2022-02-11T10:45:41-06:00 2021-03-31 366055558 GRANT THORNTON LLP 100 E WISCONSIN AVE MILWAUKEE WI 53202 990 2020-04-01 981358092 SAINT MARY'S UNIVERSITY SAIN 9024918658 923 ROBIE STREET HALIFAX NOVA SCOTIA CA B3H 3C3 MICHELLE BENOIT VP, FINANCE & ADMINISTRATION 9024918658 2022-02-11 1 MICHELLE BENOIT 999009999 MICHELLE L WEBER P00556798 4142898200 2022-02-10 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z ROBERT SUMMERBY-MURRAY 923 ROBIE STREET HALIFAX NOVA SCOTIA CA B3H 3C3 119816768 0 X WWW.SMU.CA X 1970 CA OFFER UNDERGRADUATE, GRADUATE, & CONTINUING EDUCATION PROGRAMS; TO ENGAGE (CONTINUED ON SCHEDULE O) IN RESEARCH & DISSEMINATE ITS RESULTS; & TO SERVE THE LOCAL & INTERNATIONAL COMMUNITIES. 30 23 0 150 0 0 43400224 45691366 71497627 64922898 2721925 2473232 2510112 927868 120129888 114015364 7196912 9709150 0 0 71077019 69902517 0 0 1614910 36182168 27684026 114456099 107295693 5673789 6719671 193280382 229275385 43716295 45402565 149564087 183872820 X THE MISSION OF SAINT MARY'S UNIVERSITY (SMU) IS TO OFFER UNDERGRADUATE, GRADUATE, AND CONTINUING EDUCATION PROGRAMS; TO ENGAGE IN RESEARCH AND DISSEMINATE ITS RESULTS; AND TO SERVE THE COMMUNITY FROM THE LOCAL TO THE INTERNATIONAL LEVEL. 0 0 61643384 5659205 61910963 HIGHER EDUCATION: SMU IS A PUBLIC LIBERAL ARTS AND SCIENCE DEGREE-GRANTING INSTITUTION COMMITTED TO THE ENCOURAGEMENT AND FOSTERING OF CRITICAL, CREATIVE, AND INDEPENDENT THINKING. THROUGHOUT THE 2020-2021 FISCAL PERIOD, THERE WAS A TOTAL OF APPROXIMATELY 6,000 FULL-TIME STUDENTS AND 800 PART-TIME STUDENTS. THERE WERE APPROXIMATELY 1,500 TOTAL GRADUATES. 5510894 1553858 RESEARCH: THE RESEARCH MISSION OF SMU IS TO ENGAGE IN RESEARCH THAT APPLIES TO, AND IS VALUED BY, COMMUNITIES FROM AROUND THE CORNER TO AROUND THE WORLD. OUR MISSION ALSO INVOLVES CULTIVATING INTELLECTUAL CURIOSITY AND CREATIVITY WITHIN OUR FACULTY AND STUDENTS. 3186915 20833 2324787 SMU BELIEVES LIVING IN A RESIDENCE COMMUNITY PROVIDES STUDENTS WITH OPPORTUNITIES FOR LEARNING AND GROWTH THAT ARE EQUALLY AS VALUABLE AS THOSE AVAILABLE TO THEM IN THE CLASSROOM. AS SUCH, RESIDENCE AT SMU HAS BEEN DESIGNED TO REFLECT A COMMITMENT TO THE HOLISTIC DEVELOPMENT AND PERSONAL GROWTH OF OUR RESIDENCE COMMUNITY STUDENTS. SMU STRIVES TO ENSURE THAT THE RESIDENCE COMMUNITY FOLLOWS AN APPROACH BASED ON PROFESSIONAL BEST PRACTICES, AS WELL AS THE INTERESTS AND DEVELOPMENTAL NEEDS OF STUDENTS. 16149814 2475254 687148 SMU PROVIDES A WIDE RANGE OF OTHER SERVICES RELATED TO ITS CORE MISSION OF POST SECONDARY EDUCATION, RESEARCH AND OUTREACH INCLUDING ATHLETICS & RECREATION, DINING SERVICES, CAMPUS BOOKSTORE, AND CONFERENCES. 