 and Senate Approval, August 14, 2005 available upon request.)

Appendix 6.2.1 Professional/Accreditation or Other Requirements

Dalhousie’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 of the first standards in 1919. AACSB International members approved mission-linked accreditation standards and the peer review process in 1991. In 2003, members approved a revised set of standards that are relevant and applicable to all business programs globally and which support and encourage excellence in management education worldwide. Accreditation is a process of voluntary, non- governmental review of educational institutions and programs. Institutional accreditation reviews entire colleges and universities. Specialized agencies award accreditation for professional programs and academic units in particular fields of study. As a specialized agency, AACSB International grants accreditation 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.asp

Appendix 6.3.1 Program Level Learning Outcomes

Dalhousie University Faulty of Management MBA (Financial Services) Program Assurance of Learning Plan Background This document outlines the assurance of learning plan for the degree programs offered by Dalhousie University’s Faculty of Management. The plan is part of Dalhousie University’s maintenance of accreditation submission to the Association for the Advancement of Collegiate Schools of Business (AACSB) in the year 2008/2009.

Organization The 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 directly assessed 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; and Demonstrable Outcomes –identify the course components where students demonstrate outcomes that directly evidence achievement of the objectives.

Learning Goal 1 Our graduates will understand the importance of values-based management (ethical behavior and social responsibility). Corresponding Objectives

Objective 1.1 Our students will recognize the connection between organizational values and actions.

Objective 1.2 Our students will articulate the consequences of behavior that is not ethical or socially responsible.

Objective 1.3 Our students will identify activities/issues that may present ethical challenges or that may not be socially responsible.

Objective 1.4 Our students will choose and defend a solution to an issue with ethical or social responsibility consequences Weight of Course Number & Name Course Component Component in Course (as a percentage) BUSI 5103 Accounting Course materials/intensive session discussions 30% /assignments (Students must understand and apply accounting principles ethically and responsibly)

BUSI 5503 Quantitative Decision Course materials/intensive session 30% Making discussions/assignments

BUSI 5511 Information Systems for Course materials/online 20% and Information Age discussions/assignments/Intensive session (Topics such as: “C16: The Impacts of IT on Organizations, Individuals, and Society” and “Ethics and Information Systems: The Corporate Domain” BUSI 5703 Business Economics BUSI 5801 International Business Course materials/online discussions/assignments (case 50-60% studies/Projects)/Intensive session (Students are required to identify analysis, report on and make recommendation with regards to ethical and responsible international business practices. Examples of topics covered include, assessing ethical dilemmas, identifying violations of rights, impacts on globalization. In-depth analysis of the geographic, economic, political, cultural, and legal environment of a particular country

BUSI 6207 Corp Finance Course Material/Assignments/In class discussion 10% ((Students must understand and apply concepts, theory, and principles to finance in order to make ethically and responsibly decision) Lesson 1 deals directly with Social Corporate Responsibility 71

BUSI 6410 Advanced Marketing Course Material/Assignments/In class discussion 30% (The assignment requires the student to examine the market potential for specific products and services, in which ethics and social responsibilities are factored in to the SWOT analysis. Identify how the product or service fits with the company/organizations branding, mission and vision statement

BUSI 6326 Management Skills On-line group discussions, assignment and 50-70% Development lesson/lecture material that deal directly with managerial ethical behaviors and social responsibility. (issues such as human rights, safety, responsible decision making, power and influence to name a few) BUSI 6300 Concepts of Risk Mgmt BUSI 6540 Measurements & Methodological Approach to Risk Mgmt BUSI 6601 Legal Aspects of Risk Mgmt BUSI 6990 Strategic Leadership & Course materials/online discussions/assignments (case 50% Change studies/Projects)/Intensive session (Example – Everest Case )

Learning Goal 2 Our graduates will be effective communicators. Corresponding Objectives:

Objective 2.1 Our students will produce professional quality documents Weight of Course Number & Name Course Component Component in Course (as a percentage) All courses in the MBA (FS) All qualitative courses have assignments and a major 85% program require students to submit paper components that required students to produce professional quality documents professional documents that meet both academic and professional standards, ie Case studies, Marketing proposals, term paper (produced as if student was representative of consulting company), All quantitative courses require students to produce assignments using the professional format with respect to the subject matter (ie, Accounting – financial statements, Economics – supporting graphs, Quants – statistical analysis reports, Finance – Financial analysis reports.)

Objective 2.2 Our students will deliver professional quality presentations Weight of Course Number & Name Course Component Component in Course (as a

percentage)

All Qualitative Courses Students are required to present subject related 15% BUSI 5801 International Business, material (case analysis, term paper projects, simulation BUSI 5511 Information Systems exercises findings, real world situational analysis) BUSI 6326 Management Skills Presentations can be delivered as part of individual or Development group efforts. BUSI Advanced Marketing BUSI 6990 Strategic Leadership & Change BUSI 5703 Economics Individual Article review s 10%

Objective 2.3 Our students will demonstrate effective interpersonal skills in a team setting BUSI 5511 Information Systems for Group work performed at intensive 15% and Information Age (Case studies)

BUSI 5801 International Business Group work performed at intensive/ on occasion, the 15-40% term project is produced as a group effort (Case studies, project presentations, group work on theory and application) BUSI 6410 Advanced Marketing Group work performed at intensive on occasion, the 15-40% term project is produced as a group effort. (Case studies and marketing plan presentations) BUSI 6326 Management Skills 9 Lessons, lectures and assignments devoted to 50-70 % Development Interpersonal and group skills development and assessment. Group based assignments via distance and on-site (intensives sessions) Practical application of exercises within students own organization.

BUSI 6990 Strategic Leadership & Activities, exercises and case work are primarily done 15-40% Change in on group work settings.

Learning Goal 3 Our graduates will demonstrate problem solving and critical thinking skills, supported by appropriate analytical techniques. Corresponding Objectives:

Objective 3.1 Our students will use appropriate analytical techniques to identify problems in an organizational setting Objective 3.2 Our students will generate and compare alternatives, and develop solutions to problems in an organizational setting Weight of Course Number & Name Course Component Component in Course (as a percentage) All Qualitative Courses Lesson notes, textbooks, intensive lectures, progress 30-70% BUSI 5801 International Business, checks, analytical tests, assignments, formula questions. BUSI 5511 Information Systems The qualitative courses teach the students to look beyond BUSI 6326 Management Skills the top layer of the issue and dig down to the root of the Development problems by a series of techniques and questions.(Ie BUSI 6410 Advanced Marketing Marketing – SWOT Analysis; MSD – questionnaires, IB BUSI 6990 Strategic Leadership & , SLC - researching key components – asking the right Change questions). Alternative programs: BUSI Legal Aspect and Governance of Risk Management BUSI Concepts of Risk Management

All Quantitative courses Lesson notes, textbooks, intensive lectures, software 30-70% BUSI 5103 Accounting programs (Statistics), formulae, charts, graphs & series BUSI 5503 Statistics of progressive checks, assignments, and term papers. BUSI 5703 Economics The Quantitative courses provides students the BUSI 6207 Finance techniques to build strong quantifiable identification BUSI Meth & measurements of factors, (ie Economics – clear indications of problems Risk can be analysis in the graphs, Accounting –financial BUSI Concepts of Risk reports, Finance/Risk Mgmt – risk on return, analytic risk Management formulas.

The teaching methodology design for all course materials in the MBA (FS) program , both qualitative and quantitative (lesson notes, textbook, assignments, case studies, discussions, term projects and the exams) have been selected, and developed to provide student with the theories, concepts and techniques they require, and provide them with the knowledge, skills and confidence to make sound management decisions. In some cases it’s about asking the right questions, in other cases it would be about reading the report, analyzing the data, applying the techniques most appropriate for the situation. and applying Its about asking the right questions and having the skill set to applying the correct 74

Learning Goal 4* Our graduates will have the skills and knowledge require for leaders in the Financial Services industry. Corresponding Objectives: Objective 4.1 Demonstrate leadership within financial services organizations Weight of Component in Course Number & Name or Requirements Course (as a percentage) other related Partnership Programs Students demonstrate acquired 30-80% All Qualitative Courses leadership skill when applying the BUSI 5801 International Business, theory, concepts and standard BUSI 5511 Information Systems practices contained in the program BUSI 6326 Management Skills courses to their day to day Development operations. BUSI 6410 Advanced Marketing Ie, BUSI 6990 Strategic Leadership & Managing people/Team leadership Change Strategic Planning Alternative programs: Analytical thinking BUSI Legal Aspect and Governance Reporting analysis of Risk Management Report and presentations BUSI Concepts of Risk Management

All Quantitative courses BUSI 5103 Accounting BUSI 5503 Statistics BUSI 5703 Economics BUSI 6207 Finance BUSI Meth & measurements of Risk BUSI Concepts of Risk Management Objective 4.2 Managing relationships between organization and stakeholders (Clients, shareholders, public, etc.) Weight of Component in Course Number & Name Requirements Course (as a percentage)

Partnership Programs The application of program course All Qualitative Courses theory, concepts and industry 30-80% BUSI 5801 International Business, practices (ie, accounting laws, BUSI 5511 Information Systems Finance practices, Risk assessment BUSI 6326 Management Skills rules, Financial Planning, Trust and Development Estate Management, ethical issues, BUSI 6410 Advanced Marketing management issues etc…) provides BUSI 6990 Strategic Leadership & students with the structure, skills and Change knowledge necessary for making Alternative programs: sound management decision. BUSI Legal Aspect and Governance Students will make these decisions of Risk Management with awareness to their BUSI Concepts of Risk responsibility to the shareholders. Management

All Quantitative courses BUSI 5103 Accounting 75

BUSI 5503 Statistics BUSI 5703 Economics BUSI 6207 Finance BUSI Meth & measurements of Risk BUSI Concepts of Risk Management Objective 4.3 Industry related product and service awareness and knowledge. Weight of Component (as a Description Requirements percentage) Admission/Program Requirements Students must complete industry Applicable to all students partnership programs that are 70% average required for most comprised of wealth management partnership program courses and professional banking courses. Must complete partnership program prior to capstone course.

Admission Requirements Financial Services industry work Applicable to all applicants experience is a prerequisite for Majority of applicants in middle- program admission senior management roles

Objective 4.4 Application of industry standards and practices in relationship to management & leadership

The Dalhousie MBA (Financial Services) degree is designed to provide enhanced management skills to managers in the financial services industry by furthering their abilities to exercise leadership and make sound business decisions, honing their analytical skills, and sharpening their judgment in managerial and client service roles. This program will broaden the horizons of financial managers by exposing them to business concepts with applications inside and outside the industry, thereby enhancing 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 the financial services industry.

Appendix 6.3.2 Course Descriptions

COURSES OFFERED BY Dalhousie University

BUSI 5103.03: Business Accounting.

This course introduces the principles and practices used to process and communicate financial information about an organization to various stakeholders. It is designed to be useful to those who aspire to be general managers or management consultants, as well as those who wish to be specialists in specific areas such as finance, 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 this class an emphasis is placed on helping the student to recognize situations and areas in business in which quantitative 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 in business organizations. Fundamental to this basic knowledge is an understanding of the variety of information systems in business. An understanding of the use of computers in current and future information systems is stressed.

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 a foundation for those proposing future study in this area. For students not going on in the field, it provides the tools 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 in corporate financial decisions. Equal emphasis is placed on theory and the application of theory to financial problems. Students develop increased skills in conducting financial analyses and evaluating long-term financial structure, 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 of corporate finance.

BUSI 6326.03: Management Skills Development.

This class exposes students to key knowledge, skills, and attitudes (KSAs) considered critical to managerial success. Such exposure is designed to provide the student with behaviours that will help ensure that, when managing 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 to develop and apply the skills necessary in managing organizational change.

RISK MANAGEMENT COURSES

BUSI 6601.03: Legal Aspects of Risk Management.

This course focuses on law and legal compliance from the perspective of managing risk. Being the only legal aspects 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-world problems faced by those engaged in the practice of corporate governance and examines the ethical considerations 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 the measurement tools and methodological approach available in the study of risk. The course is presented in five modules in fourteen lessons. Module 1 provides an introduction to the theory of risk and a review of basic statistical concepts used in risk measurement. Module 2 presents the foundation of risk assessment using modern portfolio theory and risk specific analysis applications. Module 3 continues with risk assessment models presenting alternative approaches and using regression analysis applications. Module 4 discusses the role of options in risk measurement and assessment. Module 5 provides real world applications of risk measurement by presenting several risk based studies.

BUSI 6300.03: Concepts of Risk Management.

This comprehensive course covers both enterprise risk management and financial risk management. The course examines the essential methodologies for uncovering, measuring and managing risk exposures. Specific topics 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 2009

BUSI 6XXX.03: Global Markets and Institutions

Global Markets and Institutions is an introduction to the world of global finance. It has been designed to give a theoretical background to topics such as financial institutions and currency markets and to explain how these impact the world economy. Throughout the c ourse, application to real-life examples will be used extensively.

BUSI 6XXX.03: Investment and Money Management

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

Appendix 6.3.3.1 Program Hour/Credit Conversion Justification

Not Applicable to the MBA (Financial Services) program

Appendix 6.3.3.2 Undergraduate Academic Course Schedule

Not Applicable to the MBA (Financial Services) program

Appendix 6.3.3.3 Graduate Academic Course Schedule Information

Course Schedule Year Course Title Course Course Prerequisites Proposed Highest Qualification Page Reference and Semester and Instructor (or Earned and Discipline to CV Term Credit Co-requisites indicate if of Study (or required Hours faculty to be of faculty to be hired) recruited) Fall 2009 BUSI 5703 Business .03 Not applicable Dr. T Cyrus PhD (Economics) Economics Fall 2009 BUSI 5801 International .03 Not applicable Dr. C McLarney PhD (Business) Business Fall 2009 BUSI 5511 Management .03 Not applicable G Sullivan MBA /Professional Information Systems Designation Fall 2009 BUSI 5503 Quantitative .03 Not applicable Dr. L MacLean PhD (Statistics) Decision Making Fall 2009 BUSI 6601 Legal Aspects .03 Not applicable R. Klapstein PhD Preferred of Risk Management MBA/LLB Fall 2009 BUSI 6207 Advanced .03 BUSI 5103 Dr. I. Fooladi PhD (Finance ) Corporate Finance Accounting /Business (Special Cohort Section) Winter BUSI 5103 Accounting .03 Not applicable C Conrod MBA /Accounting 2010 Designation Winter BUSI 5703 Business .03 Not applicable Dr. T Cyrus PhD (Economics) 2010 Economics (Special Cohort Section) Winter BUSI 6207 Advanced .03 BUSI 5103 Dr. G Hebb PhD (Finance ) 2010 Corporate Finance Accounting Winter BUSI 6326 Management .03 Not applicable Dr. R Baltazar PhD 2010 Skills Development (Business/Mgmt) Winter BUSI 6410 Advanced .03 Not applicable Dr. L Lee PhD 2010 Marketing (Business/Marketing) Winter BUSI 6410 Advanced .03 Not applicable Dr. L Lee PhD 2010 Marketing (Business/Marketing)

(Special Cohort Section Winter BUSI 6540 Measurement .03 BUSI 5503 Dr. B Archibald PhD (Statistics) 2010 and Methodological Quantitative Decision Approaches in Risk

Making Management Summer BUSI TBA .03 Not applicable TBA PhD 2010 Summer BUSI 5503 Quantitative .03 Not applicable Dr. L MacLean PhD (Statistics) 2010 Decision Making (Special Cohort Section) Summer BUSI 5801 International .03 Not applicable Dr. C McLarney PhD (Business) 2010 Business Summer BUSI 6990 Strategic .03 All Required Dr. C McLarney PhD (Business) 2010 Leadership and Change MBA(FS) Courses (Special Cohort Section) (Capstone) Summer BUSI 6990 Strategic .03 All Required Dr. C McLarney PhD (Business) 2010 Leadership and Change MBA(FS) Courses (Capstone)

Course Selection Guide Tentative program schedule ***All program courses (CSI/ICB Stream) and all other Dalhousie courses must be completed prior to registering for the capstone Strategic Leadership and Change course. September 2009 January 2010 Summer 2010 Economics (T) Advanced Marketing (T) International Business(H)

Accounting (W&T) Strategic Leadership & Change (H) Quantitative Decision Making (W&T) Management Skills Development (W&T) TBA (H) Information Systems for an Information Age (T) Corporate Finance* Prereq Required(T) International Business (W&T) Measurements & Legal Aspects Risk Management** Methological Risk (T) Management** (T) September 2010 January 2011 Summer 2011 Economics (W&T) Advanced Marketing (W&T) Management Skills Development(H) Quantitative Decision Making (T) Accounting (T) Strategic Leadership and Information Systems for an Management Skills Change (H) Information Age (W&T) Development (T) TBA (H) International Business (T) Corporate Finance (W&T)* Prereq Required Risk Management (T) ** Risk Management ** (T) September 2011 January 2012 Summer 2012 Economics (T) Advanced Marketing (T) Information Systems for an Information Age (H) Quantitative Decision Making (W&T) Accounting (W&T) Strategic Leadership and Information Systems for an Management Skills Change (H) Information Age (T) Development (W&T)

International Business (W&T) Corporate Finance (T)* Prereq Required Risk Management** (T) Risk Management** (T)

Please note the following coding for Intensive Sessions:

(W) – Vancouver or (T) - Toronto Intensives (H) - Halifax Intensives Calgary Intensives

The Strategic Leadership & Change course, is always offered during the summer in Halifax. Intensive locations will be dependent on the number of students registered in the course.*Prerequisite: Accounting must be completed prior to taking Corporate Finance ** Risk Management course offerings will be based on enrollment for that term

Appendix 6.4 Course Outlines

(Outlines – saved as attached pdf or word documents)

BUSI 5103.03: Business Accounting.

H:\CFAME\Courses\ MBA(FS)\200920\200

BUSI 5503.03: Quantitative Decision Making.

H:\CFAME\Courses\ MBA(FS)\200910\QDM

BUSI 5511.03: Management Information Systems.

H:\CFAME\Courses\ MBA(FS)\201010\201

BUSI 5703.03: Business Economics.

H:\CFAME\Courses\ MBA(FS)\201010\201

BUSI 5801.03: International Business.

H:\CFAME\Courses\ MBA(FS)\201010\201

BUSI 6207.03: Advanced Corporate Finance.

H:\CFAME\Courses\ MBA(FS)\200920\200

BUSI 6326.03: Management Skills Development.

H:\CFAME\Courses\ MBA(FS)\200930\200

BUSI 6410.03: Advanced Marketing.

H:\CFAME\Courses\ MBA(FS)\200920\200

BUSI 6990.03: Strategic, Leadership and Change.

H:\CFAME\Courses\ MBA(FS)\200930\200

RISK MANAGEMENT COURSES

BUSI 6601.03: Legal Aspects of Risk Management.

H:\CFAME\Courses\ MBA(FS)\201010\201

BUSI 6540.03: Measurement and Methodological Approaches in Risk Management.

H:\CFAME\Courses\ MBA(FS)\COURSE OU

BUSI 6300.03: Concepts of Risk Management.

H:\CFAME\Courses\ MBA(FS)\200920\200

New Courses – currently in the approval stages as of June 2009

BUSI 6XXX.03: Global Markets and Institutions

H:\CFAME\MBA(FS)\ Course Outline MBA(F

BUSI 6XXX.03: Investment and Money Management

H:\CFAME\MBA(FS)\ Course Outline MBA(F

Appendix 6.5.1 Support for Work Experience

Not Applicable to the MBA (Financial Services) Program; students applying to the program are required to have work experience in the Financial Services sector.

7. Program Delivery Standard Appendix 7.1 Quality Assurance for Program Delivery

MPHEC CESPM Maritime Provinces Commission de Higher Education I'enseignement superie Commission des Provinces maritim

Assessment of Dalhousie University's Quality Assurance Policies and Procedures

The Council of Maritime Premiers Le Conseil des premiers ministres des Maritimes

Assessment of

Dalhousie University’s

Quality Assurance Policies

and Procedures

Report prepared by the:

AAU-MPHEC Quality Assurance Monitoring Committee

Report approved by the:

Maritime Provinces Higher Education Commission

September 2003

(This document is available in the working language of the institution only.)

For additional copies of this Report:

Visit our website www.mphec.ca and click on Publications or contact:

Maritime Provinces Higher Education Commission /

Commission de l’enseignement supérieur des Provinces maritimes

82 Westmorland Street / 82, rue Westmorland

P.O. Box 6000 / C.P. 6000

Fredericton, NB E3B 5H1

Canada

(506) 453-2844 ISBN

0-919471-32-3

Table of Contents

1. Introduction ...... 1

2. Description of the monitoring process 2

3. Overview of Dalhousie’s Quality assurance policies and procedures ...... 3

4. Assessment of Dalhousie’s Quality Assurance policies and procedures ...... 4

4.1 How well is the institution achieving what it set out to accomplish? ...... 4

4.2 Is the institution doing what it should be doing? ...... 6

4.2.1 Clarify and redefine the accountability for, and the relationship among,

the different types of reviews ...... 6

4.2.2 Balance the policy to make it more student-centred ...... 7

4.2.3 Improve the timeliness of the process ...... 8

4.2.4 Include a provision in the policy to evaluate the University’s existing

quality assurance policy on a regular basis ...... 9

4.2.5 Increase community involvement and awareness ...... 9

5. Summary of recommendations ...... 10

6. Conclusion ...... 11

Appendix 1: Institutional Response ...... 13

Appendix 2: Site Visit Agenda and Participants ...... 14

Appendix 3: Quality Assurance Monitoring Policies and Procedures ...... 15

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures .

INTRODUCTION

The Maritime Provinces Higher Education Commission’s Quality Assurance Monitoring Programme was implemented in 1999 in response to the Commission’s new mandate, which includes focussing on continuous quality improvement of programmes and teaching at post-secondary institutions.

The monitoring process was created to provide assurances to stakeholder groups and the general public that

Maritime universities are committed to offering quality programmes and have quality assurance policies in place. The specific objective of the monitoring function is to ascertain that the procedures used by institutions to assess the quality of existing programmes, and other functions as appropriate, are performing adequately as quality control and quality improvement mechanisms. A key outcome of the process is to provide assistance and advice to institutions on ways to enhance their current quality assurance policy and procedures.

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 monitoring function on behalf of the Commission. This Committee was established as a peer review committee whose purpose is to advise and assist the MPHEC in ensuring continuous improvement in the quality of academic programmes and of teaching at post-secondary institutions included within its scope by monitoring institutional quality assurance activities. The Monitoring Committee’s Terms of Reference can be found under

Appendix 3.

The Monitoring Committee’s main objective is to answer the following two questions while paying particular attention 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:

i an initial meeting between the university and the Monitoring Committee; i submission by the university of its self-study; i an analysis of all pertinent documentation by the Monitoring Committee; i a site visit; i an assessment report prepared by the Monitoring Committee; i an institutional response; i release of assessment report; and i submission by the university of a follow-up action plan.

The quality assurance monitoring process is currently in its pilot phase. Two universities, Dalhousie University and St. Thomas University, have volunteered to participate in the pilot phase. Once the Monitoring

Committee has completed the process with both institutions, it will review and modify, if necessary, the monitoring process based on its own assessment and feedback from both institutions involved in the pilot phase. 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 the

2 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures

Monitoring Committee. The remaining institutions on the Commission’s schedule are expected to complete the monitoring process over the next few years.

The Monitoring Committee’s assessment report begins with a description of the monitoring process and the

activities leading up to this report, followed by an overview of the quality assurance policies and procedures

at Dalhousie University. The report concludes by answering the two key questions of the monitoring function.

2. DESCRIPTION OF THE MONITORING PROCESS WITH DALHOUSIE UNIVERSITY

The initial meeting between the Monitoring Committee and Dalhousie University occurred on May 9, 2001 at 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 and

Provost and Mr. Brian Christie, Executive Director, Institutional Affairs. At this meeting, the University received a copy of the Guidelines for the Preparation of the Institutional Self-Study and the Assessment Criteria 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 and

Procedures in November 2002. The Monitoring Committee held a meeting on December 14, 2002 to review the self-study, after which a letter was sent to Dalhousie that identified the areas for which the Monitoring

Committee 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 Committee members, Dr. Henry Cowan, Prof. Ivan Dowling, Ms. Sue Loucks and Dr. Don Wells were present at this meeting 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. The

Monitoring Committee had an opportunity to hear from senate officers, faculty representatives, chairs of recent review committees and student representatives. The agenda for the site visit is included under

Appendix 2.

After the site visit, the Monitoring Committee requested additional documentation to further guide its assessment. On May 8, 2003, the Monitoring Committee submitted to Dalhousie a draft of its Assessment

Report of Dalhousie’s Quality Assurance Policies and Procedures. The University was asked to validate the factual information contained in the document and to provide an initial reaction to the report. A response was received on May 26, 2003.

The Monitoring Committee would like to extend its gratitude to Dalhousie for volunteering to be part of the pilot phase and for being responsive and cooperative throughout the entire process.

4 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 3

.3. OVERVIEW OF DALHOUSIE’’S QUALITY ASSURANCE POLICIES AND PROCEDURES

Dalhousie University, located in Halifax, Nova Scotia, provides nearly 13,500 students from Nova Scotia, the rest of Canada and abroad, with a post-secondary education in more than 125 undergraduate, graduate and professional degree programmes. In addition to arts and social sciences, science, management and computer science degree programmes, the University offers professional and specialized training in a variety of 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 information provided in the University’s self-study.

In 1985, the University adopted its first governing policy for academic quality assessment and improvement in the document "Guidelines for Unit Reviews". According to these guidelines, the objectives of the review process are the improvement of the University’s academic offerings and the provision of information for academic planning and subsequent budgetary activities. The University’s current policy focusses on the review of academic activities. Dalhousie intends to introduce regular reviews of support units and services into its quality assurance practices.

Dalhousie’s quality review policy is two-tiered where:

i Senate reviews faculties and relationships with affiliated institutions and the programmes that are

involved in these partnerships. i Faculties review their constituent units: schools, departments, centres and institutes, and

non-departmentalized programmes. The Faculty of Graduate Studies reviews all graduate

programmes.

This arrangement allows the results of reviews to be primarily considered at the administrative level where unit accountability and budgetary, curriculum, planning and staffing decisions are overseen, and to recognize the differences amongst the disciplines. In addition, many programmes must undergo accreditation reviews by an external body.

Reviews, whether conducted by Senate, a faculty, or the Faculty of Graduate Studies, are to be carried out 1 in a five to eight year cycle and consist of the following components:

i 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;2 i a review by an internal committee; and i 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 as

2 possible after full implementation. 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:

i The Office of Institutional Affairs coordinates and supports the process, while the Vice-Chair of Senate oversees the review process on behalf of Senate. i The Senate Academic Priorities and Budget Committee (SAPBC) considers the reports by the

internal review committee and by the external reviewer(s) as well as the faculty's initial response to

the review and then decides whether to accept the report or not and what action, if any, should be recommended to Senate based on the report. i The SAPBC also considers the follow-up reports and determines whether further action is expected. i The Vice-President Academic and Provost reports to the SAPBC on the status of recommendations within a year to eighteen months following the review.

