2017-07-24T09:10:13-05:00 2016-09-30 135565207 KPMG LLP 1676 International Drive McLean VA 22102 990 2015-10-01 530206027 Smithsonian Institution SMIT 2026331000 1000 Jefferson Drive S W Washington DC 20560 Albert Horvath Chief Financial Officer 2026331000 2017-07-24 1 Margaret A Bradshaw P00501222 7032868000 2015 2021-01-29 14:40:06Z Dr David J Skorton 1000 Jefferson Dr SW Washington DC 20560 1628330534 0 X www.si.edu X Sch O 1846 "Increase and diffusion of knowledge" is the mission set forth by James Smithson. 17 17 6935 6223 17627639 -974784 1097910208 1221449061 107979707 109747404 83788543 53948762 65059370 64485155 1354737828 1449630382 17989418 18942921 0 0 614850732 653696354 6348145 3720161 50181886 581335768 631334735 1220524063 1307694171 134213765 141936211 4516291473 4712932038 877713081 881992402 3638578392 3830939636 X "Increase and diffusion of knowledge" is the mission set forth by James Smithson. The Smithsonian endeavors to shape the future by preserving our heritage, discovering new knowledge, and sharing our resources with the world. 0 0 488998307 17555691 45537335 4A Research and Collections (See Schedule O)Research and Collections - The Smithsonian collections of nearly 154 million objects (art, artifacts and scientific specimens) are the heart of the Institution. Research, public programs and exhibitions are based on these collections which additionally include 10 million digital records of online material. Care of the collections involves the work of registrars, conservators, museum specialists, designers, curators and editors. Approximately 145 million objects and specimens are part of the National Museum of Natural History collections and primarily used for research by both Smithsonian scientists and researchers from around the world. In some cases, the museum has the definitive, irreplaceable collection of a certain species which is essential for comparative studies. A fossil that has been in the National Museum of Natural History's collection since it was discovered in 1951 is helping scientists piece together the evolutionary history of whales and dolphins, including the origins of the endangered South Asian river dolphin. The fossil has been determined to belong to a dolphin that swam in subarctic marine waters about 25 million years ago. It represents a new genus and species, which Smithsonian scientists have named Arktocara yakataga.The 1 millionth object from the Smithsonian's collections was digitized by the Smithsonian's Mass Digitization Program. A silver-and-wood teapot crafted by African American master silversmith Peter Bentzon in Philadelphia between 1817 and 1829 is one of the prized objects in the collection of the National Museum of African American History and Culture.Staff from the National Air and Space Museum and the Smithsonian's 3D Digitization Program discovered writing on the interior walls of the Apollo 11 command module - something that was previously unknown to the Smithsonian. The astronaut "graffiti," unseen for almost 50 years, includes notes, figures and a calendar, presumably written by the crew during their historic flight to the moon.The Smithsonian National Zoo celebrated the birth of three critically endangered red-ruffed lemurs born in April 2016. Unlike most primates who carry their offspring with them, red-ruffed lemurs typically leave their young in nests while they search for food. Native to the northeastern deciduous forests of Madagascar, these lemurs are considered critcally endangered by the International Union for Conservation of Nature due to deforestation, hunting and trapping for the pet trade.Michael Jordan donated a game-worn 1996 NBA Finals home jersey to the National Museum of African American History and Culture's permanent collection. 435043315 1387230 51675934 4B Education, Public Programs and Exhibitions (See Schedule O)Education, Public Programs and Exhibitions - The Arthur M. Sackler Gallery and Freer Gallery of Art opened "Turquoise Mountain: Artists Transforming Afghanistan" March 5, 2016, in which a large gallery has been converted into a marketplace of Old Kabul with artisans demonstrating their skills in jewelry making, woodworking, calligraphy, ceramics and other crafts. Turquoise Mountain is a British charity based in Afghanistan that works with Afghan artisans and architects to revive the country's cultural heritage and revitalize Murad Khani, Kabul's historic Old City where artisans live and work. The immersive exhibition includes videos, an interactive touchscreen map, a caravanserai and a social-media wall. The first gallery on the National Mall designed for the learning needs of children from infancy to age 6 opened Dec. 9, 2015, at the National Museum of American History. "Wonderplace," a 1,700-square-foot children's center, provides the youngest historians with age-appropriate activities and experiences. The early-learning gallery completes the museum's 45,000-square-foot Innovation Wing, which features 12 exhibitions, learning spaces and program places all centered on the themes of invention, creativity and business.The National Museum of African American History and Culture opened to the public on September 24, 2016. Participants in the program included President Barack Obama and First Lady Michelle Obama, former President George W. Bush and Mrs. Laura Bush, Chief Justice John G. Roberts Jr., Smithsonian Secretary David Skorton, Rep. John Lewis and Lonnie G. Bunch III, the museum's founding director. Vice President Joseph R. Biden Jr., Dr. Jill Biden and former President Bill Clinton also attended the ceremony. The Smithsonian Asian Pacific American Center debuted "CrossLines: A Culture Lab on Intersectionality" at the historic Arts and Industries Building. The two-day event over Memorial Day weekend featured the works of more than 40 artists, scholars and performers. "CrossLines" began traveling