MINUTES OF THE JANUARY 25, 2010, MEETING

OF THE BOARD OF REGENTS

ATTENDANCE

This scheduled meeting of the Board of Regents was held on Monday, January 25, 2010, in the 

Regents’ Room of the Smithsonian Institution Castle.  The meeting included morning, 

afternoon, and executive sessions.  Board Chair Patricia Q. Stonesifer called the meeting to 

order at 8:31 a.m.  Also present were:

The Chief Justice 1 

Christopher J. Dodd

France Córdova 2

Phillip Frost 3

Sam Johnson 4

Shirley Ann Jackson

Robert P. Kogod 

Doris Matsui 

John W. McCarter Jr.  

David M. Rubenstein 

Roger W. Sant 

Alan G. Spoon 1  

Paul Neely, Smithsonian National Board Chair 

David Silfen, Regents’ Investment Committee Chair 2

Vice President Joseph R. Biden, Senators Thad Cochran and Patrick J. Leahy, and 

Representative Xavier Becerra were unable to attend the meeting. 

Also present were:  

G. Wayne Clough, Secretary  

Patricia L. Bartlett, Chief of Staff to the  

  Secretary  

Amy Chen, Chief Investment Officer 

Virginia B. Clark, Director of External Affairs  

Barbara Feininger, Senior Writer‐Editor for the 

Office of the Regents   

Grace L. Jaeger, Program Officer for the Office  

of the Regents  

Richard Kurin, Under Secretary for History,  

  Art, and Culture  

John K. Lapiana, Chief of Staff to the Regents  

Judith Leonard, General Counsel  

Evelyn S. Lieberman, Director of  

  Communications and Public Affairs  

Alice C. Maroni, Chief Financial Officer  

Alison McNally, Under Secretary for Finance  

  and Administration  

Carole M.P. Neves, Director of the Office of  

  Policy and Analysis  

Tom Ott, President of Smithsonian Enterprises  

Nell Payne, Director of Government Relations  

Eva J. Pell, Under Secretary for Science  

A. Sprightley Ryan, Inspector General

John Yahner, Speechwriter to the Secretary 

Jeffrey P. Minear, Counselor to the Chief Justice  

T.A. Hawks, Assistant to Senator Cochran 

Colin McGinnis, Assistant to Senator Dodd  

Kevin McDonald, Assistant to Senator Leahy  

Melody Gonzales, Assistant to Congressman  

Becerra  

David Heil, Assistant to Congressman Johnson  

Julie Eddy, Assistant to Congresswoman Matsui 

Francisco Dallmeier, Head of the National  

  Zoological Park’s Center for Conservation  

  Education and Sustainability 5   

Vicki A. Funk, Senior Scientist and Curator in  

  the National Museum of Natural History’s  

  Department of Botany 5  

Mary Hagedorn, Fish Physiologist and  

  Cryobiologist in the National Zoological   

  Park’s Center for Species Survival 5   

Michael A. Lang, Director of the Smithsonian  

  Marine Science Network and the Science  

  Diving Program 5 

Scott Miller, Deputy Under Secretary for  

  Science 5  

Bruce Dauer, Director of the Office of  

  Planning, Management, and Budget 6

_____________________________________________________ 

1  The Chancellor, Chief Justice John G. Roberts Jr., and Mr. Spoon attended the executive and afternoon sessions. 

2  Dr. Córdova and Mr. Silfen attended the morning session; Dr. Córdova departed at 11:50 a.m. after voting on resolutions 2010.01.01–

2010.01.03. 

3  Dr. Frost departed at 3:15 p.m. after voting on resolutions 2010.01.01–2010.01.14. 

4  Representative Johnson arrived at 8:50 a.m. and voted on all resolutions with the exception of resolution 2010.01.01. 

5  Drs. Dallmeier, Funk, Hagedorn, and Miller and Mr. Lang participated in the presentation on biodiversity. 

6  Mr. Dauer participated in the Finance Committee report.
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MORNING PLENARY SESSION

OPENING REMARKS

Board Chair Patricia Q. Stonesifer welcomed the attendees to the first Board of 

Regents’ meeting of the new decade and noted that the agenda for this meeting of 

the Board was both full and interesting. 

Ms. Stonesifer thanked the Regents who had been able to attend the previous 

evening’s Regents emeriti dinner, which also was attended by senior staff and 

numerous members of the Institution’s scientific leadership.  She said that the 

emeriti members of the Board, an important stakeholder group with a 

demonstrated commitment to the Smithsonian, had been very appreciative of the 

opportunity to reengage with the Smithsonian, meet the current members of the 

Board, and have the opportunity to be informed about the strategic plan.  She noted 

that similar dinners would be held every few years.   

Ms. Stonesifer welcomed Under Secretary for Science Eva Pell, who began her 

appointment earlier in the month.  She noted that Dr. Pell would participate in two 

presentations to the Board during this meeting. 

REPORT OF THE BOARD AND EXECUTIVE COMMITTEE CHAIR

Ms. Stonesifer, Chair of the Executive Committee, reported that the Executive 

Committee had met twice since the September 21, 2009, meeting of the Board.  She 

said that the Committee met on Wednesday, January 6, 2010, to review the 

proposed agenda for this meeting of the Board and then again on Wednesday, 

January 20, 2010, to discuss a loan agreement. 

Loan Agreement for

Copy of Emancipation

Proclamation  

The Chair said that the Executive Committee met on January 20, 2010, to reivew the 

loan of Regent David Rubenstein’s copy of the Emancipation Proclamation to the 

White House for display in the Oval Office.  The document, which previously had 

been on loan to the National Museum of American History, was unveiled on Martin 

Luther King Day.  Ms. Stonesifer said that, in accordance with the Regents’ Ethics 

Guidelines, a sale or loan to the Smithsonian of any object owned by a Regent or 

Regent family member is subject to the approval of the Executive Committee to 

ensure that a Regent does not receive “improper advantage” from the arrangement.  

Ms. Stonesifer explained that, although Mr. Rubenstein was not a Regent at the time 

of his initial loan to the Museum, the Executive Committee and Shirley Ann Jackson, 

chair of the Governance and Nominating Committee, reviewed the loan to ensure 

that both the letter and the intent of the Ethics Guidelines had not been 

compromised.  She added that the Committee and Dr. Jackson were unanimous in 

their approval and support for the loan. 

Regents’ Annual Survey The Chair discussed the results of the Board’s annual self‐assessment.  She first 

thanked the Regents for their participation, noting that the increased number of 

responses reflected the Board’s commitment to a key recommendation of the 
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Governance and Nominating Committee.

Ms. Stonesifer noted that the responses were especially strong and reflected 

positive trends.  The survey showed significant agreement that the Board 

understands its role as a governing board and recognizes that its primary 

responsibility is to establish policies.  The Regents were nearly unanimous in their 

perspective that the Board’s work is independent of Smithsonian management, and 

that their efforts are conducted both in a transparent manner and in the 

Smithsonian’s best interests.  The survey also reflected a shared belief that the 

meetings of both the full Board and the Regents’ committees are well‐managed and 

substantive in their content.  The Board also was satisfied with its informal and 

formal assessments of the Secretary’s performance. 

Two areas were noted as in need of improvement: the overall reporting of financial 

information and the Board’s knowledge of fund‐raising policies and its role in fund‐

raising efforts.  The Chair said that steps were already being taken to address 

concerns in both areas.  The Finance Committee will oversee the development of 

comprehensive quarterly financial reports and the Executive Committee has 

requested that a major projects scorecard be developed.  Ms. Stonesifer added that 

the Advancement Committee continues to work with Office of Development staff to 

prepare for the national campaign by reviewing and revising Smithsonian fund‐

raising policies.   

It was noted that the survey’s relatively low scores with regard to fund‐raising 

practices and policies likely reflected the fact that the Regents had not been briefed 

yet about the forthcoming national campaign.  Ms. Stonesifer assured the Board 

that in‐depth discussions about the national campaign would be conducted during 

the coming Regents’ meetings.   

The Board agreed that the results of the survey were very encouraging.  Ms. 

Stonesifer said that members of the Office of the Regents, the Executive Committee, 

and the Governance and Nominating Committee would welcome additional 

suggestions to strengthen the Board. 

Minutes of the

September 21, 2009,

Meeting of the Board

A motion was then presented to approve the minutes of the Board’s September 21, 

2009, meeting.  The motion was approved. 

See attached Resolution 2010.01.01 (Minutes of the Board of Regents, Appendix A).

REPORT OF THE SECRETARY 

Journey to Antarctica The Secretary, who had recently returned from a trip to Antarctica with a small 

group of scientists and engineers that included United States Under Secretary of 

Energy Kristina Johnson.  Among the sites visited were McMurdo Station and 

Observation Point, where lookouts had watched for the return of Robert Scott and 

his team from their ill‐fated journey to the South Pole in 1912.  Secretary Clough 

commented on the many historic connections that the Smithsonian has with the 

Antarctic, noting that many of the 60,000‐some specimens collected during the 

1838–1842 Wilkes Expedition (which had been undertaken to map the recently 
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discovered landmass) provided the foundation for the collections of the newly 

established Smithsonian Institution in 1846.  Today the Institution’s presence in the 

Antarctic can be seen in the astrophysical work at the South Pole Telescope, and the 

Antarctic Submillimeter Telescope and Remote Observatory; the 19 million specimens 

of the U.S. Antarctic Program Invertebrate Collections at the National Museum of 

Natural History; the 12,000 meteorite specimens in the U.S. Antarctic Meteorite 

Program, also housed at the Natural History Museum; and the U.S. Antarctic Diving 

Program that is a collaboration between the Office of the Under Secretary of Science and 

the National Science Foundation. The Secretary also spoke of the historic Antarctic 

Treaty and the Smithsonian-sponsored symposium in the fall of 2009 that contributed to 

its renegotiation. 

Smithsonian

Leadership

The Secretary updated the Board on the status of the Smithsonian’s management 

team.  He noted that this meeting was the first in his tenure in which there were not 

any acting members of senior management.  He said that new Under Secretary for 

Science Eva Pell had participated in the selection of Dennis Kelly as the new 

director of the National Zoological Park and thanked Under Secretary for History, 

Art, and Culture Richard Kurin for his efforts in the appointment of new Cooper‐

Hewitt, National Design Museum Director Bill Moggridge. 

Broadening Access:

Visitorship

Secretary Clough reported that visitorship to the Smithsonian’s museums continues

to be strong.  He noted that visitorship during the first quarter of fiscal year 2010 

was 6 million higher than records at this time the previous year but also cautioned 

that the visitation increase that resulted from the 2009 Presidential Inauguration 

activities would obviously not be repeated. 

Reaching New

Audiences: Digitization

and Web Access

He said that the Smithsonian continues to make significant progress in its efforts to 

reach new audiences through the Web and other social media initiatives.  He 

reported that the London‐based Daily Telegraph ranked the Encyclopedia of Life 

and the Encyclopedia Smithsonian among the top 10 educational Web sites in the 

world.  The Secretary reported that 2.5 million digitized images of Smithsonian 

collections are being actively shared, and said that the Smithsonian’s resources are 

rapidly expanding as more digitized information is added to the Web each day. 

New Exhibitions The Secretary commented on the numerous Smithsonian exhibitions on display.  He 

reported that legendary singer Elvis Presley was the focus of a Smithsonian 

Traveling Exhibition Service exhibition, and that the late musician would also be 

addressed in a show at the National Portrait Gallery.  He spoke of the historic 

Greensboro, North Carolina, lunch counter on display at the National Museum of 

American History, and noted that it was the 50th anniversary of the sit‐in that 

figured prominently in the American civil rights movement.  

Federal Budget Update Secretary Clough then provided an update on the Smithsonian’s Federal budgets.  

He said that the fiscal year 2011 Federal budget negotiations had resulted in a 

successful passback from the Office of Management and Budget.  He said that it had 

appeared that the Smithsonian’s Federal budget would be subject to a 5 percent cut 

but that the application of the strategic plan to the negotiations had strengthened 

the Smithsonian’s position and resulted in a 5 percent increase.  He reminded the 

Board, however, that the proposed budget had yet to be approved by the Congress 

and that it did not fully cover salaries and the requested funds for the 

Congressionally mandated National Museum of African American History and 
5 

Culture (NMAAHC). 

The threat to the construction schedule of the new Museum, said the Secretary, was 

of paramount concern to the Smithsonian.  He said that the efforts of the Museum’s 

leadership and advisory council had resulted in raising $50 million to date, and that 

support from the Obama administration and the expansion of the museum’s 

advisory council also were promising.  However, the state of the nation’s economy 

will likely result in extremely difficult budget negotiations for the Smithsonian’s 

fiscal year 2012 budget. 

The Secretary said that, in an effort to maintain the momentum necessary for the 

Museum’s realization, senior management had developed several budget 

negotiation strategies to help the Smithsonian secure funding for NMAAHC without 

suffering cutbacks to other programs.  The leading proposal, he said, was to request 

the sum of the promised Federal funds for the Museum up front.  He said that the 

Board’s support, and especially that of the Congressional Regents, would be critical 

to this process.  He also said that it was important for Congress to assume its share 

of financial responsibility for the Museum.  He said that, although the successful 

fiscal year 2011 negotiations had resulted in passback support for a $10 million 

increase for research and a $4 million increase for collections care, funding for 

NMAAHC’s site preparation work was not provided. 

Trust Budget, Fund

Raising, and the

Endowment

The Smithsonian’s Trust budget was next reviewed.  Secretary Clough said that the 

Trust budget was challenging but that the Endowment’s performance in fiscal year 

2009 had been sound.  The Endowment concluded fiscal year 2009 at $883 million 

by managing its liquidity and significantly reducing risk to the portfolio over time. 

The Smithsonian exceeded its goals for fund raising, as well as those for 

government grants and contracts.  Smithsonian Enterprises improved its bottom 

line and the Central Trust ended the year with a small surplus.   

The Secretary said that an update on the development of the national campaign 

would be provided in the report of the Advancement Committee and that more 

comprehensive reports would be presented in future Regents’ meetings.  Secretary 

Clough commented that the Smithsonian’s donor base is very strong in both higher 

and lower giving levels but that mid‐level giving to the Smithsonian was notably 

weaker than that seen in most universities.  He said that a successful national 

campaign will depend upon the Smithsonian’s ability to reach mid‐range donors 

and that, with the implementation of the strategic plan under way, he would now 

direct more of his attention to the development of the national campaign.   

Grants and Contracts The Secretary reported a significant increase in government grants and contracts

over the last year, and added that such activities were continuing to grow in fiscal 

year 2010.  He said that such contracts as the Smithsonian Astrophysical 

Observatory’s $540 million contract for the Chandra x‐ray were accomplishments 

that will provide stable research funding for the next decade. 

Updates on PanInstitutional Activities

With regard to pan‐Institutional activities, the Secretary said that an independent 

review of asbestos issues at the Smithsonian had been completed.  He said that no 

issues in procedures or policies had been identified but that recommendations with 

regard to communications and follow‐up activities had been made.  He added that a 

second study of larger safety issues, the Smithsonian Environmental Assessment 
6 

Program, was under way and that a final report would be provided in February 

2010. 

Secretary Clough said that Under Secretary for Finance and Administration Alison 

McNally was overseeing a best‐practices study designed to analyze the overall 

structure and organization of the Smithsonian.  He said that the study would assess 

such issues as operational business processes, resources, and IT needs, as well as 

the Institution’s ability to implement the goals of the strategic plan and 

management’s capacity for facilitating entrepreneurial, creative work.  He reported 

that the contract for the study had been awarded.  Dr. Jackson asked if the 

Smithsonian had an office dedicated to managing grant and contract activities, 

similar to grant research offices found in many universities.  The Secretary 

responded that the oversight of grant activities was currently the responsibility of 

the Office of External Affairs but would be moved to the Office of the Under 

Secretary for Finance and Administration to provide more administrative support 

for grant‐related research and development.  Dr. Jackson noted the cross‐

pollination opportunities that could be developed between that office and the Office 

of the Under Secretary for Science. 

The Secretary then updated the Board on a branding study that would soon be 

launched under the direction of Director of Communications and Public Affairs 

Evelyn Lieberman.  He said that the initiative would be completed by the end of 

fiscal year 2010, and would align with and advance the goals of the strategic plan.  

He noted that Target Corporation was providing strategic advice in support of the 

Smithsonian’s branding efforts.  Ms. Lieberman explained that the results of the 

branding initiative will strengthen the Smithsonian’s ability to understand and 

present itself in new, engaging, and exciting ways to both existing and new 

audiences. 

The results of the annual employee survey were discussed.  The Secretary reported 

that the survey reflected very favorable results with regard to employees’ job 

satisfaction and opinions of the Smithsonian’s senior leadership; he also said that 

the survey indicated that the Institution could improve its ability to be a “learning 

organization.”  He expressed his appreciation to Office of Policy and Analysis 

Director Carole Neves and her staff for their work on the survey.  The Secretary was 

asked about the number of participants in the survey and whether or not its results 

were an accurate reflection of employees’ opinions.  He responded that the survey 

required by the U.S. Office of Personnel Management was, in his opinion, too long 

and cumbersome and that the 40 percent response rate of Smithsonian employees 

exceeded that of most Federal agencies. 

Awards and

Recognitions

The Secretary highlighted several awards and recognitions that had recently been 

bestowed on Smithsonian employees or units.  He reported that Smithsonian 

Astrophysical Observatory Senior Scientist Margaret Geller had been awarded the 

National Academy of Sciences’ James Craig Watson Medal and the American 

Astronomical Society’s 2010 Henry Norris Russell Lectureship, a lifetime 

achievement award; Smithsonian Astrophysical Observatory Senior Physicist 

Giovanni G. Fazio, the recipient of the 2009 Secretary’s Distinguished Research 

Lecture Award, presented “Viewing the Universe with Infrared Eyes: The Spitzer 

Space Telescope”; and the National Science Resources Center had won the French 

Academy of Science and the École Nationale Supérieure des Mines de Saint‐
7 

Étienne’s prestigious International Prize for the Scientific Literacy of the Children of 

the Planet, or puRkwa Prize, in recognition of the Center’s history of excellence in 

innovative programs that have transformed science learning and teaching 

throughout the world.  The Secretary noted that Time magazine had declared the 

Bosavi giant woolly rat discovered by Smithsonian biologist Kristofer Helgen the 

“Best New Species Discovery” and that three CINE Golden Eagle Awards had been 

awarded to the Smithsonian Channel.  He also said that the first Secretary’s Awards 

for Excellence were announced for staff‐level interdisciplinary initiatives and the 

Smithsonian exceeded its Combined Federal Campaign (CFC) goal, as well as 

received a CFC award for increasing the Smithsonian’s participation rate by 3 

percent. 

Changes at the National

Zoological Park

Secretary Clough announced that the name of the National Zoological Park’s facility 

in Front Royal, Virginia, had been changed to the Smithsonian Conservation Biology 

Institute.  He also reported that the National Zoo’s adolescent panda, Tai Shan, 

would return to China in early February 2010, in accordance with the Zoo’s 

agreement with the Chinese government.  He added that negotiations regarding 

extending the stay of Tai Shan’s parents were currently under way. 

Fiscal Year 2010

Smithsonian Goals

The Smithsonian’s goals for fiscal year 2010 were then reviewed with the Board.  

The Secretary explained that the goals aligned with the strategic plan and reflected 

a top‐down, comprehensive process to build staff and unit agreement with and 

commitment to the goals.  He said that draft goals had been discussed by the 

Executive Committee and that the comments from that review, including a request 

for more quantifiable goals in the plan, had been integrated into the paper 

presented to the Board.  He added that the application of SharePoint software 

would support weekly updates on progress towards the goals. 

Dr. Jackson inquired about the Smithsonian’s plans to accelerate its digitization 

efforts.  The Secretary noted the difficulty of both quantifying and qualifying 

progress on an issue that is changing as rapidly as the field of digital technology.  He 

reported that Chief Information Officer Ann Speyer and her staff were already 

applying fiscal year 2010 funds to create an infrastructure to support the 

digitization efforts of all Smithsonian units and said that a report on that initiative 

was forthcoming.  He also said that the Smithsonian’s units were very motivated to 

participate in the digitization of collections, research, and programs.  He 

commented on the time and financial savings that can be achieved through virtual, 

not physical, access and said that these efforts also enhance the Institution’s ability 

to protect and care for its collections.  

Dr. Jackson and the Secretary discussed the challenges presented when projecting 

the future needs of such an issue sophisticated as sophisticated as digital 

technology.  They spoke of specific developments in the field, such as the use of 

three‐dimensional images that can be manipulated into time slices, and the 

technical, accessibility, and financial implications that are presented by such 

advancements.  Dr. Jackson noted that the fiscal year 2010 goals included the 

development of standards, policies, and priorities for the Smithsonian’s digitization 

program.  She said that the development of standards is an especially appropriate 

goal in the digitization initiative and suggested that the Institution consider 

partnering with other institutions in the development of such standards. 
8 

There being no further comments on the Smithsonian’s goals for fiscal year 2010, 

the Board was asked to affirm the goals.  The motion was approved. 

See attached Resolution 2010.01.02 (Minutes of the Board of Regents, Appendix A).

The Secretary concluded his report by noting that an update on the Arts and 

Industries building would be provided later in the meeting.  He also thanked Dr. 

Neves and her staff for the fiscal year 2009 report that was included in the Board’s 

meeting books.  Ms. Stonesifer thanked the Secretary for his report and noted that 

many important Smithsonian stakeholders, such as the Smithsonian National 

Board, have expressed their appreciation for the leadership of the Secretary and the 

progress that has been made under his direction. 

STRATEGIC FOCUS ON SMITHSONIAN SCIENCE: BIODIVERSITY

Under Secretary for Science Eva Pell, who began her appointment three‐weeks’ 

prior to this meeting, expressed her appreciation to the Board for the opportunity 

to discuss biodiversity and the Smithsonian’s commitment to discovering, 

understanding, and sustaining the diversity of life on Earth.  Dr. Pell said that four 

Smithsonian researchers would participate in the illustrated presentation on 

biodiversity: Francisco Dallmeier, head of the National Zoological Park’s Center for 

Conservation Education and Sustainability; Vicki Funk, senior scientist and curator 

in the National Museum of Natural History’s Department of Botany; Mary 

Hagedorn, fish physiologist and cryobiologist in the National Zoological Park’s 

Species Survival Center; and Michael Lang, director of the Smithsonian Marine 

Science Network and the Science Diving Program.  She thanked Deputy Under 

Secretary for Science Scott Miller for his contributions as Acting Under Secretary 

for Science, as well as for the assistance he provided, along with Mr. Lang, in her 

preparations for this presentation. 

Biodiversity: Past,

Present, and Future   Dr. Pell introduced the presentation by commenting on the enormous advances 

that have occurred in the sciences since James Smithson first conceived of his gift to 

the United States.  At that time, she said, ideas regarding evolution, species 

differentiation, and biodiversity were unknown, whereas today entire genomes are 

sequenced on a regular basis, complex geographic data are provided by satellites 

circumnavigating the globe, and computational systems can create predictive 

models in support of efforts to protect the world’s biodiversity. 

Dr. Pell stated that biodiversity is an international concern, as demonstrated by the 

United Nations Secretary‐General Ban Ki‐moon and Germany Chancellor Angela 

Merkel’s recent declaration that 2010 is the International Year of Biodiversity.  The 

Smithsonian’s focus on biodiversity, she said, will be essential to international 

efforts to reverse historic trends that have compromised the world’s ability to 

sustain its ecosystems. 

Biodiversity:

Why It Matters

Dr. Pell then discussed the concept of biodiversity and its importance.  Noting that 

the concept of biodiversity addresses the diversity of species within ecosystems 

and landscapes, as well as the genetic variability within species, she said that 

biodiversity includes animals, microbes, and plants, and can be seen, for example, in 
9 

terrestrial matter (both above and below ground) and marine matter. 

She explained the importance of biodiversity and its critical role in sustaining life 

on Earth.  Dr. Pell said that billions of people on Earth depend on wild organisms 

for healthy food, air, and water.  She cited Taxol, a powerful plant‐based form of 

chemotherapy, as an example of the significant role of biodiversity’s relevance to 

human life, and said that the full extent of medicinal resources derived from plants 

or other organisms have yet to be discovered.  She noted the economic implications 

of biodiversity and the importance of genes from wild sources in the development 

of disease‐resistant plants.  Dr. Pell said that the United States alone incurs over 

$100 billion in annual losses to invasive species; she also noted that one‐third of 

crops worldwide are insect‐pollinated at a value of approximately $117 billion, and 

that the recent decline in bee colonies reflected the real effect of a compromised 

biosystem. 

Scientific studies of the history of biodiversity on Earth, she said, have revealed 

cycles of growth and extinction.  Dr. Pell said that understanding and protecting the 

Earth’s biodiversity will be essential to sustaining human existence on the planet, 

and ensuring that mankind doesn’t become the dinosaurs of the future. 

Biodiversity and

the Strategic Plan

Dr. Pell then reviewed the strategic plan’s grand challenge “discovering and 

understanding life’s diversity,” the questions targeted by this challenge, and their 

alignment with world opinion.  She highlighted the significance of how this grand 

challenge is framed in the strategic plan and the five critical questions it poses:  

How biologically diverse is the Earth, and how does this diversity change 

across geography and through time? 

What does the planet’s history teach about the impacts of environmental 

change on the evolution and extinction of species? 

How can mankind better understand the life‐sustaining services of 

ecosystems, and best sustain their contributions to human well‐being, 

locally and globally? 

How can mankind secure the survival and recovery of ecosystems, habitats, 

and species? 

How can science better forecast environmental change and mitigate the 

adverse impacts of human‐induced change on biological diversity? 

Unique Position of

the Smithsonian

The unique capabilities of the Smithsonian, she said, position it directly in the 

middle of global efforts to understand the past, monitor the present, and predict the 

future on both macroscopic and microscopic levels.  She cited the Smithsonian 

Institution Global Earth Observatories (SIGEO) as an example of a powerful tool for 

studying the impact of global climate change on forests over time.  The project, 

which began in 1980 on a 124‐acre forest plot on Barro Colorado Island in Panama, 

is now a global network that monitors over 8,200 species and 3 million individual 

trees to measure the impact of climate change over time. 

Other Smithsonian contributions to overarching studies of biodiversity include 

DNA barcoding, the Encyclopedia of Life (EOL) initiative, and the Consortium for 

the Barcode of Life.  Dr. Pell said that molecular‐based studies of biodiversity have 
10 

enabled researchers to identify DNA sequences and quickly categorize specific 

species.  She cited studies of 1,900 mosquito specimens of 174 different species 

from the Smithsonian’s collections, 90 percent of which are malaria‐vectoring 

species.  The Barcode of Life database now has sequences from almost 800,000 

individuals representing 65,000 species.  She stated that the collective 

contributions of Consortium members will revolutionize scientists’ ability to 

advance biodiversity studies, share bioinformatics about species across the globe, 

and link the Smithsonian’s collections, research, and outreach to specialists and 

casual researchers.  Dr. Pell added that, unlike studies conducted at universities 

that operate on a grant‐by‐grant basis, the Smithsonian can conduct longitudinal 

studies and partner with other Federal agencies.  The Smithsonian, she said, should 

be the global leader in biodiversity research. 

Smithsonian Centers

for Biodiversity

Research

Dr. Pell then provided an overview of Smithsonian units that support research 

dedicated to biodiversity.  The major centers, she said, include the National 

Museum of Natural History, the National Zoological Park, the Smithsonian 

Environmental Research Center, and the Smithsonian Tropical Research Institute; 

she also acknowledged the significant contributions of other, smaller field stations, 

such as those in Belize, Gabon, Guyana, and Kenya, among others. 

The Museum of Natural History, she said, possesses collections of over 126 million 

specimens and hosts important exhibits, such as the widely acclaimed Sant Ocean 

Hall and the Human Origins Hall, which will open in 2010.  Research conducted at 

the Museum includes collection‐based studies of biodiversity, anthropology, 

geology, and paleobiology.   

Dr. Pell characterized the National Zoological Park as the home of the Smithsonian’s 

living collections.  She noted that the Zoo possesses two facilities: one based in the 

District of Columbia’s Rock Creek Park and the other, which was recently renamed 

the Smithsonian Conservation Biology Institute, is sited in Front Royal, Virginia.  

The two facilities host 2,000 live animals representing 400 different species and 

support research on animal health, conservation science, reproductive science, 

wildlife ecology, and landscape ecology.  She added that National Zoo–based 

reproductive biology research extended beyond the widely known efforts to 

expand the National Zoo’s panda populations and includes studies of animals that 

are endangered or extinct in the wild, such as the Przewalski’s horse, the black‐

footed ferret, and the scimitar‐horned oryx.  She noted that the Zoo has successfully 

reintroduced the ferret and the oryx into the wild. 

Dr. Pell announced that the Zoo was recently named one of 20 core sites for the 

National Ecological Observatory Network, or NEON, a National Science Foundation–

funded programs dedicated to monitoring ecological and biological changes with 

the goal of creating predictive models.  She said that the identification of the Zoo as 

a member of NEON was the result of a highly competitive process, and that its 

inclusion demonstrated recognition of the Smithsonian’s capabilities. 

The contributions of the Panama‐based Smithsonian Tropical Research Institute, or 

STRI, were next discussed.  There, she said, studies of archaeology and 

anthropology, behavioral ecology, paleoecology, forest and marine ecology, and 

evolutionary biology are conducted at a suite of research sites across the country.  

Dr. Pell said that she would soon visit STRI and noted that many ecologists she has 
11 

known have conducted research at the world‐renowned Institute at some time in 

their careers.  She added that the tropical site especially supports studies of 

changes in biodiversity in ecologically rich systems. 

Dr. Pell provided an overview of the Smithsonian Environmental Research Center, 

or SERC.  She said that the 3,200‐acre reserve, which includes 14 miles of protected 

shoreline in the Chesapeake Bay, supports marine and terrestrial research on 

global climate change, estuarine and forest ecology, invasion studies, and plant 

physiology.  She noted that SERC utilizes field sites across the world and has the 

longest‐running CO2 enrichment study in the United States, which has provided 

critically important information about the impact of rising CO2 levels on resident 

species.  SERC, she said, has also been active in studies of the spread and impact of 

marine invasive species. 

The Under Secretary for Science also commented on the important contributions 

that have resulted from collaborative efforts between Smithsonian researchers.  

She cited the collective research of staff from the Museum of Natural History, the 

National Zoo, and the Smithsonian’s Museum Conservation Institute that led to the 

identification of the species of geese involved in the January 2009 bird strike that 

downed a US Airways flight at LaGuardia Airport in New York City.   

Biodiversity Outreach

Initiatives

Dr. Pell briefly reviewed some of the many Smithsonian outreach initiatives in 

support of biodiversity research and education.  She noted that the National 

Zoological Park’s collaboration with George Mason University, which was 

formalized by the Board of Regents, will advance the education of future 

generations of researchers devoted to biodiversity studies.  She said that the 

initiatives of the Smithsonian’s National Science Resources Center, the recent 

Smithsonian‐sponsored symposia on biodiversity, the Encyclopedia of Life, and 

other programs supported by the Smithsonian demonstrate the Institution’s active 

engagement in and commitment to biodiversity‐related outreach.  She emphasized 

that the Encyclopedia of Life, unlike Wikipedia, demands a critical level of peer 

review before information is posted on the Web.  The Consortium for the Barcode 

of Life, she said, also reflected the collaborative and rigorous contributions of many 

researchers.  She stated that both demonstrate the collective power of collaborative 

programs, as well as the Smithsonian’s leadership in global biodiversity initiatives. 

Discussion of

Dr. Pell’s Overview   Prior to proceeding to presentations by staff on biodiversity, Ms. Stonesifer asked 

the Regents if they had any questions or comments.  As some 95 percent of species 

that once existed on Earth are now extinct, Dr. Pell was asked about the 

Smithsonian’s perspective with regard to monitoring versus preserving the species 

that still exist.  Dr. Pell stated that it was not realistic for the Smithsonian to attempt 

to preserve all remaining species, but that it should advance efforts to control or 

slow down an extinction process wherever possible.  She said that attention should 

be especially focused on organisms of particular value to mankind, adding that 

most life on the planet is within its oceans.  Because human behavior controls a 

great deal of the environment, Dr. Pell said that the Smithsonian should be 

committed to both monitoring and galvanizing support for the world’s biodiversity. 

The Regents discussed the political and economic issues that influence 

sustainability initiatives, and the value judgments that underlie decisions about 

resources should be directed.  When asked if the Smithsonian could serve as an 
12 

unbiased arbiter in such situations, the Secretary responded that the Institution 

was not equipped to undertake that role, although it was conceivable that it could 

participate in a collaborative effort to opine on such issues. 

The Board agreed that the general population is essentially uninformed about what 

biodiversity is and the urgency of protecting it.  The Regents discussed the 

leadership opportunity the Smithsonian can assume in educating the public about 

biodiversity and advocating for its protection. 

The Regents also discussed how the efficacy of such actions could be measured.  Dr. 

Pell said that, whether through saving species, supporting new discoveries, and/or 

motivating other organizations to participate in such processes, the Smithsonian’s 

role should be to advance and participate in as many initiatives as practicable that 

support a biodiverse planet.  Ms. Stonesifer noted that tracking peer‐reviewed 

articles, measuring accessibility to the Smithsonian’s resources, and increasing 

substantive educational opportunities are just a few of the many ways that the 

Smithsonian can measure its relevance and actual success with regard to this issue.  

The Secretary added that the Institution was very close to hiring a director of 

education who will guide focused efforts to extend its resources to educational 

institutions. 

The Smithsonian’s relatively new role in contributing to efforts to sustain, not just 

understand, biodiversity was considered.  The Regents agreed that understanding 

and sustaining biodiversity on Earth involves numerous disciplines, many of which 

the Smithsonian supports.  Dr. Pell spoke of the recent discovery by Smithsonian 

astronomers of a super‐Earth 40 light‐years from Earth.  Saying that studies 

indicate the planet may possess a gaseous atmosphere and different forms of water, 

the Under Secretary said that studying the meteorological aspects of climate change 

on other earths may help scientists better understand both what is happening on 

Earth, as well as offer predictive information about what may happen in the future. 

Michael Lang:

Long­Term Biodiversity

Research and Outreach  

Programs  

Dr. Pell then introduced Mr. Lang, who spoke of the Smithsonian Marine Science 

Network and the many individual and pan‐Institutional programs that conduct 

long‐term research on marine organisms, their life histories, and their ecological 

significance.  Located in the Chesapeake Bay, Florida, Belize, and Panama, the 

Network’s laboratories and research vessels span the western Atlantic and cross 

the isthmus of Panama in support of comprehensive, long‐term studies of crucial 

marine ecosystems.  Mr. Lang said that these studies provide an array of important 

information that supports the identification of new marine organisms, the creation 

of baselines for modeling and forecasting, and the understanding of the effects of 

environmental degradation on community changes, invertebrate diseases, invasive 

species, among other things. 

Mr. Lang spoke of the overarching questions that are the focus of much marine 

science research.  He said that marine studies explore the major patterns in 

biodiversity distribution; the effects of biodiversity, or its loss, on the functioning of 

ecosystems; and how mankind is changing the magnitude and distribution of 

biodiversity, as well as the patterns and consequences of such changes. 

Mr. Lang commented on the impact of coastal habitat destruction in Belize and its 

impact on marine ecosystems.  He said that mangrove clear‐cutting in support of 
13 

shrimp farms and the development of coastal communities have stressed marine 

ecosystems and led to the mass spawning of green algae on coral reefs.  In the 

Chesapeake Bay, he said, blue crab populations have decreased in response to a 

marine habitat compromised by pollution and rising CO2 levels.   

Mr. Lang said that, although rising CO2 levels in marine habitats have challenged the 

health of many native species, invasive species often proliferate in response to such 

changes.  He cited the overgrowth of certain species of cnidaria (often recognized as 

jellyfish) in certain marine environments and the ecological impact of such 

population explosions.  He also spoke of the mass mortality of Caribbean black sea 

urchins in 1983, which dramatically altered marine ecosystems and led to the 

growth of micro‐algae that suppress coral growth. 

  

He then discussed the recent classification of the Caribbean snapping shrimp as a 

eusocial animal.  He explained that eusociality, a form of animal social organization, 

is characterized by overlapping generations, reproductive division of labor, and the 

cooperative care of young.  Similar to the honey bee, the snapping shrimp lives in 

colonies of up to 300 individuals, each containing only a single reproductive female. 

Mr. Lang described the Panama Coral Reef Monitoring Network and its efforts to 

measure such stressors as oil and nutrient pollution, temperature changes, and 

sedimentation on these important marine animals.  He commented on the 

application of DNA barcoding to, for example, identify and clarify fish species and 

their diversity; he also noted the importance of data management tools to support 

such studies. 

Mr. Lang also discussed the wide range of educational initiatives that are integral to 

the Marine Science Network’s outreach goals.  He said that the Network provides 

graduate study opportunities and supports post‐doctoral fellowships; hosts public 

seminars and educational programs for K–12 school groups; provides distance‐

learning opportunities, Web‐based virtual tours, and other forms of Web‐based 

access to its resources; and publishes a range of materials that range from field 

guides to bilingual interactive CD ROMs to peer‐reviewed articles, journals, and 

books.   

In closing, Mr. Lang said that the Sant Ocean Hall and its marine biodiversity exhibit 

demonstrate that the ocean is a global system essential to all life.  He also noted that 

it was the 50th anniversary of the record‐breaking dive of the Trieste in the 

Marianas Trench off of Guam, adding that the Rolex watch taken on the dive by 

crew member Jacques Piccard is in the collection of the National Museum of 

American History.   

Mary Hagedorn:

The Role of

Reproductive Biology in

Conservation  

Dr. Pell then introduced Mary Hagedorn, fish physiologist and cryobiologist in the 

National Zoological Park’s Center for Species Survival, who discussed the role of 

reproductive biology in conservation.  Dr. Hagedorn focused her presentation on 

coral species and their reproduction, the threats to the species’ biodiversity from 

issues such as climate change, and the Smithsonian’s participation in efforts to 

stabilize and conserve this fragile ecosystem. 

Dr. Hagedorn spoke of the Smithsonian’s historic leadership in the marine sciences.  

She said that nearly all of the marine specimens collected from the 40‐year career 
14 

of the Albatross, built in 1882 as the first large ship designed especially for 

oceanographic research, are held in the Smithsonian’s collections.  These 

specimens, she said, remain the focus of many studies to this day.   

Noting that 71 percent of the Earth is composed of water, Dr. Hagedorn emphasized 

the importance of marine studies to global conservation initiatives.  She cited a 

seminal 1993 report from the Center for Marine Conservation, which stated “. . . the 

entire marine realm, from estuaries and coastal waters to the open ocean and deep 

sea, is at risk.” 

Dr. Hagedorn then directed her remarks to the study and conservation of coral, 

noting that the animals’ reefs, which cover only 0.02 percent of the Earth’s surface, 

provide habitats that support thousands of species.  Coral reefs, she said, also purify 

the Earth’s air, create natural storm barriers that protect coastlines, and support 

marine‐based economies, such as fishing and tourism.  In addition, coral reefs are a 

relatively untapped source of potential medicines, including antibiotics and cancer 

treatment agents.  

However, said Dr. Hagedorn, it is possible that some 95 percent of the world’s coral 

reefs may disappear over the next 40 years in response to both local and global 

changes.  She spoke of the increase in sedimentation rates that have resulted from 

local mining, logging, and agricultural activities, some of which can be controlled, 

but also spoke of the large‐scale impact of fossil fuel consumption and the 

challenges presented by human activities that compromise ecosystems on a global 

scale. 

Dr. Hagedorn said that corals are now at their top level of stress, just as the world’s 

oceans are becoming more acidic.  She presented photographs of Rainbow Reef, 

Bahamas, in both 1991 and 2004.  The images showed the dramatic degradation 

over time of the coral reefs, and demonstrated the devastating effect of 

compromised environments on marine life. 

She then discussed the Smithsonian’s cryoconservation program and its efforts to 

preserve coral species through cryopreservation.  She said that the world’s first 

coral cryobank contains approximately 450 samples of endangered coral sperm.  

Maintained in liquid nitrogen, the specimens are housed in three locations around 

the world.  She reported that efforts to support both sexual and asexual 

reproduction of live and frozen coral have been successful, providing hope that 

endangered coral species may one day be reseeded in the world’s oceans.  Dr. 

Hagedorn concluded her presentation by citing some of the many Smithsonian 

programs—including the Center for Species Survival, the Center for Conservation 

Education and Sustainability, the Center for Conservation and Evolutionary 

Genetics, and the Conservation Ecology Center—that contribute to the study and 

conservation of coral. 

Francisco Dallmeier:

Biodiversity Research,

Monitoring, and

Conservation  

Francisco Dallmeier, director of the National Zoological Park’s Center for 

Conservation Education and Sustainability (CCES), spoke to the Board about 

biodiversity research and monitoring, the impact of humans on ecosystems, and 

efforts to implement regional conservation and sustainable development.  He 

emphasized of the importance of knowing and understanding the biodiversity of a 

region, restoring and protecting its environment and species, educating and 
15 

establishing relationships with stakeholder groups, and monitoring the vital signs 

of an ecosystem.  He noted that the efforts of many units of the National Zoological 

Park are directed towards conservation biology.   

Dr. Dallmeier spoke of the impact of global development, including population 

growth, and its current and future impact on the environment.  With regard to the 

CCES, Dr. Dallmeier said that that the center’s programs are dedicated to 

addressing the urgent need to integrate biodiversity science and conservation into 

sustainable development.  Located in multiple sites around the globe, CCES 

programs include both marine and terrestrial biodiversity studies and initiatives.   

One such program, said Dr. Dallmeier, is the Gabon Biodiversity Program.  He said 

that the 10‐year‐old program has supported research, conservation, education, and 

sustainability initiatives in a politically stable country that hosts the largest and 

most diverse forest in Africa, species that are 20 percent endemic, and significant 

populations of African megafauna, as well as a relatively low human population 

density.   

Dr. Dallmeier noted the biodiversity historically found in Gabon and surrounding 

regions.  The region, he said, includes coastal areas on the Atlantic Ocean, savannas, 

coastal forests, rivers, lagoons, and rainforests.  He said that the 75 plots studied by 

Smithsonian researchers and their partners include 374 species of trees, 86 species 

of reptiles, 78 species of amphibians, 456 species of birds, 70 species of mammals, 

69 species of freshwater fish, and 1,600 morpho‐typed insect species.  Dr. Dallmeier 

said that the Gabon Biodiversity Program supports studies of seasonal elephant 

distributions and the long‐distance migration of humpback whales, sea turtles, and 

other marine and terrestrial species.  In addition, the region presents examples of 

the detrimental effect of invasive species, such as fire ants, on native ecosystems. 

He said that the Gabon Biodiversity Program’s outreach initiatives are many.  The 

program, which currently hosts 56 researchers and educators from the National 

Zoological Park, the National Museum of Natural History, and the Smithsonian 

Tropical Research Institute, as well as representatives from outside partner 

organizations, educates local populations about biodiversity and provides 

professional training in biodiversity research and infectious diseases monitoring.  

In the last year alone, the program has supported the release of 128 publications, 

76 of which were peer‐reviewed, and the distribution of multiple briefing papers, 

field newsletters, posters, media articles, and documentaries.   

Dr. Dallmeier said that the Gabon Biodiversity Program cultivates partnerships 

with multiple stakeholders and provides strategic advice to the government of 

Gabon and the private sector.  He said that the significance of the Smithsonian 

program’s contributions was recently recognized through the nomination of the 

site for Biosphere Reserve Status in the UNESCO‐sponsored Man and Biosphere 

Program.  Operating under the name Gamba Biosphere Reserve, the site would 

participate in global monitoring networks that observe the current health of an 

ecosystem and develop forecasting models in support of its future.  Such efforts, 

said Dr. Dallmeier, are intended to mitigate human‐induced impacts on biological 

diversity. 

Vicki Funk: Dr. Pell then introduced Vicki Funk, senior scientist and curator in the National 
16 

The Role of Collections

in Studies of

Biodiversity

Museum of Natural History’s Department of Botany, who addressed the role of 

collections in broader studies of biodiversity.  Dr. Funk explained that the 

Smithsonian’s biodiversity collections include living collections, such as the 

collections of the National Zoological Park; museum specimens, such as the  

126.5 million specimens in the collection of the Natural History Museum; 

bioinformatics, such as those found in the Smithsonian’s Electronic Museum system 

(EMu); and ancillary collections, such as photographic and illustrated images.   

Posing the rhetorical question “Why do we need all this stuff?,” Dr. Funk explained 

that these collections support studies, including those of invasive species; species 

identification; public access and education initiatives; research on phylogeny and 

evolution; database and checklist development; monographs on floras and faunas; 

biodiversity and conservation research; and climate estimation forecasts.  She 

commented on the range of tools, such as molecular techniques and digital 

photography, used in the study of these collections, and said that the introduction 

of new technologies continue to offer new ways of examining and understanding 

the Smithsonian’s collections.   

Dr. Funk said that the accurate identification of species demands an understanding 

of population variation and access to an abundance of material drawn from the 

range of that species.  She cited the taxonomic identification of New Zealand’s 

Tuatara, a lizard‐like reptile whose evolution dates back to the Mesozoic Era, as a 

successful example of this process.  

Dr. Funk emphasized the importance of collections to global collaborations in 

support of biodiversity and conservation.  Collections, she said, have contributed to 

scientists’ understanding of global patterns of biodiversity and species richness, as 

well as to predictive models that inform conservation initiatives.  She cited the 

multiple contributions that have resulted in the creation of detailed phylogenies, or 

family trees, of complex groups, and the collections that house molecular samples 

of these groups.  Dr. Funk said that specimens from the Smithsonian’s collections 

have provided evidence of the dramatic decline of endemic Hawaiian birds.  She 

said that bones dating from about 400 AD indicate that some‐107 species once 

thrived on the Hawaiian Islands, whereas now only 11 are not endangered. 

Dr. Funk spoke of the wealth of information about biodiversity that can be accessed 

on the Web, such as the Plants Web site hosted by the United States Department of 

Agriculture.  She said that the Smithsonian’s digitization initiative is enhancing 

access to its collections data, and that new Web applications, such as Google Earth, 

offer novel ways to gather information about global patterns of biodiversity on both 

micro and macro levels. 

Dr. Funk then posed a second rhetorical question—“Why are you still collecting?”—

and cited several recent discoveries and programs that have benefitted from the 

collecting activities of Smithsonian staff.  She spoke of the biocode project under 

way in Moorea, Polynesia, which is providing vouchers and genetic material 

documenting life on the island, and the application of the Survey Gap Analysis Tool

for predictive research in Queensland, Australia.  The latter, she said, has resulted 

in the identification of 15 species that are new to the area, one of which is entirely 

new to science.  In the year 2009, the Smithsonian’s collections were used to create 

a history of white‐nose syndrome, which has killed over 1 million bats to date and 
17 

threatens crucial ecosystems, and efforts to monitor the quality of freshwater have 

advanced because of information retrieved from analyses of caddisfly larvae from 

the collections.   

Dr. Funk said that these are but a few of the opportunities that the Smithsonian’s 

collections offer in the quest to understand biodiversity and support the 

conservation of global ecosystems.  She added that the Smithsonian’s ability to 

understand and disseminate knowledge about life on Earth will continue to expand 

as new ways are found to use and access its collections. 

Discussion Thanking Dr. Pell and the members of her staff for their compelling presentations, 

Ms. Stonesifer asked the Board for comment, particularly with regard to the grand 

challenge “discovering and understanding life’s diversity.”  Ms. Stonesifer asked 

what the Smithsonian should be doing to ensure that this goal becomes a hallmark 

of the Institution’s contributions to the knowledge, understanding, and 

conservation of a diverse planet, especially in the coming five years. 

Dr. Pell said that, because it cannot possibly address all of the issues raised with 

regard to biodiversity and conservation, the Institution’s challenge will be to 

determine its areas of focus.  She said that strategically focused questions, such as 

determining the role of carbon sequestration in maintaining a sustainable 

environment, will contribute to global initiatives in support of biodiversity.  She 

said that the strategic plan’s call for a center dedicated to “discovering and 

understanding life’s diversity” will be key to the Smithsonian’s ability to achieve 

this goal.  She said that a search was under way to select a center director who will 

organize working groups to determine the Smithsonian’s capabilities, 

insufficiencies, and goals with regard to specific biodiversity initiatives.  

Senator Dodd said that the public’s inability to understand the importance of 

sustaining a biodiverse planet reflected the urgent need to take this message to the 

Congress.  He said that a top priority of the Smithsonian should be to communicate 

the imminent threat presented by the diminished scope and capacity of the world’s 

ecosystems.  He said that the presentation clearly demonstrated the Smithsonian’s 

research capabilities and contributions in efforts to mitigate such threats, and that 

the depth of the Institution’s resources should be made clear to Congress. 

When asked how to best present this information to Congress, the Senator advised 

that a more brief presentation be provided to more informal gatherings, such as 

lunches, on the Hill.  Ms. Matsui agreed that the presentation made the 

Smithsonian’s research activities come alive and that its focus especially aligned 

with the administration’s focus on science and education. 

When asked if other countries were conducting the same level of research on 

biodiversity and conservation, Dr. Pell said that the United States is a recognized 

leader in such efforts.  She also said that the presentation provided an introduction 

to the scope of the Smithsonian’s collaborations with organizations and countries 

across the globe. 

Mr. Sant commented on, and welcomed, the presentation’s strong conservation 

message.  He said that information about ecosystem services and data about what 

biodiversity provides in terms of economic benefits for the world should be 
18 

presented to Congress, made clear to the public, and integrated into national 

economic indicators, such as the GDP.   

Dr. Jackson concurred with Mr. Sant.  She also noted that themes from the 

presentation could be pulled out and used to create more focused presentations.  

She suggested that future presentations include more information about the 

implications of not addressing challenges to the world’s biodiversity, especially 

with regard to specific issues, such as the economy, public health, and agriculture.  

Dr. Jackson also requested that electronic copies of the presentation be provided to 

each Regent. 

Noting that the presentation showed the capacity and the potential of the 

Smithsonian, Mr. Kogod asked if there were any ways to further enhance the 

partnerships in which the Smithsonian is engaged.  He noted the importance of 

providing opportunities for all sectors of the Smithsonian to engage in the forward‐

looking momentum generated by such partnerships.  Dr. Pell said that the 

Smithsonian is engaged in many dialogs about support for pan‐Institutional 

collaborations that benefit all units in the Smithsonian.  She also asserted her belief 

in the ability of scientific relationships to enhance global relationships.  