Roles and responsibilities for reviews conducted by faculties, including the Faculty of Graduate Studies, are typically as follows: i The Associate Dean of the faculty in question coordinates reviews of its constituent departments. i The Faculty Council of the faculty in question considers the reports by the internal review committee

and by the external reviewer(s) as well as the unit’s response to the review. i 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-President

Academic and Provost, relevant deans, department heads and school directors, faculty members, the

SAPBC, 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, these reports are filed with the Office of Institutional Affairs. The Vice-President Academic and Provost receives copies of departmental and school reviews from a number of faculties.

4. ASSESSMENT OF DALHOUSIE UNIVERSITY’’S QUALITY ASSURANCE POLICIES AND

PROCEDURES

4.1 How well is the institution’s policy achieving what it set out to accomplish in the area of

quality assurance?

Based on the documentation provided, Dalhousie’s quality assurance policies have generally been implemented according to the procedures outlined in its policies. Specifically, the process whether led by Senate, a faculty or the Faculty of Graduate of Studies, has included, as per the University’s policies: a self- study, student, staff and faculty input, an internal review committee, external reviewers, a final report with recommendations, 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 reference and assessment criteria as long as these follow the basic criteria outlined in the Guidelines for Unit Reviews which were approved by Senate in 1985. This is a strength of Dalhousie’s policy as it recognizes the differences among disciplines and the autonomy of each faculty by allowing each faculty to tailor its review policy to reflect its individual mission and values. Two notable examples include the Faculty of Health

Professions’ review policy which is student-centred and focussed on quality of learning and the Faculty of

Graduate Studies’ review policy, which focusses on individual programmes, concentrates on student

Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 5

outcomes, and schedules the review of graduate programmes to complement the review of the department in which they are housed. In addition, the Monitoring Committee noted that Dalhousie reviews all new graduate programmes externally prior to Senate approval and implementation.

Another strength of Dalhousie’s quality assurance policy is that it includes a process to review its relationships with other institutions, such as with the Nova Scotia Agricultural College and the University of

King’s College. This allows it to monitor the quality of programmes that are offered by two separate institutions but lead to Dalhousie credentials.

Dalhousie clearly conducts a considerable number of reviews each year, and this requires significant effort and resources. The site visit provided valuable insight into how those who are directly involved in unit reviews regard the process, and it appears that the faculty and staff with whom the Monitoring Committee met are committed to the review process.

The Monitoring Committee identified two areas within Dalhousie’s policies which it felt could be improved upon in terms of how they are implemented. The first area identified by the Monitoring Committee, as well as 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 noted that it has begun to examine ways to ensure the second round of reviews is completed according to schedule.

The second area relates to the extent to which the assessment criteria, outlined in the Guidelines for Unit

Reviews, 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 probably

want to look at the quality and quantity of faculty in the unit, the organizational structure

including support services and facilities within and outside the unit; the quantity and quality

of 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 the

unit had for its future development.”

While these information items clearly inform the objective, the provision of information for academic planning and subsequent budgetary activities, the Committee noted that the link between these items and decisions related to the improvement of the University’s academic offerings is less clear. While the Committee did see examples of how the review process has led to the improvement of academic offerings, for some reviews it was 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 next section of the report provides suggestions on ways Dalhousie can enhance the overall implementation of its quality assurance programme.

6 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures

4.2 Is the institution doing what it should be doing in the area of quality assurance?

3 As per the Commission’s Guidelines for Institutional Quality Assurance Policies, Dalhousie’s current quality review processes include most of the elements which are deemed essential to a successful quality assurance policy. The policy i is comprehensive and reflects Dalhousie’s mission and values; i includes defined assessment criteria; i includes a self-study component; i entails an external review component; i incorporates the participation of faculty not directly involved in the reviewed programme; i allows for the participation of the wider network of stakeholders; i includes a follow-up component to the assessment; and i includes a clearly defined review cycle.

In order to better align Dalhousie’s policy with the Commission’s guidelines and to enhance the overall quality of its review procedures, the Monitoring Committee has a number of suggestions for Dalhousie which are organised 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 a

regular basis; and

5. Increase community involvement and awareness.

4.2.1 Clarify and redefine the accountability for, and the relationship among, the different types of

reviews

The Monitoring Committee noted that, according to the documentation, Senate monitors the results of its reviews of faculties but not the results of departmental reviews conducted by faculties. The Monitoring

Committee suggests that all academic elements of a review, regardless of the administrative unit under which the review is conducted, should be reported to Senate for discussion and decision. Because Senate is the senior 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 the ways 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, the Guidelines for Unit Reviews, and each faculty’s, including the Faculty of Graduate Studies, respective

Terms of Reference. As a result, Dalhousie’s two-tiered process appears somewhat disconnected. While the link between a departmental review conducted by a faculty, and the review of graduate programmes housed within the department is clear, the relationship between reviews of individual faculties by Senate and

the reviews of departments by the faculty in which they are housed is not.

3 These guidelines are included under Appendix 3. 100

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The Monitoring Committee strongly suggests that Dalhousie develop an overarching policy that describes the relationships among the different types of reviews (Senate-led, faculty-led, Faculty of Graduate Studies- led and 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 more effectively leverage and use the information from one review to complement another, thus minimizing duplication. In addition, this policy should identify common elements to be included in each review to facilitate 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 of accountability between reviews done by faculties and reviews done by Senate.

4.2.2 Balance the policy to make it more student-centred

As noted above, the Monitoring Committee believes that the Guidelines for Unit Reviews are more focussed on collecting data to provide information for academic planning and subsequent budgetary activities within the faculties, which, while forming a basis for the improvement of academic offerings, are not clearly related to the delivery of offerings and the student learning experience. Given that these guidelines are the template faculties must use to develop their respective quality assurance policies, it is not surprising that some faculties have developed review policies that are more focussed on the allocation of resources than on the student experience. The Committee did note, however, that the Faculty of Graduate Studies and the Faculty of 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 related to the improvement of academic offerings.

The Terms of Reference for a committee reviewing a faculty under the auspices of Senate are focussed on measures related to faculty performance, organizational structure, and relationship with other units and programmes within and outside of Dalhousie and as a result are more in line with the objective, the provision of information for academic planning and subsequent budgetary activities, and are more focussed on human resources than on the student experience. Subsequently, and as noted in Dalhousie’s self-study and in discussions during the site visit, the results of the reviews of faculties have been used primarily to inform, for example, the reappointment or selection of deans, faculty selection (such as fields within a discipline requiring additional faculty), physical plant planning, new programme development, and academic entrepreneurship.

Many faculties seem to have equated the review process with resource allocation and specifically the allocation of faculty positions. While the Committee noted examples of reviews of faculties done under the auspices of Senate that clearly focussed on the student learning experience such as with the Faculty of

Computer Science and the Faculty of Architecture and Planning, this was less evident in Senate-led reviews of faculties with multiple departments.

Student evaluations of teaching, conducted on a class by class basis, are used extensively by Dalhousie to inform departmental decision-making and recommendations concerning tenure and promotion. The

Monitoring Committee believes that Dalhousie should also consider incorporating the aggregate results of student evaluations into its quality assurance programme as well as integrating measures of academic quality such 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, the 101

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Monitoring Committee suggests that the University strengthen the student experience focus by increasing the emphasis on student-centred criteria, as some Faculties are already doing. This could be achieved by extending the scope of its Guidelines to consider students’ entire university experience, from support services to teaching and learning.

The Monitoring Committee noted that Dalhousie intends to introduce regular reviews of support units and services into its quality assurance practices. The Committee urges the University to implement this innovation as soon as possible in order to ensure that the review process at Dalhousie covers the full spectrum of the student experience.

Dalhousie’s Guidelines for Unit Reviews suggest that a student member be included on the review committee and further states that, “a student member would be useful in drawing out student concerns which might otherwise remain hidden” (p. 3). In practice, however, only the Faculty of Science and the Faculty of

Engineering have included a provision for a student member on the review committee in its Terms of

Reference for Unit Review Committees. The Monitoring Committee understands that the Faculty of Science has, in most cases, successfully found students to sit on Unit Review Committees. While appreciating some of the challenges in ensuring student participation, the Monitoring Committee strongly urges Dalhousie to incorporate the practice of having students sit on review committees within all faculties and the University should make every effort to facilitate student participation on such committees.

Student representatives with whom the Committee met indicated that the general student body’s knowledge of the University’s quality assurance policies is limited. Generally, the only visible activities in this regard are student evaluations of individual courses performed at the end of each course. Students often perceive the course 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 to ensure full student participation in the quality assurance process, including as members of review committees. The Monitoring Committee suggests that Dalhousie enhance its communications with students and the broader university community about its quality assurance policies and the follow-up decisions.

4.2.3 Improve the timeliness of the process

The Monitoring Committee noted that discussions have already begun among senior administrators on ways to 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 seven years, and ideally should be completed within five years.

The timing of the different types of reviews could be more effectively managed in order to minimise duplication and maximise resources. This would facilitate information and resource sharing among the different types of reviews. For example, accreditation reviews would inform reviews by faculty, reviews by faculty would inform reviews by the Faculty of Graduate Studies, and reviews by faculties would inform reviews by Senate. Dalhousie suggested that it would like to modify the timing of its reviews to precede a decanal search. In this case, a review would ideally begin in September and end in April. The Monitoring

Committee supports this approach, although it cautions that the purposes of decanal reviews and unit reviews are different and decanal searches must not overshadow the primary objective of the process, that is, continuous quality improvement.

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Dalhousie identified the scope of reviews led by Senate, which mandates that each faculty under review address a total of 19 multi-faceted items, as one factor that likely contributed to delays in the past. The

Monitoring Committee agrees with Dalhousie’s assessment that there may be more effective means to address some of the items covered in the reviews and suggests certain items currently reviewed at the

Senate 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 policy

on a regular basis

The Monitoring Committee recommends that Dalhousie integrate into its overarching quality assurance policy a provision to evaluate the University’s existing quality assurance policy on a regular basis, including a process to ensure that the results of the review are tabled with Senate. The Monitoring Committee recognizes that the Office of Institutional Affairs undertook an impressive review of Dalhousie’s quality assurance 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 University to determine if the process is meeting the anticipated objectives and outcomes, identify its strengths and weaknesses, implement improvements and ensure its continued relevancy.

The Monitoring Committee believes that the following recommendations/suggestions identified in the 1991 review are still applicable today:

C That a time frame for the completion of a review be established, including a deadline for submission of a follow-up report to the recommendations.

C That the review process identify unit goals and activities and then assess if the activities meet the

needs of the goals.

C That the impact of review reports on decision-making throughout the University be increased.

C That review procedures must make clear “who” is the audience.

C That the methodology of the data collection and the structure of the reports should be clear to the

reader and consistent among faculties.

C That the Terms of Reference for all faculties be revised to include the requirement of a progress or

follow-up report.

C That a central station at Dalhousie be responsible for monitoring the process of Unit reviews.

4.2.5 Increase community involvement and awareness

Community 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 proactive dissemination of information about a university's quality assurance policies to the university’s immediate community (students, faculty, etc.) and the general public.

Dalhousie's policy does require that the Senate Review Committee meet with staff, students and representatives of external constituencies such as alumni, employers, professional associations, and provincial government officials. However, in practice and as noted in Dalhousie's self-study, community participation has varied and has frequently focussed on single issues, newspaper advertising of some reviews such as Medicine has produced few responses, and professional associations for the most part show little interest in reviews. Also, some Senate Review Committees have included a member from an external

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representative of a relevant profession. Nonetheless, the Monitoring Committee believes that Dalhousie must increase its efforts to attract participation from the broader community.

In terms of dissemination of information about quality assurance, the Monitoring Committee noted that it is not enough that review reports are made available to the public upon request. The Monitoring Committee suggests that Dalhousie communicate information pertaining to the University’s quality assurance policy and the 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 that the University is focussing on providing quality programmes and services to its students and gives increased confidence in the quality of the programmes at Dalhousie.

5. SUMMARY OF RECOMMENDATIONS

RECOMMENDATION 1: Clarify and redefine the accountability for, and the relationship among, the

different types of reviews

Possible ways to achieve this include:

i That all academic elements of a review, regardless of the administrative unit under which the

review is being conducted, be reported to Senate, the senior academic body, for discussion and decision.

i That an annual report on the review process, outcomes and resulting follow-up action be submitted to Senate.

i That an overarching policy be developed to clarify the relationship among the different types of

reviews, and to identify the contribution of each to quality improvement.

i That common elements to be included in each review be identified to facilitate a comparison of

units.

RECOMMENDATION 2: Balance the policy to make it more student-centred

Possible ways to achieve this include:

i That Dalhousie adjust the balance of the quality assurance policy to make it more student-centred.

i That the scope of reviews be extended to include students’ entire university experience from

support services to teaching and learning.

i That the aggregate results of student evaluations be integrated into the review process.

i That measures of teaching quality and curriculum be integrated into the review process.

i That Dalhousie take additional steps to ensure full student participation in the quality assurance process, including as members of review committees.

i That Dalhousie improve its communications with students and the broader university community about its quality assurance policies and the follow-up decisions.

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RECOMMENDATION 3: Improve the timeliness of the process

Possible ways to achieve this include:

i That the review cycle not extend past seven years, and ideally be completed within five years.

i That the timing of the different types of reviews be more effectively managed in order to minimise duplication and maximise resources.

i That the Senate review guidelines be modified to identify any item that may be more appropriately reviewed at the Faculty level.

i That a time frame for the completion of each review be established, including a deadline for submission of a follow-up report to the recommendations.

RECOMMENDATION 4: Include a provision in the policy to evaluate the University’s existing quality

assurance policy on a regular basis

RECOMMENDATION 5: Increase community involvement and awareness

Possible ways to achieve this include:

i That greater effort be made to include members of the community including students, professional

groups and the general public in the review process; and

i That information about the university’s quality assurance policy and the results of reviews be

communicated to the university’s immediate community (students, faculty, etc.) and to the general

public.

6. CONCLUSION

The Monitoring Committee compliments Dalhousie for recognizing early on that a quality assurance policy is key to ensuring quality academic programmes. Almost two decades have passed since Dalhousie first implemented its Guidelines for Unit Reviews in1985, allowing sufficient time for the notions of quality assurance to become ingrained into the University’s culture. Those who are most directly involved in the process (senior administration, faculty and staff) appear to support the process and its outcomes. The

Monitoring 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 assurance programme, and hopes that this report serves as a useful guide to facilitate a review of Dalhousie’s quality assurance policies and procedures.

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APPENDIX 1

DALHOUSIE UNIVERSITY’S RESPONSE TO THE ASSESSMENT OF ITS QUALITY ASSURANCE

POLICIES AND PROCEDURES, SEPTEMBER 2003

Dalhousie University was grateful for the opportunity to participate in the pilot phase of the MPHEC’s quality assurance monitoring process. The self-reflection required for the preparation of the self-study document and our consideration of the report of the AAU-MPHEC Quality Assurance Monitoring Committee will result in improvements to the already rigorous academic quality assurance program at Dalhousie. The final report of the Monitoring Committee will be carefully considered and presented to the Senate Academic Priorities and Budget Committee (SAPBC) which has overall responsibility 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 assurance policies and procedures at Dalhousie. Nevertheless, there are several issues raised in the report that deserve immediate response. As well, there are recommendations in the report that will require thoughtful consideration before appropriate responses 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 student- centred.” We believe that the report understates the degree to which academic reviews at Dalhousie have dealt with student related issues. Certainly, there is variability in the extent to which individual reviews address issues that are directly student related and those that involve other matters such as faculty relations, administration, scholarship and research, and external relations. In a complex university such as Dalhousie, with multiple missions, there is a range of responsibilities that academic units must fulfill and that unit reviews must examine. The degree to which a review committee’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 the student 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 of the recommendations (14 of 28) were student-centred. These results do not, we believe, provide evidence of an imbalance. Nevertheless, the other individual suggestions provided in the report under the heading of

Recommendation 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 reference for 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 on a regular basis. As the report states, an “impressive” review was conducted in 1991. We consider the MPHEC’s assessment, which began in 2001, as a second review of the university’s policies and practices with respect to academic quality assurance. It includes a self-study and an external review with recommendations; it has already resulted in proposed changes that aim to improve the university’s processes. It is our expectation that the MPHEC process will continue on a regular basis, forming a fundamental element of a systematic, periodic review of Dalhousie’s quality assurance 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 professional groups and the general public in unit reviews have been substantial, varied and largely unproductive in the past. We look to the MPHEC and the outcomes of this audit process to inform the general public about the extent and rigour of the

QA practices of the universities; we understood public accountability to be one of the objectives of the Commission’s audit activities.

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 and thoughtfulness that they contributed to the Dalhousie review. The university will carefully consider how the suggestions in the report can lead to improvements in its already well-developed academic quality assurance processes.

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APPENDIX 2

SITE VISIT AGENDA AND PARTICIPANTS

Tuesday, February 18, 2003 University Hall

9:45 am Dr. Tom Traves, President

Dr. Sam Scully, Vice-President Academic and Provost*

Mr. Brian Christie, Executive Director, Institutional Affairs*

11:15 am Senate Officers: Dr. Mohamed El-Hawary, Chair

Dr. Colin Stuttard, former Chair

12:15 pm Working Lunch

1:15 pm Faculty Representatives:

Dr. Jan Kwak, Dean of Graduate Studies

Dr. Noni MacDonald, Dean of Medicine

Dr. Lynn McIntyre, Dean of Health Professions

Dr. Chris Moore, Acting Dean, Faculty of Science

Dr. David Schroder, Associate Dean, Faculty of Arts and Social Sciences

2:15 pm Chairs of recent review committees:

Dr. Jane Curran, Department of Classics Review

Dr. Keith Johnson, Department of Chemistry Review

Dr. Barrie Clarke, Faculty of Medicine Review

Dr. Richard Nowakowski, Faculty of Computer Science Review

Dr. Fred Wien, Faculty of Architecture and Planning Review

3:15 pm Student Representatives:

Johanne Galarneau, Student Union President

Curtis McGrath, Student Senator

4:00 pm Wrap-up:

Dr. Sam Scully

Mr. Brian Christie

4:30 pm Site visit concludes

* present throughout the day, as available.

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APPENDIX 3

MPHEC POLICY ON QUALITY ASSURANCE: MONITORING INSTITUTIONAL QUALITY ASSURANCE POLICIES AND PROCEDURES

1. Objective

The monitoring of quality assessment procedures and practices is especially important given that the cornerstone of quality 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 assess the quality of existing programmes, and other functions as appropriate, are performing adequately as quality control mechanisms.

The purpose of the monitoring process is to answer the following two questions: first, “How well is the institution achieving what it set out to accomplish in its quality assurance policy?”, and second, “Is the institution doing what it should be doing in the area of quality assurance?”.

The process is formative; institutional policies and practices are reviewed with a view to provide assistance and advice to institutions.

2. Focus The monitoring function

focuses on three elements:

C the institutional quality assessment policy;

C quality assessment practices; and

C follow-up mechanisms.

The process pays particular attention to each institution’s mission and values.

3. Scope

Given that the renewed MPHEC mandate provides for a direct focus on university education, only degree-granting institutions on the MPHEC schedule are reviewed in the context of this policy. The following institutions are included in the process:

Acadia University Saint Mary’s University St.

Atlantic School of Theology Thomas University Université

Dalhousie University, including Dal-Tech de Moncton Université Sainte-

Mount Allison University Anne University College of Cape

Mount Saint Vincent University Breton

Nova Scotia Agricultural College University of King’s College

Nova Scotia College of Art and Design University of New Brunswick

St. Francis Xavier University University of Prince Edward Island

4. Cycl e The monitoring function will be performed once at each institution in a seven-year cycle. Over the course of the seven- year cycle, two reviews per year will be conducted for the first five years, while three reviews will be conducted in each of the remaining two years of the cycle. The particular order will be established by the MPHEC Quality Assurance

Monitoring Committee, in consultation with the institutions. The first review will begin in early 1999.

5. Establishing a Baseline

Given that it will take seven years to complete the first cycle of the monitoring process, the first step in the overall monitoring process will focus on establishing a baseline defining institutional activities and priorities in the area of quality assurance. In early 1998, each institution will be asked to provide a statement describing how compatible their current activities in the area of quality assurance are with the MPHEC quality assurance policy in general, and with the Guidelines for Institutional Quality Assurance Policies in particular. In addition, the statement should identify future priorities in the area of quality assurance. The statement will be submitted by January 1999.

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6. A Quality Assurance Monitoring Committee

The Quality Assurance Monitoring Committee carries out the monitoring function on behalf of the Commission. It is essentially established as a peer review committee. The members are respected by the post-secondary education community, 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 are appended to the policy.

7. Process and Outcomes

The 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 meeting

Normally, the first step of the process is a meeting to clarify the expectations and the process, as well as to establish the time frame for each step.

Step 2 Self-study

The 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 quality improvement 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 institution achieving what it set out to accomplish in its quality assurance policy?”, and second, “Is the institution doing what it should be 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 the MPHEC.

Step 3 Analysis of all pertinent documentation

Over the course of the following six to twelve weeks, the Committee and staff analyze the documentation and request any additional 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 and

assessment criteria outlined elsewhere in the MPHEC Quality Assurance Policy as the backdrop to review

each institutional policy;

2. The institutional self-study;

3. The list of all programme or unit assessments conducted in the last seven years. The institution may

indicate which units or programmes in that list reflect particularly well the institution’s mission and values; and

4. The schedule of forthcoming assessments.

From the list of assessments carried out by the institution, the Committee selects a number of assessments, normally from three to five, for further review by the Committee. The programme or unit assessments are chosen to reflect as accurately as 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 visit

The on-site visit completes the monitoring of institutional policy and practices. The Committee meets with individuals identified during Step 2 and those identified during consultations with the institution in preparation for the visit. The objective of the on-site visit is to validate the statements offered in the self-study, as well as to verify elements contained in the assessments reviewed by the Committee.

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Step 5 Report

The 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-site visit. 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 to the public, listed as an MPHEC publication, and mentioned in the annual report filed by MPHEC.

Step 6 Institutional response

The institution then develops a plan of action to respond to the report, to be filed with the MPHEC no later than one year following the publication of the monitoring report. The Committee and the Commission may comment and respond to the plan 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 Process

At the end of the first seven-year cycle, a 12-month hiatus will be imposed to review and analyze the process. Institutions will 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?

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5. 18 Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures

APPENDIX A QUALITY ASSURANCE MONITORING COMMITTEE

TERMS OF REFERENCE

Purpose

1. To advise and assist the Maritime Provinces Higher Education Commission, an agency of the Council of

Maritime Premiers, in ensuring continuous improvement in the quality of academic programmes and of teaching

at post-secondary institutions included within its scope by monitoring institutional quality assurance activities,

as described in the MPHEC Quality Assurance Policy.

Function

2. The Committee shall:

C Monitor the outcomes of institutional quality assessment policies and procedures, within the parameters

established by the Commission. These parameters are described with details on the process in the Commission Quality Assurance Policy.

C Suggest relevant research/publications to the Commission and assist in their preparation, as they relate

to quality assurance.

C Examine issues or carry out projects as the Commission may deem necessary and appropriate, as they

relate to quality assurance.

Objective of the monitoring function

3. The specific objective of the monitoring function is to ascertain that the procedures used by institutions to assess

the quality of existing programmes, and other functions as appropriate, are performing adequately as quality control and quality improvement mechanisms.

4. 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, “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 to

provide assistance and advice to institutions.

Membership

6. 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 the

AAU.

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 initial

membership will be appointed for a four-year mandate.)

Chair

12. The Chair of the Committee is one of the Commission members appointed to the Committee and is designated by the Chair of the Commission.

13. The Chair of the Committee chairs meetings.

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Reporting Structure

14. 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 the

Commission meeting to allow time for comment and advice.

Staffing

16. The Director of Academic Planning and Research and staff as assigned, is responsible for monitoring

institutional quality assurance policies and procedures and reports to the Commission the Committee’s findings

and recommendations.

17. The Committee is allowed to engage outside consultants, as required, to assist in the monitoring functions.

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Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 21

APPENDIX B GUIDELINES FOR INSTITUTIONAL QUALITY ASSURANCE POLICIES

1. Purpose of the Guidelines

The aim of these guidelines is to assist the institutions in establishing or improving their policies and processes and to support the Commission when assessing the policies and processes in place.

2. Focus of the Institutional Quality Assurance Policy

An institutional quality assurance policy should reflect the institution’s mission and values. All institutions should have a quality assurance policy in place.

A quality assessment policy should focus on units (academic and other) and/or on programmes (or groups of programmes). 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 Policy

The institutional policy’s objectives should be, at a minimum, to improve the quality of programmes and to ensure that stated 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 the programme achieving what it set out to accomplish?”, and second, “Is it doing what it should be doing?”.

4. Components of an Institutional Quality Assessment Policy

In addition to reflecting institutional mission and values, the institutional quality assurance policy should be comprehensive and 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 assurance process. This unit should be located at a higher echelon of the institution’s administrative structure, and be

accountable 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. The

self-study should be structured according to the defined assessment procedures criteria. When and where

appropriate, the results of accreditation may be included and/or substituted for this component, or a portion

thereof.

4. Entail an external review component, usually carried out by two experts external to the institution. As appropriate, the results of accreditation may be included and/or substituted for this component, or a portion

thereof.

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, professional

associations, the local community, etc.

7. Include appropriate mechanisms, that is at a minimum the procedures and areas of responsibility, to ensure a

proper follow up to the assessment.

8. Establish the assessment cycle, which should not exceed seven years. Newly established programmes or units

should be assessed once fully implemented, usually at the three- to five-year mark.

9. Include provisions to review the policy periodically. The policy should be tabled with the MPHEC as the body responsible for quality assurance.

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5. Key Assessment Criteria

The assessment procedures and criteria should be student-centred, and reflect institutional mission and values. The assessment criteria should be comprehensive (i.e. to include all programme and units) and address the following elements:

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); and

8. Value the contribution of the unit or programme to the larger community or society in general.

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Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 23

APPENDIX C ASSESSMENT CRITERIA FOR THE MPHEC MONITORING PROCESS

I Introduction

The specific objective of the monitoring function is to review the policy, processes and procedures used by institutions to assess the quality of existing programmes and other functions as appropriate, to ensure they are performing adequately as 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, “Is it doing what it should be doing in the area of quality assurance?”. The Committee will be assessing the institution’s quality 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 provide assistance and advice to institutions.

II. Assessment criteria

1. Institutional context of the policy

a. The policy is consistent with the institution’s mission and values.

2. General

a. Appropriate scope of the policy, i.e. the policy is comprehensive in terms of reviewing all programmes and units.

b. The policy follows the Commission’s guidelines. Any discrepancy is explained/ justified

c. The policy promotes continuous quality improvement.