to various cities after closing at the Smithsonian.The National Museum of the American Indian presented a free museum-wide, two-day festival celebrating the Choctaw Nation of Oklahoma's tribal history and heritage. There were hands-on activities for children and families including crafting corn-husk dolls and beaded necklaces. The Anacostia Community Museum presented "Twelve Years that Shook and Shaped Washington: 1963-1975," an exhibition documenting the slow but steady movement toward home rule as District residents obtained appointed representation and later the right to elect them. "Twelve Years" also included historical images, autobiographical stories and interviews with current and former Washingtonians involved with or observers of events significant to the era. The National Air and Space Museum's GE Aviation Series featured two accomplished and decorated female pilots-Suzanna Darcy-Hennemann, who spoke about her experiences as Boeing's first female test pilot, and Lt. Col. Christine Mau, the first and only female pilot of the F-35. 76550443 63129565 4C Membership (See Schedule O)Membership - The National Associate program is the Institution's largest and most basic membership program. The program provides members with "Smithsonian" magazine which is published 11 times a year. The print and online publication provides in-depth coverage of history, science, nature, the arts, and world cultures. "Smithsonian" magazine also hosts the annual Ingenuity Awards, honoring the best and the brightest innovators who are making a difference in the world in a variety of fields."Friends of the Smithsonian" is a higher level membership program for people interested in a deeper philanthropic connection to the Smithsonian. Friends receive "Smithsonian" magazine, plus they are invited to various events and are given the opportunity to learn about and support the Institution's exhibits and research. The Smithsonian Associates offers unparalleled access to the Smithsonian's world of knowledge through innovative and engaging programming that promotes learning, enrichment and creativity for people of all ages. The largest museum-based educational program in the world, Smithsonian Associates annually offers more than 750 seminars, performances, lectures, studio art classes and local and regional study tours. Performances at Discovery Theater and more than 90 educationally focused summer camps are among the programs that foster the joys of learning for young people and their families. In FY 2016 notable guests included Donna Karan, Kevin Costner, Shonda Rhimes and several members of ABC's "Scandal" cast. 1000592065 1 1 0 0 0 0 1 1 0 1 1 1 0 0 1 1 1 0 0 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 0 0 0 1 3886 0 1 6935 1 1 1 1 PM GB 0 0 0 1 1 0 0 0 1 0 X 17 17 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X X Jean Garvin 2026337218 2011 Crystal Dr Arlington VA 22202 Honorable John Roberts Jr Regent 0.50 X 0 0 0 Honorable Joseph Biden Regent 0.50 X 0 0 0 Honorable Xavier Becerra Regent 2.00 X 0 0 0 Honorable John Boozman Regent 2.00 X 0 0 0 Honorable Thomas Cole Regent 2.00 X 0 0 0 Honorable Sam Johnson Regent 2.00 X 0 0 0 Honorable Patrick Leahy Regent 2.00 X 0 0 0 Honorable David Perdue Regent 2.00 X 0 0 0 Ms Barbara Barrett Regent 2.00 X 0 0 0 Mr Steve Case Regent 2.00 X 0 0 0 Mr John Fahey Regent 2.00 X 0 0 0 Dr Shirley Ann Jackson Regent 8.00 X 0 0 0 Mr Robert Kogod Regent 2.00 X 0 0 0 Dr Risa Lavizzo-Mourey Regent 2.00 X 0 0 0 Mr Michael Lynton Regent 2.00 X 0 0 0 Mr John McCarter Regent 16.00 X 0 0 0 Mr David Rubenstein Regent 2.00 X 0 0 0 David Skorton Secretary 50.00 X 508315 0 53045 Albert Horvath U/S Finance & Administration/CFO 50.00 X 442856 0 59932 Cathy Helm Inspector General 50.00 X 179434 0 19216 Judith Leonard General Counsel 50.00 X 188345 0 33650 Porter Wilkinson Chief of Staff - Regents 50.00 X 119097 0 21280 Nancy Bechtol Director - Facilities 50.00 X 189653 0 25933 Claudine Browndecd 031716 Asst Sec - Education and Access 50.00 X 261211 0 46853 Deron Burba Chief Information Officer 50.00 X 189561 0 44228 Amy Chen Chief Investment Officer 50.00 X 509771 0 37033 Virginia Clark Director - Advancement & Giving 50.00 X 349878 0 59932 Bruce Dauer VP Finance/Adm - (SE) 50.00 X 300468 0 36638 James Douglas Director - Office of Human Resources 50.00 X 184117 0 29921 Jean Garvin Director - Finance & Accounting 50.00 X 183014 0 46225 John Kress Interim Under Secretary - Science 50.00 X 164709 0 25382 Richard Kurin Acting Provost-U/S for Museums/Research 50.00 X 312848 0 56047 John Lapiana Acting Asst Sec/Comm & External Affrs 50.00 X 212119 0 33998 Dorothy Leffler Director - Office of Contracts 50.00 X 156943 0 17170 Evelyn LiebermanDecd 121215 Senior Advisor to the Secretary 50.00 X 248558 0 35001 Christopher Liedel President - Smithsonian Enterprises 50.00 X 628563 0 61991 Era Marshall Dir-Equal Emplymt & Minority Affairs 50.00 X 173242 0 15178 Mary Payne Director - Office of Govt Relations 50.00 X 187036 0 36811 David Voyles Director - OPMB 50.00 X 176679 0 14637 Michael Caruso Editor in Chief - (SE) 50.00 X 333555 0 59441 Melissa Chiu Director - Hirschhorn Museum 50.00 X 389547 0 60026 Edward Howell SVP Retail-Smithsonian Enterprises 50.00 X 390465 0 59347 Carol LeBlanc SVP Licensing-Smithsonian Enterprises 50.00 X 334429 0 56409 Jeffrey Smith Investment Officer 50.00 X 350927 0 43261 G Wayne Clough Former Secretary 50.00 X 143239 0 4907 Charles R Alcock Former Acting Under Sec - Science 50.00 X 157679 0 20458 Kenneth Johnson Former Acting Director - OPMB 50.00 X 177752 0 8637 Andrew Zino Former Comptroller 50.00 X 165091 0 25130 8309101 0 1147717 1363 1 1 0 ClarkSmootRussell A Joint Venture 7500 Old Georgetown Road Bethesda MD 20814 Construction 133534271 Design and Production 7110 Rainwater Place Lorton VA 22079 Exhibit Design 20016314 Grunley Construction Company 888 17th Street NW