2024-11-14T20:10:08-06:00 2023-12-31 991856619 GRANT THORNTON ADVISORS LLC 75 STATE STREET BOSTON MA 02109 990 2023-01-01 980148939 THE UNIVERSITY OF AUCKLAND UNIV 6499232494 PRIVATE BAG 92019 AUCKLAND NZ 1142 TIM BLUETT CFO 6499232494 2024-11-14 1 1 ERIN COUTURE P01390592 2125990100 2023 2024-10-15 13:58:12Z DAWN FRESHWATER PRIVATE BAG 92019 AUCKLAND NZ 1142 929737930 0 X WWW.AUCKLAND.AC.NZ X 1962 AN INTERNATIONAL UNIVERSITY, RECOGNIZED FOR EXCELLENCE IN TEACHING, LEARNING, RESEARCH, AND CONTRIBUTIONS TO KNOWLEDGE TO SERVE LOCAL, NATIONAL AND INTERNATIONAL COMMUNITIES. 10 8 13110 1322 0 0 537431801 521007230 324398889 347590008 4102132 9678371 11310567 49233086 877243389 927508695 51105715 53408987 0 0 447014866 480297363 210166 216192 41307224 321518578 347348752 819849325 881271294 57394064 46237401 2946039615 2941121937 460336912 479900723 2485702703 2461221214 X THE PURPOSE OF THE UNIVERSITY IS TO ENGAGE IN TEACHING, LEARNING, AND RESEARCH OF A STANDARD COMPARABLE TO THAT OF RESEARCH-INTENSIVE, COMPREHENSIVE UNIVERSITIES WORLD-WIDE. (CONTINUED ON SCH. O) 0 0 714324572 53408987 393586796 THE UNIVERSITY OFFERS A COMPREHENSIVE PORTFOLIO OF ACADEMIC PROGRAMS AT BOTH THE UNDERGRADUATE AND POSTGRADUATE LEVELS. FACULTIES OF ARTS AND SCIENCE AND THE SCHOOL OF THEOLOGY PROVIDE A BROAD-BASED EDUCATION IN FUNDAMENTAL AND SPECIALIST AREAS. PROFESSIONAL TRAINING IS PROVIDED IN THE FACULTIES OF BUSINESS AND ECONOMICS, CREATIVE ARTS AND INDUSTRIES, ENGINEERING, LAW, MEDICAL AND HEALTH SCIENCES. (CONTINUED ON SCHEDULE O) 714324572 1 1 0 0 0 0 0 1 0 1 1 0 0 0 1 1 0 1 1 1 1 1 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 X 0 0 13110 0 0 1 NZ 0 0 0 0 0 0 0 0 0 0 X 10 8 0 0 0 0 0 1 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X JULIAN MICHAEL 6499232494 PRIVATE BAG 92019 AUCKLAND NZ 1142 X DAWN FRESHWATER VICE-CHANCELLOR 40.00 0.00 X X 463190 0 0 JENNIFER CURTIN THRU 062023 COUNCIL OFFICER & PROFESSOR 40.00 0.00 X 159440 0 7761 CATHERINE DUNPHYTHRU 123123 COUNCIL OFFICER & PROF. STAFF 38.00 0.00 X 98301 0 6635 ROBERT MCDONALD COUNCIL OFFICER 1.00 0.00 X 0 0 0 JAN DAWSON COUNCIL OFFICER (THRU 12/31/2023) 1.00 0.00 X 0 0 0 RACHAEL NEWSOME COUNCIL OFFICER (THRU 05/2023) 1.00 0.00 X 0 0 0 JOHN PAITAI COUNCIL OFFICER (THRU 12/31/2023) 1.00 0.00 X 0 0 0 DR RAJEN PRASED COUNCIL OFFICER 1.00 0.00 X 0 0 0 CATHY QUINN COUNCIL OFFICER & PRO CHANCELLOR 1.00 0.00 X 0 0 0 CECILIA TARRANT COUNCIL OFFICER & CHANCELLOR 1.00 0.00 X 0 0 0 HALRA BARAKAT COUNCIL OFFICER (THRU 10/2023) 1.00 0.00 X 0 0 0 JONATHAN MASON COUNCIL OFFICER 1.00 0.00 X 0 0 0 JULIA ARNOTT-NEENEE COUNCIL OFFICER (AS OF 05/2023) 1.00 0.00 X 0 0 0 ADRIENNE CLELAND DEPUTY V-C (ADMIN & REGISTRAR) 38.00 0.00 X 307334 0 20745 ANDREW PHIPPS DIRECTOR HR 38.00 0.00 X 230253 0 0 JIM METSON DEPUTY VICE-CHANCELLOR 40.00 0.00 X 150255 0 25312 VALERIE LINTON PROVOST 40.00 0.00 X 294429 0 0 TE KAWEHAU HOSKINS PRO-VC MAORI 40.00 0.00 X 129401 0 8696 JEMAIMA TIATIA PRO-VC PACIFIC 40.00 0.00 X 110178 0 3305 ERIK LITHANDER DVC STRATEGIC ENGMT 40.00 0.00 X 232908 0 