2012-08-13T09:23:18-05:00 2011-09-30 990 2010-10-01 530206027 Smithsonian Institution SMIT 2026331000 1000 Jefferson Drive S W Washington DC 20560 Dr G Wayne Clough 2026331000 2012-08-13 2010 2016-02-24 21:20:13Z Dr G Wayne Clough 1000 Jefferson Dr SW Washington DC 20560 1936887084 0 X www.Smithsonian.org X Sch O 1846 "Increase and diffusion of knowledge" is the mission set forth by James Smithson. 17 17 6477 6637 15732991 -622908 1032198872 1040181349 93025171 90321275 17362923 51436683 60587462 59039102 1203174428 1240978409 15340126 16118927 0 0 587102709 591531002 5827588 3854914 29238921 485138031 489899380 1093408454 1101404223 109765974 139574186 3415561229 3516523060 739927756 741196747 2675633473 2775326313 X "Increase and diffusion of knowledge" is the mission set forth by James Smithson. Today, we strive to offer exciting learning experiences for our museum visitors and for the millions who come to Smithsonian's vast websites. 0 0 502420270 13776152 33265268 Research and Collections - The Smithsonian collection of nearly 137 million objects (art, artifacts and scientific specimens) are the heart of the Institution. Research, public programs and the exhibitions are based on the collections. Care of collections involves the work of registrars, conservators, museum specialists, designers, curators and editors. About 126 million objects are part of the natural history collections and primarily used for research purposes, 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. The collections represent our rich national heritage and the immense diversity of the natural and cultural worlds. The collections are fundamental to our work and to that of countless scholars and many federal agencies; it is our responsibility to preserve them for future generations.The Smithsonian brought together more than 202,000 wildlife camera trap photos from seven projects conducted by Smithsonian researchers into one searchable website, www.siwild.si.edu. In April 2011, Smithsonian scientists discovered a new species of dinosaur, Daemonosaurus chauliodus, which translates as "buck-toothed demon at Ghost Ranch, N.M." Captive breeding programs have great successes at the Smithsonian Conservation Biology Institute in the spring of 2011 with the births of red pandas, white-naped cranes, scimitar-horned oryx, tufted deer and clouded leopards. 247628475 2342774 47659747 Education, Public Programs and Exhibitions - The Smithsonian opened more than 100 new exhibitions this year and sent traveling shows around the country. Among the significant exhibitions were the National Portrait Gallery's "Elvis at 21: Photographs by Alfred Wertheimer", offering viewers an intimate look at Elvis's public and private life and documenting classic American life -- from the diners to the train stops -- in 1956; and the Norman Rockwell exhibition at the Smithsonian American Art Museum which nearly doubles the museum's attendance during its six month run. The National Museum of Natural History hosted the traveling exhibition "Race: Are We So Different?" to explore race and racism in the United States through biological, cultural, and historical points of view and reveals the profound effects of race and racism on everyone's life. It explores the history of the idea of race and how race is viewed today and discusses the role of science, particularly the findings of contemporary science that are overturning beliefs about race. The Smithsonian welcomed four red pandas this year - two were born at the National Zoo and two at the Smithsonian Conservation Biology Institute. The Smithsonian Channel is now available for Comcast Digital TV users. Highlights from the programming include: Mystery of the Hope Diamond, Women in Science, The Accordion Kings, Seizing Justice: The Greensboro Four, and The Rivals. 