Senator Dodd said that, although the Smithsonian cannot solve all of the problems 

confronting the world’s ecosystems, it should assume a leadership position in 

raising global awareness about the economic implications of this issue.  Dr. Pell 

commented on the opportunities provided by partnerships with universities, think 

tanks, and other organizations focused on issues of global importance. 

Mr. Rubenstein inquired if there was a specific exhibition dedicated to the 

Smithsonian’s biodiversity initiatives.  Dr. Pell responded that, because of the 

enormous scope of the issue, pieces of the larger story of biodiversity are presented 

in many different exhibits.  Mr. Kogod commented on the future potential of the 

Arts and Industries building to inform the public about the grand challenges of the 

strategic plan and the initiatives of the interdisciplinary centers that support those 

goals.  Dr. Córdova added that the issue of biodiversity and the Smithsonian’s 

commitment to sustaining a biodiverse planet offer a branding opportunity that can 

demonstrate the dynamic quality of the Smithsonian, its museums, and its research 

centers.   

Concluding the discussion, Ms. Stonesifer expressed her appreciation to Dr. Pell and 

her staff for their substantive introduction to the importance of biodiversity and 

the Smithsonian’s contributions to discovering, understanding, and sustaining life’s 

diversity.  The Board agreed and responded with an enthusiastic round of applause.

REPORT OF THE FINANCE COMMITTEE 

Fiscal Year 2011

Federal Budget Request

Finance Committee Chair Roger Sant reported that the Finance Committee met on 

January 20, 2010, to consider a full agenda.  He said that members devoted a 

considerable portion of their discussion to the Institution’s successful negotiations 

with the Office of Management and Budget (OMB) regarding the fiscal year 2011 

Federal budget request. 
19 

Mr. Sant reminded the Board that the Institution had submitted three different 

budget requests to OMB in September 2009: a freeze budget that held funding at 

the fiscal year 2010 level and a budget that reduced funding to a level 5 percent 

below the fiscal year 2010 level, both of which were in compliance with OMB’s 

guidance, and a third, “requirements budget” that OMB subsequently agreed to 

consider. 

He said that the tremendous efforts of Smithsonian management, a strong 

relationship with OMB staff, and the influence of a comprehensive strategic plan 

resulted in a fiscal year Federal budget request to Congress of $798 million, a 

remarkable 5 percent increase over the Smithsonian’s fiscal year 2010 

appropriation and an outcome that the Committee would not have predicted two 

months earlier.  He said that this request would cover most, but not all, of the 

Smithsonian’s mandatory cost increases, support the implementation of the 

strategic plan, and advance collections care and research, as well as provide a  

$12 million increase in the Institution’s facilities capital budget.  However, a  

$7 million request was denied for funds to reduce risk to the construction schedule 

for the National Museum of African American History and Culture (NMAAHC).  Mr. 

Sant emphasized that the budget request had yet to be approved by Congress. 

Fiscal Year 2012

Forecast

Mr. Sant next spoke of the budgetary challenges the Smithsonian will face in fiscal 

year 2012.  He said that potential budget issues must be identified early and that 

the Institution must begin developing strategies accordingly.  

He said that the Smithsonian will start drafting its fiscal year 2012 budget 

submission in the coming months and that the Finance Committee would consider 

the Institution’s budget priorities for fiscal year 2012 at the Committee’s April 2010 

meeting.  Mr. Sant then asked Director of the Office of Planning, Management, and 

Budget Bruce Dauer to provide a more in‐depth overview of the fiscal year 2012 

outlook. 

Mr. Dauer shared two charts with the Board, one with information about the four 

primary revenue streams anticipated in fiscal year 2012 and the other detailing the 

fiscal year 2012 funding needs.  He outlined the four funding sources: Federal 

appropriations, monies from fund raising and the national campaign, government 

grants and contracts, and new revenue.  Mr. Dauer said that fiscal year 2012 will be 

an extremely challenging year with regard to Federal appropriations, as well as 

government grants and contracts, because of the current economy and the focus on 

the national deficit.  He said that, for planning purposes, management was 

projecting a flat budget for fiscal year 2012, with equal chances of increases or 

decreases below that figure. 

Mr. Dauer said that the next biggest revenue stream, monies from fund raising and 

the national campaign, would likely have to make up for what is anticipated to be a 

tight Federal budget.  He noted that the full impact of the 2008 economic downturn 

will be experienced by foundations in fiscal year 2012, when payouts will be 

affected by five‐year rolling averages.  In light of this, Mr. Dauer said that it will be 

especially important that the national campaign is effectively launched.  With 

regard to grant and contract monies, Mr. Dauer said that the Institution had 

benefitted from an increase in such activities in the past year, as well as from 
20 

stimulus funds from the American Recovery and Reinvestment Act of 2009.  The 

last group of funds, new revenue, is not anticipated to be a significant source of 

funding for the Smithsonian in fiscal year 2012, even with the possible income that 

could be received from such initiatives as a fee‐based technical assistance program 

for outside museums or an international museum education program. 

Mr. Dauer then discussed the initiatives that will present extraordinary budgetary 

challenges in fiscal year 2012: NMAAHC; the Arts and Industries Building; the Giant 

Magellan Telescope; the Smithsonian Institution Global Earth Observatories and 

research on global change; broadening access to the Institution; strengthening the 

Smithsonian’s collections; and advancing the strategic plan’s commitment to 

support the Smithsonian mission and expand understanding of both the American 

Experience and world cultures.   

Much of the Board’s discussion was focused on NMAAHC, a Federally mandated 

item with extraordinary funding requirements.  Mr. Dauer said that, as a result of 

discussions with members of the Office of Management and Budget (OMB) about 

NMAAHC, the Smithsonian’s Federal budget will likely be considered in an out‐of‐

cycle spring review by OMB.  He noted that, because of the Institution’s relatively 

small size, the Smithsonian has never participated in a spring review but that the 

importance of this issue has been acknowledged by the OMB staff and warrants the 

enormous effort the process will require. 

Mr. Dauer then said that Smithsonian management had concluded it should submit 

a Federal budget request of $205 million for NMAAHC during a spring review with 

OMB.  He said that the purpose of this request would be to secure upfront Federal 

funding for the new museum, and that the remainder of the Smithsonian’s Federal 

budget request would be submitted during the regularly scheduled budget 

submission process.  Ms. Stonesifer asked the Board for input regarding this 

proposal. 

The Regents voiced significant concern that, although Congress had mandated the 

creation of the new museum and committed to providing Federal funding for 50 

percent of its construction costs, an allocation of the full $205 million request for 

NMAAHC in one year could be at the expense of funding for other Smithsonian 

programs equally deserving of and dependent upon Federal funding, such as the 

Institution’s scientific research and the renovation of the Arts and Industries 

building.  Likewise, the Board said that a reduction in the amount requested by the 

Institution for consideration in the spring review could establish a trend for 

insufficient Federal allocations for the museum in the future.   

They noted that the fiscal year 2011 Federal budget request did not include funding 

to reduce risk to the new museum’s construction schedule.  The Regents also 

discussed the significant challenge that would be presented if Congress did not 

fulfill its commitment to fund 50 percent of the construction costs, leaving the 

Institution to raise an additional $205 million from the private sector. 

The Board discussed the strategic plan and the identification of the Smithsonian’s 

key priorities in light of the funding needs of the new museum.  The Congressional 

Regents noted that Congress had responded positively to the work that had been 

done on the Arts and Industries building using stimulus funds, as well as the 
21 

creation of the Institution’s strategic plan, characterizing both as measures of the 

progress the Smithsonian has made in the past three years.  They agreed that the 

creation of the new museum was a Congressional directive but noted that, as has 

been the case with securing Federal monies for the upkeep of other Smithsonian 

buildings created by Congress, securing sufficient Federal funding can be extremely 

difficult.  The Congressional Regents also agreed that that prior budget requests of 

this magnitude have rarely been granted and that, if approved, often have been 

broken into smaller requests.   

The Board advised management to remind OMB that the creation of NMAAHC was a 

Congressional directive and that, if approval of the entire $205 million request 

appears unlikely, management should aggressively encourage OMB to establish an 

allocation schedule that will continue work on the new museum, as well as avoid 

the government’s appearance of defaulting on its obligation. 

Mr. Sant thanked the Board for its discussion and said that management and the 

Finance Committee would apply the Board’s advice to the pending negotiations 

with OMB.  He said that a detailed update would be provided to the Board at its 

April 2010 meeting.   

Concluding his report, Mr. Sant directed the Board’s attention to the revised 

presentation format of the Institution’s financial update and thanked Mr. Kogod for 

his guidance with regard to enhancing the accessibility and articulation of these 

reports.  The Regents discussed the inherent difficulty of using Generally Accepted 

Accounting Principles (GAAP) in the Institution’s financial summaries, and noted 

that each paper should be a standalone document with self‐explanatory narratives.  

Mr. Sant said that both the Committee and management would welcome 

suggestions about other ways to improve the Smithsonian’s financial reports to the 

Board; he also noted that the pending best‐practices study was anticipated to 

identify efficiencies and productivity gains that will be reported in future financial 

summaries. 

Ms. Stonesifer then returned the discussion to the fiscal year 2011 Federal budget 

request.  She asked the Board to consider a motion to authorize the Secretary to 

submit the fiscal year 2011 Federal budget request to Congress and the motion was 

approved. 

See attached Resolution 2010.01.03 (Minutes of the Board of Regents, Appendix A).

REPORT OF THE INVESTMENT COMMITTEE

Investment Committee Chair David Silfen presented the report of the Committee.  

Mr. Silfen reported that, as of November 30, 2009, the market value of the 

Smithsonian’s Endowment was $893.3 million.  At calendar year‐end the 

Endowment’s value rose to approximately $911 million, achieving a $22 million 

gain, or a 1.7 percent outperformance.   

Mr. Silfen commented on the noteworthy performance of the Smithsonian’s 

Endowment during an unprecedented period of market volatility.  He said that the 
22 

fourth quarter 2008 decision to position the portfolio in a tactically defensive 

posture with increased liquidity had allowed the Endowment to effectively navigate 

the financial challenges of 2009.  Mr. Silfen said that tactical asset allocation 

decision had provided downside protection and that the portfolio, which was 45 

percent liquid as of December 2009, was in a good, albeit defensive, position. He 

noted that, as difficult as the previous year had been, the Smithsonian had ended 

the year in the second quartile of its peer universe.  That group, he said, included 

many endowments that had been unable to raise additional capital and 

consequently had been forced to sell billions of dollars of taxable assets or make 

drastic budget cuts.   

Regarding risk management and liquidity issues, Mr. Silfen reported that the 

management of the portfolio, including some 40 managers, was rigorous and 

ongoing; he noted that the portfolio had not been exposed to such issues as margins 

calls, derivate hedges, or suspended redemptions.  He said that the Committee had 

worked closely with the Regents’ Finance Committee to fund the Endowment’s 

payout requirements.   

Mr. Silfen said that the portfolio’s defensive posture had been maintained from 

October 2008 until September 2009, at which time the sustained and significant 

recovery in credit and equity markets led to a decision to exit the allocation 

strategy.  A revised long‐term asset allocation policy was then developed and 

approved by the Investment Committee.  He explained that under the revised policy 

the portfolio was less liquid but still defensive.  He said that, given the long‐term 

requirements of the Endowment, the portfolio was now better positioned to 

participate in market opportunities, including emerging markets, while benefiting 

from downside protection.   

  

Commenting on the Endowment’s performance over a trailing five‐year average, 

Mr. Silfen said that the Endowment had one more legacy sub‐optimum year to 

average into its overall performance.  The Endowment, which is now securely in the 

second quartile, is then anticipated to move into the first quartile.  As of November 

30, 2009, the return on the Smithsonian’s Endowment was 16.2 percent and, at the 

end of the calendar year, was 18.7 percent, with solid performance among all asset 

classes. 

Mr. Silfen then provided an update on the Endowment’s infrastructure.  He 

reported that the audit of the Endowment was nearing completion and that the 

implementation of the new accounting standards under FAS 157 had been 

successful.  He said that, as part of a larger effort to bring its technology services up 

to date, the Office of Investments had acquired a new portfolio management system 

that would be implemented in April 2010.  He also noted that the Office of 

Investments would move to a new space in 2010 and that one senior staff position 

remained to be filled. 

Looking forward, Mr. Silfen said that the revised long‐term asset allocation 

program would be implemented over the next year and that private equity and real 

asset programs would continue to be rolled out.  As was previously done with 

Cambridge Associates, the management of the Endowment will undergo a 

governance review during the March or June 2010 meetings of the Investment 

Committee.  Mr. Silfen noted that Regent David Rubenstein would join the 
23 

Committee, and that the Committee’s membership, which formed in 2005, would be 

rotated to avoid the simultaneous departure of multiple members. 

During the Board’s discussion of the Investment Committee report, Mr. Silfen 

explained that the Endowment’s liquid assets included not only cash or cash 

equivalents but investments that are not locked in with fund managers.  The Board 

discussed the Endowment’s highest value in recent years, which was $1.11 billion, 

as well as its lowest, which was $756 million. 

Mr. Silfen discussed the difficulty of benchmarking the Smithsonian’s Endowment.  

He said that, whereas around 90 percent of other endowments operate on a June 30 

fiscal year, the Institution operates on a September 30 fiscal year.  Nevertheless, he 

said that the Smithsonian’s Endowment is largely benchmarked against similar‐

sized endowments that operate on a June 30 fiscal year calendar.  He reported that 

the 18 percent decline in the Smithsonian’s Endowment in 2009 was a good 

outcome when compared against many in its peer universe. 

Ms. Stonesifer noted that recognition of the excellent management of the 

Endowment, particularly during a period of unprecedented economic challenges, 

will be an important asset to the national campaign.  Senator Dodd added that the 

successful management of the Endowment demonstrates a level of fiscal 

responsibility that should strengthen the Institution’s position during Federal 

budget negotiations. 

Prior to adjourning for lunch, Ms. Stonesifer announced that the order of the 

presentations during the remainder of the meeting would change.  These minutes 

reflect the actual order of the afternoon reports, not the schedule included in the 

original materials provided to the Board in preparation for the meeting. 

AFTERNOON PLENARY SESSION

EXECUTIVE SESSION

During the Board’s executive session, the Regents discussed in more detail the 

results of the Regents’ annual survey and reviewed a personnel matter presented 

by the Secretary, reports from the General Counsel and Inspector General, and the 

report of the Compensation and Human Resources Committee.  Compensation and 

Human Resources Committee Chair Roger Sant ask for full disclosure of any real or 

perceived conflicts of interest that any Regents might have with any of the 

executives listed and received assurances that there were none.  The Regents then 

discussed proposed compensation levels for specific Smithsonian senior executives 

in 2010, none of whom were present during these discussions.  By unanimous vote, 

two motions were subsequently approved by the Board. 

See attached Resolutions 2010.01.04–2010.01.05 (Minutes of the Board of

Regents, Appendix A).
24 

REPORT OF THE ADVANCEMENT COMMITTEE

Report on the

National Campaign

Advancement Committee Chair Alan Spoon provided the Committee’s report.  Mr. 

Spoon said that the Committee, which last met on January 13, 2010, was working 

closely with management to provide careful oversight on the development of the 

national campaign.   

Mr. Spoon said that the Secretary spoke to the Committee about the critical 

relationship between the successful launch of the campaign and the transformation 

of the Institution, including the realization of its strategic plan.  The Secretary also 

discussed at length the application of the strategic plan to the development of a 

compelling fund‐raising case.  The Committee acknowledged that articulating the 

Institution’s key priorities would benefit both the strategic plan and the campaign.  

Mr. Spoon said that the Committee, upon the advice of the Secretary, agreed to 

allow more time for the campaign’s development in order to allow the 

Smithsonian’s units to participate in a bottom‐up process of creating a more 

detailed and comprehensive statement of the Institution’s key priorities and 

funding opportunities.   

Mr. Spoon reported that, because the Smithsonian will have to raise millions of 

dollars to fund the campaign, the Committee has reviewed benchmarking data on 

campaign funding models for campaigns with goals of at least $1 billion.  He said 

that, in order to fund their campaigns, some organizations apply a type of tax on 

gifts or levy against the earning power of their endowment.  Mr. Spoon said that 

neither option was attractive to the Committee but that the Board should be aware 

of the scope of the funding options being discussed. 

Mr. Spoon said that the Committee reviewed the operational needs of the campaign 

and agreed that a new IT system, and its rapid implementation, will be critical to 

the success of the campaign.  The new system will manage both donor prospects 

and the careful recording of gifts.  At an estimated cost of $7.5 million, the IT system 

will likely be the campaign’s single largest expenditure.  Mr. Spoon reported that 

management was close to contracting for the specification of the new system.  He 

noted, however, that the campaign will be launched prior to the full implementation 

of the new IT system, as the system will take several years to be fully operational 

and addressing the funding needs of the Institution cannot be postponed.  He also 

said that a more in‐depth report on the purpose, needs, and impact of the campaign 

would be provided to the Board at its April 2010 meeting. 

Proposed Gift Actions Mr. Spoon then asked Director of External Affairs Ginny Clark to provide a fiscal 

year‐to‐date fund‐raising report and an overview of the seven gift papers being 

presented for the Board’s consideration.  Ms. Clark said that since the Board last 

met, the Smithsonian’s fund‐raising goal for fiscal year 2010 had been increased 

from $130 million to $142 million.  She explained the three reasons for this 

increase: the need to ramp up fund raising for the successful launch of the 

campaign, the necessity of attracting gifts within a very short timeline for the 

National Museum of African American History and Culture, and a recognition that a 

strong pipeline of anticipated gifts is in place for the coming year.  Ms. Clark said 

that, although fiscal year‐to‐date fund‐raising results ($18.25 million, or 13 percent 
25 

of the fiscal year 2010 fund‐raising goal) were slightly behind results at this time in 

2009, management was confident that the fund‐raising goal will be reached. 

She then reviewed the seven proposals submitted for the Board’s approval.  Ms. 

Clark said that five had been approved for recommendation at the Committee’s 

November 3, 2009, meeting and that two were considered at its January 13, 2010, 

meeting.  She said that many of the gifts were for endowments, and noted that such 

gifts will be important elements of the national campaign and future fund‐raising 

efforts.  The proposed motions were approved en bloc. 

See attached Resolutions 2010.01.06–2010.01.12 (Minutes of the Board of

Regents, Appendix A).

REPORT OF THE STRATEGIC PLANNING AND PROGRAMS 

COMMITTEE

The report of the Strategic Planning and Programs Committee was given by 

Committee Chair Doris Matsui.  Ms. Matsui said that both topics in her report were 

familiar to the Board and that one was approaching a decision‐making point and 

the other would benefit from input from the Regents about suggested next steps. 

  

International Museum

Professional Education

Program

Ms. Matsui first discussed the proposed International Museum Professional 

Education Program.  She reminded the Board that it had discussed the possible 

establishment of a pilot museum professional training program in Abu Dhabi 

during its September 2009 meeting.  At that time the Board requested that 

management develop a concept paper that includes a clearly articulated vision for 

international program partnerships and an overarching set of program principles 

that would be applied to all programs, regardless of situation or location.  The 

Board also agreed that an ad hoc group of Regents would provide specific guidance 

on the proposed pilot program in Abu Dhabi.  Ms. Matsui said that the concept 

paper was included in the meeting materials but noted that the pilot program 

would not be the focus of this discussion.  She then asked Secretary Clough to 

review the concept paper with the Board. 

Secretary Clough explained that the rationale for the plan was prompted by the 

large number of requests for assistance that are received by the Smithsonian from 

other museums around the world, and the tremendous amounts of money and time 

that Smithsonian staff currently expend in support of these requests.  He said that 

the plan would help the Smithsonian to, at the very least, recover its costs 

whenever appropriate.  He said that the goal of the program also would be to raise 

sufficient funds to hire professionals to provide such training, which would allow 

existing staff to maintain their focus on Smithsonian‐based initiatives. 

The Secretary said that the development of the plan and the guiding principles 

reflected input from numerous universities and other groups currently working 

overseas.  The next step, he said, would be to consider possible programs that 

would match the criteria outlined in the overarching plan and the guiding 

principles.  He said that each proposed program would be considered on a case‐by‐

case basis and presented to the Board for its review and approval.  
26 

At this point, said the Secretary, management was asking for the Board’s 

endorsement of the umbrella concept and its guiding principles.  Ms. Stonesifer said 

that the Executive Committee had reviewed and discussed the paper and was 

satisfied that it fulfilled the Board’s request for an overarching plan and set of 

principles that can support the development of museum professional training 

programs and ensure their adherence to the Smithsonian’s mission and strategic 

plan.   

Update on the Arts and

Industries Building   Ms. Matsui then reported on the status of the Arts and Industries building’s 

renovation and discussions of its possible programmatic uses.  She said that the 

stimulus money received in 2009 provided a modest boost towards efforts to repair 

the building and create a warm shell for new programming.  She also reported that 

management was working on program concepts for the building’s future use.  

She informed the Board that the Latino Museum Commission had identified the 

Arts and Industries building (AIB) as one of the possible sites for its future 

museum.  She also said that $30 million in Legacy Funding would be available for 

the building’s revitalization if appropriate matching funds were identified.  

Ms. Matsui said that it was important at this time to develop some clarity with 

regard to the future use of AIB.  She noted that this would be important to both 

Congressional stakeholders and to potential donors.  She also said that supporters 

of both the future museum and AIB understood that the development timelines for 

each might not align and that decision‐making processes for each, particularly in 

light of securing Legacy Funds, must nonetheless advance.  She then asked the 

Secretary for his comments. 

The Secretary said that the Institution has been discussing the potential use of the 

building with various interested parties, including Representative Becerra and 

other advocates for the future Latino museum.  He said that discussions have also 

been devoted to the use of the building as a gateway or introduction to the full 

scope of the Smithsonian’s activities.  He emphasized, however, that making the 

building operational will be very expensive, regardless of its intended purpose.  

Secretary Clough reported that the total cost of revitalizing the building’s shell, 

which will include installing a new roof and meeting new blast‐resistant 

requirements, will total about $75 million and that the estimated total cost for 

revitalizing the building’s core will be about $184 million.  The Secretary said that 

$4.6 million was already being applied towards structural repairs to the building 

and that $12.6 million of the fiscal year 2010 budget would be directed towards the 

project’s design, as well as some interior work.   

With regard to securing more Federal funds for the building’s revitalization, the 

Secretary noted that additional negotiations with the Office of Management and 

Budget must occur and will likely parallel funding requests related to the National 

Museum of African American History and Culture.  He also said that accessing the 

Legacy Funds in the fiscal year 2010 budget will require the identification of the 

building’s future programmatic use which, as just discussed, has not been decided.   

The Regents discussed the anticipated site selection process for the future Latino 
27 

museum.  It was noted that, regardless of the site ultimately selected for that 

museum, it could not be operational until, at the earliest, the year 2020.  Regents 

who had not been members of the Board during the site‐selection process for the 

National Museum of African American History and Culture inquired about the role 

of Congress in this type of decision, asking if it should be assumed that Congress 

would support a request to position the future Latino museum in the Arts and 

Industries building, even if that decision would leave the building vacant for 

additional years.  The Board agreed that such approval should not be presumed, 

and noted that the National Museum of African American History and Culture had 

been conceived during a time when the nation was not facing the economic and 

security challenges it confronts today. 

Ms. Stonesifer reminded the Board that the purpose of this discussion was not to 

achieve agreement on a proposed use for the Arts and Industries building but 

rather to highlight the dilemma of two compelling but parallel tracks with regard to 

the building’s use.  She said that the Smithsonian would continue discussions with 

the Latino Commission to better ascertain its intentions and the anticipated 

timeline of that museum’s development.  Dr. Clough added that the building’s 

revitalization costs will become increasingly clear as its design work progresses. 

REPORT OF THE GOVERNANCE AND NOMINATING COMMITTEE 

Governance and Nominating Committee Chair Shirley Ann Jackson reported that 

the Committee focused almost entirely on its nominating duties during its 

December 9, 2009, meeting.  She said that she would provide the Committee’s 

recommendations for the Regents’ committee assignments and appointments to the 

Smithsonian’s advisory boards after she provided brief updates on other 

governance topics of interest. 

Report of the

Government

Accountability Office

Dr. Jackson reminded the Board that, as part of the Smithsonian’s fiscal year 2010 

Federal appropriation, the Government Accountability Office (GAO) had been asked 

to review the progress of Smithsonian’s governance reforms by December 31, 2009.  

She said that GAO had completed that review and presented its findings as part of 

testimony before the House Appropriations Subcommittee on December 11, 2009; 

she added that Secretary Clough and Inspector General Sprightley Ryan also had 

testified at the hearing.   

Dr. Jackson reported that GAO found that significant progress had been made 

against all 25 Governance Committee recommendations, as well as those offered by 

GAO in its May 2008 review.  She also said that GAO had determined that additional 

attention from the Regents on two areas would benefit the Smithsonian. 

In its first recommendation, GAO concluded that the selection, use, and evaluation 

of non‐Regents on Regent committees should be more transparent.  Dr. Jackson 

said that, in particular, the GAO report referenced discussions from the 

Committee’s July 2009 meeting on the development of a bylaw to codify the 

position that non‐Regent committee members are “full and equal” to their Regent 

committee colleagues.   
28 

Dr. Jackson said that staff was subsequently asked for additional information on 

any potential ramifications should such a bylaw be enacted, especially with regard 

to the delegation of the statutory duties of Regents and the application of the 

Regents’ ethical and financial disclosure obligations to non‐Regent committee 

members.  She added that, although the Committee would address the bylaw issue 

at its next meeting, it had assured GAO that the existing charters of all committees 

of the Board require all committee members, including non‐Regent members, to file 

annual financial disclosures.  GAO was also notified that this requirement is applied.

Dr. Jackson next reported on GAO’s conclusion that additional efforts may be 

necessary to strengthen two‐way communications between the Board of Regents 

and the Smithsonian’s advisory boards.  She said that GAO recognized the many 

outreach efforts that had been conducted by Board Chair Patricia Stonesifer and 

former Board Chair Roger Sant.  GAO noted, however, that these efforts had not 

been “formalized” and therefore could not offer assurance that future chairs would 

continue to maintain and enhance these relationships. 

Dr. Jackson said that she and Ms. Stonesifer had advised GAO that during the first 

quarter of 2010 the Governance and Nominating Committee would work to codify 

processes for two‐way communications between the Regents and advisory board 

chairs.  She said that the Committee intended to review the best practices of 

different organizations with similar advisory board structures and look for new 

ways to promote communications and strengthen the Board’s partnership with 

these important stakeholders.   

Dr. Jackson also said that GAO had noted that, as part of the Board’s governance 

reform efforts, it had agreed to review the efficacy of its improvements during 

calendar year 2010.  She said that the Committee would begin planning the 

framework for that review at its next meeting and she anticipated that its findings 

would be presented to the Regents at their September 2010 meeting. 

She then asked if Secretary Clough and Ms. Ryan if they had any comments to add to 

her update on the GAO report.  The Secretary said, and Dr. Jackson and Ms. 

Stonesifer agreed, that the overall GAO report was positive, as GAO had determined 

that the Smithsonian had successfully addressed 39 out of the 42 original 

recommendations by GAO. 

Board Committee

Assignments

The Governance and Nominating Committee report next addressed the proposed 

assignments to the Regents committees.  Dr. Jackson directed the Regents’ attention 

to the proposed assignments in the Board’s meeting materials and noted that 

changes were not being proposed for either the Facilities Committee or the Audit 

and Review Committee. 

Dr. Jackson noted that Paul Neely would represent the Smithsonian National Board 

and replace Hacker Caldwell on the Advancement Committee.  She said that, with 

the appointment of Dr. Frost as chair of the Compensation and Human Resources 

Committee, all Citizen Regents with more than one year on the Board would serve 

as a chair of one committee.   

She noted that a major change was proposed for the Executive Committee, which, 

by statute, is limited to three members.  Dr. Jackson said that former Board Chair 
29 

Roger Sant would rotate off of the Executive Committee and that Robert Kogod had 

agreed to serve if so elected.  She said that the membership of the Governance and 

Nominating Committee would expand from three to five members with the addition 

of Dr. Córdova and Mr. Sant, and that Dr. Córdova also would join the Strategic 

Planning and Programs Committee. 

Dr. Jackson said that the membership and leadership structure of the Investment 

Committee would be strengthened with the addition of David Rubenstein and the 

creation of a vice chair position, which would be filled by Mr. Sant.  She added that 

the new position was established in recognition that, although the Committee is 

ably chaired by David Silfen, leadership duties should be shared with a Regent with 

fiduciary‐like responsibility for oversight of the Endowment.  

The Regents then considered two motions, one to elect Mr. Kogod to the Executive 

Committee and the other to approve the proposed committee assignments.  Mr. 

Kogod recused himself from the motion regarding his election to the Executive 

Committee, and the motions were approved en bloc. 

See attached Resolutions 2010.01.13–2010.01.14 (Minutes of the Board of

Regents, Appendix A).

Advisory Board

Appointments

Dr. Jackson next presented a proposed slate of appointments or reappointments to 

eight advisory boards and to the Smithsonian National Board.  She noted that the 

information about a recent appointment to the Hirshhorn Museum and Sculpture 

Garden’s Board of Trustees was provided to support the Board of Regents’ 

understanding of each Smithsonian advisory board but that, pursuant to its 

founding statute, the Hirshhorn retains the authority to appoint new members.  She 

also directed the Regents’ attention to three proposed appointments to the Council 

of the National Museum of African American History and Culture and reminded the 

Board of its previous decision to support an increase in the size of that advisory 

board; she added that additional nominations to the National Museum of African 

American History and Culture’s Council would be presented for the Board’s 

consideration during its next two meetings.  The motions were approved en bloc. 

See attached Resolutions 2010.01.15–2010.01.23 (Minutes of the Board of

Regents, Appendix A).

INSPIRING GENERATIONS THROUGH KNOWLEDGE AND 

DISCOVERY: NEW RESEARCH

Ms. Stonesifer asked Under Secretary for Science Eva Pell and Under Secretary for 

History, Art, and Culture Richard Kurin to offer brief comments about one or two 

new research highlights in their respective divisions.   

Dr. Pell spoke of the Smithsonian Astrophysical Observatory astronomers’ recent 

discovery of a “super‐Earth” planet.  The planet’s radius is about 2.7 times that of 

the Earth and its density suggests that it is composed of about three‐fourths water 

and other ices, and one‐fourth rock, and that it likely has a gaseous atmosphere.  

She said that the discovery supports assumptions that other Earth‐like planets 
30 

exist. 

Dr. Pell also reported on the successful artificial insemination of the National Zoo’s 

female panda on January 9, 2010.  She noted that it will be three to six months 

before a pregnancy can be confirmed but that staff are hopeful that a new cub might 

fill the pending void that will be left with the repatriation of Tai Shan. 

Dr. Kurin next spoke of “East Meets West,” a recent symposium organized by the 

Smithsonian American Art Museum with the cooperation of the Freer and Sackler 

Galleries, the Asian Pacific American Program, and the Archives of American Art.  

The symposium examined the mutual influences of Asian and American art.  The 

Regents also were shown a Tibetan “thangka” that the Dalai Lama presented to the 

Smithsonian during his visit in 2000.  Dr. Kurin noted that the watercolor on canvas 

piece depicted Buddha, representing knowledge and wisdom, above images of the 

Washington Monument, the Smithsonian Institution Castle, and the United States 

Congress. 

REPORT OF THE FACILITIES COMMITTEE 

The report of the Facilities Committee was presented by Chair Robert Kogod.  Mr. 

Kogod reported that the Committee met on October 19, 2009, and was joined by its 

newest member, architect George Hartman, and the new director of the Office of 

Facilities Engineering and Operations (OFEO), Bruce Kendall.   

National Postal

Museum

Mr. Kogod said that the Committee received an update on the National Postal 

Museum’s lease, which had previously been reviewed by the Board.  He said that 

the conditions of the agreement had been met and the lease had been signed. 

Facilities Capital and

Maintenance Update

Mr. Kogod said that the estimate for the Institution’s capital improvement and 

maintenance requirements had been revised from $2.5 billion to $2.293 billion.  He 

said that, on an annual basis, the requirement for capital improvements is  

$150 million (of which Federal appropriations fund $100–125 million) and the 

estimated requirement for maintenance is $100 million (of which about $70 million 

is funded each year by Congress). 

The Committee also received a report on the Facilities Capital program for fiscal 

year 2009.  Mr. Kogod said that the report’s highlights included the news that, for 

the 12th straight year, OFEO had exceeded its contract awards goal of $120 million 

for the fiscal year.  Some of the key projects cited included Udvar‐Hazy Center 

Phase II, the National Zoo’s seal and sea lion habitat, Pod 3 at the Museum Support 

Center, and the Smithsonian Environmental Research Center’s Mathias Lab, the 

Smithsonian’s first LEED‐certified building.  The Committee also reviewed a report 

on the Smithsonian’s larger effort to “go green” and the initiative’s alignment with 

the strategic plan.  Mr. Kogod added that the Committee received an update on the 

Smithsonian’s use of the $25 million in stimulus funding that it had received 

through the American Recovery and Reinvestment Act.   

NMAAHC Update Mr. Kogod said that National Museum of African American History and Culture

Director Lonnie Bunch gave the Committee a report on that museum’s progress.  He 
31 

said that the contract with the building’s architectural team was finalized and a 

strategy for the regulatory approval process was being developed.  Mr. Bunch 

reported that the Museum’s strong fund‐raising efforts had resulted in $50 million 

in private funds to date, including a $10 million gift from the Bill and Melinda Gates 

Foundation. 

Construction

Authorization in

Support of

Conservation Studies

Program  

Concluding his report, Mr. Kogod said that the Committee also reviewed a proposal 

to seek Congressional authorization, if necessary, for the design and construction of 

new and renovated facilities at the National Zoological Park’s facility in Front Royal, 

Virginia.  Mr. Kogod reminded the Board that this initiative was in support of an 

educational program in conservation studies with George Mason University and the 

Memo of Understanding for the partnership that the Board had previously 

approved.  He said that the Committee had agreed to forward the motion for the 

approval of the Board of Regents.  The motion was approved. 

See attached Resolution 2010.01.24 (Minutes of the Board of Regents, Appendix A).

REPORT OF THE AUDIT AND REVIEW COMMITTEE

The Audit and Review Committee report was presented by Committee Chair John 

McCarter.  Mr. McCarter reported that the Committee met on January 13, 2010, and 

discussed several topics of particular interest to the Board. 

Mr. McCarter said that the majority of the meeting was devoted to discussions with 

the Institution’s external auditors, KPMG, about the status of the fiscal year 2009 

financial statement audit and the Federal Closing Package, which was delivered on 

time in November 2009.  With respect to the Federal Closing Package, he said that 

the Smithsonian was given an unqualified opinion without any management 

comments or material weaknesses and reported that the Committee was pleased 

with both the report and the efforts of staff.  He noted that the prior year’s 

observation of a significant deficiency had been addressed and noted that KPMG 

partner John Keenan would rotate off of the audit engagement as planned in April 

2010. 

The Committee also received an update on the plan to improve internal controls 

associated with the process of recording charitable contributions.  Mr. McCarter 

noted that this initiative also is being conducted under the review of the 

Advancement Committee.  He said that the Committee discussed plans to 

implement a complete development system upgrade that will be interfaced with the 

Institution’s financial system.  He said that the development system will be installed 

beginning in fiscal year 2013 and that its implementation would occur over several 

years.   

Mr. McCarter reported that the Smithsonian’s insurance program was reviewed by 

the Committee.  He noted that that this review had not been conducted the previous 

year and that, going forward, a robust insurance update will be provided to the 

Committee on an annual basis. 

Inspector General Sprightley Ryan also provided the Committee with an update on 
32 

the activities of her office, including its oversight of the annual financial statement 

audit process.  Mr. McCarter said that he previously had never worked with an 

inspector general and thanked Ms. Ryan and her office for their efforts to conduct 

objective and comprehensive internal reviews. 

Chief Financial Officer Alice Maroni spoke to the Committee about the Institution’s 

IRS Form 990 tax returns for fiscal year 2009 and her office’s efforts to strengthen 

internal financial controls.  Mr. McCarter said that the 990 and 990‐T returns 

required significantly more staff time and that the Committee would work with Ms. 

Maroni and her office in the coming months to support their efforts.  He also 

reported that the Committee reviewed the status of internal control improvements 

under way in five financial processes identified as high‐risk and discussed ongoing 

improvements for 18 other processes identified as lower‐risk, some of which will 

require additional attention to stay on track.  Mr. McCarter thanked Secretary 

Clough for his leadership and demonstrated commitment to strengthening the 

Smithsonian’s internal financial controls. 

Mr. McCarter concluded his report by stating that the Committee also discussed the 

application of the Sarbanes‐Oxley Act to the Smithsonian and conducted executive 

sessions with the Secretary, the Inspector General, and KPMG. 

REPORT OF THE SMITHSONIAN NATIONAL BOARD

Smithsonian National Board (SNB, or National Board) Chair Paul Neely presented 

the SNB report.  Mr. Neely said that, in anticipation of the launch of the strategic 

plan, the National Board had initiated changes to its structure and goals.  He said 

that SNB undertook this effort to both strengthen its alignment with the strategic 

plan and to enhance its ability to support the Secretary. 

He said that many SNB committees, such as its Education and Development 

committees, have historically reflected the goals articulated in the new strategic 

plan.  He noted that the appointment of a new director of education would enhance 

the efforts of the SNB Education Committee.  The direction of other SNB 

committees, he said, will be further refined to support the goals of the strategic plan 

and, as an example, cited the pending renaming of the Smithsonian Across America 

Committee to align with the strategic plan goal of broadening access.  He also noted 

that the National Board, which was formed as a development body, will be a 

strategic partner in the forthcoming National Campaign. 

Mr. Neely then commented on the membership of the National Board.  He cited the 

quality and expertise found in its 41 members, many of whom have significant ties 

to other institutions and governing boards.  As advocates and ambassadors for the 

Smithsonian, he said that SNB members continue to provide advice and support to 

the Secretary, who has supported the National Board’s efforts to engage in focused, 

substantive discussions during their meetings.  SNB members also have facilitated 

the Secretary’s visits around the country and strengthened stakeholder relations. 

The meetings of the National Board, said Mr. Neely, take place three times a year, 

each over the course of three days, and allow members to become informed and 
33 

familiar with the Smithsonian and its programs.  He noted that the last SNB meeting 

had been held the previous weekend and that the members had been presented 

with four different programs that addressed the four grand challenges of the 

strategic plan.  He said that SNB members are inspired and engaged by such events, 

and return to their home communities energized and eager to advance public and 

private support for the Institution.  

Mr. Neely noted the financial support that the National Board provides to the 

Smithsonian.  Each year the National Board raises approximately $1 million in 

unrestricted funds for the Institution.  Significant individual gifts and other 

contributions are also provided by SNB members.  He noted that SNB’s 

membership now includes senior executives from many corporations, such as 

Target, IBM, Cisco, and 3‐M, which have led to strategic partnerships that have 

benefited the Institution.  SNB members also have provided advice and financial 

support for the Smithsonian’s Leadership Development Program. 

In closing, Mr. Neely stated his support for efforts to increase the Board of Regents’ 

engagement with the Smithsonian’s advisory boards, and the actions of the 

Governance and Nominating Committee to codify such relationships.  He cited the 

association between the Board of Regents and the National Board as an example of 

a beneficial relationship that offers enormous support for the Institution.  He said 

that Roger Sant’s visits with SNB members during his tenure as Board Chair 

provided enormous reassurance to National Board members when the Smithsonian 

was undergoing a difficult transformation of its governance.  He noted that Board 

Chair Patricia Stonesifer met with SNB members the previous Saturday and offered 

an intellectually challenging overview of the future issues and challenges the 

Smithsonian will face.  Mr. Neely said that it was impossible to overestimate the 

value of these meetings and thanked Mr. Sant and Ms. Stonesifer for their efforts. 

REPORT ON GOVERNMENT RELATIONS: LEGISLATIVE ACTIVITIES 

AND ISSUES

An update on Smithsonian‐related legislative activities was provided by Director of 

Government Relations Nell Payne.  Ms. Payne said that the Smithsonian’s vehicle 

maintenance branch construction authorization bill was passed by the House in 

early December 2009.  She reported that objections had been raised in the Senate 

regarding the authorization of additional Federal funding, despite the fact that 

Federal funds for the project have already been appropriated.  Moreover, an 

amendment had been proposed to the Senate bill that would require the 

application of the Freedom of Information Act, the Federal Advisory Committee Act, 

the Privacy Act, and the Sunshine Act to the Smithsonian.  Ms. Payne explained that 

the author of the amendment believes that the Smithsonian has made significant 

progress with regard to the transparency of its governance but that laws, not 

policies, should be used to monitor its activities. 

CLOSING REMARKS
34 

Prior to the meeting’s conclusion, Ms. Stonesifer commented on one of the actions 

approved earlier in the meeting: the appointment of Mr. Kogod to the Executive 

Committee in response to the rotation of Mr. Sant off of that Committee.  She noted 

that this was the one‐year anniversary of her election as Board Chair and expressed 

her deep appreciation to Mr. Sant for the continuity, counsel, and mentorship he 

had provided as the prior Board Chair and member of the Executive Committee.  

The Chancellor added that it had been a privilege to work with Mr. Sant and that it 

was his wish to publicly recognize Mr. Sant for his extraordinary service to the 

Institution.  The full Board responded with enthusiastic applause.  Mr. Sant thanked 

the Chancellor and the other members of the Board, as well as expressed his best 

wishes to his successor, Mr. Kogod. 

ADJOURNMENT

The meeting was adjourned at 3:45 p.m.

Respectfully Submitted, 

G. Wayne Clough 

Secretary 
APPENDIX A 

APPROVED RESOLUTIONS

JANUARY 25, 2010, MEETING OF THE BOARD OF REGENTS

VOTED that the Board of Regents approves the minutes of the September 21, 2009, meeting of the 

Board of Regents.  [2010.10.01]  

VOTED that the Board of Regents affirms the Smithsonian Institution Fiscal Year 2010 Annual 

Goals.  [2010.10.02] 

VOTED that the Board of Regents authorizes the Secretary to submit to Congress a Federal budget 

request for appropriated funds for fiscal year 2011 as part of the President’s budget in the amount 

negotiated with OMB and authorizes the Secretary to inform OMB and Congress fully about the 

implications of the President’s budget for the mission and priorities of the Smithsonian.  

[2010.10.03] 

VOTED that the Board approves the Secretary’s compensation recommendations for those 

positions in Tab B.  [2010.10.04] 

VOTED that the Board provide the Secretary with a 3 percent salary increase, a $10,000 award, and 

a 40 hour time off award.  [2010.10.05] 

VOTED that the Board of Regents creates and names the Jeffrey P. Cunard Endowment, an 

endowment to support the needs of the Freer Gallery of Art and Arthur M. Sackler Gallery as 

determined by the director of the Galleries.  The director will have the discretion to return any 

unspent income to the endowment for reinvestment.  [2010.10.06]

VOTED that the Board of Regents creates and names The May Liang and James Lintott Foundation 

Endowment.  The endowment will support the annual needs of the Freer Gallery of Art and  

Arthur M. Sackler Gallery until such time as the Galleries’ director, in agreement with the donors, 

shall determine the endowment’s designation, which shall take place before or by the conclusion of 

the Galleries’ current endowment campaign.  [2010.10.07] 

VOTED that the Board of Regents approves the creation of an endowment for the Smithsonian 

American Art Museum to be established after the donor’s death with a payment from a universal 

life insurance policy.  The endowment will support the Museum’s exhibitions program; it may not 

be used for salaries or for other operating or capital expenses.  Its payout is to be used at the 

discretion of the Museum’s director and may be returned to the endowment’s principal.  Further, 

the Regents approve naming the endowment, when it is established, the Charles Robertson 

Exhibitions Endowment.  [2010.10.08] 

VOTED that the Board of Regents creates and names the Catherine and Ralph Benkaim Endowment 

to support Indian art and associated programs at the Freer Gallery of Art and Arthur M. Sackler 

Gallery.  At the discretion of the director of the Galleries, the endowment may also be used to 

support Islamic art and associated programs.  [2010.10.09]   
2 

VOTED that the Board of Regents creates a quasi‐endowment for the National Portrait Gallery for 

the general purposes of the Gallery.  Further, the Board authorizes the transfer of funds identified 

for this purpose to the endowment, which shall be known for administrative purposes as the 

National Portrait Gallery Endowment.  [2010.10.10] 

VOTED that the Board of Regents creates a quasi‐endowment for the National Zoological Park to 

support the proper preservation, care, treatment, and study of wildlife.  For administrative 

purposes the quasi‐endowment will be known as the Animal and Plant Care, Conservation, and 

Study Fund.  Further, the Board authorizes the transfer of funds identified for this purpose.  

[2010.10.11] 

VOTED that the Board of Regents permits $3.25 million in unrestricted realized bequests to the 

Smithsonian be directed to meet a challenge grant by the Andrew W. Mellon Foundation and, using 

these bequests and the Foundation’s $1.75 million challenge grant, create an endowment to 

support the director’s position for the Museum Conservation Institute.  [2010.10.12] 

VOTED that the Board of Regents elects Robert P. Kogod as a member of the Executive Committee 

effective January 25, 2010.  [2010.10.13]

VOTED that the Board of Regents approves the proposed committee chairmanships and member 

assignments for 2010 and requests that the Chancellor make the necessary appointments.  

[2010.10.14]   

VOTED that the Board of Regents appoints Laura Bush, Ruth Simmons, and Gregg Steinhafel to the 

Council of the National Museum of African American History and Culture for three‐year terms 

effective immediately.  [2010.10.15] 

VOTED that the Board of Regents appoints Jack Martin to the Board of the National Museum of 

American History for a three‐year term effective February 1, 2010.  [2010.10.16] 

VOTED that the Board of Regents reappoints Gabriela Febres‐Cordero, William Frist, David Koch, 

Jane Lubchenco, and David Rubenstein to the Board of the National Museum of Natural History for 

three‐year terms effective immediately; William Luers and Roger Sant to the Board for three‐year 

terms effective May 1, 2010; and John Fahey to the Board for a three‐year term effective June 1, 

2010.  [2010.10.17]   

VOTED that the Board of Regents appoints Patricia M. Zell and reappoints Frederick Hoxie, Byron I. 

Mallott, Jacqueline Old Coyote, Tina Marie Osceola, Freda Porter, and Randall Willis to the Board of 

Trustees of the National Museum of the American Indian for three‐year terms effective 

immediately.  [2010.10.18] 

VOTED that the Board of Regents appoints Mary Ann Bowman, Elizabeth Hisey, and May Day 

Taylor to the Council of Philatelists of the National Postal Museum for three‐year terms effective 

immediately.  [2010.10.19] 

VOTED that the Board of Regents reappoints James Dyer, Steven A. Elmendorf, John Marriott, Susan 

Mars, Thomas Nides, Joseph Robert Jr., Ronald Rosenfeld, and J. Scott Wilfong to the Advisory Board 

of the National Zoological Park for three‐year terms effective immediately.  [2010.10.20] 
3 

VOTED that the Board of Regents appoints Aida M. Alvarez to the Commission of the Smithsonian 

American Art Museum for a four‐year term effective January 31, 2010.  [2010.10.21] 

VOTED that the Board of Regents appoints Johnny A. Yataco to the Smithsonian National Board for 

Latino Initiatives of the Smithsonian Latino Center for a three‐year term effective immediately.  

[2010.10.22] 

VOTED that the Board of Regents that the Board of Regents reappoints Judy Hart Angelo, Jane 

Lipton Cafritz, John French III, Russell E. Palmer Jr., William M. Ragland Jr., Ronald A. Rosenfeld, 

Douglas C. Walker, and Mallory Walker to the Smithsonian National Board for three‐year terms 

effective immediately.  [2010.10.23] 

VOTED that the Board of Regents seeks authorization, as necessary, for the design and construction 

of new and renovated facilities at the National Zoological Park’s facility in Front Royal, Virginia.  

[2010.10.24] 
APPENDIX B 

AGENDA PAPERS

JANUARY 25, 2010, MEETING OF THE BOARD OF REGENTS
SMITHSONIAN INSTITUTION

Board of Regents

Meeting of the Board of Regents 

Monday, January 25, 2010, 8:30 a.m. 

Regents’ Room 

AGENDA

MORNING SESSION

CALL TO ORDER – THE CHAIR

1.  Report of the Board and Executive Committee Chair 

A. Board Survey Results 

B. Minutes of the September 21, 2009, Meeting 

Proposed Motion: VOTED that the Board of Regents approves the minutes of the 

September 21, 2009, meeting of the Board of Regents.   

  C.  Draft Minutes of the January 6, 2010, Committee Meeting 

2.  Report of the Secretary  

  A.  Smithsonian Institution Fiscal Year 2010 Annual Goals  

    Proposed Motion: VOTED that the Board of Regents affirms the Smithsonian 

Institution Fiscal Year 2010 Annual Goals. 

  B.  Annual Report to the Board of Regents: Fiscal Year 2009 

3.   Strategic Focus on Smithsonian Science: Biodiversity 

4.  Report of the Finance Committee 

  A.  Fiscal Year 2009 Year‐End Report  

  B.  Fiscal Year 2011 Federal Budget 

    Proposed Motion: VOTED that the Board of Regents authorizes the Secretary to 

submit to Congress a Federal budget request for appropriated 

funds for fiscal year 2011 as part of the President’s budget in the 

amount negotiated with OMB and authorizes the Secretary to 

inform OMB and Congress fully about the implications of the 

President’s budget for the mission and priorities of the 

Smithsonian. 

  C.  Minutes of the August 24, 2009, Committee Meeting 

5.  Report of the Investment Committee 

  A.  Endowment Update and Year‐End Report 

  B.  Minutes of the June 9, 2009, Committee Meeting 

6.  Report of the Audit and Review Committee 

    Minutes of the September 8, 2009, Committee Meeting 

Adjournment for Lunch
SMITHSONIAN INSTITUTION

Board of Regents

Meeting of the Board of Regents 

Monday, January 25, 2010, 1:30 p.m. 

Regents’ Room 

AGENDA

AFTERNOON SESSION

CALL TO ORDER – THE CHANCELLOR

7.  Executive Session: Report of the Compensation and Human Resources  

  Committee 

    Minutes of the September 14, 2009, Committee Meeting 

8.  Report of the Advancement Committee 

  A.  Endowment, Quasi‐Endowment, and Bequest Actions 

Proposed Motions: VOTED that the Board of Regents creates and names the Jeffrey P.  

Cunard Endowment, an endowment to support the needs of the 

Freer Gallery of Art and Arthur M. Sackler Gallery as determined 

by the director of the Galleries.  The director will have the 

discretion to return any unspent income to the endowment for 

reinvestment. 