3. Policy objectives

a. 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 components

a. 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 selection

process for, experts.

d. Procedures allowing for the participation of students, faculty members, staff and the

community-at-large are established.

e. (If the policy focuses on units) Mechanism(s) to review interdisciplinary programmes, typically

not 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.

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d. External review process is objective; experts selected during the peer review process have the

appropriate 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 explained

or justified.

g. Required follow-up action is undertaken.

6. Policy administration

a. 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)

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APPENDIX D GUIDELINES FOR THE PREPARATION OF THE INSTITUTIONAL SELF-STUDY

I. Purpose and focus of the monitoring process

The specific objective of the monitoring function is to review the policy, processes and procedures used by

institutions to assess the quality of existing programmes and other functions as appropriate, to ensure they are performing 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 to

provide 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 quality

assurance? 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; and

c. Follow-up mechanisms

II. Focus of the institutional self-study

The institutional self-study is both descriptive and analytical. It must include clear statements as to how well the

quality assessment and quality improvement processes are performing, and whether these processes are

adequate 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 the

primary document on which the monitoring process is based and it is therefore important that it be well organized, 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-study

The AAU-MPHEC Quality Assurance Monitoring Committee will review the institution’s self-study by answering

the 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-study

1. Introduction

a. General history of the policy; date of initial implementation; evolution.

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b. Number and types of programmes and/or units reviewed to date, etc. (list of assessments

completed in the last seven years to be appended with date of review).

c. Description of future plans in this area.

2. Institutional context

a. 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 the

assessment of the policy.

3. Description of the policy

a. 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 any

discrepancies, why?

c. How does the policy promote continuous quality improvement?

4. Policy objectives

a. 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 the

institution’s communities?

5. Policy components

a. What are the assessment criteria? Are they sufficiently defined? Are they appropriate? How

is the adequacy of financial, human and physical resources assessed?

b. Are there established general guidelines for the programme/unit self-study? How are the general

guidelines adapted to the varying needs and contexts of individual programmes?”

c. Are there established guidelines to ensure the external review process remains objective? For

example, 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 interdisciplinary

programmes?

f. Are the guidelines regarding links between the programme/unit review process and accreditation

requirements 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 assessment

criteria?

b. To what extent have the programme/unit self-studies been student-centered? To what extent

have they aimed to assess the quality of learning?

c. To what extent have students, graduates, faculty members, staff and the community-at-large

participated in the review process?

d. To what extent has the external review process been carried out in an objective fashion? Did

experts selected during the peer review process have the appropriate expertise?

e. To what extent do the policy and procedures monitor the continuing relevance of the

programme/unit?

f. To what extent has the schedule of reviews been adhered to? If it has not been adhered to,

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Assessment Report of Dalhousie University’s Quality Assurance Policies and Procedures 27

g. To what extent has the required follow-up action generally been undertaken?

7. Policy administration

a. 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. Conclusion

a. 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 shortcomings

Appendices (to institutional report)

I. Institutional policy

II. List of all programme or unit assessments conducted in the last seven years. (The institution may indicate which units or programmes in that list reflect particularly well the institution’s mission and

values.)

III. Schedule of forthcoming assessments.

(Approved - April 23, 200 1)

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Appendix 7.1.2 Policy on Student Feedback

All Dalhousie courses include the collection of student feedback and evaluation of program delivery and instruction quality. The process is overseen within the university by the Centre for Learning and Teaching (CLT). The following policy manual has been developed by CLT for student evaluations: Student Ratings of Instruction Program POLICY MANUAL February 2005 1. Confidentiality The qualitative and quantitative data collected from students in the Student Ratings of Instruction program are highly confidential. Staff from the Centre for Learning and Teaching are instructed that any and all information that they may acquire through the data is not to be disclosed to any person except as described below in item 3.

2. Security of Confidential Information The information acquired through the Student Ratings of Instruction program is safeguarded in the following manner: a. Completed questionnaires (paper copy, scannable forms) are collected and stored in the original envelopes prepared for each class/instructor unit. The envelopes are sealed in appropriately labeled boxes and kept in a secure place within the offices of the Centre for Learning and Teaching (CLT). Only CLT staff authorized by the Director or Associate Director (Technology) shall have permission to access the questionnaires. b. Electronic versions of the data and data analysis are stored only on authorized computers within the Centre for Learning and Teaching or, in the case of the online version, on a secure university web server. As well, at the end of each academic year (the twelve months ending August 31 of each calendar year) these data are copied onto portable electronic media (e.g., CD-ROMs), which are stored indefinitely in a secure place within the offices of the Centre for Learning and Teaching. c. Limited numbers of printed reports of the data analysis are prepared and distributed as outlined below in section 3. No printed reports are kept by the Centre for Learning and Teaching.

3. Access to SRI Information This section outlines who is authorized to access to the Student Ratings of Instruction data (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 staff and 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 by CLT and distributed as follows: i. the individual faculty member receives a report for each class he/she teaches;

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ii. the head of each relevant teaching unit (Department Chair/Head or Director of a School) receives reports for every individual (i.e., Chair of History receives reports for all those teaching History classes, and so on); and iii. 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 the individual 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) for each teaching unit (programs, departments, or schools or specific instructor groups like TAs) are printed by CLT and distributed to: i. Department Head/Chair or Director of the relevant teaching unit, ii. Deans of the relevant Faculty, and iii. 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) and Provost, or under the terms of the relevant collective agreement, CLT may prepare customized reports based on SRI data for purposes such as institutional/program review or accreditation, or teaching/career award competitions. Deans are also authorized to request customized reports based on SRI data for their own Faculties. To the extent possible, the identity of individuals shall be protected unless essential to the purposes of the report (e.g., for award competitions). e. Outside of the normal distribution process, individuals must make a written request to CLT for SRI information to which they have authorized access.

4. Archiving of SRI Data by CLT The raw data for every course evaluated in each academic year (September 1 to August 31), together with the reports generated, will be electronically archived and can be accessed at a later date if necessary. At the end of each academic year (the twelve months ending August 31 of each calendar year) these data are backed-up onto portable electronic media (e.g., CD-ROMs), which are stored indefinitely in a secure place within the offices of the Centre for Learning and Teaching.

5. Destruction of paper questionnaires a. Questionnaires for quantitative data collection (paper, scannable forms) will be held 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 they are shredded by CLT. For example, those questionnaires completed during the academic year 2003-2004 (September 1, 2003 to August 31, 2004) will be shredded in September 2005 (or as soon thereafter as is practicable). b. Questionnaires for qualitative data collection—so called “Student Comment forms”—are returned to the relevant teaching units who are advised by CLT to establish procedures in conformity with the terms of the collective agreement and University regulations. 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 Ratings of Instruction Program).

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The use of student feedback instruments in the personnel evaluations of individual professors is governed by the following clauses in the Board of Governors – Faculty Association collective agreement: 18.09 (a) Multiple choice responses and other coded material gathered as a result of any collective teacher evaluation authorized by the Senate or any Faculty of Dalhousie University shall not be considered anonymous material under the terms of Clause 18.08. Comments and remarks written by respondents during such evaluations are anonymous material under the terms of Clause 18.08, unless the Senate or a Faculty of Dalhousie University specifically specifies otherwise. Signed comments are confidential, but shall be 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 a Member created for the specific purposes of consideration of the Member for reappointment, promotion, tenure, continuing appointment or appointment without term provided 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 the survey/evaluation being provided to members of the Department or any decision-maker or committee considering the Member but such comments shall be provided by the Chairperson, Head or Director, Dean, Chief Librarian or Vice-President in confidence to the 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 provide copies of the raw data, whether in printed or computer-readable form, to the Member who is the subject of a survey/evaluation once it has been placed in any special file pursuant to Clause 18.01(b). (d) Members shall be provided with student surveys/evaluations within thirty (30) days of the end of the academic year in which the evaluation occurred.

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Appendix 7.1.3 Student Feedback Instruments

The Dalhousie University Student Ratings of Instruction Program

Download this Word document to summarize your results: sri_sample_layout.doc.

The Dalhousie University Student Ratings of Instruction (SRI) Program is designed to provide information on students' perceptions of the teaching effectiveness of their instructors. The data is intended for "summative" purposes. That is, the concern is with the overall quality of teaching performance. The questionnaire focuses on those elements of teaching behavior that are correlated to positive student outcomes and other measures of effective teaching; thus, the results are most appropriate for making judgments about general teaching quality and consistency 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, providing questionnaires, data processing and report production and distribution. Support staff in each teaching unit assist by acting as liaisons and in assisting with the distribution and collection of questionnaires.

The information collected from the students is confidential, and access to both the raw data and final reports is strictly controlled. See the procedures for data collection and reporting of results.

Characteristics of the SRI Instruments and Reports

The SRI usually consists of two components: a scannable "bubble" questionnaire and separate (optional) questionnaire for students' written comments. As outlined below, data from each questionnaire are treated differently, in accordance with the collective agreement.

Quantitative results based on data from the scannable bubble sheets. Each professor receives a report summarizing the results of the quantitative data for each of his/her classes. In addition, the department head or school director receives a copy of all reports. Reports include quantitative results for each class, departmental means (for either undergraduate or graduate classes, as appropriate), enrollment and response rates, as well as guidelines for interpreting the results.

Qualitative comments. In most departments, students are also given the opportunity to submit written comments. When used by the university for the purpose of evaluating the teaching performance of a faculty member, these comments must be handled according to Articles 18.08

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

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CFAME Student Rating of Instruction Questionnaire Comments

Program: MBA (FS) Course: BUSI - 6326 Term: 200930 - 95 Instructor: Ramon Baltazar

• Please sign the form if you want your comments to be used for tenure, promotion, re-appointment, or other personnel decisions. • All signed comments will be photocopied without your signature before being given to the instructor. • The original signed version will be kept in a confidential file and will not be seen by your instructor. • 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 component of the

course?______

______

2. Did you contact your professor throughout the distance component of the course? YES NO

If 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 logical progression 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, please elaborate.______

______

8. Course Website Comments:

______

9. Additional comments: Please feel free to comment on any item or issue pertaining to this course. We

would like to know what you thought worked well for this course and what you think could be

improved upon.

______

Name (Optional)______Signature (Optional) ______128

Appendix 7.2.1 On-line Learning Policies and Practices

All of the Dalhousie University, MBA (FS) courses are offered in a distance-education format 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 last day. The intensive sessions are held at various locations across Canada.

There is one exception to this format. The intensive for the capstone course, Strategic Leadership and Change will be held at Dalhousie University.

To graduate from the MBA (Financial Services) program, students must successfully complete all courses in their study stream within seven years. This degree has full and equal status with all other Masters-level graduate degrees granted through the Faculty of Graduate Studies at Dalhousie University.

http://its.dal.ca/publications/policies/

ITS Policies

5. Information Technology

NUMBER TITLE STATUS LAST REVIEWED 5.1. General 5.1.1 Acceptable Use Policy approved 2009-03-19 5.1.2 Electronic Services Eligibility pending 2006-09-26 5.1.3 Sets of Electronic Services draft 2007-03-24 5.1.4 Conflict of Interest approved 2002-02-22 5.1.5 Disclosure of Information approved 2002-10-23 external Data Administration (formerly CODA) approved 2003-06-01 5.2 Security and Privacy 5.2.1 Passwords approved 2008-01-02 5.2.2 User Identifiers (NetID) approved 2007-04-09 5.2.3 User Authentication approved 2000-09-13 5.2.4 Public Terminal Authentication approved 2003-03-05 5.2.5 Digital Copiers pending 2008-04-10 external Protection of Personal Information from Access Outside Canada approved 2007-01-12 5.3 Networks 5.3.1 UCIS Funded Network Ports approved 2006-02-22 5.3.2 Use of the 2.4GHz (wireless) Radio Frequency approved 2001-12-12 5.4 Email 5.4.1 Dalhousie Email as Official Student Email approved 2003-06-24 5.4.2 Email Filtering approved 2007-01-02 5.5 Research

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5.5.1 Hosting of Research Computer Systems approved 2007-03-27 5.5.2 Network Traffic Research Data Sets pending

ITS Procedures

TITLE STATUS LAST REVIEWED

Access to Data by Suppliers approved 2008-01-16

MBA (FS) Procedures

STUDENT ORIENTATION - The Below information is a sample of the information provided to students in the MBA (Financial Services) program upon acceptance.

GETTING CONNECTED WITH DALHOUSIE Please note: Due to ever-changing technology, all information in this section is subject to change as we strive to provide the best communications, course tools and websites available.

Part I – Getting Started; My.Dal and NetId Part II – Managing Your Communications Part III – The Technical Part General Requirements Student Accessibility Checklist Part IV – Course Management System; WebCT Part V – Student Guide to Your CFAME Website Part VI – Quick Resource Links

GETTING CONNECTED WITH DALHOUSIE

PART I GETTING STARTED – My.Dal

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Like the bank, Dalhousie has very robust and secure server system. There are a few things which if you understand from the beginning will make navigating through Dalhousie’s computers easier. There are 2 main web accessible servers which as students you will have to use. They both require different logins and passwords and will give you access to different information. You can access both systems directly from Dalhousie’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 very important. You use Dal.Online to access your personal data including address, transcript, tax data, and registration information. To access this system you will use your student identification number (also known as your Banner number) and a PIN which is generated by the university. I will not go into great detail regarding this site as you will use it only occasionally however, please keep the password for this site safe as it can be hard to have it changed. The second of the 2 Dal’s systems is called My.Dal and is the system you will use virtually every time you go to Dal. To Use this system you will use your NetID (more details below) and password, your net ID and password are critical to accessing all of the resources here at Dalhousie so please ensure you have it memorized, please do rely on your computers browser to remember this information please commit it to memory as having it reset can be a hassle.

The MY.DAL information system is the main portal to Dalhousie University information, email and course management server.

MY.DAL is a collection of web services gathered onto pages that are accessed through tabs. The manner in which these are organized is called your layout. When you sign in to MY.DAL you arrive at the main page, and you can use the tabs provided to navigate (see PART III for details regarding navigating through the My.Dal portal). It is important to note that Dalhousie will use your campus email (webmail) to provide you with vital university information. You may have another email address you use more often but it is important that you check your Dalhousie email. A good example of when Dalhousie uses this email is to send you details of how to get your T2202A tax form. You will find details in part III of this guide on how to arrange forwarding of your campus mail to another email of your choice to be sure you do not miss any important Dalhousie announcements.

How to Access the MY.DAL Site and your campus email (webmail) Your NetID A unique username called a Network IDentifier (NetID for short) is provided for all students, faculty and staff. Your NetID facilitates your access to all centralized computing services, Dalhousie Email (webmail) and your course management system

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(BLS). This ID is vitally important to your time at Dalhousie, keep it safe and in combination with a password of your choosing is your gateway to learning through the MBA (FS) program. Do not rely on your computers browser to remember this password.

Getting your NetID 1. Go to the website http://my.dal.ca 2. 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 birth date. The date should be entered in this format: 04-AUG-1975. If your BannerID and birth 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 be presented immediately after the NetID is found. Enter your current password (your birth date) in the field marked password. Then enter a new password of your choice in the New Password field and again in the Verify New Password field. Click the "Change Password" button. If you have a problem with your NetID please call the Help desk at 902-494-2376 or the CFAME office 902-494-3597. Start using your Dalhousie NetID You are now ready to use your campus email account, your course management system and have access to online university resources such as the library and university computer 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 and proceed to Part III of this guide to begin exploring the My.Dal portal.

Part II Managing your Communications EASE OF COMMUNICATION IS KEY! Now that you have obtained your NetId and seen the My.Dal communication site, what does it all mean and how are you to determine where to go in order to complete your courses and access relevant information. With one Dalhousie generated id, your NetID, you have access to all your course communication tools. This screenshot is the first page you see upon signing into My.Dal. With it, you have access to:

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CAMPUS ANNOUNCEMENTS

COURSE REGISTRATION, RECORDS, ETC.

CAMPUS EMAIL (WEBMAIL)

COURSE WEBSITES

Because all of this is within the Dalhousie Website family, at any time from this page; the CFAME website; and your course websites, you can run searches and navigate Dalhousie’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 to update 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 one ID and Password. This section, however, is the exception; due to the amount of personal information 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 Dal Online/Banner, please see the FAQs in section 9 of this binder CAMPUS MAIL (WEBMAIL): Any Dalhousie generated correspondence is associated with your NetID. This area is where you can go to send and retrieve mail specific to Dalhousie. You can have this mail forwarded to an outside account of your choice. To make changes to your campus email setting 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 the following link: http://ucis.dal.ca/services/email/mail_management/index.html From this link you are able to have your Dal email forwarded to your BMO address, change you actual email address and add vacation messages COURSE WEBSITES: Each course you registered for is listed on this page and accessible on the course start date through four weeks after grades are posted. The icons below each listing are quick access 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 this link. (You will not see any course listings here until closer to your start date; further information on the Course Website will be sent in advance.)

Part III The Technical Part GENERAL REQUIREMENTS

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Before you begin your course work at Dalhousie, there are some minimum requirements you 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 hardware and 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 - Internet Explorer 5.1 Any questions you have regarding technical specifications can be directed to either [email protected] or http://ucis.dal.ca/helpdesk/ Computer accessory requirements: Microphone Speakers High-speed connectivity Software and plug in requirements, include, but are not limited to: Java, Real Player, Quick Time, Flash (Macromedia), Adobe PDF Reader System Settings vary from user to user. This necessitates a need for a “checklist” in user friendly terms for distance students and professors to adjust their own settings. This includes how to: turn off anonymous login, enable cookies, disable pop-ups, adjust screen size and etc. For further details and direct links, go to the following links or for quick access, please see the summary immediately following (WebCT Student Accessibility Checklist) : • Browser tune-up: http://www.webct.com/tuneup/viewpage?name=tuneup_browser_tuneup_window s_ie • Help: www.dal.ca/helpdesk • Removing Ad and Spyware: http://ucis.dal.ca/services/helpdesk/faq/adware.html WEBCT STUDENT ACCESSIBILITY CHECKLIST BLS, the course management tool for your course site, sits on Dalhousie’s server. User’s access BLS via the Internet using their computer’s browser (e.g., Internet Explorer). Web browsers are software applications used to locate and display the web pages and display 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. Other programs are used to create web pages and open attachments, e.g. MS Word, Corel WP, or HTML editor.

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Often, if a student is experiencing technical difficulty accessing a course, it is due to one of four issues; Browsers and settings, Viruses, Spyware and/or Firewalls. Each is discussed and instructions are included to optimize the use of your learning resource tools.

As always, please feel free to contact Derek Tay at 902-494-3597 or [email protected] should you have any further questions.

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Part IV COURSE MANAGEMENT SYSTEM - BLS Prior to your first Dalhousie course, detailed use on the course website will be distributed. For your information, please find below a general idea of what is located within 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 in the Introduction area of your printed Lesson Notes.) c. Lessons: PDF versions of your lesson Notes Manual. If available, this is also where 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 specific topics of discussion, (ie….Some courses require weekly discussions on each of the required readings.) Instructions can be found in the Discussion entitled Discussion/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 Browse button to select whom you wish to send your message to compose your message and send. Please note that the mail system for BLS is internal. This means that mail sent from with BLS remains within BLS and will not go to your BMO email. Calendar: View important course deadline dates. Add personal entries specifically for your own schedule. Live Chat/Live Classroom: Synchronus events allowing real time lectures and discussions. Times and dates are announced ahead of the event

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Part V STUDENT GUIDE to your CFAME WEBSITE

The 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 site as current students in the program. A brief description has also been provided on what is available through the potential students section for your information and to share with interested 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 a brief overview. The homepage of our site is part of the Dalhousie Website family and as such, you can navigate not only through program information but also have direct links and access to invaluable campus resources and information. To access CFAME’s homepage, please go to http://mbafs.management.dal.ca. In the left hand menu, the link marked as ‘MBA (Financial Services).’ will take you to the section of the website devoted to your program. From this page you are able to access all the sections mentioned in the above paragraph. Prospective Students This part of the website gives detailed information on program requirements, provides a section for Frequent Asked Questions (FAQs) and an automated email link through which application forms can be requested. Current Students This section of the website is a rich resource for students and includes a broad spectrum of information from how to register, to a direct connection to the program course management site, program regulations, and a network of additional research links and resources. Faculty This link will bring up a roster of our current professors. For each professor there is a biography available which will provide you with details regarding their research interests, backgrounds, awards and contact information. MBA (FS) Alumni This section includes current and past news regarding our faculty and alumni. It will include 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 of Management which have rich website themselves worthy of exploration.

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Contact Us This section will include all the details you require to get in touch with anyone in the CFAME office. News and Events This section contains information regarding current events happening here at Dalhousie related to both Professors as well as students. Related Pages On every page of the website you will find the navigation bar, below the navigation bar there is an area called ‘related pages’. These will appear in blue and are specific to the page you are viewing. That is, depending on the content of the main page, these links will direct you to more resources based on the page content.

Part VI Quick Resource Links

This section is meant as reference page for students, containing many useful links both within Dalhousie as well to external sites which we would consider to be highly useful for both new students as well as existing students.

Dalhousie Library Online Resources http://www.library.dal.ca/How/ A link on how to locate resources for papers, cite references and search databases. http://www.library.dal.ca/Services/Distance/ This link gives details on how to access library services remotely. What you need, how to do it and the fees involved http://www.library.dal.ca/index.php These pages are devoted to information http://libguides.library.dal.ca/content.php?pid=570 specifically about researching for business administration programs. Highly recommended. http://plagiarism.dal.ca/ Excellent source of info regarding the policies and procedures surrounding plagiarism at Dalhousie

Dalhousie Online Computer Resources http://ucis.dal.ca/services/helpdesk/index.html Having laptop problems? Computer malfunctioning or slow? These are the guys to email or call, they provide general computer help to all students.

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http://writingcentre.dal.ca/res.html Having issues with writing papers, is the APA style getting you down? This link may help http://tutoring.studentservices.dal.ca/ Are you in need of a tutor? This link can help find you one or call CFAME to check an see if we can assist you with locating a tutor in your area. http://www.dal.ca/news/ Want to find out what’s happening here on campus? Upcoming events, important dates and general information about the university can all be found here http://www.dal.ca/services/ Wondering what services are available to you as a student this is where you can get the low- down. You can find everything here from the Sexual Harassment Office to The Black Student Advising Centre

Dalhousie Resources for Graduate Students http://studentaccessibility.dal.ca/ The student Accessibility Services provides individualized support services to Dalhousie University students http://studentservices.dal.ca/rights/ Students, full or part-time employees, members of faculty, and visitors to campus have certain rights and responsibilities within the University environment. This Information Guide offers a current list of the complaints processes at Dalhousie University as well as information on where to obtain further assistance. http://dalgrad.dal.ca/ If you are a graduate student at Dalhousie then this site offers information for you during admission, during your studies, and while you graduate. There is a lot to explore on this site and we recommend that you take some time and look around. http://dalgrad.dal.ca/regulations/ This is a full listing of all the regulations pertaining to graduate students here at Dalhousie.

Off Campus Links http://scholar.google.com/schhp?hl=en&tab=ws&q= Thinking about looking for some online journal articles? Google has a great resource for that right here. http://fileforum.betanews.com/search Looking for a software program to do something specific? Have a word

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document that you want in a Wordperfect format? You can find all sorts of interesting free software here that can be very useful.

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Below is a sample section of the Instructor’s contract with the Dalhousie University to provide teaching services an MBA (Financial Services) blended learning model course.

All instructors hired to deliver a course in the MBA (Financial Service) program would adhere 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”)

OF THE ONE PART

-and-

______(hereinafter called the “Instructor”)

OF THE SECOND PART

WHEREAS Dalhousie, in co-operation with its various partners, has developed a program of studies leading to a [insert degree name] degree,

AND WHEREAS the Instructor has agreed to provide the Services set out in this agreement;

NOW THEREFORE in consideration of the mutual covenants contained herein and subject to the terms and conditions of this Agreement, the parties agree as follows:

1. SERVICES TO BE PROVIDED

1.1. The Instructor agrees to provide the following services (the “Services”) in the course entitled [insert name of course and course number] with delivery starting XXX , 20XX and ending XXX , 20XX (the “Course”):

1.1.1. Prepare for and present the required course material for the distance portion of the Course, including preparation and grading of all assignments;

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1.1.2. Prepare for and present the required course material for the intensive study portion of the Course, including preparation and grading of all assignments;

1.1.3. Supervise and maintain responsibility for regular student contact through the Course site during the distance education portion of the Course; and

1.1.4. Write and compile appropriate course materials (the “Materials”) for Dalhousie in accordance with the terms of this agreement. The Materials shall be prepared in accordance with the specifications contained in Schedule A.

1.2. The Instructor understands and agrees that the Materials are subject to a final review and approval by the appropriate Program Director within Dalhousie’s Faculty of Management.

1.3. The Instructor agrees that he/she shall devote the time, attention, abilities, and expertise necessary to properly perform the Services.

1.4. The Instructor agrees to be available for students should they have any questions regarding the course material delivered to them during the distance education portion of the Course. This will include daily monitoring of e-mail, the Blackboard Learning Systems (BLS) platform and phone messages. In the event the Instructor is absent (or out of contact) for more than 24 hours, he/she will designate a suitable substitute to respond to student inquiries. The Instructor further agrees that no query 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 be forwarded to the Program Director by ______XXX XX, 20XX___.

1.7. In providing the Services, the Instructor agrees that he/she will follow all Dalhousie University and Faculty of Management regulations, policies, procedures and guidelines.

In addition to the services and support of the CFAME team, Dalhousie University has departments dedicated to the on-line teaching and learning:

Integrated Learning Online Centre for Learning and Teaching Library Services

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The mission of Integrated Learning Online (ILO) is to advise and assist faculty in the use of teaching technologies, in order to effectively enhance student learning in the real or virtual classroom.

To realize this mission, ILO manages a carefully selected suite of educational computer applications, available for use by all Dalhousie instructors. ILO also provides:

o Regularly scheduled workshops which facilitate training and sharing ideas with colleagues. o Advice from professional educators on how to enhance learning. o Assistance in the resolution of problems.

The impact of new technologies on learning and teaching is one of the greatest pressures on institutions of higher education to change. Bates (2000)?defines the rationale for using technology in higher education:

o To improve the quality of learning. o To provide students with IT skills required for the modern life. o To widen access to education and training. o To respond to the "technological imperative." o To reduce the costs of education. o To improve the cost-effectiveness of education.

The ILO team, in cooperation with other campus resources, is positioned to assist with institutional change as instructors experiment with and adopt technology in order to complement in-class activities or teach fully online.

The Centre for Learning and Teaching (CLT) works in partnership with academic units, faculty members, and graduate students to enhance the practice and scholarship of learning and teaching at Dalhousie University. CLT takes an evidence-based approach to advocating for effective learning and teaching practices, curriculum planning, services to support the use of technology in education, and institutional policies and infrastructure to enhance the Dalhousie learning environment.

Library Services http://www.library.dal.ca/Services/Distance/ Distance Services Distance Services are offered to the following Dalhousie affiliates Dalhousie 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-line learning.”