50901823 59365750 Associate Membership - The Smithsonian Associates provides educational and cultural programs that highlight and complement the work of the Smithsonian Institution through a wide variety of formats including performances, lectures, courses, workshops and special events on the National Mall and across the country. During its more than 40 year history, The Smithsonian Associates has become the nation's largest museum-based continuing education program. Each year The Smithsonian Associates creates and presents nearly 1,000 educational and cultural events. www.SmithsonianAssociates.org. 800950568 1 1 0 1 0 0 0 1 0 1 1 1 0 0 0 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 0 0 0 0 1 3919 0 1 6477 1 1 1 1 PM 0 0 0 1 1 0 0 0 1 0 X 17 17 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X X Andrew J Zino 2026337250 2011 Crystal Dr Arlington VA 22202 Honorable John Roberts Jr 0.50 X 0 0 0 Honorable Joseph Biden 0.50 X 0 0 0 Honorable Xavier Becerra 2.00 X 0 0 0 Honorable Thad Cochran 2.00 X 0 0 0 Honorable Chris Dodd 2.00 X 0 0 0 Honorable Sam Johnson 2.00 X 0 0 0 Honorable Steven LaTourette 2.00 X 0 0 0 Honorable Patrick Leahy 2.00 X 0 0 0 Honorable Doris Matsui 2.00 X 0 0 0 Honorable Jack Reed 2.00 X 0 0 0 Mr Steve Case 2.00 X 0 0 0 Dr France Cordova 2.00 X 0 0 0 Dr Philip Frost 2.00 X 0 0 0 Dr Shirley Ann Jackson 2.00 X 0 0 0 Mr Robert Kogod 2.00 X 0 0 0 Mr John McCarter 2.00 X 0 0 0 Mr David Rubenstein 2.00 X 0 0 0 Mr Roger Sant 2.00 X 0 0 0 Mr Alan G Spoon 4.00 X 0 0 0 Ms Patricia Stonesifer 6.00 X 0 0 0 G Wayne Clough 50.00 X 517318 0 37496 John Lapiana 50.00 X 178020 0 29902 Judith Leonard 50.00 X 176546 0 31739 Alice Maroni 50.00 X 289287 0 51320 Anne Ryan 50.00 X 167364 0 40535 Bruce Dauer 50.00 X 246691 0 38364 Albert Horvath DOH 92611 50.00 X 0 0 0 Charles R Alcock 50.00 X 156386 0 20222 Virginia Clark 50.00 X 323723 0 51431 Richard Kurin 50.00 X 298739 0 49112 Evelyn Lieberman 50.00 X 259758 0 36310 Era Marshall 50.00 X 164807 0 13090 Alison McNally 50.00 X 187886 0 5071 Thomas Ott 50.00 X 425274 0 51516 Sudeep Anand 50.00 X 222499 0 41789 Gregory Bokman 50.00 X 238688 0 45856 Amy Chen 50.00 X 285895 0 37812 James Douglas 50.00 X 215467 0 34171 Mary Payne 50.00 X 219623 0 43404 Ann Speyer 50.00 X 246306 0 55235 Andrew Zino 50.00 X 161915 0 22777 Dorothy Leffler 50.00 X 138037 0 14545 Eva Pell 50.00 X 347391 0 36280 Claudine Brown 50.00 X 165986 0 17589 Sallie Morse 50.00 X 189630 0 20785 James Bruce Kendall 50.00 X 180502 0 25169 George VanDyke 50.00 X 172946 0 41003 Peter Gibbons 50.00 X 390075 0 51516 John Dailey 50.00 X 286901 0 36310 Dennis Kelly 50.00 X 317290 0 44575 Richard Koshalek 50.00 X 313417 0 51431 Christian Samper 50.00 X 305534 0 51431 Marsha Shaines 50.00 X 171054 0 6436 Scott Miller 50.00 X 153590 0 24858 Robert Fraga 50.00 X 153401 0 15169 Clair Gill 50.00 X 214907 0 32121 Ira Rubinoff 50.00 X 156888 0 20890 8501704 0 1212715 1152 1 1 0 Hensel Phelps Construction Company 4437 Brookfield Corp Drive Chantilly VA 201511691 Construction (See Schedule O) 27816351 Associated Builders 4903 Baltimore Ave Hyattsville MD 20781 Construction (See Schedule O) 12269481 Forrester Construction Company 12231 Parklawn Drive Rockville MD 208521792 Construction (See Schedule O) 8973971 Ewing Cole Federal Reserve Bank Bldg Philadelphia PA 19106 Architect-Eng (See Schedule O) 7637062 Northrop Grumman Systems Corporation Northrop Grumman Space Technology Redondo Beach CA 90278 Systems Eng Support (See Schedule O) 6870337 451 61293 12211338 1308021 878796172 147804525 5180304 1040181349 Subscriptions-magazine 511120 36716428 36716428 Visitors/Members/Emplo 900099 32377880 15685102 16692778 Theater Income 711110 9615724 9112817 502907 Tours/Classes 900099 9151926 9142605 9321 Traveling Exhibitions 900099 1571929 1571929 887388 887388 90321275 8110080 8110080 9437573 9437573 713844258 969541 671487196 42357062 969541 43326603 43326603 376792 1308021 744753 -367961 -367961 60148820 23676726 36472094 35636115 835979 Magazine & Online Adve 541800 13497396 13497396 13497396 1240978409 107864996 15732991 77199073 36904 36904 10048175 10048175 6033848 6033848 7217871 1999117 4826406 392348 2894810 2720433 174377 450571705 236292959 201822948 12455798 