VOTED that the Board of Regents creates and names The May 

Liang and James Lintott Foundation Endowment.  The endowment 

will support the annual needs of the Freer Gallery of Art and 

Arthur M. Sackler Gallery until such time as the Galleries’ director, 

in agreement with the donors, shall determine the endowment’s 

designation, which shall take place before or by the conclusion of 

the Galleries’ current endowment campaign. 

VOTED that the Board of Regents approves the creation of an 

endowment for the Smithsonian American Art Museum to be 

established after the donor’s death with a payment from a 

universal life insurance policy.  The endowment will support the 

Museum’s exhibitions program; it may not be used for salaries or 

for other operating or capital expenses.  Its payout is to be used at 

the discretion of the Museum’s director and may be returned to 

the endowment’s principal.  Further, the Regents approve naming

the endowment, when it is established, the Charles Robertson 

Exhibitions Endowment.   

VOTED that the Board of Regents creates and names the Catherine 

and Ralph Benkaim Endowment to support Indian art and 

associated programs at the Freer Gallery of Art and Arthur M. 

Sackler Gallery.  At the discretion of the director of the Galleries, 

the endowment may also be used to support Islamic art and 

associated programs.
VOTED that the Board of Regents creates a quasi‐endowment for 

the National Portrait Gallery for the general purposes of the 

Gallery.  Further, the Board authorizes the transfer of funds 

identified for this purpose to the endowment, which shall be 

known for administrative purposes as the National Portrait 

Gallery Endowment.  

VOTED that the Board of Regents creates a quasi‐endowment for 

the National Zoological Park to support the proper preservation, 

care, treatment, and study of wildlife.  For administrative purposes 

the quasi‐endowment will be known as the Animal and Plant Care,

Conservation, and Study Fund.  Further, the Board authorizes the 

transfer of funds identified for this purpose. 

VOTED that the Board of Regents permits $3.25 million in 

unrestricted realized bequests to the Smithsonian be directed to 

meet a challenge grant by the Andrew W. Mellon Foundation and, 

using these bequests and the Foundation’s $1.75 million challenge 

grant, create an endowment to support the director’s position for 

the Museum Conservation Institute. 

  B.  Minutes of the September 10 and November 3, 2009, Committee Meetings 

9.  Report of the Strategic Planning and Programs Committee 

A. International Museum Professional Education Program  

B. Arts and Industries Building Update 

C. Draft Minutes of the September 14, 2009, Committee Meeting  

10. Inspiring Generations Through Knowledge and Discovery: New Research 

  A.  Highlights of New Science Discoveries, Research Programs, and Initiatives 

  B.  Research in History, Art, and Culture: East Meets West 

11. Report of the Governance and Nominating Committee 

  A.  Committee Assignments 

    Proposed Motions: VOTED that the Board of Regents elects Robert P. Kogod  

              as a member of the Executive Committee effective January  

              25, 2010. 

VOTED that the Board of Regents approves the proposed 

committee chairmanships and member assignments for 2010 and 

requests that the Chancellor make the necessary appointments. 

  B.  Advisory Board Appointments  

Proposed Motions: VOTED that the Board of Regents appoints Laura  

Bush, Ruth Simmons, and Gregg Steinhafel to the Council of the 

National Museum of African American History and Culture for 

three‐year terms effective immediately.  
VOTED that the Board of Regents appoints Jack Martin to the 

Board of the National Museum of American History for a 

three‐year term effective February 1, 2010. 

VOTED that the Board of Regents reappoints Gabriela 

Febres‐Cordero, William Frist, David Koch, Jane Lubchenco, and 

David Rubenstein to the Board of the National Museum of Natural

History for three‐year terms effective immediately; William Luers 

and Roger Sant to the Board for three‐year terms effective May 1, 

2010; and John Fahey to the Board for a three‐year term effective 

June 1, 2010. 

VOTED that the Board of Regents appoints Patricia M. Zell and 

reappoints Frederick Hoxie, Byron I. Mallott, Jacqueline Old 

Coyote, Tina Marie Osceola, Freda Porter, and Randall Willis to the 

Board of Trustees of the National Museum of the American Indian

for three‐year terms effective immediately.   

VOTED that the Board of Regents appoints Mary Ann Bowman, 

Elizabeth Hisey, and May Day Taylor to the Council of Philatelists 

of the National Postal Museum for three‐year terms effective 

immediately. 

VOTED that the Board of Regents reappoints James Dyer, Steven 

A. Elmendorf, John Marriott, Susan Mars, Thomas Nides, Joseph 

Robert Jr., Ronald Rosenfeld, and J. Scott Wilfong to the Advisory 

Board of the National Zoological Park for three‐year terms 

effective immediately. 

VOTED that the Board of Regents appoints Aida M. Alvarez to the 

Commission of the Smithsonian American Art Museum for a 

four‐year term effective January 31, 2010. 

VOTED that the Board of Regents appoints Johnny A. Yataco to the 

Smithsonian National Board for Latino Initiatives of the 

Smithsonian Latino Center for a three‐year term effective 

immediately.

  C.  Reappointments to the Smithsonian National Board 

Proposed Motion: VOTED that the Board of Regents reappoints Judy Hart  

Angelo, Jane Lipton Cafritz, John French III, Russell E. Palmer Jr., 

William M. Ragland Jr., Ronald A. Rosenfeld, Douglas C. Walker,

and Mallory Walker to the Smithsonian National Board for three‐

year terms effective immediately.   

  D.  Minutes of the July 27, 2009, Committee Meeting and Draft Minutes of the  

    December 8, 2009, Meeting 
12. Report of the Facilities Committee 

  A.  Construction Authorization for the National Zoological Park’s facility in Front Royal, 

Virginia 

Proposed Motion: VOTED that the Board of Regents seeks authorization, as 

necessary, for the design and construction of new and renovated

facilities at the National Zoological Park’s facility in Front Royal, 

Virginia. 

  B.  Draft Minutes of the October 19, 2009, Committee Meeting 

13. Report of the Smithsonian National Board 

14. Report on Government Relations: Legislative Activities and Issues 

Adjournment
REPORT OF THE BOARD AND EXECUTIVE COMMITTEE CHAIR

Board and Executive Committee Chair Patricia Q. Stonesifer will provide an oral update on 

issues of particular interest to the Board at its January 25, 2010, meeting.   

A. Board Survey Results

B. Minutes of the September 21, 2009, Board of Regents’ Meeting

Proposed Motion: VOTED that the Board of Regents approves the minutes of the 

September 21, 2009, meeting of the Board of Regents.   

C. Draft Minutes of the January 6, 2010, Executive Committee Meeting
Results of the 2009 Regent Self‐Assessment

Board Governance and Structure

Board Roles and Responsibilities

FINDING: Regents understand their roles and responsibilities as Board members ‐‐  o The roles of the Board are clearly defined and is distinct from those of staff (100% agreement)

o The Board takes primary responsibility for setting Smithsonian policies (87% agreement)

o The Smithsonian’s mission and purpose is understood and accepted by the Board (93% agreement)

o The Board delegates sufficient authority to the Secretary to lead the staff (100% agreement)

Governance Practices

FINDING: Regents are generally comfortable with the Board’s structure, transparency of 

practices –

o Our Board’s structure allows us to work effectively and in a timely way (86% agreement)

o The work of the Board is transparent (93% agreement)

o The Board’s actions reflect independence from management, ethical behavior, and the best interests of 

stakeholders (93% agreement)

Board Committees

FINDING: Regents generally agree that committees well support Board deliberations and o Committee reports to the full Board provide appropriate and necessary information and promote delibe

agreement)

o The Committees contain or have access to all needed skills and expertise (92% agreement)

o The work of the committees significantly improves Board performance (100% agreement)
Board Engagement

Programmatic Planning

FINDING: Regents generally are confident that they have adequate knowledge about Sm

programmatic activities:

o Regents are adequately knowledgeable about the Smithsonian’s programs and services (87% agreeme

o The Board was appropriately involved in the development of the Smithsonian’s strategic plan (80% agr

Financial Management Practices

FINDING: Regents are generally satisfied with the Board’s fiscal management practices; a

believe that the presentation of financial information to the Board could be im

o Financial performance is monitored closely every quarter (80 % agreement)

o Necessary Board actions around financial issues are taken thoughtfully but quickly (87% agreement)

o The financial information is helpful (80% agreement)

o Board leadership takes step to ensure that fiscal reports are thoroughly understood by the Regents (80

o I understand the Regents’ role in the approval of the Smithsonian Federal and trust budgets (87% agree

o I receive sufficient information to make knowledgeable decisions about the Smithsonian’s Federal and 

agreement)

Fundraising Practices

FINDING: Regents are more knowledgeable about Smithsonian fundraising practices tha

so than in other major policy areas:

o Smithsonian fundraising needs and strategies are understood by the Board (60% agreement)

o Regents play an appropriate role in Smithsonian fundraising efforts (54% agreement)
Board Meeting Administration

General

FINDING: Regents generally agree that Board meetings are effectively conducted, prope

committee reports and staff, and focus on appropriate topics:

o Our Board’s meeting schedule has the right number and length of meetings. (100% agreement)

o The Board has access to all needed skills and expertise to carry out their work at meetings (87% agreem

o Board meeting agenda and materials are distributed well in advance of meetings (100% agreement)

o Materials are well organized and helpful (100% agreement)

o Board meetings are well run and make good use of Regents time (94% agreement)

o Regents participate substantively at meetings (93% agreement)

o Staff provide the right amount and type of support to help Regents carry‐out their duties (87% agreeme

o Work currently handled by the Board could be delegated to staff (14% agreement – down from 30% in 

Board‐Secretary Relationships

Secretary Performance Assessment

FINDING: Regents are more satisfied with the Secretary’s formal evaluation process and 

opportunities to provide feedback:

o The Secretary’s performance is formally assessed based on objectives established at the beginning of th

o The Secretary receives ongoing feedback regarding performance in addition to any formal assessments 
Regent Preparation and Participation

General

FINDING: Regents are generally satisfied with their individual preparation, meeting parti

engagement:

o Respondent regularly reads the majority of meeting materials (93% agreement)

o Respondent participates substantively in Board and committee meetings (93% agreement)

o Respondent regularly reads the minutes of meetings to determine whether they are accurate (79% agre

o Respondent feels comfortable sharing governance concerns with fellow Regents or Board leadership (9

o All Regents rate their performance as average or better (15% excellent; 55% very good; 30% average)
Smithsonian Institution 

2009 Regents' Self-Assessment

BOARD – STAFF ROLES Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A No Resp

32 25 3 0 0 0 0 0 

53% 42% 5%

9 6 

60% 40%

762 

47% 40% 13%

861 

53% 40% 7%

8 7 

53% 47%

PLANNING PRACTICES Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

4 21 4 1 0 0 0 0 

13% 70% 13% 3%

13 1 1 

87% 7% 7%

483 

27% 53% 20%

FISCAL MANAGEMENT PRACTICES Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

22 53 8 6 0 0 0 1 

24% 59% 9% 1% 1

5712 

33% 47% 7% 13%

582 

33% 53% 13%

4821 

27% 53% 13% 7%

2 10 2 1 

13% 67% 13% 7%

3 10 1 1 

20% 67% 7% 7%

3 10 1 

20% 67% 7% 7

Board leadership takes steps to ensure that fiscal reports are thoroughly understood by

Regents.

Responses to this Section

Financial performance is monitored closely every quarter.

Necessary Board actions, around financial issues, are taken thoughtfully but quickly.The financial information provided is helpful.

Responses to this Section

Responses to this Section

Regents are adequately knowledgeable about the Smithsonian’s programs and services.

The Board has been appropriately involved in the current development of the Institution’s

strategic plan.The roles and responsibilities of our Board are clearly defined and distinct from those of the

staff.The Board takes primary responsibility for setting the Smithsonian’s policies.The Smithsonian’s mission and purpose are clearly understood and accepted by our Board.The Board delegates to the Secretary sufficient authority to lead the staff and achieve the

Smithsonian’s mission.I understand the Regents’ role in the approval of the Smithsonian’s federal and trust budgets.

I receive sufficient information to make knowledgeable decisions about the Smithsonian’s

federal and trust budgets.
Smithsonian Institution 

2009 Regents' Self-Assessment

FUNDRAISING PRACTICES Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

1 16 11 2 0 0 0 0 

3% 53% 37% 7%

9 6 

60% 40%

1752 

7% 47% 33% 13%

BOARD STRUCTURE AND PRACTICES Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

15 39 5 0 0 0 0 1 

25% 65% 8% 2%

2 11 2 

13% 73% 13%

2 11 1 

13% 73% 7% 7

3 11 1 

20% 73% 7%

861 

53% 40% 7%

Regents play an appropriate role in Smithsonian fund raising efforts.

Responses to this Section

Our Board’s structure allows us to work effectively and in a timely way.

Regents’ term on the Board is about the right length.

Responses to this Section

Smithsonian fund raising needs and strategies are understood by the Board.The work of the Board is transparent.

The Board’s actions reflect independence from management, ethical behavior, and the best

interests of the Smithsonian stakeholders.
Smithsonian Institution 

2009 Regents' Self-Assessment

BOARD MEETINGS Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

31 100 23 6 0 1 0 3 

19% 61% 14% 4% 1% 2%

2 13 

13% 87%

13 2 

87% 13%

2 13 

13% 87%

5 10 

33% 67%

771 

47% 47% 7%

591 

33% 60% 7%

1 13 1 

7% 87% 7%

672 

40% 47% 13%

3911 

20% 60% 7% 7% 7

4 8 1 

29% 57% 7% 7

275 

13% 47% 33% 7

*

 ‐ One Regent responded both "Agree" and "Neutral" to this question and left the prior question blank,

presumably intending one of these responses to be for the prior question.

BOARD COMMITTEES Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

12 42 1 0 0 4 0 1 

20% 70% 2% 7% 2%

3 11 1 

20% 73% 7%

2 10 1 1 

13% 67% 7% 7% 7

6 8 1 

40% 53% 7%

1 13 1 

7% 87% 7%

The Board has access to all needed skills and expertise to carry out their work during Board

meetings.

Board meeting agendas and supporting written materials are distributed well in advance of

our meetings.

Board meeting materials are well organized and helpful.

Board meetings are well run and make good use of Regents’ time.

Responses to this Section

Our Board’s meeting schedule has the right number and length of meetings.

Responses to this Section

Committee reports to the full Board provide appropriate and necessary information and

promote deliberations on appropriate issues by the Board

Regents participate substantively at meetings. (e.g., pose probing questions, challenge

assumptions, ask for additional information when needed)

Committee reports provide the Board with the information needed to make decisions.

I receive the right amount and the right type of support from Smithsonian staff to properlycarry‐out my role as a Regent.

Smithsonian management and staff provide needed information between meetings.

The committees contain or have access to all needed skills and expertise.

The work of the committees significantly improves the Board’s performance.The amount of time I spend on Board and committee work is reasonable.

The Regents website is helpful in carrying‐out my duties as a Regent.*

There is work currently handled by the Board, either as a whole or at the committee level

that could be delegated to internal staff.
Smithsonian Institution 

2009 Regents' Self-Assessment

BOARD‐EXECUTIVE RELATIONSHIP Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

6 16 4 0 0 4 0 0 

20% 53% 13% 13%

482 1 

27% 53% 13% 7%

282 3 

13% 53% 13% 20%

PREPARATION AND PARTICIPATION Strongly Agree Agree Neutral Disagree Strongly Disagree Don’t Know N/A NR 

24 29 6 0 0 0 1 0 

40% 48% 10% 2%

681 

40% 53% 7%

591 

33% 60% 7%

383 1 

20% 53% 20% 7%

10 4 1 

67% 27% 7%

Excellent Very Good Average Below Average Poor NR 

3 8 2 2 

20% 53% 13% 13%

Excellent Very Good Average Below Average Poor NR

2 7 4 2 

13% 47% 27% 13%

I rate my attendance at full Board and committee meetings as:I rate my overall performance as a Board member as:

I participate substantively in Board and committee meetings. (e.g., ask probing questions,

challenge assumptions, request additional information when needed, suggest alternatives,

I regularly read the minutes of meetings to determine whether they accurately represented

the proceedings, including decisions and action items.

I feel comfortable sharing my governance concerns with my fellow Regents or our Board

leadership.The Secretary’s performance is formally assessed, at least annually, based on objectives

established at the beginning of the year.

The Secretary receives ongoing feedback regarding job performance in addition to any formal

assessments.

Responses to this Section

I regularly read a majority of the material sent prior to Board and committee meetings and

address any issues in advance of the meetings.

Responses to this Section 

1

12
Regent Comments

Are Regents’ skills, expertise, and interests utilized effectively? If not, how can they be better utilize

 Yes, for the most part. The recent reassignment of Regents to committees will improve their effectiveness. Nice matching here, with due care. Never perfect, of course. Yes (5 responses). In general, yes, very effectively. A deep, searching “entry interview” might be considered, to unearth unusual exp

they come aboard.

 Good utilization of skills. Yes – thought is given to Regents’ assignments to committees. Selection of new Regents takes into account the n

possesses a diversity of experience, talent and background.

 There is always room to engage citizen Regents more in developing leadership and best practices. I appreciate th

elected Regents and the Chief Justice.

What additional support or information do you need from the Office of the Regents or other Smithsoquick dissemination of information, gateway to other Smithsonian leaders, administrative support)

 Quick dissemination of information; gateway to other Smithsonian leaders. Committees need to be supported by exceptional staff work that anticipates as well as serves. Sometimes uneve None – though increased strengthening of Regent website has been welcome. For some reason, I don’t get many communications between meetings. No additional support or information is needed. They are wonderful – no additional needs.
Regent Comments

How could meetings be more productive and efficient?

 There has been a vast improvement. More about decisions – less about briefings. Meetings are well‐run. More discussion time; shorter presentations. The Secretary needs to get meetings back on track if we’ve veered away from the set agenda for too long – needs  No improvements needed here. The meetings are appropriately productively and efficient.

The most important contribution the Board has made to the Smithsonian in the past 12 months has 

 Improvement in governance practices. Consolidating its plan and programs, and the new Secretary’s position. Developing and contributing to strategic p

decade, and integrating the plan with major long‐term fundraising efforts.

 Strategic plan ‐ bringing focus, clarity and specificity about results. Improving transparency and governance. Strategic plan monitoring and reflection was strong; input to plan was not as strong across all Regents. Completion of governance reforms. Governance reform; effective committee work. Selection of new secretary; reorganizing governance policies. Strategic plan input. Hired a great Secretary; implemented new governance changes. Restoring confidence in the Institution and its mission within and outside of the walls of the Smithsonian. Carefully reviewing the work of the officers and staff of the Smithsonian and providing candid and thoughtful obs

suggestions that maintain the highest possible standards of performance of the Institution.

 Support of the new Secretary in his first year.
Regent Comments

My biggest concern with the Board is:

 Sustainability of reforms as new Regents come on board. The Board is small – the size is legally circumscribed but the Board is still small given its responsibilities. Scheduling done without adequate consideration of Regents’ other commitments, e.g. conflict with other board m Small‐ish board, heavy load! How to find more quality “shoulders” without rewriting the charter. Relationship with constituent unit boards, which GNC will address in 2010. The VP’s lack of participation. We should either get him to show up, or make him non‐voting. Five of six congres

poor attendance at committee meetings.

 Not critical enough of management. No concerns. We do not get adequate heads up about problems at the Smithsonian. Generating ongoing enormous commitment to funding the strategic plan, a major undertaking – and making good 

as we build the African American Museum, and possibly a Latino museum.

 I am concerned that we are able to continue to attract the best qualified and dependable senior staff to manage t

activities of the Smithsonian.
MINUTES OF THE BOARD OF REGENTS

September 21, 2009

ATTENDANCE

This scheduled meeting of the Board of Regents was held on Monday, September 21, 2009, at 

the National Museum of the American Indian.  The meeting included a morning session and 

executive session in conference rooms 4018–19 and an afternoon session devoted to the 

Board’s second annual public meeting in the Museum’s Rasmuson Theater.  Board Chair 

Patricia Q. Stonesifer called the meeting to order at 8:35 a.m.  Also present were: 

The Chief Justice 1 

Xavier Becerra  

Thad Cochran  

France Córdova 

Phillip Frost 2

Sam Johnson  

Robert P. Kogod 

Patrick J. Leahy

Doris Matsui  

David M. Rubenstein 

Roger W. Sant 

Alan G. Spoon  

L. Hardwick Caldwell III, Smithsonian National Board Chair 

Paul Neely, Smithsonian National Board Chair‐elect

Vice President Joseph R. Biden, Senator Christopher J. Dodd, Shirley Ann Jackson, and John W. 

McCarter Jr. were unable to attend the meeting.  

Also present were:  

G. Wayne Clough, Secretary  

Patricia L. Bartlett, Chief of Staff to the  

  Secretary  

Amy Chen, Chief Investment Officer 

Virginia B. Clark, Director of External Affairs  

Barbara Feininger, Senior Writer‐Editor for the 

Office of the Regents   

Grace L. Jaeger, Program Officer for the Office  

of the Regents  

Richard Kurin, Under Secretary for History,  

  Art, and Culture  

John K. Lapiana, Chief of Staff to the Regents  

Judith Leonard, General Counsel  

Evelyn S. Lieberman, Director of  

  Communications and Public Affairs  

Alice C. Maroni, Chief Financial Officer  

Alison McNally, Under Secretary for Finance  

  and Administration  

Scott Miller, Acting Under Secretary for  

  Science 

Carole M.P. Neves, Director of the Office of  

  Policy and Analysis  

Tom Ott, President of Smithsonian 

  Enterprises  

Nell Payne, Director of Government Relations  

Eva J. Pell, Under Secretary for Science– 

  designee 

A. Sprightley Ryan, Inspector General 

John Yahner, Speechwriter to the Secretary 

Jeffrey P. Minear, Counselor to the Chief Justice  

Evan Ryan, Assistant to the Vice President 

T.A. Hawks, Assistant to Senator Cochran 

Colin McGinnis, Assistant to Senator Dodd  

Kevin McDonald, Assistant to Senator Leahy  

Melody Gonzales, Assistant to Congressman  

Becerra  

David Heil, Assistant to Congressman Johnson  

Julie Eddy, Assistant to Congresswoman Matsui 

Charles Alcock, Director of the Smithsonian  

  Astrophysical Observatory 

Elizabeth Broun, Director of the Smithsonian  

  American Art Museum 3

Johnnetta B. Cole, Director of the National  

  Museum of African Art 3

Steven L. Monfort, Acting Director of the  

  National Zoological Park 3

_____________________________________________________ 

1  The Chancellor, Chief Justice John G. Roberts Jr., attended the afternoon public meeting. 

2  Dr. Frost attended the morning session. 

3  Drs. Broun, Cole, and Monfort participated in the presentation of the Strategic Plan.  
MORNING PLENARY SESSION

OPENING REMARKS

Board Chair Patricia Stonesifer welcomed the attendees to the last full Board of 

Regents’ meeting of 2009.  She reminded the Regents that the meeting would 

include a morning session primarily devoted to the presentation of the Strategic 

Plan, a working lunch, and an afternoon session dedicated to the second annual 

public meeting of the Board.  She asked that most of the Regents’ committee reports 

be limited to 10 minutes to allow time for both the Board’s review of the Strategic 

Plan and the afternoon public meeting.  

Ms. Stonesifer announced that President Obama had signed France Córdova’s 

appointment to the Board of Regents on the previous Friday, September 18, 2009.  

Dr. Córdova, who had attended the two previous Regents’ meetings at the request 

of the Board, was given an official, and enthusiastic, welcome to the Board of 

Regents.   

Retiring Smithsonian National Board (SNB) Chair Hacker Caldwell, who was 

attending his last Regents’ meeting in that capacity, was thanked for his enormous 

contributions to the Board, including his participation in the search process that led 

to the appointment of Secretary Clough and as a member of the Investment 

Committee.  Asked to comment on his tenure, Mr. Caldwell said that it had been a 

privilege to serve with a Board capable of successfully navigating the enormous 

challenges and changes that faced the Smithsonian over the previous two years.  

Ms. Stonesifer welcomed SNB Chair‐elect Paul Neely, who attended the meeting at 

the invitation of the Board, and reminded the Board of Mr. Neely’s membership on 

the Strategic Planning and Programs Committee.   

Ms. Stonesifer circulated copies of a group photograph taken at the 1927 

Conference on the Future of the Smithsonian.  Participants included such historic 

figures as President Calvin Coolidge, Chief Justice and Smithsonian Chancellor 

William Howard Taft, Secretary of the Treasury Andrew W. Mellon, Secretary of 

State Frank B. Kellogg, and Secretary of Commerce Herbert C. Hoover. 

REPORT OF THE BOARD AND EXECUTIVE COMMITTEE CHAIR

Lease and Gift

Agreements for the

National Postal

Museum

Ms. Stonesifer reported that the Executive Committee had met three times since the 

last Regents’ meeting.  The Committee had provided guidance to the Secretary on 

the development of the Strategic Plan and had acted on two specific matters on 

behalf of the Board.  She reminded the Board that at its last meeting it had 

delegated to the Executive Committee the authority to authorize the execution of a 

lease agreement with the National Postal Service and to approve the terms of a gift 

agreement related to the lease transaction.  She reported that the Committee 

agreed on August 31, 2009, to provide authorization to the Secretary to execute a 

lease agreement to benefit the National Postal Museum, and approved a significant 
gift agreement in support of the proposed expansion of the Museum.  Ms. Stonesifer 

said that the Smithsonian had subsequently completed the lease transaction under 

the terms previously reviewed by the Board and that the gift for the Museum’s 

expansion would be transformational. 

Ms. Stonesifer reported that the Executive Committee also had approved the 

submission of the fiscal year 2011 Federal budget to the Office of Management and 

Budget.  She acknowledged the Regents’ preference that Federal budget 

submissions be approved by the full Board and explained that the early deadline for 

the fiscal year 2011 budget submission had required that the Committee act on 

behalf of the Board.  She also said that the entire Board had been invited to 

participate in the August 24, 2009, meeting of the Finance Committee, during which 

the proposed budget was reviewed. 

Approval of the June 22,

2009, Meeting Minutes

The Board was asked to approve the minutes of the June 22, 2009, Meeting of the 

Board.  The motion was approved. 

See attached Resolution 2009.09.01 (Minutes of the Board of Regents, Appendix A).

Joseph Henry Award The Board then considered a motion to award the Joseph Henry Medal to Dr. Ira 

Rubinoff for his many contributions to the Smithsonian and, in particular, the 

Smithsonian Tropical Research Institute, which he had directed from 1974 to 2008.  

The Secretary explained that the Joseph Henry Medal was typically awarded to 

Smithsonian staff who have provided exceptional service to the Smithsonian and its 

mission.  He noted that an internal review of the Smithsonian’s award‐granting 

process had delayed the award of the medal to Dr. Rubinoff, who retired from the 

Smithsonian in 2008.  The motion was approved. 

See attached Resolution 2009.09.02 (Minutes of the Board of Regents, Appendix A).

REPORT OF THE SECRETARY 

The Secretary said that this meeting of the Board was especially significant for two 

reasons: the presentation to the Board of the Strategic Plan and the closing, at the 

end of the month, of an eventful fiscal year.  He noted that fiscal year 2009 had been 

characterized by both its challenges and its accomplishments, and proceeded to 

provide an overview of the important activities that had taken place in the previous 

months. 

Broadening Access

and Reaching New

Audiences

Secretary Clough reported that visitation would surpass 30 million by the close of 

the fiscal year, representing a 6 million increase from fiscal year 2008 and the 

highest visitation levels in nearly a decade.  He said that this achievement reflected 

the hard work of staff, the opening of more than 90 new exhibitions, extended 

summer hours in many museums, and the activities related to the inauguration of 

President Obama.  He added that the economic downturn also had contributed to 

the increase in visits to Smithsonian museums, as families took advantage of the 

Institution’s free admission policies.  The Board agreed that the minutes should 

reflect the Regents’ appreciation to Smithsonian staff and leadership, whose efforts 
contributed to and supported the noteworthy increase in physical and virtual 

visitors to the Institution in fiscal year 2009.  

Highlights: Museums,

Exhibitions, and

Collections  

The Secretary then cited several Smithsonian exhibitions that opened in fiscal year 

2009: Bittersweet Harvest: The Bracero Program 1942–1964, a collaboration 

between the National Museum of American History and the Smithsonian Institution 

Travelling Exhibition Service that will travel to 29 cities across the nation; the 

National Museum of African Art exhibition Artful Animals, which reflected the 

contributions of at least four other museums; and the Ripley Center’s installation of 

Accelerate, a national juried exhibition for emerging young artists with disabilities. 

The Secretary discussed special events hosted by Smithsonian museums, noting 

that the Hirshhorn Museum and the Freer‐Sackler Galleries had each hosted two 

successful after‐hours events that reached new and younger audiences.  The 

National Air and Space Museum celebrated the 40th anniversary of the first landing 

on the moon with inspirational speeches by Apollo 11 Astronauts Buzz Aldrin, Neal 

Armstrong, and Michael Collins during one of many anniversary‐related events.   

Stating that Smithsonian now has 164 affiliates in 41 states, the District of 

Columbia, Panama, and Puerto Rico, Secretary Clough said that Senator Leahy had 

spoken at the national affiliates reception, which was also attended by Senator 

Cochran and other members of Congress. 

He directed the Regents’ attention to the report “Highlights from the Collections,”  

and also reported progress on the Institution’s efforts to digitize and expand Web 

access to its collections. 

Awards and

Recognition

The Secretary mentioned several awards that recently recognized Smithsonian staff 

or staff initiatives: SmithsonianEducation.org was selected as a Landmark Web Site 

in the American Association of School Librarians’ list of Best Web Sites for Teaching 

and Learning; Dig It! The Secrets of Soil, a collaboration between the National 

Museum of Natural History and the Smithsonian Environmental Research Center, 

was selected to receive the Renewable Natural Resources Federation’s 2009 

Outstanding Achievement Award; And Manjula Kumar of the Smithsonian Center 

for Education and Museum Studies received the Mahatma Ghandi Memorial 

Foundation’s Fellowship of Peace Award.  The 2009 Eminent Ecologist Award, one 

of the highest honors in its field, was given to Smithsonian Tropical Research 

Institute scientist Stephen Hubbell by the Ecological Society of America.  Dr. 

Hubbell’s nomination included letters of support from former Pulitzer Prize 

winners Jared Diamond and E.O. Wilson.   

Trust Budget Update Secretary Clough then updated the Board on the Trust budget and the Institution’s 

revenue‐generating activities.  He reported that the Smithsonian’s budgets continue 

to be challenging, but said that the Institution was poised to finish fiscal year 2009 

on a positive note.  The Central Trust budget anticipated a $2 million surplus at the 

end of fiscal year 2009, which would be applied to the Central Trust’s share of the 

fiscal year 2010 debt service. 

The Secretary said that, despite the weak economy, philanthropic gifts to the 

Smithsonian in fiscal year 2009 were anticipated to total $110 million and that  
many had been directed towards strategic objectives.  Smithsonian retail sales, 

which provide critical funding for the Central Trust budget, generated $26 million 

in net gain in fiscal year 2009, an unanticipated increase of 17 percent.  The 

Secretary expressed his appreciation for the extraordinary efforts of Smithsonian 

Enterprises (SE) and SE President Tom Ott.   

The Secretary also noted his gratitude for the Investment Committee’s management 

of the Smithsonian’s Endowment.  He said that the Endowment was anticipated to 

close fiscal year 2009 at about $810 million because of the downturn in global 

markets.  Although this figure represented a 19 percent drop from the 

Endowment’s peak, it compared favorably to other endowments in the Institution’s 

peer universe, some of which suffered declines of 30 percent during the same 

period.  He also noted the Finance Committee’s contributions to the management of 

the Endowment’s payout.   

Commenting on funding received from grant and contract awards, Secretary Clough 

first compared funding for activities unrelated to the Smithsonian Astrophysical 

Observatory (SAO) in fiscal years 2008 and 2009.  He said that 366 proposals in 

fiscal year 2008 had resulted in awards totaling $44.8 million.  In fiscal year 2009, 

450 proposals had resulted in awards totaling $63.3 million, a 41 percent increase 

over awards received in fiscal year 2008 and a 22 percent increase in proposals.  

The Secretary noted that the leadership of Under Secretary for History, Art and 

Culture Richard Kurin contributed to the increase in proposal submissions. 

Regarding SAO grant and contract awards, the Secretary said that 333 proposals 

had been submitted in fiscal year 2009, resulting in $102.3 million in awards for the 

Smithsonian.  He noted that SAO also was the remaining competitor for a  

$550 million award that, if received, would be directed towards the operation of the 

Chandra X‐ray Observatory.  The Secretary said that the overall increase in grant 

submissions and awards strengthened the Institution’s fiscal base and reflected the 

outstanding talents and entrepreneurial initiatives of Smithsonian staff.   

The Secretary said that estimates for future Trust budgets were conservative and 

that the Institution would maintain the budgetary restraints implemented in the 

fiscal year 2009 Trust budget.  He said that two budget teams charged with 

reassessing the management of the Smithsonian’s Trust budget, the Zero‐Based 

Central Trust Budget Committee and the Revenue‐Generating Committee, would 

soon provide reports of their recommendations to the Board.  He reported that the 

Institution had recently received approval from the Office of Personnel 

Management to offer early retirement packages to Federal employees, and that 

both Federal and Trust employees would be offered buyout incentives. 

Federal Budget Updates Discussing the Smithsonian’s fiscal year 2010 Federal budget, the Secretary 

reported that the House had passed a budget of $759 million.  The budget was 

subsequently approved in Senate committee and was awaiting floor action.  The 

Secretary explained that both Congressional bills reflected a 6 percent increase in 

funding over the Smithsonian’s fiscal year 2009 budget and would fully fund new 

initiatives that reflect the Strategic Plan, such as digitization efforts, Web access, 

and the Smithsonian Institution Global Earth Observatories (SIGEO).  He said that it 

was anticipated that Federally mandated salary increases would be held at  
2 percent and that both budgets included $125 million for major facilities 

revitalization projects, such as the Arts and Industries building and the new 

National Museum of African American History and Culture. 

The Secretary then addressed the fiscal year 2011 Federal budget submission 

process.  The Office of Management and Budget’s (OMB) original budget guidance 

had called for the submission of two budgets: one that was flat with the fiscal year 

2010 budget and one that reflected a 5 percent decrease.  He explained that 

successful negotiations with OMB had resulted in the Smithsonian’s submission of a 

third, needs‐based budget.  He added that the six million increase in Smithsonian 

visitorship in fiscal year 2009 had strengthened the Institution’s case for a needs‐

based budget.  

Closing Remarks Secretary Clough noted that an initiative to identify operational best‐practices was 

in progress.  He also updated the Regents on the Institution’s asbestos‐related 

issues, saying that analyses were ongoing and on track, reviews of the Institution’s 

asbestos‐related policies and procedures had not revealed any issues, and relevant 

employee surveys and interviews were in progress.   

The Secretary welcomed Dr. Eva Pell, Senior Vice President and Dean of 

Pennsylvania State University, who will assume the position of Under Secretary for 

Science in January 2010.  He also thanked Dr. Charles Alcock, Smithsonian 

Astrophysical Observatory Director and former Acting Under Secretary for Science, 

and Dr. Scott Miller, the current Acting Under Secretary for Science, for their 

leadership contributions.   

REPORT OF THE AUDIT AND REVIEW COMMITTEE

Audit and Review Committee member Robert Kogod provided the Committee’s 

report on behalf of Committee Chair John McCarter.  The Committee met on 

September 8, 2009, and received several updates before it held separate executive 

sessions with the Smithsonian’s independent auditors, the General Counsel, the 

Inspector General, and the Chief Financial Officer, after which it met alone. 

Report of the

Smithsonian’s

Independent Auditors

Mr. Kogod reported that the Smithsonian’s independent auditors, KPMG, provided 

the Committee with the audit plan for fiscal year 2009.  He said that two new 

accounting pronouncements would be applied to the Smithsonian’s fiscal year 2009 

audit: one that would apply to the Institution’s Endowment and another that would 

apply to the adoption of accounting standards regarding the fair value 

measurement of nonmarketable, or alternative, investments.  He said that the most 

significant impact of the new pronouncements would be the addition of several 

pages of disclosures to the Institution’s financial statements.

Mr. Kogod said that the overall audit plan for fiscal year 2009 was similar in scope 

to the prior year’s audit.  He said that KPMG, which began its interim audit work in 

July 2009, would meet the November 16, 2009, filing date for Federal financial 

reports.  KPMG noted it would continue working closely with the Office of the 

Inspector General and, at the request of the Inspector General, again would conduct 
a review of Smithsonian Enterprises’ net gain.  Mr. Kogod explained that these 

figures are used by the Regents’ Compensation and Human Resources Committee to 

determine certain staff incentive payments.   

The Committee also was informed that KPMG’s separate audit of government 

grants and contracts awarded to the Smithsonian for fiscal year 2008 had received 

an unqualified opinion with one immaterial noncompliance item note.  Mr. Kogod 

reported that that the matter had since been resolved by the Institution. 

Report of the Inspector

General

Mr. Kogod said that the Committee next received an update from Inspector General 

Sprightley Ryan.  The Committee discussed at length a recent audit concerning the 

proper use of certain maintenance funds for an unplanned capital improvement 

project.  He said that management had disagreed with the findings of the audit but 

had agreed with the Inspector General’s recommendations for funding decision‐

making policies and procedures, including associated documentation.  Ms. Ryan 

also presented her audit plan for the coming year and was asked by the Committee 

to focus on the security of the Smithsonian’s collections, including that of the 

Smithsonian Institution Libraries. 

Report of the Chief

Financial Officer

Mr. Kogod then reported on Chief Financial Officer Alice Maroni’s report to the 

Committee.  Ms. Maroni updated the Committee on the status of KPMG’s 

management letter for fiscal year 2008 and reported that the resolution of each of 

the identified issues scheduled to be completed was either closed or on schedule to 

be closed during fiscal year 2009.  

Ms. Maroni updated the Committee on the status of the internal controls 

improvement project.  She reminded the Committee that the review of the internal 

controls environment associated with 23 separate financial processes had 

identified five processes as high risk.  Remediation plans were developed to 

address the weaknesses for all 23 processes and critical milestones in the 

remediation plans for all five high‐risk areas will be met in fiscal year 2009.  

Remediation plans for the remaining moderate‐ and low‐risk areas were under 

review.  

Mr. Kogod said that the Committee was informed that the review of internal 

controls had shown that some of the efforts to improve internal control 

environments were ahead of schedule, whereas unanticipated issues had adversely 

affected the remediation plans for other financial processes.  He said that the Chief 

Financial Officer was especially concerned about the pending impact of new 

external financial reporting requirements and the increase in requirements to 

comply with the data security standards being imposed by the credit card industry 

for all merchant card accounts.  Mr. Kogod said both issues were a high priority to 

the financial staff and that management had approved funding to support efforts to 

strengthen the Institution’s financial control environment. 

REPORT OF THE FINANCE COMMITTEE 

Finance Committee Chair Roger Sant presented the Committee’s report.  The 

Committee previously met on August 24, 2009, to review several important topics.  
Two Regents who were not Committee members also participated in the 

discussion.   

Fiscal Year 2010

Federal and Trust

Budgets

Mr. Sant reported that the Committee first reviewed the proposed fiscal year 2010 

Federal and Trust budgets.  He said that management had based the Federal budget 

on the fiscal year 2010 budget request submitted to Congress in February 2009 and 

that it was assumed that the budget would be approved.  Mr. Sant also said that the 

Central Trust budget in fiscal year 2010 had been balanced as a result of four major 

initiatives.  Noting that some of the decisions could be controversial, he outlined 

them for the Board. 

Funding the National

Campaign

Mr. Sant said that management had proposed a special Endowment payout to fund 

the expenses of the planned national campaign, which he said was estimated to be 

about $3.1 million for fiscal year 2010.  He said that management had 

recommended a payout not to exceed $2.5 million, which would be combined with 

the remainder of the funds previously made available to the campaign for expenses.  

Mr. Sant said that the Finance Committee approved the proposed payout, subject to 

the approval of the proposed expenses by the Advancement Committee, and that 

that committee had subsequently approved the proposed national campaign 

program and items budgeted for it. 

The Smithsonian

Associates

Mr. Sant then reported that the Committee also had discussed at length 

management’s proposal to initiate a study and restructuring of The Smithsonian 

Associates (TSA), a popular program that sponsors fee‐based seminars, tours, and 

lectures for the local metropolitan Washington audience.  He explained that the 

intention of the plan would be to move TSA from a loss‐generating operation to one 

that broke even or better.  Under the terms of the proposal, TSA would be 

dramatically restructured or closed down if it could not generate sufficient 

revenues.  Mr. Sant said that the recommendation also had been reviewed and 

approved by the Strategic Planning and Programs Committee. 

Trust Revenue Targets Mr. Sant said that the third initiative designed to balance the fiscal year 2010 Trust 

budget was management’s decision to issue revenue targets to the Trust Finance 

Implementation teams.  He said that the budget assumed $650,000 in new revenue 

streams during fiscal year 2010, and explained that the new monies would be 

generated by conducting a special events pilot program in the Castle, charging a 

small fee for the goSmithsonian guide, and implementing a more robust overhead 

recovery program. 

Personnel Initiatives A fourth proposal to support balancing the fiscal year 2010 Trust budget was 

discussed by the Committee.  Mr. Sant said that management had originally 

proposed three personnel initiatives—a pay freeze for Trust‐funded staff, a buyout 

program for Federal and Trust staff, and a Trust hiring freeze— and that the 

Committee had approved the inclusion of all three in the budget, contingent upon 

the Compensation and Human Resources Committee’s approval of the pay freeze.  

He reported, however, that three positive changes in the Central Trust budget had 

occurred subsequent to the Finance Committee’s meeting.  He explained that the 

sum of the changes had restored enough flexibility in fiscal year 2010 to fund 

modest pay increases for non‐senior and senior level Trust‐funded staff and that a 

final decision regarding these increases would be made in December 2009. 
After summarizing the Committee’s discussions about the fiscal year 2010 Federal 

and Trust budgets, Mr. Sant asked the Board to consider three motions that the 

Finance Committee had approved and forwarded to the Board: a motion to approve 

the budget and expenditure of fiscal year 2010 appropriated funds, a motion to 

approve the fiscal year 2010 Trust budget, and a motion to approve a payout from 

the Endowment to fund the fiscal year 2010 expenses for the planned national 

campaign.  The three motions were approved en bloc.  

See attached Resolutions 2009.09.03–2009.09.05 (Minutes of the Board of

Regents, Appendix A).

Fiscal Year 2011

Federal Budget

Mr. Sant then spoke of the Committee’s review of the proposed three‐level fiscal 

year 2011 Federal budget request that had been submitted to the Office of 

Management and Budget (OMB) the previous week.  He noted that the process of 

building the Federal budget had been highly unusual for the Smithsonian this year: 

OMB had requested that the Smithsonian submit two budgets: one frozen at the 

fiscal year 2010 request level and a second that reflected a 5 percent reduction 

from the fiscal year 2010 request. 

Mr. Sant said that the Smithsonian had negotiated with OMB for the opportunity to 

submit a proposed “requirements budget” that included increases for necessary 

expenses and programmatic initiatives.  He spoke of the anticipated impact of the 

other two budgets on the Smithsonian’s units, including departments, programs, 

and research initiatives, as well as cuts to the Institution’s facilities maintenance 

efforts.   

He noted that all three budgets assumed that $24 million of Legacy Funds would be 

available in fiscal year 2011 for the renovation of the Arts and Industries building, 

which would require that the Smithsonian raise $24 million in matching private 

funds.  The budgets also assumed that OMB would support funding outside of the 

constraints of the two budgets submitted—the freeze budget and the 5 percent 

reduction budget—to support construction funding for the National Museum of 

African American History and Culture. 

Mr. Sant also reported that the Committee reviewed the Institution’s fiscal year 

2009 year‐end budget forecast, as well as Smithsonian Enterprises’ fiscal year 2009 

performance and proposed fiscal year 2010 budget. 

Report of the

Investment Committee

Mr. Sant explained that the time constraints of this meeting required that the 

Investment Committee’s update on the Smithsonian’s Endowment be included in 

the Report of the Finance Committee.  He then asked Chief Investment Office Amy 

Chen to report on that Committee’s activities. 

Ms. Chen reported that as of June 20, 2009, the Endowment’s preliminary market 

value was $818.3 million.  She said that the Committee’s efforts had contributed to 

the Smithsonian’s ability to successfully navigate the markets’ unprecedented 

volatility, exceed its benchmark return, and favorably compare to peer funds.  She 

said that the Endowment’s liquidity had been effectively managed, allowing it to 

avoid the shortcomings that befell many other endowments and foundations during 

this period.  She also noted that the second phase of the Tactical Asset Allocation 

Implementation Plan had been completed. 
Ms. Chen then outlined the plans for Endowment’s management for the remainder 

of calendar year 2009.  She said that the third phase of the Tactical Asset Allocation 

Implementation Plan was being assessed in response to the sizable rebounds in the 

credit and equity markets and that the implementation of the private equity and 

real asset program would continue.  Private equity, hedge fund, and real estate 

investment valuations would be reviewed to assure compliance with FAS 157, the 

Financial Accounting Standards Board’s recently implemented standard regarding 

fair value measurements.  Ms. Chen noted that one of two open investment officer 

staff positions in her office had been filled and that a technology upgrade initiative 

would be completed with the implementation of a contact management system.  

  

Discussion The Board discussed the annual schedule of Regents’ meetings in relation to the 

preparation of the Smithsonian’s Federal budget for the Office of Management and 

Budget.  Ms. Stonesifer noted that OMB’s deadline currently conflicts with the 

schedule of Regents’ meetings, precluding the review of the Federal budget 

submission during a regularly scheduled Board meeting.  She inquired about the 

Board’s interest in participating in this process and asked if the annual June 

meeting of the Board should be moved to the month of July.  The Board agreed that 

all Regents would be invited to participate in a Finance Committee conference call 

in July or August, during which time the proposed Federal budget would be 

presented and discussed. 

  

REPORT OF THE GOVERNANCE AND NOMINATING COMMITTEE 

Reelection of the Chair

and the Vice Chair

Representative Doris Matsui presented the report of the Governance and 

Nominating Committee on behalf of Committee Chair Shirley Ann Jackson.  Ms. 

Matsui said that the Committee had met in July 2009 to consider a series of key 

appointments.  She first reported that the Committee recommended that the Board 

of Regents reelect Patricia Stonesifer as Chair of the Board and Alan Spoon as Vice 

Chair of the Board.  Ms. Stonesifer and Mr. Spoon recused themselves from the 

Board’s discussion, during which Mr. Sant commented on the considerable 

achievements that had been realized under Ms. Stonesifer’s leadership.  The Board 

unanimously approved the motions en bloc. 

See attached Resolutions 2009.09.06–2009.09.07 (Minutes of the Board of

Regents, Appendix A).

Non­Regent

Appointment to the

Facilities Committee

The Board next considered the Committee’s recommendation to appoint George 

Hartman as a non‐Regent member of the Facilities Committee.  The motion was 

approved. 

See attached Resolution 2009.09.08 (Minutes of the Board of Regents, Appendix A).

Leadership

Appointments to the

Smithsonian National

Board

Ms. Matsui then presented the Committee’s recommendation to appoint Paul Neely 

as Chair and Judy Huret and Gary Moore as Vice Chairs of the Smithsonian National 

Board.  She noted that both Mr. Neely and Ms. Huret had made tremendous 

contributions as non‐Regents members of the Board’s Strategic Planning and 

Programs Committee.  The motion was approved. 
See attached Resolution 2009.09.09 (Minutes of the Board of Regents, Appendix A).

Appointments to

Smithsonian Advisory

Boards

The Regents next considered proposed appointments to seven Smithsonian 

advisory boards.  Ms. Matsui noted that the reappointment of Regent Emerita 

Jeannine Smith Clark to the Anacostia Community Museum Board was included in 

the motion for that board.  The motions were approved en bloc. 

See attached Resolutions 2009.09.10–2009.09.16 (Minutes of the Board of

Regents, Appendix A).

Discussion Representative Xavier Becerra commented that the Smithsonian’s commitment to 

diversity, as stated in its Strategic Plan, should be extended to its advisory boards to 

ensure that each reflects the diversity of the American people.   

REPORT OF THE ADVANCEMENT COMMITTEE 

Advancement Committee Chair Alan Spoon gave the Committee’s report.  Mr. Spoon 

said that the Committee had discussed five topics during its September 10, 2009, 

meeting: the Strategic Plan, the planned national campaign, the fiscal year 2010 

campaign budget request, fund‐raising results and goals, and proposed gift 

agreements.  Because the Strategic Plan would be discussed in detail later during 

the Board meeting, Mr. Spoon did not comment on it during his report. 

Campaign Progress Mr. Spoon said that plans for a national campaign were on schedule and included

screening donor prospects, assessing the IT system, increasing front‐line staff, 

developing the campaign’s budget, and supporting the development of individual 

units’ campaigns.  He said that external consultants Marts & Lundy’s final internal 

assessment report would be delivered in December 2009 and that the Regents 

would review the initial campaign plan in April 2010.  The ability of the Strategic 

Plan to support the identification and articulation of individual units’ campaign 

needs also was discussed. 

Fiscal Year 2010

Campaign Budget

Request

Mr. Spoon then reviewed the portion of the fiscal year 2010 budget request that 

pertained to the planned national campaign.  He said that the Smithsonian would 

spend about $3 million on the campaign, of which approximately $800,000 would 

come from a carryover of prior funding for the campaign and $2.3 million was 

requested to build the campaign’s capacity and infrastructure.  He explained that  

43 percent of the budget would be devoted to building capacity, 24 percent to 

infrastructure, and 23 percent to building the case for the Campaign.  Mr. Spoon 

noted that the Advancement Committee had recommended that the Board approve 

the proposed fiscal year 2010 budget to support the planned national campaign 

and other development‐related projects.  The Regents discussed the possible 

impact of a national campaign on the Smithsonian’s support from the Federal 

government. 

Fund Raising Report Reports on the Smithsonian’s fund‐raising results, as of August 31, 2009, and the

fiscal year 2010 fund‐raising goal were then provided.  Mr. Spoon said that the 

Institution anticipated that fiscal year–end 2009 would reflect $110 million in fund‐
raising results, despite the impact of the economic downturn and Smithsonian 

leadership transitions.  He noted that the Smithsonian had secured funding for its 

Strategic Plan and the planning of the National Museum of African American 

History and Culture, and received the largest gift ever bestowed upon the National 

Postal Museum.  He added that other significant gifts to the Institution included 

those from the Moore Foundation and Airbus, and that Contributing Membership 

would again make its fund‐raising goal. 

