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ObjectId: 202242279349300529 - Submission: 2022-08-04
TIN: 98-6001254
Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
Attach to Form 990.
Go to
www.irs.gov/Form990
for instructions and the latest information.
OMB No. 1545-0047
20
21
Open to Public Inspection
Name of the organization
THE GOVERNORS OF THE UNIVERSITY OF ALBERTA
Employer identification number
98-6001254
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Housing allowance or residence for personal use
Travel for companions
Payments for business use of personal residence
Tax idemnification and gross-up payments
Health or social club dues or initiation fees
Discretionary spending account
Personal services (e.g., maid, chauffeur, chef)
b
If any of the boxes on Line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain
.....
1b
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked on Line 1a?
....
2
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
Compensation committee
Written employment contract
Independent compensation consultant
Compensation survey or study
Form 990 of other organizations
Approval by the board or compensation committee
4
During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment?
.............
4a
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan?
.........
4b
Yes
c
Participate in, or receive payment from, an equity-based compensation arrangement?
.........
4c
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization?
....................
5a
No
b
Any related organization?
.......................
5b
No
If "Yes," on line 5a or 5b, describe in Part III.
6
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization?
..................
6a
No
b
Any related organization?
......................
6b
No
If "Yes," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III
............
7
No
8
Were any amounts reported on Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III
..........................
8
No
9
If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)?
.........................
9
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2021
Page 2
Schedule J (Form 990) 2021
Page
2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees.
Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note.
The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A)
Name and Title
(B)
Breakdown of W-2, 1099-MISC compensation, and/or 1099-NEC
(C)
Retirement and other deferred compensation
(D)
Nontaxable
benefits
(E)
Total of columns
(B)(i)-(D)
(F)
Compensation in column (B) reported as deferred on prior Form 990
(i)
Base
compensation
(ii)
Bonus & incentive
compensation
(iii)
Other
reportable compensation
1
Xin-Min Li
Professor and Chair, Psychiatry
(i)
(ii)
253,000
-------------
0
0
-------------
0
193,000
-------------
0
30,000
-------------
0
9,000
-------------
0
485,000
-------------
0
0
-------------
0
2
Randall Morck
Professor Alberta School of Business
(i)
(ii)
396,000
-------------
0
0
-------------
0
48,000
-------------
0
33,000
-------------
0
10,000
-------------
0
487,000
-------------
0
0
-------------
0
3
Paul Major
Professor and Department Chair, Dentistry
(i)
(ii)
192,000
-------------
0
0
-------------
0
179,000
-------------
0
31,000
-------------
0
6,000
-------------
0
408,000
-------------
0
0
-------------
0
4
William Flanagan
President
(i)
(ii)
357,000
-------------
0
0
-------------
0
5,000
-------------
0
124,000
-------------
0
11,000
-------------
0
497,000
-------------
0
0
-------------
0
5
Edy Lai-Man Wong
Professor Alberta School of Business
(i)
(ii)
317,000
-------------
0
0
-------------
0
37,000
-------------
0
23,000
-------------
0
6,000
-------------
0
383,000
-------------
0
0
-------------
0
6
Karim Jamal
Professor and Chair, Accounting and Business Analytics
(i)
(ii)
263,000
-------------
0
0
-------------
0
85,000
-------------
0
32,000
-------------
0
9,000
-------------
0
389,000
-------------
0
0
-------------
0
7
Donald Hickey
Former Vice-President Facilities and Operations
(i)
(ii)
0
-------------
0
0
-------------
0
328,000
-------------
0
0
-------------
0
0
-------------
0
328,000
-------------
0
0
-------------
0
8
Steven Dew
Provost and Vice-President Academic
(i)
(ii)
331,000
-------------
0
0
-------------
0
-3,000
-------------
0
78,000
-------------
0
10,000
-------------
0
416,000
-------------
0
0
-------------
0
9
Todd Gilchrist
Vice-President University Services and Finance
(i)
(ii)
311,000
-------------
0
0
-------------
0
4,000
-------------
0
105,000
-------------
0
8,000
-------------
0
428,000
-------------
0
0
-------------
0
10
Andrew Sharman
Vice-President Facilities and Operations
(i)
(ii)
295,000
-------------
0
0
-------------
0
3,000
-------------
0
68,000
-------------
0
10,000
-------------
0
376,000
-------------
0
0
-------------
0
11
David Turpin
Former President
(i)
(ii)
270,000
-------------
0
0
-------------
0
0
-------------
0
49,000
-------------
0
9,000
-------------
0
328,000
-------------
0
0
-------------
0
12
Elan MacDonald
Vice-President External Relations
(i)
(ii)
263,000
-------------
0
0
-------------
0
4,000
-------------
0
69,000
-------------
0
9,000
-------------
0
345,000
-------------
0
0
-------------
0
13
Brenda Hemelgarn
Dean, Medicine and Dentistry Faculty
(i)
(ii)
176,000
-------------
0
0
-------------
0
91,000
-------------
0
30,000
-------------
0
9,000
-------------
0
306,000
-------------
0
0
-------------
0
14
James Shapiro
Professor, Faculty of Medicine and Dentistry
(i)
(ii)
172,000
-------------
0
0
-------------
0
91,000