55499399 29740989 24197653 1560757 45488277 21948765 22237607 1301905 29858940 14729807 14291824 837309 442243 229446 205003 7794 1261183 1261183 9499 9499 3854914 3854914 1124166 1124166 77485505 55579642 19456997 2448866 5993294 5370531 162503 460260 44858289 22973707 21183530 701052 37386641 6141321 30775387 469933 501787 501787 113650903 14685684 98331791 633428 12656325 10409987 1733055 513283 3857512 2001421 1798026 58065 1257899 1257899 106713744 4472671 102241073 913602 379641 533961 Program Producton 75674014 74038546 1476691 158777 Collections, Equipment, 6112774 5937946 93596 81232 Cost Allocation 0 273409843 -276713043 3303200 1101404223 800950568 271214734 29238921 X 10574172 6394234 0 4179938 438938013 505378870 63168351 11641397 176091058 181543964 37965998 37752690 9953460 9376215 11872462 10285455 3116437897 1426144386 1627410184 1690293511 288217629 285117024 750295455 764529432 11648619 20604502 3415561229 3516523060 263204068 269201459 365494359 362661956 111229329 109333332 739927756 741196747 X 1914018614 1898863964 463757926 557265417 297856933 319196932 2675633473 2775326313 3415561229 3516523060 X 139574186 -39881346 X 0 1 1 X 1 1 X 319342958 292705489 987555559 1032198872 1040181349 3671984227 319342958 292705489 987555559 1032198872 1040181349 3671984227 3671984227 26450773 15896019 13846365 11222007 17612715 85027879 879612 291563 910609 -39911 -622908 1418965 3758431071 706332567 0.97700 0.96840 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 1 0 0 0 0 1 9499 0 0 9499 0 Explanation of Other Lobbying Activities: Part II-B, Line 1i: The Smithsonian Institution solicited support for capital improvements and educational programs for the Cooper-Hewitt National Design Museum in New York City from New York City and the State of New York. Smithsonian staff met with public officials on a limited number of occasions, and the value of staff time and direct expenses spent in connection with these meetings was $9,499. X X X X 1 990868000 23507002 6268193 47426653 1937499 971279043 883509000 56665000 101203000 49782000 727000 990868000 906268000 26942000 -405000 48536000 760000 883509000 0.51000 0.29000 0.20000 0 0 12582149 12582149 2253123570 1205607017 1047516553 114649336 34285042 80364294 260423683 186252327 74171356 475659159 475659159 1690293511 Global & emerging markets 280233051 F Hedge funds 330402554 F Private equity & venture capital 94188515 F Natural Resources and Real Estate 59705312 F 764529432 1240978409 1101404223 139574186 -43713516 3832170 -39881346 99692840 1232047370 -43713516 7652994 3832170 -32228352 1264275722 1124166 -24421479 -23297313 1240978409 1132354530 7652994 24421479 32074473 1100280057 1124166 1124166 1101404223 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 unrestricted net assets in the period of acquisition. Proceeds from deaccessions or insurance recoveries for lost or destroyed collection items are recognized as increases in the approriate net asset class and are generally 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 its reputation 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. Assembled over more than 160 years, the collections are central to the core activities and to the vitality and significance of the Smithsonian. 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. Description of Intended Use of Endowment Funds: Part V, Line 4: The Endowment includes approximately 500 individual endowment funds. The Endowment provides stable financial support for scholarship, research activities, other programs, acquisitions for 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 and are consistent with the Institution's mission. Classification and reporting of net assets associated with the Endowment reflect Donor-imposed restrictions. Description of Uncertain Tax Positions Under FIN 48: 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 8 - Other Adjustments: Change in FONZ net assets -927,416. Deferred gain on building 3,908,586. Change in minority interest-SI Network 851,000. Part XII, Line 2d - Other Adjustments: Deferred gain on building 3,908,586. Change in FONZ net assets -927,416. Change in minority interest - SI Networks 851,000. Part XII, Line 4b - Other Adjustments: Direct expenses - fundraising and cost of goods sold -24,421,479. Part XIII, Line 2d - Other Adjustments: Direct expenses - fundraising and cost of goods sold 24,421,479. 