Mr. Spoon said that the $130 million fund‐raising goal for fiscal year 2010 was 

ambitious, representing a 20 percent increase over the Institution’s fiscal year 2009 

results and the standard ramping up of an annual goal in support of a larger 

campaign. 

Gift, Endowment, QuasiEndowment, and

Naming Actions

Mr. Spoon then presented eight proposed gift actions for the Board’s consideration.  

The Board noted the range in size and purpose of the proposed gifts and approved 

the motions en bloc. 

See attached Resolutions 2009.09.17–2009.09.20 (Minutes of the Board of

Regents, Appendix A).

REPORT OF THE STRATEGIC PLANNING AND PROGRAMS 

COMMITTEE 

Representative Doris Matsui, the Chair of the Strategic Planning and Programs 

Committee, gave the Committee’s report.  She said that since the Board’s June 2009 

meeting the Committee had devoted most of its efforts towards providing guidance 

on two significant topics, the Strategic Plan and the possible creation of an 

international museum education program.  She noted that because both issues 

would be discussed at length later in this meeting, she would focus the Committee’s 

report on the discussion of the Trust budget for fiscal year 2010. 

Ms. Matsui reminded the Board that its approval of the Trust budget included the 

decision to withdraw contributions from the Central Trust in support of The 

Smithsonian Associates (TSA).  Because the program is very popular in the greater 

Washington, D.C., area, the Committee had asked for a briefing on the impact of the 

proposed budget cut, as well as any subsequent changes proposed for TSA. 

She then asked Under Secretary for History, Art and Culture Richard Kurin to 

update the Board on the development of short‐ and long‐term plans for TSA.  Dr. 

Kurin explained that TSA membership had dropped from approximately 40–50,000 

to about 20–30,000 households.  Although some $5.5 million to $6 million was 

generated through TSA’s ticket sales, the program’s budget required over  

$1 million in additional support from the Central Trust budget.  He said that the 

goal of restructuring TSA’s budget would be to change it from a money‐losing 

enterprise to one that at least broke even. 

Dr. Kurin said that some of the TSA programs, such as its masters program offered 

in collaboration with the Corcoran College of Art + Design, were money‐making  
initiatives and that other programs, such as the popular summer camp program, 

also performed well.  However, he also reported that only 60 percent of 1,000‐some 

TSA programs related to the Smithsonian and that only 10 percent of those 

programs were strongly aligned with both the programs and the mission of the 

Institution.   

Ms. Matsui concluded her report by noting that non‐Regent Committee member 

Clark Bunting had stepped off of the Committee because his schedule would not 

allow him to participate at the level that he desired.  Mr. Bunting will continue to 

have strong ties to the Smithsonian through his position as Chair of the National 

Zoological Park’s Advisory Board. 

REPORT OF THE COMPENSATION AND HUMAN RESOURCES 

COMMITTEE 

Roger Sant, Chair of the Compensation and Human Resources Committee, provided 

the Committee’s report.  Mr. Sant said that since the Committee’s June 2009 report 

to the Board two major areas had been reviewed by the Committee: the 2010 

compensation process and the development of a “dashboard,” or at‐a‐glance 

update, of the Smithsonian’s personnel data. 

Compensation Process

Update

Mr. Sant reported that the Committee had reviewed the basic foundation 

components for the 2010 executive compensation process and reaffirmed the 

delegation of decision‐making authorities.  He reminded the Board that it would 

again be responsible for the compensation decisions for 16 senior staff and that the 

Committee would determine the compensation levels for an additional 21 

positions.  Likewise, the Secretary would be delegated the authority to determine 

the compensation decisions for almost 190 positions. 

The Committee also updated the list of disqualified persons, removing the now‐

abolished position of Under Secretary for Art, updating titles, and adding the new 

position of Smithsonian Enterprises Director of Business Development and 

Licensing. 

Mr. Sant said that the Committee refined the compensation philosophies to 

document how the Smithsonian’s process aligns with the new IRS Form 990 

requirements.  He noted that the General Counsel had proposed this improvement. 

The Committee also established the compensation timeline and provided general 

guidance to the compensation contractor for the 2010 process.  Mr. Sant noted that 

the compensation data for 2009 would be aged appropriately and that new 

analyses would be conducted for certain positions, such as the newly created 

Director of Education, the Secretary, and certain investment positions. 

Mr. Sant said that the Committee did not envision any difficulties with the 2010 

compensation process and that the Secretary would brief the Committee in 

December 2009 in the event that any economic changes would have an adverse 

impact on potential compensation increases. 
The Committee

Dashboard

Mr. Sant next directed the Board’s attention to the Committee’s update on diversity, 

attrition, performance management, and employee survey results.  He said that the 

Committee’s dashboard report would continue to be refined and that additional 

information would be included in the future.  He also noted that specific 

information on executive diversity, attrition, and performance ratings was included 

because of the Committee’s responsibility for the executive resources of the 

Institution.  He added that the 2009 employee survey was in progress and that the 

results would provide additional trend data. 

Other Remarks Mr. Sant concluded his report by noting that the Smithsonian was making very good 

progress on its leadership development activities and the conclusion of a busy 

executive search period.  He noted his appreciation for the leadership of the 

Secretary and the generosity of the Smithsonian National Board in support of the 

leadership development initiative.  He added that the first executive forum had 

been held the previous week and that different topics would be addressed during 

each future session.  He said that the executive forum had focused on leadership’s 

role in advancing diversity and Ms. Stonesifer commented on the importance of 

ensuring diversity within the Smithsonian’s recruitment pools. 

With regard to ongoing executive searches, Mr. Sant said that the Secretary had 

reported that the search for the next Director of the National Zoological Park was 

nearing completion and that searches for the Director of Cooper‐Hewitt, National 

Design Museum and the new Director of Education were actively under way. 

HIGHLIGHTS FROM THE COLLECTIONS 

Ms. Stonesifer recommended the report on the Smithsonian’s collections to the 

Board.  Because of time limitations, the Board did not discuss the paper. 

LEGISLATIVE ACTIVITIES AND ISSUES

Director of Government Relations Nell Payne asked if the Regents had any 

questions about the report on Smithsonian‐related legislative activities and issues.  

There being none, Ms. Stonesifer asked that the meeting advance to the Report of 

the General Counsel. 

REPORT OF THE GENERAL COUNSEL 

General Counsel Judith Leonard said that the litigation report provided to the Board 

was current with the exception of one or two new cases.  She also said that 

responses to all current information disclosure requests were up to date.   

Ms. Leonard reported that over 700 employees had submitted the annual 

Confidential Financial Statement to the Office of the General Counsel (OGC).  All 

were reviewed by OGC Ethics Counselors.   
She said that a study of the staffing needs of the OGC would soon commence.  

Secretary Clough added that two other staffing studies had recently been 

undertaken in other Smithsonian units but that the launch of the OGC study had 

been delayed until the arrival of the new General Counsel.  He noted that the results 

of these studies are first reviewed by the Board’s Governance and Nominating 

Committee.   

Ms. Leonard reported that OGC staff currently consisted of 10 lawyers (including 

one providing counsel on a temporary, part‐time basis), one contract lawyer, and 

six support staff.  She added that the study of the office would include productivity 

and training assessments.   

When asked about a bankruptcy item included in the litigation report, Ms. Leonard 

responded that she would investigate the issue further and provide more 

information to the Board at later date.   

THE SMITHSONIAN INSTITUTION STRATEGIC PLAN

Secretary Clough thanked the Board for the opportunity to present the Smithsonian 

Institution Strategic Plan for fiscal years 2010 to 2015.  He stated that an effective 

discussion of the plan would require that the Regents consider two critical issues: 

Was this the right strategic plan for the Smithsonian, and was the plan appropriate 

in its scale and the resources it would require?  He invited four Smithsonian 

directors—Smithsonian Astrophysical Observatory Director Charles Alcock, 

National Zoological Park Acting Director Steve Monfort, National Museum of 

African Art Director Johnnetta Cole, and Smithsonian American Art Museum 

Director Betsy Broun—to participate in the presentation. 

An Inclusive Process–

An Expanded Vision

The Secretary spoke of the inclusive process that led to the development of the plan 

and thanked the Board, in particular the Executive and Strategic Planning and 

Programs committees, for their support and input.  He emphasized that every 

member of the Smithsonian community had been offered the opportunity to 

participate in the strategic planning process and that their contributions were 

reflected in a plan that drew upon the historic resources of the Institution and 

charted a bold, but attainable, course for its future.  Noting that the Smithsonian’s 

historic mission remained the “increase and diffusion of knowledge,” he said that 

the Strategic Plan expanded that vision to include “shaping the future by preserving 

our heritage, discovering new knowledge, and sharing our resources with the 

world.”  He said that the Strategic Plan and its vision embraced six core 

Smithsonian values: discovery, creativity, excellence, diversity, integrity, and 

service.   

Expanding Intellectual

Capital and Recognition

Secretary Clough spoke of the tremendous strengths of the Smithsonian and said 

that the Strategic Plan would capitalize upon the intellectual and physical resources 

of the Institution.  Under the plan, the Smithsonian would continue to advance its 

role as a world‐recognized model for museums, exhibitions, and research, but with 

greater focus, revitalized relevance, and an enhanced ability to reach and serve 

physical and virtual visitors from across the globe.  He said that this vision would  
embrace the Institution’s disparate parts and increase the dynamic, 

interdisciplinary potential of the whole. 

Four Grand Challenges:

A Dynamic Roadmap to

the Future

The Secretary said that the Strategic Plan offered a critical point of departure for 

the Smithsonian and that the Institution’s ability to provide leadership on issues of 

global significance would be limited if it maintained its current course of action.  He 

then explained the key priorities of the plan, the first of which was “focusing on four 

grand challenges.”  The four challenges were based on key issues that the 

Smithsonian was uniquely qualified to champion: unlocking the mysteries of the 

universe, understanding and sustaining a biodiverse planet, valuing world cultures, 

and understanding the American experience.  He said the Strategic Plan was 

designed to capture the Smithsonian’s existing capabilities within a logical and 

overarching framework that encourages cross‐pollination between divisions and 

the development of ideas.   

Broadening Access A key priority of the Strategic Plan is broadening access.  Secretary Clough spoke of 

the need to use new tools and technology to increase global access to the 

Smithsonian’s resources.  He said that new media and social networking vehicles 

would deliver information in unique ways and to more people, adding that the 

physical experience for on‐site visitors would continue to be enhanced. 

Revitalizing Education Secretary Clough discussed another important priority: revitalizing education 

through informal educational programs.  He said that the Smithsonian would use its 

rich resources, including the expertise of its staff, to help strengthen American 

education and enhance the nation’s ability to compete globally.  He said that the 

Strategic Plan’s educational model was a centralized approach that would leverage 

resources, strengthen communications, coordinate programming, and reward 

inventive thinking and collaboration.  He also noted that a significant gift from Mr. 

Kogod would fund the creation of a central office of education, the function of which 

would be to create innovative models and methods of informal educational 

programming that could be linked to the nation’s formal education system.  

Crossing Boundaries The Strategic Plan addressed another important priority: crossing boundaries.  The 

Secretary said that the success of the Strategic Plan would depend on the ability of 

the Smithsonian to marshal its resources across disciplines, as well as strengthen 

external collaborations.  He explained that Smithsonian centers would be 

developed to encourage and facilitate dynamic interdisciplinary initiatives that 

support the four grand challenges.  The centers would report to the individual 

Under Secretaries and would not require a large administrative function.  The 

Secretary added that funds for the centers’ initiatives would be competed.  He said 

that the new Office of Education also would support efforts to reach diverse 

audiences and broaden access to the Smithsonian’s resources and that the plan’s 

commitment to technology would support all of these goals. 

Strengthening

Collections

Secretary Clough noted that the Smithsonian’s collections represented the nation’s 

rich heritage, as well as diverse artistic, cultural, and natural resources from across 

the globe, and said that the preservation of the Smithsonian’s collections is one of 

the key priorities of the Strategic Plan.  A pan‐Institutional plan would be developed 

to support the management, storage, and access to the Institution’s collections,  
which would in turn strengthen the four grand challenges and other 

interdisciplinary initiatives. 

Enabling Mission

through Organizational

Excellence

The Secretary spoke of the Strategic Plan’s commitment to strengthening 

organizational services that support the Institution’s mission.  He said that the plan 

would support the creation of an entrepreneurial and innovative workplace, the 

development of a diverse workforce, the advancement of new communications 

systems, the expansion of essential support services, and the creation and 

maintenance of healthy physical environments.  He also said that to ensure its 

financial strength, the Smithsonian would launch a national campaign and pursue 

new revenue‐generating opportunities using strategies informed by the Strategic 

Plan and in concert with the museums and centers. 

Measuring

Performance

Secretary Clough maintained that performance measurement was critical to both 

sustaining the highest standards of excellence and communicating the 

Smithsonian’s achievements to external audiences.  He said that progress towards 

the Institution’s goals would be measured annually against specific criteria, and 

that the performance indicators would be transparent and updated regularly. 

Resourcing the Plan The Secretary said that to reach the bold—but attainable—outcomes of the 

Strategic Plan the Smithsonian would need to refocus its existing resources and 

generate, on a cumulative basis over the next six years, an additional $1–2 million 

(approximately 16–32 percent) above the Institution’s current base.  He explained 

that the Strategic Plan would guide future decisions about the Smithsonian’s 

financial resources, better leverage its Federal allocations, and provide a 

foundation for the forthcoming national campaign.  He also said that the plan was 

designed to respond to different future possibilities and would likewise depend 

upon a flexible series of revenue options.  He said that Federal support would 

continue to be critical to sustaining the mission of the Smithsonian but that the 

Institution would become more entrepreneurial and fund new initiatives through a 

variety of new sources. 

Dr. Charles Alcock:

“Unlocking the

Mysteries of the

Universe”

After expressing his enthusiasm for the plan and its potential, Secretary Clough 

invited the four directors to elaborate upon the four grand challenges.  Charles 

Alcock addressed the Strategic Plan’s goal of “unlocking the mysteries of the 

universe” and the Smithsonian’s commitment to leading efforts to understand the 

fundamental nature of the universe.  He discussed the ability of such investigations 

to offer insight into other fields of study, comparing areas of overlap to the 20th 

element, calcium.  Generated by exploding stars, calcium is found in such diverse 

places as human bones, limestone, and cosmic dust. 

Dr. Alcock spoke of the immense lack of knowledge about the universe.  

Fundamental questions remain unanswered, such as how the first galaxies formed 

and what is the essential nature of dark energy, dark gas, and dark mass.  He 

commented on the mysteries of super novi and their ability to create heat and gas 

without exploding galaxies.  The importance of the Giant Magellan Telescope (GMT) 

project was discussed, including its anticipated ability to provide images of the very 

first galaxies and insight into the building blocks of life.  Dr. Alcock also commented 

on findings from current initiatives within and outside of the Smithsonian, such as 

the initial information received from the Kepler Mission’s search for Earth‐sized 

planets in the habitable zones of stars.   
In response to questions from the Board, Dr. Alcock discussed the collaborative 

efforts already under way between the Smithsonian and other research institutes.  

He noted that programs such as the GMT and the Chandra X‐ray Observatory 

Center involve both collaboration and intense competition among groups, 

particularly with regard to funding.  He also said that the Smithsonian 

Astrophysical Observatory, which has been enormously successful since its 

founding in 1890, exemplified both this grand challenge and the Smithsonian 

mission to support “the increase and diffusion of knowledge.”  

The Regents discussed the importance of making the public aware of the depth of 

the Smithsonian’s scientific resources, such as the fact that about one‐sixth of 

Smithsonian staff work at SAO.  Dr. Alcock said that the Strategic Plan’s 

commitment to expanding access to all Smithsonian resources, as well as the 

branding of the Smithsonian identity, would advance these efforts.  He added that 

future announcements about SAO initiatives would benefit from being released in 

Washington, D.C., and in particular the National Museum of Natural History, in 

order to better cultivate public, Congressional, and media interest, as well as to 

optimize the collaborative potential of future work with other Smithsonian units. 

Dr. Alcock was asked about the number of world‐recognized leaders, such as Nobel 

Prize recipients, affiliated with SAO, as well as what other research organizations 

were comparable in the quality and scale of their work.  He said that SAO’s efforts 

have been characterized by “sustained discoveries” and that nearly all 

astrophysicists have either trained at or been employed by SAO, including several 

Nobel Prize winners.  He noted that there were no real American peers in both the 

quality and scale of SAO’s work, although European endeavors were becoming 

increasingly robust.   

Dr. Alcock again spoke of the interdisciplinary goals of the Strategic Plan and the 

Smithsonian’s unique ability to present a coherent, interwoven focus on the four 

grand challenges.  He discussed the interconnectedness of the challenges and how 

advances in one would in turn advance the goals of the others, particularly with a 

commitment to the diffusion of information and the use of new technologies and 

media.  He noted that showcasing the similarities and differences of the 

Smithsonian museums and research centers, as well as increasing collaborations 

with outside organizations such as NASA, would maximize both individual and 

collective potential. 

Dr. Steven Monfort:

“Understanding and

Sustaining a Biodiverse

Planet”

Steve Monfort spoke of the Strategic Plan’s second grand challenge: understanding 

and sustaining a biodiverse planet.  He discussed the fundamental role of 

biodiversity in maintaining and reflecting the health of the planet, and the fact that 

little is known about the diversity and scope of life that have evolved over the past 

4 billion years on Earth.  Although a single ton of soil can contain as many as 4 

million separate species of bacteria, only 10,000 species have been identified to 

date.  He said that an estimated 10 quintillion insects—approximately 200 million 

per human being—were alive at any given time.  He noted that one‐quarter of all 

prescription drugs dispensed by American pharmacies contain compounds derived 

from flowering plants, yet fewer than 3 percent of such plants have been tested for 

potential use as medicines.  He said that understanding and preserving these 

organisms, including their interactions, are essential to sustaining the web of life 

and the very existence of mankind.  
Dr. Monfort said that the value of biodiversity was unquestioned, yet the 

destruction of biodiverse environments outpaces the ability to discover its secrets, 

limiting mankind’s understanding of how ecosystems function, reducing the 

harvest of products beneficial to humans, increasing environmental instability, and 

impacting global wealth and prosperity.  He asserted that, because the survival of 

mankind depended the health of the planet’s species, understanding biodiversity 

was as challenging as, and possibly more urgent than, efforts to understand the 

origins of the universe. 

He spoke of the resources and initiatives of the Smithsonian that support 

understanding of and support for a biodiverse planet.  The Smithsonian’s 

outstanding network of museums and research centers provide unparalleled 

research platforms, host the world’s largest faculty of biodiversity and conservation 

scientists, possess the world’s largest collection of living and non‐living biological 

specimens, and offer strong partnership networks with trusted reputations.  He 

said that Smithsonian scientists can help manage the forces changing the planet by 

studying the processes underlying historical global change and planning for the 

future.  He cited the Institution’s leadership role in documenting and understanding 

biodiversity through the Encyclopedia of Life and the Consortium for the Barcode of 

Life initiatives.  

With respect to sustaining biodiversity, Dr. Monfort reported that a pan‐

institutional team was in the beginning stages of organizing the Planetary Genome 

Project.  A global consortium of institutions will collect and preserve planetary 

genomes that could one day be crucial to developing new technologies and 

advancements in medicine, agriculture, environmental management, and even 

national security.   

He also spoke of the Smithsonian’s efforts to sustain living animal diversity, noting 

the Smithsonian National Zoo’s efforts to ensure the survival and recovery of such 

diverse species such as the golden‐lion tamarin, the Przewalski’s horse, and Asian 

elephants and tigers.  He said that Smithsonian researchers had discovered the 

fungus responsible for the enigmatic decline in global amphibian populations, were 

working with Federal and state agencies to protect the Virginia big‐eared bat from 

White‐Nose Syndrome, and were partnering with other institutions on a USAID‐

funded program for predicting and responding to global wildlife disease 

pandemics. 

Dr. Monfort emphasized the importance of long‐term objective data in efforts to 

understand and mitigate rapid global changes.  With regard to forest productivity, 

he noted that Smithsonian units were involved in an interdisciplinary initiative to 

create the Smithsonian Institution Global Earth Observatories (SIGEO), a long‐term 

science platform designed to address fundamental questions about how forests and 

their ecosystems respond to climate changes.  He added that SIGEO already had 

leveraged $10 million in new private and grant support and would receive Federal 

support beginning in fiscal year 2010.  

Asserting that contemporary environmental problems were daunting, trans‐

generational, and urgent, Dr. Monfort said that the Strategic Plan provided a 

framework that would enable the Smithsonian to both accomplish more and do a 

better job of addressing these issues.  He cited the Institution’s valuable assets in 
the biodiversity sciences, such as its long‐term study sites, collections, and data 

sets, but also spoke of the need to enhance and support the facilities and technology 

that support such resources.   

Citing initiatives such as SIGEO and the Global Tiger Initiative with the World Bank, 

Dr. Monfort said that the Smithsonian must continue to develop both pan‐

institutional collaborations and partnerships with outside organizations.  He said 

that the Strategic Plan acknowledged the importance of the Smithsonian’s many 

parts but recognized that its whole was greater than the sum of its assets.  Dr. 

Monfort said that the Smithsonian must better exploit its reputation as one of the 

world’s most trusted, impartial, knowledge‐based institutions.  He said that by 

expanding the ability of the Institution to raise awareness, share information, and 

leverage assets, the Smithsonian would realize its goal of being a global leader in 

understanding and sustaining a biodiverse planet.   

When asked about other institutions that do cutting‐edge research in biodiversity, 

Dr. Monfort commented on the Smithsonian’s unique status.  He said that more 

than 200 Smithsonian scientists currently work on initiatives related to 

biodiversity, adding that the already prodigious quantity of their work would be 

further enhanced and strengthened through increasing numbers of

interdisciplinary initiatives.  The Regents discussed the need for incentives that 

support collaborations between Smithsonian units and colleagues.   

The Regents discussed the plan to create Smithsonian centers dedicated to 

advancing interdisciplinary work.  Asked about possible concerns related to such 

centers, Dr. Monfort said that some Smithsonian units might fear that their 

authority could be compromised and that already limited resources could be 

redirected.  Dr. Alcock said that the Smithsonian’s ability to collaborate with 

external colleagues was likely stronger than its current capacity to advance 

interdisciplinary initiatives.  Dr. Monfort explained that such divisions exist within 

the larger scientific community, noting, for example, that it was not uncommon for 

scientists to be committed to either understanding or sustaining biodiversity, 

although research that advanced both was most profitable.  

Commenting on the centers, Secretary Clough said that the model for the proposed 

centers would speak to the power of the Institution and rely upon the depth of the 

Smithsonian’s disciplines.  He also explained that the centers would be 

administered by “facilitators.” 

Dr. Johnnetta Cole:

“Valuing World

Cultures”

Johnnetta Cole began her discussion of the third grand challenge, valuing world 

cultures, by posing a rhetorical question: Why do we have to value world cultures?  

She cited the late Dr. Martin Luther King and his assertion that mankind was 

“caught in an inescapable network of mutuality, tied in a single garment of destiny.  

Whatever affects one directly, affects all indirectly.”   

Dr. Cole said that mankind was increasingly—and irrevocably—interconnected and 

interdependent because of globalization and technological advances that support 

the immediate dissemination of ideas.  She also emphasized that virtual and near‐

instant contact do not necessarily foster mutual understanding and respect, and 

that intolerance and discrimination still govern the actions of many people.   
The Strategic Plan addresses this issue by noting that “one way to build respect is to 

raise awareness of the universality of art and creativity.”  Dr. Cole said that the 

Smithsonian, through its research, collections, exhibitions, and outreach initiatives, 

had the potential to present the diversity of world cultures with accuracy, insight, 

and reverence. 

She then presented several examples of the National Museum of African Art’s 

efforts to engender greater understanding of, respect for, and meaningful 

engagement with the world’s peoples and cultures.  Similar examples could be 

offered by the directors of every Smithsonian museum or center devoted to art, 

culture, or history. 

Dr. Cole described the recent opening of Mami Wata, an exhibition devoted to the 

presence of water spirits in Africa, the Caribbean, Latin America, the United States, 

and India.  She said that although the National Museum of African Art mounted the 

exhibition, the art of Mami Wata spoke to spiritual relationships that extended 

beyond the shores of Africa, reflecting the Museum’s commitment to expanding 

global understanding of migrations, diasporas, and the interaction of cultural 

groups.  Dr. Cole said that similar exhibitions in the future would benefit from the 

Strategic Plan’s focus on interdisciplinary collaborations and that an exhibition 

such as Mami Wata could draw from such resources as the National Museum of the 

American Indian, the Anacostia Community Museum, the National Museum of 

African American History and Culture, the Freer and Sackler Galleries, the Latino 

Center, the Pacific‐Asian American Program, the Smithsonian Center for Folklife 

and Cultural Heritage, the Smithsonian American Art Museum, and the National 

Museum of American History. 

She spoke of efforts to encourage cross‐disciplinary initiatives that promote 

appreciation for the interplay of and relationships between cultural and scientific 

knowledge.  The Museum is organizing African Cosmos, a major travelling exhibition 

and publication that will explore the historical legacy of African cultural astronomy 

and its intersection with traditional and contemporary African arts.  The exhibition 

also will employ new technologies and social media vehicles.   

Noting that organizers of African Cosmos were exploring collaborations with 

museums both within and outside of the Institution, Dr. Cole spoke of the 

importance of working across disciplines to document, understand, and preserve 

different types of knowledge systems.  She said that this commitment was reflected 

in the Strategic Plan’s promise to form “strategic alliances and partnerships with 

cultural communities and organizations, domestically and internationally, that 

advance cultural exchange and the ability of people to preserve, extend, and 

represent their own cultures.”  She added that the ability to understand and respect 

the cultures of the world would expand Americans’ capacity to better appreciate 

and value the diverse peoples that comprise their own culture. 

Asked about the resources needed to support the grand challenge of “valuing world 

cultures,” Dr. Cole said that a commitment to the better use of current resources 

would advance many, but not all, of the proposed initiatives.  She spoke of the need 

to support collaborations between the Smithsonian’s science units, which are better 

funded, and the history, arts, and culture units.  She also noted that a scarcity of 

resources also would encourage both internal and external partnerships.  
Representative Becerra commented that the Smithsonian’s ability to cultivate 

partnerships could be considered a matter of will, and agreed that encouraging 

collaborative initiatives would be essential to meeting the challenge of “valuing 

world cultures.” 

Dr. Elizabeth Broun:

“Understanding the

American Experience”

Betsy Broun then addressed the fourth grand challenge: understanding the 

American experience.  She said that the strategic planning process had reflected the 

American experience of democratic participation, and that supporting pan‐

Institutional buy‐in would contribute to the plan’s success in the coming years. 

Dr. Broun said that because of its talented staff and rich collections the Smithsonian 

was uniquely qualified to translate the complicated issues of national identity for 

the greater American public.  She spoke of the Smithsonian’s ability to cultivate 

formal and informal collaborations, both within the Institution and with outside 

partners, and cited the recent success of the Webinar on President Lincoln that 

benefited from the year‐long celebration of the 200th anniversary of his birth.  She 

noted the importance of being attuned to what the public wanted from the 

Smithsonian. 

Dr. Broun commented that the American “melting pot” was actually “chunky” in its 

textured diversity.  She said that American society has always been global because 

of its immigrant history, and talked about the defining characteristics of the 

American people.  She said that many Americans immigrated for the promise of a 

better life, and that America’s “legacy character” reflected the many reasons for 

their journeys.  Understanding the different immigrant experiences, such as the 

English settlers’ search for religious freedom or the French and Dutch explorers’ 

hunt for land and raw commodities, contributes to the understanding of such 

present day issues as religious fundamentalism, materialism, and disregard for the 

environment.  Likewise, the traditions of different immigrant groups contributed to 

artistic, political, and cultural legacies that are seen to this day. 

Dr. Broun also spoke of the nation’s immigrants who came against their will, 

namely African Americans, and how the “promise of a better life” was taken from 

Native Americans.  She said that the Smithsonian must continue to develop a 

leadership role in helping America come to terms with its legacies of injustice.  She 

cited the establishment of the National Museum of the Native American and the 

National Museum of African American History and Culture as efforts to help 

understand and mitigate the impact of those parts of the American experience. 

She noted other aspects of the American experience that could be addressed 

through interdisciplinary collaborations.  She said that land use and management 

issues could be considered through the dual perspectives of historic accounts of 

early immigrants’ encounters with nature in the new world and contemporary 

scientific research directed towards understanding and protecting the natural 

world.  She commented on technology’s impact on modern life and the precedents 

seen in the Industrial Revolution’s influence on art, science, and culture. 

Dr. Broun was asked about the existence of information “silos” and the ability of 

Smithsonian units to conduct interdisciplinary collaborations.  She noted that many 

collaborative relationships exist within the Smithsonian but receive little 

recognition.  When asked about parallels between the “chunky” American melting 
pot and the disparate parts of the Smithsonian, Dr. Broun said that it was important 

that the Strategic Plan support the integrity of individual units while fostering a 

commitment to the entire Institution. 

Discussion of the

Strategic Plan

After a brief break, the Board discussed the Strategic Plan.  Ms. Stonesifer reminded 

the Regents that their deliberations should especially consider whether or not the 

plan presented the right vision for the Smithsonian, and if it provided the 

appropriate framework to achieve that vision.  

The Regents reviewed the proposed budgets and projected funding sources for the 

plan.  The Secretary noted that the ranges in the anticipated budgets reflected a 

structured but flexible resourcing framework that anticipated such unknowns as 

how quickly the plan’s elements could be implemented.  He also reminded the 

Board that the financing of the Strategic Plan’s initiatives would be annually 

reviewed over the life of the plan. 

Ms. Stonesifer asked what would happen if the Smithsonian could not obtain the 

funding required to implement the Strategic Plan, or if only a small fraction were 

secured.  Secretary Clough noted that nearly all of the Strategic Plan’s goals were 

flexible and could be scaled to fit different funding environments.  He said that 

approximately 60 percent of the necessary funding would come from a mix of both 

new and older, redirected sources and that the remainder would come from 

entirely new sources.  He also said that, by design, the plan was structured to 

lessen, but not eliminate, the Smithsonian’s dependence on Federal funding.  The 

Board discussed incremental funding increases and agreed that the budgets would 

have to be regularly adjusted in response to such changes. 

Secretary Clough spoke of the Strategic Plan’s goals and their ability to support the 

generation of new financial resources.  He said that the plan’s implementation 

would capitalize on the Institution’s international reputation as an established, 

unbiased entity.  He also said that, within the Institution, the proposed centers 

would generate their own financial resources.  He added said that an inspirational 

plan would encourage buy‐in by staff and promote an entrepreneurial workforce.   

The Secretary was asked if the plan addressed the renovation of the Arts and 

Industries building.  He said that part of the “broadening access” budget would be 

devoted to the revitalization of the historic building. 

The Secretary said that further refinements and more specifics, such the metrics 

that would be applied to measure the plan’s performance, would be presented to 

the Board at its January and April 2010 meetings.  He noted, however, that some of 

the plan’s initiatives, such as the Giant Magellan Telescope, already had established 

measurables.   

The Regents were enthusiastic in their support for the Strategic Plan’s vision and 

framework, but they also considered whether it was realistic to advance a plan that 

was dependent upon both dwindling Federal resources and an uncertain economy.  

The Board discussed whether it could endorse the plan in spirit, or if support 

should only be conveyed upon the plan at a later stage in its development.  Ms. 

Stonesifer stated that, in good faith to Smithsonian staff, it was imperative that the 

Board determine if it could support the plan at this time. 
The Secretary said that the plan’s ability to cite clear and specific goals would 

inform and support each round of the Institution’s ongoing budget processes.  The 

Board agreed that, regardless of the pace that funding is secured, the plan would 

rationalize not only the budget processes, but all of the initiatives of the 

Smithsonian.   

The Regents commended the leadership of the Secretary in the creation of the plan.  

The Board also expressed its appreciation and respect for the participation of the 

Smithsonian staff in the plan’s development.  By unanimous vote, the Board then 

strongly endorsed and approved the Smithsonian’s Strategic Plan for fiscal years 

2010–15 and commended the Secretary and the entire staff for their valuable 

contributions to the Strategic Plan’s development. 

See attached Resolution 2009.09.21 (Minutes of the Board of Regents, Appendix A).

Session Adjournment Ms. Stonesifer adjourned the morning session at 1:00 p.m. and the Board went into 

executive session, which was adjourned at 1:55 p.m. 

AFTERNOON PLENARY SESSION

The Second Annual

Public Meeting of the

Board of Regents

The afternoon session, which was the second annual public meeting of the Board, 

was called to order by the Chancellor at 2:35 p.m.  The Chancellor welcomed the 

members of the audience, as well as those participating via live Webcast.  He 

explained the Board’s role in the governance of the Smithsonian and introduced the 

members of the Board of Regents, including those unable to be present for the 

meeting.   

Ms. Stonesifer said that the meeting demonstrated just one aspect of the Board’s 

commitment to supporting an ongoing dialogue with the public and other 

Smithsonian stakeholders.  She provided an overview of the morning session and 

invited the Secretary to speak in more depth about the Smithsonian Strategic Plan. 

Secretary Clough outlined the four themes, or “grand challenges,” of the Strategic 

Plan: unlocking the mysteries of the universe, understanding and sustaining a 

biodiverse planet, valuing world cultures, and understanding the American 

experience.  He discussed the plan’s commitment to increasing access to the 

Smithsonian and its resources, noting that the Institution’s Web, social media, and 

digitization initiatives would extend the reach of the Smithsonian. 

Chief of Staff to the Regents John Lapiana then explained the interactive format of 

the meeting.  He said that comments and questions could be submitted to the Board 

via e‐mail, in‐person using a microphone, or by comment cards made available to 

audience members, which would then be read by Mr. Lapiana.  He noted that 

members of the press had been invited to participate in the meeting.  He also 

explained the time and content constraints of the meeting, noting that only issues 

related to the Smithsonian would be discussed in this exchange. 
The Regents then responded to questions posed by the meeting’s physical and 

virtual participants.  A variety of questions were posed about a broad range of 

topics, such as the introduction of admission fees to Smithsonian museums, the 

future of the Arts and Industries building, and the Smithsonian’s commitment to 

green building practices. 

ADJOURNMENT

On behalf of the Board of Regents, the Chancellor thanked the audience for 

attending the meeting.  He also thanked the Regents for their participation and 

service.  The meeting was adjourned at 3:45 p.m. 

Respectfully Submitted, 

G. Wayne Clough 

Secretary 
MINUTES OF THE BOARD OF REGENTS

September 21, 2009

APPENDIX A 

APPROVED RESOLUTIONS

VOTED that the Board of Regents approves the Minutes of the Meeting of June 22, 2009.  

[2009.09.01] 

VOTED that the Board of Regents presents to Ira Rubinoff the Joseph Henry Medal in recognition of 

his many contributions to the Smithsonian Institution as the Director of the Smithsonian Tropical 

Research Institute beginning in 1974.  [2009.09.02] 

VOTED that the Board of Regents approves the budget of appropriated funds for fiscal year 2010 

when signed into law by the President and authorizes expenditures by the Secretary in accordance 

therewith.  Any material changes in program plans incorporated into this budget shall be made only 

with the approval of the Board of Regents or its Executive Committee.  [2009.09.03] 

VOTED that the Board of Regents approves the institutional budget for Trust funds for fiscal year 

2010 as reflected in this report and authorizes expenditures by the Secretary in accordance 

therewith.  Any material changes in program plans incorporated into this budget shall be made only 

with the approval of the Board of Regents or its Executive Committee.  [2009.09.04] 

VOTED that the Board of Regents approves a special payout from the Institution’s Endowment not 

to exceed $2.5 million to fund the fiscal year 2010 expenses of the National Campaign and other 

related development funding requirements.  [2009.09.05] 

VOTED that the Board of Regents reelects Patricia Q. Stonesifer as Chair of the Smithsonian 

Institution’s Board of Regents for a one‐year term effective January 25, 2010.  [2009.09.06] 

VOTED that the Board of Regents reelects Alan G. Spoon as Vice Chair of the Smithsonian 

Institution’s Board of Regents for a one‐year term effective January 25, 2010.  [2009.09.07] 

VOTED that the Board of Regents approves the appointment of George E. Hartman as a non‐Regent 

member to the Facilities Committee.  [2009.09.08] 

VOTED that the Board of Regents appoints Paul Neely as Chair and Judy S. Huret and Gary B. Moore 

as Vice Chairs of the Smithsonian National Board for three‐year terms effective October 1, 2009.  

[2009.09.09] 

VOTED that the Board of Regents appoints Diane Scott‐Jones to the Advisory Board of the 

Anacostia Community Museum for a three‐year term effective immediately and reappoints Jeannine 

Smith Clark, Arrington Dixon, Sam Gilliam, Frederick D. Gregory, Gloria Herndon, and Anas Shallal 

to the Advisory Board for three‐year terms effective October 1, 2009.  [2009.09.10] 
VOTED that the Board of Regents appoints Judith Jones, Nicholas Lowry, and Ellen Phelan and 

reappoints Warren Adelson, Lynn Johnston, and Barbara Mathes to the Board of Trustees of the 

Archives of American Art for three‐year terms effective immediately.  [2009.09.11] 

VOTED that the Board of Regents appoints Jameson McJunkin to the Advisory Board of the National 

Air and Space Museum for a three‐year term effective October 1, 2009.  [2009.09.12] 

VOTED that the Board of Regents appoints James T. Bartlett, Linda S. Ferber, Steven K. Hamp, and 

James Reinsch and reappoints Anthony C. Beilenson and Mallory Walker to the Commission of the 

National Portrait Gallery for four‐year terms effective immediately.  [2009.09.13] 

VOTED that the Board of Regents reappoints Kathryn S. Fuller and Sandra Day O’Connor to the 

Advisory Board of the National Museum of Natural History for three‐year terms effective 

immediately.  [2009.09.14] 

VOTED that the Board of Regents appoints John W. Butler to the Advisory Board of the Smithsonian 

Environmental Research Center for a three‐year term effective immediately.  [2009.09.15] 

VOTED that the Board of Regents appoints John Germano and Augustus C. Miller and reappoints 

Pamela J. Braden, Kay Dryden, Hope L. Furth, and George Gwynn Hill to the Advisory Board of 

Smithsonian Institution Libraries for three‐year terms effective January 1, 2010.  [2009.09.16] 

VOTED that the Board of Regents recognizes the generosity of Microsoft Corporation to the Office 

of the Chief Information Officer and accepts the terms of the gift agreement.  [2009.09.17] 

VOTED that the Board of Regents recognizes the generosity of the Hattie M. Strong Foundation to 

the National Zoological Park and, in honor of the foundation’s former president and chairman, 

names the Think Tank exhibit’s new classroom/lab The Hank Strong Enrichment Lab for 20 years 

or until the classroom/lab’s next major renovation, whichever is latest.  [2009.09.18] 

VOTED that the Board of Regents creates a true endowment and a quasi endowment to support a 

research fellowship at the National Zoological Park and authorizes their establishment using funds 

identified for this purpose.  Further, the Regents approve naming the fellowship The David 

Challinor Fellowship.  [2009.09.19] 

VOTED that the Board of Regents recognizes the generosity of Eric R. Keto to the Smithsonian 

Astrophysical Observatory and approves naming The Eric R. Keto Prize for Graduate Students in 

Theoretical Astrophysics, which is made possible by his gift.  The Board of Regents also approves 

the creation of an endowment to support this prize.  [2009.09.20] 

VOTED that the Board of Regents strongly endorses and approves the Smithsonian’s strategic plan 

for fiscal years 2010–2015 and commends the Secretary for his leadership and the entire staff for 

their valuable contributions toward its development.  [2009.09.21] 
DRAFT MINUTES OF THE JANUARY 6, 2010, EXECUTIVE COMMITTEE

MEETING

The Executive Committee (“the Committee”) of the Board of Regents of the Smithsonian 

Institution met on January 10, 2010, beginning at 11:35 a.m. at the Supreme Court in 

Washington, D.C., to discuss the agenda for the January 25, 2009, meeting of the Board of 

Regents. In attendance were Chancellor of the Board of Regents John G. Roberts Jr., Chief 

Justice of the United States; Board Chair Patricia Q. Stonesifer, and Committee member 

Alan G. Spoon.  Committee member Roger W. Sant was unable to attend.  Also present by 

invitation of the Committee were Secretary G. Wayne Clough, Counselor to the Chief Justice 

Jeffrey P. Minear, Chief of Staff to the Secretary Patricia Bartlett, Chief of Staff to the 

Regents John K. Lapiana, and General Counsel Judith Leonard.  

Ms. Stonesifer called the meeting to order. 

REVIEW OF JANUARY 24, 2010, REGENTS EMERITI PROGRAM

Ms. Stonesifer noted that all Regents emeriti have been invited to attend a briefing led by 

the Secretary on the Strategic Plan and dinner with the current Regents at the National 

Museum of Natural History.  At dinner, Cristián Samper, the Museum’s director, will discuss 

the challenges facing the Earth’s oceans.   

The briefing and dinner mark the first formal outreach to Regents emeriti and Ms. 

Stonesifer said she expects that the Regents will repeat the effort every three to five years.  

Regents emeriti, the Committee members agreed, are an important and underutilized 

Smithsonian stakeholder group.  Eleven Regent emeriti and their guests are expected to 

participate.  Smithsonian staff members have offered emeriti behind‐the‐scenes tours the 

following day.   

AGENDA FOR THE BOARD OF REGENTS’ MEETING

Ms. Stonesifer noted that the agenda was designed to engage the Regents with the 

Smithsonian’s strategic initiatives in science, particularly those in the area of biodiversity.  

Future Regents’ meetings will similarly focus on a single overarching topic, such as the 

American experience or world cultures.   

She then directed the Committee’s attention to the agenda for the meeting contained in the 

draft meeting book, previously distributed to the Committee on December 30, 2009. 

Report of the Chair of the Board and the Executive Committee.  Ms. Stonesifer said that 

in her report, she will lead a discussion of the 2009 Regents’ self‐assessment.  She noted 

that although the results were still being tallied, participation was expected to significantly 

exceed that in 2008.  

Report of the Secretary.  Secretary Clough explained that his report would consist of two

major parts.  The first would be an update of news from around the Smithsonian.  The 
“headline,” he said, would be that visitation is over 30 million for the first time since 2000.  

He said that maintaining that level for 2010 would be a challenge without hallmark events 

such as the Inauguration boosting visitation to Washington, D.C., but noted his belief that 

early results indicate that “last year was not a fluke.” 

In addition, the Secretary indicated he would highlight awards and citations the 

Smithsonian and its staff received in 2009 and recent senior hires, such as Bill Moggridge at 

Cooper‐Hewitt, National Design Museum.  Two nascent initiatives will also be discussed: 

the best practices review and a Smithsonian branding study.  In both instances, the 

Secretary stressed that the Regents’ input and guidance would be actively solicited. 

The second major part of the Secretary’s report will focus on the Smithsonian’s fiscal year 

2010 organizational goals.  Ms. Stonesifer noted that the Committee had been providing the 

Secretary with input as the goals were being developed and that the Secretary will ask the 

Regents to affirm the goals at the meeting.   

   

Finance Committee.  Ms. Stonesifer reviewed the draft Finance Committee report, 

focusing on the fiscal year 2011 budget negotiations with the Office of Management and 

Budget.  The “settlement,” if enacted by Congress, would represent a 5 percent increase 

over the fiscal year 2010 Federal budget.  After reviewing the fiscal year 2011 Federal 

facilities capital budget, Mr. Spoon suggested that staff create a more graphic way of 

presenting the status of capital projects.   

Ms. Stonesifer said that the meeting agenda had been drafted to also allow the Regents to 

conduct a meaningful conversation with the Secretary on the fiscal year 2012 Federal 

budget climate.   

Investment Committee.  Ms. Stonesifer said that Investment Committee Chair David Silfen 

would provide a detailed update on the Smithsonian’s Endowment and that committee’s 

asset allocation strategies.  

Lunch.  Secretary Clough noted that paleoanthropologist Rick Potts, the director of the 

Smithsonian’s Human Origins Program and curator of anthropology at the National 

Museum of Natural History, would be the Regents’ luncheon speaker.  Dr. Potts will discuss 

the creation of the David H. Koch Hall of Human Origins, which is scheduled to open in 

March 2010.  Committee members noted that the Hall may be controversial and stressed 

that the Smithsonian must be respectful of differing points of view.  The Secretary 

explained that significant outreach was conducted during the development of the Hall, 

including the establishment of a religious advisory group.   

Compensation and Human Resources.  Ms. Stonesifer explained that the Committee’s 

report will be conducted in executive session.  The Board will be asked to review the 

Secretary’s performance for fiscal year 2009 and approve his compensation for 2010.  In 

addition, the Board will review the compensation recommendations for approximately 15 

other senior officers.  Compensation recommendations, both Ms. Stonesifer and the 

Secretary noted, will reflect the increase range being applied to the Federal civil service 

and the poor economy.   
Strategic Planning and Programs Committee.  The Secretary and Strategic Planning and 

Programs Committee Chair Doris O. Matsui will lead a discussion on two recurring topics—

the proposed International Museum Training Program and the future of the Arts and 

Industries Building.  With regard to the latter, Secretary Clough noted that the 

presidentially appointed commission on a proposed National Museum of the American 

Latino informed the Smithsonian that the Arts and Industries Building would likely be 

identified as a potential location for the new museum.   

Governance and Nominating Committee.  Ms. Stonesifer explained that the Governance 

and Nominating Committee will recommend that the Board elect Robert P. Kogod as a 

member of the Executive Committee to replace Roger W. Sant, who is rotating off of that 

committee.  In addition, the Board will vote on committee assignments for 2010.  

Committee members also noted that Congressional Regent Christopher Dodd had 

announced earlier that morning his intention to not seek reelection as a Senator from 

Connecticut.  Senator Dodd’s retirement will result in a new Senate Regent being appointed 

in 2010.   

Smithsonian National Board Report.  Ms. Stonesifer noted that Paul Neely, the new chair 

of the Smithsonian National Board (SNB), will make his inaugural report at the meeting.  

The SNB is scheduled to meet on January 22–23, 2010, and, because the Secretary will be in 

Antarctica, Ms. Stonesifer has accepted an invitation to attend the SNB’s business session.   

Facilities Committee.  Ms. Stonesifer reviewed the Facilities Committee materials, noting 

that the Regents will be asked to approve a request for Congressional authorization for 

certain construction at the National Zoological Park’s facility in Front Royal, Virginia.  The 

Secretary pointed to the proposed presentation on sustainability at the Smithsonian and 

explained the key role sustainability plays in the Smithsonian’s fiscal years 2010–2015 

Strategic Plan.  

Advancement Committee.  Mr. Spoon provided a preview of the January 13, 2010, 

Advancement Committee meeting agenda, which will form the basis for his report to the 

Board.  He said that staff and the Smithsonian’s outside consultants have been looking 

closely at the proposed costs of the national campaign and potential methods of funding.  

Mr. Spoon noted that he is working with staff on a calendar for the Regents’ approval of 

campaign milestones, budgets, and funding sources.  Mr. Spoon noted that a fundamental 

concern is the need for an automated donor records management system.   

The Secretary noted that a latent benefit of the campaign after its completion will be a 

significantly larger donor base and a staff trained in sophisticated development processes.   

The meeting was concluded at 12:55 p.m. with members and the Secretary joining the 

Chancellor for lunch. 

Respectfully submitted,  

Patricia Q. Stonesifer, Chair 
REPORT OF THE SECRETARY

Secretary G. Wayne Clough will provide an oral update on the state of the Institution to the 

Board of Regents at its January 25, 2010, meeting.  The following materials will support his 

presentation. 

A. Smithsonian Institution Fiscal Year 2010 Annual Goals

Proposed Motion: VOTED that the Board of Regents affirms the Smithsonian  

  Institution Fiscal Year 2010 Annual Goals. 

B. Annual Report to the Board of Regents: Fiscal Year 2009
Smithsonian Institution FY 2010 Goals  

STRATEGIC

PLAN PRIORITY

GRAND CHALLENGES

Unlocking the

Mysteries of the

Universe

Understanding and

Sustaining a Biodiverse

Planet

Valuing World Cultures Understanding the

American Experience

Excellent Research

• Plan and/or conduct four grand challenge related conferences that convene thought leaders, scholars

& policy makers to deliberate on research agendas and policy issues that advance knowledge around

core challenge questions  

• Select measures of success:

o Increase of at least 2% over FY09 level of 1,725 research and scholarly publications;

o Increases of at least 2% over FY09 level of 782 proposal submissions;

o Under Secretary engagement with Directors and Research Centers resulting in specific

improvements to research infrastructure in areas such as indirect cost recovery that support

long term SI research excellence.    

Broadening Access

• Web/New Media/Visitation  

o Attract new and diverse on‐site and virtual visitors by enhancing the Smithsonian’s digital

presence and accessibility, by implementing new Web and media strategies; redesigning the

Web site; and expanding social networking activities. Specific, select measure of success will

be:

 Measure the success of the si.edu refresh using the Foresee Customer Satisfaction

Survey results.

• Specifically, achieve a 4 point improvement in the quarterly average

customer satisfaction index score by the end of FY 2010 over a final quarter

baseline index score of 79.

• Outreach & Exhibitions  

o Demonstrate SI scholarship excellence as measured by  launching new exhibits: real and

virtual, traveling and permanent; resulting in 72%  or better rating of excellent or superior by

visitors attending those exhibitions surveyed and at least 25% of exhibits receiving an 80% or

better rating of excellent or superior.

• Digitization  

o Develop standards on how to count digital assets for adoption across the Institution

o Develop pan‐Institutional digitization program policy

o Develop guidance on how to establish digitization priorities for implementation at unit level

                Specific select measures of success involving a standards driven digitization effort:

Complete at least 15%  (a 5% increase over FY09 levels) of the 1.9 million species web

pages that constitute the Encyclopedia of Life (EOL);

In history, art and culture museum collections, increase the number with digital     

records by 2%, over FY09 levels of 1.6M, the number of digital images by 10% over FY09

levels of 780K, the number digital records on the web by 2% over FY09 levels of 119K and

the number of digital images on the web by 8% over FY09 levels of 93.4K .