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Appendix 7.2.2 Academic Community and online learning

Introduction The MBA (FS) is offered through a “blended learning” approach. Blended learning is defined as including a distance/online component complemented by a face-to-face intensive of 3-5 days in length. Expertise and resources to support the delivery method and to ensure their effectiveness The MBA (FS) distance/online component is delivered using the Blackboard Learning System (BLS). Dalhousie University has considerable expertise in training faculty members in beneficial practices around this System, which is managed by systems professionals 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 mandates relate directly to the provision of “accessible technical assistance for students and faculty.” Integrated Learning Online (ILO) (its.dal.ca/services/other_services/ILO/index.html) offers both training and support. In addition to expert support from ILO staff, the MBA (FS) program’s online component is very ably supported by designated staff in the Centre for Advanced Management Education (CFAME). The mandate of this unit within the Faculty of Management includes the support of faculty and students in the MBA (FS) program. Students can contact their CFAME expert at any time to receive timely assistance with any aspect of their online experience. In addition, budgetary provisions are made each fiscal year to replace, update and maintain the “appropriate hardware, software and other technological resources and media” at Dalhousie generally and in the Faculty of Management specifically. The institutional unit that oversees all hardware and software is Institutional Technology Services (its.dal.ca/index.html), a well-established “central services” unit that provides integrated service, with designated staff in each Faculty. Understanding and scholarship about distance and blended learning has increased significantly over the past ten years, through the publication of monographs (e.g., Handbook of blended learning: Global Perspectives, local designs.) as well as scholarly papers in journals relating to higher education. Dalhousie’s Centre for Learning and Teaching (learningandteaching.dal.ca/) has a physical and digital library of materials reflecting this scholarship for the use of faculty members and teaching assistants. In addition, the Centre for Learning and Teaching supports research at Dalhousie relating to excellence in learning and teaching, including online course delivery.

Online delivery methods contribute to and enhance the creation of academic community among students and between students and faculty

The MBA (FS) adheres to the beneficial practices accruing from published and institutional research in the following ways: • Students and faculty members use a wide array of the interactive learning tools available 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 or

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asynchronously. Group and team community formation is enhanced through the use 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 may request synchronous online activities, especially to explain complex concepts or practices, for example in Accounting, where the faculty member can use “live classroom” features to work through specific accounting examples and problems. • BLS supports audio and video meetings in addition to synchronous online discussions and these relate to the class as a whole (faculty and student community development) or student group meetings (student to student community development). • Discussion board postings generate community by means of threaded discussions on topics of mutual interest. Furthermore, students gain an awareness of the intellectual development of their classmates in a grounded manner through being able 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 which are available to MBA (FS) students (www.library.dal.ca/How/LibCasts/), as well as customized reference assistance for groups or individuals from the designated Management Reference Librarian. These online facilities from Dalhousie University Libraries contribute to the faculty/student community in MBA (FS) courses.

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8. Capacity to Deliver Standard Appendix 8.1 Legal Characteristics

Dalhousie University was founded in 1818 by George Ramsey, Lieutenant –Governor of Nova Scotia and 9th 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.

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Appendix 8.2 Governance Structure (Information provided in appendix 8.2 covers items 8.21,8.2.2, 8.23)

Board of Governors Under the University's statutes, the Board of Governors is responsible for the operation of the University. The Board consists of representatives named by the Government of Nova Scotia, the alumni, the Student Union and certain other bodies. Internal regulation of the University is the primary concern of the Senate, subject to approval of the Board of Governors.

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's administrative and academic work.

The Senate is the University's senior academic decision-making body. It is responsible for the approval of new programs and academic units and it manages the reviews of Faculties, Centres and Institutes. Senate approves the granting of degrees and diplomas, including the conferral of Honourary Degrees. It is responsible for setting academic regulations which affect the University as a whole, including regulations governing student conduct and discipline, as well as regulations concerning faculty tenure and promotion.

Senate has 73 members - 49 elected Faculty representatives, 16 academic administrators (President, Vice-President Academic and Provost, Vice-President Research, University Librarian, and the Deans of each faculty), six students elected by the Dalhousie Student Union, and a representative from the University of King's College and the Nova Scotia Agricultural College.

Executive Officers President and Vice-Chancellor - Tom Traves, BA, MA, PhD

Vice-Presidents Academic and Provost - Alan Shaver, BSc (Hon), PhD Finance and Administration - Ken Burt, BA, MBA External - Floyd W. Dykeman, BA, MPL Student Services - Bonnie Neuman, BA, MA, EdD Research - Martha Crago, BA, MSc (A), PhD Associate Vice-President Academic Outreach - Keith F. Taylor, BSc (St.FX), PhD (Alberta) Associate Vice-President Academic Programs - Susan Spence Wach, MHA Associate Vice-President, Research - Russell J. Boyd, BSc, PhD Assistant Vice-President, Communications and Marketing - Jim Vibert, BA Assistant Vice-President, Enrolment Management and Registrar - Asa Kachan, BA, MLIS Assistant Vice-President, Facilities Management - Jeffrey W. Lamb, BEng, MEng (Royal Military College)

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Assistant Vice-President, Financial Services - Ian Nason, BComm Assistant Vice-President, Government Relations - Gillian Wood, BA, MA (Economics) Assistant Vice-President, Human Resources - Katherine Sheehan, BA, CHRP Assistant Vice-President, Information Technology Services - Dwight Fischer, BSc, MSc, EMBA

Deans of Faculties Architecture 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), PEng Graduate Studies - Carolyn Watters, BSc, MSc, MLS (Western), PhD (TUNS) Health Professions - William G. Webster, BSc (Hon), MA, PhD Law - 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, MBA College of Arts and Science, Provost - Chris Moore, BA, PhD (Cambridge, UK)

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Appendix 8.3.1 Coordinated Business and Academic Plans to Support Program Quality

As one of Canada’s leading universities, with almost 200 years of tradition, Dalhousie University has the financial and administrative capability to effectively manage an institution of higher learning. Dalhousie develops its business and academic plans with the 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 are identified 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 sustainability

A copy of the document can be found at: http://senioradmin.dal.ca/files/Dalhousie%27s_New_Strategic_Plan.Final_Version.pdf The 2008-09 operating budget was balanced for the twenty-first consecutive year and received the approval of the Board of Governors at the June 24, 2008 meeting. Fiscal year 2008-09 was the first year of a new three-year Memorandum of Understanding (MOU) between the Government of Nova Scotia and the Province’s universities. A copy of Dalhousie’s audited financial statement can be found at: http://as01.ucis.dal.ca/fs/pdf/2009ARReportfor_WEB.pdf

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Appendix 8.3.2 Administrative Staff

President The President and Vice-Chancellor is the Chief Executive Officer, responsible to the Board of Governors and to the Senate for the supervision of Dalhousie University’s administrative and academic work. The President is supported by staff and advisors, including Vice-Presidents Academic and Provost, Finance and Administration, Student Services, External Relations and Research, who are responsible for various academic and non-academic services.

Vice-President Academic and Provost The 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 the Faculty Deans and other administrators to promote outstanding academic administration and management throughout the University, and to promote a high quality of instruction and the necessary forms of support. The Vice-President Academic serves as a member of the President’s management group and contributes to the development of institutional strategy and policy.

Vice-President Finance and Administration The Vice-President Finance and Administration of Dalhousie University is responsible for issues relating to Finances, Human Resources, Management/Labour Relations, Facilities Management, Computing and Information Services, Environmental Health and Safety, the Business Process and Integration Office and the Dalhousie Arts Centre.

Vice-President (Student Services) The Vice-President (Student Services) serves as a member of the President’s management group and contributes to the development of institutional strategy and policy.

As the head of the Student Services division provides strategic and financial direction to a number of administrative units on campus.

Student Enrolment Services: Office of the Registrar, including: Recruitment and Admissions Spring Student/Parent Information Sessions Student Service Centre on the Sexton Campus Student Financial Aid Student Academic Success Services: Academic Advising at Student Services Black Student Advising Centre First-Year Advising Centre International Student and Exchange Services Learning Connections and the David and Leslie Bissett Centre for Academic Success Services Mark A. Hill Student Accessibility Centre Multifaith Centre Studying for Success Program Tutoring Service Writing Centre Student Community Services: Bookstore Trademarks Office University DalCard Office University Food Service

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University Housing Student Experience Campus Life Project Student Wellness Services: Athletics Recreation Counselling and Psychological Services University Health Services Office of the Ombudsperson Administration of the Dalhousie University Code of Student Conduct Student Career Services: Career Services Centre The Lawson Career Information Centre

Vice-President Research provide assistance to Dalhousie Faculty by:

• providing information on sources of grant funding through agencies and private sector organizations • promoting grant applications and contract proposals by Dalhousie faculty members • processing requests for research funds • representing Dalhousie University in negotiations between research sponsors and University 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 issues promote research carried out at Dalhousie by:

• assisting in the organization, preparation and presentation of collaborative research ventures • representing the University on industry, government and community bodies concerned with research policies and research administration • acting as a liaison with industry, government and the general public on issues of research

Detailed job descriptions will be made available if required

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Appendix 8.4 Participation in Academic Policies and Standards

Introduction

Dalhousie University has a transparent system of oversight for curriculum development, academic policies and academic standards. The principal body whose mandate relates to quality 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 as presented 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 is the Senate Committee on Academic Administration. This committee meets monthly and makes recommendations to Senate about new or modified programs, academic policies and standards.

Decision-making and approval processes for new programs

The following list provides, in order, those individuals and bodies responsible for development and review of new or modified programs. Programs must be approved by the Senate of Dalhousie before being forwarded to the Board of Governors and, ultimately, the Maritime Provinces Higher Education Commission. Detailed guidelines from Senate are provided at http://senate.dal.ca/Files/forms/Procedures_for_Senate_Review_of_Program_Proposals.p df

Committees with student representation are marked with an *. Students are usually elected, first by the relevant student associations and then by the relevant Council. Terms range from one to two years. All committees are comprised mainly of faculty members, with representation also of senior administrative staff who support the various graduate programs.

1. MBA (external) Program Committee (whose membership includes the Director of the School of Business Administration, and whose mandate is appended below) 2. School of Business Administration Council (chaired by a senior SBA professor and including the Director of SBA). This Council is the principal decision- making body of the School 3. *Faculty of Management Council (chaired by the Dean and including representatives of all schools in the Faculty and which meets monthly). This Council is the principal decision-making body of the Faculty 4. Faculty of Graduate Studies (www.dalgrad.dal.ca). FGS is lead by a Dean and two Associate Deans, one of whom has responsibility for curricular

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development. Faculty members who are qualified to teach graduate programs are all members of FGS. a. FGS Associate Dean for Curriculum and Programs b. *FGS Academic Planning and Curriculum Committee i. Internal review committee (usually three faculty members from other graduate programs at Dalhousie) ii. External reviewers (selected by FGS in consultation with the administrative head of the program under review). The terms of reference for external reviewers are provided at: http://senate.dal.ca/Files/forms/Terms_of_Reference_for_External _Reviewers%2C_Graduate_Programs.pdf c. *FGS Council (meets monthly and reports to Senate). This Council is chaired by the Dean of Graduate Studies. 5. *Senate of the University of Dalhousie (meets bi-weekly) a. *Committee on Academic Administration 6. Board of Governors of Dalhousie University 7. Maritime Provinces Higher Education Commission Policy on Quality Assurance (May 2005)

Governance of academic policies and standards

The Senate, through the Senate Committee on Academic Administration, oversees all matters relating to academic policies and standards. These include academic integrity, admissions standards, academic appeals, grading standards, academic dates, degree requirements, etc. This committee, Chaired by the Associate Vice-President Academic, is comprised of elected faculty members from across the university and supported by the secretariat of Senate. - ______

MBA (External) Committee Mandate

The rationale for the evolution of the MBA (FS) Committee towards an MBA (External Programs) Committee is the development of additional external MBA programs in 2009- 2010 and the development of a core/specialization model without the necessity for industry partners (previously referred to as the “standalone” model.

The following model has been developed with input from colleagues involved with the MBA(FS).

Title MBA External Programs Committee Mandate • Responsible for curriculum evolution and assessment

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• Advisory body (to SBA Director) on faculty hires for mid-career teaching • Advise and contribute to marketing and promotion Chair’s responsibilities • Be Academic Program Director for one year term • Signing authority on all admissions, program forms, etc. • Assess PLA applications • Liaise with external partners • Oversee three principle areas of committee’s mandate (above) Reporting and liaising structure • Committee, through the Chair/Academic Program Director, reports to the Associate Dean (EP) • Committee’s work is supported by CFAME • Committee, through the Chair, liaises with the SBA Director Membership • Four faculty members who teach core external MBA courses, one of whom will be appointed 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 member Meeting cycle Monthly

New program development will be the responsibility of designated faculty members in an ad hoc committee, some of whom may be members of the MBA External Programs Committee.

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8.5 Learning and Information Resources

Appendix 8.5.1 Library Resources

Dalhousie University Libraries The Dalhousie University Library System is organized to accommodate the needs of the undergraduate teaching programs, graduate and faculty research projects, and professional schools. 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 Health Sciences Library, and Sexton Design and Technology Library - Architecture, Engineering, and Planning.

As of April 1, 2007, the holdings of the Dalhousie Libraries include over 1,902,393 volumes of books, 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 libraries subscribe to 63,457 serials titles, including 59,040 electronic titles.

Dalhousie libraries participate in Novanet, a network which shares a single automated online catalogue of the holdings of the member libraries (Mount Saint Vincent University, Nova Scotia College of Art & Design, Saint Mary's University, University College of Cape Breton, University of King's College, the Atlantic School of Theology, St. Francis Xavier University, Nova Scotia Agricultural College and Nova Scotia Community College). Users borrow from Novanet libraries upon presentation of their University ID card.

ABOUT THE DALHOUSIE LIBRARIES Our Mission: We advance learning and scholarship in our communities by providing expert and innovative access to the world's information and knowledge.

Our Vision "We are the source for scholarly information and a vital partner in the continual enhancement of the Dalhousie learning environment."

We, the Dalhousie University Libraries, are central to all members of the Dalhousie University community. We are the gateway to regional, national and global resources. We are partners in the learning environment. We are essential to the heart of scholarly discourse on campus and in the community.

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We provide innovative, friendly, and responsive services both on and off-site. We provide opportunities and facilities for collaborative learning. We promote outreach and community-based initiatives. We take a leadership role in the university and professional communities through the teaching of information literacy and knowledge management skills and by facilitating access to the best information resources.

We anticipate and actively address the needs of our communities

http://www.library.dal.ca/Services/

SERVICES FOR STUDENTS

Distance Services are offered to the following Dalhousie affiliates Dalhousie 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 start

1. A Dalhousie ID card

Contact the Dalhousie DalCard Office to arrange for your Banner ID card. You will need your Banner ID number and the barcode on the bottom of the card for a number of different library services such as Novanet Express and access to databases via the proxy service. Click here for more information

2. Register your library barcode

You 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 form

3. Obtain ASIN Card (highly recommended)

An ASIN (Atlantic Scholarly Information Network) card allows in-person borrowing at Canadian University Libraries. Requests for ASIN cards can be made at the same time that you register your Banner ID card at your home institution library. Your card will be processed and sent to you by mail. Click here for more information.

4. Activate your Dalhousie email account

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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 reader

This is necessary for viewing full text (pdf) documents like electronic journal articles. We recommend Adobe Acrobat Reader.

6. Get access to ejournals and databases via the Dalhousie Proxy Server

Many library resources are restricted to current Dalhousie students, faculty and staff. When you try to access 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 username and your NetID password. More information.

7. Delivery of Material

After completing steps 1-5 a variety of delivery options of Dalhousie and other libraries material may be available to you. Please see Distance Services - Requesting & Delivery of Material for details. "How to" Video for Document Delivery

Online Resources The Dalhousie University Libraries provide access to a large number of electronic materials that you can use from anywhere. Get help with researching a term paper using library resources.

Find Books

Novanet lists print and electronic books, journals, newspapers, government documents, and multi-media held by Dalhousie and other Novanet Libraries.

Find Articles

Prowler quickly searches multiple databases journal articles, full-text of articles, statistical information, etc. Use the Browse by Subject option to find databases covering specific subjects. Most databases are available from a distance.

Electronic Journals

Search for over 25,000 full-text electronic journals by title, keyword, subject, etc.

Reference Sources

List of specially selected encyclopedias, research guides and much more

Library Instruction/Web Tutorials

Learn how to use the library, write a bibliography, avoid plagiarism, etc.

Tables of Contents Services 158

• CISTISource - Provides table of contents of 14,000+ journals primarily in the fields of science, 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 site

Lists courses and programmes with contact information

Remote Access Dalhousie Library electronic resources are accessible remotely by all currently affiliated Dalhousie students, staff and faculty

Off Campus Access On Campus Access

Dalhousie's electronic resources (databases, journals) have restricted access from off-campus locations. ** Dalhousie Libraries Proxy Policy** • Campus Offices / Computer Labs • • Authenticate yourself using your NetID and password. If you Docking Ports • don't know your NetID, use the NetID Lookup Wireless Connections • If your password does not work, reset it at http://ucis.dal.ca/dal_netid/forgotexppwd.html.

Help

• 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. You may continue to login using your Dalhousie NetID. If your NetID has expired, you may contact 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 Search for... Search Tips

Select Guide Type View all "How do I..." resources OR:

Most popular "How Do I...?" Pages: Getting Started:

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• APA Style (Quick Guide) • Decide where to find information

• MLA Style (Quick Guide) • Avoid Plagiarism (Dal website)

• Research a Term Paper • Research a Term Paper

• Decide where to find • Develop a Research Timeline (Assignment information Calculator)

• About RefWorks • Citation Style Guides

LIBGUIDES SUBJECTS: BUSINESS AND MANAGEMENT

A Subject Specialist Librarian – Management & Economics is available to all Management students including those enrolled in the MBA (Financial Services) program.

Joyline Makani (MLIS, MBA) Management & Economics Librarian follow Joyline at http://twitter.com Contact Info: Research Consultation: Please call, email or drop-in, my schedule for the day is presented above. Office # 3626, Killam Library Email: [email protected] phone: 902-494-2726 Send Email

Welcome to LibGuides Business Research Guide Tags: business commerce management accounting marketing advertising company industry finance human_resources information_systems market_share investments statistics stock_data financial_statements

Welcome! This guide will point you to research resources for a variety of business and management topics. URL: http://dal.ca.libguides.com/business Print Guide RSS Updates • Home • I need to find.... • Databases • Journals • Books

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

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SEARCH TOOLS

Search Guides

Home Print Page

Your Name: Your Email: Post Subject:

Post Text:

News

Stay current. Read today's news as soon as it's posted. o The Globe & Mail o The Chronicle of Higher Education o MarketBeat: A Wall Street Journal blog o This week's Economist o Top World Business News (by Industry) o New Business/Management Books

Most Popular Course Guides View All Course Guides • BUSI 5401 Marketing Management.

• Entrepreneurship

• Company Research

• Industry Research

• International Business

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• Finance

Key Business Databases

Start your search for articles by selecting a relevant database. Listed below are the key business 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 Library

Not sure which database you need? Choose a research focus..

Company Industry Marketing

Accounting Finance Entrepreneurship

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I. B. Statistics Leadership

Key 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 Journal

More Information on finding print & e-journals

Writing/Research Help

• Refworks • Searching for journal articles: Guides • Plagiarism/Academic Integrity

More Research/Writing Tools

SERVICES FOR FACULTY Subject Specialists Each discipline is assigned a subject specialist who manages the book and journal fund for that discipline. They will be happy to arrange an appointment with you.

• Names and contact information

• Services they offer

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• Recommendation for Purchase Form • Subject web pages Document Delivery The 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 Program Reserve Faculty can put assigned reading materials on Reserve for their courses.

• Information on the service

• Reserve guidelines

• Electronic forms Copyright It is essential that faculty are aware of copyright regulations when preparing reading materials for their courses.

• Information on the service Information Literacy The libraries operate a full instructional program including course-related sessions, drop-in workshops, 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 tutorials Alert Services There are several tools for keeping up to date on what is being published.

• CISTISource - brochure

• Ingenta Reveal

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Resources for Teaching Online There 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 content Remote Access All of the services and resources available on our web site can be accessed both on-campus and off-campus.

• Remote access instructions

• Special information for distance students Resources for Teaching and Research The 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 software

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Appendix 8.5.2 Computer Access

COMPUTER LABS ON CAMPUS Number of Computers Number of with Internet Computers Access Available to Available to Number of Students in Students in Location of Computers Students Proposed Proposed On site (√) Other (specify) Year (cumulative) Program Program 2009 200 200 + While 200+ on-site 200+ Distance Program with on Dalhousie Dalhousie Dalhousie on-site component – Campus University University students are expected to have their own computers and internet access Computers and internet access are available to student while on campus and during intensive session in various locations throughout Canada.

ITS supports over two dozen Student Computer Labs located in various locations and departments 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 Bookings Lab Support Lab Guidelines Lab Usernames Lab Software Printing in Labs Lab Software Installation Campus Map with Lab Locations

Labs

Architecture Howe Hall Residence Arts & Social Sciences Law Biology/Earth Sciences Management Black Student Advising Centre Mathematics & Statistics Carleton Campus Music Chemistry Nursing Computer Science Pharmacy 167

Dalplex Physics Earth Sciences - GIS Psychology Economics Risley Hall Residence Engineering - Dunn Building Science (LSC 200) Engineering - Sexton Campus Science (LSC 2087) Fenwick Shirreff Hall Placehttp://its.dal.ca/services/computer_ser Residencehttp://its.dal.ca/services/computer_ vices/labs/labsoftware.html services/labs/labposter.pdf

Other student computing facilities open to all students include the Dalhousie Student Union's Campus Copy lab and the Killam Library's Learning Commons. Some departments also have their own computing facilities.

Architecture - Sexton Campus (H Building)

Room HA30: 4 Macintosh and 1 Windows computer Room HB1: 4 Macintosh and 4 Windows computers East Studio: 2 Macintosh and 4 Windows computers West Studio: 5 Macintosh and 1 Windows computer Room HE-1: 10 Macintosh and 1 Windows computer Login: NetID Login Printing: 4 Laser printers (pay with print credits @ $0.10/page) Staffing: part time Lab Manager: Ed Jones (Windows) 494-6057, Patrick Kelly (Macintosh) 494-3294

Arts & Social Sciences - Marion McCain Building

Room 2018: 32 Windows computers plus instructor's station Room 2019: 52 Windows computers plus instructor's station Room 2020: 15 Windows computers Room 2022: 32 Windows computers plus instructor's station Room 2104: 32 Windows computers plus instructor's station

Computer Study Rooms (3113, 3125, 3137, 3175 and 3187) 30 Windows computers

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Lab Manager: Scott McKenzie, 494-6587 Rooms 2018, 2019, 2020, 2022 and 2104 all have projectors and may be reserved for classes

Fall & 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 PM Weekend - Closed

Summer Hours Monday-Friday 9:00 AM - 6:00 PM (Staffed 12:00 PM - 6:00 PM) Weekend Closed

Biology/Earth Science - Life Sciences Centre

Room 2084: 12 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: none Lab Manager: Chris Rozee, 494-6358

Fall & Winter Hours Monday-Friday 8:30 AM - 4:30 PM Weekends CLOSED

Summer Hours Monday-Friday 8:30 AM - 4:30 PM Weekends CLOSED

Black Student Advising Centre - Student Union Building

3 Windows computers Login: NetID Login Printing: Laser printer Staffing: none Lab Manager: Housing, Conference and Ancillary Services, 494-3834

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Carleton Campus - Dentistry Building

Room 2603: 22 Macintosh and 10 Windows computers Training Annex, 2603B: 12 Macintosh computers plus instructor's station, projector Login: NetID Login Printing: Laser printer & colour laser printer (pay with print credits) Scanning: 24-bit colour scanner Staffing: full time, 494-6560 Lab Manager: Craig Sheppard, 494-7148 The training annex may be reserved for classes.

Fall & Winter Hours Monday-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 Hours Monday-Friday 10:00 AM - 5:00 PM (Staffed) Weekends CLOSED

Training Annex (Room 2603B) Open during building hours Open unattended when main lab is closed A key code may be required for access at some times.

Chemistry Resource Centre

Room 122: 32 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: full time Lab Manager: Scott McKenzie, 494-6746

Fall & Winter Hours Monday-Thursday 10:00 AM - 6:00 PM Friday 10:00 AM - 4:00 PM

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Weekends CLOSED

Summer Hours Summer school classes only

Computer Science - Computer Science Building

Windows, Macintosh and Unix computers Login: lab specific username required, available from Computer Science Printing: Laser printers, pay using CS Print Credits (purchase at CS Help Desk) Staffing: full time (but not 24 hours) Lab Manager: contact department

Dalplex - Basement, Dalplex

10 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: none Lab Manager: contact department

Earth Sciences GIS - Life Sciences Centre

Room 2012 LSC (Biology Wing) Restricted to Earth Sciences students and students in GIS courses 15 Windows computers, digitizing tablets & departmental equipment. Staffing: none Lab Managers: Charles Walls, 494-3705 and Thomas Duffett, 494-3777

Economics - 6220/6214/6206 University Ave.

10 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: none Lab Manager: Marc Serroul, 494-1779

Engineering (Studley Campus) - Sir James Dunn Building

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Room 301B: 70 Windows computers Login: NetID Login Staffing: part time Printing: Laser printer (pay with print credits) Lab Manager: Reg Peters (Engineering department), 494-2209

Engineering - Sexton Campus

B316: 60 Windows computers (projector) C300: 25 Windows computers (projector) C318: 22 Windows computers (projector) Alcove: 23 Windows computers I221: 32 Windows computers (projector) F203: 14 Windows computers G210: 8 Windows computers MET Lounge: 5 Windows computers

Login: NetID Login Printing: Laser printers in B316, C300, Alcove, I221 and F203 (pay with print credits) Staffing: part time 494-3139 Lab Manager: [email protected], 494-3272 Rooms B316, C300, C318 and I221 may be reserved for classes (contact Sexton Help Desk).