1 Central America and the Caribbean 0 0 Academic appointment stipends to recipients located in the region 1321853 Central America and the Caribbean 7 737 Program services Research facilities. 19843770 East Asia & Pacific 0 0 Academic appointment stipends to recipients located in the region 993631 Europe 0 0 Academic appointment stipends to recipients located in the region 2232221 Middle East & North Africa 0 0 Academic appointment stipends to recipients located in the region 218897 North America 0 0 Academic appointment stipends to recipients located in the region 292505 Russia & Newly Independent States 0 0 Academic appointment stipends to recipients located in the region 102352 South America 0 0 Academic appointment stipends to recipients located in the region 720832 South Asia 0 0 Academic appointment stipends to recipients located in the region 142388 Sub-Saharan Africa 0 0 Academic appointment stipends to recipients located in the region 9169 Europe 0 0 Research 274082 Sub-Saharan Africa 0 0 Research 105517 South America 0 0 Research 342298 East Asia & Pacific 0 0 Research 34463 East Asia & Pacific 0 0 Investments 672909 Europe (Including Iceland & Greenland) 0 0 Investments 27253625 North America 0 0 Investments 9151849 South America 0 0 Investments / 267288 Central America and the Caribbean - 0 0 Investments 456348272 7 737 0 0 7 737 25726061 494601860 520327921 East Asia and the Pacific Academic appointment stipend 30289 EFT South America Academic appointment stipend 13150 EFT East Asia and the Pacific - Academic appointment stipend 20117 EFT South Asia Academic appointment stipend 36068 EFT South America Academic appointment stipend 35973 EFT Academic Appointment Stipends Central America and the Caribbean 125 1321853 Direct Deposits & Checks Academic Appointment Stipends East Asia and the Pacific 48 943225 Direct Deposits & Checks Academic Appointment Stipends Europe 117 2232221 Direct Deposits & Checks Academic Appointment Stipends Middle East and North Africa 6 218897 Direct Deposits & Checks Academic Appointment Stipends North America 23 292505 Direct Deposits & Checks Academic Appointment Stipends Russia and the Newly Independent States 9 102352 Direct Deposits & Checks Academic Appointment Stipends South America 60 671709 Direct Deposits & Checks Academic Appointment Stipends South Asia 8 106320 Direct Deposits & Checks Academic Appointment Stipends Sub-Saharan Africa 4 9169 Direct Deposits & Checks 1 0 1 1 1 1 Procedure for Monitoring Grants Outside the U.S.: Schedule F, 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 canadates and then select the fellows. There are other competitive and non-competitive fellowship, 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, we have 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 individual Smithsonian research centers monitor the progress of their fellows especially those in other countries, and the administrative management of funds is managed through the Institution's central administration for accountability. Investments in particular regions include investments in foreign partnerships and foreign corporations determined by its legal domicile. The value reported represents the fair market value of the investment at the end of the fiscal year. Other Information Schedule F, Part V 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 travelled to the Smithsonian in the U.S. to perform their research. X X X X X X X 1 Marts & Lundy 1200 Wall St W FL 5A Lyndhurst NJ 070713680 Campaign Consultant 0 0 210969 -210969 Epsilon Data 50 Cambridge St Burlington MA 01803 Direct mail advisory & assistance 0 0 902879 -902879 Donor Services Group LLC 