Revitalizing Education • Hire Director of Education and complete strategic vision for SI education

Crossing Boundaries

• Centers/Cross‐Unit

o Complete the Centers plan and establish leadership for the four Grand Challenge Centers by

June 2010 and complete two year centers plans by September 2010

• A&I

o Define the A&I program

o Complete planned FY2010 facility revitalization projects

• External Collaboration

o Leverage SI research capacity through new and expanded internal and external

collaborations, forming at least one new public‐private partnership and creating at least two

inter‐unit/interdisciplinary research teams around grand challenges
Smithsonian Institution FY 2010 Goals  

STRATEGIC

PLAN PRIORITY

GRAND CHALLENGES

Unlocking the

Mysteries of the

Universe

Understanding and

Sustaining a Biodiverse

Planet

Valuing World Cultures Understanding the

American Experience

Strengthening

Collections

• Implement SI‐wide collections assessment tool to identify collections priorities  

• Increase from 50% to 100% collecting units’ collections management policies that are compliant with

SD 600 by the end of FY 2010  

• Develop phase 1 collections plans (intellectual frameworks) for 75% of collecting units

Enabling Our Mission

Through

Organizational

Excellence

Enhancing Organizational Culture

• Strategic Plan Implementation  

o Realign Institution processes to conform with strategic plan priorities  

• Accountability/Internal Controls  

o Complete the funded critical milestones established in the internal control work plans for the

high risk processes for FY 2010  

• Efficiency/Admin Reform  

o Complete the best practices study and identify a plan of action based on the study’s

conclusions and recommendations

• Equal Opportunity

o Meet and Exceed Smithsonian’s supplier diversity goals, achieve at least 80% EEO training

compliance and improve the percentage of underrepresented  employee groups on decision

making boards and committees and in senior level positions.

• Safety

o Develop an action plan to address the recommendations of the independent asbestos

program evaluation and begin implementation

• Strategic Human Capital Development

o To monitor human resource alignment to strategic plan implementation, the Office of Human

Resources (OHR) will collect and report monthly to the Secretary on post buy out hiring using

the number of job announcements with specific recruitment factors tied to the strategic plan

grand challenges and priorities.  

o The Institution will track competency gaps in the information technology workforce as

measured by an annual IT competency assessment and semi‐annual reports on progress

toward closing gaps  

o The Institution will track training and development activities geared toward addressing

leadership competencies by conducting competency assessments of SLDP participants,

measuring levels of involvement in activities geared to leadership and collecting participant

evaluation of leadership development activities.   

Optimizing Assets

• Facilities Capital/ Maintenance; Technology Infrastructure; Workforce  

o Complete funded FY2010 milestones in existing operational plans; Select measures of success

include:

 (Facilities) Complete critical funded milestones needed  to achieve completion of

NMAAHC  by 2015  

 (Technology) Double the usage of EDAN in building SI websites which incorporate

digital images over the FY2009 level

 (Workforce) Increase the number of processed job requisitions meeting the OPM 80

day standard by 5% from 20% to 25%.

• Diversity  

o Identify and implement two new initiatives to increase diversity at the Institution
Smithsonian Institution FY 2010 Goals  

STRATEGIC

PLAN PRIORITY

GRAND CHALLENGES

Unlocking the

Mysteries of the

Universe

Understanding and

Sustaining a Biodiverse

Planet

Valuing World Cultures Understanding the

American Experience

• Sustainability  

o Establish SI‐wide sustainability program

o Meet the funded FY2010 milestones set in Executive Orders 13514 and 13423 on

sustainability

Ensuring Financial Strength

• Federal/Trust Budgets  

o Transform federal and trust budgets to align with strategic plan and Trust Finance Teams

recommendations

o Secretary and Under Secretaries to conduct monthly assessments of trust and federal budget

issues

• Fundraising/National Campaign  

o Stretch goal: $142M; includes $50M in pan institutional leadership gifts in support of

Campaign goals and assumes approximately $25M in new gifts for strategic plan priorities

over and above unit and center program goals.  

o Continue Campaign planning efforts and assess Development Systems and begin

implementation of results and recommendations.

o Identify and implement Campaign financing plan.

• Generate Revenue  

o SE to deliver a stretch goal of at least $26M in total net gain over the FY09 goal of $25M. SI to

launch a minimum of 2 new revenue generating initiatives that yield at least $500K in new

revenues  

• Grants/Contracts

o Increase grants and contracts awards by 4% over the FY09 goal of $125M.

o Increase of 3% (and no less than 2%) in SI grants and contracts expenditures over FY09 levels

of $124M.

• Endowment  

o Endowment performance to exceed the policy benchmark and perform in the top quartile of

comparable peers over the long term( exceed 5.5% real return), Short‐term cash portfolio will

deliver budget income of $3.4 million.(and exceed the ML T‐Bill Index)  
Annual Report to the Regents

Fiscal Year 2009

Kristofer Helgen of the Smithsonian’s National Museum of Natural History discovered a new species 

of giant rat while on a filmmaking expedition with the BBC to a remote rainforest in Papua New Guinea.

This photo shows BBC cameraman Gordon Buchanan with the 3.5-pound rodent. 

Photo by Jonny Keeling
Public Impact

Visits to the Smithsonian 

In fi scal year 2009, the Institution counted 30.0 million visits 

to its museums in Washington, D.C., and New York, plus the 

National Zoo and Steven F. Udvar-Hazy Center—up almost

25 percent from fi scal year 2008. Th is signifi cant jump in 

visitation was largely attributable to the reopening of the 

National Museum of American History, which saw nearly 

4.2 million visitors after being closed for extensive renovations 

throughout fi scal year 2008. 

Th e Smithsonian also counted approximately 4.75 million

visits to 52 traveling exhibitions mounted by the Smithsonian Institution Traveling Exhibition Service. 

Th e exhibitions were on view in 697 venues in all 50 states plus the District of Columbia, Guam, 

and American Samoa. Th ese fi gures include The Mask of Lincoln, a portfolio created for widespread 

distribution to schools, libraries, and museums across the country. 

Visits to Smithsonian Museums and Traveling Exhibitions

Fiscal Years 2007, 2008, and 2009 

Smithsonian Online

Smithsonian Web sites logged more than 188 million visits in fi scal year 2009, up 9 percent from the 

fiscal year 2008 figure. Among the online highlights for the fi scal year were the following: 

Th e Encyclopedia of Life (EOL), a consortium including the Smithsonian that seeks to make 

extensive information on all known species easily accessible online through a single Web site, now 

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2

3

4

5

6

7

8

African Art

Air and Space

Udvar -HazyAmerican History

American Indian -

Mall

Heye Center -NY

Anacostia

Cooper -Hewitt -NY

Freer/Sackler

Hirshhorn

Natural History

Postal

Renwick

Reynolds Center

Ripley CenterSI Castle

National Zoo

SITES

(In Millions)

FY 2007

FY 2008

FY 2009

Smithsonian Fiscal Year 2009 Highlights
features 170,000 expert-reviewed species pages. Th e public used tools such as Flickr to upload over 

30,000 images, videos, and other data into EOL. 

Th e Smithsonian’s central online education portal SmithsonianEducation.org was selected as a 

Landmark Website on the inaugural list of the American Association of School Librarians’ Best 

Websites for Teaching and Learning.

“Ghosts of a Chance,” an alternative reality game from the Smithsonian American Art Museum, 

attracted thousands of players online and hundreds to the fi nale at the Museum on October 25, 

2008. It received coverage in several national news outlets and was an Offi cial Honoree in the new 

Interactive Advertising category at the 13th Annual Webby Awards.

“The Secret in the Cellar,” an interactive, graphic novel–style Webcomic companion to the National 

Museum of Natural History exhibition Written in Bone, was chosen by the U.S. Distance Learning 

Association to receive a 2009 Best Practices in Distance Learning Programming Gold Award.

Th e Smithsonian Photography Initiative launched the second version of its click! photography changes 

everything Web site, which includes mini-documentaries on the power of photography featuring 

Smithsonian experts. Th e Initiative also launched a blog, The Bigger Picture. 

Th e Smithsonian Institution Scholarly Press and Smithsonian Institution Libraries completed the 

digitization of legacy volumes of the Smithsonian Contributions Series—a total of 1,072 volumes 

(more than 107,000 pages) of research in a wide range of subject areas—and posted PDFs online.

Th e Archives of American Art’s Oscar Bluemner Collections Online Web site won the Fredric M. 

Miller Finding Aid Award of the Mid-Atlantic Archives Conference. Th e Archives Web site also won 

an Honorable Mention in the 2009 Best on the Web Awards sponsored by the Archives Next blog. 

Exhibition Highlights

The National Museum of American History reopened 

on November 21, 2008, after its most extensive 

renovations in over 40 years. New highlights include 

a popular permanent exhibition, The Star-Spangled 

Banner: The Flag That Inspired the National 

Anthem, and the 3,500-square-foot Lemelson Hall of 

Invention, which made its debut with an exhibition 

titled Invention at Play.

Th e 2009 Smithsonian Folklife Festival (June 24–

July 5), spearheaded by the Center for Folklife and 

Cultural Heritage, attracted over one million visitors. It 

included three major programs: 

Wales Smithsonian Cymru, showcasing traditional and 

contemporary Welsh culture; 

Giving Voice: The Power of Words in African 

American Culture (with the National Museum of 

African American History and Culture); and 

Las Américas: Un Mundo Musical/The Americas: A 

Musical World (with the Smithsonian Latino Center).

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Smithsonian Fiscal Year 2009 Highlights
Among the new exhibitions at the National Museum of Natural History were Written in Bone: Forensic 

Files of the 17th-Century Chesapeake (opened February 7, 2009); Orchids through Darwin’s Eyes

(January 24–April 26, 2009), a collaboration between the Smithsonian Horticulture Services Division 

and U.S. Botanic Garden; and Since Darwin: The Evolution of Evolution (September 12, 2009–July 18, 

2010) to mark the 200th anniversary of Charles Darwin’s birth. 

Th e Smithsonian American Art Museum off ered a number of new exhibitions, including 1934: A 

New Deal for Artists (February 27, 2009–January 3, 2010), in honor of the 75th anniversary of the 

fi rst Federal program to support the arts, and Georgia O’Keeffe and Ansel Adams: Natural Affinities

(September 26, 2008–January 4, 2009), which highlighted these two influential artists’ appreciation of 

the natural world.

Among exhibition highlights at the National Air and Space Museum were Painted Apollo: The Art 

of Alan Bean (July 2009–mid-January 2010), which gives visitors a chance to see the moon through 

the eyes of an artist who walked on the lunar surface, and the opening of a public observatory on the 

southeast terrace of the Museum’s Mall building. 

The National Portrait Gallery featured several new exhibitions, including the 

much-discussed One Life: The Mask of Lincoln (November 7, 2008–July 5, 

2009), which chronicled Lincoln’s presidency and the use of photography to 

shape his identity as a national leader, and Inventing Marcel Duchamp: The 

Dynamics of Portraiture (March 27–August 2, 2009), which cast new light 

upon one of the most infl uential artists of the recent past. 

The Panza Collection (October 23, 2008–January 11, 2009) at the Hirshhorn 

Museum and Sculpture Garden presented 39 important artworks from the 

late 1960s and early 1970s recently acquired by the Museum. Also at the 

Museum, Louise Bourgeois (February 26–May 17, 2009) presented a major 

retrospective of the works of a leading fi gure in 20th-century art. 

The National Museum of African American History and Culture presented 

Road to Freedom: Photographs of the Civil Rights Movement, 1956–1968 in 

the International Gallery of the Ripley Center (November 8, 2008–March 9, 

2009) and The Scurlock Studio and Black Washington: Picturing the Promise 

(opened January 30, 2009) at the National Museum of American History. 

Th e Freer and Sackler Galleries opened several new exhibitions, including 

The Tsars and the East: Gifts from Turkey and Iran in the Moscow Kremlin

(May 9–September 13, 2009) and Garden and Cosmos: The Royal Paintings 

of Jodhpur (October 11, 2008–January 4, 2009), which showcased newly 

discovered paintings from the court collection of Marwar-Jodhpur. 

Fritz Scholder: Indian/Not Indian, on display at both the National Museum 

of the American Indian’s facility on the Mall and its George Gustav Heye 

Center in New York City (October 29, 2008–August 16, 2009), presented 

works from one of the most influential American artists of the 20th century. 

Also at the Museum, Ramp It Up: Skateboard Culture in Native America

(June 12–September 13, 2009) celebrated American Indian skate culture.

At the National Museum of African Art, Desert Jewels: North African Jewelry 

and Photography from the Xavier Guerrand-Hermès Collection (October 

8, 2008–January 11, 2009) offered striking displays of jewelry and photographs. The Museum also 

launched Artful Animals (July 1, 2009–July 2010), part of a collaborative project with performances, 

Smithsonian Fiscal Year 2009 Highlights
storytelling, and other activities at the National Postal Museum, National Zoo, Discovery Theater, and 

National Museum of Natural History. 

Staged Stories: Renwick Craft Invitational 2009 (August 7, 2009–January 3, 2010) at the Renwick 

Gallery celebrates the work of four artists whose work illuminates the shift in contemporary studio craft 

from functionality to narrative.

The Anacostia Community Museum presented Jubilee: African American Celebration (December 7, 

2008–September 20, 2009), which explored a wide variety of distinctive African American holidays and 

celebrations through images, artifacts, traditional songs and music, and folklore.

Cooper-Hewitt, National Design Museum was the debut venue for the national tour of Design for a 

Living World (May 14, 2009–January 4, 2010), which features works that use sustainable materials. It 

also unveiled several other new exhibitions, including Wall Stories: Children’s Wallpaper and Books

(October 3, 2008–April 5, 2009) and Fashioning Felt (March 16–September 7, 2009).

Th e National Postal Museum exhibition Delivering Hope: FDR and Stamps of the Great Depression

(June 9, 2009–June 6, 2010) shows how Franklin D. Roosevelt communicated with the American people 

through stamps, using them to convey messages of hope, optimism, and solidarity.

Th e Smithsonian Institution Libraries exhibition Darwin’s Legacy, on 

display at the National Museum of Natural History (September 10, 

2009–September 12, 2010), features the fi rst edition of Charles Darwin’s 

On the Origin of Species (1859), a book that changed the course of modern 

science. 

Collections Highlights

New acquisitions this year included the following: 

Th e portrait that came to symbolize the historic campaign of President 

Barack Obama found a permanent home at the National Portrait 

Gallery. Shepard Fairey’s iconic image was installed at the Gallery on 

January 17, 2009. Th e Gallery also unveiled portraits of President 

and Mrs. George W. Bush to wide acclaim.

Jao Chu, a female clouded leopard at the National Zoo’s Conservation and 

Research Center, gave birth to two male cubs on March 24, 2009. On 

January 10, 2009, the Zoo’s 26-year-old western lowland gorilla, Mandara, 

gave birth to a female baby sired by the Zoo’s 16-year-old male gorilla, 

Baraka. 

Th e Smithsonian American Art Museum acquired the estate archive of 

Nam June Paik (1932–2006), who became one of the most infl uential 

artists of his generation by transforming television and video into artists’ 

media. Th e Museum also installed the monumental sculpture Modern 

Head by Roy Lichtenstein outside the Donald W. Reynolds Center for 

American Art and Portraiture.

In other collections news, the National Museum of Natural History celebrated the 50th anniversary of 

the gift of the Hope Diamond to the Museum. To mark the occasion, the Museum commissioned three 

new temporary designs for the 45-carat blue diamond, which is the centerpiece of the National Gem 

Collection. 

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Smithsonian Fiscal Year 2009 Highlights
Education, Event, and Program Highlights

Th e three-day reopening festival for the 

National Museum of American History began 

with a ribbon-cutting ceremony featuring 

former Secretary of State Colin Powell reading 

the Gettysburg Address. Th e festivities, 

which featured performances, living history 

interpreters, and other events, drew over 

77,000 people.

As part of the January 2009 celebrations 

surrounding the inauguration of Barack 

Obama as the 44th President of the United 

States, a number of units featured special 

programs, including:

Th e National Museum of American History’s Renewing America’s Promise, a celebration with music, 

gallery talks, book signings, and actors portraying great Presidents of the past; 

Out of Many, a multicultural festival of music, dance, and storytelling spearheaded by the National 

Museum of the American Indian in collaboration with the Center for Folklife and Cultural Heritage, 

National Museum of African American History and Culture, Smithsonian Latino Center, and Asian 

Pacifi c American Program; and 

Th e debut of the Smithsonian Institution Traveling 

Exhibition Service’s unique mobile exhibition, Abraham 

Lincoln: Self-Made in America, housed in a 53-foot, 

double expandable trailer. 

Th e world premiere of Night at the Museum: Battle of the 

Smithsonian was held in May 2009 at the Lockheed Martin 

IMAX Th eater at the National Air and Space Museum. 

Th e red carpet gala was attended by stars Ben Stiller, Amy 

Adams, Hank Azaria, Robin Williams, Owen Wilson, and 

Ricky Gervais, and was covered by a worldwide media 

contingent. Th e fi lm went on to become a box-offi ce hit. 

Using a broad range of Smithsonian resources, the National 

Science Resources Center continued to expand its work to transform K–12 science education in the 

United States and the world. Highlights include the following: 

Developing 16 instructional units in the life, earth, and physical sciences that school districts and 

states can use to construct a comprehensive science program at the 6th–10th grade levels; 

Sponsoring its fi rst National Science Education Leadership Forum for national and state leaders to 

showcase current research and best practices in high school science education; 

Broadening work with university faculty and high school teachers through the Geneticists’ Educator 

Network Alliance; and 

Sponsoring the annual meeting of presidents of the National Academies of Sciences from Canada, 

the United States, and South America, resulting in the development of a plan to transform K–16 

science education programs in South America.

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Smithsonian Fiscal Year 2009 Highlights
In collaboration with the Smithsonian Tropical Research Institute and Museo del Canal Interoceánico de 

Panamá (a Smithsonian Affi liate), the Smithsonian Latino Center launched Panama at the Smithsonian, 

a series of 21 programs examining Panama’s social, cultural, and natural heritage. 

Educators from the National Portrait Gallery and Smithsonian American Art Museum worked with the 

Smithsonian Center for Education and Museum Studies to host the annual Smithsonian Teacher’s Night

event at the Reynolds Center, which drew more than 2,800 teachers. 

Among the activities held by the National Air and Space 

Museum to commemorate the 40th anniversary of the Apollo 

11 moon landing was the Museum’s annual John Glenn 

Space Lecture, which featured Apollo 11 astronauts Buzz 

Aldrin, Neil Armstrong, and Mike Collins. 

A memorandum of understanding between the National Zoo 

and George Mason University was fi nalized in October 2008 

to develop a comprehensive conservation education program 

for undergraduates, graduates, and professionals. 

Cooper-Hewitt, National Design Museum welcomed 9,000 

visitors during its 3rd annual National Design Week in 

October 2008, the highlight of which was the 9th annual 

National Design Awards gala. 

First Lady Michelle Obama, who served as honorary patron 

for the 10th National Design Awards program, hosted a 

White House ceremony for the 2009 award winners and 

fi nalists in July 2009. 

Among the highlights for Smithsonian Folkways Recordings this year were the following: 

Two Folkways albums were nominated for Grammy awards: From Now On: Michael Doucet and 

Amor, Dolor Y Lagrimas: Musica Ranchera: Mariachi Los Camperos de Nati Cano. Th e latter was a 

winner when the awards were announced in February 2009. 

Several Folkways recordings earned Independent Music Awards: Territory, by Tony Trischka; On The 

Right Road Now, by the Paschall Brothers; and ¡Ayombe! The Heart of Colombia’s Música Vallenata, by 

various Colombian artists. 

Nine Folkways albums were cited in Tom Moon’s popular new book 1,000 Recordings to Hear Before 

You Die: A Listener’s Life List. 

In May 2009, the redesigned Archives of American Art Journal was nominated by the Society of 

Publications Designers for the 2008 best redesign in the Non-Newstand category, and won inclusion in 

Step Into Design magazine’s 2009 list of “100 Trend-setting Projects.” 

Th e Society for History in the Federal Government awarded the Thomas Jefferson Prize for 

Documentary History to the Smithsonian Institution Archives’ Joseph Henry Papers Project. 

Outreach 

Smithsonian Affiliations off ers museums, cultural institutions, and educational organizations access to 

Smithsonian collections and resources. Th rough the Affi liations program, the Smithsonian fulfi lls its 

outreach mission of sharing artifacts, programs, and expertise with the nation and beyond. 

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Smithsonian Fiscal Year 2009 Highlights
In fi scal year 2009, the Smithsonian welcomed 10 new Affiliates. Th ere are currently 165 Affiliates 

in 41 states, the District of Columbia, Puerto Rico, and Panama. 

Smithsonian units loaned 413 artifacts to 15 Affiliates. Th ere are now 1,077 Smithsonian artifacts 

on view at Affi liates across the nation. 

Th e Smithsonian Institution Traveling Exhibition Service (SITES) continued to sustain a high level of 

outreach activity. In fi scal year 2009, SITES put the following new shows on the road: 

NASA | ART: 50 Years of Exploration launched a national 

tour at the Art League of Bonita Springs, Florida. 

Lasting Light: 125 Years of Grand Canyon Photography

had its debut in Phoenix, Arizona.

The Kennedys | Portrait of a Family: Photographs by 

Richard Avedon premiered at the Riverside Metropolitan 

Museum in Riverside, California, a Smithsonian Affi liate. 

Th e newest Museum on Main Street exhibition, Journey 

Stories, opened in small towns in Illinois, Kansas, 

Mississippi, North Dakota, and Oklahoma. 

American Letterpress: The Art of Hatch Show Print opened at the Experience Music Project in Seattle, 

Washington. 

Bittersweet Harvest: The Bracero Program, 1942–1964, a 

bilingual collaboration between the National Museum of 

American History and the Smithsonian Latino Center, debuted 

in Washington, D.C. Secretary of Labor Hilda Solis, whose father 

was a bracero, spoke at the press event for the show’s premiere. 

Th e Smithsonian Center for Education and Museum Studies 

(SCEMS) presented Abraham Lincoln and Climate Change, its first 

online Webinars in a new series funded by the Offi ce of the Chief 

Information Offi cer. Both featured live, participatory sessions (now 

archived for replay) with curators and educators from multiple 

Smithsonian units. Teachers and learners from every state and dozens 

of foreign countries participated. 

The Smithsonian Associates (TSA) continued to present a wide array of education programs in 

Washington, D.C., and around the country. 

More than 55,000 children and adults attended Discovery Theater performances on the National 

Mall and in schools, libraries, theaters, and community centers. 

Smithsonian Summer Camp celebrated its 40th year with over 60 camps and 1,100 children who 

explored the museums and exhibits around the National Mall. 

TSA brought Smithsonian experts to 17 communities in 10 states for a variety of programs in local 

schools, museums, and other cultural organizations. 

Th ree-day Teaching American History workshops were conducted in school districts in Louisiana, 

New York, and Michigan. 

In December 2008, in the Bhutanese capital of Th imphu, the Royal Government of Bhutan restaged the 

Center for Folklife and Cultural Heritage’s 2008 Folklife Festival program on the culture of Bhutan. 

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Smithsonian Fiscal Year 2009 Highlights
Th e National Zoo and the World Bank Group signed a memorandum of 

understanding to launch the Global Tiger Initiative to restore wild tiger 

populations. Th e Zoo also joined seven other organizations to form the 

Panama Amphibian Rescue and Conservation Project, which aims to save 

amphibians from the brink of extinction in the eastern region of Panama, an 

area rich with amphibian species.

Th e Encyclopedia of Life (EOL) signed a memorandum of understanding 

with the Chinese Academy of Sciences to initiate a regional EOL in China, 

bringing the number of regional EOLs to three. Discussions on other 

regional projects are under way in Central America, the Middle East, Indonesia, and South Africa. 

In February 2009, the National Museum of Natural 

History welcomed participants from Brazil, Colombia, 

the Dominican Republic, Ecuador, Panama, 

Suriname, Uruguay, and Venezuela to its Collections 

Management Training Program for Latin American 

and Caribbean museum professionals.

In April 2009, the Smithsonian Accessibility Program, 

in partnership with the John Heinz History Center, an 

Affi liate in Pittsburgh, hosted more than 350 students 

at Ability Pittsburgh, an event modeled on the 2007 

Individuals with Disabilities Education Act program at 

the National Air and Space Museum. 

A new 2,500-square-foot interactive traveling exhibition created by educators and scientists at the 

Smithsonian Astrophysical Observatory, Black Holes: Space Warps and Time Shifts, opened on June 21, 

2009, at the Boston Museum of Science. It began a three-year national tour in September 2009. 

In June 2009, Deputy Under Secretary for Science Scott Miller and Secretary Clough visited the Mpala 

Research Center in Nairobi, Kenya, to meet with Kenyan partners and to give the Secretary a fi rst-hand 

glimpse of the world-class research being done by Smithsonian scientists and their collaborators.

Th e Freer and Sackler Galleries launched Asia After Dark, an after-hours series designed to engage a 

new generation of young professional museumgoers and donors. Th e fi rst two events on June 4 and 

September 3, 2009, were well-attended and garnered an exceptional amount of media attention. 

Scholarship

Science Units

Smithsonian Astrophysical Observatory (SAO)

In fi scal year 2009, SAO scientists published 401 articles in peer-reviewed journals, with another 558 

articles in non-peer-reviewed journals, books, and conference proceedings. SAO research was the subject 

of 15 articles in Nature and 12 in the New York Times. 

Smithsonian Fiscal Year 2009 Highlights
Gamma rays are the most energetic form of electromagnetic 

radiation known. SAO astronomers have used VERITAS 

(Very Energetic Radiation Imaging Telescope Array System), 

an array of four 12-meter telescopes at the Fred L. Whipple 

Observatory in Arizona, to obtain an image of gamma ray 

emission that provides deeper understanding of these rays’ 

origins. 

Dark energy is the name given to the mysterious process 

that drives the outward acceleration of the universe. By 

studying distant clusters of galaxies using the Chandra Xray Observatory administered by SAO, astronomers have provided the fi rst direct evidence for cosmic 

acceleration since the original discovery of dark energy. 

SAO’s Submillimeter Array in Hawaii has brought a new level of precision to the study of circumstellar 

disks, the material surrounding young stars that have the potential to be converted into planets. With it 

has come a deeper understanding of how planets form. 

SAO astronomers’ high-precision measurements of the Milky Way have demonstrated that our galaxy is 

about 50 percent larger than had been believed, implying that it is rotating faster than previously thought 

and that the likelihood of collisions with other galaxies is greater than suspected. 

National Zoological Park (NZP)

NZP scientists produced 114 publications in fi scal year 2009, including 103 peer-reviewed journal 

articles (21 of which appeared in high-impact journals), fi ve book chapters, and two books. 

Scientists at the Zoo’s Conservation and Research Center (CRC) successfully performed an artifi cial 

insemination on a white-naped crane. Th e resulting female chick is one of the most genetically valuable 

cranes in the North American Species Survival Program. 

In May 2009, Dr. JoGayle Howard conducted fi ve artifi cial 

inseminations on black-footed ferrets at the CRC using 

cryopreserved semen that was frozen 10–20 years ago. Th is 

resulted in the birth of a genetically valuable litter. 

In June 2009, a group led by NZP’s Melissa Songer 

completed a highly successful Przewalski’s horse–collaring 

mission in China, deploying satellite collars on four family 

groups that are being released from a new site in the 

Kalameili Nature Reserve. 

National Air and Space Museum (NASM) 

Th e second Messenger Mission fl yby of Mercury on October 6, 2008, returned more than 1,200 images 

of a side of the planet not previously seen by spacecraft. Sarah Andre and Tom Watters of NASM’s 

Center for Earth and Planetary Studies (CEPS) are involved in Messenger data analysis.

CEPS tallied 41 peer-reviewed publications in fi scal year 2009, four of which were published in the 

high-impact journals Science and Nature—including a cover story in the May 2009 issue of the former. 

Th e Division of Space History published six new books (plus four new editions), while the Division of 

Aeronautics published five new books. 

Smithsonian Fiscal Year 2009 Highlights
Roger Launius of NASM’s Division of Space History won the American Astronautical Society’s 2009 

John F. Kennedy Astronautics Award for his “signifi cant and impressive contributions to the enterprise of 

space exploration, both as an author and a positive infl uence on the public’s understanding of the history 

of and rationale for today’s space programs.”

Smithsonian Tropical Research Institute (STRI)

Carlos Jaramillo and his colleagues discovered a fossil 

record of the “world’s largest anaconda” (Titanoboa 

cerrejonensi) in Cerrejón, Colombia, publishing their 

results in Nature. Th e snake, which lived about 

58–60 million years ago, reached 13 meters in length 

and weighed more than a ton. 

STRI’s Latin American Plant Initiative (LAPI) held its 

second annual meeting in Buenos Aires in November 

2008. More than 138 botanists and bioinformatics specialists attended, representing 93 institutions and 

44 countries.

Several STRI scientists were recognized for professional excellence:

In January 2009, Dolores R. Piperno, a STRI-NMNH archaeologist, received the Pomerance Award 

for Scientifi c Contribution to Archaeology from the Archaeological Institute of America. 

Staff scientist William F. Laurance and research associate Thomas E. Lovejoy won the inaugural 

BBVA Foundation Frontiers of Knowledge Award in Ecology and Conservation Biology. 

Staff scientist Stephen P. Hubbell received the Eminent Ecologist Award from the Ecological Society 

of America. 

National Museum of Natural History (NMNH) 

During fiscal year 2009, NMNH-based scientists authored or coauthored 479 publications, of which 

200 appeared in high-impact scientific journals. 

Kristofer Helgen of the Smithsonian’s National Museum of 

Natural History discovered a new species of giant rat while on 

a filmmaking expedition with the BBC in Papua New Guinea. 

Among the other potentially new species discovered on the 

expedition were approximately 16 species of frogs, one species of 

gecko, three species of fish, and 20 species of insects and spiders. 

Using 200-million-year-old fossil leaves collected in Greenland, 

a team of researchers from NMNH, Oxford, and University 

College Dublin unearthed evidence of a sudden collapse in plant 

biodiversity in the distant past, which raises new concerns about global warming. A likely culprit for this 

collapse, as reported in Science, was a relatively small rise in carbon dioxide.

The first results of the Global Mammal Assessment, a five-year effort to review the biology and 

conservation status of all mammal species worldwide, were summarized in an article published in Science. 

Among the coauthors were NMNH’s Kristopher Helgen and Louise Emmons. 

The new book Flagship of a Fleet: A Korea Gallery Guide, by Christopher Lotis and Paul Michael Taylor 

of the Anthropology Department, documents objects on display in the NMNH Korea Gallery. 

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Smithsonian Fiscal Year 2009 Highlights
A discovery of 1.5 million-year-old early human 

footprints, recently described in Science, was made in the 

region of northern Kenya where NMNH paleobiologist 

Kay Behrensmeyer first found a fossilized trail of early 

human footprints in 1978. The new footprints indicate 

a fully bipedal gait, a long stride, and an arch much like 

that of the modern human foot.

Museum Conservation Institute (MCI) 

In fiscal year 2009, MCI worked on 180 projects with 38 Smithsonian museums, research centers, and 

offices, as well as the FBI, National Gallery of Art, Getty Conservation Institute, Library of Congress, 

National Park Service, U.S. House of Representatives, U.S. Senate Office of the Curator, U.S. Capitol, 

Walters Art Gallery, and Folger Shakespeare Library. 

MCI researchers produced 26 publications in peer-reviewed journals, plus three books and catalogues, 

13 book chapters, and two edited books. 

Using a new approach to surface imaging called Reflectance 

Transformation Imaging (RTI), MCI staff helped decipher 

inscriptions on a unique stone tablet dating from the earliest English 

occupation of Jamestown in about 1600.

MCI is using non-destructive techniques to examine the Janssen 

Shakespeare Portrait, believed to be a 1610 work that was 

subsequently doctored to refl ect the playwright’s appearance in later 

life. Th ese will yield information for dating the painting and its 

alterations without damaging or even touching the work.

MCI scientists, working with the National Zoo, National Museum 

of Natural History, Federal Aviation Administration, and National 

Transportation Safety Board, analyzed feather remains from the

January 2009 US Airways bird strike. Th e results will help wildlife 

professionals develop techniques to reduce the risk of such collisions 

in the future.

Smithsonian Environmental Research Center (SERC) 

SERC scientists published more than 110 papers in peer-reviewed journals and books in January–

September 2009, averaging an annual rate of 6.8 papers per lead scientist. 

SERC has reported a new invasive species in San Francisco Bay—an algal kelp species from the western 

Pacifi c, Undaria pinnatifida. Scientists at SERC’s satellite laboratory in Tiburon, California, were quoted 

in a story in the New York Times on the new invasion.

Microbial ecologist Cindy Gilmour has been awarded a two-year, $900,000 contract for research on 

mercury movement and accumulation in coastal ecosystems in Maine.

Landscape ecologists Kathy Boomer, Tom Jordan, and Don Weller published a series of papers discussing 

nutrient and sediment discharges from Chesapeake Bay watersheds as major sources of environmental 

problems in the Bay. SERC scientists have also developed landscape models that greatly improve upon 

existing models’ success in predicting such discharges.

Smithsonian Fiscal Year 2009 Highlights
Other Science Research 

Smithsonian at the Poles, a symposium sponsored by the 

Offi ce of the Under Secretary for Science with support 

from the National Science Foundation, was convened 

to celebrate the fourth International Polar Year. Th e 

proceedings, Smithsonian at the Poles: Contributions to 

International Polar Year Science, highlight contributions 

to polar research from the Smithsonian as well as 

collaborating organizations.

Art Units 

Louise Cort, David Rehfuss, and George Williams of the Freer and Sackler Galleries led a worldwide 

Webinar on the ceramics of southeast Asia, which drew nearly 100 participants from as far away as India 

and Cambodia. The Galleries also hosted a symposium on medieval Japanese religious and narrative 

painting, organized in conjunction with the Sackler Gallery exhibition The Tale of Shuten Doji. 

Th e Archives of American Art published Speaking of Art: 

Selections from the Archives of American Art’s Oral History 

Collection, 1958–2008 and cosponsored (with the City 

University of New York) a symposium on “Contemporary Art 

and the Archive” in New York City. 

To complement its exhibition One Life: The Mask of Lincoln,

the National Portrait Gallery presented a symposium consisting 

of four lectures that examined aspects of Lincoln and his times. 

Th ree books from Gallery scholars came out: Inventing Marcel 

Duchamp: The Dynamics of Portraiture, edited by Anne Collins 

Goodyear and James W. McManus; Reflections/Refractions: 

Self-Portraiture in the Twentieth Century, edited by Wendy Wick 

Reaves; and Faces of the Frontier: Photographic Portraits from the 

American West, 1845–1924 by Frank H. Goodyear III. 

Cooper-Hewitt, National Design Museum published 

catalogues for its exhibitions Fashioning Felt and Design for a 

Living World. 

A volume coauthored by Christine Mullen Kreamer of the 

National Museum of African Art, Inscribing Meaning: Writing and Graphic Systems in African Art, was 

recommended by the New York Times’s art critic Holland Cotter in the newspaper’s 2008 Holiday Guide 

as “art history for a globally tuned-in world.” 

The Hirshhorn Museum and Sculpture Garden published The Panza Collection, a catalogue of artwork 

from the collection of Count Giuseppe Panza di Biumo.

Smithsonian American Art Museum staff gave more than 50 lectures, workshops, and panel discussions 

on scholarly and professional topics, and published three books: 1934: A New Deal for Artists, by Ann 

Prentice Wagner; Staged Stories: Renwick Craft Invitational 2009, by Kate Bonansinga; and Studio 

Furniture of the Renwick Gallery: Smithsonian American Art Museum, by Oscar Fitzgerald.

Smithsonian Fiscal Year 2009 Highlights
History and Culture Units

Th e National Museum of African American History and 

Culture presented “1968 and Beyond: A Symposium on 

the Impact of the Black Power Movement on America.”

Scholars from the Museum and the National Museum of 

American History contributed to The Scurlock Studio and 

Black Washington: Picturing the Promise, which was selected 

by Booklist as one of the 10 best black nonfi ction titles 

of 2009 and nominated for the Smithsonian’s Scholarly 

Publication Award.

The National Museum of the American Indian 

Publications Department released five new titles in 2009: 

The Land Has Memory; Most Serene Republics: Edgar Heap 

of Birds; Mother Earth, Father Skyline (revised version); 

NMAI Souvenir Book (Spanish translation); and IndiVisible: 

African-Native American Lives in the Americas. Th e 

Museum also hosted “Mother Earth: Confronting the Challenge of Climate Change,” a symposium 

exploring how indigenous peoples are responding to climate change. Th e Museum’s Heye Center hosted 

the symposium “Indian/Not Indian: Native Identity in the 21st Century” in collaboration with New York 

University and the Public Th eater.

National Museum of American History scholars produced 48 print publications in fiscal year 2009, in 

addition to engaging in numerous other scholarly activities such as presentations and panel appearances. 

Among the highlights were Pete Daniel’s presidential address to the Organization of American Historians 

and Bart C. Hacker’s editing of “Th e Social History of Military Technology,” a special issue of ICON: 

Journal of the International Committee for the History of Technology.

Marcel Chotkowski LaFollette, a research associate of the Smithsonian Institution Archives, published 

the book Science on the Air: Popularizers and Personalities on Radio and Early Television, based largely on 

the Archives’ collection of records of the Science Service.

Franklin Odo, director of the Smithsonian Asian Pacific American 

Program, is completing a book on Japanese immigrant folksongs of 

the late 19th and early 20th centuries. Th ese “holehole bushi” were 

stark commentaries on life and work on Hawaii’s sugar plantations. 

Th e Smithsonian Center for Folklife and Cultural Heritage’s

Daniel Sheehy published “From Grants to Grammys: Leveraging 

Cultural Energy” in Mid Atlantic Forum, and the Center’s Jim 

Deutsch wrote an article for The Jim Crow Encyclopedia and penned 

a review that was published in the December 2008 issue of Choice: 

Current Reviews for Academic Libraries. 

To launch of its Community Documentation Center initiative, the 

Anacostia Community Museum is undertaking a documentation 

project of religious institutions in Washington, D.C.’s Ward 8. 

The 1933 Chicago World’s Fair: A Century of Progress by Cheryl 

Ganz, chief curator of philately at the National Postal Museum, 

was published by the University of Illinois Press. 

Smithsonian Fiscal Year 2009 Highlights
Management Excellence

Leadership Milestones

David M. Rubenstein, Cofounder and Managing Director 

of Th e Carlyle Group, was appointed a citizen member of the 

Board of Regents in May 2009. Rubenstein also serves on the 

boards of the Johns Hopkins University, Lincoln Center for the 

Performing Arts, Kennedy Center for the Performing Arts, Dance 

Th eatre of Harlem, and Duke University, as well as the boards of 

the Smithsonian’s National Museum of American History and 

National Museum of Natural History. 

France A. Córdova, President of Purdue University in Indiana, was 

appointed a citizen member of the Board of Regents in september 

2009. Dr. Córdova is an internationally recognized astrophysicist, 

and a national leader in postsecondary education. She also serves 

on numerous state and national boards, including the Board of 

Trustees for Mayo Clinic and the National Science Board. 

Eva J. Pell was named Under Secretary for Science, and will 

start in January 2010. She comes to the Smithsonian from 

Pennsylvania State University, where she was senior vice president 

and dean of the Graduate School, spearheading the development 

of cross-disciplinary centers for life sciences, materials, energy 

and the environment, social sciences, cyber science, and arts and 

humanities.

Alison McNally agreed in January 2009 to remain a permanent 

part of the Castle management team as Under Secretary for 

Finance and Administration. She had been serving as Acting 

Under Secretary since October 2007. 

Johnnetta Cole became Director of the National Museum of 

African Art. She had been serving as Board Chair of the Johnnetta 

B. Cole Global Diversity and Inclusion Institute at Bennett 

College for Women, where she was President from 2002 to 2007. 

Previously, she served as Presidential Distinguished Professor at 

Emory University and as President of Spelman College.

Richard Koshalek became Director of the Hirshhorn Museum and 

Sculpture Garden. Previously he was President of the Art Center 

College of Design in Pasadena, California; before that, he served as 

Director of the Museum of Contemporary Art in Los Angeles.

Eduardo Díaz became Director of the Smithsonian Latino Center. 

Díaz previously served as Executive Director of the National 

Hispanic Cultural Center in Albuquerque, New Mexico—the 

largest Latino cultural center in the United States. 

Smithsonian Fiscal Year 2009 Highlights
Judith E. Leonard became General Counsel in June 2009. She 

previously served as Vice President for Legal Aff airs and General 

Counsel at the University of Arizona. Prior to this, she spent 10 

years in Washington, D.C., at posts in the U.S. Department of 

Education and the Offi ce of National Drug Control Policy. 

Tom Ott was named President of Smithsonian Enterprises. 

Ott had been serving as Acting Chief Executive Offi cer of 

Smithsonian Enterprises since August 2007, during which time 

he oversaw a thorough reorganization of the unit formerly known 

as Smithsonian Business Ventures. 

Information Technology

To complement the Smithsonian-wide Strategic Plan, strategic plans in two key areas of information 

technology were crafted by Smithsonian personnel in fi scal year 2009:

A Web and new media strategic plan was fi nalized after gathering input from 55 units in a 

series of fi ve moderated workshops and building on ideas generated at a “Smithsonian 2.0” 

conference. 

Th e fi nal draft of a digitization strategic plan was submitted to the Secretary. It defi nes a mission 

and vision for digitization across the Institution, with strategic goals and accompanying objectives. 

Th e development of the Enterprise Digital Asset Net (EDAN) is complete. EDAN provides a common 

set of Web services for accessing digital images and metadata, thus enabling increased reuse and reducing 

the strain on enterprise storage and backup requirements.

Th e Smithsonian implemented Cisco MeetingPlace so that staff may conduct virtual meetings from their 

computers, reducing the need to travel—whether across the Mall or across the country.

Visitors to Smithsonian Institution museums on the Mall now have cellular telephone coverage with 

the completion of the Common Wireless Access System. Th e project was funded by wireless cell 

phone providers AT&T, Verizon Wireless, and Sprint/Nextel. T-Mobile, the last major carrier, recently 

confi rmed that it will participate in the program as well. 

Major Construction, Renovation, and Facilities Projects

Arts and Industries Building (AIB) 

$75 million estimated cost for roof and window replacement and structural upgrades

Current planning is focused on developing programmatic uses for AIB that will support the Institution’s 

Strategic Plan and fi t the building’s architecture, history, and fl oor plan. In the meantime, planning 

for $75 million in roof and window replacement, structural upgrades, and selective interior demolition 

is proceeding. An historic structure report and existing conditions investigation have been completed. 

Design of the roof and windows has begun, with construction to start in fi scal year 2010. Th anks to 

funding received through the American Recovery and Reinvestment Act, construction has begun on 

masonry repairs and interior demolition and hazmat removal. 

•

•

Smithsonian Fiscal Year 2009 Highlights
National Museum of African American History and Culture

$500 million total estimated project cost

In April 2009, the team of Freelon Adjaye 

Bond/SmithGroup was selected to design 

the newest Smithsonian museum from 

a fi eld of six renowned architects. Th e 

selected architects will be under contract 

by the second quarter of fi scal year 2010, 

at which time the conceptual design of 

the museum building and second phase of 

the Environmental Impact Statement will 

begin. Th e new Museum is scheduled to 

open to the public in December 2015. 

National Museum of American History, Kenneth E. Behring Center

Revitalization of west wing public space, package III: $60 million total project cost

With the completion and reopening of the Museum’s central core in November 2008, the focus of public 

space renewal will shift to modernization of the three fl oors of the west wing. A contract for this project 

with an architect/engineer fi rm was signed in September 2009, and schematic design began in November 

2009. Th e Federal appropriation for design is approximately $6 million in fi scal years 2009–2010, with 

multiyear construction funding in fi scal years 2011–2013. 

National Zoological Park, Seal / Sea Lion Exhibit 

$40.0 million total estimated project cost

Th e Zoo’s seal /sea lion exhibit, which dates from 1987, is in need of major revitalization to meet current 

standards of the U.S. Department of Agriculture and the Association of Zoos and Aquariums. Further, 

the pathway through the exhibit area is diffi cult for strollers and people with disabilities. In addition 

to bringing the facility into compliance with codes and standards for animal care and accessibility, 

this project will upgrade underground utilities. It received fi nal design approvals from both the U.S. 

Commission of Fine Arts and the National Capital Planning Commission in 2009. A construction 

contract was awarded in September 2009. Th e non-capital, interpretive component of the project will be 

funded with $1 million in Trust funds; the Federal capital component is approximately $39 million, with 

multi-year construction funding in fi scal years 2009–2011. 

National Zoological Park, Asia Trail II: Elephant Trails

$52.4 million estimated total project and program cost

Th e second phase of the Asia Trail project will renovate the historic elephant house and enlarge yard space 

at a projected cost of $52.4 million—$37.6 million Federal (received in fi scal years 2006–2010) and 

$14.8 million Trust. Construction began in March 2008 and is scheduled for completion in April 2011. 

Phase One is substantially complete, and the elephants will move into their new holding area (elephant 

barn) in early January 2010. Phase Two, including renovation of the Elephant Community Center, will 

commence after the elephants have acclimated to their new barn and a determination has been made 

about how to proceed with a new contractor, given the quality of the current contractor’s performance.

Smithsonian Fiscal Year 2009 Highlights
National Zoological Park, General Services Building 

$28.4 million total estimated project cost

Design is continuing for structural repairs, fi re-protection improvements, and safety upgrades at the Zoo’s 

General Services Building, which houses vital functions (such as the animal nutrition commissary, FONZ 

merchandise warehouse, shops, and offi ces) that must remain operational throughout construction. 

Th e phased project will entail the permanent relocation of the vehicle maintenance branch to the 

Smithsonian’s Suitland Collections Center and the temporary relocation of other units to swing space. 

Construction authorization request for a new vehicle maintenance facility in Suitland has been approved 

by the House and is currently under review by the Senate. Project design will be complete by April 2010, 

and structural renovation is expected to begin in 2012. Federal funding has been requested for fi scal 

years 2012–2014.

Donald W. Reynolds Center for American Art and Portraiture

$19.5 million total estimated project cost 

By agreement with the National Capital Planning Commission, the Smithsonian will complete the 

renovation of the Reynolds Center with the reconstruction of the F Street stairs and the addition of 

landscaping and security. Fiscal year 2016 estimates for the associated costs are $9.5 million in Federal 

funds and $10.0 million in Trust funds. 

Cooper-Hewitt, National Design Museum

$57 million total estimated project cost

Transfer of collections to a storage facility was completed in March 2009. Design for the Fox-Miller 

townhouses renovation is complete, but questions about scope and budget have delayed the project 

award, with construction now expected to start in January 2010. Design for the Carnegie Mansion 

renovation is scheduled for completion in March 2010, with its construction contract expected to be 

awarded in March 2011. Of the $21 million requirement for Federal funds, $2.9 million has been 

received and spent on design and collections storage, $1.7 million was appropriated in fi scal year 2009 

for the Fox-Miller work, and the balance is programmed in fi scal years 2011–2013. Of the $36 million 

in required private funds, over $28 million has been identifi ed in gifts and pledges.

National Air and Space Museum—Steven F. Udvar-Hazy Center, Phase 2

$80.9 million total project cost

Phase 2 of the Udvar-Hazy Center at Dulles International Airport is under construction. It will add 

237,000 square feet of collections care space to the current facility, including a restoration hangar, storage 

and processing space, conservation laboratory, and archives. Completion is expected in mid-2011; total 

project costs include $67.8 million Trust and $13.1 million Federal.

Museum Support Center of the National Museum of Natural History, Pod 3

$42.6 million total estimated project cost

In July 2008, the Smithsonian awarded a $22.6 million construction contract for renovations to Pod 3 

in Suitland, Maryland. Th e renovated Pod 3, on schedule for completion in March 2010, will provide 

a consolidated site for frozen, refrigerated, gas-preserved, and dry collections, allowing the Smithsonian 

to vacate leased properties and free up congested space in several museums. With 85 percent of 

construction completed in September 2009, more than $15 million of shelving/racking, collections and 

Smithsonian Fiscal Year 2009 Highlights
meteorite cases, and freezers are now being installed. Transfers of collections from the Mall are expected 

to be completed after July 2011; estimated moving costs are $5 million.

Smithsonian Environmental Research Center, Mathias Replacement Laboratory Project

$41.5 million total estimated project cost

Th e Smithsonian Environmental Research Center is eliminating unsafe trailers (which currently 

house 25 percent of its lab space and 65 percent of its offi ce space), renovating and reconfi guring the 

existing Mathias Lab, and creating replacement 

laboratories to meet nationally recognized 

standards. Th e 85,000 square-foot laboratory 

and support space will employ sustainable 

technologies and building materials that will 

yield substantial reductions in energy and 

maintenance costs. Schematic design was 

completed in September 2009, with fi nal 

design completion scheduled for mid-2010. 

Construction is scheduled to commence in early 

2011 and to be completed in 2013.

Permanent Physical Security Barriers

$55 million total project cost

Th e fi rst phase of construction of security barriers at the National Museum of Natural History is 

complete, and the fi nal phase will be awarded for construction in fi scal year 2010. Construction 

of barriers for all sides of the National Museum of American History is complete except the south 

side, where it will be completed in spring 2010. Construction on security barriers for the Castle and 

Quadrangle is scheduled to start in fi scal year 2013. Design and construction of off -Mall barriers will 

follow in order of priority.

Smithsonian Tropical Research Institute, Gamboa Laboratory Facilities 

$19.1 million total estimated project cost

With the acquisition of 172.5 acres in Gamboa from the Republic of Panama in 2007, the Smithsonian 

Tropical Research Institute is proceeding with the replacement of existing laboratory and offi ce facilities 

that have outgrown their space and would need major infrastructure adjustments to support modern 

terrestrial tropical science. A new facility on the Gamboa site, funded with $15.67 million in Federal 

and $3.46 million in Trust funds, will be dedicated to terrestrial science. Programming and design of the 

laboratory are under way, with the fi rst construction procurement actions scheduled for fi scal year 2010.

American Recovery and Reinvestment Act of 2009 Projects 

$25.0 million total project cost

Th e American Recovery and Reinvestment Act, signed into law on February 17, 2009, provided 

$25 million for urgently needed repair and revitalization projects throughout the Smithsonian that 

were not covered by fi scal year 2009 funding. Most of these projects involve safety/code compliance 

or sustainability and energy effi ciency. By the end of fi scal year 2009, 22 of 23 project contract actions 

totaling $20.78 million (more than 83 percent of the total) were under contract. Th e award of the 

Smithsonian Fiscal Year 2009 Highlights
fi nal contract in October 2009 completed these actions. Construction on all projects is scheduled to 

be fi nished by early fi scal year 2011. In compliance with the Act, the Smithsonian is reporting on jobs 

created and expenditure of funds.