Fenwick Place

1st floor: 6 Windows computers, laser printer Login: NetID Login Printing: Laser printer (pay using cash) Staffing: none Lab Manager: Housing, Conference and Ancillary Services, 494-3834

Howe Hall Residence

Basement: 2 Windows computers Login: NetID Login Printing: none Staffing: none Lab Manager: Housing, Conference and Ancillary Services, 494-3834

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Law - 1st floor, Sir James Dunn Law Library (Weldon Law Building)

40 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: part time, 494-6415 Lab Manager: Edward White, 494-1230

Fall & Winter Hours Monday-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 Hours Monday-Friday 8:00 AM - 4:30 PM (Staffed 9:00 AM - 4:00 PM) Weekends CLOSED

Faculty of Management - K.C. Rowe Management Building

Room 3080: 30 Windows computers, instructor's podium and projector Room 4001: 23 Windows computers, instructor's podium and projector Room 4055: 45 Windows computers Login: NetID Login Printing: Laser printer & colour laser printer (In room 4055, pay with print credits) Staffing: full time, 494-2289 Lab Manager: Marc Serroul, 494-1779

Rooms 3080 and 4001 may be reserved for classes

Fall & Winter Hours Monday - 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 Hours Monday - Friday 8:30 AM - 4:00 PM (Staffed)

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Saturday Closed Sunday 12:00 PM - 5:00 PM (Staffed)

Mathematics & Statistics - Chase Building

Chase 007: 15 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: none Lab Manager: Scott McKenzie, 494-6746

Music - Basement, Arts Centre

10 Macintosh computers with Midi-keyboards Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: part time Lab Manager: Craig Sheppard, 494-7148

Nursing - Forrest Bulding

Room G11: 11 Windows computers Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: none Lab Manager: Edward White, 494-1230 Access for Nursing students only

Pharmacy - 5968 College St, Burbidge Bulding

Room 101: 5 Windows computers Login: NetID Login Printing: Laser printer, pay using DalCard @ $0.10/page Staffing: none Lab Manager: Edward White, 494-1230

Fall & Winter Hours Monday - Sunday 8:00 AM - 4:30 PM (Unstaffed)

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Physics - Dunn Building

2nd floor: 28 Macintosh computers, 35 Windows computers Printing: Laser printer Staffing: none Lab Manager: Forest Fyfe (Physics department), 3505 Facilities are used by Physics for courses

Psychology - Life Sciences Centre

Room 4207: 22 Macintosh computers Login: NetID Login Printing: Laser printer (pay with print credits) Lab Manager: Craig Sheppard, 494-7148 Facilities are used by Psychology for courses

Risley Hall Residence

Main Floor: 2 Windows computers Login: NetID Login Printing: none Staffing: none Lab Manager: Housing, Conference and Ancillary Services, 494-3834

Faculty of Science (Room 200) - Life Sciences Centre

Room 200: 21 Windows computers, projector Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: part time, 494-6322 Lab Manager: Chris Rozee, 494-6358 This lab may be reserved for classes.

Fall & Winter Hours Monday-Friday 9:00 AM - 5:30 PM (Staffed)

Summer Closed

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Faculty of Science (Room 2087) - Life Sciences Centre

Room 2087: 30 Windows computers , scanner Login: NetID Login Printing: Laser printer (pay with print credits) Staffing: part time Lab Manager: Chris Rozee, 494-6358 This lab may be reserved for classes.

Fall & Winter Hours Monday-Friday: 9:00 AM - 5:30 PM (staffed) Weekends: Closed

Summer Hours Closed

Shirreff Hall Residence

Rooms 167 & 267: 4 Windows computers Login: NetID Login Printing: Laser printer (pay using DalCard) Staffing: none Lab Manager: Housing, Conference and Ancillary Services, 494-3834

Computer Labs Offsite Dalhousie University uses a platform called the Blackboard Learning System (BLS) and users 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 Internet connection. The Centre for Advanced Management Education makes arrangements for a computer and internet access to be available during the intensive sessions for all off campus intensive sessions.

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Appendix 8.5.3 Classroom Space

Year Number of Number of Classrooms Location of Classrooms Students (include seating On site Other (specify) (cumulative) capacity) Dalhousie Off – Site (various sites across University Canada) 2009 200 Dalhousie University √ Example of (Max 45 has 100+ classrooms room space students/course) available for on- available on Average =20 -35 campus to Dalhousie student /course accommodate the University campus shown MBA (FS) intensive below sessions. 2009 200 (Max 45 Sites chosen for off Examples of off Site locations – students/course campus intensive St Andrews Club and Average = 20 - 35 sessions have 10 - Conference Ctr (17 conference student /course 100+ classrooms to rooms available – 6 with accommodate capacity for 35+) MBA(FS) Intensive SFU Harbour Ctr - 30 + sessions. rooms available to facility needs. BCIT – 12 + rooms available to facility needs.

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Dalhousie University - Faculty of Management Building

Potter Auditorium – 400 seats 6 state-of-the-art classrooms with 60 to 120 seats 5-storey atrium with lounge and study area

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1. School of Public Administration 2. Office of the Dean 3. Centre for Advanced Management Education (CFAME) Teaching Lab (Main room booked from on site intensive sessions).

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Appendix 8.5.4 Laboratories/Equipment

Not applicable to the MBA (Financial Services) program

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Appendix 8.6 Resource Renewal

The resource renewal plans are based on the mandate of the university to maintain and upgrade resources and facilities.

Example:

Classrooms Classroom Upgrade and renewals – Facilities Management conducted the annual classroom condition inspections and surveyed professors regarding deficiencies in each of the common pool classrooms. This information was provided to the Classroom Planning Committee of the Vice-President Academic and Provost and helped direct classroom renewal expenditures totaling almost $820k in 2007-08.

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Appendix 8.7 Support Services

Students in the MBA (Financial Services) program have access to all services that is available to on-campus students.

Student Services The Office of the Vice-President, Student Services, provides a point of referral for any student concern. The Vice-President, Student Services, is the chief student services officer, coordinating the activities of student services: Student Academic Success Services (which encompasses Academic Advising; the Black Student Advising Centre; the First-Year Advising Centre; Learning Connections; the Multifaith Centre; Student Accessibility Services; Studying for Success Program; Tutoring Service; the Writing Centre); Athletics and Recreational Services; Bookstores; Career Services Centre and Volunteering; Conference and Ancillary Services; Counseling Services; Health Services; International Student and Exchange Services; Office of the Ombudsperson; 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 about educational goals, major selection, honours or advanced major information, degree regulations, changing faculties, inadequate study skills, or conflicts with faculty and regulations, can seek the assistance 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 Connections

o Career Services Centre o Career Counselling & Information Centre o Co-op Education • Classes: Select/Register • Counselling and Psychological Services • First Year Advising • Food Services • Health Services Clinic • International Student & Exchange Services • Libraries

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• Money Matters • Multifaith Centre • Registrar • Safety on Campus • Student Accessibility Services • Student Accounts • Studying for Success • Writing Centre

Can't find what you're looking for? Check out the A-Z index.

Student Services Offices:

Studley Campus Room G28, Main Level, Killam Library Phone: 494-2404

Sexton Campus B Building, Main Entrance, 1360 Barrington Street Phone: 494-6047

Support Service Brief Description of Service

Academic Advising All students in the MBA (Financial Services) program have access to the Academic Director, Associate Director, Program Academic Advisor, Faculty members, the Faculty of Graduate Studies and Academic Advisors in the Vice-President's Office.

Career Counselling Career Services Centre The Career Services Centre assists you in: -exploring a full range of career and work possibilities that match your career goals; -preparing job-search documents to present yourself effectively as a candidate for employment; - obtaining information on employment opportunities and prospective employers; - connecting with career opportunities through campus interviews, job and volunteer listings, referrals, direct application, networking, job-search events, publications, and/or information technology; and - developing and maintaining relationships with organizations that provide career development and employment opportunities for you.

Please refer to Career Services Centre website at http://www.dal.ca/csc for more information on programs and services.

Management Career Services offers specialized career development services to the

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students and alumni of programs offered by the Faculty of Management.

Personal Counselling The Counselling Services Centre offers programs for personal, career and learning disability concerns. Counselling is provided by professionally-trained counsellors and psychologists. Strict confidentiality is ensured. Counselling is available both individually and on a group basis. Topics covered by regularly offered group programs, or individual counselling, include Career Decision Making, What to do with a Degree in . . . , Exam Anxiety Reduction, Public Speaking Anxiety Reduction, Grief and Loss, Sleep and Relaxation, Overcoming Procrastination, Stress Management and Overcoming Depression. Information on a wide variety of careers and academic programs is available in The Frank G. Lawson Career Information Centre. The Internet, CD-ROMS, reference files and books, magazines and newsletters, as well as a variety of takeaway tip sheets, all form part of the Centre's large and growing resource collection.

Placement N/A

Services for Students with Dalhousie University is committed to providing an accessible environment that Disabilities supports our academically-qualified students with disabilities to fully participate in University life. Staff at Student Accessibility Services (SAS) work with faculty and staff to provide access to all educational programs, learning environments and campus offerings. An Advisor facilitates an intake process to assess a student's individual needs and, when needed, to recommend classroom supports and exam accommodations to faculty. Staff at Student Accessibility Services, along with other student services at University, support our students through a variety of academic and non-academic programs. SAS also fosters a welcoming environment for students with disabilities through ongoing informational and educational opportunities for faculty and staff. Ongoing efforts consistent with a reasonable and practical allocation of resources are being made to continuously improve accessibility around campus, in the classroom and during exams. Early consultation is advised to ensure appropriate accommodation of your needs. We can be contacted by phone: voice (902) 494-2836, or by email ([email protected]). Please refer to our website for further information: http://www.studentaccessibility.dal.ca.

Tutoring Students can access a range of academic support services through the Studying for Success Program, including study skills and tutoring services. For information, consult the website at http://www.dal.ca/tutoring

As part of Student Academic Success Services, Studying for Success offers programs to help you reach your academic potential during your time at Dalhousie. Workshops are offered to students to develop or enhance personal learning strategies and, when applicable, are customized to focus on particular disciplines or fields of study ensuring that the workshop content is relevant to your needs. Topics regularly covered include time management, getting the most from lectures, critical reading, problem-solving, preparing for and writing exams. Study Skills coaches offer personal coaching either by appointment or on a drop in basis during regularly scheduled hours, and will refer students to other academic resources when appropriate. Website: http://sfs.studentservices.dal.ca/

The Writing Centre's programs recognize that students in all disciplines are required to write clearly to inform, persuade, or instruct an audience in term papers, laboratory reports, essay examinations, critical reviews and other academic 184

assignments. Students benefit from discussing their work with supportive instructors and peer tutors. The Centre currently offers a number of services. The main office in the Learning Commons allows students to obtain advice on writing issues. Tutors also work part of the week at the Sexton Library and the Kellogg Library. Finally, seminars are held 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 Union and is composed of qualified students from the University. The main purpose of the Service is to ensure that the student receives the proper information when dealing with the various administrative boards and faculties at Dalhousie. An Advocate may also be assigned to assist students with academic appeals or in a disciplinary hearing for an academic offence. Our goal is to make the often unpleasant experience of challenging or being challenged by University Administration less intimidating.

The Dalhousie Office of the Ombudsperson offers assistance and advice to anyone experiencing problems with the Dalhousie community, including difficulties associated with finances, academics, or accommodations. This student-run office can help resolve particular grievances and attempts to ensure that existing policies are fair and equitable. Jointly funded by the University and the Dalhousie Student Union, the Ombudsperson can provide information and direction on any University-related complaint. Clients retain full control over any action taken on their behalf by the Office of the Ombudsperson, and all inquiries are strictly confidential

Office of Human Rights, Equity & Harassment Prevention The overall mandate of the Office of Human Rights, Equity & Harassment Prevention is to foster and support an inclusive working and learning environment where all members of the University community share responsibility for establishing and maintaining a climate of respect. The Office is responsible for administering a number of University policies including: the Accommodation Policy; the Employment Equity Through Affirmative Action Policy; complaints based on the Statement of Prohibited Discrimination; the Personal Harassment Policy; and the Sexual Harassment Policy. The Human Rights & Equity Advisor and the Harassment Prevention Advisor also liaise with the Office of the Vice-President, Student Services, regarding the Code of Student Conduct.

Information Technology Services (ITS) provides computing and communication services for students, faculty and staff. Students have access to campus computing facilities individually and in conjunction with their classes. ITS supports university instructional, research, and administrative needs. The department is responsible for all centrally managed computing, networking, and telecommunications facilities.

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Appendix 8.8 Policies on Faculty

The Faculty of Graduate Studies governs the credentials required for all faculty members teaching in post-graduate programs. The procedures are as follows:

IV.1. PROCEDURES RELATING TO MEMBERSHIP IN THE FACULTY OF GRADUATE STUDIES

IV.1.1 Appointment of Regular Members IV.1.1.1 Criteria Each unit (department or school) offering graduate programs at Dalhousie has criteria for membership in FGS and procedures for recommending membership to the Dean. IV.1.1.2 Membership Application New faculty members appointed to Dalhousie and faculty members in Dalhousie units initiating graduate programs for the first time may apply for membership in FGS. The Chair, Head or Director of a department, unit or program submits to the Dean the following information: a) A letter of support from the Chair/Head/Director of the unit, which includes a statement of initial graduate responsibilities and, for inexperienced faculty members, a plan for phasing in their involvement in the graduate programs of the unit b) A recent C.V. of the member, including sections on research and scholarly achievement 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 their major appointment may be recommended for membership in the faculty for each unit in which they are active; this is classified as a cross-appointment within the Faculty of Graduate Studies. Membership applications are considered by the FGS Academic Planning and Curriculum Committee (APCC). IV.1.2 Appointment of Adjunct Members In order to include non-Dalhousie scholars/researchers as members of Dalhousie units, units must develop and maintain a policy governing such appointments, including a process for evaluating research achievement and teaching performance and a statement of the rights and responsibilities of honorary appointees within the unit. Adjunct members are appointed by the Board of Governors upon recommendation from the Dean of Graduate Studies and the Vice-President Academic. Units can recommend adjunct members to the Dean in any of the categories below including the same supporting materials as set out under section IV.1.1.2, as well as the address of the candidate’s employer (if applicable).

The School of Business Administration, within the Faculty of Management, has policies and procedures in place for the recruitment, retention and promotion of faculty that conform 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 to hire doctorally-qualified faculty members who are good instructors. When a faculty vacancy exists, the Dean instructs the School’s and the appropriate area group’s head to initiate the search process within University established guidelines. All vacancies must be

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advertised in accordance with Dalhousie’s employment equity policy and “Academic Recruitment 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 area group(s). The University encourages diversity in the makeup of search committees under its Employment Equity Policy. The Dean’s Office staff meets with all search committees to 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 Universities and 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 distribution list, 6. through listings at regional and national conferences; and 7. in Employment Equity Offices throughout Canadian Universities

Applicants submit a file containing a letter of application, vita, transcripts and letters of recommendation. All applicants receive an acknowledgement letter and a “Self- Identification Questionnaire,” requesting a statement of Canadian status. An optional section in the questionnaire allows self-identification regarding racial origin and disabilities. The search committee reviews the applications and contacts references of the most 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 is again reviewed to ensure its full compliance with the University’s Employment Equity policy.

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 makes recommendations to the Director of the School. The Director reviews the recommendation and, if there is agreement, forwards it to the School’s Rank, Appointment, Tenure and Salary Committee for evaluation. The recommendation is next forwarded to the Dean and, later, the Vice-President for approval. The Dean must then obtain approval to make a conditional offer from the Vice-President (Academic). Final

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appointments are made only by the President, subject to the University’s Association and Board 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 to key University Leaders including, the President, Vice-President (Academic), Dean of Graduate Studies and University Librarian. The Office of Instructional Development and Technology (OIDT) assumes a lead role in the orientation process and organizes a variety of workshops and seminars. In 1999, the OIDT established the Dalhousie Faculty Mentoring Program, to provide support and guidance to new faculty members. The orientation process begins during the recruiting meetings. Teaching, research and service expectations, advisory responsibilities and tenure/promotion processes are discussed with prospective faculty. Once hired, new faculty are guided and advised by their area group co-ordinator, by fellow area group members, and by the School’s Director and the Dean. All newly appointed full- and part-time faculty receive a School handbook, which provides information regarding staff roles, procedures available resources. This handbook is reviewed annually updated as need be.

Retention and Development Tenure and promotion represent the ultimate recognition of the faculty member’s sustained contribution and commitment to teaching, research and to service to the profession and community. The process underlying tenure and promotion decisions is considered seriously at Dalhousie University, at the Faculty of Management and within the School of Business Administration. The review process for faculty retention, tenure and promotions is set forth in the constitutions of the Faculty of Management and School of Business Administration and is governed by the Faculty Association/University collective bargaining agreement. Faculty members are also given copies of “Faculty of Management Guidelines for Tenure and Promotion” and the University Senate’s “Report on Tenure”, to assist in their preparation and application. Conduct of the review process begins with the School’s Rank, Appointment, Tenure and Salary Committee. Its terms of reference are as follows: • The members of the Committee shall be elected by, and with the approval of, the majority of the full time members of the School. Their appointment, promotion and tenure fall principally within the jurisdiction of the School for three (3) years. They may be reappointed; provided, however, that at the first appointment of the Committee, the term 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 involving the appointment, renewal of contract, promotion, tenure and salary of existing faculty members of the School, and the terms of appointment of prospective faculty members, in the light of the Senate and Faculty of Management regulations on these matters, and of collective agreements.

Following initial assessment by the School’s Rank, Appointment, Tenure and Salary Committee, recommendations for retention, tenure and promotion are forwarded for

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review by the School’s Director, the Faculty of Management Tenure and Promotion Committee and, finally, the Dean. At each stage the dossier is considered carefully, with special emphasis being placed the School’s desire for excellence in the classroom, its emphasis on research and its focus on service to the profession, community and university. The complete dossier, including the Dean’s final recommendation, is then forwarded to the President and Vice-President (Academic) for their approval.

The Dean and the Director of the School are responsible for supporting the continued intellectual development and renewal of the faculty. Each year, faculty are responsible to submit a report addressing both past achievements and future objectives. The School’s Director holds individual interviews with all faculty to review this annual report and discuss plans for the coming year. Annual reports, along with any relevant comments from the Director, are forwarded to the Dean for further review and feedback where required.

Dalhousie University has a long-standing policy and record of providing faculty members with sabbatical leave as a means to promote intellectual development and renewal. In general, 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 conferences or 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 research activities.

To further the aim of scholarly productivity, the Faculty of Management provides guidance to individual faculty. This can include provision of assistance with funding sources, 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 Transportation

The School of Business Administration is committed to provide all students with a quality education which is rigorous and relevant. The School’s hiring practices emphasize recruiting doctorally and professionally qualified individuals.

Faculty members are considered professionally qualified if: They have an MBA with a professional designation or have at least five (5) years of relevant managerial experience. Faculty with professional qualifications are hired not only to address the general research and teaching needs of the unit, but they are also hired

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to enhance students’ learning and educational experience by bringing real-world experience into the classrooms. Professional qualifications are broadly defined to include a master’s degree in a business field or an MBA with a professional designation such as “Chartered Accountant”, “ Certified Management Accountant”, “ Certified General Accountant” or having at least five (5) years of relevant managerial experience. The School of Business Administration is committed to provide all students with a quality education which is rigorous and relevant. The School’s hiring practices emphasize recruiting doctorally and professionally qualified individuals.

Faculty members are considered academically qualified if: They have obtained a doctoral degree in an appropriate discipline in business administration, or they are successfully progressing toward one, and they have made at least two (2) scholarly contributions within the last five (5) years to a discipline in business administration. Faculty members are considered professionally qualified if: They have an MBA with a professional designation or have at least five (5) years of relevant managerial experience. Faculty with professional qualifications are hired not only to address the general research and teaching needs of the unit, but they are also hired to enhance students’ learning and educational experience by bringing real-world experience into the classrooms. Professional qualifications are broadly defined to include a master’s degree in a business field or an MBA with a professional designation such as “Chartered Accountant”, “ Certified Management Accountant”, “ Certified General Accountant” or having at least five (5) years of relevant managerial experience.

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Appendix 8.9.2 Curriculum Vitae of Current Faculty Assigned to Degree Program (all instructors teaching in the MBA (Financial Services program must be members of the Faculty of Graduate Studies).

Ramon G. Baltazar

Academic May 2007 – Ph. D. in Business Administration (Management) Degrees Sobey School of Business, St. Mary’s University, Halifax, Canada . Sobey is accredited by AACSB . Thesis entitled ‘Nature, antecedents, and consequences of managerial configuration-making preference’

1982 – Master of International Management (Finance) American Graduate School of International Management at Thunderbird, Glendale, USA . Graduated with Distinction

1978 – Bachelor of Science in Management Engineering Ateneo de Manila University, Manila, Philippines . Graduated Cum Laude and Class Valedictorian

Teaching 2001-Present Experience Adjunct Professor, Centre for Advanced Management Education Faculty of Management, Dalhousie University, Halifax, Canada . Course assignments have included Strategic Leadership and Change and Management Skills Development in the MBA (Financial Services) Program for the Bank of Montreal, and Managing People in Diverse Organisations in the MPA Management Program for government and not-for-profit managers

1998-2006 / 1989-1996 Lecturer/Assistant Professor, School of Business Administration Faculty of Management, Dalhousie University, Halifax, Canada . Course assignments included graduate and undergraduate courses in Strategic Management and Organisation Design . Recipient of the 1991-1992 and 1995-1996 Dalhousie MBA Professor of the Year Award and 1999-2000 Dalhousie Commerce Professor of the Year Award

1997-Present Instructor, Management Department

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Faculty of Commerce, St. Mary’s University, Halifax, Canada . Course assignments included Strategic Management courses in the undergraduate Commerce Program, Management Control courses in the MBA-CMA Program, and the Strategy for Success module in the Nunavut Advanced Management Development Program

1983-1986 Assistant Professor Asian Institute of Management, Manila, Philippines . Taught graduate courses in Strategic Management . Provided instructional and consulting services to private and public sector organisations in Malaysia, Indonesia, and the Philippines

1978-1980 Lecturer Notre Dame of Marbel College, Cotabato, Philippines . Taught undergraduate courses in management and statistics

Publications and Conference Contributions

Scholarly Baltazar, R., Kelloway, K. & Chamard, J. (2008). Managerial Contributions configuration-making preferences in the Canadian banking industry. In 8th Annual Hawaii International Conference on Business Proceedings, Honolulu: Hawaii International Conferences.

Baltazar, R. & Brooks, M. R. (2007). Port governance, devolution and the Matching Framework: A configuration theory approach. In M. R. Brooks & K. Cullinane (Eds.), Devolution, port governance and port performance (Vol. 17, pp. 379-403), Amsterdam: Elsevier Ltd.

Mealiea, L. & Baltazar, R. (2005). A strategic guide for building effective teams. Public Personnel Management, 34(2), 141-160

Baltazar, R. & Santos, M. (2003). The benefits of banking mega- mergers: Event study evidence from the 1998 failed mega- merger attempts in Canada. Canadian Journal of Administrative Sciences, 20(3), 196-208

Baltazar, R. (2003). Maritime Life Assurance Company: A case and teaching note. In 2003 ASAC Conference Proceedings, Halifax: Administrative Sciences Association of Canada

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Mealiea, L. & Baltazar, R. (2003). Team climate factors and team effectiveness: An extension of Mealiea’s work. In 2003 ASB Conference Proceedings, Halifax: Atlantic Schools of Business

Mealiea, L. & Baltazar, R. (2003). A preliminary analysis of leadership behaviours in teams and the resulting impact on team outcomes. Presented, 2003 Atlantic Schools of Business Conference, Halifax

Baltazar, R., Fooladi, I. & Santos, M. (2003). Is the oil & gas industry a good hedge against political and/or economic risk? The Canadian case. In 2003 ASB Conference Proceedings, Halifax: Atlantic Schools of Business

Baltazar, R. (2002). Cultural antecedents of port design. Presented, Port Governance Network Track, 2002 International Association of Maritime Economists Conference, Panama City

Baltazar, R. & Brooks, M. R. (2001). The governance of port devolution: A tale of two countries. Presented, 2001 World Conference on Transportation Research, Seoul

Baltazar, R. (1999). Towards a Competitive Leapfrogging Strategy Framework: A Case for Concept, Trajectory, Capacity Building Focus, Growth Mode, and Kinetics. Presented, 1999 Atlantic Schools of Business Conference, Halifax

Fry, J.N. & Baltazar, R. (1989). Deloitte Haskins + Sells. In Business policy: A Canadian casebook by J.N. Fry, J.P. Killing, R.E. White, & D.H. Thain, Scarborough: Prentice-Hall Canada, Inc.

Instructional Material

Baltazar, R. & Cassin, M. (2006). Managing people in diverse organizations. Learning binder for the Master of Public Administration Program (Management), Halifax: Dalhousie University

Baltazar, R. (2001). Strategy formulation. Learning binder for the Master of Business Administration (Information Technology) Program, Halifax: Dalhousie University

Baltazar, R. (2001). Strategic leadership and change. Learning binder for the Master of Business Administration (Information Technology) Program, Halifax: Dalhousie University 193

Baltazar, R. (1999). Workers’ Compensation Board of Nova Scotia: A case and teaching note, Halifax: Dalhousie University

Baltazar, R. (1985). Rubber Institute Smallholders’ Development Authority. In Formulating Strategy, Manila: Asian Institute of Management

Baltazar, R. (1985). Parit Siraya Mini-Estate Project. In Implementing Strategy, Manila: Asian Institute of Management University Administrative Experience 2002-2003 Associate Director, School of Business Administration/Director, MBA Program School of Business Administration, Dalhousie University, Halifax, Canada

1990-2002 Member of standing Dalhousie University committees, including the School of Business Council, Faculty of Management Council, MBA Curriculum Committee (Chair, 2002-2003), School of Business Nominating Committee (Chair, 2001-2003), University Other Senate Nominating Committee, and Commerce Curriculum Information Committee

1993-1996 Co-owner and Operator Home Cinema Circuit, Halifax, Canada

1986-1989 Doctoral Candidate in Business Administration (Business Policy) Ivey Business School, University of Western Ontario, London, Canada . Successfully completed course work and comprehensive examination

1982-1983 Executive Assistant to the President Merit International Ports Consulting Corporation, Manila, Philippines

Canadian citizen with an international background . Have resided in Canada, the US, France, Japan, and the Philippines 194

CURRICULUM VITAE June, 2009

1. Personal:

Name: JOAN E.D. CONROD

University School of Business Address: Dalhousie University 6100 University Avenue Halifax, NS B3H 3J5

2. Degrees:

a) Academic

M.B.A. 1986 University of Toronto, Toronto, Ontario B. Comm 1977 Dalhousie University, Halifax, Nova Scotia

b) Professional

F.C.A. 1999 Nova Scotia C.A. 1979 Nova Scotia

3. Employment

1997 - present Professor, Dalhousie University

1989- 1997 Associate Professor, Dalhousie University Received early tenure in 1990/1991

Senior Tutor, University of Toronto

Tutor, University of Toronto

Lecturer, Dalhousie University

Staff Auditor, Touche Ross & Co, Public Accountants

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4. Honors

Fellow Chartered Accountant, 1999

Dean’s List, M.B.A. University of Toronto, 1986-1987

CICA Bronze Medal and Founders Prize, Harry G. Hoben and Nova Scotia Institute Prize, Uniform Final Examinations (1979). Placed third in Canada out of 3400 candidates.

University Award in Commerce, Dalhousie University (1977). Placed first in Commerce Program.