11500 Olympic Blvd Los Angeles CA 900641525 Telemarketing Calling Services 0 0 221194 -221194 Odell Simms & Associates 7704 Leesburg Pike 2 Falls Church VA 22042 Direct Mail - Acquisition Program 0 0 1136288 -1136288 Avalon Consulting Group 1413 K St NW Washington DC 20006 Telemarketing, direct mail, online & consulting services 0 0 399151 -399151 SDA&A Teleservices Inc 101 Continental Blvd El Segundo CA 902454515 Telemarketing services 0 0 179616 -179616 SteegeThomson Communications Inc 4606 Spruce Street Philadelphia PA 19139 Campaign Communications 0 0 583576 -583576 The Watershed Group LLC 100 Bush St San Francisco CA 941043900 Online Advisory Services 0 0 115000 -115000 Elisa Glazer 5824 Rockmere Drive Bethesda MD 208162444 Fundraising assistance - Exhibitions 0 0 43896 -43896 Elizabeth Perry 232 7th St NE Washington DC 200026087 Fundraising assistance - Exhibitions 0 0 43000 -43000 3835569 -3835569 NDA Dinner & Program 921232 787462 133770 317406 69225 113227 AAA Benefit 339385 279065 60320 80185 36043 7 424196 241494 182702 10129 81177 8500 28861 1684813 1308021 376792 10129 478768 77725 178131 744753 -367961 Explanation of Fundraising Payments Schedule G, Part I, Line 2b, Column (v) As the Smithsonian has multiple fundraisers, some of whom work on the same campaign, it is not possible to accurately report the exact amount of revenue associated with each fundraiser. Please note that none of the fundraisers had control of any contributions; all were paid under the terms of negotiated contracts. 1 University of Miami 1300 Memorial Drive Coral Gables FL 33124 590624458 501(c)(3) 18385 Academic Appointment Stipend Miami University 7 Roundebush Hall Oxford OH 45056 316402089 501(c)(3) 12000 Academic Appointment Stipend 2 Academic Appointment Stipends 928 10048175 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, 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 fellowship, visiting scholar and student appointees selected through the Smithsonian units that go through a variety of other selections prosesses 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 perfoms the related research. X X 1 1 X X X X 0 0 0 0 0 1 0 0 0 G Wayne Clough 501984 0 10000 0 5334 0 36310 0 2934 0 556562 0 0 0 John Lapiana 173673 0 4000 0 347 0 24417 0 6589 0 209026 0 0 0 Judith Leonard 175510 0 0 0 1036 0 25169 0 8978 0 210693 0 0 0 Alice Maroni 288018 0 0 0 1269 0 36310 0 17461 0 343058 0 0 0 Anne Ryan 165901 0 1229 0 234 0 25100 0 22840 0 215304 0 0 0 Bruce Dauer 245124 0 0 0 1567 0 36310 0 4627 0 287628 0 0 0 Charles R Alcock 143896 0 12000 0 490 0 19167 0 1934 0 177487 0 0 0 Virginia Clark 321507 0 0 0 2216 0 36310 0 17890 0 377923 0 0 0 Richard Kurin 286849 0 10000 0 1890 0 41260 0 9078 0 349077 0 0 0 Evelyn Lieberman 246742 0 10000 0 3016 0 36310 0 1133 0 297201 0 0 0 Era Marshall 159807 0 5000 0 0 0 0 0 14530 0 179337 0 0 0 Alison McNally 187886 0 0 0 0 0 0 0 5985 0 193871 0 0 0 Thomas Ott 374363 0 50000 0 911 0 36310 0 16583 0 478167 0 0 0 Sudeep Anand 217114 0 4000 0 1385 0 32668 0 13427 0 268594 0 0 0 Gregory Bokman 191323 0 47185 0 180 0 28585 0 18360 0 285633 0 0 0 Amy Chen 254511 0 30832 0 552 0 36310 0 5568 0 327773 0 0 0 James Douglas 214129 0 0 0 1338 0 31617 0 5056 0 252140 0 0 0 Mary Payne 219132 0 0 0 491 0 32920 0 13008 0 265551 0 0 0 Ann Speyer 245934 0 0 0 372 0 36310 0 20080 0 302696 0 0 0 Andrew Zino 157915 0 4000 0 0 0 8232 0 16727 0 186874 0 0 0 Eva Pell 305335 0 40000 0 2056 0 34225 0 3746 0 385362 0 0 0 Claudine Brown 120214 0 45000 0 772 0 13818 0 4335 0 184139 0 0 0 Sallie Morse 181630 0 8000 0 0 0 8232 0 14321 0 212183 0 0 0 James Bruce Kendall 179466 0 0 0 1036 0 25169 0 969 0 206640 0 0 0 George VanDyke 166973 0 5000 0 973 0 28740 0 13212 0 214898 0 0 0 Peter Gibbons 287585 0 101235 0 1255 0 36310 0 16414 0 442799 0 0 0 John Dailey 279171 0 2000 0 5730 0 36310 0 2654 0 325865 0 0 0 Dennis Kelly 226308 0 90000 0 982 0 32293 0 13298 0 362881 0 0 0 Richard Koshalek 309352 0 0 0 4065 0 36310 0 16418 0 366145 0 0 0 Christian Samper 302068 0 3000 0 