Washington DC 20006 Construction 18329129 Consigli Construction Company 72 Sumner Street Milford MA 01757 Construction 18115331 Hensel Phelps Construction Company 4437 Brookefield Corp Dr Chantilly VA 20151 Construction 13160731 408 43693 19952493 3647170 508408 951570661 245726636 25035328 1221449061 Visitors/Members/Emplo 900099 49749773 26497332 23252441 Subscriptions-magazine 511120 33826982 33826982 Tours/Classes 900099 12038910 11958852 80058 Theater Income 512131 11964784 9332918 2631866 Traveling Exhibitions 712110 2066955 2066955 100000 100000 109747404 13983057 13983057 14688923 14688923 192631741 575616 153241652 0 39390089 575616 39965705 575616 39390089 1467824 3647170 2267022 -799198 -799198 60835673 23191478 37644195 35779715 1864480 Magazine/Website Adver 541800 12951235 12951235 12951235 1449630382 120038370 17627639 90515312 364591 364591 12050170 12050170 6528160 6528160 7151183 1889887 4834296 427000 3790014 3598453 191561 489706830 352427453 116341470 20937907 64772546 48444048 13666320 2662178 54963088 38704680 13956366 2302042 33312693 23236179 8735910 1340604 4134098 2938962 1188842 6294 823533 823533 3720161 3720161 2491374 2491374 127878911 88693468 27466202 11719241 6376997 4641097 943748 792152 51836856 41459053 9248355 1129448 49302375 12528378 35573574 1200423 309564 309519 45 121255309 100725964 18624784 1904561 14787306 11440921 2226486 1119899 4661437 3235566 1257236 168635 3018592 3018592 136008297 116849524 18893818 264955 1210453 563177 647117 159 Periodical & Program Pr 46724203 42869726 3473782 380695 Research/Subcontracts 36314538 36314538 Collections & Equipmnt/ 24200892 23613959 481446 105487 OH Cost Recovery Grants 0 24146000 -24146000 1307694171 1000592065 256920220 50181886 X 11231431 2918367 0 8313064 506406711 407562748 25628497 23446852 274734852 288750726 47018136 48830546 11162602 13084526 16727691 18171247 4357920588 2025835058 2226521998 2332085530 264932851 414869111 1106485966 1127208144 36672169 38922608 4516291473 4712932038 304981578 286293705 319622707 343096650 102767192 101221443 100000000 100000000 50341604 51380604 877713081 881992402 X 2397125664 2651205341 754106270 670393313 487346458 509340982 3638578392 3830939636 4516291473 4712932038 X 141936211 55074640 -4649607 X 0 1 X 1 1 1 X 1126869412 1120530769 1190256002 1097910208 1221449061 5757015452 1126869412 1120530769 1190256002 1097910208 1221449061 5757015452 5757015452 17395111 20622076 35313796 26621870 28671980 128624833 5885640285 795164104 0.97810 0.97940 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 1 88.25 0 0 0 1 0 0.00 0 X X X X 1 1288235067 52940072 99512052 67486808 4445386 1368754997 1299208124 49265188 2426301 59663483 3001063 1288235067 1191094313 37894600 130483529 57266941 2997377 1299208124 1074356857 34861990 139875394 55408994 2590934 1191094313 971279043 34505912 121707182 51207144 1928136 1074356857 0.46000 0.33410 0.20590 0 0 12582149 12582149 3481662916 1680696796 1800966120 129317168 72611066 56706102 390233460 272527196 117706264 344124895 344124895 2332085530 Global & Emerging Markets 368682242 F Marketable Alternatives 281915714 F Private Equity & Venture Capital 277953294 F Natural Resources 73042036 F Real Estate 103644655 F Fixed Income 21970203 F 1127208144 Environmental remediation obligation 51380604 51380604 X 1577109649 55074640 9367394 40070107 104512141 1472597508 2491374 -25458500 -22967126 1449630382 1384748406 9367394 71345346 80712740 1304035666 2491374 1167131 3658505 1307694171 Part II, Line 3: Smithsonian Institution did not modify, transfer, release, extinguish or terminate any conservation easements during the year. Part II, Line 6 The Smithsonian Environmental Research Center (SERC) is located on 2,650 acres of land on the Chesapeake Bay in southern Maryland spanning forests, wetlands, marshes, and 12 miles of protected shoreline. The site serves as a natural laboratory for long-term and cutting-edge ecological research. The Smithsonian has a conservation eastment associated with property that is immediately adjacent to SERC land owned by the Institution. Facilities and security staff visit the area regularly, and are thus able to report any unusual activity on the land subject to the easement. The organization does not separately track the hours and expenses associated with monitoring the property related to the easement. Part II, Line 9: The Smithsonian Institution's conservation easement does not appear in the Institution's audited financial statements. Part III, Line 1a: In conformity with the practice generally followed by museums, no value is assigned to the collections in the statement of financial position. Purchases of collection items are recognized as reductions in net assets in the period of acquisition. Proceeds from sales of deaccessioned collection items or insurance recoveries for lost or destroyed collection items are recognized as increases in the approriate net asset class and are designated for future collection acquisitions. Part III, Line 4: The acquisition, preservation, management, and study of collections are fundamental to the Smithsonian's mission to increase and diffuse knowledge and have been the foundation upon which it rests. Smithsonian collections are a national and global resource accessed each year by millions of visitors and researchers who use traditional methods and cutting-edge technologies to explore subjects from aeronautics to zoology. Through its collections, the Smithsonian presents the astonishing record of American and international artistic, historical, cultural, and scientific achievement, with a scope and depth no other institution in the world can match. Smithsonian collections contribute to population recovery of endangered species, advances in reproductive biology, genome resource banking, medical research, forensic analysis, bio-security, and conservation policy worldwide. Assembled