5. Teaching Awards

Faculty of Management Teaching Award, 2008 Leaders in Management Education, Atlantic Canada, PWC, 2004 Association of Atlantic Universities, Distinguished Teacher Award, 1996 Dalhousie Alumni Association Award for Teaching Excellence, 1995/6 Commerce Professor of the Year, 2006/7 Commerce Professor of the Year, 2004/5 Commerce Professor of the Year, 2003/4 Commerce Professor of the Year, 2001/2 Commerce Professor of the Year, 1996/7 Commerce Professor of the Year, 1994/5 Commerce Professor of the Year, 1993/4 Commerce Professor of the Year, 1992/3

6. Professional Affiliations

Member: Nova Scotia Institute of Chartered Accountants Canadian Institute of Chartered Accountants American Accounting Association Canadian Academic Accounting Association

7. Courses taught

Dalhousie University:

COM 2101 Introductory Accounting I COM 2102 Introductory Accounting II COM 3105 Intermediate Financial Accounting I COM 3111/MBA 6108 Intermediate Financial Accounting II COM 3113/MBA 6113 Financial Accounting Theory COM 3116/MBA 6106 Cost Management

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COM 4101/MBA 6110 Advanced Accounting I COM 4102/MBA 6109 Advanced Accounting II BUSI 5103 Introductory Accounting

Dalhousie University; executive program:

BUSI 5103 Introductory Accounting (MBA FS)

8. Publications

a) Books

Intermediate Accounting, Fourth edition, T.H. Beechy, J.E.D. Conrod, McGraw Hill, Toronto, 2008

Intermediate Accounting, Third edition, T.H. Beechy, J.E.D. Conrod, McGraw Hill, Toronto, 2005

Intermediate Accounting, Second edition, T.H. Beechy, J.E.D. Conrod, McGraw Hill, Toronto, 2002

Intermediate Accounting, First edition, T.H. Beechy, J.E.D. Conrod, McGraw Hill, Toronto, 2000

Intermediate 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 and J.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.

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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 Financial Reporting, 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 Judy Cumby, 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. Conrod and 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, CA Magazine, July, 1984.

“EPS – A Financial Ratio in Question”, D.C. Cherry and Joan E.D. Conrod, CA Magazine, June, 1983.

“An Analysis of the UFE Syllabus”, G.R. Chesley and Joan E.D. Conrod, CA Magazine, May, 1982. d) Articles (not refereed)

“Corporate Governance: Do Core Principles Equate with Best Practices?” Technical Report with Steve Salterio, Queens Centre for Governance, 2008

“Dalhousie University’s MBA Financial Services Program” in FOCUS, Centre for Learning and Teaching, Dalhousie University, Fall 2008

“The Teaching Master Class”,. with Laura Cumming, in FOCUS, Centre for Learning and Teaching, Dalhousie University, Spring 2009, forthcoming

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“Homburg Investment Inc, A Case Study on the Impact of IFRS,” McGraw Hill Intermediate Accounting web site, 2008.

“Orca Resources, A Case Study on the Impact of IFRS,” McGraw Hill Intermediate Accounting web site, 2008.

e) Conference proceedings

Conrod, Joan and Cumby, Judy, Revenue Recognition Policy Change: Canadian Evidence In The TSE Small Cap, Atlantic School of Business Conference, Halifax, 2005 “Performance Measurement in the Canadian Biotechnology Industry: An Overview”, Judy Cumby and Joan Conrod, Performance Measurement Association 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 Courses

FA3 Lesson Notes, CGA-Canada, Vancouver, 1994, and subsequent annual revisions through 2009. Advanced Financial Accounting, Part 1 Atlantic School of Chartered Accountancy, 1990. Lessons 8-15. Intermediate Accounting I, Society of Management Accountants, 1983. g) Invited Commentaries

An Evaluation of the UFE, CA Magazine, March, 1999. Invited editorial University Teaching, Focus, Dalhousie University, Vol. 6. No.2 h) Conference Presentations

“The Teaching Master Class”, with Laura Cumming, at Fostering Student Engagement, Learning and Teaching Conference, Dalhousie University, Spring 2009.

Panel Discussion, “Fostering Student Engagement in the Faculty of Management,” at Fostering Student Engagement, Learning and Teaching Conference, Dalhousie University, Spring 2009.

“Revenue Recognition: Judgment in the Spotlight,” Joan E.D. Conrod and Judy Cumby, ASB, October, 2004

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“Performance Measurement in the Canadian Biotechnology Industry: Closing the Reporting 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. Symposium The Teaching Master Class, with Laura Cumming, January 2009. Symposium for teaching effectiveness, run in the School of Business, involving observation and debriefing.

10. Grants

Canadian Institute of Chartered Accountants, $10,000 development grant for Non- financial performance measurement: Current reporting practice, with J. Cumby

McGraw Hill/ Irwin, text development grants, $2,500, in each of 2008, 2005, 2003, 2000, 1997 and 1995, respectively

11. Professional Courses

The following courses are part of a post-undergraduate course of study that leads to the CA designation; students are articling with CA firms. My role has been as a lecturer or seminar leader.

Advanced Financial Accounting, Part II, Atlantic School of Chartered Accountancy (1982-2001, inclusive)

Managerial Accounting, Planning & Control, Atlantic School of Chartered Accountancy (1990-2001, inclusive). Coordinator in 1997.

Finalist Preparation, Atlantic School of Chartered Accountancy, (1984-1989, inclusive)

Finalist Preparation Workshop, Clarkson Gordon, (1986-1989, inclusive)

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Summer School in Chartered Accountancy, Concordia University (1985)

School of Accountancy, Ontario Institute of Chartered Accountancy (1980-1986, inclusive)

12. Professional Exams

This examination material is meant to challenge candidates at their final level of preparedness in the professional accounting programs. The material must be original and complex, to provide constructive feedback and eliminate the weaker candidates. The material covers topics in financial and managerial accounting, integrating auditing and tax where appropriate in course coverage.

Original material prepared for:

Canadian Institute of Chartered Accountants, Uniform Final (CA) Exam, 2000

Atlantic School of Chartered Accountancy Course: 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 Workshop Series of 6 to 8 exams at “CA final exam” level of difficulty prepared with grading schemes (1986-1989, inclusive)

Summer School in Chartered Accountancy, Concordia University, Montreal. “CA final exam” level material provided (1989, 1985)

Society of Management Accountants Final Accreditation Exams, Advanced Financial Accounting, (1990, 1986, 1985, 1984)

13. Committee Service

a) School of Business Student 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)

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Chair, Long-term Planning Committee (1999 – 2000) Member, MBA (Financial Services) Program Committee (1995 – 1999 and 2006-present) Member, School Council (1994/5 and 2001-2003) Undergraduate Curriculum Committee (1989-1994) Chair, Undergraduate Curriculum Committee (1989/1990) b) Faculty of Management Advisory Position, Budget Allocation Issues, 2007 Member, 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) University Member, 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) Professional Member, Academic Advisory Committee, an advisory committee to the Accounting Standards Board, CICA (2005 - present) President, CAAA Board of Directors, (2002/3); Member, CAAA Board of Directors, Past President and Chair of the Nominating 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)

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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 Chartered Accountancy, 2001.

14. Conference Service

a) Organizer Chair, Accounting Stream, ASB, Halifax, 1999 Organizing Committee, CAAA Conference, Halifax, June, 2000.

b) Participant Moderator, Opening Plenary Session, CAAA Annual Conference, 2007 (Sheila Fraser, guest speaker) Co-Chair, Department Heads Session, CAAA Annual Conference, 2007 and 2008 Moderator, CAAA session on Capital Market Research, Calgary, 2001 Discussant and moderator, CAAA monograph on Audit Theory, CAAA conference, Halifax, 2000 Host and organizer, Total Value Creation (TVC); CICA research project workshop 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, 1999 CAAA Accounting Educator’s Symposium, Kingston, 1983. Clarkson Gordon Education Symposium, Kitchener, 1984.

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TERESA L. CYRUS

Dalhousie University Department of Economics Halifax, Nova Scotia Canada B3H 3J5

EDUCATION: DEGREE DATE FIELDS

University of California, Berkeley Ph.D. Dec. 1997 International Economics Industrial Organization University of California, Los Angeles B.A. cum laude Dec. 1988 Economics/International Area Studies St. Andrews University, Scotland exchange year 1987-1988 Economics Modern History

ACADEMIC 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 of Macroeconomics, 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 of Microeconomics. Teaching Assistant, Department of Economics, U.C. Berkeley, 1990-1996. Courses taught: International Monetary Economics, Intermediate Macroeconomics, Principles of Economics, 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 on income.

STUDENTS SUPERVISED: supervisor: (note: individual student names have been removed) Student 1 M.D.E. 2008 Student 2 M.D.E. 2001 Student 3 M.A. 2005 Student 4 M.D.E. 2006 Student 5 M.D.E. 2002 Student 6 M.D.E. 2003 Student 7 M.D.E. 2003

Student 8 M.D.E. 2006 Student9 M.D.E. 2006 Student10 M.A. 2003 Student 11 B.Sc. (honours) 2002 Student 12 B.A. (honours) 2004 Student 13 B.A. (honours) 2006 Student 14 B.A. (honours) 2002 Student 15 B.Sc. (honours) 2008 Student 16 B.A. (honours) 2003 Student 17 B.Sc. (honours) 2000 reader: (note: individual student names have been removed) Student A M.D.E. 2001 Student B M.D.E. 2001 Student C M.A. 2004 Student D M.A. 2005 Student E M.D.E. 2004 Student F M.D.E. 2005 Student G M.A. 2003 Student H M.D.E. 2003 Student I M.D.E. 2004 Student J M.A. 2005 Student K M.D.E. 2003 Student L M.A. 2000 Student M M.D.E. 2003 Student N M.D.E. 2008 Student O M.A. 2004 Student P M.A. 2005 Student Q M.A. 2004

PUBLICATIONS IN PEER-REVIEWED JOURNALS:

“The Double-Edged Sword of Trade” (with Lynn Lethbridge and Lars Osberg), Eastern Economic Journal 33:2, 2007, 277-292.

“Investor Protection and International Investment Positions: An Empirical Analysis” (with Talan Iscan and Sheena Starky), International Finance 9:2, August 2006, 197-221.

“Does Convergence Cause Trade, or Does Trade Cause Convergence?,” Journal of International Trade and Economic Development 13:4, December 2004, 397-418.

“Income in the Gravity Model of Bilateral Trade: Does Endogeneity Matter?,” The International Trade Journal XVI:2, Summer 2002, 161-180.

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BOOK CHAPTERS:

“Cross-Border Cooperation: The North American Context,” in Cross-Border Cooperation, National Academy 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 the 1990s” (with Lars Osberg), in Incomes and Productivity in North America, Commission for Labor Cooperation (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 Women Canada Report, Catalogue No. SW21-113/2004, August 2004.

BOOK REVIEWS:

“Book review: Bertil Ohlin: A Centennial Celebration,” Journal of International Trade and Economic Development 12:3, September 2003, 316-18.

TEACHING-RELATED PUBLICATIONS:

Principles of Macroeconomics: First Canadian Edition, Chapters 16 (“International Trade and Capital Flows”) and 17 (“Exchange Rates and the Open Economy”), co-authored with Robert Frank, Ben Bernanke, Melvin Cross, Brian MacLean, and Lars Osberg, McGraw-Hill Ryerson, 2002.

Instructor’s Manual to Accompany Frank, Bernanke, Cross, MacLean, and Osberg, Principles of Microeconomics: 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, Kimberly Ann Elliott, and Elizabeth Winston), Institute for International Economics Report, 1997.

WORKING PAPERS:

“Why Do National Borders Matter? Industry-Level Evidence,” [September 2004].

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“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 Economics Working 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 Care Sector, 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 Economics Association Annual Conference, Vancouver, June 6, 2008.

“Wage, Employment, and Gender Effects of Vietnam’s Transition to a Market Economy,” Atlantic Canada Economics 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,” Canadian Economics 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 Annual Conference, 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 Feminist Economics Annual Conference, Oxford, August 7, 2004.

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“Is Globalization Good for Women? Evidence from Vietnam,” Canadian Economics Association Annual Conference, Toronto, June 5, 2004.

Discussant, Institute for Research on Public Policy Conference on “Thinking North America: Prospects and 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, May 31, 2002.

Discussant, Policy Research Initiative Conference on “[email protected],” 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 Association Annual 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 Annual Conference, 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 Economic Association Annual Conference, San Francisco, California, July 1, 1996.

SEMINARS AND INVITED LECTURES:

“Trade Agreements, the Health-Care Sector, and Women’s Health” presented at:

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• 6th 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 the 1990s” 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 “Popular Profs.” Nominated for Dalhousie University Faculty of Science Teaching Award, 2004. Nominated for Dalhousie University Faculty of Science Teaching Award, 2003.

AFFILIATIONS:

American Economic Association Canadian Economics Association

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Canadian Women Economists Network

PROFESSIONAL SERVICE:

Referee for: American Economic Review B.E. Journals in Economic Analysis and Policy Emerging Markets Finance and Trade Global Economy Journal Journal of Development Economics Journal of International Economics Journal of International Trade and Economic Development Canadian Journal of Economics Economic Systems Journal of Economic Education International Economic Journal B.E. Journals in Economic Analysis & Policy

Baltic Economic Management Training Program Instructor – 1999 Major Training Course, Canada. Instructor – 1998 Major Training Course, Canada.

Canada-Ukraine-Baltic Economic Management Training Program Instructor – 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 the House Standing Committee on Foreign Affairs and International Trade, Halifax, February 26, 2002.

Canadian Women Economists Network President, 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–.

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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 2008

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Curriculum Vitae January, 2008

Name: Iraj Fooladi

Address: School of Business Administration Kenneth C. Rowe Management Building Dalhousie University

A. ACADEMIC AND PROFESSIONAL QUALIFICATIONS:

Education:

Ph.D. University of Oregon 1981 M.S. Economics, University of Oregon 1981 M.A. Economics, University of Tehran, Iran 1976 B.S. Economics, National University of Iran 1970

Fields of Specialization and Research Interests:

Financial Management/Corporate Finance Investment/Portfolio Management Financial Institutions Risk and Uncertainty

B. WORK EXPERIENCE:

Main Academic Positions

1997 – Present The Douglas C. Mackay Chair in Finance, School of Business Administration, Dalhousie University

1986-2004 Area Co-ordinator, Finance Area Group

1991 - 1997 Professor of Finance, School of Business Administration, Dalhousie University

1986-1991 Associate Professor of Finance, School of Business Administration, Dalhousie University

1982-1986 Assistant Professor of Finance, School of Business Administration, Dalhousie University

1981-1982 Assistant Professor of Economics, Department of Economics, University of Oregon

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Visiting and honorary Positions / Other Relevant Experience

2007 – 2008 President, Administrative Sciences Association of Canada.

2007 – 2008 President Elect, Administrative Sciences Association of Canada and the 2008 ASAC Conference Chair.

Fall 2007 Visiting professor, Department of Finance, Carroll School of Management, Boston College.

Winter 2004 Visiting professor, Department of Finance, Carroll School of Management, Boston College.

2000 - 2001 Visiting professor, Department of Finance, DePaul University.

Summer 1995 Visiting China in order to teach the corporate executives in three cities of Xiamen, Haikou, and Shenzhen

Spring 1994 Visiting Position at Victoria University of Wellington, Wellington, New Zealand; Research and teaching in Investment.

Winter 1994 Visiting Position at University of the Philippines, Manila, Philippines; Research and teaching at the "Doctoral Program for the South East Asia".

Fall 1993 Visiting Position at Victoria University of Wellington, Wellington, New Zealand; Research and teaching in Capital Budgeting.

Spring 1990 Taught an Executive MBA Course in Corporate Finance, University of West Indies, Kingston, Jamaica

1989-1990 Associate professor of Finance, College of Business Administration, The Pennsylvania 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 of prediction models for U.S. timber product import.

Summer 1979 Econometrician (Consultant), Oregon Department of Energy, working on 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 of agricultural products. Conducted feasibility studies for various agricultural projects. Drafted large sections of the Bank's annual report.

1970-1972 Instructor, mathematics, Iranian Air Force School.

Consulting

Consulted the Ontario Council of Graduate Studies in evaluating two proposed Master Programs (Master of Finance and MSc. In management) at the WLU, June 2007.

Consulted the New Zealand government (Debt Management Office, Treasury) in Measuring the Sensitivity of its assets to interest rate shocks, January - July 1993. 213

Frequently consulted Canadian Corporations (mainly in Nova Scotia) on their capital budgeting decisions via students' projects from 1984 to 1996 (averaging 7-8 cases per year). Information on these cases is available upon request

Frequently 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 Finance programs of the Saudi Arabian Monetary Agency (SAMA) through their Institute of Bankers.

Occasionally Consulting Canadian Companies on their Investment Strategies (Recent example; Maritime Life)

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, 1989

Best 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 undergraduate degrees,1960 - 1970.

Research Grant:

Social Science and Humanities Research Council of Canada, “Three-Year Publication Grant” With Mary Brooks, November 2004 ($70,826)

Social Science and Humanities Research Council of Canada, “Three-Year Publication Grant” With Philip Rosson, March 2002 ($61,774)

Dalhousie University School of Business Research Funds, Duration Strategies and Risk Management of Government Organizations, 1999 ($3500)

Social Science and Humanities Research Council of Canada, "Duration Matching Techniques and stochastic models of decision making " April 1998 ($31,700)

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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 and Economic 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 by the Recent Economic Developments, 1992 ($2,200)

Canadian International Development Agency, Special Economic Zone, the Case of Xiamen. May and June of 1992 ($8,851).

Social Science and Humanities Research Council of Canada, "How Financial Markets and Economic Agents 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" (with G. 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 Response of 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 Reaction to Dividend Announcement: An event Study," Awarded November 1986 ($1,850).

Canadian Life and Health Insurance Association Inc., "Risk Management and Insurance," Awarded August 1986 ($5,000).

Social Science and Humanities Research Council of Canada, "The Response of Preferred Shares to Unexpected 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 VAX Research Computer Systems", an Equipment Grant with Michael Dempster (Main Investigator) and 11 investigators 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).

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Canada Council, Dalhousie University Research Development Funds "Preferred Shareholders and Dividend Announcements," Awarded September 1985 ($1,550).

Canada Council, Dalhousie University Research Development Funds, "On Modern Portfolio Theory with Call Writing as a Substitute for Short Selling," Awarded 1984 ($750).

Forestry Department of Oregon, "Prediction Models of U.S. Timber Product Imports," (with Ronald Ripple, $5,000).

Agricultural Development Bank of Iran, a grant for joining a workshop on "Small Scale Industry Financing," S.I.E.T. Institute, India (about $12,000).

D. PROFESSIONAL ACTIVITIES AND SERVICES:

Editorial Activities

Co-editor, Canadian Journal of Administrative Sciences, Jan. 2000 – Dec. 2005.

Associate Editor, Journal of Applied Finance, 2002 - present

Associate Editor, Studies in Economics and Finance, 2000 - present

Editorial Board member, Workplace Review, 2006 - present

Guest 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 Review Journal of Banking and Finance Journal of Financial and Quantitative Analysis Journal of Financial Research Financial Management Financial Practice and Education Financial Review Journal of Applied Finance Journal of Business Finance and Accounting Canadian Journal of Administrative Sciences Social Sciences and Humanities Research Council of Canada Natural Sciences and Engineering Research Council of Canada Administrative Sciences Association of Canada Atlantic Schools of Business Conference Proceedings

Professional Associations:

American Finance Association Financial Management Association European Finance Association European Financial Management Association 216

Western Economic Association Atlantic Economic Association Administrative Sciences Association of Canada North American Economics and Finance Association

Organizing Programs/Conferences

Program Track Chair, Investment Track. Midwest Finance Association, 2009, Chicago.

Program Chair “51stth Annual Conference of the Administrative Sciences Association of Canada,” May 2008, Halifax, Canada.

Member, Program Committee on the “12th Annual Conference of the Global Finance Association,” June 2005, Dublin, Ireland.

Member, Program Committee on the “11th Annual Conference of the Global Finance Association,” April 2004, Las Vegas.

Member, The Program Committee of the 2002 annual “Finance Management Association Europe Meetings.”

Member, The Organizing Committee of the 2000 annual “Midwestern Finance Association Meetings.”

Member, The Executive Committee of the “Seventh Annual Global Finance Conference”, April 19-22, 2000, Chicago

Member of the adjudicating for the best paper award at the “Seventh Annual Global Finance Conference”, April 19-22, 2000, Chicago

Member, Program Committee on the “1998 Annual Meetings of the Mid-West Finance Association.”

Canadian Representative of the Financial Management Association’s International Student Chapter Committee. 1997 – 2000.

Member, Program Committee On the “1997 Annual Conference of the Global Finance Association,” Montreal.

Member, Program Committee on the “1993 Annual Conference of the Financial Management Association,” 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 of Administrative Science Association of Canada.

Program Chair and Editor of the Conference Proceedings (Finance Section) for 1985 Atlantic School 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 In financial 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, York University. The dissertation title: “Three Essays on Defaultable Fixed-Income Securities.”

1998: MSc. Member of the Dissertation Committee (the Outside Reader) for Mr. James Atsu Amegashie, Dalhousie University. The dissertation Title: “The Efficiency Implications of Shortlisting 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 Trading Halts Using Intraday Data.”

1987: MSc. Member of the Dissertation Committee (the outside reader) for Mr. Perry Smith, Dalhousie University. The dissertation Title: “An Assesment of Portfolio Insurance in 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 - 1993 218

- Chairman, Graduate Curriculum Committee 1990 - 1992 (during 1990-91 academic year, this Committee was in charge for a major revision in the MBA Curriculum Committee, implementation effective 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 Publications

Papers: “Complexity of information and trading behavior: The case of dividend increase announcements” with Fatemi, 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 International Journal of Finance, 2006, 18, 2, pp. 3935 - 3952.

“Globalization and Portfolio Risk over Time: The Role of Exchange Rate” with John Rumsey, Review of FinancialEconomics, 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 Applied Finance, 2004, 14, 1, 11-19.

“Is Entrepreneurship Only About Entering A New Business” with Nargess Kayhani, The Journal of Entrepreneurial Finance & Business Ventures, leading article, 2003, 8, 2, 1-11.

“Is Exchange Rate Volatility a Deterrent To International Diversification,” with John Rumsey, Journal of Applied Finance, 2002, 12, 2, 7-13.

“Emerging Markets and Financing with Preferred Stocks: The Case of Pacific Rim Countries," Journal of Managerial 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, 26:3 2000, 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 and Finance, 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 Investment Review, 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 Financial Review, 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, a chapter in Selected Reviews in 10 Management Disciplines, ASAC, 1989. 220

"Dividend Reinvestment Plan in Canada - A Survey," with Cecil Dipchand, the Journal of Cost and Management, September-October 1984.

Refereed Conference Proceedings:

“Real and Nominal Duration: A Multi-dimension Hedging Strategy,” in Proceeding of the 36th Annual ASAC Conference, Halifax, Nova Scotia, May 24 – 27, 2008.

“The Relative Valuation of Socially Responsible Firms: An Explanatory Study,” with Ali Fatemi and David Wheeler, an abstract in Critical Perspective on Health, Climate Change and Corporate responsibility, Proceedings of the 13th Annual International Sustainable Development Research Conference, June 10 – 12, 2007.

“How do Shares of Canadian Multinationals Perform Compared To Those of Their Domestic Counterparts,” with Ali Fatemi, in Shifting Business Practice and Paradigms, proceedings of the 35th 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: The Canadian Case”, with Ramon Baltazar and Michael Santos, in Navigating the Global Tides of Changes: Global Business in the New Century, proceedings of the 33rd Atlantic Schools of Business Conference, Dartmouth, Nova Scotia, October 2003.

“What Should We Tell Our Students About International Diversification And Exchange Rate Volatilities,” with John Rumsey, 2001 Atlantic Schools of Business Conference, Halifax.

"Does Preferred Share Have a Role in Financing Projects in Emerging Markets" with A. Fatemi and N. Kayhani, in A Management Odyssée, Proceedings of the Annual Meeting of the Administrative 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" with C. Dipchand and J. Osteryoung in University and Community: The Role of Business Schools in Creating Jobs, 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, in Proceedings 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 Co- operation to Ensure Prosperity for Atlantic Canada: Business, Government, and the University Conference Proceeding of the 20th Annual A.S.B.C., November 1990.

"Bond Portfolio Immunization: Canadian Tests," with Gordon Roberts, Conference Proceedings of 17th Annual Meeting of the European Finance Association, August 1990, Athens. Also an earlier version was presented at the ASAC in 1987.

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"An Anatomy of Bond Returns," with G.S. Roberts, Service Industries: Focusing on 80% of Atlantic Canada'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, Conference Proceedings of the ASAC, May 1985.

"On Preferred Stocks", with Gordon Roberts, Issue and Challenges For Atlantic Business in 1990's: How Can 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 and Challenges For Atlantic Business in 1990's: How Can Business Schools Contribute? Conference Proceedings of the fifteenth annual A.S.B.C., 1985.

"A Note on Increasing Risk & Its Effect on Choice," Atlantic Canada Resources Management: Issues and Answers, 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 of Bankers, 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) Program

Iraj J. Fooladi, Advanced Corporate Finance, third edition, Henson College, Dalhousie University, 2002, for the bankers registered in the MBA (Financial Services) Program

Iraj J. Fooladi, Advanced Corporate Finance, second edition, Henson College, Dalhousie University, 2000, for the bankers registered in the MBA (Financial Services) Program

Iraj J. Fooladi and Gordon S. Roberts, Financial Risk Assessment and exposure, 1999 222

Iraj J. Fooladi, Advanced Corporate Finance, first edition, Henson College, Dalhousie University, 1997, for the bankers registered in the MBA (Financial Services) Program

Iraj J. Fooladi, Finance, Manual for Using at CCMEP Executive Workshop in China, July 1995

Bierwag, 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 Schools Contribute?, 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 Department of Oregon, 1980.

"A Demand Projection for Major Foods in Iran by the End of the Sixth Plan." Master's Thesis, University of 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, ISFA Digest, 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 of ADBI, 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 of ADBI, 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 Canadian edition, reviewed for McGraw-Hill-Irwin, Inc.

1999 “Investments: Analysis and Management.” First Canadian Edition, 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, and Marcus, “Fundamentals of Corporate Finance.” First Canadian edition, McGraw-Hill Ryerson Limited, 1996 with: Ross, Westerfield, Jordan, and Roberts, “Fundamentals of Corporate Finance” Second Canadian edition, Irwin, 1996. The purpose of this review was to assist the publisher in deciding which of the two books should be revised and kept in 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 to assist the publisher in deciding which of the two books should be revised and 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 Corporate Finance” Second Canadian edition, Irwin.

1995 S. Ross, R. Westerfield, B. Jordan, and G. Roberts, "Corporate Finance" 1St Canadian edition, reviewed for Irwin, Inc.

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1992 Brealey, Myers, Sick and Giammarino, “Principles of Corporate Finance.” Second Canadian edition, McGraw-Hill Ryerson Limited.

1991 Brigham E., Kahl A., Rentz W., and Gapenski, "Canadian Financial Management" 3rd edition, reviewed for Holt, Rinehart and Winston of Canada, Limited.