Sustainability

Around the Smithsonian, 17 green building projects are in progress or planned. Th irty-two staff from 

the Offi ce of Planning and Project Management and the Offi ce of Engineering, Design and Construction 

(both within the Offi ce of Facilities Engineering and Operations, or OFEO) have earned the distinction 

of becoming Leadership in Energy and Environmental Design (LEED)–accredited professionals, based 

on the internationally recognized rating system of the U.S. Green Building Council. In August 2009, 

OFEO published a Sustainable Buildings Implementation Plan that responds to a Federal environmental 

stewardship goal and identifi es a path to greening 15 percent of the eligible Smithsonian building 

inventory by 2015. Th e plan focuses on earning LEED certifi cations not only for new construction and 

renovation projects, but also for existing buildings. 

Smithsonian Fiscal Year 2009 Highlights
STRATEGIC FOCUS ON SMITHSONIAN SCIENCE: BIODIVERSITY

Under Secretary for Science Eva Pell will lead a discussion of Smithsonian science 

initiatives in support of the Smithsonian Strategic Plan and, in particular, the grand 

challenge “understanding and sustaining a biodiverse planet.”  Also participating will be 

Smithsonian scientists Francisco Dallmeier, Vicki A. Funk, Mary Hagedorn, and Michael A. 

Lang.  Short biographies of each follow the paper. 
Strategic Focus on

Smithsonian Science: Smithsonian Science:

Bi di it Bi

odiversit

y

Eva J. Pell

Under Secretary for Science
United Nations United Nations
Grand Challenge:

Discovering and Understand

Life s’ Diversity Diversity
Strategic plan 

• How biologically diverse is the Earth, and how 

diversity change across geography and throug

• What does the planet’s history teach us about 

imp g acts of environmental change on the evolu

extinction of species?

• How do we better understand the life How do we better understand the life-sustainin

sustainin

services of ecosystems, and best sustain their contributions to human well-being locally and 
Strategic plan 

• How do we secure the survival and recovery o

ecosystems, habitats, and species?

• How can science better forecast environmenta

and mitig p ate the adverse impacts of human-indchange on biological diversity?
What is “biodiversity”

• Genetic variability within species• Diversity of species• Ecosystems and landscapes Ecosystems and landscapes
Biodiversity

1. Terrestrial matter Terrestrial matter

• Above ground Above ground

• Below ground Below ground

2. Marine matter Marine matter

3. Animals, microbes, and plants
Why care about biodiversity?

• Wholesome food• Drinkable water• Breathable air Breathable air• Stable climate for 

• Forestry• Agriculture• Fisheries

• Waste decomposition• Bioremediation• Invasive species• Pest control Pest control• Ecotourism• Pharmaceuticals• Renewable feed stocks Renewable feed stocks• Enviro-friendly manufacturing proce
Why care about biodiversity?

• Pollinators

• 1/3 of crop production is insect pollina• Worldwide value ca. $117 billion

• USA incurs > $100 billion loss to invasive USA incurs

> $100 billion loss to invasive

species
Biodiversity influenced by extinction

introductions
Where does Smithsonian Institut

fit in and why? fit in and why?

11
Smithsonian has unique capabilit

• Understanding the past (paleontology, arch

and collections provide this context)

• Monitoring the present• Predicting the future 
What are the tools needed to do this 

Macroscopic Microscopi
A macroscopic approac

Smithsonian Institution Smithsonian Institution

Global Earth Observatories (S

In 1980 Steve Hubbell and Robin In 1980 Steve Hubbell Hubbell and Robin 

established a 50 established a 50-hectare (124 hectare (124-ac

forest plot on forest plot on Barro Colorado Isla

Colorado Isla

Panama. Panama. 

Every tree Every tree > 1 cm diameter was measured, tagged and mapped, measured, tagged and mapped, censused censused every 5 years. every 5 years.

This standard method has avalidated as a approach to sthe impact of climate changclimate climate chang

forests.forests. Barro Colorado Island
SIGEO Network
A molecular approach: DNA A molecular approach: DNA Barcodi

Barcodi

• Short DNA sequences used for species identifica

Short DNA sequences used for species identifica

practical identification tool

• New character for traditional taxonomy; new leve

New character for traditional taxonomy; new leve

information information from old collections information from old collections collections

• Ke

y p link in bioinformatics about s link in bioinformatics about s

pecies 

(Enc

yclo

Life)

• SI hosts secretariat for Consortium for the Barco

SI hosts secretariat secretariat for Consortium Consortium for the Barco

Barco

• Links SI collections, research, and outreach with 

Links SI collections, research, and outreach with 

and basic users
Smithsonian biodiversity resear

• National Museum of Natural History National Museum of Natural History• National Zoological Park National Zoological Park• Smithsonian Tropical Research Institute (Panama

Smithsonian Tropical Research Institute (Panama

• Smithsonian Environmental Research Center (Ma

Smithsonian Smithsonian Environmental Environmental Research Research Center (Ma

(Ma

• Other field stations: Other field stations:

• Terrestrial: Guyana, Kenya, Gabon Terrestrial: Guyana, Kenya, Gabon• Marine Science Network: SERC, Florida, Belize, STRI Marine Science Network: SERC, Florida, Belize, STRI
National Museum of Natural Histo

Collections and Exhibits

• 126 million specimens 126 million specimens• S t an

t O H ll (2008) Ocean 

H

all (2008)

• Human Origins (2010) Human Origins (2010)• Dinosaur Hall Dinosaur Hall 

(tbd)

ResearchResearch

• CollectionsCollections-based biodiversity based biodiversity• Anthropology Anthropology• Geology Geology• Paleobiology Paleobiology
Federal partnerships

• Partnerships with resident agencies USDA, NOA

Partnerships with resident agencies USDA, NOAWalter Reed, USGS. DNA Walter Reed, USGS. DNA barcoding barcoding for comme

for comme

im

p p (, q , ) ortant s ortant s

pecies 

(fish, mos

quitoes, fruit flies fruit flies

)

• Bird strikes (US Airways flight 1549) by migratory Bird strikes (US Airways flight 1549) by migratory 

Canada geese: NMNH/NZP forensic ornithology collaboration.
National Zoological Park

Collections and Facilities

• 2,000 live animals, 400 species 2,000 live animals, 400 species• Acreage:Acreage: Acreage:

• CRC Front Royal (3,200) CRC Front Royal (3,200)• Rock Creek (160) Rock Creek (160)

• National Ecological Observatory National Ecological Observatory 

Network (NEON)

ResearchResearch

• Animal Health Animal Health• Conservation Science Conservation Science• Reproductive Science Reproductive Science • Wildlife ecology Wildlife ecology• Landscape Ecology Landscape Ecology
Saving Species on the Brink

• Black-footed ferret: 18 individuals remained in wi

footed ferret: 18 individuals remained in wi

514 ferrets have been born at NZP; 200 CRC ani514 ferrets ferrets have been born at NZP; 200 CRC ani

ani

been released into the wild.

• Przewalski’s Przewalski’s horse: NZP leads Species Survival P

horse: NZP leads Species Survival P

for this critically endangered species.

• ScimitarScimitar-horned oryx: NZP recent reintroduction o

: NZP recent reintroduction o

species to Tunisia. species to Tunisia.

Black-footed ferret

Przewalski’s horse Sc
Smithsonian Tropical Research Ins

Facilities Panama Facilities Panama-wide 

(since 1923) 

ResearchResearch

• Archaeology and Anthropology Archaeology and Anthropology• BehavioralBehavioral Ecology Ecology• Paleoecology• Forest and Marine Ecology Forest and Marine Ecology• Evolutionary biology Evolutionary biology
Smithsonian Environmental Researc

Smithsonian Environmental Researc

FacilitiesFacilities

• 3,200 acres of land and 14 miles of 3,200 acres of land and 14 miles of 

protected shoreline protected shoreline - Chesapeake Chesapeake

Bay

ResearchResearch

• Global Climate Change Global Climate Change• Estuarine and Forest Ecology Estuarine and Forest Ecology • Invasion Studies Invasion Studies• Plant Physiology Plant Physiology

Emerging National Applications

• Studies of marine invasive species Studies of marine invasive species 

could reduce annual economic 

losses of billions of dollars
Smithsonian Environmental Researc

World’s longest (26-year) field experime(Bert Drake, PI) on rising CO

2 (Bert Drake, PI) on rising CO2
Biodiversity – Outreach

• University partnerships (e.g., George Mason U• National Science Resources Center (NSRC)• Exhibits• Shared resources Shared resources• Fellowships
Outreach Outreach - The Encyclopedia of Life The Encyclopedia of Life

• On-line resource: plants, animals, line resource: plants, animals, 

microorganisms

• Web pages for all 1.8 million known Web pages for all 1.8 million known 

species

• Millions more yet to be described Millions more yet to be described• Freely available Freely available• Accessible from a common portal Accessible from a common portal• Includes Biodiversity Heritage Includes Biodiversity Heritage 

Library

Outreach - Science Symposia

Laurance, W.F. and S.J. W2009. New Insights into thBiodiversity Crisis. ConseBiology 23(6): 1382-1457
Dr. Francisco Dallmeier, who received his Ph.D. in 

Wildlife Management from Colorado State University, has 

been a conservation biologist with the Smithsonian 

Institution for the past 24 years.  Dr. Dallmeier is the head 

of the Center for Conservation Education and 

Sustainability (CCES) of the National Zoological Park 

(NZP).  CCES provides research and conservation 

approaches for sustainable development and world‐class 

professional and academic programs for conservation 

practitioners.  He has developed training programs 

associated to biodiversity research, monitoring, and 

conservation.  He has taught several hundred university students and professionals, and he 

lectures frequently at professional conferences and to lay audiences.  His academic 

programs have trained several hundred professionals from over 30 countries.   

For nearly 15 years Dr. Dallmeier has been instrumental in forging multi‐million dollar 

partnerships between the Smithsonian and the energy industry, so that biodiversity 

conservation is integrated into mainstream development.  Over 40 Smithsonian researchers 

from across the Institution have participated in research and capacity‐building projects 

associated with these programs, including graduate students and post‐doctoral fellows in 

Gabon, Peru, and the United States.  Dr. Dallmeier led and coordinated the successful 

nomination of the Smithsonian Conservation and Research Center (CRC) as a core site for 

the Mid‐Atlantic National Science Foundation—National Ecological Observatory Network 

(NEON).  NEON is a continental‐scale research infrastructure for ecological research and 

education.  With his National Zoo colleagues he has been formulating and implementing the 

multi‐million dollar partnership in conservation studies with George Mason University.  

This partnership will provide academic programs and facilities for national and 

international students and professionals.  Recently he and NZP colleagues formalized a 

multi‐million dollar partnership with the World Bank to implement the Global Tiger 

Initiative—Conservation and Development Network.  This long‐term project will integrate 

biodiversity conservation into sustainable development in 13 tiger‐range countries and 

provide capacity building for trainers, practitioners, and regional leaders.  

He represents the Smithsonian Institution on advisory boards for both conservation and 

governmental organizations.  He graduated last year from the first Smithsonian Leadership 

Development Program (2008–2009).  As a conservation biologist, his work has broad 

conservation implications for education and sustainable development, which has 

contributed to the implementation of science‐based best practices in sensitive rainforest 

areas worldwide.  He has worked with UNESCO, Environment Canada, and a regional 

network of partners to develop forest biodiversity monitoring programs and capacity 

building for a network of sites globally.  Together with Environment Canada in 2008, he led 

the International Symposium on Climate Change and Biodiversity in the Americas. 
Dr. Vicki A. Funk received her Ph.D. in Botany from Ohio State University.  Following a 

postdoctoral year at the New York Botanical Garden, she joined the staff at the National 

Museum of Natural History, where she is now a senior 

scientist and curator.  She divides her research time into two 

major categories: 1) the origin and evolution of the 

Compostiae (i.e., artichokes, dandelions, daisies, sunflowers),

the largest flowering plant family in the world and 2) the 

documentation, study, and preservation of the biodiversity of 

the Guiana Shield area of South America.  As a systematist 

and biodiversity specialist, her work helps provide the 

foundation for research in organismal biology and breaks 

new ground in efforts to understand the tree of life and how 

ecosystems are assembled.   

Dr. Funk’s collecting expeditions have taken her all over the 

world, most recently to Tibet, South Africa, northeastern South America, Patagonia, and the 

Pacific.  Throughout her career she has collected or arranged donations of tens of 

thousands of specimens.  Dr. Funk has published nearly 200 papers and several books, 

most recently the 2009 book Systematics, Evolution & Biogeography of the Compositae.  She 

has given over 125 invited presentations, organized numerous meetings and symposia, and 

served as the advisor for 15 postdoctoral fellows, most of whom have gone on to academic 

positions.  Over the years she has received research and infrastructure grants from many 

sources including USAID, the Royal Bank of Canada, the National Science Foundation (NSF), 

and the National Geographic Society, as well as internal sources.  Two of these grants were 

used to build the Center for the Study of Biological Diversity at the University of Guyana in 

Georgetown, Guyana.  Most recently she was the co–principal investigator on a successful 

grant to coordinate the efforts of the Compositae global checklist, virtual key, and EOL 

efforts.  Dr. Funk has been president of three large scientific societies and has been 

involved in numerous activities in the scientific community and at the Smithsonian.  She 

has been elected a fellow of American Association for the Advancement of Science and the 

Linnean Society of London, and an honorary member of the Society of Systematic 

Biologists.  Within the Smithsonian she has received an award for outstanding research 

from the National Museum of Natural History and the Secretary’s Award for Excellence.  In 

her spare time she serves on review panels, councils, and boards of conservation and 

governmental organizations.  Her outreach activities also include numerous public talks 

and two Web sites: http://botany.si.edu/bdg/index.html and www.compositae.com. 
Dr. Mary Hagedorn, who received her Ph.D. in marine 

biology from Scripps Institution of Oceanography, has 

been a research scientist at the Smithsonian Institution 

for the past 17 years.  She has worked with aquatic 

ecosystems around the world, from the Amazon to 

Africa.  Dr. Hagedorn is a successful researcher and 

active grant writer, maintaining an active laboratory 

with graduate students and post‐doctoral fellows.  She 

has taught many university‐level classes and lectures 

frequently to lay audiences.  She has received several 

multi‐million dollar research grants from the National 

Institutes of Health to support her research and has 

collaborators in over 30 institutions throughout the 

United States, Caribbean, Europe, and Latin America.  In 

2000 she received the prestigious George E. Burch Fellowship in Theoretic Medicine and 

Affiliated Theoretic Sciences and in 2005 was nominated for the Pew Fellowship in Marine 

Conservation.  In addition, Dr. Hagedorn sits on the scientific boards of both conservation 

and governmental organizations.   

As a marine physiologist, her work has broad conservation implications for the oceans.  She 

is one of the world’s authorities on aquatic cryopreservation and has developed parallel 

programs related to the conservation of fish and coral species using human fertility 

techniques and cryobiology (the study of cells under ultra‐cold conditions).  Some examples 

of the impacts of this cutting‐edge research are to stabilize and cryopreserve many of the 

fish lines used to study human diseases, such as skin and colon cancer, and the creation of 

the world’s first genome repository for endangered coral species.  This coral germplasm has 

been distributed to three frozen repositories around the world and could one day help 

reseed Earth’s oceans.   

Michael A. Lang, the director of the Smithsonian Marine 

Science Network since 1998, was recruited by the Office of 

the Under Secretary for Science in 1990 to direct the 

Smithsonian’s pan‐institutional Scientific Diving Program.  

He has served as the office’s executive officer for scientific 

programs (2001–2002); provided senior executive staff 

support to the Smithsonian Science Commission (2001–

2003); served as the contracting officer’s technical 

representative to the National Academy of Sciences and 

National Academy of Public Administration Smithsonian 

Science Studies (2002); and acted as the office’s symposium 

chair for Smithsonian at the Poles: Contributions to

International Polar Year Science (2007), Smithsonian Marine

Science (2007), coordinator of Tropical Extinction

Symposium (2009), and symposium co‐host and 

international board member of the Antarctic Treaty Summit  
50th Anniversary, Smithsonian Institution (2009).  Through an interagency agreement with 

the NSF Office of Polar Programs, he has directed the U.S. Antarctic Program scientific 

diving program since 2001.  Mr. Lang also serves as the Office of the Under Secretary for 

Science’s representative on the Institutional Review Board for Human Subjects Research. 

Mr. Lang came to the Smithsonian from San Diego State University, where he received a 

B.Sc. in zoology, conducted postgraduate studies in marine ecology, and served as a staff 

marine biologist and collections curator from 1982 to 1989.  He has served as president of 

the American Academy of Underwater Sciences; chairman of the Board of Divers Alert 

Network; and board member of many organizations, such as the Undersea and Hyperbaric 

Medical Society, Our World Underwater Scholarship Society, Ocean Futures Foundation, 

Coral Reef Alliance, and the AT50Summit.  He also has served as an expert consultant to the 

Nature Conservancy and the U.S. Coast Guard. 

Some of Mr. Lang’s scientific collaborations include projects with, among others, U.S. 

National Park Service, National Oceanographic and Atmospheric Administration (NOAA), 

Aquarium et Musée Océanographique Monaco, UNESCO‐Paris, The Nature Conservancy, 

USAID, USGS‐Biological Resource Division, NSF Office of Polar Programs, and U.S. Navy 

Experimental Diving Unit.  Mr. Lang has published over 50 papers and received research 

awards from numerous organizations, including Sea Grant, NOAA, Diving Equipment and 

Marketing Association, American Academy of Underwater Sciences, Divers Alert Network, 

and the NSF Office of Polar Programs and Division of Ocean Sciences.  Professional 

acknowledgements include DAN/Rolex Diver of the Year, UHMS Craig Hoffmann Award, 

AAUS Conrad Limbaugh Award for Scientific Diving Leadership, and DEMA Reaching Out 

Award/Diving Hall of Fame, among others.  Mr. Lang has been featured in Smithsonian

magazine and Smithsonian Channel’s Spotlight on Science.  He speaks five languages, is an 

internationally requested speaker, and publishes www.si.edu/marinescience, 

www.si.edu/dive and www.si.edu/ipy for the Office of the Under Secretary for Science. 
REPORT OF THE FINANCE COMMITTEE

The Finance Committee met on January 20, 2010.  Committee Chair Roger Sant will provide 

an oral summary of the Committee’s discussions to the Board of Regents at its January 25, 

2010, meeting.  The following papers will support the Board’s discussions. 

A. Fiscal Year 2009 Year­End Report

B. Fiscal Year 2011 Federal Budget

Proposed Motion: VOTED that the Board of Regents authorizes the Secretary to  

          submit to Congress a Federal budget request for appropriated 

funds for fiscal year 2011 as part of the President’s budget in the 

amount negotiated with OMB and authorizes the Secretary to 

inform OMB and Congress fully about the implications of the 

President’s budget for the mission and priorities of the 

Smithsonian. 

C. Minutes of the August 24, 2009, Committee Meeting
Fiscal Year 2009 Year-End Financial Report (Unaudited Results) 

At year‐end, the Smithsonian Institution’s financial position was strong, in spite of the challenging economic conditions that 

Smithsonian’s financial stability throughout the year. The financial outcome was aided in large part by an increase in museu

nearly 30 million; the implementation of aggressive cost reductions and revenue‐maximization initiatives tied to key events b

Enterprises; the rebound in the financial markets that boosted the Endowment’s value; and unflagging support by private an

who continued to give generously to the Smithsonian.

Financial PerformanceFederal Highlights

• The Omnibus Appropriations Act enacted in March 2009 provided the Smithsonian with a 7 percent increase in Fede

the prior year and restored base funding for existing public programs, education, and research that had been cut.

• The appropriation covered most of the mandated Federal pay raise, the increase in mandatory expenses associated 

necessary increases in security and maintenance, enabling the Institution to suspend the Federal hiring freeze impos

start of the fiscal year.

• Though the Federal appropriation included $15 million for the Legacy Fund, these funds were not available because 

donors to contribute to infrastructure repairs, which proved unattractive to them.

• The Institution received $25 million for Smithsonian facilities revitalization projects from the American Recovery and 

Trust Highlights

• Smithsonian Enterprises (SE) achieved a net gain finish of $27.0 million—$0.3 million better than the prior year and j

fiscal year 2009 budget, even though business revenue was down $19.7 million from budget. This finish reflected thaggressive mitigation efforts and the effects of increased museum visitation.

• The Endowment was valued at $884 million at year‐end, down less than 3 percent from the end of fiscal year 2008.

• Private support exceeded the adjusted annual goal for fund raising of $120 million by nearly 5.5 percent, ending the 

(undiscounted).

• To close the projected Central Trust budget gap, unrestricted Trust spending was curtailed by $7 million by freezing p

bonuses for certain Trust executives, eliminating some vacant positions, and shifting funding for some unrestricted C

alternative funding sources.

ObservationsLike most Federal agencies, the Institution struggles to meet its day‐to‐day needs, such as pay raises and facilities revitalizati

management recognized that the structural imbalance in the Central Trust budget is unsustainable, and commissioned two T

propose recommended actions. The Institution is moving proactively to consider every possible option for stimulating new a

unrestricted Trust resources.
Fiscal Year 2009 Year-End Financial Report (Unaudited Results) 

Operating BudgetThis report provides the unaudited fiscal year 

results and compares these results against the 

The FY 2009 Operating Budget ended the year 

Revenue• Federal:

− Federal revenue is recognized when a

− Salaries and Expenses (S&E) spending 

five‐month‐long Continuing Resolutio

− The S&E budget also understated cap

IT, equipment, and other assets.

− Spending associated with the Recove

Capital revenue, as did significantly hi

on capital projects from prior years.

• Trust:

− In spite of the dismal U.S. economic c

exceeded budget by $12.6 million, or 

− The increase in restricted Trust reven

from private sector donors and U.S. g

− The decrease in unrestricted Trust rev

unit‐generated income and Endowme

increased interest and Presidential In

Expenses• Federal:

− The variance reflects the increase in s

to‐day operations and a slight decrea

depreciation associated with complet

• Trust:

− Restricted spending was slower than 

up nearly 6 percent over FY 2008 spe

− Unrestricted expenses ended nearly o

expenses between Central and units’ 

keep Central Trust spending in balanc

− The depreciation variance reflects inc

associated with the Star‐Spangled Ba

exhibitions.

FY 2009

Budget

FY 2009

Actual Variance

Revenue 1,018.0 1,085.6 67.6

Expenses 958.2 950.5 (7.7)

Gain/(Loss) 59.7 135.1 75.3

FY 2009

Budget

FY 2009

Actual Variance Percent of Total

Federal

Salaries and Expenses 576.9 595.4 18.5 55%

Facilities Capital 113.8 150.3 36.5 14%

Subtotal, Federal 690.7 745.8 55.1 69%

Trust

Restricted 252.8 269.3 16.6 25%

Unrestricted 74.5 70.5 (4.0) 6%

Subtotal, Trust 327.3 339.9 12.6 31%

TOTAL REVENUE 1,018.0 1,085.6 67.6

FY 2009

Budget

FY 2009

Actual Variance Percent of Total

Federal

Salaries and Expenses 579.9 581.8 (1.9) 61%

Depreciation 74.9 74.8 0.1 8%

Subtotal, Federal 654.8 656.6 (1.8) 69%

Trust

Restricted 219.5 205.2 14.3 22%

Unrestricted 64.3 63.9 0.4 7%

Depreciation 19.6 24.9 (5.3) 3%

Subtotal, Trust 303.4 293.9 9.5 31%

‐

TOTAL EXPENSES 958.2 950.5 7.7

‐

59.7 135.1 75.3

January 13, 2010

REVENUESUMMARYEXPENSESGAIN/(LOSS)

Smithsonian Institution

FY 2009 Operating Budget ($M)

Generally Accepted Accounting Principles (GAAP)
Fiscal Year 2009 Year-End Financial Report (Unaudited Results) 

Funds Available and Trust ExpensesIn FY 2009, the Institution had $1,096.2 million 

obligate from Federal appropriations and Trus

Federal and Trust funds received in prior years 

obligation.Federal Appropriation

• The Congress provided funding totaling $7

represented a 7 percent increase compare

• The Federal appropriation included two a

− $15 million for the Legacy Fund, thou

available for obligation because of the 

− $25 million for facilities revitalization 

Recovery and Reinvestment Act of 20

Trust Restricted Revenue

• Restricted Trust revenue totaled $269.3 m

25 percent of total amounts available to b

generating activities in FY 2009 were:

− Government grants/contracts: $110.6 

− Contributions: $115.5 million, discoun

Trust Unrestricted Revenue

• Central: The Endowment payout of $17.7 

largest revenue component in FY 2009.

• Units: Smithsonian Enterprises represente

component at $11.9 million, up 12 percen

Trust Unrestricted Expenses

• Extraordinary efforts by both central man

required to balance the unrestricted reven

Central Trust budget.

• A total of $1.1 million was spent to develo

for the National Campaign.

Central Trust Position: Surp

The $2 million reported fund balance was udown, FY 2010 expenses through internal fa modest management contingency. These Trust budget surplus of $365,000.

FY 2009

Budget

FY 2009

Actual

Variance

Variance

Percent

Percent of

Total

Salaries and Expenses 588.4 593.4 5.0 78%

Facilities Capital 128.0 123.0 (5.0) 16%

Legacy Fund ‐ 15.0 15.0 0%

American Recovery Act ‐ 25.0 25.0 0%TOTAL 716.4 756.4 40.0 5%

FY 2009

Budget

FY 2009

Actual

Variance

Variance

Percent

Percent of

Total

Endowment Payout 30.0 29.7 (0.3) 11%

Govt Grants and Contracts 103.3 110.6 7.3 41%

Contributions 105.6 115.5 9.8 43%Short‐Term Investments 5.3 3.4 (1.9) 1%

Victor Bldg Sale Proceeds 3.9 3.9 ‐ 1%

Other 4.7 6.3 1.6 2%

TOTAL 252.8 269.3 16.6 7%

FY 2009

Budget

FY 2009

Actual

Variance

Variance

Percent

Percent of

Total

CENTRAL:

Endowment Payout 18.7 17.7 (1.0) 41%

Smithsonian Enterprises 16.2 15.0 (1.2) 35%Contributions 7.7 6.5 (1.2) 15%Interest Income 1.0 2.6 1.6 6%

Other (0.9) 1.2 2.1 3%Subtotal, Central 42.7 43.1 0.4 1% 100%

UNITS:

Smithsonian Enterprises 10.6 11.9 1.3 43%

Contributions 1.8 3.0 1.2 11%Reimbursements 5.5 3.4 (2.2) 12%

Special Events 5.1 3.8 (1.3) 14%Other 8.8 5.4 (3.4) 20%Subtotal, Units 31.8 27.4 (4.4) ‐14% 100%TOTAL 74.5 70.5 (4.0) ‐5%

FY 2009

Budget

FY 2009

Actual Change

Variance

Percent

Percent of

Total

Central 43.9 41.1 2.8 64%

Units 20.4 22.8 (2.4) 36%

TOTAL 64.3 63.9 0.4 1% 100%

TRUST UNRESTRICTEDEXPENSESTRUST UNRESTRICTED REVENUEFEDERAL APPROPRIATION(Available to Obligate)TRUST RESTRICTED REVENUE

SMITHSONIAN INSTITUTION

FY 2009 Funds Available and Trust Expenses ($M)

January 13, 2010
Fiscal Year 2009 Year-End Financial Report (Unaudited Results) 

Supporting ReportsThese subsidiary tables supplement the Opera

and Funds Available and Trust Expenses financ

Facilities Capital and Maintenance

• At $230.6 million, funding for facilities cap

continued to close on the $250 million goa

account was boosted by appropriations of 

American Recovery and Reinvestment Act 

for the Legacy Fund.

Endowment• The Endowment was valued at $884 millio

than 3 percent from the end of FY 2008.

• The Endowment payout totaled $47.4 milContributions• Although private support exceeded the ad

goal of $120 million by nearly 5.5 percent 

$126.6 million), the FY 2009 amount budg

the annual goals were finalized totaled $1

expressed in undiscounted terms).

Smithsonian Enterprises (SE)

• SE achieved net gains in FY 2009 of $27.0 

than the prior year and nearly $2 million b

forecast.

• Aggressive cost‐containment efforts and c

such as the Presidential Inauguration, Nig

the Smithsonian, and the lunar landing an

of the dismal economy, which caused reve

$19.7 million.

• SE delivered $15.0 million to the Central T

$11.9 million to the units, following the FY 

retail revenue‐sharing methodologies reco

Force.

Requirement FY 2009 Federal Funding FY 2010 Federal Funding FY 2011 Federal Funding

Facilities Capital 150.0 163.0 125.0 137.0

Facilities Maintenance 100.0 67.6 72.9 72.4

TOTAL 250.0 230.6 197.9 209.4

Requirement FY 2009 Federal Funding FY 2010 Federal Funding FY 2011 Federal Funding

Recurring Appropriation 150.0 120.0 105.0 117.0

NMAAHC Appropriation ‐ 3.0 20.0 20.0

Legacy Fund ‐ 15.0 ‐ ‐

American Recovery Act ‐ 25.0 ‐ ‐TOTAL 150.0 163.0 125.0 137.0

FY 2009

Budget

FY 2009

Actual Variance Variance Percent

Total Value 1,100.0 883.5 (216.5) ‐20%

Restricted Payout 29.9 29.7 (0.2) ‐1%

Unrestricted Payout 18.7 17.7 (1.0) ‐5%TOTAL PAYOUT 48.6 47.4 (1.2) ‐2%

FY 2009

Budget

FY 2009

Actual

Variance Variance Percent

Amount raised:

Goal 130.0 130.0 ‐ 0%

Raised 130.0 126.6 (3.4) ‐3%

Percent raised 100% 97%

FY 2009

Budget

FY 2009

Actual Variance Variance Percent

Revenue shared with units 10.60 11.93 1.33 13%

Central Trust contribution 16.22 15.03 (1.19) ‐7%

TOTAL SE NET GAIN 26.82 26.97 0.14 1%

SMITHSONIAN ENTERPRISESNET GAINFACILITIES CAPITAL DETAIL

Smithsonian Institution

FY 2009 Supporting Reports ($M)

FACILITIES CAPITAL andMAINTENANCE SUMMARYENDOWMENTCONTRIBUTIONS

January 13, 2010
Federal Budget Request 

Federal Budget Request 

FY 2011

Board of Regents

January 25, 2010
Purpose

($ in Millions) ($ in Millions)

• Request approval of motion to authoriz

Secretary to submit the FY 2011 FedeSecretary to submit the FY 2011 Fede

Budget Request to Congress

FY 2011 B d t S i

FY 2010

Appropriation

FY 2011 Budget

Request Approved by

Regents for Submission

to OMB*

Smi

Alloc

FY 201

Salaries & Expenses 636 706 Facilities Capital 125 165 Legacy Fund** 30 0 Rescission of 08/09

Legacy Fund

-30 0 

Total 761 871 

*OMB guidance called for a submission at the FY 2010 request level ($759) and 5% below that (

**Congress reappropriated FY 2008 and FY 2009 Legacy Funds in FY 2010, targeted Legacy Fun

Arts and Industries building, and established achievable matching requirements.
Federal Budget Environm

• Mounting concern over record Federal deficit w

war continues war continues

• Administration priorities: Economy, Health Car

Energy, and Research

• OMB guidance called for submission of a flat b

the FY 2010 Request level and 5% below FY 2

• OMB b tl d t t i 

OMB su

bsequently agree

d

to accep

t a require

budget in addition to the flat or freeze budget a5% reduction bud

get

• Strong OMB staff support made even stronger 

Strategic Plan
FY 2011 Budget Negotiations with 

($ in Millions) ($ in Millions)

FY 2010

Appropriation

Request Approved

by Regents

OMB

“Passback”

SI Appeal

to OMB

Appropriation by Regents Passback to OMB 

Salaries & Expenses 636 706 636 661 

Facilities Capital 125 165 123 150 

Total 761 871 759 811 % Growth over

FY 2010

14% --% 7% 

• St b t li ti t t d l d Strong 

b

u

t reali

stic, 

targe

t

e

d appeal an

d

Regents’ support resulted in a 5% increas

• OMB indicates that this is a far better out

OMB indicates that this is

a far better out

than most
Keys to Success

• Strategic Plan• Growing recognition by Administratio

Smithsonian’s research capabilities

• More realistic appeal based on Strat

Plan’s 

goals

• Strong relationship with OMB• Favorable impression made by redu

Favorable impression made by redu

proposed in the appeal
Reductions Offered in App

($ in Millions) ($ in Millions)

Item

Appeal

Proposal

OMB

Response

Reduce Outreach -0.2 -0.2 

Close gallery spaces, including Insect Zoo and 

temporary exhibits

-0.5 -- 

Eliminate ed cational materials Eliminate ed

ucational materials and programs and programs -1 0. -1 0. 

Reduce Facilities Maintenance -2.3 -2.3 Reduce Facilities Operations -0.5 -0.4 

B ti uyou savings -4 0. -4 0. Rent savings -- -- 

Pay -- -- 

Total -8.5 -7.9 
FY 2011 Salaries and Expe

($ in Millions) ($ in Millions)

OM

Allow

FY 2010 S&E Appropriation: 6Increases:

Research 1

Understanding the UniverseBiodiversityAmerican ExperienceWorld Cultures

B di roa

dening

Access

Pay Increase (1.4%) 1Rent/UtilitiesCollections CareSecurityInternal ControlsFacilities Maintenance -Buyout (refill at lower grades) Buyout (refill at lower grades) -

Total FY 2011 Salaries & Expenses 6
FY 2011 Facilities Capita

($ in Millions) ($ in Millions)

Program OMB ANational Museum of Natural History National Museum of American History Smithsonian Environmental Research Center (Mathias Lab) National Zoological Park Cooper-H itt N ti l D i Hewitt, N

ational Design

Museum

Smithsonian Tropical Research Institute (Gamboa)Museum Support Center Pod 3Other Revitalization Projects Other Revitalization Projects Design of Future Projects (includes $20M for NMAAHC) Total Facilities Capital 

• $7 million request to reduce NMAAHC schedule risk not funded• Relying on previously appropriated Legacy Funds ($30M) to con

rehabilitation of Arts and Industries Building rehabilitation of Arts and Industries Building

• Taking steps to receive consideration in future stimulus appropri
Scorecard

• Further Strategic Plan• Cover mandatories Cover mandatories• Advance care of facilities• Ad ll ti Advance collections care

• Advance Smithsonian Research

• B ild l t ’ d t Build on last year’s modest

program increase

• G t NMAAHC “ b th li ” Get NMAAHC “above the line”• Reduce risk in NMAAHC schedule
Motion

The Smithsonian Institution’s Federal budget request for fiscal year 2011 wipresented to Congress on February 2, 2010. The Finance Committee of the Regents met on January 20, 2010, to review the Institution on January 20, 2010, to review the Institution s’ request for Fed

request for Fed

as approved by OMB and agreed to recommend that the Board of Regents, January 25, 2010, meeting, approves the submission of the Institution’s fiscFederal budget request to Congress.

Accordingly, the following motion is suggested:

VOTED that the Board of Reg y

ents authorizes the Secretary to submit to 

Federal budget request for appropriated funds for fiscal year 2011 as paPresident’s budget in the amount negotiated with OMB, and authorizes tto inform OMB and Congress fully about the implications of the Presidenthe mission and priorities of the Smithsonian.
2012 Fiscal Outlook

($ in Millions)

Revenue Streams Anticipated in Strategic Plan

Revenue Source Budget

Baseline1

2012

goal Comments/Issues

FederalAppropriations $798 $1,026

o Goal includes $205M one‐time incre

discussed below and funding for ma

o Deficit concerns may eliminate any 

o For planning consider flat budget w

increase or 5% decrease

NationalCampaign/FundRaising

$130 $200

o Assumes 2010 and 2011 goals are mo Campaign may have to make up for 

environment

o Foundations will see full impact of 2

2011 and 2012 payouts

o Key issue is whether campaign can i

this quickly

o Impact of campaign on Endowment 

Government Grantsand Contracts $111 $130

o Federal deficit may also decrease fu

making entities

o Grants have been on the rise recent

o Centers will sharpen our ability to o

New Revenue $1 $11

o Fee‐based technical assistance to ot

element

o Review of international museum edo Congress and some staff may have b

new revenue generation ideas

1 Based on FY 2011 Federal and FY 2010 Trust budgets
2012 Funding Challenges

Project 2012 Cost Comments

National Museum ofAfrican American

History and Culture

(NMAAHC)

$205(F)

o OMB recognizes NMAAHC is an extraordinary item 

during Spring review

o Unlikely to get full amount without impact to base 

o Can fund over three years if necessary

Arts and IndustriesBuilding

$50‐100

o Rough estimates while program and design under o Will not receive serious consideration for Federal f

as NMAAHC

o Good candidate for future stimulus fundingo May have to fit Federal requirements within base f

Giant Magellan

Telescope $18 o OMB/OSTP will have to choose GMT over alternati

o No significant Federal funding will appear until cho

SIGEO/GlobalChange Research

$15 o Program can be tailored to funding

Broadening Access $20 o Program can be tailored to fundingStrengtheningCollections

$20 o Program can be tailored to funding

WorldCulture/AmericanExperience/MissionEnabling

$20 o Program can be tailored to funding
* participated by teleconference

MINUTES OF THE AUGUST 24, 2009, FINANCE COMMITTEE MEETING

The Finance Committee (“the Committee”) of the Smithsonian Board of Regents met on 

Monday, August 24, 2009, at 3:00 p.m. at the Smithsonian Institution in Washington, D.C.  

Participating were Committee Chair Roger Sant*, members Robert Kogod*, David 

Rubenstein*, and David Silfen*; ex officio member Patricia Stonesifer*; and Regents John 

McCarter* and Alan Spoon*.  Assistant to Representative Matsui Julie Eddy* and Assistant 

to Representative Bercerra Melody Gonzales* also participated.  Staff in attendance were 

Secretary Wayne Clough; Acting Under Secretary for Science Charles Alcock*; Treasurer 

Sudeep Anand; Office of Human Resources Associate Director Gregory Bettwy; Smithsonian 

Enterprises Chief Financial Officer Gregory Bokman; Director of External Affairs Virginia 

Clark; Office of Planning, Management and Budget Director Bruce Dauer; Office of Human 

Resources Director James Douglas; Under Secretary for History, Art, and Culture Richard 

Kurin; Chief of Staff to the Board of Regents John Lapiana; General Counsel Judith Leonard; 

Chief Financial Officer Alice Maroni; Under Secretary for Finance and Administration Alison 

McNally; and Smithsonian Enterprises President Tom Ott.  Also in attendance was Budget 

Analyst Amy Crochiere, who recorded the minutes. 

Call to Order and Approval of Minutes

Committee Chair Roger Sant called the meeting to order and greeted the members.  The 

Committee approved the minutes of the June 10, 2009, meeting.  

Update from the Secretary

Secretary Wayne Clough expressed his appreciation to Smithsonian staff for their hard 

work in preparing the Institution’s budgets.  He then updated the Committee on the 

progress of the Trust study teams.  He said that the report of the Zero Based Team, which 

recommended that the spending philosophy governing Central Trust funds should focus on 

one‐time and seed money expenditures only, would be presented to the Executive 

Committee in September 2009.  He said that the report of the Revenue Generation Team 

would be reviewed with the Board of Regents after the team had completed some 

additional research and evaluation.  The Secretary also explained that proposals were 

currently being evaluated to hire a contractor to complete a best practices study designed 

to ensure the Institution was organized effectively and efficiently.  Finally, he noted a few 

initiatives that the Institution would pursue to cut costs, including IT consolidation, 

outsourcing units, and rightsizing organizations.  

Smithsonian Enterprises Fiscal Year 2009 Performance Update and Presentation of

the Fiscal Year 2010 Budget

President of Smithsonian Enterprises (SE) Tom Ott reviewed SE’s fiscal year 2009 

performance and presented the fiscal year 2010 budget and capital plan.  For fiscal year 

2009, SE’s original budget projections included total revenue of $174.9 million and net gain 

of $27.2 million.   
Due to the poor economic climate, SE was faced with a budget gap of $21.2 million in 

revenue and launched an $11.5 million cost‐cutting and revenue‐boosting program which 

narrowed the net gain budget gap to $1.2 to $2.2 million.  Mr. Ott reported that during the 

summer, SE’s retail businesses had experienced sales higher than fiscal year 2008 levels, 

partially driven by efforts to maximize events and product sales associated with the Night

at the Museum: Battle of the Smithsonian movie, as well as through promotions tied to other 

special events, such as the anniversary of the first lunar landing.  He said that SE believed it 

would achieve $25.5 million in net gain and perhaps $26 million by the close of fiscal year 

2009.    

Mr. Ott said that SE projected $25 million in net gain after taxes for fiscal year 2010, which 

would be flat with the earlier fiscal year 2009 forecast.  SE’s fiscal year 2010 budget 

assumed a similar economic environment, but without the one‐time events that 

contributed to SE’s fiscal year 2009 performance, including the Presidential Inauguration, 

the reopening of the National Museum of American History, the Night at the Museum: Battle

of the Smithsonian movie, and the anniversary of the first lunar landing.  The budget also 

included $500,000 held in corporate investment initiatives, which would be used for 

business building activities or as a buffer if economic conditions deteriorated further.  He 

said that the preliminary plan for capital investment in fiscal year 2010 was $6.374 million 

and that the largest project was the conversion of the Carmichael Auditorium at the 

American History Museum into a digital theater.  Most of the remaining projects were 

deferred maintenance and system upgrade projects in Retail.  Regent Sant asked that SE’s 

balance sheet be included in future presentations so that capital expenses are visible.  He 

also expressed his thanks, as did other members of the Committee, for SE’s efforts to 

maintain net gain. 

Fiscal Year 2009 Year­End Budget Forecast

Chief Financial Officer (CFO) Maroni reviewed the fiscal year 2009 year‐end financial 

report.  She noted that fiscal year 2009 had been a difficult year financially as the economic 

crisis that began in fiscal year 2008 continued to take its toll on the Institution throughout 

fiscal year 2009.  Overall, income was forecast to fall below budget by $8 million, reflecting 

declines in charitable giving, interest income, and SE net gain.  These revenue declines 

were offset by an increase in Federal revenues, including funding from the American 

Recovery and Reinvestment Act of 2009, the Presidential Inaugural Committee, and 

government grants and contracts.  Expenses were forecast to exceed budget by $5 million 

due largely to the increase in Federal spending for operations, offset by management 

actions to reduce unrestricted Trust spending.  The Endowment forecast did not attempt to 

forecast the Endowment’s performance for the last quarter of the fiscal year.  Rather it 

assumed the June 2009 month‐end market value, less payouts, would be the ending value.  

The Institution’s diversified investment portfolio had a value of $818 million through June 

2009 and beat its policy benchmark returns.  The Institution’s net assets were forecast to 

decrease at year‐end by $31 million due to the poor performance of the economy.  

With respect to the Federal budget, the Institution ended the year in good shape despite 

the uncertainty it experienced during the first half of the fiscal year while operating under a  
Continuing Resolution.  In March 2009, Congress enacted and the President signed into law 

an omnibus appropriations bill that resulted in a 7 percent increase in Federal funding for 

the Smithsonian over the prior year and covered most of the Institution’s mandatory 

expense increases.  Most importantly, the appropriation restored base funding for existing 

public programs, education, and research that had been cut by the Office of Management 

and Budget (OMB).  The Institution also received $25 million from the American Recovery 

and Reinvestment Act of 2009 for facilities repair and revitalization. 

With respect to the Central Trust budget, all major sources of income declined.  As a result, 

the Institution confronted a serious gap between Central Trust income and expenses.  

Management addressed the expected budget gap by reducing unrestricted Trust spending 

by $7 million.  Ms. Maroni said that management recognized that the structural imbalance 

in the Central Trust budget was unsustainable and was fully engaged in the assessment of 

the recommendations made in June 2009 by the Trust study teams commissioned by the 

Secretary.  

Presentation of the Fiscal Year 2010 Budget  

Ms. Maroni then presented the fiscal year 2010 budget.  She reported that the budget for 

fiscal year 2010 revenues assumed Federal revenues based on the budget request 

submitted to Congress in February 2009, and Trust revenues based on SE net gain of  

$25 million, contributions of $130 million, and an Endowment payout frozen at the prior 

year rate.  The budget for fiscal year 2010 also assumed increased spending for Federal 

activities consistent with the appropriation increase contained in the fiscal year 2010 

President’s budget and constrained spending for Trust activities due to management 

actions designed to balance expenses with revenue.  It also assumed $3 million of expenses 

for the National Campaign.  She noted that several assumptions would require subsequent 

action by other Regent Committees. 

She said that Federal income was projected to increase by $58 million or 8 percent, 

reflecting the increase in appropriations and the higher spending from the stimulus 

package.  Restricted Trust income was budgeted to increase 12 percent due to NASA’s 

support of the Smithsonian Astrophysical Observatory and the Institution’s fund‐raising 

goal of $130 million.  Unrestricted Central Trust income was not projected to increase.  Ms. 

Maroni said that overall expenses were budgeted to increase by $32 million or 3 percent, 

an increase that largely reflected year‐over‐year increases in Federal spending for Salaries 

and Expenses driven by the mandatory pay raise and increases for rent and utilities.  

Restricted Trust spending was projected to decline, reflecting the normal ebb and flow of 

spending on exhibitions and programs.  The decline in unrestricted Trust spending 

reflected management actions to bring spending in line with revenue. 

Ms. Maroni reported that management achieved a balanced Central Trust budget through 

four major initiatives in fiscal year 2010.  First, management proposed a special 

Endowment payout to fund the expenses of the National Campaign, combined with what 

remained from the funds previously made available to the Campaign.  She noted that this 

payout was contingent upon the Advancement Committee’s approval of the program being  
planned by the Office of External Affairs and the specific items budgeted.  Second, 

management recommended a major restructuring of The Smithsonian Associates (TSA), 

which sponsors a wealth of seminars, tours, and lectures for the local metropolitan 

Washington audience who pay a fee to participate.  Ms. Maroni explained that the budget 

reflected a change in the treatment of TSA because it operated at a loss to the Institution, 

and said that it would be treated like other businesses and operate to at least break even 

over time.  She added that, if this was not possible, TSA would be closed down.  At Regent 

Stonesifer’s suggestion, the Committee agreed that the proposed restructuring would be 

contingent upon approval by the Strategic Planning and Programs Committee.   

Regarding the third initiative, Ms. Maroni reported that management issued revenue 

targets to the Trust Finance Implementation teams, as the budget assumed $650,000 in 

new revenue initiatives that would get started in fiscal year 2010.  In the fourth initiative, 

management proposed three personnel initiatives that would be contingent upon approval 

by the Compensation and Human Resources Committee: a pay freeze for all Trust‐funded 

staff, a buyout program offered to both Federal and Trust employees, and a Trust hiring 

freeze.  The Secretary clarified that SE employees would not be subject to the pay freeze in 

fiscal year 2010 and that the pay freeze for non‐senior employees would be reconsidered if 

fiscal year 2010 income improved.  He also explained that any new hires made possible by 

the buyout would be made within the context of the Strategic Plan.  [In action following the 

Committee meeting, the Committee was informed that there had been three positive 

changes in the Central Trust budget that, when taken together, restored enough flexibility 

in fiscal year 2010 to fund modest pay increases for non‐senior and senior level staff.  A 

final decision to offer modest pay increases will be made in December 2009, depending on 

the Institution’s financial position.]  

The Committee unanimously approved the following resolutions for consideration by the 

Board of Regents: 

VOTED that the Finance Committee recommends that the Board of Regents 

approves the budget of appropriated funds for fiscal year 2010 when signed into 

law by the President and authorizes expenditures by the Secretary in accordance 

therewith.  Any material changes in program plans incorporated into this budget 

shall be made only with the approval of the Board of Regents or its Executive 

Committee. 

VOTED that the Finance Committee recommends thatthe Board of Regents 

approves the institutional budget for Trust funds for fiscal year 2010 reflected in 

this report and authorizes expenditures by the Secretary in accordance therewith, 

contingent upon approval of the proposed personnel initiatives by the 

Compensation and Human Resources Committee, the restructuring of TSA by the 

Strategic Planning and Programs Committee, and the proposed National Campaign 

expenses by the Advancement Committee.  Any material changes in program plans 

incorporated into this budget shall be made only with the approval of the Board of 

Regents or its Executive Committee.  
VOTED that the Finance Committee recommends that the Board of Regents 

approves a special payout from the Institution’s Endowment not to exceed  

$2.5 million to fund the fiscal year 2010 expenses of the National Campaign and 

other related development funding requirements, contingent upon approval of the 

proposed National Campaign expenses by the Advancement Committee. 

Fiscal Year 2011 Federal Budget Submission to the Office of Management and Budget

Director of the Office of Planning, Management and Budget Bruce Dauer presented the 

proposed fiscal year 2011 budgets that would be submitted to OMB on September 14, 

2009.  It was noted that this was a highly unusual year because the Institution would 

submit three different budgets.  Mr. Dauer explained that OMB requested that the 

Institution submit two budgets: a budget frozen at the fiscal year 2010 request level and a 

budget further reduced from that level by 5 percent.  He said that the difficulty with these 

budgets was that the Institution must pay mandatory cost increases for the legislated pay 

raise, as well as rent and utilities escalations, forcing it to make cuts in other areas.  The 

Institution therefore negotiated with OMB to submit a requirements budget that included 

increases for necessary expenses and programmatic initiatives, as well as many aspects of 

the strategic plan initiatives.   

The freeze budget would require several cuts to the Institution’s education programs, 

including closing the Insect Zoo and Discovery Room at the Natural History Museum, 

eliminating programs for students at the American Indian Museum in New York City, and 

discontinuing the operation of research vessels at the Smithsonian Tropical Research 

Institute.  Management, which spent the last several years working to increase 

maintenance funding, tried to avoid cuts to facilities maintenance.  However, in order to 

keep more painful cuts out of the freeze budget, it was determined that maintenance would 

have to be cut by $10 million.  At the 5 percent reduction level, several museum education 

departments would be eliminated, a Natural History science department would be 

eliminated, and the Bird House and Kid’s Farm at the National Zoo would be closed, to 

name a few of the most difficult reductions.  

Mr. Dauer explained that, at all levels, the Facilities Capital budget assumed that  

$24 million of Legacy Funds would be available for the renovation of the Arts and 

Industries Building.  This would require that the Institution raise $24 million in matching 

private funds.  The budget also assumed that construction funding for the National Museum 

of African American History and Culture would receive special consideration from OMB 

and would not be subject to the freeze and 5 percent budgets.  Committee members 

requested that these assumptions be footnoted in future Facilities Capital presentations. 