over more than 165 years, the collections are central to the core activities and to the vitality and significance of the Smithsonian. Part V, Line 4: The Endowment includes approximately 600 individual endowment funds. The Endowment provides stable financial support for scholarship, research activities, other programs, acquisitions of collections and other Institutional activities. It plays a critical role in enabling the Institution to achieve its mission - "the increase and diffusion of knowledge." The Endowment includes both donor-restricted endowment funds and funds designated by the Board of Regents to function as endowments. Classification and reporting of net assets associated with the Endowment reflect donor-imposed restrictions. Part X, Line 2: The Smithsonian recognizes the effect of income tax positions only if those positions are more likely than not of being sustained. The Smithsonian does not believe its financial statements include any uncertain tax positions. Part XI, Line 2d - Other Adjustments: Deferred gain on building 3,908,586. Change in net assets of related organizations 131,546. Change in minority interest - SNI/SI Networks LLC 2,433,900. Imputed benefit revenue 44,763,206. Increase in allowance for uncollectible pledges netted -11,167,131. against contribution revenue on audited financial statements Part XI, Line 4b - Other Adjustments: Direct expenses - fundraising -2,267,022. Direct expenses - cost of goods sold -23,191,478. Part XII, Line 2d - Other Adjustments: Direct expenses - fundraising 2,267,022. Direct expenses - cost of goods sold 23,191,478. Imputed benefit costs 44,763,206. Environmental remediation liability adjustment 1,123,640. Part XII, Line 4b - Other Adjustments: Increase in allowance for uncollectible pledges netted 1,167,131. against contribution revenue on audited financial statements 1 Central America and the Caribbean 0 0 Academic appointment stipends to recipients located in the region 1952019 East Asia & Pacific 0 0 Academic appointment stipends to recipients located in the region 1243496 Europe 0 0 Academic appointment stipends to recipients located in the region 2349314 Middle East & North Africa 0 0 Academic appointment stipends to recipients located in the region 114985 North America 0 0 Academic appointment stipends to recipients located in the region 247498 Russia & Neighboring States 0 0 Academic appointment stipends to recipients located in the region 105265 South America 0 0 Academic appointment stipends to recipients located in the region 280817 South Asia 0 0 Academic appointment stipends to recipients located in the region 104452 Sub-Saharan Africa 0 0 Academic appointment stipends to recipients located in the region 130314 Central America and the Caribbean 0 0 Program Services Travel related to research,conferences and training 599041 East Asia & Pacific 0 0 Program Services Travel related to research, conferences and training 1055397 Europe 0 0 Program Services Travel related to research, conferences and training 1985563 Middle East & North Africa 0 0 Program Services Travel related to research, conferences and training 109576 North America 0 0 Program Services Travel related to research, conferences and training 409800 Russia & Neighboring States 0 0 Program Services Travel related to research, conferences and training 118167 South America 0 0 Program Services Travel related to research, conferences and training 364245 South Asia 0 0 Program Services Travel related to research, conferences and training 120379 Sub-Saharan Africa 0 0 Program Services Travel related to research, conferences and training 546293 Central America and the Caribbean 7 593 Program Services Research Facilities 25596686 South America 1 7 Program services Design and implement a biodiveristy monitoring progam 850334 Sub-Saharan Africa 1 8 Program Services Develop biodiversity action plan to conserve amazonian tropical ecosystems 558126 East Asia & Pacific 0 0 Program Services Tropical Research/Forest and Wildlife 888893 Russia & Neighboring States 1 9 Program Services Joint program with USAID for community-based tourism development in Armenia 766346 South America 0 0 Program Services Tropical Research/Forest and Wildlife 163512 Central America and the Caribbean 0 0 Investments 622007147 Europe 0 0 Investments 73108974 East Asia & Pacific 0 0 Investments 32118247 Sub-Saharan Africa 0 0 Investments 10022027 North America 0 0 Investments 4019073 0 0 10 617 10 617 6397846 775538140 781935986 Europe Academic appointment stipend 5000 EFT Russia Academic appointment stipend 29270 EFT 2 0 Academic Appointment Stipends Central America and the Caribbean 252 1952019 Direct Deposits & Checks Academic Appointment Stipends East Asia and the Pacific 50 1243496 Direct Deposits & Checks Academic Appointment Stipends Europe 88 2344314 Direct Deposits & Checks Academic Appointment Stipends Middle East and North Africa 7 114985 Direct Deposits & Checks Academic Appointment Stipends North America 20 247498 Direct Deposits & Checks Academic Appointment Stipends Russia and Neighboring States 3 75995 Direct Deposits & Checks Academic Appointment Stipends South America 21 280817 Direct Deposits & Checks Academic Appointment Stipends South Asia 5 104452 Direct Deposits & Checks Academic Appointment Stipends Sub-Saharan Africa 10 130314 Direct Deposits & Checks 1 1 1 1 1 1 Part I, Line 2: The Office of Fellowships has central management and administrative responsibility for the Smithsonian programs of research fellowships and other academic appointments for undergraduate, graduate students, postdoctoral and senior scholars. The Smithsonian Institution Fellowship Program is a competitive fellowship program for graduate and postdoctoral fellows, who apply to conduct research at the Institution with research staff serving as advisors. The review process is made up of disciplinary committees