466 0 36310 0 16396 0 358240 0 0 0 Marsha Shaines 161054 0 10000 0 0 0 0 0 8204 0 179258 0 0 0 Scott Miller 143590 0 10000 0 0 0 7557 0 17301 0 178448 0 0 0 Robert Fraga 145401 0 8000 0 0 0 0 0 16818 0 170219 0 0 0 Clair Gill 212393 0 0 0 2514 0 31067 0 3549 0 249523 0 0 0 Ira Rubinoff 154293 0 0 0 2595 0 20890 0 908 0 178686 0 0 0 Part I, Line 1a First class travel: Certain persons listed in Part VII, Section A were authorized for first class travel 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. Those circumstances included (i) two travelers who have a documented medical condition that permits non-coach travel, when business class travel was not available on scheduled appropriate flight. Travel for companions: 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 Under Secretary for Finance and Administration/Chief Financial Officer in advance of travel. In the calendar year 2010, five trips were approved for the wife of Secretary Wayne Clough, and one trip was approved for the wife of John Dailey, Director of the National Air and Space Museum. 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 Certain employees of Smithsonian Enterprises (SE) 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. Certain employees of the Office of Investments (OI) are eligible to participate in the Investments Incentive plan. This eligibility is determined on an annual basis. The plan includes both quantitative and qualitative goals. The quantitative payment is based on portfolio performance compared to benchmark, and has both single year and multi-year components. The qualitative portion is based on the individual's performance review, and a rating of at least "Successful" is required to receive the qualitative portion of the incentive. The quantitative portion is paid based on the number of basis points earned, with each basis point earning a specific percentage of salary. The overall incentive is capped at 150% of salary. Supplemental Information Part III Part II: Certain of the Institution's current key employees began their service after December 31, 2010 and, accordingly, received no compensation for the reporting period. Fairfax County Economic Development Authority 540787833 30382EC75 2003-12-03 77545000 To construct a museum 0 1 0 District of Columbia 521834528 254839756 2010-04-26 30500000 Refunding of 1997 Bonds 0 1 0 77545000 530475 77014525 2003 0 0 1 1 1570000 33825749 33212755 592621 20373 2010 1 0 0 1 0 0 0 0 0 0.00000 0.00000 0.00000 1 0 1 0 0 0 0 0 0 0 0 0 0 X 3313 X 3 X 108 4304315 Selling Price X 8435 X 3431 X 125581 X 155 X Archival Records-Cubic/Linear Feet 1146 X Archival Records-Items 3601 X Art-non collection 1 6000 Fair market value 48 0 1 1 Third Party Use: Part I, Line 32b: Although the Smithsonian acquires collections with 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. Non Reporting of Revenue: 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, Part VI, Section A, line 2 Steve Case and Patricia Stonesifer who are members of the Board serve as directors in the same business entity. 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 within the Office of the Comptroller (OC). The Comptroller performs a detailed review of the entire return. The Comptroller consults with our outside auditors on any issues or questions that may arise in the preparation of the Form 990, as deemed necessary. The Under Secretary for Finance & Administration/Chief Financial Officer (CFO) performs a detailed review of the return. A sub-committee of the Audit & Review Committee reviews the return and any items noted are addressed. The Office of General Counsel (OGC) then reviews the return and provides additional guidance, as necessary. A copy of the return, containing feedback from all prior reviewers, is then reviewed with the Secretary for his review and comments. The Board's Audit & Review Committee then conducts a final review of the return at a regularly scheduled Board meeting, prior to submission. 