15721 TIM BLUETT CHIEF FINANCIAL OFFICER 40.00 0.00 X 245244 0 16231 FRANK BLOOMFIELD LIGGINS INSTITUTE 40.00 0.00 X 243203 0 16177 PETER HUNTER DIRECTOR - ABI (THRU 09/2023) 40.00 0.00 X 202945 0 34567 GERARD ROWE DEAN OF ENGINEERING (THRU 12/2023) 40.00 0.00 X 294522 0 18698 NUALA GREGORY DEAN OF CAI 40.00 0.00 X 173875 0 0 SUSAN WATSON DEAN OF BUSINESS & ECONOMICS 40.00 0.00 X 266919 0 45535 MARK BARROW DEAN OF EDUCATION 40.00 0.00 X 194311 0 13116 JOHN FRASER DEAN OF FMHS (THRU 03/23)/PROFESSOR 40.00 0.00 X 233435 0 15757 ROBERT GREENBERG DEAN OF ARTS 40.00 0.00 X 244626 0 0 JOHN HOSKING DEAN OF SCIENCE 40.00 0.00 X 290499 0 8715 PENELOPE MATHEW DEAN OF LAW (THRU 10/2023) 40.00 0.00 X 194227 0 0 SUE ROBERTS DIRECTOR LIBRARIES 38.00 0.00 X 266919 0 45475 SIMON NEALE PROPERTY SERVICES 40.00 0.00 X 245738 0 16587 STEPHEN WHITESIDE CHIEF DIGITAL OFFICER 40.00 0.00 X 222473 0 14954 WARREN SWAIN DEAN OF MEDICAL & HEALTH SCIENCE 40.00 0.00 X 179541 0 10905 WARWICK BAGG DEAN OF LAW 40.00 0.00 X 169878 0 9714 CHARLES MCGHEE PROFESSOR 40.00 0.00 X 364780 0 23586 ANDREW HILL ASSISTANT DEAN 40.00 0.00 X 305818 0 14621 ROD MCNAUGHTON DIRECTOR INNOV PROF DEV 40.00 0.00 X 264777 0 17045 KARAPONI OKESENE-GAFA SENIOR LECTURER 40.00 0.00 X 249385 0 7390 JANE HARDING PROFESSOR 40.00 0.00 X 248110 0 42099 7276914 0 459347 576 0 1 0 HAWKINS LIMITED 60 STANLEY ST PARNELL AUCKLAND NZ 1010 CONSTRUCTION 95694510 MONTANA CATERING LIMITED 6 BROOKLYN ROAD HAMILTON NZ 3240 CATERING 10928113 UP INTERNATIONAL COLLEGE NZ LIMITED 345 QUEEN STREET AUCKLAND NZ 1010 EDUCATION PATHWAY PROVIDER 10363433 ASPEC CONSTRUCTION LTD PO BOX 108004 SYMONDS ST AUCKLAND NZ 1010 CONSTRUCTION 8336927 MARSH LIMITED 151 QUEEN STREET AUCKLAND NZ 1010 INSURANCE SERVICES PROVIDER 8281441 434 3558483 296974111 220474636 521007230 TUITION AND FEES 611710 251863086 251863086 SERVICE INCOME 611710 95726922 95726922 347590008 8787924 8787924 1634987 0 1634987 1634987 1634987 3119682 0 2229235 3119682 -2229235 890447 890447 ADMINISTRATIVE FEES 900099 35280375 35280375 SUNDRY INCOME 900099 9934269 9934269 VEHICLE PARKING 900099 96580 96580 2286875 782144 1504731 47598099 927508695 393586796 0 12914669 53408987 53408987 5917966 4734373 887695 295898 444958053 355966442 66743708 22247903 18152593 14522074 2722889 907630 11246855 8997484 1687028 562343 21896 17517 3284 1095 888764 711011 133315 44438 432102 345682 64815 21605 216192 216192 1717826 1717826 70930289 56917185 10671972 3341132 6452286 5161829 967843 322614 7797127 6237702 1169569 389856 27242336 21793869 4086350 1362117 799587 639670 119938 39979 23353031 18682424 3502955 1167652 16724126 13379301 2508619 836206 5390842 4312674 808626 269542 2976305 2381044 446446 148815 94199129 75359304 14129869 4709956 4306028 3444823 645904 215301 REPAIRS AND MAINTANENCE 30789821 24631857 4618473 1539491 LEASES 24190920 19352736 3628638 1209546 CONSUMABLES 17907336 14325869 2686100 895367 CATERING 5438172 4350537 815726 271909 5812725 4650178 871910 290637 881271294 714324572 125639498 41307224 13867 13295 97492561 