16149814 2475254 687148 86491007 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 0 1 0 1 1 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 X 0 0 0 0 1 CA 0 0 1 1 0 0 0 0 0 0 0 X 30 23 0 0 0 0 0 1 0 1 1 0 1 1 0 1 1 1 0 0 1 1 0 X MICHELLE BENOIT VP FINANCE & ADMINISTRATION 9024205409 923 ROBIE STREET HALIFAX NOVA SCOTIA CA B3H 3C3 X DR HARJEET BHABRA DEAN OF SOBEY SCHOOL OF BUSINESS 40.00 0.00 X 369245 0 69170 DR ESTHER ENNS ASSOC. VP, TEACHING & LEARNING 40.00 0.00 X 183044 0 132476 DR VASILIKI ATHANASAKOU PROFESSOR 40.00 0.00 X 267588 0 28712 DR MOHAMED DRIRA PROFESSOR 40.00 0.00 X 259303 0 27606 DR MALCOLM BUTLER VP, ACADEMIC & RESEARCH 40.00 0.00 X 183706 0 62952 DR ROBERT SUMMERBY-MURRAY PRESIDENT AND VICE-CHANCELLOR 41.00 0.00 X X 242342 0 -7957 DR PAWAN LINGRAS PROFESSOR 40.00 0.00 X 211009 0 15501 DR STEVEN SMITH DEAN OF SCIENCE, ASSOC VP (ACTING) 40.00 0.00 X 170157 0 54547 DR KHIN PHYO HLAING PROFESSOR 40.00 0.00 X 197400 0 21122 DR NAJAH ATTIG GOVERNOR - AS OF 9/2020; ASSOC. PROF. 41.00 0.00 X 177787 0 16947 MS ERIN SARGEANT GREENWOOD VP, ADVANCEMENT 40.00 0.00 X 175719 0 16665 DR ROBERT SINGER GOVERNOR; PROFESSOR - AS OF 9/2020 41.00 0.00 X 123606 0 13154 DR ALEXANDRA DOBROWOLSKY GOVERNOR; PROFESSOR 41.00 0.00 X 123272 0 13154 MS GABRIELLE MORRISON VP, FINANCE & ADMIN - THRU 6/2020 40.00 0.00 X 89454 0 34811 DR MARGARET MCKEE GOVERNOR; PROFESSOR - AS OF 9/2020 41.00 0.00 X 103104 0 11187 DR LISA GANNETT GOVERNOR; PROFESSOR 41.00 0.00 X 99098 0 10603 DR GORAN STANIVUKOVIC GOVERNOR - THRU 8/2020; PROFESSOR 41.00 0.00 X 90130 0 12393 DR LINDA CAMPBELL GOV-THRU 9/2020;PROF/SR RSRCH FELLOW 41.00 0.00 X 84012 0 13070 MS MICHELLE BENOIT VP, FINANCE & ADMIN - AS OF 7/2020 40.00 0.00 X 85247 0 8061 DR NICOLE NEATBY GOVERNOR; PROFESSOR 41.00 0.00 X 68466 0 11017 DR DANIKA VAN PROOSDIJ GOVERNOR - THRU 9/2020; PROFESSOR 41.00 0.00 X 37409 0 11575 MR LAWRENCE FREEMAN GOVERNOR; CHAIR - AS OF 9/2020 1.00 0.00 X 0 0 0 MR ALAN R ABRAHAM JR GOVERNOR 1.00 0.00 X 0 0 0 MS ANITA BEZEAU GOVERNOR 1.00 0.00 X 0 0 0 MS BRYN DE CHASTELAIN GOVERNOR - AS OF 5/2020 1.00 0.00 X 0 0 0 MR GREG DICKIE GOVERNOR - THRU 9/2020 1.00 0.00 X 0 0 0 MS KIMBERLY DOANE GOVERNOR 1.00 0.00 X 0 0 0 DR MICHAEL DURLAND CHANCELLOR 1.00 0.00 X 0 0 0 MR RICHARD FLYNN GOVERNOR 1.00 0.00 X 0 0 0 MR PHILIP FRASER GOVERNOR 1.00 0.00 X 0 0 0 MS SYLVIA GAWAD GOVERNOR - AS OF 9/2020 1.00 0.00 X 0 0 0 CHIEF BOB GLOADE GOVERNOR - THRU 9/2020 1.00 0.00 X 0 0 0 MR MARK GOSINE GOVERNOR 1.00 0.00 X 0 0 0 MS SAMANTHA GRAHAM GOVERNOR - AS OF 5/2020 1.00 0.00 X 0 0 0 MR FLOYD KANE GOVERNOR - AS OF 9/2020 1.00 0.00 X 0 0 0 MR JOSHUA LAFOND GOVERNOR - THRU 4/2020 1.00 0.00 X 0 0 0 MR DUNCAN MACINTYRE GOVERNOR 1.00 0.00 X 0 0 0 MR JAMIE MACNEIL GOVERNOR 