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 a related 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 of outside positions and substantial shareholding in for-profit business entities, outside positions in non-profit entities, and interests and affiliations of the member or the member's immediate family 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 When setting executive compensation levels, the Smithsonian ensures that the compensation paid is both reasonable and comparable to that offered by comparable organizations to executives with similar duties and responsibilities. For those Trust funded positions subject to a market-based compensation approach, the Board's Committee on Compensation and Human Resources prepares for its annual compensation review by evaluating two criteria related to the executives: (i) compensation of similarly situated individuals in other organizations, and (ii) the programmatic and financial accomplishments of the individual and the individual's organizational unit. The Committee's review of comparable compensation of similarly situated individuals in other organizations is aided by a comparative survey performed by a highly regarded, independent outside compensation consultant. The Board of Regents hired Pricewaterhouse Coopers as its consultant for this tax year. To determine compensation comparables, the Compensation and Human Resources Committee, upon considering the recommendations of the compensation consultant and in keeping with accepted practices, determines the types of organizations that are similarly situated, and requires the compensation consultant to compare the duties and responsibilities of the specific Smithsonian positions with those in similarly situated organizations to ensure that the positions are functionally comparable. Those decisions are documented as part of the final compensation recommendation materials. Currently, this survey is performed every two years. During the "off" year, the data is traditionally aged using an aging factor provided by the expert consultant. When determining salaries for Federal executives or Trust executives paid according to a Federal scale, the Institution is limited to its established pay ranges. On an annual basis, salary changes are based on an analysis of programmatic and organizational accomplishment of the individual and the individual's organizational unit, just as is done for Trust executives with market-based compensation. However, market data points are not applicable to these positions, and thus the Institution turns to the established Federal pay scales for minimum and maximum pay. Those pay scales are based on statutory Federal executive pay limits. Annual salary increases are based on achievements against established goals, and salaries of new hires in these categories (Federal executives or Trust executives paid according to a Federal scale) are based on a combination of experience and salary history. Form 990, Part VI, Section C, line 19 Form 990, Part VI, Section C, Line 19: The Smithsonian makes these documents available on its public website (www.smithsonian.org). The documents can also be viewed at the Comptroller's office or mailed. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized losses on investments: -43,713,516. Deferred gain on building 3,908,586. Change in interest in net assets-Friends of Nat'l Zoo -927,416. Change in minority interest - SI Networks 851,000. Total to Form 990, Part XI, Line 5: -39,881,346. Type of organization (other) Form 990, Page 1, Line K The Smithsonian Institution is a trust instrumentality of the United States, created by Congress, and organized pursuant to 20 U.S.C. sec. 41 et seq. Form 990, Page 1, Line M As a trust instrumentality of the United States, the Smithsonian Institution is a federal entity that is not domiciled in any state. Schedule G, Part I, line 3 The Smithsonian is a trust instrumentality of the United States and as such is exempt from state regulations pursuant to the Supremacy Clause of the U.S. Constitution. All states that