71434080 44146259 39415987 20595666 33565908 1661947 1605109 32744328 37502418 3360532544 705474260 2684727853 2655058284 40933081 48959764 11960355 11578798 11763697 41988294 2946039615 2941121937 117422525 114125941 189717080 192261260 810448 600627 152386859 172912895 460336912 479900723 X 1497597007 1428744520 0 0 988105697 1032476694 2485702704 2461221214 2946039615 2941121937 X 46237401 -70718891 X 0 1 X 1 1 1 X 511007792 508666392 571440737 537431801 521007230 2649553952 511007792 508666392 571440737 537431801 521007230 2649553952 2649553952 5227165 3230922 3360083 5130528 10422911 27371609 111523 141385 96580 349488 2677275049 1671297623 0.98960 0.99070 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: VEHICLE PARKING - 2021 AMOUNT: $ 111,523. 2022 AMOUNT: $ 141,385. 2023 AMOUNT: $ 96,580. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 36670671 X X X 0 177590480 4997696 -321784 1506271 180760121 201695773 6650693 -30543322 212664 177590480 165562163 4498568 35813249 4178207 201695773 147302684 13295792 10868779 5905092 165562163 127007016 8643525 14850736 3198593 147302684 0.14991 0.84389 0.00620 0 1 1 870959509 870959509 1588145569 137782606 1450362963 24790760 19261977 5528783 393089740 318142584 74947156 483546966 230287093 253259873 2655058284 EMPLOYEE ENTITLEMENTS 92041054 NON-INTEREST BEARING LOAN 77866707 INCOME TAX PAYABLE 3005134 172912895 X PART III, LINE 4: COLLECTIONS OF ART, HISTORICAL TREASURES, OR OTHER SIMILAR ASSETS THE SPECIAL COLLECTIONS PROVIDE STUDENTS AND STAFF WITH ACCESS TO MATERIALS THAT ARE RARE AND UNIQUE FOR THE PURPOSES OF ADVANCING LEARNING, TEACHING AND RESEARCH. LIBRARY SPECIAL COLLECTIONS HELD BY THE UNIVERSITY ARE INDEPENDENTLY VALUED BY ROWAN GIBBS OF SMITH'S BOOKSHOP LIMITED. THE VALUATION BASIS IS ASSESSED AT MARKET VALUE. GUIDANCE FOR THE VALUATION IS TAKEN FROM THE NEW ZEALAND GOVERNMENT TREASURY VALUATION GUIDANCE FOR CULTURAL AND HERITAGE ASSETS (NOVEMBER 2002), AND THAT VALUATION IS DESIGNED TO BE CONSISTENT WITH THE METHODOLOGY AND OUTCOME OF OTHER COMPARABLE MAJOR HERITAGE COLLECTIONS WITH ESTABLISHED VALUATIONS HELD ELSEWHERE IN NEW ZEALAND, IN PARTICULAR THOSE OF THE ALEXANDER TURNBULL LIBRARY, THE AUCKLAND CITY LIBRARIES, DUNEDIN PUBLIC LIBRARY, AND THE UNIVERSITY OF OTAGO HOCKEN COLLECTIONS. WORKS OF ART HELD BY THE UNIVERSITY ARE INDEPENDENTLY VALUED BY ART+OBJECT. THE VALUATION BASIS IS ASSESSED AT MARKET VALUE. GUIDANCE FOR THE VALUATION IS TAKEN FROM THE NEW ZEALAND GOVERNMENT TREASURY VALUATION GUIDANCE FOR CULTURAL AND HERITAGE ASSETS (NOVEMBER 2002), TE PAPA NATIONAL SERVICES VALUING COLLECTIONS RESOURCE GUIDE AND THE NEW ZEALAND PROPERTY INSTITUTE TRANS-TASMAN AND INTERNATIONAL VALUATION STANDARDS. PART V, LINE 4: USE OF ENDOWMENT FUNDS THE UNIVERSITY HAS ESTABLISHED ENDOWMENTS FOR SPECIFIC PURPOSES. THE CONDITIONS FOR THE USE OF THOSE FUNDS ARE IMPOSED BY COUNCIL, DEED OF GIFT OR BY THE TERMS OF ENDOWMENTS AND BEQUESTS. THE BALANCE OF A FUND IS TRANSFERRED TO GENERAL EQUITY WHEN IT IS NO LONGER REQUIRED FOR A SPECIFIC PURPOSE. PART