1.00 0.00 X 0 0 0 MS ANNA MARENICK GOVERNOR - AS OF 9/2020 1.00 0.00 X 0 0 0 MR SCOTT MCELMAN GOVERNOR 1.00 0.00 X 0 0 0 MR JOSEPH METLEGE GOVERNOR 1.00 0.00 X 0 0 0 MR KEVIN MULLEN GOVERNOR - THRU 4/2020 1.00 0.00 X 0 0 0 MS MARY NAVAS GOVERNOR - THRU 4/2020 1.00 0.00 X 0 0 0 MS JENNIFER NICHOLSON GOVERNOR 1.00 0.00 X 0 0 0 MR TOM O'HANDLEY GOVERNOR 1.00 0.00 X 0 0 0 MS JANE ROY GOVERNOR 1.00 0.00 X 0 0 0 MR DAN RUDISUELA GOVERNOR - THRU 9/2020 1.00 0.00 X 0 0 0 MS KELLIE SAURIOL GOVERNOR - AS OF 9/2020 1.00 0.00 X 0 0 0 MS CRYSTAL WITTER GOVERNOR - THRU 4/2020 1.00 0.00 X 0 0 0 MR SIAN WREN GOVERNOR 1.00 0.00 X 0 0 0 MR RAMI ZOKARI GOVERNOR - AS OF 5/2020 1.00 0.00 X 0 0 0 3341098 0 576766 142 0 1 0 ARAMARK CANADA LTD 811 ISLINGTON AVENUE TORONTO NS CA M8Z 5W8 DINING SERVICES 2105378 BARRIE & LANGILLE ARCHITECTS LTD 522 BEDFORD HWY HALIFAX CA NS B3M 2L7 CONSTRUCTION 758445 INTERUNIVERSITY SERVICES INC 120 WESTERN PKWY 202 BEDFORD NOVA SCOTIA CA B4B 0V2 BUYING GROUP 537266 HIGHER EDGE PO BOX 500680 DUBAI KNWL VILL DUBAI AE STUDENT RECRUITING 470884 CANADIAN RESEARCH KNWL NETWORK 411 - 11 HOLLAND AVE OTTAWA ON CA K1Y 4S1 CONSULTING 410526 18 44536 39544809 6102021 915385 45691366 STUDENT FEES & TUITION 611310 61910963 61910963 RESIDENCE SERVICES 721310 2324787 2324787 DINING SERVICES 722514 522269 522269 ACADEMIC SERVICES 611710 108437 108437 ATHLETICS & RECREATION SERVICES 713940 56442 56442 64922898 2286176 2286176 173460 0 173460 173460 173460 5524864 5337808 187056 187056 187056 529891 463596 66295 66295 EXTERNAL COST RECOVERIES 900099 81863 81863 STUDENT LATE PAYMENT FEES 900099 80185 80185 PARKING REVENUE 900099 61777 61777 464288 464288 688113 114015364 64922898 0 3401100 7214 7214 110602 110602 9591334 9591334 2501745 1622282 690179 189284 117632 117632 58554885 48802174 8629933 1122778 3675654 2864610 731920 79124 2347833 1071050 1256556 20227 2704768 2138488 502163 64117 18884 18884 72723 72723 55512 55512 201001 201001 3821852 2120909 1390824 310119 1219706 1101442 56699 61565 385641 169050 195788 20803 2771624 324088 2434085 13451 13582 13582 3214080 1115582 2098498 297995 244046 48760 5189 149895 148329 1475 91 1324834 566248 758586 7592040 7592040 248815 31024 217791 ALTERATIONS AND RENO 2680155 646182 2033973 LIBRARY ACQUISITIONS 1467737 1467737 MATERIALS AND SUPPLIES 1162639 1008832 128789 25018 RESIDENCE DINING EXP 677565 677565 307746 10531005 -9926403 -296856 107295693 86491007 19189776 1614910 -91791 -45531 15453785 29360922 0 0 8156742 7858940 0 0 0 0 0 0 634056 440468 1038446 1194213 198959983 80413801 107907809 118546182 7490571 11327273 50780993 58438321 0 0 1219336 1367224 690435 787373 193280382 229275385 6805920 7695459 