have inquired about Smithsonian fundraising solicitation registration have acknowledged this exemption. Major projects of independent contractors Form 990, Part VI, Page 8, Section B Independent Contractors Hensel Phelps Construction Company - construction services SAAM/NPG - Patent Office Building renovation NASM Udvar-Hazy Center - infrastructure/installation of pressure reducing station Associated Builders, Inc - construction services NMNH - Various electrical work, HVAC upgrades, perimeter security MSC - Fire alarm upgrade/construction of laboratories Forrester Construction Company - construction services NZP - Construction of seal and sea lions exhibit Ewing Cole, Inc - architect/engineering services MSC - Design of fire detection and alarm system, laboratories SERC - Design of HVAC, fire protection, water capacity systems, Mathia Replacement Laboratory, road improvements NMAFA - Design of electrical and sprinkler systems, HVAC NMNH - Design of HVAC CHNDM - Assessment and recommendations for conservatory, infrastructure improvements NMAH - Archictectural/engineering services for renovations Northrop Grumman Systems Corporation - systems engineering support SAO - Support of Chandra X-Ray Observation Operations Officer's position held during the year Form 990, Part VII, Section A Per the instructions, only one position should be checked in column (C). One officer, Bruce Dauer reported as an officer on the tax return served in the following positions during the year: 10/01/10-11/18/10 Key Employee-Director, Office of Planning, Management & Budget 11/19/10-09/25/11 Acting Chief Financial Officer 09/26/11-09/30/11 Key Employee-Director, Office of Planning, Management & Budget Smithsonian Institution abbreviations used in return Form 990, Part VII and Schedule J-2 The following are Smithsonian Institution abbreviations found in the body of this return: CHNDM - Cooper Hewitt National Design Museum FONZ - Friends of the National Zoo MSC - Museum Support Center NASM - National Air and Space Museum NMAFA - National Museum of African Art NMNH - National Museum of Natural History NPG - National Portrait Gallery NZP - National Zoological Park OFEO - Office of Facilities, Engineering and Operations OPMB - Office of Planning, Management and Budget SAAM - Smithsonian American Art Museum SE - Smithsonian Enterprises SERC - Smithsonian Environmental Research Center 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 Lukowski Trust C/O Citzens Bank 101 N Washington A Saginaw MI 48607 386677397 Charitable Remainder Trust MI N/A T 100826 McVay Charitable Remainder Trust C/O BNY Mellon 1735 Market St Philadelphia PA 19103 207399895 Charitable Remainder Trust MA N/A T 26881 Peck Trust C/O Charles Schwab PO Box 628291 Orlando FL 32862 942737782 Charitable Remainder Trust VA N/A T 244537 Purvis Charitable Remainder Trust C/O BNY Mellon One Wall Street New York NY 10286 256891638 Charitable Remainder Trust MA N/A T 22559 B Schermer Trust C/O Fiduciarty Trust 600 5th St New York NY 10020 137062411 Charitable Remainder Trust NY N/A T 122533 L Shermer Trust C/O Fiduciarty Trust 600 5th St New York NY 10020 137062411 Charitable Remainder Trust NY N/A T 142279 Landmark Trust C/O Ashford Advisors 30B Grove St Pittsford NY 14534 347179097 Charitable Remainder Trust NY N/A T 4241391 E Wood Trust C/O Tyrrell Mason PC 7250 Woodmont Bethesda MD 20814 526697534 Charitable Remainder Trust DC N/A T 168721 Huntington Charitable Remainder Trust C/O BNY Mellon One Wall Street New York NY 10286 136078590 Charitable Remainder Trust NY N/A T 85123 Huntington Charitable Remainder Trust C/O BNY Mellon One Wall Street New York NY 10286 136078585 Charitable Remainder Trust NY N/A T 54923 Huntington Charitable Remainder Trust C/O JP Morgan 270 Park Avenue New York NY 10017 066022343 Charitable Remainder Trust NY N/A T 113490 Houchins Charitable Remainder Trust C/O Dunham Trust 241 Ridge St Reno NV 89501 546407409 Charitable Remainder Trust VA N/A T 263233 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0