X, LINE 2: TAX EXEMPT STATUS THE UNIVERSITY IS EXEMPT FROM THE PAYMENT OF INCOME TAX IN NEW ZEALAND AS IT IS TREATED AS A CHARITABLE ORGANISATION BY THE INLAND REVENUE DEPARTMENT. INCOME TAX PAYABLE BY THE CONSOLIDATED ENTITY RELATES TO NET PROFITS DERIVED FROM THE SUBSIDIARY OPERATING IN CHINA AND THE BRANCH IN THE KINDGOM OF SAUDI ARABIA BEING TAXED AT APPLICABLE RATES UNDER THE LAWS OF THOSE COUNTRIES. CURRENT TAX LIABILITIES FOR THE CURRENT PERIOD ARE MEASURED AT THE AMOUNT EXPECTED TO BE PAID TO THE TAXATION AUTHORITIES OF THAT COUNTRY BASED ON THE CURRENT PERIOD'S TAXABLE INCOME OF THE BRANCH. DEFERRED INCOME TAX IS PROVIDED ON ALL TEMPORARY DIFFERENCES, IF ANY, AT THE REPORTING DATE BETWEEN THE TAX BASES OF ASSETS AND LIABILITIES AND THEIR CARRYING AMOUNTS FOR FINANCIAL REPORTING PURPOSES. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 NONDISCRIMINATORY POLICY THE VALUES OF THE UNIVERSITY REFLECT ITS COMMITMENT TO RECOGNIZING A SPECIAL RELATIONSHIP WITH MAORI UNDER THE TREATY OF WAITANGI AND PROVIDING EQUAL OPPORTUNITIES TO ALL WHO HAVE THE POTENTIAL TO SUCCEED IN A UNIVERSITY OF HIGH INTERNATIONAL STANDING. THE UNIVERSITY'S EQUITY POLICY IS MADE AVAILABLE ON ITS WEBSITE. 1. THE UNIVERSITY ACKNOWLEDGES THE DISTINCT STATUS OF MAORI AS TANGATA WHENUA AND IS COMMITTED TO PARTNERSHIPS THAT ACKNOWLEDGE THE PRINCIPLES OF THE TREATY OF WAITANGI. 2. THE UNIVERSITY WILL IDENTIFY AND SEEK TO ELIMINATE UNFAIR AND ILLEGAL BARRIERS AND SUPPORT EQUITABLE ACCESS, PARTICIPATION, ENGAGEMENT AND SUCCESS FOR ALL STAFF AND STUDENTS, PARTICULARLY MAORI AS WELL AS THOSE FROM EQUITY GROUPS, BY DEVELOPING ROBUST EQUITY STRATEGIES WITH MEASURABLE OUTCOMES. SCHEDULE E, PART I, LINE 6 FUNDS RECEIVED FROM U.S. GOVERNMENT THE UNIVERSITY OF AUCKLAND RECEIVES FUNDS FROM THE FOLLOWING FEDERAL AND STATE PROGRAMS: US DEPARTMENT OF HEALTH AND HUMAN SERVICES/NATIONAL INSTITUTES OF HEALTH, US DEPARTMENT OF DEFENSE/DEPARTMENT OF THE NAVY/OFFICE OF THE CHIEF OF NAVAL RESEARCH, NATIONAL AERONAUTICS AND SPACE ADMINISTRATION, DEPARTMENT OF JUSTICE/NATIONAL INSTITUTE OF JUSTICE, NATIONAL SCIENCE FOUNDATION AND DEPARTMENT OF AGRICULTURE. CERTAIN STUDENTS OF THE UNIVERSITY OF AUCKLAND RECEIVE STUDENT FINANCIAL AID FROM THE US DEPARTMENT OF EDUCATION IN THE FORM OF DIRECT STUDENT LOANS AND GRANTS. LINE 3 - EXPLANATION OF NONDISCRIMINATION POLICY (CONTINUED): 3. THE UNIVERSITY AIMS TO PROVIDE A SAFE AND INCLUSIVE STUDY AND WORK ENVIRONMENT CHARACTERISED BY IMPARTIAL, MERIT BASED DECISION MAKING. IT WILL PLAN, RESOURCE, MONITOR AND REPORT PROGRESS TOWARDS THE ACHIEVEMENT OF ASPIRATIONAL EQUITY GOALS. IT WILL FOSTER FAIRNESS AND RESPECT FOR SOCIAL AND CULTURAL DIVERSITY. 4. THE UNIVERSITY WILL ENHANCE ITS NATIONAL AND INTERNATIONAL REPUTATION AND ATTRACT, RETAIN AND SUPPORT TALENTED PEOPLE TO ACHIEVE THEIR POTENTIAL THROUGH ITS COMMITMENT TO EQUITY OUTCOMES. THIS WILL BENEFIT THE CREATIVE AND INTELLECTUAL LIFE OF THE UNIVERSITY, AND SUPPORT ENGAGEMENT WITH THE UNIVERSITY'S DIVERSE COMMUNITIES. 