0 0 10453701 9368802 0 0 0 0 0 0 0 0 24544879 25888936 1911795 2449368 43716295 45402565 X 44069052 57018644 76351094 84206719 29143941 42647457 149564087 183872820 193280382 229275385 X 6719671 7900920 19688142 X 0 1 X 1 0 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 787373 X 0 29143941 2411976 12588414 1348788 148087 42647456 30728770 2565524 -2887382 1115639 147332 29143941 30231547 858448 842330 1089160 114395 30728770 27261464 517456 3611304 1040742 117935 30231547 25637016 675180 2005141 971779 84094 27261464 1.00000 0 0 11061820 11061820 155573847 66090570 89483277 0 21245379 9411797 11833582 11078937 4911434 6167503 118546182 POOLED FUNDS 58438321 F 58438321 RETIREMENT BENEFITS 2449368 2449368 122334525 7900920 463596 8364516 113970009 45355 45355 114015364 107713934 463596 463596 107250338 45355 45355 107295693 PART III, LINE 4: COLLECTIONS OF ART AND HISTORICAL TREASURES EXEMPT PURPOSE THE ART COLLECTION HAS OVER 2,000 WORKS IN THE PERMANENT COLLECTION FOCUSING ON CONTEMPORARY CANADIAN ARTISTS. THE ARTWORK RECOGNIZES LOCAL ARTISTS AND IS DISPLAYED IN THE GALLERY AND THROUGHOUT THE CAMPUS. ALL OF THE EXHIBITS RECEIVE SUPPORT FROM THE CANADIAN COUNCIL OF THE ARTS. THE ART EXPOSES STUDENTS TO THE LOCAL CULTURE AND THE ARTS. PART V, LINE 1C: FOREIGN TRANSLATION ADJUSTMENTS FOREIGN TRANSLATION ADJUSTMENTS HAVE BEEN INCLUDED IN LINE 1C. PART V, LINE 4: INTENDED USES OF ENDOWMENT FUNDS ENDOWMENT FUNDS PROVIDE A BASE FOR STUDENT FINANCIAL AID AND PROGRAMS IN SUPPORT OF THE ACADEMIC PLAN. SMU'S ENDOWMENT IS EXPECTED TO PROVIDE BOTH PRESENT AND FUTURE GENERATIONS WITH FINANCIAL SUPPORT. PART XI, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 463,596. PART XI, LINE 4B - OTHER ADJUSTMENTS: EXTERNAL COST RECOVERY 6,662. CONTRA REVENUE RECLASS 38,693. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 463,596. PART XII, LINE 4B - OTHER ADJUSTMENTS: EXTERNAL COST RECOVERY 6,662. CONTRA REVENUE RECLASS 38,693. 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 SEE SUPPLEMENTAL PAGE SCHEDULE E, PART I, LINE 4 SEE SUPPLEMENTAL PAGE SCHEDULE E, PART I, LINE 3: PUBLICATION ON RACIALLY NONDISCRIMINATORY POLICY ALTHOUGH SMU HAS NOT TAKEN OUT ADS IN NEWSPAPERS TO EXPLAIN OUR NONDISCRIMINATION POLICY, WE ARE CONFIDENT THAT OUR ADVERTISING MAKES A STRONG STATEMENT THAT WE SERVE ALL RACIAL SEGMENTS OF THE COMMUNITY, AND INDEED THE GLOBE. WE RELY ON OUR EXTENSIVE RECRUITMENT ADVERTISING CAMPAIGNS AND OTHER ADVERTISING CAMPAIGNS TO DEMONSTRATE THAT WE ARE AN INSTITUTION THAT VALUES AND PRACTICES DIVERSITY AND INCLUSION. OUR CAMPAIGNS ARE PROMOTED HEAVILY THROUGH ADS ON SOCIAL MEDIA CHANNELS SUCH AS FACEBOOK AND THEREFORE REACH LARGE AUDIENCES IN