comprised of the Institution's staff who evaluate the candidates and then select the fellows. There are other competitive and non-competitive fellowships for visiting scholar and student appointees selected through the Smithsonian units that go through a variety of other selection processes before an award is made. An official letter/agreement is provided to each award recipient identifying the award title, dates of tenure, stipend allowances, and required responsibilities for holding this position. All recipients either will identify a financial institution for receipt of their monetary award or they will receive US Treasury checks. Depending on the tenure of the appointment, payments can range from one lump sum, biweekly payments or monthly payments. Most fellowship appointments are awarded for one to two years. On occasion, the Smithsonian Institution has visiting scholars or fellows who are conducting research in another country. Payments are usually submitted as stated above, however, on occasion, there may be one or two who request that their payments be sent to the country of their research. At the end of tenure, a final report of their research accomplishments is provided for our records. Smithsonian research staff who serve as advisors to these fellows, students and scholars are usually in the field during their tenure. The eight Smithsonian research centers located in the United States and one located in Panama monitor the progress of their fellows especially those fellows in other countries, and the administrative management of funds is managed through the Institution's central administration for accountability. Part I, Line 3: Program services for travel related to research, conferences and training is for travel by SI employees, research associates, or invitational travelers (i.e., individuals who are not SI employees). Only travel essential to the performance of official Smithsonian business and for which travel-related expenses are to be paid by the Smithsonian, can be approved, authorized, and reimbursed. Investments in regions include investments in foreign partnerships and foreign corporations. The foreign region is determined by the country whose laws govern the investment entity. The value reported represents the fair market value of the investment at the end of the fiscal year. Per Form 990 instructions, stipends are reported on Schedule F if the person receiving the stipend is living or residing outside the United States at the time the stipend is paid or distributed. However, many of these stipend recipients later traveled to the Smithsonian in the United States to perform their research. X X X X X X X 1 Avalon Consulting Group 2030 M St NW Washington DC 200364603 Direct Marketing Consulting & Services 0 0 2274218 2274218 Community Counselling Service 3349 Highway 138 Wall NJ 07719 Fundraising Consultant 0 0 422500 422500 M & R Strategic Services 2120 L St NW Washington DC 200371538 Online Advisory Services 0 0 228550 228550 Blackbaud PO Box 930256 Atlanta GA 311930256 Fundraising Consultant 0 0 211712 211712 Marts & Lundy 1200 Wall St W Lyndhurst NJ 070713680 Fundraising Consultant 0 0 166087 166087 Donor Services Group 1150 Olympic Bvd Los Angeles CA 900641525 Telemarketing Services 0 0 113869 113869 Impact Communications 1009 E St 2nd Flr Washington DC 20003 Fundraising Consultant 0 0 97400 97400 Kimbia Inc 2500 Bee Caves Rd 2 Austin TX 787465741 Fundraising Consultant 0 0 82300 82300 SD&A Teleservices 101 Continental Blvd El Segundo CA 902454515 Telemarketing Services 0 0 123525 123525 3720161 3720161 Hirshhorn Gala 1427800 1325505 102295 50000 74910 425033 American Portrait Gala 1177608 1054362 123246 137000 568207 9 2509586 1267303 1242283 19564 323107 669201 5114994 3647170 1467824 69564 535017 1662441 2267022 -799198 Schedule G, Part I, Line 2b Column (iv) and (v): SI engaged multiple fundraising services and many work on the same campaigns. It is not possible to accurately report the exact amount of revenue associated with each fundraiser. None of these fundraisers had control of contributions; all were paid under the terms of negotiated contracts. SI closely monitors fundraising performance against established campaign goals for its contractors, and results are taken into consideration in future contract negotiations. Payments to Avalon Consulting Group of approximately $2,046,550 are not reported in Part I. This amount is for reimbursements related to fundraising expenses of postage, printing and mailing lists. Schedule G, Part I, Line 3: SI is a trust instrumentality of the U.S. and as such is exempt from state regulations pursuant to the Supremacy Clause of the U.S. Constitution. All states that have inquired about SI fundraising soliciation registration have acknowledged this exemption. 1 American Council of Learned Societies 633 Third Avenue 8th Flr New York NY 100176795 131851145 501(c)(3) 6000 Academic Appointment Stipend Cornell University 373 Pine Tree Road Ithaca NY 14850 150532082 501(c)(3) 46407 Academic Appointment Stipend George Washington University 2121 I St MW Washington DC 20052 530196584 501(c)(3) 4894 Academic Appointment Stipend Indiana University 400 E 7th Street Rm 501 Bloomington IN 356001673 356001673 115 12500 Academic Appointment Stipend Michigan State University 220 Trowbridge Road East Lansing MI 48824 386005984 115 5000 Academic Appointment Stipend Ohio University HDL Center Ste 279 Athens OH 45701 316402113 115 3395 Academic Appointment Stipend Regents of the University of Michigan 3003 South State Street Ann Arbor MI 481091287 386006309 115 13183 Academic Appointment Stipend Regents of the University of Minnesota 2221 University Ave SE Minneapolis MN 416007513 416007513 115 37610 Academic Appointment Stipend Research Foundation for the State Univ of NY PO Box 9 Albany NY 12201 141368361 501(c)(3) 41650 Academic Appointment Stipend