5. THE UNIVERSITY OPPOSES DISCRIMINATION, INCLUDING DISCRIMINATION ON THE PROHIBITED GROUNDS STATED IN THE HUMAN RIGHTS ACT 1993, BEING SEX, MARITAL STATUS, RELIGIOUS BELIEF, ETHICAL BELIEF, COLOUR, RACE, ETHNIC OR NATIONAL ORIGINS, DISABILITY, AGE, POLITICAL OPINION, EMPLOYMENT STATUS, FAMILY STATUS, AND SEXUAL ORIENTATION. 6. THE UNIVERSITY WILL MEET THE REQUIREMENT FOR 'AN EQUAL OPPORTUNITIES PROGRAMME' UNDER THE STATE SECTOR AND EDUCATION ACTS BY FACULTY AND SERVICE DIVISION STRATEGIC AND ANNUAL PLANS, REPORTED THROUGH ANNUAL EQUITY REPORTING TO THE UNIVERSITY'S EQUITY COMMITTEE, WHICH REPORTS TO COUNCIL. IT WILL COMPLY WITH ALL TERTIARY EDUCATION COMMISSION EQUITY REPORTING REQUIREMENTS, AND WILL COMPLY WITH ALL APPLICABLE LEGISLATION IN ITS PURSUIT OF EQUITY. 1 EAST ASIA AND THE PACIFIC 1 13110 PROGRAM SERVICES EDUCATION 714324572 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 41307224 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 53408987 EAST ASIA AND THE PACIFIC 0 0 MAINTAINING OFFICES 125639498 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 11578798 1 13110 0 0 1 13110 946259079 0 946259079 EAST ASIA AND THE PACIFIC GRANT, AWARD, SPONSORSHIP SUPPORT 90608 BANK TSF 0 1 0 NZ GOVT FUNDED SCHOLARSHIPS EAST ASIA AND THE PACIFIC 1912 6021514 BANK TSF POST GRADUATE SCHOLARSHIPS EAST ASIA AND THE PACIFIC 966 3904454 BANK TSF STUDY ABROAD SCHOLARSHIPS EAST ASIA AND THE PACIFIC 306 1753316 BANK TSF UNI OF AKL FUNDED SCHOLARSHIPS EAST ASIA AND THE PACIFIC 1071 1244235 BANK TSF VARIOUS GRANTS & SCHOLARSHIPS EAST ASIA AND THE PACIFIC 345 40394860 BANK TSF 0 0 1 0 0 0 PART I, LINE 2: MONITORING USE OF GRANTS LOCATED IN AUCKLAND, NEW ZEALAND, ALL SCHOLARSHIPS PROVIDED TO UNIVERSITY STUDENTS ARE GRANT FUNDS DISTRIBUTED TO INDIVIDUALS OUTSIDE THE U.S. THE UNIVERSITY OF AUCKLAND PROVIDES SCHOLARSHIPS TO QUALIFIED STUDENTS BASED ON A VARIETY OF FINANCIAL NEEDS AND EDUCATIONAL PURSUITS. EACH YEAR THE UNIVERSITY AWARDS OVER $27.36 MILLION (NZD) WORTH OF SCHOLARSHIPS AT ALL LEVELS OF STUDY. SCHOLARSHIPS ARE AWARDED FOR OVERCOMING ADVERSITY, FINANCIAL HARDSHIP, OR REWARDING SUCCESS AT A SECONDARY SCHOOL. ELIGIBILITY VARIES BASED ON EACH INDIVIDUAL SCHOLARSHIP. SCHOLARSHIPS ARE AWARDED BY BOTH THE UNIVERSITY AND BY INDIVIDUAL ACADEMIC DEPARTMENTS. THE NUMBER AND AMOUNT OF GRANTS AWARDED ON AN ANNUAL BASIS DEPENDS ON THE NEED OF THE STUDENTS IN EACH ACADEMIC YEAR AND THE ABILITY OF THE UNIVERSITY AND INDIVIDUAL ACADEMIC DEPARTMENTS TO MEET THE NEEDS OF QUALIFYING APPLICANTS. THE UNIVERSITY MONITORS ALL RECIPIENTS OF SCHOLARSHIP AWARDS TO DETERMINE BOTH INITIAL AND CONTINUING ELIGIBILITY BASED ON CRITERIA FOR EACH TYPE OF AWARD. SCHOLARSHIPS AWARDED ARE APPLIED DIRECTLY TO THE STUDENT'S ACCOUNT. SHOULD A STUDENT FAIL TO MEET THE GPA REQUIREMENTS OR OTHER CRITERIA FOR ELIGIBILITY, THE SCHOLARSHIP MAY BE REVOKED. PART I, LINE 3: ACCOUNTING METHOD USED THE ORGANIZATION IS USING THE ACCRUAL METHOD TO ACCOUNT FOR EXPENDITURES. X X X X X X X 1 SUE SARGENT (CO GRESTAN LTD) 21 ST MICHAELS ROAD CLAVERDON WARWICKSHIRE UK 8NT CONSULTANT 0 0 86294 -86294 ANN RYAN SOLOMON 30976 RUSSELL BLVD WINTERS CA 95694 CONSULTANT 0 0 65246 -65246 MELISSA HALBRIDGE 155 PEBBLE LANE NEW YORK NY 11557 CONSULTANT 0 0 64652 -64652 216192 -216192 SCHEDULE G, PART I, LINE 2B, COLUMN (V) PROFESSIONAL FUNDRAISING SERVICES UNIVERSITY OF AUCKLAND ENGAGES CONSULTANTS TO SOLICIT GIFTING PROSPECTS AND MANAGE FUNDRAISING ACTIVITIES. INCOME GENERATED IS RECEIVED BY UNRELATED CHARITABLE ORGANIZATIONS, AND CANNOT BE DIRECTLY LINKED TO THE UNIVERSITY. X 0 0 0 0 0 0 0 0 0 DAWN FRESHWATER VICE-CHANCELLOR 463190 0 0 0 0 0 0 0 0 0 463190 0 0 0 CHARLES MCGHEE PROFESSOR 364780 0 0 0 0 0 23586 0 0 0 388366 0 0 0 ADRIENNE CLELAND DEPUTY V-C (ADMIN & REGISTRAR) 307334 0 0 0 0 0 20745 0 0 0 328079 0 0 0 ANDREW HILL ASSISTANT DEAN 305818 0 0 0 0 0 14621 0 0 0 320439 0 0 0 GERARD ROWE DEAN OF ENGINEERING (THRU 12/2023) 294522 0 0 0 0 0 18698 0 0 0 313220 0 0 0 SUSAN WATSON DEAN OF BUSINESS & ECONOMICS 266919 0 0 0 0 0 45535 0 0 0 312454 0 0 0 SUE ROBERTS DIRECTOR LIBRARIES 266919 0 0 0 0 0 45475 0 0 0 312394 0 0 0 JOHN HOSKING DEAN OF SCIENCE 290499 0 0 0 0 0 8715 0 0 0 299214 0 0 0 VALERIE LINTON PROVOST 294429 0 0 0 0 0 0 0 0 0 294429 0 0 0 JANE HARDING PROFESSOR 248110 0 0 0 0 0 42099 0 0 0 290209 0 0 0 ROD MCNAUGHTON DIRECTOR INNOV PROF DEV 264777 0 0 0 0 0 17045 0 0 0 281822 0 0 0 SIMON NEALE PROPERTY SERVICES 245738 0 0 0 0 0 16587 0 0 0 262325 0 0 0 TIM BLUETT CHIEF FINANCIAL OFFICER 245244 0 0 0 0 0 16231 0 0 0 261475 0 0 0 FRANK BLOOMFIELD LIGGINS INSTITUTE 243203 0 0 0 0 0 16177 0 0 0 259380 0 0 0 KARAPONI OKESENE-GAFA SENIOR LECTURER 249385 0 0 0 0 0 7390 0 0 0 256775 0 0 0 JOHN FRASER DEAN OF FMHS (THRU 03/23)/PROFESSOR 233435 0 0 0 0 0 15757 0 0 0 249192 0 0 0 ERIK LITHANDER DVC STRATEGIC ENGMT 232908 0 0 0 0 0 15721 0 0 0 248629 0 0 0 ROBERT GREENBERG DEAN OF ARTS 244626 0 0 0 0 0 0 0 0 0 244626 0 0 0 PETER HUNTER DIRECTOR - ABI (THRU 09/2023) 202945 0 0 0 0 0 34567 0 0 0 237512 0 0 0 STEPHEN WHITESIDE CHIEF DIGITAL OFFICER 222473 0 0 0 0 0 14954 0 0 0 237427 0 0 0 ANDREW PHIPPS DIRECTOR HR 230253 0 0 0 0 0 0 0 0 0 230253 0 0 0 MARK BARROW DEAN OF EDUCATION 194311 0 0 0 0 0 13116 0 0 0 207427 0 0 0 PENELOPE MATHEW DEAN OF LAW (THRU 10/2023) 194227 0 0 0 0 0 0 0 0 0 194227 0 0 0 WARREN SWAIN DEAN OF MEDICAL & HEALTH SCIENCE 179541 0 0 0 0 0 10905 0 0 0 190446 0 0 0 WARWICK BAGG DEAN OF LAW 169878 0 0 0 0 0 9714 0 0 0 179592 0 0 0 JIM METSON DEPUTY VICE-CHANCELLOR 150255 0 0 0 0 0 25312 0 0 0 175567 0 0 0 NUALA GREGORY DEAN OF CAI 173875 0 0 0 0 0 0 0 0 0 173875 0 0 0 JENNIFER CURTIN THRU 062023 COUNCIL OFFICER & PROFESSOR 159440 0 0 0 0 0 7761 0 0 0 167201 0 0 0 FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION (CONT.) IN CARRYING OUT THIS PURPOSE, THE UNIVERSITY AIMS TO DEVELOP THE KNOWLEDGE, UNDERSTANDING AND TALENTS OF ITS STUDENTS, FOSTER THE RESEARCH AND CREATIVITY OF ITS STAFF, ENRICH THE CULTURES AND PROMOTE THE PROSPERITY OF AUCKLAND, ITS REGION AND THE NATION, AND ENHANCE KNOWLEDGE IN THE VARIOUS FIELDS OF ITS ENDEAVOR. FORM 990, PART III, LINE 4A PROGRAM