The Committee unanimously approved the following resolution for consideration by the 

Board of Regents: 
VOTED that the Finance Committee recommends that the Board of Regents 

approves the Smithsonian Institution, three level — Requirements, Freeze, and  

5% Below — budget request for appropriated funds for fiscal year 2011 for 

presentation to the Office of Management and Budget.  Any material changes in 

program plans incorporated into this budget shall be made only with the approval 

of the Board of Regents or its Executive Committee. 

Wrap Up

The Chair thanked the members of the Committee and staff for their active participation 

and adjourned the meeting to conduct an executive session at 4:50 p.m. 
REPORT OF THE INVESTMENT COMMITTEE

Committee Chair David Silfen will provide an oral summary of recent Committee 

discussions to the Board of Regents at its January 25, 2010, meeting.  The following papers 

will support his presentation. 

A. Endowment Update and Year­End Report

B. Minutes of the June 9, 2009, Committee Meeting
Investment Re

port 

Board of Regents

January 25, 2010
Introduction

• Endowment Overview• Endowment Asset Allocation

• Risk Management and Liquidity Issues• Tactical Asset Allocation Tactical Asset Allocation• Revised Long-Term Policy• Peer Comparison

• Endowment Performance• Infrastructure Update Infrastructure Update• Next Steps

Confidential - do not distribute
Endowment Overview 

Market value and returns: • As of November 30, 2009, the Smithsonian Endowment’s market 

$893.3 million $893.3 million

Major successes, challenges, and issues in 2009:• Successfully navigated the unprecedented period of volatility in t• F d ll d t i FY 2009 hi i 1 7% t 

Fare

d well compare

d to peers in FY 2009, achieving 

1.7% outpe

• Effectively managed liquidity through the market volatility and avo

pitfalls forcing many other endowments and foundations to make budget cuts or raise additional capital

• A hi d $22 illi i d t t ti l t ll ti A

chieve

d $22 million gain 

due to tactical asset allocation

• Decided not to implement third tranche of tactical asset allocation• Successfully implemented FAS 157 guidelines• Revised Lon

g-Term Asset Allocation due to chan

g g in

g market con

• Hired Senior Investment Officer to support build-out of portfolio • Acquired new Portfolio Management System

Confidential - do not distribute
Risk Management and Liquidity I

Risk Management and Liquidity I

• Risk management includes rigorous and ongoing monitor• Downside protection provided to portfolio

– M d h b i i ll ti d i t i i hi h Manage

d cas

h

by increasing allocation an

d maintaining hi

g

h-qualit 

lity 

– Invested in high-quality, intermediate government bonds 

• Spending and shortfall analysis

– Internal and external reviews of payout policy and potential inability 

Internal and external reviews of payout policy and potential inability 

Endowment to achieve target returns

– Determined low probability of decline in real value of Endowment

• Portfolio issues 

– Vi ll rtua y no gate or suspend d d i i d

e

d re

demption issues

– No derivate hedges, swap exposures, or margin calls– No Madoff exposure

• Sufficient Liquidity Sufficient Liquidity

• No liquidity issues given the low allocations to real estate and privat

holdings and low level of prior commitments

• As of December 2009 the Endowment was 45% liquid within one m

liquid within six months and 77% liquid within one year liquid within six months and 77% liquid within one year

Confidential - do not distribute
Tactical Asset Allocatio

Tactical Asset Allocatio

• Tactical asset allocation from October 2008 to Septem

– Remained defensive and protected capital

• Reduced exposure to global equities• Increased exposure to fixed income/cash• Invested in bank loans to preserve capital and receive in

– Market dislocation provided short-term exposure to hig

credit and mortgages

• Allocated to non-a

g y gg enc

y mort

g

a

ge investments

• Increased allocations to credit opportunity and distresse

investments

• Exited strategy in September 2009 due to sustained a

significant recovery in credit and equity markets

– Through the beginning of September 2009 the value a

the tactical allocation was approximately $22 million

Confidential - do not distribute
Revised Long-Term Asset Allocation 

• On 12/11/09, the Investment Committee approved the revised Long-Term Asse

targets and ranges for the Endowment, subject to annual reviews.

• Major points of consideration in the formulation of a revised long-term policy

• Long-term market conditions term market conditions

• Changing dynamic of growth drivers between developed and emerging m• Institutional liquidity needs

• Revised Long-Term policy benchmark implemented January 1, 2010.

Tactical Allocation Long‐Term Asset Allocatio

Prior Re

Asset Class % % Ranges % 

Gl b l o

b

al Dl d eve ope

d

E it qu

y 31% 40% 25‐55% 25% 

Emerging Markets Equity 7% 5% 3‐15% 10% 

Hedge Funds1 38%2 25% 15‐35% 35% 

Private Equity and Venture 5% 10% 5‐20% 10% 

CapitalReal Assets 5% 10% 0‐15% 10% 

Fixed Income/Cash 14% 10% 5‐20% 10% 

Total Endowment 100% 100% 100%

1Absolute Return classification is changed to Hedge Funds. 2Absolute Return included allocation to multi-strategy/credit as part of tactical allocation

Confidential - do not distribute
Peer Asset Allocation Compariso

As of 9/30/2009

Confidential - do not distribute
Endowment Performanc

as of 9/30/2009

Annualize

Trailing Trailin

Total Fund as of 09/30/2009

1 Year 3 Year

S ith i S

mithsonian Ed t n

dowmen

t R t e

turn 0 1. 0 

. 

Policy Benchmark 0.6 ‐0.

BNY Mellon Peer Universe ‐1.5 0.

BNY Mellon Percentile Ranking 40th 34

Absolute Return Managers within the SI Endowment

Smithsonian Absolute Return Portfolio 3.6 7.

HFRI Fund Weighted Composite 6.4 3.

Equity Managers within the SI Endowment

Smithsonian Total Equity Portfolio 1.6 ‐3.

MSCI All Country World Index 0.5 ‐2.

Fixed Income Managers within the SI Endowment

Smithsonian Fixed Income Portfolio 7.3 6.

Blended Fixed Income Composite 6.2 6.

Confidential - do not distribute
Endowment Performanc

as of November 30, 2009

Asset Class Portfolio Return Market Va

YTD (Jan‐Nov.) ($m

Global Equity 20.8% 24

Russell 3000 Index 24.8%MSCI EAFE Index 30.6%

Emerging Markets 62.4% 7

MSCI Emerging Markets Index 72.2%

Absolute Return 21.7% 34

HFRI Fund Weighted Composite Index 18.8%

Private Equity and Venture Capital ‐13.3% 4

Cambridge Associates PE Index ‐15.2%

Cambridge Associates Venture Cap Index ‐14.9%

Real Assets 14.3% 2

Cambridge Associates RE Fund Index ‐36.2%S&P 500 Energy 14.9%

Fixed Income and Cash 1.2% 15

Barclays Capital Government‐Intermediate Index 1.5%

Smithsonian Endowment Return 16.2% 89

Policy Benchmark1 20.5%

Confidential - do not distribute

1 Policy Benchmark is the preexisting benchmark in effect at 11/30/2009 and not the amended version

25% Russell 3000, 25% MSCI EAFE, 5% MSCI EM, 25% HFRI Fund Weighted, 4% Cambridge Associates Pri2% Cambridge Associates Venture Capital, 2% S&P 500 Energy, and 10% Barclays Intermediate Government
Infrastructure U

pdate

AuditAudit of the Endowment is in the final stage. Implemented new accoch (FAS 157) i i l ti di l f d l 

hanges (FAS 157) requiring more valuation disclosures of un

derly

and Endowment management. Implementation was executed smooStaffing

The Office of Investments (OI) is seeking one additional full-time seinvestment staff member. Management intends to identify the top cthe second position by March 2010.New OfficeThe Office of Facilities Engineering and Operations is finalizing a leagreement for 425 3rd Street, S.W., for approximately 3,000 square TechnologyIn December 2009 the Office of Investments completed the acquisitportfolio management system and plans to go live April 30, 2010. 

Confidential - do not distribute
Next Steps

• Implement revised Long-Term Asset Allocation 

th t e nex year.

• Continue to imp q lement Private Equity and Rea

programs.

• Conduct governance review at the March 2010 Conduct governance review at the March 2010

Investment Committee meeting.

• Add/rotate Investment Committee members Add/rotate Investment Committee members.

• Continue ongoing infrastructure implementatio

Confidential - do not distribute
MINUTES OF THE JUNE 9, 2009, INVESTMENT COMMITTEE MEETING

The Smithsonian Investment Committee (“the Committee”), a committee of the 

Smithsonian Board of Regents, conducted a telephonic meeting on Tuesday, June 9, 2009, at 

3:00 p.m.  Participating were Committee Chair David Silfen and Committee members L. 

Hardwick Caldwell III, J. Tomlinson Hill III, Roger Sant, and Alan Spoon; Board Chair 

Patricia Stonesifer also participated in the meeting.  Committee members Eli Broad and 

Afsaneh Beschloss were unable to participate.  Participating staff included Secretary G. 

Wayne Clough; Treasurer Sudeep Anand; Chief of Staff to the Secretary Patricia Bartlett; 

Chief Investment Officer Amy Chen; Investment Analyst Ryan Dotson; Associate General 

Counsel Farleigh Earhart; Manager of Investment Operations Rika Feng; Investment Officer 

Michael Giovenco; Chief of Staff to the Regents John K. Lapiana; General Counsel Judith 

Leonard; Chief Financial Officer Alice Maroni; and Under Secretary of Finance and 

Administration Alison McNally.   

Call to Order  

Committee Chair David Silfen called the meeting to order.  

Approval of Minutes

After consideration and upon motion duly made, seconded, and unanimously approved, the 

minutes of the March 31 and May 13, 2009, meetings were approved.  

Portfolio Review

The Endowment’s preliminary performance for the period ending May 31, 2009, was 4.8%, 

versus the policy benchmark of 6.7%.  The recent market rally increased the Endowment’s 

value from $783.7 million as of December 31, 2008, to $815 million as of May 31, 2009.  A 

recent survey of 20 endowments and foundations showed that the Institution’s 

Endowment placed in the top quartile for both first quarter 2009 and the trailing one year 

average. 

Tactical Asset Allocation

Staff provided an update on the status of the tactical asset allocation.  The advisability of 

maintaining the tactical asset allocation was discussed by the Committee.  The Committee 

was in general agreement that the initial rally in riskier assets was not sufficient to make a 

change to the tactical asset allocation, as the economy was still exhibiting weakness.   

At the time of the meeting, due to the huge market rally, emerging markets were 

overweight to the target.  The Committee considered reducing the exposure but concluded 

that rebalancing was not the best course of action at the present time because the emerging 

markets were still positioned to be major beneficiaries of a global recovery.  

Staff solicited the Committee’s views on the timeframe of the tactical asset allocation, as 

well as vehicle preferences (public vs. private) and lock‐up periods.  Although each 
investment could have unique characteristics, the Committee’s preference was to focus on 

public funds with lock‐ups of two years or less. 

Operational Review

Staff reported on the recent proposed update on the implementation of FAS 157, which will 

allow endowments to report the financial valuations of investments as reported by their 

fund managers, instead of requiring staff to perform independent valuations of the funds.  

Staff reported that they welcomed the proposed change and that they were waiting for the 

Financial Accounting Standards Board to adopt the update.   

An exhibit was presented displaying differences in the capital account balances of the 

Endowment’s private market portfolio between the September 30, 2008, balances adjusted 

for cash flows and the reported December 31, 2008, balances.  The portfolio had a total 

unrealized loss of $8.9 million for calendar year 2008, representing 1.1% of the total 

portfolio. 

The Committee was updated on the status of two open investment officer positions.  Due to 

the availability of well‐qualified applicants, it was reported that the top candidate for the 

position of Investment Officer for Marketable Alternative Investments would likely be 

identified by July 2009 and that the position would be filled by the end of August 2009.  

The Office of Investments also reported that it was continuing to work with the Office of the 

Chief Information Officer to assess the implementation of PerTrac CMS. 

Executive Session

Staff was dismissed at 3:50 p.m. and an executive session was held. 
REPORT OF THE AUDIT AND REVIEW COMMITTEE

The Audit and Review Committee met on January 13, 2010.  Committee Chair John 

McCarter will provide an oral summary of the Committee’s discussions to the Board of 

Regents at its January 25, 2010, meeting.  The minutes of the Committee’s September 8, 

2009, meeting follow. 
* participated by teleconference

** joined meeting in progress at 10:05 a.m.

DRAFT MINUTES OF THE SEPTEMBER 8, 2009, AUDIT AND REVIEW

COMMITTEE MEETING

On September 8, 2009, the Regents’ Audit and Review Committee (“the Committee”) met at 

9:30 a.m. in the Regents’ Room of the Smithsonian Castle.  Participating were Committee 

Chair John McCarter**, Shirley Ann Jackson*, Congressman Sam Johnson, and Robert 

Kogod.  Also participating were Assistant to Congressman Johnson David Heil and 

Committee Advisor Herb Schulken.  Participating staff included Secretary G. Wayne Clough; 

Treasurer Sudeep Anand; Chief of Staff to the Secretary Patricia Bartlett; Assistant 

Inspector General for Audits Daniel Devlin; Deputy Director/Chief of Staff, Office of 

Facilities Engineering and Operations, Clair Gill; Chief of Staff to the Board of Regents John 

Lapiana; General Counsel Judith Leonard; Chief Financial Officer (CFO) Alice Maroni; 

Director of Government Relations Nell Payne; Inspector General (IG) Sprightley Ryan; Chief 

Information Officer Ann Speyer*; Deputy Comptroller Stella Whitsell; and Comptroller 

Andy Zino.  Also in attendance were Ellen Harrison, Rebecca Horton, and John Keenan, who 

represented the Institution’s auditors, KPMG LLP.  Minutes were taken by Susan Block, 

Special Assistant to the CFO.   

Member Robert Kogod called the meeting to order at 9:45 a.m. 

Approval of the Minutes

A motion was made and seconded and the minutes of the March 6 and March 30, 2009, 

meetings were approved. 

KPMG Fiscal Year 2009 Audit Plan and Fiscal Year 2008 A­133 Audit Results

KPMG LLP Senior Partner John Keenan presented the highlights of the fiscal year 2009 

audit plan and noted that planning and interim work was complete.  Mr. Keenan told the 

Committee that the core KPMG audit team was unchanged from the prior year with the 

exception of two specialists, Financial Risk Management Specialist Nick Katsanos and 

Information Risk Management Senior Manager Andrew Littekan.  He reminded the 

Committee that KPMG would provide reports on the results of the audited financial 

statements, as well as several other special purpose reports.  He then introduced Rebecca 

Horton, who discussed the audit process. 

Ms. Horton informed the Committee that the objective of an audit of financial statements is 

to enable an auditor to express an opinion about whether an organization’s financial 

statements have been prepared, in all material respects, in accordance with generally 

accepted accounting principles (GAAP).  She noted that the process was designed to 

provide reasonable, but not absolute, assurance that the financial statements taken as a 

whole are free from material misstatement.  She discussed the responsibilities of both 

KPMG and management in the performance of the audit.  She told the Committee that 

professional judgment is used to determine audit risk and materiality both in planning the 

audit and designing audit procedures, as well as to evaluate the effects of misstatements.  

She noted that materiality considerations are both quantitative and qualitative and that 
materiality is determined separately for each audit included in the scope of work.   

Ms. Horton then discussed the three areas that would be emphasized in the fiscal year 2009 

audit: recurring transactions, nonroutine transactions, and key accounting estimates and 

“other.”  She noted that recurring transactions, such as cash disbursements and payroll, 

contributions, investment purchases and sales, satisfying donor restrictions, accounting for 

construction activities, and debt financing and compliance with related debt covenants, are 

usually high volume and routine in nature.  She stated that these areas demand that KPMG 

understands which controls are in place and is able to test those controls.  With regard to 

nonroutine transactions, she told the Committee that the Smithsonian would adopt two 

new accounting standards in the fiscal year 2009 audit: FSP 117‐1, which will require new 

disclosures on the Endowment, and the Statement of Financial Accounting Standards 

(SFAS) 157, which will redefine how fair value is measured.  Regarding key accounting 

estimates and “other,” Ms. Horton said that KPMG would review how management 

developed these estimates and evaluate whether the underlying assumptions and 

judgments were reasonable and adequately supported.  She informed the Committee that 

the same three areas would also be emphasized on the audit of Smithsonian Enterprises 

(SE).  She said that the audit of SE’s recurring transactions would include cash 

disbursements and payroll, magazine circulation, museum shop sales and mail order 

fulfillment, purchases and inventory management, concessions and theater cash receipts, 

and license agreement billings and cash receipts.  With regard to SE’s nonroutine 

transactions, she noted that the reorganization of the unit’s business activities would be 

reviewed.  She said that KPMG would review a number of areas, such as the evaluation of 

inventories and provisions for sales returns, to address key accounting estimates and 

“other.”   

Ms. Harrison next discussed SFAS No. 157 and informed the Committee that this standard 

redefines how the fair value of investments is determined and requires increased 

disclosures on fair value measurements.  She discussed the hierarchy of fair value 

measures prescribed by SFAS No. 157 and its particular emphasis on the potential impact 

on nonmarketable investments.  For these investments, she noted that there also was a 

proposed standard that would allow the Smithsonian to use the net asset value reported by 

its investment managers as an estimate of fair value.  Ms. Harrison told the Committee that 

planning meetings for the initial adoption of SFAS No. 157 were held with the Office of 

Investments and the Office of the Comptroller in June and August 2009 and that another 

progress meeting was scheduled for October 2009.   

Ms. Harrison then discussed the audit of fraud risk.  She explained that KPMG would look 

for incentives or pressures that could lead to an increased risk for fraud and that, as part of 

this review, KPMG would meet with various members of management, the Committee, and 

the Office of the Inspector General (OIG) to identify and discuss any concerns about this 

area.  Ms. Harrison said that this audit would require close coordination between KPMG 

and the OIG as the contracting officer’s technical representative.  She said that there would 

be regular communication with the OIG staff, including weekly status meetings during 

audit fieldwork.  She stated that KPMG also would review selected reports issued by OIG to 

ensure that KPMG is aware of any indications of control weaknesses.   

The audit timetable was then discussed.  Ms. Harrison said that KPMG would start 
fieldwork on the audit of the Federal closing package financial statement in October 2009 

and that the Federal closing package would be submitted by November 16, 2009.  She 

stated that final fieldwork on the audits of the Institution’s comprehensive financial 

statements and SE’s statement of net gain would begin after the closing package was 

submitted.  She also noted that planning for the A‐133 audit would begin during December 

2009–January 2010 and that most of the audit procedures would be completed by the end 

of March 2010.  She said that the June 2010 release of the A‐133 audit was planned to 

coincide with the Defense Contract Audit Agency’s (DCAA) anticipated completion of its 

portion of the audit.  She reminded the Committee that KPMG would again comply with 

Statement on Auditing Standards No. 114, which addresses communications with the 

Committee about the audit process and results, and with Statement on Auditing Standards 

No. 115, which concerns management letter recommendations and notations of significant 

deficiencies and material weaknesses (if any). 

Ms. Harrison then discussed the results of the 2008 A‐133 audit of Federal expenditures.  

She said it was determined that the criteria that apply under A‐133 were used by three 

major Smithsonian program areas: research and development (R&D), the partnership 

between the United States Postal Service and the National Postal Museum, and the 

involvement of the Department of Commerce in the Oceans exhibition.  She said that KPMG 

tested the controls for the three programs and reviewed the compliance of the programs 

with OMB rules and provisions for grants and contracts.  The R&D portion of the audit was 

coordinated with DCAA and an unqualified audit opinion was issued.  The audit on the 

National Postal Museum was performed by KPMG and an unqualified opinion was issued.  

Ms. Harrison said that the Oceans exhibit elicited an unqualified opinion on compliance but 

that there was a finding related to the application of the indirect cost rates.  Comptroller 

Andy Zino informed the Committee that the Institution renegotiated the terms and 

conditions of that particular grant with its sponsor, allowing the Institution to recover its 

costs and not incur a loss.  He said that the issue was resolved to the satisfaction of KPMG. 

Advisor Herb Schulken asked KPMG about two issues: the decision to add Nick Katsanos to 

the audit team and how KPMG’s audit approach had changed in response to the markets’ 

turmoil over the last year.  Ms. Harrison explained that Mr. Katsanos replaced Troy 

Tonnessen, who relocated and was promoted to partner.  She noted that Mr. Katsanos’s 

background includes hedge fund management and that he is very astute at reviewing 

investments.  Mr. Schulken asked if there were any other changes in the auditing approach 

and Mr. Keenan responded that the timing of the SE audit had been modified.  He explained 

that the SE audit began earlier than the fiscal year 2008 SE audit to allow time for more 

robust interim procedures.  With regard to actual strategy and key procedures, Mr. Keenan 

stated there were no significant changes.  Comptroller Zino told the Committee that, in 

accordance with its direction, his office had accomplished more work during the interim 

period.  He reported, and Mr. Keenan confirmed, that significant information on fixed 

assets, Federal reporting, and contribution activities had been furnished to KPMG during its 

interim testing period.  The Comptroller added that his office would continue to provide as 

much audit information as possible to KPMG during future interim testing periods.   

Inspector General’s Update

Inspector General (IG) Sprightley Ryan discussed various reports issued by her office, as 
well as reports that were in progress.  She told the Committee that her office had issued 

three reports a few months prior to this meeting.  One report on IT security confirmed the 

Institution’s compliance with its security policies.  A second report addressed the 

Institution’s privacy program.  She explained that the scope of the second IT security 

review was broader than the first and that the final report recommended that the 

Institution develop a full‐fledged privacy program, develop appropriate privacy policies, 

reduce the use of personally identifiable information, and increase the security that guards 

such information.  She informed the Committee that management agreed with the 

recommendations and would be implementing necessary corrections.  The third report, 

which was done by an outside firm, was a review of the non‐travel expenses of Smithsonian 

executives and boards.  Although the outside auditors questioned about 10 percent of the 

costs they reviewed, Ms. Ryan said that her office found very few problems and that her 

office would not conduct similar reviews in the immediate future. 

Ms. Ryan then reported that, at the request of Chairman Robert Brady of the Committee on 

House Administration, her office had conducted a review of the implementation of the 

Smithsonian Networks contract with Showtime Networks Inc.  Chairman Brady had 

requested a review of how the contract had affected third‐party filmmakers, how the 

Institution documented film requests, and what financial costs had resulted from this 

contract.  She said that her office discovered that the contract had a minimal impact on 

third‐party filmmakers who want to use Smithsonian content in their programs.  She stated 

that her office found that the Smithsonian had improved its decision‐making process by 

implementing a central monitoring and tracking system that includes documentation for 

each film request decision.  She stated that during the period reviewed, the Smithsonian 

received approximately 446 film requests and declined only two requests based on 

restrictions in the contract.  Further, contract restrictions had not resulted in the decline of 

any film requests since August 2006.  On the financial side, she reported that the sum of the 

Smithsonian’s revenues from this initiative were lower than original projections but that 

the Institution had received the minimum revenues guaranteed under the terms of the 

contract.  She stated that her office also looked at the project’s revenue‐sharing plan and its 

ability to distribute, after covering costs, revenue received from Smithsonian Networks to 

the Central Trust and to the units.  Under the revenue‐sharing plan, proceeds from annual 

licensing and other fees are split evenly between the Central Trust and the units.  She 

stated that adequate procedures are in place to track the costs of administering the 

contract.  She told the Committee that she had sent the report to Chairman Brady and 

ranking minority member Dan Lungren. 

The Inspector General told the Committee that the terms of the American Recovery and 

Investment Act, also known as the Stimulus Fund, require that IG offices oversee the 

management of stimulus funding.  She informed the Committee that her office was closely 

tracking the $25 million in stimulus funds received by the Smithsonian and that the 

Institution was generally doing an excellent job of spending its funds quickly and 

effectively.  She said that more transparency was needed, as all of the award information 

had not been posted on the Smithsonian’s public Web sites.  She stated that the contract 

files also could be better organized.  She added that all of the Smithsonian’s stimulus funds 

should be obligated by the end of September 2009. 

She next presented the results of an OIG audit that found that the Institution had used 
Federally appropriated maintenance funds for unplanned capital projects.  While 

management agreed with most of the audit’s findings, it disagreed with the finding of 

misuse of appropriated funds.  During the Committee’s lengthy discussion, some members 

expressed concurrence with management’s view.  Management agreed with substantially 

all of the recommendations in the report, including the need to develop and communicate a 

formal policy on the proper use of maintenance and capital funds for unplanned 

requirements, the need to improve the documentation of funding source decisions and 

rationale, and the need to train those who authorize the use of Federal funds. 

Ms. Ryan then reported on other reports currently under way, including a second 

maintenance report.  She said that preliminary findings indicated that the Smithsonian was 

spending its money appropriately, that priority plans for maintenance spending were in 

place, and that no instances of injuries had been caused by disrepair.  She said that the 

audit of Smithsonian Networks’ contracts would be done by the end of the fiscal year and 

that her office also was issuing two draft reports, one on collections security and inventory 

controls at the National Air and Space Museum and another on Smithsonian‐wide personal 

property and accountability controls. 

Presentation of the Fiscal Year 2010 Audit Plan

Inspector General Ryan next discussed the fiscal year 2010 audit plan with the Committee, 

which will include a new audit in the mandatory audit category and the annual audit of 

travel and other expenses of the Board of Regents, which is required under the 

Smithsonian’s statute.  She stated that her office had already begun an audit on collections 

stewardship at the National Museum of American History. 

The Chair asked the Inspector General to focus on the security of the Smithsonian’s 

collections and to reconsider the timing of an audit of the security of the collections of the 

Smithsonian Institution Libraries, which is on the list of potential audits.  He suggested that 

it might be conducted in the coming year and Ms. Ryan agreed to consider doing so. 

Chief Financial Officer’s Update

CFO Alice Maroni updated the Committee on the activities of the Office of the Chief 

Financial Officer.  She provided a status report on the resolution of issues identified by 

KPMG in prior years’ management letters and indicted that all issues scheduled to be 

closed during fiscal year 2009 were either on track or already completed. 

CFO Maroni informed the Committee that a decision was made to hire a tax accountant in 

the Office of the Comptroller, which the Committee agreed was a good idea.  There was a 

discussion about the Institution’s annual tax filing and more specifically about the 

unrelated business income tax (UBIT) implications of real estate investments for the 

Smithsonian.  The Committee requested that the CFO and Comptroller prepare an 

information paper on whether the Smithsonian’s alternative investment gains associated 

with real estate investments would be subject to UBIT. 

With regard to internal controls, she informed the Committee that progress had been made 

on all controls identified for improvement.  She informed the Committee that one of the 

most controversial actions under way was an effort to create a Smithsonian directive about 

the acceptable use of non‐Federal funding.  She noted that a draft policy was expected to be 
released for review in the fall of 2009.  She told the Committee that the new directive 

would formalize a process currently handled by a number of informal policies.  With regard 

to the remaining 18 processes that were under review, she reported that concerns had 

increased about two areas: financial reporting and data security.  With regard to data 

security, she noted that the raised security standards imposed by the credit card industry 

had made them difficult to achieve.  She said that although the Institution was nearly 

compliant with the purchase card industry’s data standards last year, much more work 

now has to be done.  Consequently, this issue was downgraded from green to yellow. 

With respect to financial reporting, CFO Maroni also expressed concern about increasing 

reporting requirements (e.g., the new Form 990) and the quality of the data being reported.  

She informed the Committee that senior leadership had responded to this concern by 

including funding in the Smithsonian’s fiscal year 2011 Federal budget request to support 

staffing increases in this area. 

With respect to accountability and compliance, she reminded the Committee that a key 

priority identified in the Regents’ Governance Report was the need to foster a culture of 

accountability within the Institution.  Ms. Maroni reported that efforts to cultivate 

accountability are ongoing; she added that this commitment is evident in the Institution’s 

Statement of Values and Code of Ethics, addressed in the performance plan of every senior 

executive, and supported by the draft Strategic Plan’s emphasis on integrity. 

Dr. Jackson asked whether the Committee was the correct body to review the Institution’s 

tax return or whether this action should be undertaken by the Board of Regents.  The CFO 

responded that the Committee had previously agreed that some or all of the Committee 

could review the tax return, after which it would be sent to the Board of Regents.  She 

noted, however, that specific details about this process had yet to be worked out.   

The meeting adjourned at 11:20 a.m.  The Committee then conducted four separate 

executive sessions with KPMG, the General Counsel, the IG, and the CFO, after which it met 

alone. 
REPORT OF THE COMPENSATION AND HUMAN RESOURCES COMMITTEE

The Compensation and Human Resources Committee met on January 19, 2010.  Committee 

Chair Roger Sant will provide an oral summary of the meeting, including the annual review 

of senior executive compensation.  Mr. Sant will present for approval the Committee’s 

compensation recommendations in Executive Session, at which time supplemental 

materials will be distributed. The minutes of the Committee’s September 14, 2009, meeting, 

follow. 
* participated by teleconference

** Ms. Maroni was present from 1:35 to 1:45 p.m.

MINUTES OF THE SEPTEMBER 14, 2009, COMPENSATION AND HUMAN

RESOURCES COMMITTEE MEETING

The Compensation and Human Resources Committee (“the Committee”) of the Smithsonian 

Institution Board of Regents conducted a meeting on September 14, 2009, beginning at 

1:30 p.m. at the Smithsonian Institution Building in Washington, D.C.  Participating were 

Committee Chair Roger W. Sant and Committee members Senator Thad Cochran*, 

Representative Xavier Becerra*, and Patricia Stonesifer.  Also present were Secretary  

G. Wayne Clough, Chief of Staff to the Secretary Patricia Bartlett, Associate Director of the 

Office of Human Resources (OHR) Gregory R. Bettwy, Director of OHR James D. Douglas, 

Assistant to Senator Cochran T.A. Hawks*, Office of the Regents Program Officer Grace 

Jaeger, Chief of Staff to the Regents John K. Lapiana, General Counsel Judith Leonard, Chief 

Financial Officer Alice Maroni**, and PricewaterhouseCoopers Principal Carl Weinberg.  

Mr. Sant called the meeting to order at 1:35 p.m.  

Mr. Douglas gave the Committee updates on the Smithsonian Leadership Development 

Program, noting that the second session, Leadership 2.0, had begun and that a four‐session 

Leadership Forum featuring prominent human resources professionals providing lectures 

and interactive sessions, will be held shortly.  Funded in part by a gift, the Forum will be 

provided to 50–60 participants. 

Secretary Clough updated the Committee on the remaining senior vacancies.  Dr. Eva Pell 

was selected as the Under Secretary for Science and will begin in January 2010; she will 

attend the September 20, 2009, Regents’ dinner and the September 21, 2009, Regents’ 

meeting.  The search for a new National Zoological Park (NZP) Director is under way; the 

candidate pool will be narrowed to three shortly.  Former NZP Director John Berry, now 

the Director of the Office of Personnel Management, has provided valuable assistance to 

OHR.  The search for a new Cooper‐Hewitt Director has begun anew after the final 

candidate declined and the vacancy announcement for the Director of Education, funded by 

Regent Robert P. Kogod, was posted publicly and interviews will be scheduled shortly.   

Mr. Sant asked if there were any questions or comments on the minutes from the June 16, 

2009, Committee meeting.  There were none and the minutes were approved. 

FISCAL YEAR 2010 COMPENSATION

Several aspects of fiscal year 2010 compensation were discussed and agreed upon by the 

Committee.  Detailed background information was provided in the meeting materials. 

Compensation Approach

Several cost‐saving measures were proposed at the August 2009 meeting of the Finance 

Committee that would have required approval of the Committee.  Since then, the financial 

situation has improved such that the proposed measures will not be necessary.  

Smithsonian Enterprises (SE) has projected higher revenues than anticipated and the 2010 
general pay increase is projected to be smaller than previously estimated.  Therefore, a pay 

freeze for non‐senior Trust positions will not be necessary; however, the Trust hiring 

freeze will continue and there will likely be a buyout program.  Secretary Clough noted that 

senior level pay increases may be possible and that the decision will be made in December 

2009.   

Disqualified Person Positions

Information provided in the meeting materials was discussed and members concurred on 

the following changes to the Disqualified Persons List suggested by OHR: 

• approve the list of Disqualified Persons positions for 2010 provided in the meeting 

materials, leaving the total number at 25, 

• delete the position of Under Secretary for Art, and 

• add the Director of Business Development and Licensing position. 

Decision Making Levels

Mr. Sant noted that over time the number of positions for which the Committee and Full 

Board decide compensation has decreased from hundreds to less than 25.  The 

recommended total number of positions for review for 2010 is 225 with 37 decided by the 

Committee and 16 by the Full Board.  The remaining will be decided by the Secretary.  

Members of the Committee concurred with the recommendations made by OHR. 

Compensation Philosophies

The Committee reviewed changes made to the Smithsonian’s Compensation Philosophies 

for Senior Level Trust and Federal Executives, which were made in response to the new IRS 

form 990.  Drafted by the Office of General Counsel and incorporated by OHR, the changes 

will document the Institution’s compensation decision‐making process and ensure that the 

Institution fully meets IRS standards and that there are no conflicts of interest.   

Executive Compensation Process

The Smithsonian obtains comparable compensation data for its executive positions every 

two years and ages that data in the off years, as documented in the Compensation 

Philosophies.  Calendar year 2010 will be an off year and under the terms of the contract 

with PricewaterhouseCoopers (PWC), which was executed in 2008 for calendar year 2009, 

PWC will provide the Institution with an aging factor that OHR will use to determine 

executive level compensation proposals for the Committee’s review at the December 2009 

and January 2010 meetings.

In addition to the aging factor, for 2010 the Smithsonian will ask PWC to provide 

comparable salary data for three new positions: Director of Education, Director of Planned 

Giving, and Director of the National Capital Campaign, as well as for the position of 

Secretary, which will be requested every year due to high degree of scrutiny given to this 

position.  PWC will also look at comparable data for Smithsonian Enterprises publishing 

positions and positions in the Office of the Chief Investment Officer, although data may not 

be available due to changes in the economy.   
Mr. Sant requested that the minutes document the compensation discussion in order to 

comply with IRS Form 990 requirements. 

COMMITTEE DASHBOARDS

Mr. Bettwy provided an overview of the Committee dashboards provided in the meeting 

materials.  The dashboards provide statistics on race/ethnicity and gender, performance 

ratings distribution for staff and executives, and the executive compensation timeline.  He 

said that the charts (which include Smithsonian Enterprises, or SE) show a stable 

workforce and a stable distribution of race/ethnicity and gender.   

The performance rating chart shows that most employees receive an outstanding rating 

but it is anticipated that senior ratings will change once the new performance appraisal 

system is in place.  He noted that for fiscal year 2009, the Smithsonian’s attrition rate was 

13.4% (vs. 15.29% average for the Federal government) and its gain rate was 13.8% (vs. 

17% average for the Federal government).  As of August 1, 2009, the total number of 

Smithsonian employees was 6,240.  Mr. Sant requested the chart be shown without SE 

employees and always with the Federal government rates for comparison. 

Discussion followed on which charts Committee members would like to continue receiving 

and what changes should be made to their content.  Ms. Stonesifer requested information 

on recruitment pools and Mr. Sant requested a chart on diversity in the senior ranks.  Mr. 

Becerra noted that the populations in many of the categories are small and percentages can 

be misleading; he requested that actual numbers be given as well as percentages. 

Ms. Stonesifer also requested that a metric be developed to show employee engagement as 

measured by the employee survey. 

NEW REQUIREMENTS FROM THE OFFICE OF PERSONNEL MANAGEMENT

The Committee discussed the new priorities that the Office of Personnel Management, with 

the change in administration, is emphasizing:  

• Hiring Reform (improvements in hiring process mapping, streamlined/plain 

language job announcements, hiring manager involvement, and applicant 

notification);  

• Work‐Life Initiatives (improving employee satisfaction and worklife 

practices); 

• Federal Benefits for Same‐Sex Domestic Partners; and  

• Recruitment, Relocation, and Retention Incentives.   

Because the latter was discussed at the previous Committee meeting, OHR submitted a 

report on use of these incentives at the Smithsonian. 

The Committee went into executive session and the meeting was adjourned at 2:45 p.m. 

Respectfully submitted,  

Roger W. Sant, Chair 
REPORT OF THE ADVANCEMENT COMMITTEE

The Advancement Committee met on January 13, 2010.  Committee member and Board 

Chair Patricia Stonesifer will provide an oral summary of the Committee’s discussions to 

the Board of Regents at its January 25, 2010, meeting.  The following papers will support 

the Board’s consideration of the proposed motions.   

A. Endowment, Quasi­Endowment, and Bequest Actions

Proposed Motions: VOTED that the Board of Regents creates and names the Jeffrey P.  

Cunard Endowment, an endowment to support the needs of the 

Freer Gallery of Art and Arthur M. Sackler Gallery as determined 

by the director of the Galleries.  The director will have the 

discretion to return any unspent income to the endowment for 

reinvestment. 

VOTED that the Board of Regents creates and names The May 

Liang and James Lintott Foundation Endowment.  The endowment 

will support the annual needs of the Freer Gallery of Art and 

Arthur M. Sackler Gallery until such time as the Galleries’ director, 

in agreement with the donors, shall determine the endowment’s 

designation, which shall take place before or by the conclusion of 

the Galleries’ current endowment campaign. 

VOTED that the Board of Regents approves the creation of an 

endowment for the Smithsonian American Art Museum to be 

established after the donor’s death with a payment from a 

universal life insurance policy.  The endowment will support the 

Museum’s exhibitions program; it may not be used for salaries or 

for other operating or capital expenses.  Its payout is to be used at 

the discretion of the Museum’s director and may be returned to 

the endowment’s principal.  Further, the Regents approve naming

the endowment, when it is established, the Charles Robertson 

Exhibitions Endowment.   

VOTED that the Board of Regents creates and names the Catherine 

and Ralph Benkaim Endowment to support Indian art and 

associated programs at the Freer Gallery of Art and Arthur M. 

Sackler Gallery.  At the discretion of the director of the Galleries, 

the endowment may also be used to support Islamic art and 

associated programs. 

   
VOTED that the Board of Regents creates a quasi‐endowment for 

the National Portrait Gallery for the general purposes of the 

Gallery.  Further, the Board authorizes the transfer of funds 

identified for this purpose to the endowment, which shall be 

known for administrative purposes as the National Portrait 

Gallery Endowment.  

VOTED that the Board of Regents creates a quasi‐endowment for 

the National Zoological Park to support the proper preservation, 

care, treatment, and study of wildlife.  For administrative purposes 

the quasi‐endowment will be known as the Animal and Plant Care,

Conservation, and Study Fund.  Further, the Board authorizes the 

transfer of funds identified for this purpose. 

VOTED that the Board of Regents permits $3.25 million in 

unrestricted realized bequests to the Smithsonian be directed to 

meet a challenge grant by the Andrew W. Mellon Foundation and, 

using these bequests and the Foundation’s $1.75 million challenge 

grant, create an endowment to support the director’s position for 

the Museum Conservation Institute. 

B.   Minutes of the September 10 and November 3, 2009, Committee Meetings  
PROPOSED CREATION AND NAMING OF AN ENDOWMENT:

THE JEFFREY P. CUNARD ENDOWMENT

for the Freer Gallery of Art and Arthur M. Sackler Gallery

DONOR:  Jeffrey P. Cunard. 

GIFT:  $750,000 by an agreement made in September 2009. 

PURPOSE: Create an unrestricted endowment to support the needs of the Freer 

Gallery of Art and Arthur M. Sackler Gallery as determined by the director 

of the Galleries.  The director will have the discretion to return any 

unspent income to the endowment for reinvestment. 

RECOGNITION:  Name the endowment in honor of the donor, Jeffrey P. Cunard.  

DONOR

DESCRIPTION:

Jeffrey Cunard is the managing partner of the Washington, D.C., office of 

the law firm Debevoise & Plimpton LLP.  He was a member of the 

Galleries’ Board of Trustees from 2001 to 2009 and served two, three‐

year terms as its Chair.  Mr. Cunard has been a Friend of the Freer and 

Sackler Galleries since 1999.  Prior to this gift, he has made several other 

generous gifts of support to the Galleries. 

POLICY:  The proposed action adheres to applicable Smithsonian directives and the 

Institution’s guiding principles, policies, and procedures, as set forth by 

the Board of Regents. 

PROPOSED

MOTION:

VOTED that the Board of Regents creates and names the Jeffrey P. Cunard 

Endowment, an endowment to support the needs of the Freer Gallery of 

Art and Arthur M. Sackler Gallery as determined by the director of the 

Galleries.  The director will have the discretion to return any unspent 

income to the endowment for reinvestment.
PROPOSED CREATION AND NAMING OF AN ENDOWMENT:

THE MAY LIANG AND JAMES LINTOTT FOUNDATION ENDOWMENT

for the Freer Gallery of Art and Arthur M. Sackler Gallery

DONOR: The May Liang and James Lintott Foundation. 

GIFT: $300,000 by an agreement made in August 2009.  

PURPOSE: Create an endowment to support the annual needs of the Freer Gallery of 

Art and Arthur M. Sackler Gallery as determined by the director of the 

Galleries until such time as the director, in agreement with the donors, 

shall determine the endowment’s designation, which shall take place 

before or by the conclusion of the Galleries’ current endowment

campaign.  

  

RECOGNITION: Name the endowment The May Liang and James Lintott Foundation 

Endowment, in honor of the donor. 

DONOR

DESCRIPTION:

James Lintott is the chairman of Sterling Foundation Management, which 

works to manage and structure private foundations for individuals.  Mr. 

Lintott has been a member of the Galleries’ Board of Trustees since 2007.  

Mr. Lintott and Ms. Liang have been Friends of the Freer and Sackler 

Galleries since 2005 and members of the James Smithson Society since 

2000.  Prior to this gift, the donors have generously supported the Freer 

and Sackler Galleries and the Smithsonian. 

POLICY: The proposed action adheres to applicable Smithsonian directives and the 

Institution’s guiding principles, policies, and procedures, as set forth by 

the Board of Regents. 

PROPOSED

MOTION:

VOTED that the Board of Regents creates and names The May Liang and 

James Lintott Foundation Endowment.  The endowment will support the 

annual needs of the Freer Gallery of Art and Arthur M. Sackler Gallery 

until such time as the Galleries’ director, in agreement with the donors, 

shall determine the endowment’s designation, which shall take place 

before or by the conclusion of the Galleries’ current endowment

campaign. 
PROPOSED CREATION AND NAMING OF AN ENDOWMENT:

THE CHARLES ROBERTSON EXHIBITIONS ENDOWMENT

for the Smithsonian American Art Museum

DONOR:  Charles J. Robertson. 

GIFT:  By a gift agreement entered into in October 2009, the donor established a 

universal life insurance policy with a face value of $250,000 and named 

the Smithsonian the policy’s owner and sole irrevocable beneficiary.  The 

agreement further specifies that the donor pledges to make annual gifts to 

the Smithsonian in an amount matching the annual premium payments 

due on the policy.   

   

PURPOSE:  Establish an endowment for the Smithsonian American Art Museum after 

the donor’s death using the $250,000 payment from the insurance policy.  

The endowment will support the Museum’s exhibitions program.  Its 

payout is to be used at the discretion of the Museum’s director and may be 

returned to the endowment’s principal.  The endowment funds may not be 

used for salaries or for other operating or capital expenses.     

RECOGNITION:  Name the endowment the Charles Robertson Exhibitions Endowment. 

DONOR

DESCRIPTION: 

Charles Robertson of Washington, D.C., served as deputy director of the 

Smithsonian American Art Museum from 1986 to 2002.  Since retiring 

from the Smithsonian, he has guest‐curated two Museum exhibitions, 

Temple of Invention: History of a National Landmark and The Honor of Your

Company Is Requested: President Lincoln’s Inaugural Ball.  Mr. Robertson is 

active in the Washington, D.C., community, serving on the District of 

Columbia Historic Preservation Review Board and as an officer or board 

member of the American Association of Museums, the Victorian Society in 

America, the American Architectural Foundation, the Octagon House 

Museum, and the Cosmos Club Historic Preservation Foundation.  

POLICY:  The proposed action adheres to applicable Smithsonian directives and the 

Institution’s guiding principles, policies, and procedures, as set forth by 

the Board of Regents. 

ACTION: VOTED that the Board of Regents approves the creation of an endowment 

for the Smithsonian American Art Museum to be established after the 

donor’s death with a payment from a universal life insurance policy.  The 

endowment will support the Museum’s exhibitions program; it may not be 

used for salaries or for other operating or capital expenses.  Its payout is 

to be used at the discretion of the Museum’s director and may be returned 

to the endowment’s principal.  Further, the Regents approve naming the 

endowment, when it is established, the Charles Robertson Exhibitions 

Endowment.   
PROPOSED CREATION AND NAMING OF AN ENDOWMENT:

THE CATHERINE AND RALPH BENKAIM ENDOWMENT

for the Freer Gallery of Art and Arthur M. Sackler Gallery

DONOR:  Catherine Benkaim.  

GIFT:  $100,000 by an agreement made in September 2009.  

PURPOSE: Create an endowment to support Indian art and associated programs at 

the Freer Gallery of Art and Arthur M. Sackler Gallery.  At the discretion of 

the director of the Galleries, the endowment may also be used to support 

Islamic art and associated programs. 

RECOGNITION:  Name the endowment the Catherine and Ralph Benkaim Endowment in 

honor of the donor and her late husband.  

DONOR

DESCRIPTION:

Catherine Benkaim is an independent scholar and art historian who holds 

a Ph.D. in East Indian sculpture and painting.  She has been a member of 

the Galleries’ Board of Trustees since 2003 and a Friend of the Freer and 

Sackler Galleries since 2002.  Prior to this gift, the donor has made several 

generous gifts of support to the Galleries. 

  

POLICY:  The proposed action adheres to applicable Smithsonian directives and the 

Institution’s guiding principles, policies, and procedures, as set forth by 

the Board of Regents. 

PROPOSED

MOTION:

VOTED that the Board of Regents creates and names the Catherine and 

Ralph Benkaim Endowment to support Indian art and associated 

programs at the Freer Gallery of Art and Arthur M. Sackler Gallery.  At the 

discretion of the director of the Galleries, the endowment may also be 

used to support Islamic art and associated programs. 
PROPOSED CREATION OF A QUASI­ENDOWMENT

for the National Portrait Gallery

ACTION AND

PURPOSE:

Establish a quasi‐endowment for the general purposes of the National 

Portrait Gallery.  For administrative purposes, the endowment shall be 

known as the National Portrait Gallery Endowment.  The Museum 

anticipates adding to the endowment in the future.  

FUNDS:  A $53,619 bequest from the estate of Richard F. Evans, made to the 

National Portrait Gallery, but otherwise unrestricted. The gift was 

received in September 2009.   

POLICY:  The proposed action adheres to applicable Smithsonian directives and the 

Institution’s guiding principles, policies, and procedures, as set forth by 

the Board of Regents. 

PROPOSED

MOTION:

VOTED that the Board of Regents creates a quasi‐endowment for the 

National Portrait Gallery for the general purposes of the Gallery.  Further, 

the Board authorizes the transfer of funds identified for this purpose to 

the endowment, which shall be known for administrative purposes as the 

National Portrait Gallery Endowment.  
PROPOSED CREATION OF A QUASI­ENDOWMENT

for the National Zoological Park

FUNDS:  $39,069.22 received in October 2009 from the estate of Virginia E. 

Donovan.  

PURPOSE:  Create a quasi‐endowment for the benefit of the National Zoo that 

supports the proper preservation, care, treatment, and study of wildlife, 

as stated in the donor’s will.  For administrative purposes the quasi‐

endowment will be known as the Animal and Plant Care, Conservation, 

and Study Fund.  The Zoo anticipates that other gifts may be added to the 

endowment in the future. 

POLICY:  The proposed action adheres to applicable Smithsonian directives and 

the Institution’s guiding principles, policies, and procedures, as set forth 

by the Board of Regents. 

PROPOSED

MOTION:

VOTED that the Board of Regents creates a quasi‐endowment for the 

National Zoological Park to support the proper preservation, care, 

treatment, and study of wildlife.  For administrative purposes the quasi‐

endowment will be known as the Animal and Plant Care, Conservation, 

and Study Fund.  Further, the Board authorizes the transfer of funds 

identified for this purpose. 
PROPOSED REDIRECTION OF BEQUESTS AND CREATION OF AN

ENDOWMENT

for the Museum Conservation Institute

PROPOSED

ACTIONS:

Section 6.02 of the Bylaws of the Board of Regents states that bequests to 

the Smithsonian “unless otherwise directed . . . by the Board of Regents . . 

. shall be held in the Smithsonian Institution endowment fund.”  Pursuant 

to Section 6.02, the Smithsonian requests that the Board of Regents direct 

four unrestricted realized bequests to meet a challenge grant made by 

the Andrew W. Mellon Foundation and, using these funds and the 

Foundation’s grant, create an endowment to support the director’s 

position for the Museum Conservation Institute (MCI). 

In December 2007, the Andrew W. Mellon Foundation made a  

$1.75 million challenge grant to MCI which, when matched by  

$3.25 million in newly raised funds, would be used to establish a  

$5 million endowed position for the Institute’s director.  By the terms of 

the challenge grant, the Smithsonian must raise the $3.25 million in new 

funds by December 31, 2011.  In March 2009, the Foundation confirmed 

that it would permit the application of realized bequests toward its 

challenge.  The Foundation will not have its name associated with the 

position, and Federal funds released by creating the endowment are to 

remain in the MCI budget allocation.   

FUNDS:  $3.25 million, consisting of three unrestricted realized bequests and a 

partial distribution from one unrestricted realized bequest: $1,092,711 

received in October 2008 from the estate of Dr. Georgette Kamenetz; 

$1,554,312 received in November 2009 from the estate of John R.

Huggard; $432,200 received in December 2009 from the estate of 

Marguerite L. Bender; and a partial distribution of $170,777 received in 

September 2008 from the estate of John A. and Helen L. Burnham.

POLICY:  The proposed action adheres to applicable Smithsonian directives and 

the Institution’s guiding principles, policies, and procedures, as set forth 

by the Board of Regents. 

PROPOSED

MOTION:

VOTED that the Board of Regents permits $3.25 million in unrestricted

realized bequests to the Smithsonian be directed to meet a challenge 

grant by the Andrew W. Mellon Foundation and, using these bequests 

and the Foundation’s $1.75 million challenge grant, create an endowment 

to support the director’s position for the Museum Conservation Institute. 
(* participated by teleconference) 

MINUTES OF THE NOVEMBER 3, 2009, ADVANCEMENT COMMITTEE

MEETING

The Advancement Committee (“the Committee”) of the Board of Regents met on November 

3, 2009, in the Regents’ Room of the Smithsonian Castle in Washington, D.C.  Participating 

were Committee Chair Alan G. Spoon* and Committee members Travis Engen, Sakurako 

Fisher*, Robert Kogod, and Adrienne Mars*.  Staff members present were Chief of Staff to 

the Secretary Patricia Bartlett, Director of External Affairs Virginia B. Clark, Director of 

Development Services Zully Dorr, Chief of Staff to the Regents John K. Lapiana, General 

Counsel Judith Leonard, Campaign Director Jenine Rabin, and Office of External Affairs 

Manager of Communications Bill Tabor.    