Trustees of the Univ of Pennsylvania 3451 Walnut Street Philadelphia PA 191046205 231352685 501(c)(3) 53000 Academic Appointment Stipend University of Chicago 6054 South Drexel Avenue Chicago IL 60637 362177139 501(c)(3) 31950 Academic Appointment Stipend University of Illinois 506 S Wright Avenue Urbana IL 61801 376000511 115 16950 Academic Appointment Stipend University of Mary Washington 1301 College Avenue Fredricksburg VA 224015300 546001757 115 55000 Academic Appointment Stipend University of Maryland - College Park 2119 Main Administration Bldg College Park MD 20742 526002033 115 33552 Academic Appointment Stipend Utah State University 2400 Old Main Hill Logan UT 84322 876000528 115 3500 Academic Appointment Stipend 15 0 Academic Appointment Stipends 1096 12050170 Part I, Line 2: The Office of Fellowships has central management and administrative responsibility for the Smithsonian programs of research fellowships and other academic appointments for undergraduate, graduate students, postdoctoral and senior scholars. The Smithsonian Institution Fellowship Program is a competitive fellowship program for graduate and postdoctoral fellows, who apply to conduct research at the Institution with research staff serving as advisors. The review process is made up of disciplinary committees comprised of the Institution's research staff who evaluate the candidates and then select the fellows. There are other competitive and non-competitive fellowships for visiting scholar and student appointees selected through the Smithsonian units that go through a variety of other selections processes before an award is made. An official letter/agreement is provided to each award recipient identifying the award title, dates of tenure, stipend allowances, and required responsibilities for holding this position. All recipients either will identify a financial institution for receipt of their monetary award or they will receive US Treasury checks. Depending on the tenure of the appointment, payments may be made in a lump sum or in periodic payments. Most fellowship appointments are awarded for one to two years. At the end of tenure, a final report of their research accomplishments is provided for our records. Smithsonian research staff who serve as advisors to these fellows, students and scholars are usually in the field during their tenure. The individual Smithsonian research centers monitor the progress of their fellows, and the funds are managed through the Institution's central administration to ensure accountability. Similiar processes are followed for awards made to organizations whose academic staff perform the related research. X X 1 1 X X X X 0 0 0 0 0 1 0 0 0 David Skorton Secretary 355853 0 150000 0 2462 0 39710 0 14360 0 562385 0 0 0 Albert Horvath U/S Finance & Administration/CFO 434815 0 6000 0 2041 0 39710 0 21498 0 504064 0 0 0 Cathy Helm Inspector General 176798 0 2636 0 0 0 0 0 19585 0 199019 0 0 0 Judith Leonard General Counsel 182262 0 4000 0 2083 0 26217 0 8229 0 222791 0 0 0 Nancy Bechtol Director - Facilities 183958 0 5000 0 695 0 25933 0 793 0 216379 0 0 0 Claudine Browndecd 031716 Asst Sec - Education and Access 251563 0 6500 0 3148 0 37420 0 10393 0 309024 0 0 0 Deron Burba Chief Information Officer 183671 0 5500 0 390 0 26962 0 18073 0 234596 0 0 0 Amy Chen Chief Investment Officer 253635 0 255080 0 1056 0 36565 0 1424 0 547760 0 0 0 Virginia Clark Director - Advancement & Giving 337335 0 8000 0 4543 0 39710 0 21397 0 410985 0 0 0 Bruce Dauer VP Finance/Adm - (SE) 218037 0 79817 0 2614 0 31707 0 6050 0 338225 0 0 0 James Douglas Director - Office of Human Resources 181533 0 499 0 2085 0 26241 0 4477 0 214835 0 0 0 Jean Garvin Director - Finance & Accounting 176940 0 5000 0 1074 0 26003 0 21016 0 230033 0 0 0 John Kress Interim Under Secretary - Science 158709 0 6000 0 0 0 8212 0 17497 0 190418 0 0 0 Richard Kurin Acting Provost-U/S for Museums/Resea 301002 0 8000 0 3846 0 44660 0 12456 0 369964 0 0 0 John Lapiana Acting Asst Sec/Comm & External Affr 186399 0 25000 0 720 0 26660 0 8141 0 246920 0 0 0 Dorothy Leffler Director - Office of Contracts 152943 0 4000 0 0 0 0 0 17486 0 174429 0 0 0 Evelyn LiebermanDecd 121215 Senior Advisor to the Secretary 237891 0 6000 0 4667 0 35001 0 980 0 284539 0 0 0 Christopher Liedel President - Smithsonian Enterprises 427226 0 199328 0 2009 0 39125 0 24751 0 692439 0 0 0 Era Marshall Dir-Equal Emplymt & Minority Affairs 168242 0 5000 0 0 0 0 0 15178 0 188420 0 0 0 Mary Payne Director - Office of Govt Relations 184306 0 2000 0 730 0 26974 0 10644 0 224654 0 0 0 David Voyles Director - OPMB 171179 0 5500 0 0 0 7035 0 7946 0 191660 0 0 0 Michael Caruso Editor in Chief - (SE) 298877 0 33965 0 713 0 39125 0 21738 0 394418 0 0 0 Melissa Chiu Director - Hirschhorn Museum 389129 0 0 0 418 0 39710 0 21607 0 450864 0 0 0 Edward Howell SVP Retail-Smithsonian Enterprises 266635 0 120409 0 3421 0 39125 0 21527 0 451117 0 0 0 Carol LeBlanc SVP Licensing-Smithsonian Enterprise 240282 0 93599 0 548 0 36187 0 21433 0 392049 0 0 0 Jeffrey Smith Investment Officer 179007 0 171756 0 164 0 26144 0 17913 0 394984 0 0 0 G Wayne Clough Former Secretary 142573 0 0 0 666 0 4806 0 224 0 148269 0 0 0 Charles R Alcock Former Acting Under Sec - Science 152558 0 4300 0 821 0 20458 0 719 0 178856 0 0 0 Kenneth Johnson Former Acting Director - OPMB 172752 0 5000 0 0 0 8638 0 343 0 186733 0 0 0 Andrew Zino Former Comptroller 163091 0 2000 0 0 0 7959 0 17505 0 190555 0 0 0 Part I, Line 1a First Class Travel: One officer listed in Part VII, Section A was authorized for first class travel for bona-fide business purposes when the circumstances of their travel met the requirements of the Smithsonian's travel policy for such travel and first class travel was approved in each instance by that individual's designated "approving official" for travel. The Smithsonian's travel policy is guided by the Federal