CANADA AND OVERSEAS. RACIAL DIVERSITY IS DEMONSTRATED IN OUR ADVERTISING BY THE PHOTOGRAPHY AND VIDEOS WHICH SHOWCASE OUR STUDENTS ON CAMPUS. WE NEVER USE ACTORS OR STAND-INS IN OUR ADVERTISING. ANOTHER IMPORTANT TOOL IS THE UNIVERSITY'S WEBSITE. BY SHOWCASING OUR STUDENTS, FACULTY, STAFF AND ALUMNI ON OUR UNIVERSITY WEBSITE, WE MAKE A STRONG STATEMENT ABOUT RACIAL DIVERSITY. SCHEDULE E, PART I, LINE 4A: RECORDS ON RACIAL COMPOSITION SMU DOES NOT CURRENTLY REQUEST, COMPILE, OR DISSEMINATE INFORMATION RELATED TO THE RACIAL COMPOSITION OF ITS APPLICANTS, STUDENT BODY, FACULTY OR ADMINISTRATION. SCHEDULE E, PART I, LINE 4B: RECORDS ON SCHOLARSHIPS AWARDED ON RACIALLY NONDISCRIMINATORY BASIS SCHOLARSHIPS AND FINANCIAL ASSISTANCE ARE RENDERED BASED ON NEED AND ACADEMIC STANDING. SCHEDULE E, PART I, LINE 6A: FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENTAL AGENCY GRANTS ARE PROVIDED FROM FEDERAL AND PROVINCIAL GOVERNMENTS. 1 NORTH AMERICA 1 2271 PROGRAM SERVICES EDUCATION 76126277 NORTH AMERICA 1 2271 INVESTMENTS 99126516 NORTH AMERICA 1 2271 GRANTMAKING FINANCIAL AID 9591334 NORTH AMERICA 1 2271 MAINTAINING OFFICES MANAGEMENT AND ADMINISTRATION 19189776 NORTH AMERICA 1 2271 FUNDRAISING 1614910 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EDUCATION 15598 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATION 639983 1 2271 0 0 1 2271 206304394 0 206304394 NORTH AMERICA SPONSORSHIP 21970 CHECK / EFT NORTH AMERICA SPONSORSHIP 41667 CHECK / EFT NORTH AMERICA SPONSORSHIP 5795 CHECK / EFT NORTH AMERICA SPONSORSHIP 14167 CHECK / EFT NORTH AMERICA SPONSORSHIP 7277 CHECK / EFT NORTH AMERICA SPONSORSHIP 18939 CHECK / EFT NORTH AMERICA SPONSORSHIP 14956 CHECK / EFT NORTH AMERICA SPONSORSHIP 6914 CHECK / EFT EUROPE (INCLUDING ICELAND & GREENLAND) SPONSORSHIP 22904 CHECK / EFT 9 SCHOLARSHIPS & BURSARIES FOR STUDENT INDIVIDUALS NORTH AMERICA 3064 9242910 OTHER RESEARCH GRANT NORTH AMERICA 1 8712 CHECK / EFT TUITION WAIVERS EAST ASIA AND THE PACIFIC 11 48733 CHECK / EFT TUITION WAIVERS NORTH AMERICA 34 28660 CHECK / EFT TUITION WAIVERS SOUTH AMERICA 2 12010 CHECK / EFT TUITION WAIVERS MIDDLE EAST AND NORTH AFRICA 2 9621 CHECK / EFT TUITION WAIVERS SUB-SAHARAN AFRICA 3 5033 CHECK / EFT TUITION WAIVERS SOUTH ASIA 6 8524 CHECK / EFT TUITION WAIVERS EUROPE (INCLUDING ICELAND & GREENLAND) 1 1258 CHECK / EFT PRIZES & AWARDS NORTH AMERICA 86 17868 PRIZES & AWARDS COST 0 0 0 0 0 0 PART III ACCOUNTING METHOD: SCHEDULE F, PART I, LINE 2 PROCEDURE FOR MONITORING USE OF GRANT FUNDS OUTSIDE U.S. SMU'S MISSION STATEMENT REFERS TO "BUILDING ON A STRONG TRADITION OF ACCESSIBILITY". FINANCIALLY, WE CONTRIBUTE TO THAT VISION BY ENSURING TO THE EXTENT POSSIBLE THAT