SERVICE DESCRIPTION (CONT.) THE CLUSTERING OF A WIDE RANGE OF DISCIPLINES ENABLES STUDENTS TO TAKE ADVANTAGE OF A LIBERAL EDUCATION ALONGSIDE PROFESSIONAL TRAINING, SOMETIMES IN CONJOINT DEGREES WHICH CROSS FACULTY BOUNDARIES. THE PROFESSIONAL FACULTIES ARE ENGAGED IN DEVELOPING HIGH LEVEL KNOWLEDGE AND SKILLS THAT ARE CRITICAL IN PROFESSIONAL EDUCATION AND PROFESSIONAL PRACTICE. FORM 990, PART V, LINE 1 & 2, PART VII, SECTION A & B: OFFICERS, HIGHEST COMPENSATED EMPLOYEES, AND CONTRACTORS ACTIVITY OF THE UNIVERSITY OF AUCKLAND REFLECTED IN THIS FORM TAKES PLACE EXCLUSIVELY IN NEW ZEALAND; THERE IS NO ACTIVITY TAKING PLACE IN THE US. ALL COMPENSATION PAID TO UNIVERSITY EMPLOYEES REPORTED IN PART VII WAS PAID EXCLUSIVELY IN NEW ZEALAND; NO COMPENSATION HAS BEEN PAID TO ANY UNIVERSITY EMPLOYEE IN THE U.S. FORM 990, PART VI, SECTION A, LINE 7A POWERS TO ELECT MEMBERS OF THE GOVERNING BODY FOUR MEMBERS ARE APPOINTED BY THE MINISTER OF EDUCATION, FOUR MEMBERS ARE ELECTED BY THE COUNCIL, A MEMBER IS ELECTED BY THE STUDENTS, A MEMBER IS ELECTED BY THE PROFESSIONAL STAFF, AND A MEMBER IS ELECTED BY THE ACADEMIC STAFF. THE VICE-CHANCELLOR BY VIRTUE OF HIS/HER HOLDING OFFICE AS THE CHIEF EXECUTIVE OFFICER OF THE UNIVERSITY OF AUCKLAND. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS THE FORM 990 IS PREPARED BY AN INDEPENDENT PROFESSIONAL SERVICES FIRM WITH INFORMATION PROVIDED BY TAX AND FINANCE COMPLIANCE MANAGER AT UOA. THE FORM IS NOT REVIEWED BY THE COUNCIL MEMBERS, AS ALL MEMBERS ARE NEW ZEALAND BASED. PRIOR TO FILING WITH THE INTERNAL REVENUE SERVICE, THE FORM IS REVIEWED BY THE GROUP FINANCIAL CONTROLLER AND CHIEF FINANCIAL OFFICER. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST THE CONFLICT OF INTEREST POLICY WAS APPROVED IN APRIL 2021 AND IS DUE FOR REVIEW AGAIN IN APRIL 2026. THE POLICY SEEKS TO ENSURE THAT IN DECISION MAKING, EXERCISING DISCRETIONS IN MANAGING OR MAKING DECISIONS AND IN THEIR PERSONAL AND PROFESSIONAL CAPACITIES, UNIVERSITY MEMBERS ARE NOT CONFLICTED IN INTEREST WITH, OR IN BREACH OF FIDUCIARY OR GOOD FAITH OBLIGATIONS TO THE UNIVERSITY. MEMBERS SUBJECT TO THE POLICY INCLUDES ALL COUNCIL MEMBERS, MEMBERS OF COMMITTEES AND BOARDS, STAFF MEMBERS, HONORARY AND ADJUNCT APPOINTEES, STUDENTS, CONTRACTORS, SUBCONTRACTORS, CONSULTANTS, ASSOCIATES AND BUSINESS PARTNERS OF EITHER THE UNIVERSITY OR THE UNIVERSITY'S SUBSIDIARIES. CONFLICTS REPORTED BY EMPLOYEE ARE REVIEWED BY THE LINE MANAGER AND REPORTED TO THE UNIVERSITY REGISTRAR, AS APPROPRIATE. CONFLICTS REPORTED BY NON-EMPLOYEES ARE DISCLOSED TO AND REVIEWED BY A SENIOR OFFICER OF THE UNIVERSITY, SUCH AS THE CHAIR OF THE RELEVANT COMMITTEE, DEAN, OR REGISTRAR. ONCE A CONFLICT HAS BEEN DECLARED, DEPENDENT ON THE NATURE OF THE CONFLICT OF INTEREST, THAT MEMBER MAY BE WITHDRAWN FROM INVOLVEMENT IN THE DECISION PROCESS OR EXERCISE OF DISCRETION ON BEHALF OF THE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION THE VICE CHANCELLOR'S COMPENSATION IS RECOMMENDED BY THE COUNCIL AND IS APPROVED BY THE STATE SERVICES COMMISSION. THE