Travel Regulations as supplemented by the Smithsonian's Travel handbook. The accountable plan for travel reimbursements maintained by the Smithsonian meets IRS requirements, therefore no portion of this travel was treated as taxable compensation. Travel for companions: Travel was authorized for the spouse of a person listed in Part VII, Section A when the circumstances of that travel met the requirements of the Smithsonian's policy for such travel. The Smithsonian's policy for payment of spousal or dependent family member travel permits such payment only in limited, exceptional cases, when there is a demonstrated bona fide business purpose for the travel and the travel furthers the mission of the Smithsonian, beyond mere attendance at an event or the performance of incidental services. Such travel is authorized only if approved by the Office of General Counsel and the Office of the Under Secretary for Finance and Administration/Chief Financial Officer in advance. In the calendar year 2015, two (domestic travel) trips were approved for the spouse of an officer. Each trip was authorized consistent with policy. Because it was determined that there was a bona fide business purpose for each trip, the cost of the trips was not treated as taxable income. Part I, Line 6 Incentive Plan Certain employees of Smithsonian Enterprises (SE), a unit of the Smithsonian, are eligible to participate in the Smithsonian Enterprises Management Incentive Plan. This eligibility is determined on an annual basis. Even if eligible to participate, a performance review rating of "Fully Successful" must be received. The Plan includes both financial and individual (operational) goals, and these goals must be met in order to receive an incentive payment. There are different performance levels, with each successive level giving a higher incentive payment. In addition, the eligible person must be employed by the organization on the last day of the fiscal year in order to receive payment. Approvals for incentive payments are tiered; any payment to a senior executive is reviewed by the Secretary, with the Regents (either the Compensation Committee or the Full Board) approving incentive payments to any disqualified person, any direct report to the Secretary, and any executive with total cash above an annually determined threshold. The Regents have delegated to the Secretary the authority to approve other executive incentive payments. For non-executives, the President of SE approves those payments, except for payments above $10,000 which go to the Secretary for approval. A Fairfax County Economic Development Authority 540787833 30382ECZ5 2003-12-03 77545000 To construct a museum 0 0 0 B District of Columbia 536001131 2548397S6 2010-04-29 33825749 Refunding of 1997 Bonds 0 0 0 A 77545000 530475 6161 77008364 2003 0 0 1 1 B 8035000 33825749 612994 33212755 2010 1 0 1 1 A 0 0 0 0 0 0 1 B 0 0 1 1 0 0.04570 0.04570 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 0 0 0 0 1 A 1 B 1 Schedule K, Part I, Bond Issues, Column (f), Line B The issue date of the current refunded bonds was January 1, 1998. Part III Private Business Use, Line 5, Column B The percentage of financed property used in a private business use as a result of unrelated trade or business activity is based on the percentage of unrelated revenue to total revenue in the gift shop and theater within the space financed by this bond issue. X 3081 X 3 X 286 19424528 Fair Market Value X 6862 X 1 X 2794 X 56145 X Goods 55 5610800 Fair Market Value X Arch cf/lf 1425 0 X Archival misc 11477 0 70 0 1 1 Part I, Line 32b: Although the Smithsonian acquires collections with the good faith intention of retaining them for an indefinite period of time, prudent collections management includes judicious consideration of appropriate deaccessioning and disposal to refine and improve the quality and relevance of the collections with respect to the Smithsonian's mission and purpose. When objects are deaccessioned for disposal by sale, the Smithsonian contracts with commercial galleries or auction houses to sell the objects in order to assure the best return from the sale. Part I, Line 33: In accordance with professional practice, as allowed by SFAS 116, the Smithsonian does not assign value to collection items acquired by donation. Form 990, Page 1, Line K Form of organization (Other) The Smithsonian Institution is a trust instrumentality of the U.S., created by Congress; organized pursuant to 20 U.S.C. sec. 41 et seq. Form 990, Page 1, Line M State of legal domicile: As a trust instrumentality of the United States, the Smithsonian Institution is a federal entity that is not domiciled in any state. Form 990, Part IV, Line 12b The Smithsonian's operations funded through federal appropriation are included in the U.S. Government's consolidated audited financial statements. Form 990, Part VI, Section A, line 1 The Bylaws of the organization delegate authority to the Executive Committee to act on behalf of the Board of Regents when the Board of Regents is not in session. The Board of Regents elects from its members an Executive Committee consisting of three members. The Executive Committee has and may exercise all powers of the Board of Regents when the Board of Regents is not in session, except those expressly reserved to itself by the Board of Regents, provided that all such proceedings are reported to the Governance and Nominating Committee and the Board of Regents on a regular basis. The Chair of the Board serves as Chair of the Executive Committee. The Vice Chair of the Board serves as a member of the Executive Committee. Form 990, Part VI, Section A, line 7a Pursuant to federal statute, the Board of Regents consists of the Vice President of the United States, the Chief Justice of the United States, three members of the U.S. Senate, three members of the U.S. House of Representatives, and nine additional