STUDENTS CAN AFFORD TO ATTEND SMU. SCHOLARSHIPS, BURSARIES AND FINANCIAL AID ARE PROVIDED BASED ON NEED AND MERIT. SMU TRACKS ALL GRANTS ISSUED BY GRANT, AMOUNT, STUDENT, AND TERM. 1 INCLUSIVE POST SECONDARY EDUCATION (IPSE) 340 BOEKER AVE PISMO BEACH CA 93449 6629 MASTERS INTERNS 1 SCHOLARSHIPS AND BURSARIES 24 109344 TUITION WAIVER 1 1258 PART I, LINE 2: PROCEDURE FOR MONITORING USE OF GRANT FUNDS INSIDE U.S. FINANCIAL AID AND SCHOLARSHIPS ARE BASED ON NEED AND MERIT FROM APPLICATIONS SUBMITTED BY STUDENTS. ONCE AWARDED, THE FUNDS ARE PLACED DIRECTLY ON THE STUDENT'S ACCOUNT TO OFFSET THE COST OF TUITION AND FEES. X X 1 1 X X X 0 0 0 0 0 0 0 0 0 DR HARJEET BHABRA DEAN OF SOBEY SCHOOL OF BUSINESS 369245 0 0 0 0 0 53652 0 15518 0 438415 0 0 0 DR ESTHER ENNS ASSOC. VP, TEACHING & LEARNING 183044 0 0 0 0 0 128007 0 4469 0 315520 0 0 0 DR VASILIKI ATHANASAKOU PROFESSOR 267588 0 0 0 0 0 21467 0 7245 0 296300 0 0 0 DR MOHAMED DRIRA PROFESSOR 259303 0 0 0 0 0 20640 0 6966 0 286909 0 0 0 DR MALCOLM BUTLER VP, ACADEMIC & RESEARCH 183706 0 0 0 0 0 55395 0 7557 0 246658 0 0 0 DR ROBERT SUMMERBY-MURRAY PRESIDENT AND VICE-CHANCELLOR 242342 0 0 0 0 0 -23723 0 15766 0 234385 0 0 0 DR PAWAN LINGRAS PROFESSOR 211009 0 0 0 0 0 11590 0 3911 0 226510 0 0 0 DR STEVEN SMITH DEAN OF SCIENCE, ASSOC VP (ACTING) 170157 0 0 0 0 0 48886 0 5661 0 224704 0 0 0 DR KHIN PHYO HLAING PROFESSOR 197400 0 0 0 0 0 15792 0 5330 0 218522 0 0 0 DR NAJAH ATTIG GOVERNOR - AS OF 9/2020; ASSOC. PROF 177787 0 0 0 0 0 11266 0 5681 0 194734 0 0 0 MS ERIN SARGEANT GREENWOOD VP, ADVANCEMENT 175719 0 0 0 0 0 10225 0 6440 0 192384 0 0 0 SCHEDULE J, PART I, LINE 1A FIRST-CLASS OR CHARTER TRAVEL FIRST-CLASS TRAVEL IS PROVIDED FOR CERTAIN SENIOR EXECUTIVE(S) AS PER EMPLOYMENT AGREEMENTS FOR LONG-DISTANCE TRAVEL UNDER CERTAIN CIRCUMSTANCES. SCHEDULE J, PART I, LINE 1A TRAVEL FOR COMPANIONS TRAVEL FOR COMPANIONS IS PROVIDED FOR CERTAIN SENIOR EXECUTIVE(S) AS PER EMPLOYMENT AGREEMENTS FOR BUSINESS RELATED EVENTS (E.G. DONOR RELATIONS AND FUNDRAISING ACTIVITIES) WHERE A SPOUSE OR COMPANION IS REQUIRED DUE TO THE UNIVERSITY'S ROLE. SCHEDULE J, PART II, COLUMN C VESTED ADMINISTRATIVE LEAVES CERTAIN EMPLOYEES ARE ELIGIBLE PER THEIR EMPLOYMENT CONTRACTS TO VESTED ADMINISTRATIVE LEAVES. THIS FUTURE EMPLOYEE BENEFIT IS ACCRUED EACH YEAR AND REPORTED IN COLUMN C. SCHEDULE J, PART II, COLUMN C RETIREMENT AND OTHER DEFERRED COMPENSATION THE AMOUNT OF RETIREMENT AND OTHER DEFERRED COMPENSATION LISTED FOR DR. ROBERT SUMMERBY-MURRAY WAS ADJUSTED TO REFLECT THE FAIR MARKET VALUE AS INDICATED IN THE RENEWAL OF HIS CONTRACT. THIS ADJUSTMENT HAS RESULTED IN A NEGATIVE BALANCE FOR THIS FISCAL YEAR. EMPLOYEE 1 FAMILY OF GOVERNOR 