1988 Books and Course materials used for Managerial Finance Course for the Advanced Management Center, Dalhousie University.

1987 Books and materials used for a correspondence course in Economics for the Advanced Management 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 Gerry

Bierwag, Dean of researchers in duration analysis at the 2005 annual meeting of the

Financial Management Association in Chicago, October, 2005.

Moderator: George G. Kaufman

Panelists:

George G. Kaufman

Iraj J. Fooladi

Lawrence Fisher

Gordon Roberts

2001 “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 of Finance Seminar Series, Chicago. 225

“A Non Optimising Economics and Finance Model,” DePaul University, Department of Finance Seminar Series, Chicago.

“Macro-hedging With Duration: Complication of Convexity and Default Risk,” Dalhousie University, 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, Halifax

1997 Gave a workshop on “Risk Management” for the visitors from the Baltic countries, Dalhousie University, Halifax.

1994 “An Investment Seminar,” Victoria University of Wellington, Wellington, New Zealand.

“Bond Portfolio Strategies,” University of the Philippines, Diliman, Philippines.

“Duration Analysis and Immunization Strategies,” DeLasal University, Manila, Philippines.

Presentations

2008 Presentation on SRI funds, the annual meetings of the Academy of International Business, 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,” 2008th annual meetings of ASAC, May 25, 2008.

2007 Organized (jointly with Ali Fatemi of Depaul University ) a symposium on “Sustainable Value Creation” and was a panelist in the symposium at the 2007 FMA Annual Meetings, October 2007, Orlando, Florida.

Presentation on Corporate Social Responsibility, the annual meetings of the Northern Finance Association, Toronto, September 28 – 30, 2007

“The Performance of Socially Responsible Investments,” with Ali Fatemi and David Wheeler, the 13th Annual International Sustainable Development Research Conference, June 10 – 12, 2007.

“Interest rate Risk of Inflation Adjusted Instruments,” 2007 annual meeting of the Financial management Europe, Barcelona, Spain, May - June 2007.

2006 “Domestic Elasticity of Default-Free Bonds,” with G. Jacoby, G. S. Roberts, and Z. Wiener, 2006 annual meeting of the Financial management Europe, Stockholm, Sweden, June 2006.

2005 “International Diversification and Portfolio Risk,” with John Rumsey, the annual meeting of Canadian Operations Research Society Conference, Halifax, Nova Scotia, May 2005.

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“Risk-adjusted Duration for Foreign Bonds,” with Gady Jacoby and Gordon Roberts, 12th annual meeting 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 in

Chicago, October, 2005.

2004 “Imperfect Markets or Imperfect Participants: The Case of Dividend Announcements,” with Sanjay Deshmukh and Ali Fatemi, 2004 annual meeting of the Global Finance Association, Los Vegas, April 2004.

2003 “Why Does Diversification Internationally Still Have Value” with John Rumsey, North American Economics and Finance Association Meeting in Washington D.C., January 2003.

“Who Is Responsible For Sub-optimal Decision? Imperfect Markets or Imperfect Participants,” with Sanjay Deshmukh and Ali Fatemi, 2003 annual meeting of the Financial management Europe, Dublin, Ireland, June 2003.

“Is Entrepreneurship Only About Entering A Business” with Nargess Kayhani and Ali Fatemi, Academy of Entrepreneurial Finance, the 14th international conference, May 2003, Chicago

2002 “Why Does Diversification Internationally Still Have Value” with John Rumsey, Financial Management Association European Meeting, Copenhagen, June 2002. Also, at Financial Management Association Meeting in San Antonio, October 2002.

“Real Options, Behavioral Models, and Exit/Entry Into Competitive Industries,” With Nargess Kayhani, Financial Management Association European Meeting, Copenhagen, June 2002.

2001 "Why Does Diversification Internationally Still Have Value" with John Rumsey, Northern Finance Association Meetings, Halifax.

“Emerging Markets and Financing with Preferred Stocks: The Case of Pacific Rim Countries,,” with A Fatemi and N Kayhani, the 14th 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 and Gordon S. Roberts, the 2000 annual meetings of the Global Finance Association. Also presented at the 2000 annual meetings of the European Financial Management Association, Athens.

“ Macro Hedging with Duration: Complications of Convexity and Default Risk,” with Gordon

Roberts. The 2000 North American Economics and Finance Association meetings, Boston, January 2000 and the

13th Australian Finance and Banking Conference, Sydney, December 2000. Also, an earlier version was presented at

the 1999 annual meetings of the Financial Management Association in Orlando.

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“Issues Arising in Using Duration Analysis in Risk Management for Public Sector,” with Gerald

O. Bierwag and Gordon S. Roberts, scheduled to be presented at the 2000 annual meetings of the Financial

Management Association, Seattle.

“Balance Sheet Risk Management,” with Gordon Roberts, presented at the 2000 annual meetings

of the Administrative Sciences Association of Canada, Montreal, Canada.

1999 "Real Option Pricing, and Exit/Entry Into Competitive Industries," With Nargess Kayhani. European Financial

Management 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 Financial Management meetings, Lisbon Portugal. This paper was also presented at the 1998 annual meetings of the Northern Finance Association

"Option Pricing, Behavioral Models, and Exit/Entry Into Competitive Industries," With Nargess Kayhani, the annual meeting of the Global Finance Association, Mexico City, Mexico.

1997 “Duration Analysis and its Applications: A Review,” with Gordon Roberts, European Financial Management meetings, Istanbul, Turkey. Also, presented at the annual meeting of the Global Finance 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 were presented at the 1994 Atlantic Canada Economic Association Meeting in Halifax and at 31st International 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 21st Financial Management Association Annual Meeting, Chicago.

1993 "Duration for Bonds with Default Risk," with G.S. Roberts and F. Skinner, 23rd Financial Management Association Annual Meeting, Toronto. Also, an earlier version presented at the 1993 Annual Meeting of the Northern Finance Association, Halifax.

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1991 "Entry into Competitive Industries: More Evidence in Support of Heiner's Model," with N. Kayhani, 31st 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 of the Eastern Finance Association, Baltimore.

"An Investigation into what Causes a Greater Rate of Bankruptcies in Canada over the United States," 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 of Financial Management Association, New York.

"On Preferred Stocks issued by Unregulated Firms in Different Countries," 1986 NAEFA Annual Meeting, New Orleans.

1985 "Application of the Properties of the Covariance of the Monotone Functions to the Firm's Behaviour 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 Management Association, 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, 54th Annual 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 Prices are Uncertain," 1981 best graduate student paper awarded by Western Economic Association, San Francisco (International).

Other Communications at Refereed Conferences

Financial Management Association European Meetings; Discussant, The 2007 Meltdown in Structured Securitization: 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 Responsible Investment, Prague, Czech Republic, June 2008. 229

Financial Management Association European Meetings; Chairperson, Session [038] – Portfolio Management Strategies, Prague, Czech Republic, June 2008.

2008 annual meetings of the Administrative Sciences Association of Canada; Discussant, Market Valuation of 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.

13th Annual Sustainable Development research Conference, Discussant, Portfolio Performance and Environmental Risk, Vasteras, Sweden, June 2007.

Financial Management Association European Meetings; Discussant, What Drives Provincial-Canada Yield Spread? Barcelona, Spain, May 2007.

Financial Management Association European Meetings; Chairperson, Session [044] – Money and Capital Markets, 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 Bond Market, Stockholm, Sweden, June 2006.

Financial Management Association European Meetings; Chairperson, Session [010] – Issues in Global Markets, Siena, Italy, June 2005.

Financial Management Association European Meetings; Discussant, Exchange Rate Fluctuations and Cross-Market Correlations in International Stock Markets, Siena, Italy, June 2005.

North American Economics and Finance Association Meetings: Discussant – Performance of Closed-end Funds, January 2005, Philadelphia.

Financial Management Association European Meetings; Discussant, Session [16] -- Issues in International Debt, 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.

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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, 1999

Financial Management Association Meetings; Chair, Session [162] -- Issues in Capital Structure, Orlando, 1999

European 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 1998

European Financial Management Association; Discussant, Session [011]—Corporate Risk management -- Lisbon, June 1998.

Global Finance Association; Chair, Session [14]—Currency Exchange Issues – Mexico City, Mexico, May 1998.

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 Asset Allocation-- Maastricht, July 1994.

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European Financial Management Association; Discussant, Session [A2]-- Term Structure of Interest Rates and 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 Dividend Policies --Montreal, 1989.

FMA; Discussant, Session (023) -- Bond Ratings -- New Orleans, 1988.

European Finance Association; Discussant, Session [3A] -- Risk Aversion (two papers) -- Istanbul, Turkey 1988.

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.

References:

Available upon request

232

Gregory M. Hebb

Professor of Finance School of Business Administration Dalhousie University Halifax, Nova Scotia Canada

Education Mays School of Business, Texas A&M University Ph.D. Finance 1999 Thesis Supervisor – Donald R. Fraser

Graduate School of Arts, Dalhousie University MA Economics 1995

College of Business, Queen’s University M.B.A. Concentration in Finance 1993

School of Arts & Sciences, McGill University B.A. Economics 1991

Employment Professor of Finance 2008-present Dalhousie University, Halifax, Nova Scotia

Director, Centre for International Trade 2006 – present and Transportation Dalhousie University, Halifax, Nova Scotia

Associate Professor of Finance, Dalhousie University, Halifax, Nova Scotia 2002 – 2008

Assistant Professor of Finance, Saint Mary’s University, Halifax, Nova Scotia 1999-2002

Director of Finance,

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Ambassatours Ltd., Halifax, Nova Scotia 1993-1994 Professional Education Professional Financial Planners Course (2002) Canadian Securities Course (2000) – with honours

Honors and Awards Faculty of Management Excellence in Teaching Award - 2006 Best Paper Award – 2000 ASAC conference Dean’s Award for Outstanding Teaching by a Doctoral Student. 1997-1998 Texas A&M University Regents Fellowship Queen’s University Dean’s List D.I. McLeod Progression Award (Queen’s University) D.I. McLeod Entrance Scholarship (Queen’s University) Faculty Scholar (McGill University)

Refereed Publications Hebb, 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 on Financial 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 American Business Review, Volume 6, Issue 1, 2005, 115-123

Hebb, G. and G. MacKinnon, “Uncertainty and IPO’s: Investment Bank vs. Commercial Bank Underwriters”, Journal Economics and Finance Spring 2004 Volume 28, no.1, 68-87. - On SSRN’s top 10 most downloaded papers in Banking and Financial Institutions April 2001

Hebb, G. and D.R. Fraser, “Conflict of Interest in Commercial Bank Security Underwritings: United Kingdom Evidence”, Quarterly Journal of Business and Economics Winter/Spring 2003, Volume 42, 79-95. also Center for International Business Studies Working Paper DP-190

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Cleary, Sean, G. Hebb, and G. MacKinnon, “The Risk-Adjusted Performance of Closed-End Funds and the Impact 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 Financial Review, May 2002, Volume 37, 185-206.

Biswas, R., D.R. Fraser, & G. Hebb, “On the Shareholder Wealth Effects of Deposit Insurance Premium Revisions on Large Publicly Traded Commercial Banks”, Journal of Financial Research, Summer 2000, Volume XXIII, No. 2, 223-241. Non-Refereed Publications

“Future of Financial Services: Perspectives from the 17th World Conference of Banking Institutes”: 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 for International Business Studies Working Paper #193

Working 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 Empirical Examination 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” (With D. Fraser) – Preceeding of the 2000 ASAC conference

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“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-Issue Performance Evidence” (with D.Fraser) – Preceeding of the 2000 Atlantic Schools of Business Conference

Presentations at Refereed Conferences

“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-Issue Performance 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 Empirical Examination 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” (With H. 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.

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“ 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 Excellence Colloquium, May 2007

“The Future of Financial Services” - 17th 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, October 2004.

“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.

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“Conflict of Interest in Commercial Bank Security Underwritings: Canadian Post-Issue Performance 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, March 2000.

“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 Attended

Northern Finance Association - Vancouver, September 2005

Financial Management Association Conference - New Orleans, October 2004

Conference on Challenges and Opportunities in Global Asset Management - McGill University, June 2003

Professional Service

Dalhousie 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 in Commerce 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 in Finance 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 Specialist program

External 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 Canada Meetings, 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 2001 Administrative 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 6th Ed. (Lusztig, Cleary, and Schwab) - Reviewer for Canadian Financial Management 4th Ed. (Davis & Pinches) - Reviewer for Financial Institutions Management 3/e preliminary (Saunders & Thomas) - Ad Hoc reviewer for Journal of Banking and Finance, Quarterly Journal of Business & Economics, Contemporary Economic Policy, and International Management.

Research Grants

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- National Research Program in Financial Services and Public Policy (with R. Nason), 2003 $57,400

- Research Development Fund for the Humanities and Social Sciences Dalhousie 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 $2,000

Teaching Experience Dalhousie 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,

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Sessional Instructor, 1996-1999 - Courses taught: - Finc 341 – Business Finance - Finc 460 – Money & Capital Markets

Visiting 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 & Acquisitions

Other Professional Teaching - Taught several executive education seminars with John Groth of Texas A&M University on Capital Investment Analysis. These seminars have 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 Saint Mary’s University

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CURRICULUM VITA

Lee Li

CURRENT POSITION 2003 to present Associate Professor School of Administrative Studies York University Canada

DEGREES 1995 Doctor of Philosophy in Marketing, Lancaster University, United Kingdom

1991 Master of Business Administration, Lancaster University, United Kingdom

EMPLOYMENT HISTROY 2003-2004 Associate Professor Undergraduate Program Director Co-ordinator of Marketing Area School of Administrative Studies York University Canada

2000-2003

Assistant Professor Co-ordinator of Marketing Area School of Administrative Studies York University Canada

1998-1999

Assistant Professor, Department of Management and Marketing School of Business University College of the Cariboo, Canada

1995-1998 Export Manager Robert Fletcher Ltd - 242 -

Oldham, UK SCHOLARLY AND PROFESSIONAL ACTIVIITES

Awards 2008 York University YUFA Merit Award 2007 York University YUFA Merit Award 2004 York University YUFA Merit Award

Books: 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 Articles With Qian, G., Li, J. and Qian, Z. “Regional Diversification and Firm Performance,” Journal of International Business Studies. Vol. 39 No. 2. PP 197- 214, 2008.

With Qian, G. and Qian, Z. “Product diversification, multinationality, and country involvement: what is the optimal combination?” Journal of Global Marketing, Vol. 20 No. 4 pp 5-23, 2007.

With Qian, G. “Profitability of small and medium sized enterprises in high- tech industries: The case of biotechnology industry”. Strategic Management Journal, Vol. 24, pp.881-887, 2003.

With Qian, G. “Technology industry success: Strategic options for small and 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-velocity environments”, Industrial Marketing Management, Vol. 31 No 6, pp.505- 514, 2002.

With Ng. P. “Market exchanges, hierarchical exchanges or relational exchanges in export channels into emerging markets”, International Business Review, Vol. 11, pp, 707-723, 2002.

All Refereed Journal Articles

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1. With Qian, G. “Which factors matter? A study of the cost advantage sustainability of Chinese firms in labor-intensive industries”, Journal of General Management, Vol. 34, No. 4, 2009.

2. With Qian, G. “Partnership or self-reliance entry modes: Large and small technology-based enterprises' strategies in overseas markets”, Journal of International Entrepreneurship Vol. 6 No. 4, pp.188-208, 2008.

3. With Qian, G. “Partnership or self-reliance: The strategy for small high-tech firms to enter overseas markets”. Journal of Business Strategy (forthcoming).

4. With Qian, G., Li, J. and Qian, Z. “Regional Diversification and Firm Performance,” Journal of International Business Studies. Vol. 39 No. 2. PP 197- 214, 2008.

5. With Qian, G. “Partnerships or self-reliance: Prescription for small and medium size enterprise”, Journal of Business Strategy. Vol. 28 No.6, pp29-33, 2007.

6. With Qian, G. and Qian, Z. “Product diversification, multinationality, and country involvement: what is the optimal combination?” Journal of Global Marketing, 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 Organizational Excellence. Vol. 26 No 5, pp 57-72, 2007.

8. With Qian, G. and Gaber, B. “Sustainability of cost advantage: Chinese enterprises’ success secret in labor-intensive industries”, Journal of Business Strategy. Vol. 28 No. 3, 47-62, 2007.

9. With Qian, G. and Ng, P. “Capability sequencing: Strategies by township and village enterprises in China”, Journal of Small Business and Enterprise Development. Vol.12 No.2, pp.34-42, 2006.

10. With Qian, G. “Dimensions of international diversification: Their joint effects on firm performance”, Journal of Global Marketing, Vol.18 No.3/4, pp.7-35, 2005.

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11. “Internet technology’s impacts on export channel structure”. Thunderbird International Business Review, 46(4), pp 443-463, 2004.

12. “What have happened to export intermediaries?” Journal of International Technology and Information Management, Vol. 12 (2), pp 41-52, 2003.

13. “Determinants of export channel intensity in emerging markets: The British experience in China”. Asia Pacific Journal of Management, Vol. 20 No. 4, pp501- 516, 2003.

14. “Synergies between export channels in the mature and emerging markets: An exploratory investigation”. Thunderbird International Business Review, Vol.45 No 5, pp567-585, 2003.

15. “Joint effects of factors affecting exchanges between exporters and their foreign intermediaries: an exploratory study”. Journal of Business and Industrial Marketing, 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 and medium-sized technology based enterprises in overseas markets”. International Journal 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-tech industries: 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 and medium 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 relational exchanges in export channels into emerging markets”, International Business Review, Vol. 11, pp, 707-723, 2002.

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23. With Ng, P. “Dynamics of export channel relationship in high-velocity environments”, 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 Marketing Management, Vol. 1, pp. 35-47, 1999.

Conference Proceedings

Qian, G. Khoury, T. and Li, L. (2008)."Resource combinations behind entrepreneurial internationalization”. 2008 Academy of Management Meeting, Anaheim, California.

Li, L and Qian, G. (2008). “Interactive effects of multinationality and country involvement 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 new technology SMEs in overseas markets”. ASAC, Ottawa, Canada.

Li, and Qian, G. (2007). “Who should export? A study of small- and medium-sized firms”. Oxford Business and Economic Conference, Oxford, England.

Li, and Qian, G. (2006). “Do organizational resources matter?” Proceedings of 2006 Annual AIB (Academy of International Business) Conference, Beijing, China.

Li, L., and Lu, I. (2005). “Dynamics of firm resource bundles: A study of the shoe- making industry in Asia”. 15th 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 sized enterprises in high-tech industries”. 15th International Conference on Pacific Rim -management, (ACME 2005), San Diego, USA.

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TEACHING

Courses Taught

Advanced 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 Development

International Marketing – Developed a new course based on foreign direct investment theory (FDI), OLI theory, and transaction cost theory (University College of the Cariboo).

Business to Business Marketing – Restructured the course to bring in all new materials and to add greater emphasis on organizational behaviours (University College of the Cariboo).

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SERVICE

Administrative 2003-2004 Undergraduate Program Director, School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2000-2004 Marketing Area Co-ordinator, School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

Faculty Committees 2003-2004 Member of Tenure and Promotion Committee School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2003-2004 Member of Research Committee School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2003-2004 Member of Hiring Committee School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2003 Member of MIS Hiring Committee School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2002 Curriculum Committee on Program Reform School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2002 Member of Hiring Committee School of Administrative Studies JE Atkinson Faculty of Liberal and Professional Studies York University

2000-2002 Member of Panel Hearing JE Atkinson Faculty of Liberal and Professional Studies York University

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2000-2002 Member of the Committee on Examination and Academic Standards JE Atkinson Faculty of Liberal and Professional Studies York University

2001 Member of New Faculty Panel Summer Institute for New Faculty Teaching York University

Academic reviewer 2008 Ad hoc Academic Reviewer Management International Review

2007 Ad hoc Academic Reviewer International Business Review

2006 Ad hoc Academic Reviewer Thunderbird International Business Review

2005 Ad hoc Academic Reviewer Journal of International Business Studies

2003 Ad hoc Academic Reviewer Academy of Management Journal

2003 Ad hoc Academic Reviewer Journal of International Marketing Review

2002 Ad hoc Academic Reviewer Journal of Business Venturing

2002 Academic Reviewer Industrial Management and Data Systems

2002 Academic Reviewer ACME 2003 March Conference in Seattle, USA

2001 Academic Reviewer Asia Pacific Journal of Management

2001 Academic Reviewer British Journal of Management

2001 Academic Reviewer 31st Atlantic Schools of Business Conference.

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Curriculum Vitae

LEONARD C. MACLEAN

Education:

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., Mathematics Bachelors Thesis: “Number Theory”

Relevant Experience:

Current Herbert Lamb Chair in Business, School of Business Administration, Dalhousie University

Professor, Dept of Community Health and Epidemiology

Teaching: graduate and undergraduate statistics; operations management.

Research: investigating the properties of stochastic, dynamic models for operating systems in finance, health and aviation. Of particular interest is in the risk, in terms of operating status, associated with control decisions.

Director of Research, CanMac Economics, Halifax, NS Participate in a variety of contract studies for public and private organizations.

June,2008 – Visiting Professor, Department of Mathematics and Statistics, July, 2008 University of Bergamo, Bergamo, Italy Taught course “Topics in Quantitative Finance” to PhD students

Apr, 2004 – Visiting Fellow, Judge Institute of Management Studies July, 2004 Cambridge University, UK Taught course “Investments” to MBA students

1999, 2000 Visiting Professor, Royal Roads University, Victoria, BC

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(June) Taught a concentrated course in Operations Management to undergraduate business students.

1995-1997 Visiting Professor, Faculty of Commerce and Business Administration, UBC. On leave from Dalhousie University. Working with Dr. W.T. Ziemba (UBC) and Dr. A. Richman (AlgoPlus), I successfully regenerated my research program in stochastic systems, after serving as Director of the School 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 NS was under review, with a goal of rationalization. It was proposed that the Dalhousie School of Business Administration be transferred to St. Mary’s University. Through the involvement of stakeholders, this rationalization was avoided. In the process, we developed successful program initiatives such as the B. Comm. (Co-op), the minors in 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 not approving any new programs at that time, approval of the proposal by Dalhousie was deferred.

1984-1985 Director of Health Services Research Unit, Department of Community Health and Epidemiology, Dalhousie University. Worked with a small group (M. Brown, P. Ruderman, & L. MacLean) on health 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. Ziemba on capital growth models in finance.

1982 Visiting Professor, Department of Business Studies, University of Zimbabwe, Harare, Zimbabwe. On secondment to the University of Zimbabwe, with funding from CIDA. Dalhousie subsequently 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, Simon Fraser University, Burnaby, BC. Spent the summer term working with Dr. L. Weldon on statistical estimation problems.

1972 –1975 National Health Fellow, Department of Preventive Medicine, Dalhousie University. Supported by a grant from National Health and Welfare, I studied and carried out research into health services in Nova Scotia.

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Teaching I have successfully taught statistics and operations in a variety of programs and institutions. In 1989, I was selected as Professor of the Year by MBA students. My usual teaching load is 5 classes, with approximately 250 students in total. I have taught the following classes over the past decade.

I Undergraduate Commerce Statistics for Business and Economics I and II Operations Research Operations and Logistics Management

II Undergraduate Mathematics Introduction to Statistics

III Undergraduate Medicine Statistics for Medicine

IV Graduate Business Quantitative Decision Making Quantitative Decision Analysis Operations Research Advanced Operations Research Applied Multivariate Analysis Linear Statistical Models Time Series Analysis Investments

V Graduate Medical Science Biostatistics

VI Thesis Examiner Guangyi Chen: MDE ( Dalhousie U., 1998) Claude DesRochers: Ph.D ( TUNS, 1997) – external examiner Vincent Richman: Ph.D ( Columbia U, 1996)- external examiner JunJun Yi: Ph.D. ( Dalhousie U., 1989) Eileen Cormier: M.Sc. ( Dalhousie U., 1985) Bechara Toulany: M.Sc. ( Dalhousie U., 1978)

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Research

With the exception of the 6 years spent as Director of the School of Business, I have actively engaged in research as part of my academic career at Dalhousie University. My area of interest is stochastic dynamic systems, with applications in finance, health systems, 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 the Stochastic Optimization Network (SONET), a broad coalition of researchers interested in the theory and applications of stochastic models.

Publications: MacLean, L., Richman, A. (2009). Risk Assessment for Multiple Hazards with Sensitivity to the Concentration of Severity. Submitted to ISSC 27.

MacLean, L., Zhao, Y. and Ziemba, W. (2009) Optimal capital growth with convex loss penalties. Working paper, School of Business Administration, Dalhousie University.

MacLean, L., Thorp, E., and Ziemba, W. (2009). Good and bad properties of the Kelly Criterion. To appear in The Kelly Capital Growth Investment Criterion: Theory and Practice. World Scientific Publishing Co., Singapore.

MacLean, L., Thorp, E., Zhao, Y. and Ziemba, W. (2009) Medium term simulations of Kelly, fractional Kelly and proportional betting strategies. To appear in The Kelly Capital Growth Investment Criterion: Theory and Practice. World Scientific Publishing Co., Singapore.

MacLean, L., Consigli, G., Zhao, Y. and Ziemba, W. (2009) Risk Indicators in Financial Markets. Accepted by Mathematical Methods in Economics and Finance.

MacLean, L., Zhao, Y., and Ziemba, W. (2009). Mean-Variance versus Expected Utility in Dynamic Investment Analysis.” Computational Management Science (Forthcoming).

Consigli, G., MacLean, L., Zhao, Y., and Ziemba, W. (2009). The Bond-Stock Yield Differential 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 currency portfolio diversification. Accepted by Infiniti Conference (publishes selection of papers in Journal of Banking and Finance) .

MacLean, L., Richman, A.(2008). An aggregate risk priority index for systems failures. Proceedings of 26th International Systems Safety Conference, Vancouver, Canada.

MacLean, L., Ziemba, W.T. (2008) The Kelly Strategy. In Encyclopedia of Quantitative Finance. John Wiley and Sons, UK.

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MacLean, L., Zhao, Y., Consigli, G., and Ziemba, W.(2007). Estimating parameters in a pricing 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 25th International Systems Safety Conference, Baltimore, MD.

MacLean, L., Richman, A. and Larsson, S. (2007). Statistical Methods for Poisson Distributors. Proceedings of 25th International Systems Safety Conference, Baltimore, MD.

MacLean, L., Richman, A. (2007). Early Evidence of Degradation in a Cohort of Aircraft. Proceedings of Aging Aircraft Conference, Palm Springs, CA.

MacLean, L., Foster, M., & Ziemba, W.T. (2007). Covariance complexity and rates 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 Hedging Options 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 Traffic Management Systems. Proceedings of the 24th International Systems Safety Conference, Albuquerque, NM.

MacLean, L., Richman, A., and Larsson, S.(2006). Patterns of Use and Safety with Commercial Aircraft. Proceedings of the 24th International Systems Safety Conference, Albuquerque, NM.