citizen Regents. The three Senators are appointed by the President Pro Tempore of the U.S. Senate, and the three members of the House of Representatives are appointed by the Speaker of the House of Representatives. Their appointment terms coincide with the terms for which they are elected, and they may be reappointed if re-elected. The citizen Regents are nominated by the Board of Regents, and appointed by a Joint Resolution of Congress which is signed by the President of the United States. Form 990, Part VI, Section B, line 11 The Form 990 return is prepared by staff in the Office of Finance & Accounting. It is then reviewed by the Director of Finance and Accounting, the Office of General Counsel, Chief Financial Officer and the Secretary of the Smithsonian, as well as by external tax advisors. After this review process, the 990 is made available to the full Board for its review and comment. The Audit & Review Committee conducts a final review of the return at a regularly scheduled Committee meeting prior to its filing. Form 990, Part VI, Section B, line 12c All officers, key employees, and certain other employees are required to complete and file annually a Confidential Financial Disclosure Report. These Reports - which require disclosure of certain assets, earned income, liabilities, outside positions, outside contracts and agreements, gifts, hospitality, reimbursements, and other interests related to the employee's Smithsonian position - are reviewed by the Institution's Office of General Counsel for compliance with applicable conflict of interest policies and laws. In addition to this required reporting, all key employees are required to comply with the Institution's Standards of Conduct, which, among other things, requires that employees not engage in private or personal activities that might conflict or appear to conflict with Smithsonian interests, requires that employees obtain Office of General Counsel approval before engaging in an outside activity for compensation, and requires employees to consult with the Office of General Counsel whenever a doubt exists as to whether an activity or planned activity violates the Standards. All members of the Smithsonian's governing body are required to complete and file annually the Board of Regents Annual Disclosure Statement. These statements - which require reporting by members (including any reportable interests held by immediate family of members) on outside positions and substantial shareholding in for-profit business entities, outside positions in non-profit entities, and interests and affiliations of the member that have or sought to have a relationship to the Smithsonian - are reviewed by the Institution's General Counsel for compliance with applicable conflict of interest policies and laws. In addition to this required reporting, all members of the Smithsonian's governing body are required to comply with the Board of Regents Ethics Guidelines, which, among other things, define conflicts of interest and establish procedures for disclosing and reporting of conflicts and recusal from decision-making. Form 990, Part VI, Section B, line 15 The Smithsonian ensures that compensation paid to officers and other key employees is reasonable and comparable to similar organizations. Employees of the Smithsonian may be paid with federally appropriated funds or with nonfederal ("Trust") funds. Most Trust funded (nonfederal) officer and key employee positions are subject to market-based compensation, and the Board of Regent's Committee on Compensation and Human Resources engages an independent consultant to develop and assemble comparability data for its consideration and to inform its decisions. The Committee's annual deliberations and decisions are documented as part of the final recommendation materials submitted to the Board of Regents. Salaries for Federal employees are determined by statutorily established pay ranges for civil service employees. As a matter of policy, the Smithsonian has established similar ranges for certain Trust funded officer and key employee positions and maintains those ranges in proportion to the appropriate Federal pay ranges. Form 990, Part VI, Section C, line 19 The Smithsonian makes its governing documents, statement of values and code of ethics, and audited financial statements available on its public website (www.si.edu). Documents may also be viewed at the Office of Finance and Accounting or mailed. Form 990, Part XI, line 9: Change in related party net assets 131,547. Deferred gain on building 3,908,586. Change in minority interest - SNI/SI Networks LLC 2,433,900. Environmental remediation obligation FASB ASC 410-20 -1,123,640. Bad Debt reserve established for prior years pledge -10,000,000. Form 990, Part VII and Schedule J-2 The following are abbreviations found in the body of the return: OPMB - Office of Planning, Management and Budget SE - Smithsonian Enterprises Clay Fellowships Charitable Trust 10 Memorial Boulevard Providence RI 02903 043560268 Support of Smithsonian Astrophysical Observatory MA 501(c)(3) Line 11d, III-O N/A 0 Smithsonian UK Charitable Trust c/o Withers LLP 16 Old Bailey London UK EC4M 7EG Advance the work of the Smithsonian Institution worldwide UK 501(c)(3) Line 7 Smithsonian Institution 1 Charitable Remainder Trusts (2) 1000 Jefferson Drive SW Washington DC 20560 Charitable Remainder Trust DC N/A 1 Charitable Remainder Trusts (2) 1000 Jefferson Drive SW Washington DC 20560 Charitable Remainder Trust MA N/A 1 Charitable Remainder Trusts (1) 1000 Jefferson Drive SW Washington DC 20560 Charitable Remainder Trust MI N/A 1 Charitable Remainder Trusts (5) 1000 Jefferson Drive SW Washington DC 20560 Charitable Remainder Trust NY N/A 1 Charitable Remainder Trusts (4) 1000 Jefferson Drive SW Washington DC 20560 Charitable Remainder Trust VA N/A 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1