117632 SAL & BENEF 0 SCHEDULE L, PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONSDUE TO CONFIDENTIALITY AGREEMENTS, THE NAME OF THE GOVERNOR AND THE RELATED FAMILY MEMBER HAVE NOT BEEN LISTED. HOWEVER, THE INTERESTED PERSON'S COMPENSATION AND BENEFITS HAVE BEEN PROVIDED IN COLUMN C. THESE TRANSACTIONS HAVE BEEN MADE IN THE NORMAL COURSE OF BUSINESS. X 20 910048 FMV X INSURANCE 4 5337 FMV 0 1 0 PART I, COLUMN (B): METHOD USED SMU USES THE NUMBER OF CONTRIBUTIONS AS THE METHOD FOR DETERMINING THE AMOUNT IN COLUMN (B). FORM 990, PART V, LINE 6: CONTRIBUTION SOLICITATIONS SMU IS A FOREIGN UNIVERSITY AND SOLICITS FINANCIAL SUPPORT FROM ITS WORLDWIDE ALUMNI, LARGELY IN CANADA BUT DOES INCLUDE SOLICITATIONS TO U.S. PERSONS AND U.S. ENTITIES. SMU OBTAINED U.S. TAX EXEMPT STATUS AS A FOREIGN 501(C)(3) EDUCATIONAL INSTITUTION. SMU RELIES ON THE FINANCIAL SUPPORT IT RECEIVES FROM ALUMNI AND ORGANIZATIONS TO ACHIEVE ITS MISSION OF OFFERING EDUCATION PROGRAMS, ENGAGE IN RESEARCH AND SERVE THE COMMUNITY. DUE TO SMU'S STATUS AS A FOREIGN 501(C)(3), U.S. PERSONS AND U.S. ENTITIES ARE NOTIFIED THAT THEIR DONATIONS TO SMU MAY NOT BE DEDUCTIBLE FOR U.S. TAX PURPOSES. FORM 990, PART VI, SECTION A, LINE 1 EXECUTIVE COMMITTEE THE EXECUTIVE COMMITTEE CAN ACT IN THE ABSENCE OF THE BOARD IF NECESSARY. THIS IS NOT TYPICALLY REQUIRED. FORM 990, PART VI, SECTION A, LINE 7A OTHER PERSONS WITH THE POWER TO ELECT OR APPOINT THE BOARD SEVERAL ORGANIZATIONS HAVE THE RIGHT TO APPOINT MEMBERS OF THE BOARD OF GOVERNORS: SMU STUDENT ASSOCIATION (4), SMU FACULTY UNION (6), NOVA SCOTIA PROVINCIAL GOVERNMENT (2), SMU ALUMNI ASSOCIATION (6), AND ROMAN CATHOLIC EPISCOPAL CORP (3). FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS THE FORM 990 IS REVIEWED BY THE SENIOR DIRECTOR OF FINANCIAL SERVICES AND THE VP, FINANCE & ADMINISTRATION AND DISTRIBUTED TO THE SECRETARY TO FACILITATE REVIEW WITH THE EXECUTIVE MANAGEMENT GROUP. THIS IS CONDUCTED BEFORE FILING. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY ALL OFFICERS, DIRECTORS, AND KEY EMPLOYEES ARE REQUIRED TO SIGN THE ORGANIZATION'S CONFLICT OF INTEREST POLICY. IN-HOUSE LEGAL COUNSEL REVIEWS ALL FORMS. ANY DISCLOSURES NOTED ARE BROUGHT TO THE ATTENTION OF THE AUDIT COMMITTEE TO REVIEW. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION INDEPENDENT ANALYSIS AND RESEARCH FOR APPROPRIATE COMPENSATION IS DONE BY A SEARCH FIRM. SUBSEQUENT APPROVAL IS GIVEN BY THE GOVERNING BOARD. FORM 990, PART VI, SECTION C, LINE 19 HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC THE GOVERNING DOCUMENTS AND FINANCIAL STATEMENTS ARE POSTED ON SMU'S WEBSITE. FORM 990, PART XI, LINE 9: FOREIGN TRANSLATION ADJUSTMENT 19,688,142.