Richman, A., Richman, V., MacLean, L. (2006) A New Performance Measure for Commercial 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 process control. Journal of Banking and Finance, 30:2, pp 317 – 339.

MacLean, L., Ziemba, W. (2006) Capital Growth: Theory and Practice. in Handbook of Asset and Liability Management, S. Zenios and W. Ziemba, eds. Elsevier Science, Amsterdam.

MacLean, L. and Richman, A.(2005) Systems reliability and maintenance. Proceedings of the 23nd International Systems safety Conference. San Diego, Ca.

MacLean, L., Ziemba, W., & Zhao, Y. (2005) Growth-Security Models and Stochastic Dominance. To appear in Planning under Uncertainty, G. Dantzig and G. Infanger, Eds.

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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 Aircraft Degradation and Mechanical Failure. Journal of Transportation and Statistics, Vol 8, No 1, 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 to Aviation Safety. Proceedings of the 22nd International Systems safety Conference, Providence,RI.

MacLean, L., Consigli, G. and Ziemba, W. (2004) Modeling Market Returns with a Speculative Bubble. 2004 Proceedings of the American Statistical Association, Alexandra, VA: American Statistical Association.

MacLean, L., Richman, V., Richman, A. (2004). The Predictability of Aircraft Failures with Age. Journal of Aerospace 2003, pp 413-420.

MacLean, L., Larsson, S., Richman. A. (2003). An Efficiency Analysis of Aircraft Maintenance Programs. SAE Transactions. Manuscript 2003-01-2978.

MacLean, L., Richman, A. (2003). An Epidemiological Approach to Aviation Safety. Proceedings of 21st International Systems Safety Conference, Ottawa.

MacLean, L., Zhao, Y., & Ziemba, W.T. (2003). A process control approach to investment risk. IEEE International Conference on Computational Intelligence for Financial Engineering , p. 265-270.

MacLean,L., Ziemba,W.T., & Zhao, Y.(2003). Capital growth with security. Journal of Economic 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, Dalhousie University.

MacLean, L., Richman, V., Richman, A., & Larsson, S. (2002). A model for aircraft aging. 2002 Proceedings of the American Statistical Association, Alexandria, VA: American Statistical Association.

MacLean, L., Foster, M., & Ziemba, W.T. (2003). Empirical Bayes estimation of securities 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 of Stochastic Programming, Wallace and W.T. Ziemba, eds, MPS-SIAM Series in Optimization. p.509 - 521.

MacLean, L., & Foster, M. (2001). Empirical Bayes estimation of securities price distributions. 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 efficiency analysis. Proceedings of Atlantic Schools of Business Conference, St. Johns, Nfld.

MacLean, L.C., & Ziemba, W.T. (2000). Efficiency concepts in capital accumulation models. 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 Association Joint Meetings, Baltimore.

MacLean, L.C., & Ziemba, W.T (1999). Growth versus security in dynamic investment analysis. 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 effects without replication. Communications in Statistics, vol. 25, no. 7, pp. 1447-1469.

MacLean, L.C., Ziemba, W.T., & Blazenko, G. (1992). Growth versus security in dynamic investment analysis. Management Science, vol. 38, no. 11.

MacLean, L.C., & Ziemba, W.T. (1991). Growth-security profiles in capital accumulation under uncertainty. Annals of Operations Research vol. 81.

MacLean, L.C., & Richman, A. (1990). Service profile variations. Proceedings of the American Statistical Association.

MacLean, L.C., & Ziemba, W.T. (1989). Balancing growth and security. in Computing and 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-Economic Planning Sciences, vol. 23, no. 6, 361-371.

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MacLean, L.C., & Weldon, K.L. (1988). Bayes estimation of factor scores. Proceedings of the American Statistical Association.

MacLean, L., Richman, A., & Garner, B. (1987). Adaptive decisions in the use of hospital beds. Health Services Research vol. 21, no.6.

Sutherland, W.R.S., & MacLean, L.C. (1987). Sensitivity analysis of optimal growth plans. Journal of Economics, vol. 21, no. 6, pp.741-755.

MacLean, L.C., & Ziemba, W.T. (1986). Growth versus security in a risky investment model. 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 ruin strategies. in Stochastic Optimization, ed. V. Arkiin, A. Shiracv, and R. Wets, Lecture Notes 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 with borrowing. 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 the topology 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 and uncertainty: The borrowing models. Journal of Economic Theory, vol. 24, no. 2, pp.168- 187.

MacLean, L.C. (1980). Lagrange multipliers for chance constrained programs. Methods of 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 of selected 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 Nova Scotia: Current supply and future needs. N.S. Medical Bulletin, 53, pp. 3-12.

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Gordon, P.C., Weldon, K.L., & MacLean, L.C. (1974). Trends in hospital utilization in Nova Scotia. N.S. Bulletin, 53.

Foster, M.E., & MacLean, L. C. (1985, June) An Evaluation of the Strait of Canso Subsidiary Agreement. Report to Department of Regional Industrial Expansion.

MacLean, L.C. (1984, January). The Health Service System in Nova Scotia: A Physician Perspective, Report to Nova Scotia Medical Society for the Federal Task Force on Resource 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 Coeducational Venturing, a report to the Girls in Scouting task group.

MacLean, L.C., & Weldon, K.L. (1978, July). Household Distribution in the Rural Areas of 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 Department of communications, Government of Canada).

MacLean, L.C., & Pereira, L. (1974). A Compendium of Health Indices, Department of Preventive Medicine, Dalhousie University. (This 18 volume series contains profiles of the counties of Nova Scotia).

Conference Presentations (in abstract)

I have made over 70 presentations at national and international seminars, workshops and conferences. 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.

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“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 the China International Finance Conference 2006, Xi’an, China, July, 2006.

“Speculative Bubbles: Asset Prices with Yield Dependent Market Corrections”, presented at the International Conference in Financial Engineering, Gainsville, Florida, March, 2006.

“Pricing Models with State Dependent Shocks”, presented at International Federation of Operations Research Societies Conference, Hawaii, August, 2005.

“Systems Reliability and Maintenance”, presented at the 23rd International Systems Safety Conference, San Diego, August, 2005.

“Capital Growth: Theory and Practice”, presented at Canadian Operations Research Society Conference, June, 2005.

“Market Bubbles and Dynamic Control Strategies”, presented at X Stochastic Programming Conference, Tucson, Arizona, October, 2004.

“Modeling Market Returns with a Speculative Bubble”, presented at the Joint Statistical Meetings, Toronto, Canada, August, 2004.

“Risk Indexing with Commercial Aircraft”, presented at 22nd International Systems Safety Conference, Providence, NH, August, 2004.

“Risk Control in a Speculative Financial Market”, presented at Bachelier Finance Society Third World Congress, Chicago, July, 2004.

“Market Bubbles and Dynamic Control Strategies”, presented at APMOD2004, Brunel University, London, UK, June, 2004.

“Risk Control of Dynamic Investment Models,” presented at INFORMS, Atlanta, October, 2003.

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“Epidemiological Approach to Aviation Safety,” presented at the 21st International Systems Safety Society Conference, Ottawa, August, 2003.

“Empirical Bayes Estimation with Portfolio Models,” presented at the Statistical Society of Canada Annual Conference, Halifax, June, 2003.

“Alternative Approaches to Investment Risk,” presented at the International Conference on Modeling, Optimization and Risk Management in Finance, University of Florida, March, 2003.

“Time to Wealth Goals in Capital Accumulation,” presented at the Bachelier Finance Society 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 American Statistical 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 American Statistical Association JSM, Atlanta, August, 2001.

“System Degeneration and Repair: Modeling Health Status,” presented at the Health Services Research Conference, Los Angeles, July, 2001.

“Aircraft Maintenance: An Efficiency Analysis,” presented at the Atlantic Schools of Business 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 Statistical Association JSM, Baltimore, Aug. 1999.

“Time to Wealth Goals in Capital Accumulation,” presented at the Workshop on Applications of Planning under Uncertainty, EPRI, Palo Alto, California, July 1999.

“Growth versus Security in Dynamic Investment Analysis,” presented at High Performance Computing for Financial Planning, Ischia, Italy, April, 1999.

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Research Grants I have held external funding for my research program during my career at Dalhousie (1972 – present). My grants have been to support travel, and expenses such as computing, printing and telephone. Since the degrees offered by the School of Business Administration do not have a thesis requirement, and there are no research students, I have not provided financial support to students or assistants.

Type of Grant Funding Agency Amount Term Research Grant Lamb Trust $50,000 2005-2010

Discovery Grant NSERC $55,000 2005-2010

Individual NSERC $50,000 2000-2005 (5 yr.) Operating Grant

Research Grant School of Business $3,500 2000

Individual NSERC $40,000 1996 – 2000 Operating Grant

Individual NSERC $18,000 1989 – 1992 Operating Grant

Individual NSERC $15,000 1986 - 1989 Operating Grant

Individual NSERC $12,000 1983 – 1986 Operating Grant

Travel Grant NSERC $720 1983

Research Grant RDF $1,100 1981

Individual NSERC $10,000 1980 – 1983 Operating Grant

Individual NSERC $7,500 1977 - 1980 Operating Grant

Research Grant Nova Scotia $3,300 1975 Council of Health

Research Grant Dennis Medical $1,200 1974 Fund

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Research National Health and $28,800 1972 - 1975 Fellowship Welfare

Administration and Service

Committees I have served on many university committees and administrative units. In the most recent year (2003) I serve on the following:

University Senate Senate Committee on Academic Administration Faculty of Graduate Studies: RDF Committee Faculty of Graduate Studies: International Development Studies Unit Review Committee Faculty of Medicine: CH&E Promotion and Tenure Committee Faculty of Management: SBA Research Committee. Faculty of Management: MBA Curriculum Committee.

Associations I am a member of the following associations: American Statistical Association (ASA) Stochastic Optimization Network (SONET) EURO Working Group on Financial Modeling. INFORMS

Reviewing I have been a reviewer for the following journals: Annals of Operations Research Applied Mathematical Finance Banking and Finance Canadian Journal of Administrative Sciences Computational Optimization and Applications Health Services Research International Journal of Operations Management Journal of Economic Theory Management Science Quantitative Finance Socio-Economic Planning Sciences

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CAROLAN McLARNEY

Faculty of Management DALHOUSIE UNIVERSITY Halifax, NS B3H 3J5

Education

Doctor of Philosophy (Policy) York University, Schulich School of Business, North York, Ontario, CANADA. Major: Strategic Management and International Business Dissertation Topic: Strategic Planning and Environmental Turbulence Graduation Date: June 1997

Masters of Business Administration University of Windsor Faculty of Business Administration, Windsor, Ontario, CANADA.

Major: International Business Thesis Topic: International Marketing Strategies Graduation Date: June 1988

Bachelor of Commerce (Economics) University of Windsor Faculty of Business Administration, Windsor, Ontario, CANADA. Double Major: Business Administration and Economics Graduation Date: June 1987

Diploma in Radiological Technology Fanshawe College, London, Ontario, CANADA. Graduation Date: September 1982.

Research and Teaching Experience

July 2007– Professor Present Dalhousie University: International & Strategic Management

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July 2002– Associate Professor Present Dalhousie University: International & Strategic Management

July 2001– Director, Centre for International Business Studies

July 2004 Associate Professor

Dalhousie University

July 1999– Assistant Professor July 2002 Dalhousie University: International & Strategic Management

March 1999 Course Developer & Instructor State Farm Executive Program

Aug 1996- Assistant Professor

June 1999 Illinois State University: International & Strategic Management

Jan 1994- Course Co-Ordinator 1996 York University: Strategic Management (Undergraduate Level)

June 1993 Senior Tutor 1995 York University: East/West Enterprise Exchange

1992 to 1994 Research Assistant to Dr. Philip Phan Policy Department Faculty of Administrative Studies, York University

1987 to 1988 Graduate Assistant to Dr. BJ Punnett Department of Policy & Strategy Faculty of Business Administration, University of Windsor

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Grant History

DATES AGENCY AMOUNT

2005 Centre for International Business $ 5,000

2004 Centre for International Business $ 1,000

2003 Centre for International Business $12,500

2001 Centre for International Business $ 2,500

2000 Centre for International Business $ 2,500

2000 School of Business Administration

Dalhousie University $ 3,500

1999 School of Business Administration

Dalhousie University $ 2,464

1999 Centre for International Business $ 2,500

1998 Illinois State University $ 6,500

1998 Institute for Entrepreneurial Studies $ 2,200

1997 Illinois State University $ 6,500

1997 Mitsubishi Motor Manufacturing Company $25,000

1996-94 Social Science & Humanities Research Council $28,000

1994-92 Schulich School of Business York University $24,000

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Honours 2008 Faculty of Management, Teaching Excellence Award Dalhousie University

2008 Teaching Excellence Award, Faculty of Management, Dalhousie Student Union, Dalhousie University

2008 Second Year MBA Professor of the Year, School of Business Administration, Dalhousie University

2008 Commerce Professor of the Year, School of Business Administration, Dalhousie University

2005 Faculty of Management Teaching Excellence Award, Dalhousie University

2003 A. Gordon Archibald Award for Teaching Excellence, Dalhousie University

2003 MacLean’s Ranking: Hot Professor for Dalhousie University

2002 MacLean’s Ranking: Hot Professor for Dalhousie University

2001 MacLean’s Ranking: Hot Professor for Dalhousie University

2001 Commerce Professor of the Year, School of Business Administration, Dalhousie University

1999 ANBAR Citation of Excellence for “Post Materialism’s ‘Silent Revolution’ in Consumer Research,” Marketing Intelligence and Planning

1999 Best Paper for the Marketing Division. “Post Materialism’s ‘Silent Revolution’ in Consumer Research: Still Silent After All These Years,” Atlantic Schools of Business Conference.

1999 Outstanding Paper of the Year for Management Decision and ANBAR Citation of Excellence for “When Giants Collide: Strategic Analysis and Application,”

1994-96 S.S.H.R.C. Doctoral Fellowship

1992-94 York University Doctoral Scholarship

1988 Canada-Hong Kong Trade Competition

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Academic Service

Faculty Advisor International 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 Management

Academic Reviewer Strategy Division, ASAC 2001

Program Chair Strategy Division, ASAC 2002

Division Chair Strategy Division, ASAC 2003

Reviewer Management Education Division, Academy of Management Administrative Quarterly Captus Press Strategy Division, ASAC International Business Division, ASAC Social Sciences and Humanities Research Council

Board Member Workplace Review, Editorial Board

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Summary of Scholarly Activity

Refereed Journal Articles 23 Edited Book Chapters and Academic Contributions 2 Refereed Conference Proceedings 21 Refereed Conference Presentations 22 Manuscripts Under Review 3

2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 Journal 2 5 1 1 2 1 3 4 4 Articles Proceedings 1 3 2 1 2 Chapters 1 1

Research & Publications

Under Review

McLarney, C. & Chung, E. (2009) “Corporate Strategy Operating within NAFTA,” International Journal of Economic Studies.

Moros, O. & McLarney, C. (2009) “Knowledge Management: Application of Tacit Knowledge in Business Organizations,” Vikalpa.

Published

McLarney, C. & Chung, E. (2009) “The UK Beverage Industry: Changing Nuances of Effective Strategic Planning Processes,” forthcoming Journal of Management Research.

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 Management Review, Vol. 4, No. 3.

McLarney, C. (2008) “The 7 UP’s: Transforming Planning Processes in the British Beverage 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 of Elder 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 Partner Management,” 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 Your Corporate Health,” Journal of Business Research. Vol. 7, No. 1, pp. 59-73.

Howse, J & McLarney, C. (2006) “The Big Pictures: Sources of National Competitiveness in the Global Movie Industry” Vikalpa, Vol. 31, no. 3, pp. 19- 44.

Rosson, P. & Mclarney, C. (2006) “Industry Clusters in Peripheral Regions: A Biotechnology Case Study” in R. Macgregor & A. Hodgkison (Eds.), Small Business 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 8th Uddevalla Symposium and McGill International Entrepreneurship Conference.

Shaikh, S. & McLarney, C. (2005) “Where does all the money go? An Investigation of Donation Filtration” International Journal of Sociology and Social Policy, Vol. 25, No. 6.

Howse, J & McLarney, C. (2004) “The Big Pictures: Sources of National Competitiveness in the Global Movie Industry” Proceedings, Atlantic Schools of Business Conference.

Shaikh, S. & McLarney, C. (2004) “Where does all the money go? An Investigation of Donation Filtration” Proceedings, Atlantic Schools of Business Conference.

McLarney, C. (2004) “Grape ‘N Hops: Transforming Planning Processes in the Beverage Industry,” Proceedings, Mid West Academy of International Business Conference.

Rosson, P. & McLarney, C. (2004) “Biotechnology Companies and Clustering in Nova Scotia,” in D. Wolfe & M. Lucas (Eds.), Clusters in a Cold Climate: Innovation Dynamics in a Diverse Economy, McGill-Queen’s University Press and School for Policy Studies, Queen’s University, 73–94.

McLarney, C. (2003) “To Calm a Turbulent Sea: An Assessment Of Effective Strategic Planning Processes In Chaotic Environments,” Vikalpa.

McLarney C. (2003) “A Driving Force: An Analysis of Strategic Planning in the Automotive Industry,” Business Process Management Journal.

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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 the Hegemonic Illusions of Harmony," International Journal of Sociology and Social Policy, Vol. 21, No. 7, 9-25.

McLarney, C. (2001) “Strategic Planning-Effectiveness-Environment Linkage: An Exploration Using 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 Biotechnology Cluster” Proceedings, Atlantic Schools of Business Conference, 190-191.

Gollogly, K. & McLarney, C. (2001) “The Forgotten Partners: Canadian Private Sector Involvement in Latin America” Proceedings, Atlantic Schools of Business Conference, 130-144.

McLarney, C. & Ramakrishna, D. (2001) “Socio-Political Structures as Determinants of Global Success: The Case of Enron Corporation,” International Journal of Social Economics, Vol.28, No. 4, 349-367.

McLarney, C. & Chung, E. (2000) “What Happened is Prologue: Creative Divergence and 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: Suggestions for Value Creation,” Journal of Management Education, Vol. 24, No. 4, 484-500.

McLarney, C. & Rhyno, S. (2000) “International Joint Venture Negotiations: Using Reciprocating 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 Expatriate Satisfaction: The Link to Organizational Performance” The Learning Organization, Vol. 7, No.3, 122-134.

McLarney, C., Wicks, D., Rhyno, S. & Chung, E. (2000) “On-Line Surveys May be Hazardous to Your Corporate Health: A Framework for Assessing and Improving Market Research Survey Quality,” Proceedings of the 2000 IBAM Conference, November 2000.

McLarney (1999) “Playing in the Giant’s Field: Resource Leveraging as Competitive Strategies for Global SME’s,” New England Journal of Entrepreneurship. Vol. 2, No. 2, 21-30.

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1McLarney, C. & Chung, E. (1999) “Post Materialism’s ‘Silent Revolution’ in Consumer Research,” Marketing Intelligence and Planning. Vol. 17, No. 6. 288-297.

McLarney, C. & Randolph, S. (1999) “Supplier-Partnering Management: A Case Study of the Kaisha,” Proceedings, Atlantic Schools of Business Conference, October 1999.

McLarney C. & Rhyno, S. (1999) “Mary Parker Follett: Visionary Leadership and Strategic Management,” Women in Management. Vol. 14, No. 7, 292-302.

2Chung, E & McLarney, C. (1999) “Post Materialism’s ‘Silent Revolution’ in Consumer Research: Still Silent After All These Years,” Proceedings, Atlantic Schools of Business Conference, October 1999.

3&4Chung, E. & McLarney C. (1999) “When Giants Collide: Strategic Analysis and Application,” Management Decision. Vol. 37, No. 3, 233-247.

McLarney, C. (1998) “Resource Leveraging: Competitive Strategies for SME’s in the Global Marketplace,” Proceedings, Allied Academies International Conference, October 1998, 187-199.

McLarney, C. (1998) “China in the 21st 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 Society Conference, March 1998, 85-91.

McLarney, C. & Rhyno, S. (1998) “Learning to Play Well with Others: Team Building with MBA Students” Proceedings, Illinois State University Teaching Symposium, Fall 1998, 38.

McLarney, C. & Rhyno, S. (1998) “Beyond Agency Theory: The Use of Reciprocating Relationships to Predict International Joint Venture Success,” Research in International Business & International Relations (JAI Press), Vol. 7., 219-246.

McLarney, C. & Chung, E. (1998) “Maneuvering in the Global Marketplace: Using Less and Getting More,” Proceedings, Globalization and its (Dis)Contents: Multiple Perspectives Conference, April 1998.

1 Received ANBAR Citation of Excellence 2 Received Best Paper for the Marketing Division. 3 Received ANBAR Citation of Excellence. 4 Received Outstanding Paper of the Year for Management Decision 271

McLarney C. (1997) “The Shadows Step Out: A Stakeholder View of Competitive Structure,” Proceedings, Institute of Behavioural & Applied Management Conference, October 1997, 162-170.

McLarney C. (1997) “Let the Circle be Unbroken: Wrestling with Competitive Dynamics,” Proceedings, Global Competitiveness Conference, October 1997, 302-314.

McLarney, C. & Clarke, S. (1995) “Shocks to the Competitive System: The Ties That Bind,” Proceedings, Administrative Science Association of Canada Conference, Summer 1995, 57-66.

McLarney, C. (1994) “Visionary Leadership: A Follettian Perspective,” Proceedings of the International Federation of Scholarly Associations of Management Conference, Summer 1994, 238-244.

McLarney, C. (1994) “Life is Not a Dress Rehearsal: An Ethnographic Study,” Proceedings, Qualitative Health Research Conference, Summer 1994, 100-110

McLarney, C. & Chung, E. (1994) Instructor’s Manual for Global Management (written by Mendenhall, Punnett and Ricks) Fall 1994.

McLarney, C. & Chung, E. (1994) “Objects in the Rear-View Mirror May Appear Closer Than 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 of Annihilation,” Proceedings, Annual Nordic Marketing Conference, Fall 1994, 1- 16.

Phan, P., Lee, S., & McLarney, C. (1993) “Beyond Agency Theory: Human Capital as the Critical Link in the Performance-CEO Dismissal Equation,” Presentation at the 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.

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Richard Ronald Nason

Education

• Chartered Financial Analyst (CFA), Association for Investment Management Research, 1996 • Doctor of Philosophy (Finance), Ivey School of Business at The University of Western Ontario, 1993 • Master of Business Administration, Ivey School of Business at The University of Western Ontario, 1990 • Master of Science (Physics), The University of Pittsburgh, 1985 • Bachelor of Science, Summa Cum Laude, (Chemistry, Mathematics), McMurry University, 1983

Thesis

“Heteroscedasticity in Returns: ARCH Effects Versus the Mixture of Distributions Hypothesis”, Completed Spring, 1993, Supervisor Dr. Robert W. White

Honours, 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 Fellowship 1991, 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 1981 273

• 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 Fraternity

Industry Experience

• Senior Partner, RSD Solutions LLC, Chicago, Illinois, January 2003 – Present

Founding partner in a financial risk management consulting firm that provides cutting edge risk management solutions for middle market corporations, investment funds and global financial institutions. Consulting projects have included developing credit risk models for a multinational bank, advising on hedging strategies to corporations, developing financial risk management policies and procedures, and delivering training programs to a variety of different financial institutions.

• Principal, Head of Training and Development, Global Markets Group, Bank of America, Chicago, Illinois, July 2000 – December 2001

Created a department for the training and development of both front and back office capital market professionals. Developed and delivered a curriculum that included courses on derivatives (interest rate, foreign exchange, credit and commodity), risk management, fixed income, foreign exchange, financial mathematics and CFA reviews. Researched and 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 designed and 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 2000

Managed the development of the bank’s credit derivatives operation from start-up to a fully operational unit. Responsibilities included developing business strategy, researching proprietary risk management and pricing models, managing portfolio and trading risk, initiating a marketing effort, handling necessary administrative tasks, staffing and general development of the business within the context of the Bank’s syndication and credit portfolio activities. Bank of Montreal was considered to be a leader in credit derivatives at this groundbreaking time for this market and I was frequently asked to present at conferences or to be quoted in the industry journals.

• Faculty Head, Corporate Finance and Capital Markets, Bank of Montreal, Institute For Learning, Scarborough, Ontario, July 1995 - October 1997

Developed and implemented a new finance curriculum for the internal training centre of Bank of Montreal, Nesbitt Burns and Harris Bankcorp. Particular emphasis was placed 274

upon developing a culture of financial engineering in order to increase awareness of its importance within the corporate and investment bank. Courses developed and taught included 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 1995

Responsible for the origination, structuring and marketing of derivatives strategies for the equity derivatives group. Directly involved in all phases of new product development from idea origination , product risk analysis, and pricing through to design and implementation of the marketing strategy. Clients included high net worth individuals and groups, pension funds, other institutional investors, and corporates. Developed a proprietary portfolio risk analytic methodology for analyzing a client’s investment portfolio or a corporate’s ALM portfolio for derivative applications.

Academic Experience

• Assistant / Associate Professor, Dalhousie University, September 2002 - Present

Professor for both core undergraduate and graduate corporate financial management courses. Designed and delivered MBA elective courses on corporate finance, derivatives, investments, capital budgeting and risk management. Additionally designed and delivered a for credit prep course for the Chartered Financial Analysts program that was conducted at St. Mary’s University. Initiated and mentored a student run Finance Club that brought in a variety of speakers from the Canadian Financial industry.

• Mathematics Department, University of Toronto, Toronto, Ontario, 1999, 2000

Co-developed, designed and delivered the course “Applied Corporate Finance and Capital Markets” in the Financial Mathematics Program at the University of Toronto. This financial engineering seminar series focused on the development and marketing of derivative products to both the corporate and institutional investor markets. Was also an original member of the program’s Advisory Board.

• Richard Ivey School of Business, University of Western Ontario, London, Ontario, 1996, 1997

Redesigned and delivered a second year MBA course on Financial Management. Topics covered included risk management, derivatives, financial structuring, valuation, EVA, mergers and acquisitions, capital raising and alternative financing, and stakeholder management.

• Rotterdam School of Management, Rotterdam, Netherlands, 1993, 1994

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In partnership with a colleague, conducted the first year MBA corporate finance course at 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 for Finance”, JOURNAL OF APPLIED BUSINESS AND ECONOMICS, 6, (2),

• Smith, B., White, R.W., Robinson, M., Nason, R., 1997, “Intraday volatility and trading volume after takeover announcements”, JOURNAL OF BANKING AND FINANCE 21, 337

• Nason, R., Cohen, B.L., 1987, “Correlations between 226Ra in soil, 222Rn in soil gas, and 222Rn 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 for measuring Rn concentrations in indoor air,” HEALTH PHYSICS 50, 457.

• Cohen, B.L., Rakowski, J., Nason, R., 1986, “A simple compact apparatus for measuring diffusion properties of Rn through soils and other materials,” HEALTH PHYSICS 50, 133