CFO AND THE SENIOR MANAGEMENT TEAM'S COMPENSATION IS DETERMINED BY THE VICE CHANCELLOR BASED ON PERFORMANCE OF THE EMPLOYEE. THE UNIVERSITY HAS ADOPTED AND USES A JOB EVALUATION METHODOLOGY FROM STRATEGIC PAY, THE LARGEST NEW ZEALAND BASED REMUNERATION CONSULTANCY, TO EVALUATE PROFESSIONAL STAFF POSITIONS AND SET REMUNERATION RANGES. THESE JOB EVALUATION BANDS ARE LINKED TO INDEPENDENT REMUNERATION SURVEY DATA COMPILED BY STRATEGIC PAY ANNUALLY WHICH ENABLES THE UNIVERSITY TO ENSURE THAT PAY RATES ARE COMPETITIVE AND FAIR WHEN COMPARED TO THE EXTERNAL MARKET. THE UNIVERSITY'S REMUNERATION RANGE FOR EACH JOB EVALUATION BAND IS CHECKED AGAINST THIS MARKET DATA. THE UNIVERSITY WILL THEN MAKE A DECISION TO INCREASE THESE RANGES BASED ON THIS COMPARISON WITH THE EXTERNAL MARKET. THE UNIVERSITY MAKES THE FINAL DECISION ON WHETHER THE RANGES WILL CHANGE AND WILL ALSO TAKE INTO TO ACCOUNT WIDER EXTERNAL ECONOMIC FACTORS, SUCH AS THE NZ LABOUR MARKET, JOB MARKET, AND ALSO INTERNAL FINANCIAL FACTORS SUCH AS AFFORDABILITY. THE UNIVERSITY UNDERTAKES THIS EXERCISE AND REVIEW RANGES ON AN ANNUAL BASIS. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS THE GOVERNING DOCUMENTS CAN BE FOUND IN THE UNIVERSITY OF AUCKLAND ACT OF 1961 AND THE EDUCATION AND TRAININIG ACT 2020. THE ORGANIZATION'S CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE MADE AVAILABLE ON ITS WEBSITE. FORM 990, PART VII: BOARD COMPOSITION AND COMPENSATION THE UNIVERSITY'S GOVERNING BODY IS THE COUNCIL, WHICH COMPRISES ELECTED STAFF; STUDENTS AND GRADUATES; COUNCIL APPOINTEES; AND MINISTERIAL APPOINTEES. SOME MEMBERS OF THE UNIVERSITY COUNCIL ARE ALSO EMPLOYED AS PROFESSORS AND STAFF OF THE UNIVERSITY. THESE INDIVIDUALS ARE COMPENSATED FOR THE SERVICES PROVIDED IN THEIR CAPACITY AS PROFESSOR AND ARE NOT COMPENSATED FOR THEIR SERVICES AS COUNCIL MEMBERS. STUDENTS ARE ALSO COMPENSATED FOR THEIR ALTERNATIVE EMPLOYMENT ON CAMPUS AND NOT COMPENSATED FOR THEIR SERVICES AS COUNCIL MEMBERS. ALL COMPENSATION IS NEGOTIATED AT ARM'S LENGTH AND IS SUBJECT TO REVIEW AND APPROVAL. FORM 990, PART XI, LINE 9: FAIR VALUE OF CIP 22,299,762. GAIN/LOSS ON ASSET REVALUATION RESERVE 6,164,417. INTERCOMPANY ELIMINATIONS 3,800,631. GAIN/LOSS ON CASH FLOW HEDGES TAKEN TO EQUITY -64,417. DIFFERENCE IN TRANSLATION RATES -102,919,284. THE UNIVERSITY OF AUCKLAND FOUNDATION 19A PRINCES STREET AUCKLAND NZ 1001 REG CHARITY NZ N/A N/A UOA 1 AUCKLAND UNISERVICES LIMITED LEVEL 10 70 SYMONDS STREET AUCKLAND NZ 1010 RESEARCH NZ UOA C 3558483 1.00000 1 THE UOA (HANGZHOU) INNOVATION INSTITUTE BLDG 13 NO 20 KEJIYUAN ROAD BAIYANG HANGZHOU CH RESEARCH CH UNISERVICES C 1.00000 1 1 0 1 0 1 0 0 0 0 0 0 1 0 1 1 0 0 0 1 AUCKLAND UNISERVICES LIMITED A 1058595 FMV AUCKLAND UNISERVICES LIMITED E 33742331 FMV AUCKLAND UNISERVICES LIMITED N 49866 FMV AUCKLAND UNISERVICES LIMITED O 440006 FMV THE UNIVERSITY OF AUCKLAND FOUNDATION C 5552413 FMV THE UNIVERSITY OF AUCKLAND FOUNDATION L 23068098 FMV THE UNIVERSITY OF AUCKLAND FOUNDATION N 11945 FMV THE UNIVERSITY OF AUCKLAND FOUNDATION O 180595 FMV