-------------
0
29,000
-------------
0
8,000
-------------
0
300,000
-------------
0
0
-------------
0
15
Greta Gesina Cummings
Interim Dean, College of Health Sciences
(i)
(ii)
202,000
-------------
0
0
-------------
0
56,000
-------------
0
31,000
-------------
0
9,000
-------------
0
298,000
-------------
0
0
-------------
0
16
Matina Kalcounis-Rueppell
Interim Dean, College of Natural and Applied Sciences
(i)
(ii)
172,000
-------------
0
0
-------------
0
73,000
-------------
0
29,000
-------------
0
9,000
-------------
0
283,000
-------------
0
0
-------------
0
17
Aminah Robinson
Vice President Research and Innovation
(i)
(ii)
235,000
-------------
0
0
-------------
0
6,000
-------------
0
36,000
-------------
0
9,000
-------------
0
286,000
-------------
0
0
-------------
0
18
Lorne Babiuk
Former Vice-President Research
(i)
(ii)
0
-------------
0
0
-------------
0
227,000
-------------
0
0
-------------
0
0
-------------
0
227,000
-------------
0
0
-------------
0
19
Kelly Spencer
Former Interim Vice-President Advancement
(i)
(ii)
164,000
-------------
0
0
-------------
0
48,000
-------------
0
29,000
-------------
0
8,000
-------------
0
249,000
-------------
0
0
-------------
0
20
Catherine Swindlehurst
Former Interim Vice-President University Relations
(i)
(ii)
149,000
-------------
0
0
-------------
0
62,000
-------------
0
29,000
-------------
0
8,000
-------------
0
248,000
-------------
0
0
-------------
0
21
Walter Dixon
Interim Vice-President Research and Innovation
(i)
(ii)
189,000
-------------
0
0
-------------
0
8,000
-------------
0
26,000
-------------
0
8,000
-------------
0
231,000
-------------
0
0
-------------
0
22
Dennis Kunimoto
Former Interim Dean, Medicine and Dentistry Faculty
(i)
(ii)
151,000
-------------
0
0
-------------
0
25,000
-------------
0
23,000
-------------
0
6,000
-------------
0
205,000
-------------
0
0
-------------
0
Schedule J (Form 990) 2021
Page 3
Schedule J (Form 990) 2021
Page
3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information.
Return Reference
Explanation
Schedule J, Part I, Line 3
The current President's contract is the first to be limited by provincial regulation from the outset. There was therefore no need to conduct a compensation survey.
Schedule J, Part I, Line 4
Part I Line 4b (supplemental nonqualified retirement plan) - Under the terms of the Defined Benefit Supplementary Retirement plan (DB SRP), the executive may receive supplemental payments. Retirement arrangement costs as detailed below are not cash payments in the period but are period expenses for the rights to future compensation. Costs shown reflect the total estimated cost to provide supplementary retirement benefits. The DB SRP provides future benefits to participants based on years of service and earnings. The cost of these benefits is actuarially determined using the projected benefit method pro-rated on service, a market interest rate, and other assumptions included in the Canadian Institute of Actuaries' lump sum commuted value standard. The DB SRP was closed to new members effective June 30, 2014. Under the terms of the executive Defined Contribution Supplementary Retire Plan (DC SRP), the executive may receive supplemental payments. Retirement arrangement costs as detailed below are not cash payments in the period but are period expenses for the rights to future compensation. Costs shown reflect the total cost to provide supplementary retirement benefits. The DC SRP provides future benefits to participants based on the value of the contributions at the end of their service. The cost of these benefits is calculated based on pensionable salary multiplied by a factor based on age and service. The DC SRP was introduced effective July 1, 2014, for all executives commencing employment on or after that date. Current year expense; Provost and Vice-President (Academic) [Dew, Steven] - $30,000; President [Flanagan, William] - $25,000; Former President [Turpin, David] - $23,000; Vice-President (Facilities and Operations) [Sharman, Andrew] - $18,000; Vice-President (External Relations) [MacDonald, Elan] - $15,000; Vice-President (University Services and Finance) [Gilchrist, Todd] - $13,000; Vice-President (Research and Innovation) [Robinson, Aminah] - $10,000; Interim Dean. College of Health Sciences [Cummings, Greta] - $5,000; Professor and Chair, Accounting and Business Analytics [Jamal, Karim] - $5,000; Professor and Department Chair, Dentistry [Major, Paul] - $5,000; Professor, AB School of Business [Morck, Randall] - $5,000; Professor, Faculty of Medicine & Dentistry [Shapiro, James] - $4,000; Dean, Medicine and Dentistry Faculty [Hemmelgarn, Brenda] - $4,000; Professor and Chair, Psychiatry [Li, Xin-Min] - $4,000; Former Vice-President (Advancement) [Spencer, Kelly] - $4,000; Former Interim Vice-President (University Relations) [Swindlehurst, Catherine] - $4,000; Interim Dean, College of Natural and Applied Sciences [Kalcounis-Rueppell, Matina] - $3,000; Former Interim Dean, Medicine and Dentistry Faculy [Kunimoto, Denis] - $2,000; Interim Vice-President (Research and Innovation) [Dixon, Walter] - ($1,000) Supplementary Retire Plan (SRP) payouts - these amounts represent the payouts of employer provided supplementary retirement benefits which were earned and expensed as the employees provided services. Payout of SRP; Former Vice-President (Facilities and Operations) [Hickey, Donald] - $328,000; Former Vice-President (Research) [Babiuk, Lorne] - $227,000
Schedule J (Form 990) 2021
Additional Data
Software ID:
21013178
Software Version:
v1.00