The agenda consisted of the approval of the minutes of the Committee’s September 10, 

2009, meeting; comments on the Strategic Plan by Secretary Clough; updates on action 

items from the September 10, 2009, meeting; a Campaign planning report; a discussion on 

Campaign budget models; fund‐raising results for fiscal year 2009; and a review of pending 

gifts.   

Call to Order

The Chair called the meeting to order at 10:07 a.m.  

Approval of the Minutes of the September 10, 2009, Meeting

The minutes of the September 10, 2009, meeting were sent to members in advance of this 

meeting.  The Chair asked for comments.  There being none, it was moved that the minutes 

be approved.  The motion was seconded and the minutes were approved by unanimous 

vote.   

Comments on the Strategic Plan by the Secretary  

Since the last meeting of the Committee, the Strategic Plan was presented to and approved 

by the Board of Regents on September 21, 2009.  The Secretary commented that he had 

discussed the plan with eight of 30 Smithsonian unit advisory boards and found each to be 

supportive of it.  Mr. Spoon asked if the Secretary was asked questions about funding the 

plan.  The Secretary said the questions asked have been organizational in nature, such as 

how each unit will fit into the plan.  He added that the plan was being printed for 

distribution.  

Secretary Clough reported that the fiscal year 2010 Federal budget just passed, and that the 

Smithsonian received a good appropriation.  He commented on three items in the budget—

$1.5 million for the Smithsonian Global Earth Observatories (SIGEO), $1.5 million for Web 

access, and $1 million for digitization—and noted that the second and third items will 

support the Strategic Plan’s priority of broadening access.  The appropriation also includes 

$20 million for the National Museum of African American History and Culture and funding 

for the interior revitalization of the Arts and Industries Building.   
Action Item Updates from the September 10, 2009, Meeting  

Ms. Clark reported on action items from the September 10 meeting and reviewed a 

Campaign chart that demonstrated overall Campaign activity and major initiatives.  The 

Committee was informed that formal Campaign budget reports with detailed financial 

information will be provided by the Office of Development in early fiscal year 2011, after 

the Campaign budget is finalized, and that updates on Campaign spending will be provided 

until that time.  

Campaign Planning Progress  

Ms. Clark then reported on Campaign planning progress, which she characterized as an 

intensive phase of preparation.  She commented on current major efforts, including 

selecting an IT vendor, creating a comprehensive staffing plan, and focusing the units on 

their plans, incluging money and staffing needs.   

Secretary Clough said that the Office of External Affairs discussed the fund‐raising IT 

system with the Office of the Chief Technology Officer and that good progress had been 

made.  The Smithsonian will purchase an “off the shelf” system that will support the 

sharing of information from all units and the preparation of good financial and 

performance reports.  The Committee discussed the system and was told that it will be kept 

well‐informed on its progress.  Ms. Clark also reported that a professional development 

training program for museum directors and other leadership has begun.  Outside 

consultants are assisting with the program.  She then reviewed the Campaign calendar that 

provided an overview of the Campaign, as well as benchmark goals and initiatives.  A 

Committee member said that while the calendar presented a summary of Campaign 

activity, future discussions would benefit from the addition of the detailed tracking 

document used by staff.   

Campaign Budget Models

Ms. Clark, assisted by Ms. Rabin, discussed campaign budget models.  Members had 

received materials about the models in advance of the meeting.  Ms. Clark reminded the 

Committee that the Smithsonian historically had funded development operations on a year‐

to‐year basis.  She said that this discussion of campaign budget models would be a 

preliminary introduction to a complex subject, that no conclusions would be expected from 

this meeting, and that a formal Campaign budget request would be presented in the spring 

of 2010.  She noted that the campaign budget models were the result of a team effort; had 

been vetted by staff in the offices of budget, finance, and General Counsel; and had been 

benchmarked using reports and data from outside organizations.   

The Committee reviewed five campaign funding options—assessing gifts; assessing the 

Endowment; earning interest from holding gifts; recovering indirect costs of private grants; 

and gaining short‐term investment income on gift funds—and noted that a combination of 

options would be needed.  Supporting materials for the five options included benchmarks, 

internal principles, internal cost assumptions, and assumptions used in preparing the 

analysis, which used a cost‐per‐dollar‐raised estimate of $.16.  
Mr. Spoon asked members to comment based on their fund‐raising experiences.  Among 

the number of points discussed was the importance of clarity and transparency in 

communications about the selected funding methods, including explaining to the public 

how costs are conveyed.  A Committee member asked if Campaign funds could be 

borrowed from the Endowment and repaid with unrestricted Campaign gifts.   

Ms. Clark said that assessing gifts was a common fund‐raising practice and that fees 

charged range from 5 to 10 percent.  When asked to comment, Committee members said 

that charges should be standardized, disclosed to donors in a user‐friendly way, and 

factually conveyed as a necessary business cost.  The Committee requested more 

information from five Smithsonian units that presently charge overhead fees, including 

feedback from donors about this practice.  

Ms. Clark discussed the option of assessing the Endowment, which can be done by 

increasing the Endowment’s payout or by charging an assessment on the payout.  Mr. 

Spoon asked for comments.  A member described the practice as troublesome, as 

increasing the payout would be the same as invading its principal, and said that the option 

should be the last choice.  Secretary Clough commented that Georgia Tech employed a 

graduated assessment on the payout of its endowment, and that the school informed its 

previous endowment donors when the charge was established.  Ms. Rabin shared 

information about eight state university foundations that charge fees on their endowments’ 

payouts.  Mr. Spoon asked that staff provide more information on university foundation 

practices, specifically on whether endowments’ payouts were increased or if current 

payouts were reallocated to fund development.  A member observed that more will be 

known about IT and personnel costs, which are large and have a large impact on costs, in 

April 2010.   

Fund Raising Results as of September 30, 2009

Ms. Clark reported that the Smithsonian raised $126.5 million in fiscal year 2009, or $6.5 

million over its fund‐raising goal.  She said that it reflected the warm welcome being given 

to the Secretary and the Smithsonian.  Further details of the year’s results were provided in 

handouts.  

Review of Pending Gifts

Ms. Clark presented five pending gifts for the Committee’s review: the creation and naming 

of The May Liang and James Lintott Foundation Endowment, the Catherine and Ralph 

Benkaim Endowment, and the Jeffrey P. Cunard Endowment, each to benefit the Freer 

Gallery of Art and the Arthur M. Sackler Gallery; the creation of a quasi‐endowment for the 

National Portrait Gallery; and the creation and naming of the Charles Robertson 

Exhibitions Endowment at the Smithsonian American Art Museum.  Discussion of the 

insurance gift associated with the proposed Robertson endowment led to a discussion of 

gifts of insurance and Mr. Spoon requested further information on the acceptance of 

insurance gifts.  He then asked for an en bloc vote to approve the submission of the 

following five motions to the Board of Regents for its approval.  The motion was seconded, 

moved, and approved by unanimous vote: 
VOTED that the Board of Regents creates and names The May Liang and James 

Lintott Foundation Endowment.  The endowment will support the annual needs of 

the Freer Gallery of Art and Arthur M. Sackler Gallery until such time as the 

Galleries’ director, in agreement with the donors, shall determine the endowment’s 

designation, which shall take place before or by the conclusion of the Galleries’ 

current endowment campaign. 

VOTED that the Board of Regents creates and names the Catherine and Ralph 

Benkaim Endowment to support Indian art and associated programs at the Freer 

Gallery of Art and Arthur M. Sackler Gallery.  At the discretion of the director of the 

Galleries, the endowment may also be used to support Islamic art and associated 

programs. 

VOTED that the Board of Regents creates and names the Jeffrey P. Cunard 

Endowment, an endowment to support the needs of the Freer Gallery of Art and 

Arthur M. Sackler Gallery as determined by the director of the Galleries.  The 

director will have the discretion to return any unspent income to the endowment 

for reinvestment. 

VOTED that the Board of Regents creates a quasi‐endowment for the National 

Portrait Gallery for the general purposes of the Gallery.  Further, the Board 

authorizes the transfer of funds identified for this purpose to the endowment, which 

shall be known for administrative purposes as the National Portrait Gallery 

Endowment.  

VOTED that the Board of Regents approves the creation of an endowment for the 

Smithsonian American Art Museum to be established after the donor’s death with a 

payment from a universal life insurance policy.  The endowment will support the 

Museum’s exhibitions program; it may not be used for salaries or for other 

operating or capital expenses.  Its payout is to be used at the discretion of the 

Museum’s director and may be returned to the endowment’s principal.  Further, the 

Regents approve naming the endowment, when it is established, the Charles 

Robertson Exhibitions Endowment.  

Adjournment

A member asked if a specific planned giving goal would be established when the Campaign 

goal has been set. Ms. Clark confirmed that a specific planned giving goal would be 

established at that time. 

There being no further business, this meeting of the Advancement Committee was 

adjourned at approximately 11:50 a.m.   

Respectfully submitted,  

Alan G. Spoon, Chair 
MINUTES OF THE SEPTEMBER 10, 2009, ADVANCEMENT COMMITTEE

MEETING

The Advancement Committee (“the Committee”) of the Board of Regents held a phone 

conference on September 10, 2009.  Participating were Committee Chair Alan G. Spoon* 

and Committee members Hacker Caldwell*, Travis Engen*, Sako Fisher*, Robert Kogod*, 

and Adrienne Mars*, as well as ex officio member and Board Chair Patricia Stonesifer*.  

Present in the Regents’ Room of the Smithsonian Castle in Washington, D.C., were Secretary 

G. Wayne Clough, Chief of Staff to the Secretary Patricia Bartlett, Director of External Affairs 

Virginia B. Clark, Chief of Staff to the Regents John K. Lapiana, General Counsel Judith 

Leonard, Campaign Director Jenine Rabin, and Office of External Affairs Manager of 

Communications Bill Tabor. 

The agenda consisted of the review of the minutes of the Committee’s June 16, 2009, 

meeting; a report on actions from the June 16, 2009, meeting and campaign planning; a 

discussion and vote on the fiscal year 2010 campaign budget request; a review of fiscal 

year 2009 fund‐raising results through August 31, 2009, a report on fiscal year 2010 fund‐

raising goals; and a review of pending gifts. 

Call to Order

Chair Alan Spoon called the meeting to order at 11:05 and welcomed members.   

Approval of June 16, 2009, Meeting Minutes

The minutes of the June 16, 2009, meeting were included in materials sent to members in 

advance of the meeting.  The Chair asked for comments.  There being none, it was moved 

that the minutes be approved.  The following motion was seconded and the minutes were 

approved by unanimous vote. 

VOTED that the minutes of the Advancement Committee meeting of June 16, 2009 

are approved without changes.   

Mr. Spoon made short remarks concerning the Institution’s Strategic Plan, which was 

scheduled to be presented to the Board of Regents at its September 21, 2009, meeting.  

Secretary Clough commented on the plan’s themes and the ways it would positively affect 

fund‐raising efforts.   

Report On Actions from June 16, 2009, Committee Meeting and Campaign Planning

Mr. Spoon reported that good progress had been made on the campaign planning actions 

identified at the Committee’s last meeting.  Ms. Clark said that work was proceeding 

according to schedule and the Strategic Plan would soon start to be integrated into 

campaign planning.  She and her staff had met with unit directors and initiated unit 

campaign work plans, which will guide each units’ through the development of a full  

(* participated by teleconference) 
campaign plan.  She reported that the first sections of the unit campaign work plans would 

be due in November 2009 and the full plans would be due in February 2010; she also noted 

that writing the plans had prompted good dialogs and many questions.  The Committee 

discussed managing prospects in a campaign environment.  Ms. Stonesifer said the units’ 

campaign work plans would build the overall campaign plan from the bottom up.  She then 

asked how giving across units would be achieved and Ms. Clark said she and her staff 

would work with the Under Secretaries on this dimension of the planning work.  The initial 

campaign plan will be presented to the Advancement Committee in March 2010 and to the 

Board of Regents in April 2010.  Ms. Stonesifer asked if a chart that showed campaign 

planning and its progress might be developed for the Committee’s reference in future 

meetings.   

Fiscal Year 2010 Campaign Budget Request  

Ms. Clark presented a request for $2.3 million in new funds in fiscal year 2010 to fund 

further campaign planning and infrastructure.  She explained that, while all campaign 

expenses in fiscal year 2010 would total $3.1 million, $800,000 would carry over into fiscal 

year 2010 from a previous campaign allocation, leaving the balance of the funding request 

at $2.3 million.  She said that campaign funding models were being developed for the full 

Campaign and would be presented to the Committee in October 2009.  Members asked a 

number of questions about the budget and how it was projected, how it could determine 

that campaign funds were being spent efficiently, and how resources would be allocated 

between the central development office and the units.  Other matters discussed were how 

raising private funds through the campaign may affect Federal appropriations and the 

timing of campaign investments in information technology.  Mr. Spoon noted that in the 

future the Committee would need campaign reports that show budget and actual 

expenditures and that track the efficiency of campaign spending.  There being no further 

questions, Mr. Spoon asked for a vote on the following  

VOTED that the Advancement Committee recommends that the Board of Regents 

approve the proposed budget to support the National Campaign and development‐

related projects in fiscal year 2010.  

The motion was seconded, and passed by a unanimous vote.  

Fund­Raising Results as of August 31, 2009, and the Fiscal Year 2010 Fund­Raising

Goal

Ms. Clark made a brief report on the Institution’s fund‐raising progress through August 31, 

2009.  She confirmed that the Smithsonian would likely raise about $110 million by the end 

of fiscal year 2009, which would be less than its original fund‐raising goal of $120 million 

and reflected the weak economy and leadership transitions at Smithsonian museums, 

including Cooper‐Hewitt, National Design Museum; the National Zoological Park; and the 

National Museum of African Art.  She noted, however, that the year also held many 

positives.  These included gifts or grants totaling $12.5 million in continued funding for the 

Encyclopedia of Life; $8 million to the National Postal Museum, the largest gift yet made to 

that museum; $6 million from Airbus, Inc. toward construction of the National Air and 
Space Museum’s Steven F. Udvar‐Hazy Center; $4 million towards planning for the National 

Museum of African American History and Culture, as well as $3 million from the Rockefeller 

Foundation and $1 million from the Prudential Foundation; and $2.6 million from The 

Gordon and Betty Moore Foundation to the Smithsonian Astrophysical Observatory.  

Another positive sign was the performance of the Contributing Membership program, 

which would meet its revised goals at a time when many peer organizations would not.  

She said that these accomplishments bode well for the campaign.  

The Committee discussed the Smithsonian’s ambitious fiscal year 2010 fund‐raising goal of 

$130 million.  It was noted that the implementation of the Strategic Plan and the continuing 

preparations for the campaign would support that goal.  Mr. Spoon and Secretary Clough 

concurred that the goal was aggressive, and the Secretary observed that achieving it would 

demonstrate the Smithsonian’s ability to reach new fund‐raising levels.  

Review of Pending Gifts  

Ms. Clark led a review four pending gift items: the creation of a true and quasi‐endowment 

and naming of The David Challinor Fellowship at the National Zoological Park; the naming 

of the Hank Strong Enrichment Lab at the National Zoological Park; the acceptance of 

Microsoft Corporation’s in‐kind gift to the Office of the Chief Information Officer; and the 

naming of the Eric R. Keto Prize for Graduate Students in Theoretical Astrophysics and 

creation of an endowment for it at the Smithsonian Astrophysical Observatory.  Mr. Spoon 

asked for an en bloc vote on the four motions, which was seconded and moved.  The 

following motions were approved by unanimous vote: 

VOTED that the Advancement Committee recommends that the Board of Regents 

creates a true endowment and a quasi endowment to support a research fellowship 

at the National Zoological Park and authorizes their establishment using funds 

identified for this purpose.  Further, the Regents approve naming the fellowship The 

David Challinor Fellowship. 

VOTED that the Advancement Committee recommends that the Board of Regents 

recognizes the generosity of the Hattie M. Strong Foundation to the National 

Zoological Park and, in honor of the foundation’s former president and chairman, 

names the Think Tank exhibit’s new classroom/lab The Hank Strong Enrichment 

Lab for 20 years or until the classroom/lab’s next major renovation, whichever is 

latest. 

VOTED that the Advancement Committee recommends that the Board of Regents 

recognizes the generosity of Microsoft Corporation to the Office of the Chief 

Information Officer and accepts the terms of the gift agreement.  

   
VOTED that the Advancement Committee recommends that the Board of Regents 

recognizes the generosity of Eric R. Keto to the Smithsonian Astrophysical 

Observatory and approves naming The Eric R. Keto Prize for Graduate Students in 

Theoretical Astrophysics, which is made possible by his gift.  The Board of Regents 

also approves the creation of an endowment to support this prize. 

The Committee briefly discussed an $8 million gift from William H. Gross to the National 

Postal Museum, which was approved by the Executive Committee on August 28, 2009. 

Secretary Clough noted that the gift, the largest yet received by that museum, was made 

possible by the hard work of many Smithsonian staff.  

Adjournment

There being no further business, this meeting of the Advancement Committee was 

adjourned at 12:28 p.m.   

Respectfully submitted,  

Alan G. Spoon, Chair 
REPORT OF THE STRATEGIC PLANNING AND PROGRAMS COMMITTEE

Committee Chair Doris Matsui will provide updates on several initiatives to the Board at its 

January 25, 2010, meeting.  The following papers will support Ms. Matsui’s updates.  

A. International Museum Education Program and  

Proposed Pilot: Abu Dhabi Museum Professional Training Center

B. Arts and Industries Building Update

    C. Draft Minutes of the September 14, 2009, Committee Meeting  
INTERNATIONAL MUSEUM PROFESSIONAL EDUCATION PROGRAM

Background

At its September 21, 2009, meeting, the Board discussed the possible establishment of a 

pilot museum professional training program in Abu Dhabi, United Arab Emirates.  The 

Board requested that the Secretary further develop the concept of, and guiding principles 

for, the overall global program for the Regents’ endorsement.  The following paper is 

provided by the Secretary to support the creation of a Smithsonian International Museum 

Professional Education Program.  If endorsed by the Board, the Secretary will seek the 

guidance of an ad hoc Regents group on proposing an initial pilot program in Abu Dhabi.  

The ad hoc group was identified at the September 21 meeting and consists of Regents 

France Córdova, Shirley Ann Jackson, Doris O. Matsui, David Rubenstein, and Alan G. Spoon.  

The Strategic Planning and Programs Committee will review the final pilot program 

proposal before submission to the full Board for approval.  

Concept

The Smithsonian Institution proposes the creation of an International Museum 

Professional Education Program that positions the Institution as a global leader in 

professional museum training.  The program will foster the dissemination of best museum 

practices, methodologies, and values, and have the potential to reach thousands of 

professionals working throughout the world, providing ties to a major U.S. institution and 

exposure to principles that demonstrate the value of democratic access to scientific and 

scholarly knowledge. 

Given the significant increase in the establishment of museums in Asia, Africa, and Latin 

America, there is a need for high‐quality professional training.  The Smithsonian, as a 

leading global museum and research complex, is constantly approached by museum, 

cultural, and scientific leaders from around the world for expert advice and support.  For 

example, Egypt recently asked if the National Museum of Natural History could help design 

its science museums; Nigeria has asked the National Museum of African Art to help train its 

museum conservators; Oman, India, and Korea have asked the Freer and Sackler Galleries 

of Art for curatorial training; and, Iraq, with encouragement from the U.S. Department of 

State, has asked for Smithsonian support in virtually all fields, from architecture to 

museum security.  An Institution‐wide approach, through the International Museum 

Professional Education Program, would allow the Smithsonian to build on its historical 

reputation and staff skills to take a leadership role in the museum professional training 

field.   

The Institution proposes to operate satellite training centers in several world regions for 

professionals and students in museum fields.  These satellite centers will enhance the 

Smithsonian’s ongoing training activities currently conducted through its Washington, D.C., 

and New York City–based museums.  Given potential interest and Smithsonian connections, 

among likely locations for initial consideration are: the United Arab Emirates, Singapore or 

China, South Africa, and Panama.  The U.S. academic community, through decades of 
openness to foreign students and overseas relationships, has proven that such ventures 

create goodwill and long‐lasting positive relationships. 

Model

While museums from around the world are increasingly approaching the Smithsonian 

seeking training, current financial constraints and years of base erosion within professional 

ranks strain the Institution’s ability to provide it.  The Smithsonian also lacks the cross‐

institutional coordination needed to provide the full range of training opportunities desired 

by most of the museums in the developing world.  The International Museum Professional 

Education Program will provide an Institutional approach for assessing the 

appropriateness of major international training collaborations, a coordinated means of 

delivering programs, and a fiscal model that can both support the program and enhance 

rather than burden staff resources.  The program will formalize the Smithsonian’s existing 

international training activities and create opportunities to generate revenue.  The 

program will be grounded in a strong set of operating principles, serve diverse audiences, 

and enhance the Smithsonian’s reputation as the world’s leading museum organization.   

Principles

A strong set of principles will guide the Smithsonian in this venture:   

• The Smithsonian will retain control over the content and staff of the 

instructional program.  

• The Smithsonian will follow the same principles of non‐discrimination in staffing 

and student admissions that it follows for its own programs in the United States.  

• The program will operate in compliance with all applicable U.S. and local laws. 

• The program will implement fair labor practices, including appropriate salaries, 

benefits, hours, and working conditions, that are consistent with Smithsonian 

standards or, as appropriate, official local government standards.  

• The program will be structured to include appropriate protections for safety and 

security of on‐site personnel. 

• The Smithsonian’s contracts will include provisions permitting termination of an 

agreement related to a center in the event of breach of contract, the 

development of significant safety or security issues, and/or a significant change 

in local laws and conditions that would compromise the Smithsonian program 

and its operations. 

Review, Approval, and­Risk Assessment Procedures

Each proposed international training center under this program will be thoroughly 

assessed for risk, reviewed by senior management, and operated in accordance with 

Smithsonian policies.  Before establishing a formal presence or relationship with any 

foreign government within the context of this program, the Smithsonian will consult with 

the U.S. Department of State and the U.S. Department of Justice to assure adherence to U.S. 
government law and policy, as well as with appropriate Congressional committees to 

ensure the transparency.  The Smithsonian Board of Regents will review and approve each 

proposed center. 

Management and Finances

Every effort will be made to minimize financial risk to the Smithsonian.  It is anticipated 

that the training centers will be financed by host nations or sponsors and that the 

Smithsonian will have a contract with that funder to manage the center.  Each contract will 

include protections for the Smithsonian, its operations, and the implementation of its 

principles.  The International Museum Professional Education Program will be managed 

through the Office of the Under Secretary for History, Art, and Culture.  Individual centers 

may or may not be Smithsonian‐branded, depending on the program focus and 

collaborating partners.  The Smithsonian will seek American and/or international academic 

partners if degrees are to be granted as part of the educational program.  In these cases, the 

Smithsonian will contract with academic partners to ensure that course‐crediting and 

degree‐granting requirements are consistent with Smithsonian programmatic and quality 

standards.  While the Smithsonian could strategically select whether or not to own or 

manage physical structures in a particular country, the Institution expects to avoid 

extensive or long‐term commitments for buildings or any physical plant in order to allow 

for a timely exit from a country, should that be necessary.  

Advancing the Smithsonian’s Mission and Strategic Plan

The proposed International Museum Professional Education Program is consistent with the 

Smithsonian’s mission, “the increase and diffusion of knowledge.”  It will advance the 

Smithsonian’s new Strategic Plan, “Inspiring Generations through Knowledge and 

Discovery,” and its vision to shape the future “by preserving our heritage, discovering new 

knowledge, and sharing our resources with the world.”  By providing museological training 

nationally and internationally, the International Museum Professional Education Program 

will make manifest a key grand challenge of the Strategic Plan: valuing world cultures.   
ARTS AND INDUSTRIES BUILDING STATUS REPORT

Reopening the Arts and Industries Building (AIB) as soon as possible to program use 

requires significant infrastructure improvements.  Additional funding will be needed to 

complete the infrastructure revitalization of AIB, including Legacy Fund Federal resources 

that, if matching private funds are raised, will total up to $30 million.   

POTENTIAL FUTURE PROGRAM USES  

Smithsonian Gateway: Focus on Education, Outreach, and Access: In March 2009, the 

Secretary convened an Arts and Industries Program Planning Committee to make 

recommendations on the future mission and functions of the building for the Smithsonian.  

The Committee recommended that the building serve as a “gateway” experience for visitors 

to the Smithsonian.  As the gateway to the Smithsonian, the building would orient visitors 

to the Smithsonian’s exhibitions and resources and use exciting displays to illustrate the 

Institution’s priorities in tackling grand scientific, history, art, and cultural challenges.  

Through the use of innovative technologies and learning experiences it would also offer 

introductions to museums and scientific research centers that currently have no space on 

the Mall.   

Reflecting the new Strategic Plan’s focus on broadening broaden access and reaching new 

audiences, the AIB will focus on the Smithsonian’s expanding education, outreach and 

access initiatives.  This focus will be showcased in AIB in a way that is vibrant and engaging 

to the visitor and connects both in‐person or virtual audiences through new media tools, 

technologies and experiences.   

The program and interior outfitting for either of these concepts would be funded through 

private donations. 

National Museum of the American Latino Commission: On December 5, 2009, the 

National Museum of the American Latino Commission notified the Chair of the Board of 

Regents that the Commissioners had reached the conclusion that the Arts and Industries 

Building is one of several sites they intend to recommend to Congress as a potential site for 

the future National Museum of the American Latino.  

BUILDING REVITALIZATION UPDATE  

The revitalization of the building as a functional shell is already under way and will be 

accomplished through a series of contracts: 

American Reinvestment and Recovery Act of 2009 (ARRA):  

$4.6M actual construction cost

Funded through ARRA, a modest amount of repair work began in fiscal year 2009.  

• Repair exterior masonry 

• Demolish selected interior structures/equipment and remove hazardous materials 
Shell: $75M concept cost estimate

Currently under design. 

• Repair/reinforce/replace iron roof trusses 

• Strengthen structure to resist snow load/seismic/blast/progressive collapse 

• Replace roof 

• Replace windows, complete masonry repairs 

Core: $184M concept cost estimate

Currently in scope development. 

• Complete interior demolition and remove interior partitions to restore circa 1900 

interior layout.  Create underground structure to house mechanical, electrical, and 

plumbing (MEP) equipment and support functions 

• Install new MEP equipment and link to GSA chilled water 

• Provide security and safety systems, including fire detection and suppression 

• Replace obsolete elevators, fire stairs, and restrooms 

Interior Outfitting: TBD

Currently in scope development. 

• Develop interior architecture that supports program: e.g., improvements to 

circulation such as glass bridges and/or elevators; auditorium seating; wall, floor, 

and ceiling finishes

• Design program elements: e.g., exhibits, interactive and digital media, café and retail 

outfitting, furnishings and finishes. 

The renovations will be designed to meet LEED Gold certification requirements for energy 

and water efficiency, sustainable use of materials and resources, and environmental 

quality. 

TOTAL COST ESTIMATES

A definitive cost estimate will be prepared when the total scope for renovation has reached 

35% completion of design documents.  Currently, a concept estimate for the building’s shell 

(roof and window replacement and structural reconstruction) is $75 million and the 

concept estimate for the core (with yet‐to‐be‐defined interior outfitting) is $200 million to 

$250 million.  

SUMMARY

Required Available Funding Gap

Shell 75M 

12.6M Federal, with 

additional Legacy Funds 

totaling 30.0M if matching 

private funds are raised 

32.4M in FY 2010 (assuming Legacy Fund 

monies become available) 

Core 184M  0 

184M  

• 15M in FY 2010 for design 

• 169M in FY 2011 or FY 2012 for construction
* participated by teleconference

** Dr. Frost joined the teleconference at 10:55 a.m.

DRAFT MINUTES OF THE SEPTEMBER 14, 2009, STRATEGIC PLANNING

AND PROGRAMS COMMITTEE MEETING

The Strategic Planning and Programs Committee (“the Committee”) of the Board of Regents 

of the Smithsonian Institution held a meeting on September 14, 2009, at 10:05 a.m. in the 

Smithsonian Castle in Washington, D.C.  Participating were Committee Chair 

Representative Doris Matsui and Committee members Senator Christopher Dodd*, Phillip 

Frost**, Shirley Ann Jackson*, Senator Patrick Leahy*, and Paul Neely; Judy Huret was 

unable to participate.  Board Chair Patricia Stonesifer also participated.  Staff in attendance 

included Secretary Wayne Clough; Chief of Staff to the Secretary Patricia Bartlett; Assistant 

to Representative Matsui Julie Eddy; Office of the Regents Senior Writer‐Editor Barbara 

Feininger; Under Secretary for History, Art and Culture Richard Kurin; Chief of Staff to the 

Board of Regents John K. Lapiana; General Counsel Judith Leonard; Director of 

Communications Evelyn Lieberman; Assistant to Senator Leahy Kevin McDonald*; 

Assistant to Senator Dodd Colin McGinnis*; Office of Policy and Analysis Director Carole 

Neves; and Director of Government Relations Nell Payne.  Staff present for the discussion of 

the proposed International Centers for Museum Leadership and Excellence included 

National Museum of Natural History (NMNH) Associate Director for External Affairs and 

Public Programs Elizabeth Duggal, Deputy General Counsel Marsha S. Shaines, and U.S. 

Department of State Senior Advisor for International Activities Lawrence Wohlers, who has 

been detailed to the Smithsonian. 

The Chair called the meeting to order. She asked if there were any questions or comments 

on the minutes from the June 8, 2009, meeting.  There being none, the minutes were 

approved. 

Report of the Chair

Chair Matsui announced that Clark Bunting had stepped off of the Committee as he had 

determined that he could not devote sufficient time to its activities.  She noted that Mr. 

Bunting would maintain a close relationship with the Smithsonian through his service as 

the Chair of the National Zoological Park’s advisory board.  She added that discussions 

were under way with one potential non‐Regent candidate for the Committee. 

The Chair then provided a brief update on the status of several executive searches.  She 

said that Dr. Eva Pell, Senior Vice President for Research and Dean of the Graduate School 

at Pennsylvania State University, had been selected as the new Under Secretary for Science.  

She added that Dr. Pell would assume her new position in January 2010.   

Chair Matsui said that the search for the next director of the National Zoological Park was 

nearing its conclusion.  She said that interviews with the leading candidates had been 

conducted the previous week and that the selection committee would soon submit its 

rankings.  With regard to the search for the next director of Cooper‐Hewitt, National Design 

Museum, the Chair said that Under Secretary for History, Art and Culture Richard Kurin 

was leading the search process.  Dr. Kurin reported that the leading candidate for the 
position had withdrawn from consideration, citing a keener interest in curatorial versus 

directorial work.  Dr. Kurin said that the search was being broadened, that interviews 

would be conducted towards the end of September 2009, and that the search process 

would hopefully conclude by the end of October 2009. 

The Smithsonian Associates and the Fiscal Year 2010 Trust Budget

At the recommendation of Board Chair Patricia Stonesifer, the Committee next discussed 

the recommended fiscal year 2010 Trust budget approved by the Finance Committee and, 

in particular, its proposal to restructure The Smithsonian Associates (TSA) into a more 

mission‐centric, self‐sustaining program.  Currently the popular program generates 

approximately  

$6 million in annual ticket sales but also depends upon about $1.5 million in additional 

support from the Central Trust.  The proposed restructuring would result in a 15–20 

percent cut in the TSA budget by cutting non‐essential elements from the program.  It was 

made clear that, although Central Trust support for TSA would be gradually withdrawn 

over time, the program would not be closed. 

Secretary Clough explained that current budget challenges, and in particular declines in 

revenues, had forced management to critically review the long‐term management of the 

Central Trust.  Knowing that the Smithsonian will continue to face financial challenges in 

the years ahead, management determined that Trust funds should largely be directed 

towards one‐time expenditures and not salaries. 

Dr. Kurin explained the justification for the proposed reorganization of TSA.  He noted that 

some TSA programs, such as the masters program offered in collaboration with the 

Corcoran College of Art + Design and the TSA‐sponsored summer camp were popular, well‐

performing programs but that others were not.  He said that TSA memberships had 

dropped from approximately 50,000 to about 30,000 households in the greater 

Washington area.  Moreover, a recent survey of monthly TSA offerings showed that only 60 

percent of 1,000‐some TSA programs were related to the Smithsonian and that only 10 

percent of those programs were strongly aligned with both the programs and the mission 

of the Institution.  He acknowledged, however, that some of the most popular TSA 

programs are not mission‐centric.  Dr. Kurin said that, although the goal of the 

reorganization would be to change TSA from a loss‐generating operation to one that broke 

even or better, it would be equally important that the program better reflect the 

Smithsonian’s programs and the mission to support the “increase and diffusion of 

knowledge.” 

When asked about the unit’s reaction to the proposed reorganization, Dr. Kurin said that 

this proposal had made clear what was already recognized as an untenable organizational 

model, producing in effect a sense of relief and commitment to moving forward.  He said 

that the response of staff has included investigations of collaborations with other units, as 

well as other proactive options.   

The Committee also discussed the potential for a backlash in public and donor relations if 
the proposed reorganization were inadequately presented.  The Committee agreed that the 

Institution must be prepared to provide informed, thoughtful responses that assure the 

public of the Smithsonian’s commitment to helping TSA become a viable, self‐sustaining 

program.  It was also agreed that, although management holds primary responsibility for 

this funding decision, the issue would go before the full Board of Regents if the Institution’s 

reputation was in question. 

Review and Presentation of the Draft Strategic Plan

The Chair then introduced the primary topic of the meeting: reviewing the proposed 

Smithsonian Strategic Plan in anticipation of consideration by the full Board at its 

September 21, 2009, meeting.  She told the Committee that it would provide final guidance 

to the Secretary on the draft plan, as well as help identify any issues that the Executive 

Committee and the Board should focus on in their reviews of the plan.  She said that the 

updated draft was a significant advancement from the draft reviewed during the 

Committee’s July 2009 meeting.  She noted that the revised plan was more dynamic and 

clear, and that it reflected the Committee’s comments and the hard work of many 

Smithsonian staff.   

Chair Matsui noted that she had worked with the Secretary and the Executive Committee 

over the prior weeks to help ensure that the final plan would elicit the support and 

approval of the Board of Regents, as well as its guidance over the next five years.  To do so, 

they had advised that the plan do the following: 

• inspire clarity about and widespread support for the Smithsonian’s unique and 

relevant future, including its mission, vision, values, and essential priorities;  

• identify the Smithsonian’s unique abilities in high‐priority areas and determine the 

activities necessary to accomplish those goals;  

• establish a bold framework that will define essential goals and strategies within 

each of the top priorities, as well as identify less‐pressing priorities; 

• build a compelling case for high‐level resource requirements and allocations by 

mapping resource requirements to priority areas of focus, including pan‐

institutional initiatives, that will provide for the success of the plan’s goals; 

• establish a commitment to top‐level, measurable outcomes, if priorities are adhered 

to and resources are delivered; and  

• create a bold framework and timeline that ensures the strengthening and 

development of the plan, on both pan‐institutional and unit‐based levels, over the 

course of its future implementation. 

The Chair thanked Secretary Clough for his leadership and Smithsonian staff members for 

their dedicated, collaborative efforts over the last year that resulted in the creation of the 

draft plan.  She then asked the Secretary to lead the review and discussion of the proposed 

Strategic Plan. 
Noting the inclusive nature of the strategic planning process, the Secretary said that both 

the process and the plan had been designed to encourage ownership by Smithsonian staff 

and unit directors.  He said that the proposed Strategic Plan aspired to firmly establish the 

Smithsonian’s “go‐to” reputation and identified “four grand challenges” that embraced the 

Smithsonian’s science, history, art, and cultural resources: 

• unlocking the mysteries of the universe 

• understanding and sustaining a biodiverse planet 

• valuing world cultures 

• understanding the American experience 

He stated that the four challenges would serve to reflect a more coherent picture of the 

Smithsonian’s units, resources, and activities; optimize its existing strengths; and support 

collaborative, entrepreneurial, and creative initiatives.  He said that each challenge would 

be supported by a center, the purpose of which would be advance interdisciplinary, 

collaborative activities.  Secretary Clough said that the Strategic Plan would increase access 

to the Smithsonian’s resources, including its educational programs.  He also noted that a 

new section had been added to the draft plan: “Outcomes, Goals, Objective, and Strategies.” 

He explained that, in addition to the four challenges, the new section included “Enabling 

Mission through Organizational Excellence” and “Resourcing the Plan.” 

The Committee expressed its support for the revised plan and noted its bold and 

aspirational language.  The Committee also agreed that the presentation of the plan would 

be enhanced by using the executive summary as a foreword to the full plan and, within that 

introduction, immediately outline the four grand challenges; it also suggested that the 

Secretary’s letter conclude the package.   

The Secretary next discussed the resourcing of the Strategic Plan.  He said that the Strategic 

Plan would require the cumulative infusion of $1–2 billion in new funding over fiscal years 

2010–2015.  He noted that, by design, the implementation of the Strategic Plan would be 

flexible in response to available funding; he also said that the Strategic Plan’s preliminary 

budgets reflected modest fund‐raising goals that would likely be surpassed.  He reminded 

the Committee that the identification of the four grand challenges would help the 

Institution better articulate its mission and provide a more compelling case for its needs.   

Reviewing a matrix of preliminary budget graphs, Secretary Clough noted that the budgets 

included both new and previously approved funding, such as the budgeted monies in 

support of the National Museum of African American History and Culture.  He said that new 

funding would be secured through four initiatives: a national campaign, new revenues, 

increased grant and contract activities, and Federal appropriations.  The Secretary said that 

existing budgets would be reviewed and that some funding might be redirected to achieve 

maximum impact.  He also said that units would compete for funding from the new 

challenge‐based centers. 
The Committee strongly commended management’s effort to provide preliminary budgets 

in support of the Strategic Plan’s four grand challenges, especially with respect to the 

challenging economic environment.  It also suggested including more details in select areas 

of the budget matrix that would be presented to the full Board.

Performance measures also were discussed.  The Secretary asked for the Committee’s 

advice regarding how the Strategic Plan’s performance measures should be presented to 

the Board, as well as how much should be included in the final Strategic Plan document.  

The Committee concurred that the inclusion of detailed performance measures would be 

essential to the integrity of the plan.   

The Secretary said that two overarching goals should guide the performance measures: 

establishing the Smithsonian as a world leader in each of the four grand challenge areas 

and making the Institution a world leader in accessibility.  He said that performance 

measures would be derived from the specific objectives and strategies outlined in the plan.  

He noted that many initiatives, such as the National Museum of African American History 

and Culture, the Giant Magellan Telescope, and the revitalization of the Arts and Industries 

building, provided ready opportunities for performance measurement, as well as high‐

profile recognition.  Other performance metrics were discussed, such as the quantity of 

grants and funds awarded, the number of conferences hosted, the quantity of papers 

published and recognized, the number of students reached, and the number of individual 

careers advanced in the four grand challenge areas.  The Secretary also noted that the 

Smithsonian’s unit directors would soon meet to carefully review and discuss the Strategic 

Plan, including its budget and performance measures. 

The Committee discussed the fact that certain performance measures, such as the number 

of research grants awarded, can only serve as proxy measurements, as quantity does not 

always translate into quality.  Stated otherwise, the goal should not be to get the most 

research money but to do the best research.  The Secretary agreed that the final Strategic 

Plan should be clear with regard to this difference. 

Chair Matsui again thanked the Secretary and his staff for its enormous contributions to the 

creation of the Strategic Plan.  The Secretary also thanked the Committee for its support 

and involvement in the strategic planning process 

Update on the Proposed International Centers for Museum Leadership and

Excellence  

National Museum of Natural History Associate Director for External Affairs and Public 

Programs Elizabeth Duggal, Deputy General Counsel Marsha S. Shaines, and U.S. 

Department of State Senior Advisor for International Activities Lawrence Wohlers, who has 

been detailed to the Smithsonian to provide State Department expertise upon such matters, 

then joined Dr. Kurin to provide a status update on a proposed pilot museum education 

program in Abu Dhabi.  Chair Matsui reminded the Committee of its responsibility to 

conduct an intensive review of the proposal on behalf of the Board.  The Committee, which 

had previously discussed the complex and potentially controversial nature of the initiative 
during its June 2009 meeting, had asked Dr. Kurin and Ms. Duggal to conduct additional 

research on a number of issues and to work with the Congressional liaisons to identify and 

address potential policy issues.   

Chair Matsui noted the importance of Dubai and the Middle East, especially during this 

point in history, and the need for the Smithsonian to be certain that this initiative, if 

undertaken, would be appropriate for both the Institution and international relations.  She 

outlined her concerns about the proposed program, noting that there have been prior cases 

wherein the U.S. government has essentially used an organization to “test” a situation, 

allowing the organization to engage in an initiative but withholding explicit support if an 

unanticipated problem arose.  She said that it was imperative to identify all possible 

considerations before acting on such a proposal. 

Noting the Smithsonian’s strong international reputation in the sciences, the Secretary said 

that this proposal offered the potential to expand the Smithsonian’s international presence 

in the fields of history, art, and culture.  He reported that Dr. Kurin and Ms. Duggal had 

made significant progress in carefully exploring many of the issues raised during the 

previous Committee meeting.  He said that the presentation at this meeting would be to 

provide an update on the proposed program to the Committee, not to solicit the 

Committee’s endorsement. 

Dr. Kurin said that the team had conducted due diligence with regard to the activities 

assigned and questions identified during the last Committee meeting.  He said that the team 

had evaluated the alignment of the proposed initiative with the Smithsonian’s mission; 

solicited feedback from the U.S. government about its position on this proposal; queried 10 

organizations that have engaged in similar initiatives in Abu Dhabi; analyzed the soundness 

of the business plan; reviewed program management options; and investigated issues and 

safeguards of human and labor rights.   

Dr. Kurin reported that the team concluded that the proposed program would be consistent 

with the Smithsonian’s mission, as well as rationalize and give shape to its goals.  He said 

that it also would help implement the Strategic Plan’s commitment to increasing the 

relevance and scope of the Smithsonian’s presence.  In addition, Dr. Kurin reported that the 

U.S. Department of State had expressed its interest in partnering with the Smithsonian in 

this initiative should the Smithsonian choose to implement it. 

With regard to the experience of organizations that have engaged in similar programs in 

Abu Dhabi, such as New York University and Texas A&M University, the Committee was 

told that overall reports have been positive.  Some institutions, such as the Louvre Abu 

Dhabi and the British Museum in Abu Dhabi, have provided enthusiastic reports.  Other 

programs, such as the University of Connecticut, Yale University, and George Mason 

University, withdrew from collaborations with Abu Dhabi, each for its own unique reasons, 

although all three were noted to have expressed interest in the proposed program with the 

Smithsonian, should it be launched. 

The Committee discussed Abu Dhabi’s economic strength and was assured that the 
soundness of its financial stability had been confirmed by the U.S. Department of State.  The 

proposed business plan for the program, which projects up to $100 million in net return 

over a period of 10 years, was confirmed by Booz Allen Hamilton.  Different operational 

plans also were considered.  Dr. Kurin said that the Smithsonian could partner with Abu 

Dhabi to manage the program, run the program on contract, or be engaged as a service 

provider.  The Smithsonian’s Office of Planning, Management and Budget and the Office of 

the General Counsel concurred that running the program on contract would maximize both 

programmatic control and financial returns for the Smithsonian, as a partnership 

agreement could lead to governance and ownership issues and a service provider model 

would likely result in minimal economic returns. 

The Committee was told that organizations engaged in similar initiatives have noted the 

importance of establishing a strong contract that enshrines an organization’s principles 

and provides for its protection.  Dr. Kurin also noted that the Smithsonian team recently 

met with the American Jewish Committee, which agreed that Abu Dhabi was recognized for 

its relatively progressive stance as compared to other powers in the Middle East but 

emphasized the importance of enshrined protections. 

Dr. Kurin said that a meeting with the Congressional liaisons the previous week had been 

productive and had raised other issues for the team to explore.  Dr. Kurin reported that it 

became clear that those outside of the Institution are often unaware of the immense scope 

of the Smithsonian’s work around the world.  The Congressional liaisons also inquired 

about how the program would interface with students from Israel, which does not have 

formal relations with the United Arab Emirates.  

This issue, which had been discussed at length by the Committee during its previous 

meeting, was again considered in depth.  Ms. Duggal stated that the program would uphold 

the Smithsonian’s commitment to non‐discrimination.  She added, however, that the 

Institution could not control the United Arab Emirates’ visa laws.  She also said that the 

country conducts unofficial work and collaborations with Israel, that numerous Israelis 

visit Abu Dhabi using other passports, that the country’s government previously brought in 

Israeli professors to speak at events, that Israelis have been allowed into the country for 

international events, conferences, and athletic competitions. 

The Committee agreed that there was no expectation that this program, should it go 

forward, would resolve the crisis in the Middle East.  Dr. Kurin commented on the recent 

meeting between President Obama and the Crown Prince of Abu Dhabi, noting that it was 

one of several efforts to mediate a resolution in the Middle East.  He also said that some of 

the American organizations involved in programs in Abu Dhabi consider their presence to 

be in support of such progress.  Dr. Kurin also said that the American Jewish Committee 

had expressed its interest in the ability of Israeli students to obtain visas to attend the 

program.   

Ms. Duggal noted that the program’s model was based on drawing 30 percent of its 

students from the wider region, including Pakistan, India, the Philippines, and Lebanon.  

She commented on the participation of women in the United Arab Emirates, noting that 
classrooms are not segregated, 65 percent of the students in university studies are women, 

10 percent of the diplomatic corps are female, and about four women serve in minister‐

ranked government positions.  

The Committee discussed safety issues that have been reported with regard to labor issues 

in Abu Dhabi.  It was told that the labor laws in Abu Dhabi were characterized by the 

Department of State as “not terrible” and that groups have the right to protest.  Labor 

unions, however, are not allowed.  The Committee agreed that any agreement between the 

Smithsonian and Abu Dhabi must ensure labor rights for any person involved in the 

project.  The physical safety of the proposed location also was reviewed and the Committee 

was told that the selected site would be in the city’s historic district, a district known to be 

more secure. 

The discussion returned again to the broader discrimination issues that could—or could 

not—be addressed in a contract with Abu Dhabi, particularly with regard to students from 

Israel.  Ms. Stonesifer expressed deep concern about the ability of the Smithsonian to 

uphold its commitment to the richness of American and world cultures if involved in 

collaborative program with a country that did not equally share those values.  She said that 

any agreement should be structured to not only protect the Smithsonian but, more 

importantly, to honor its commitment to valuing diversity and world cultures.  She also 

noted that this value was articulated in the proposed Strategic Plan. 

Dr. Kurin and Ms. Duggal asked for guidance with regard to proceeding with negotiations 

with Abu Dhabi.  A hypothetical question was posed: Would the Smithsonian go forward 

with the program if a contract addressed all possible concerns and conditions, including 

non‐discriminatory admissions; protections for workers; control over the center’s 

programs, faculty, and offerings; a viable exit strategy; and guaranteed revenues?  They 

said that, if the answer were to be negative, the Smithsonian could not continue to 

negotiate in good faith with the government of Abu Dhabi. 

Despite its reservations, the Committee was not convinced that the proposed project was 

untenable.  The Chair said that more time was needed both to conduct further due 

diligence, such as meeting with Congressional committees and representatives from the 

Department of Justice, and to bring the matter to the full Board of Regents.  She said that 

the team had conducted excellent work but that the Congressional Regents had an 

especially higher bar to reach.  She suggested that the team meet with representatives from 

other Jewish organizations, conduct deeper inquiries with the Department of State about 

its anticipated response in the event of an unforeseen difficulty, and work with the Office of 

Communications to become fully aware of all the possible questions and answers that could 

arise.  Office of Communications Director Evelyn Lieberman assured the Committee that 

the team had already engaged the involvement of her office; she also complimented the 

team’s efforts to conduct vigorous due diligence. 

The Committee agreed that further negotiations with the government of Abu Dhabi would 

necessitate directly addressing the concerns expressed by the Committee.  Dr. Kurin 

commented that there can be different perspectives about when to address such issues as 
discriminatory admission practices, noting that the Smithsonian would consider that 

concern to be one of the first to address, whereas the government of Abu Dhabi likely 

would not.  The Committee agreed that the Smithsonian must negotiate and fully resolve 

these critical issues prior to accepting any of the significant funding that Abu Dhabi is 

poised to invest in the project. 

Dr. Jackson noted that Rensselaer Polytechnic Institute has a list of requirements regarding 

issues such as sex and religious discrimination that must be addressed before entering into 

any agreement.  With regard to discriminatory behavior in Dubai, she said that she had 

noted differences between official standards and day‐to‐day practices during her visits 

there.  Dr. Jackson said that she would provide the Secretary with a copy of her school’s 

requirements. 

The Committee again commended the excellent presentation provided by the team and 

thanked them for their work.  The members agreed that the details of this particular 

proposal warranted especially close review.  They also agreed that input from the 

Executive Committee and the attention of an ad hoc group of Regents would help the team 

prepare for a review and discussion of the proposal during the executive session of the 

September 21, 2009, Regents’ meeting.   

Adjournment

The Chair thanked the Committee members and staff for their participation.  The meeting 

was then adjourned at 12:30 p.m. 

Respectfully submitted, 

Doris Matsui, Chair 
INSPIRING GENERATIONS THROUGH KNOWLEDGE AND DISCOVERY:

NEW RESEARCH

Highlights of some of many new Smithsonian research initiatives have been prepared by 

Under Secretary for Science Eva J. Pell and Under Secretary for History, Art, and Culture 

Richard Kurin.  Time permitting, the Under Secretaries will provide brief oral summaries of 

the following papers to the Board at its January 25, 2010, meeting. 

A. Highlights of New Science Discoveries, Research Programs, and Initiatives  

B. Research in History, Art, and Culture: East Meets West
INSPIRING GENERATIONS THROUGH KNOWLEDGE AND DISCOVERY

Highlights of New Science Discoveries, Research Programs, and Initiatives  

The work of Smithsonian scientists is essential to the Institution’s ability to meet the four 

grand challenges of the Smithsonian Strategic Plan: understanding and sustaining a 

biodiverse planet, unlocking the mysteries of the universe, valuing world cultures, and 

understanding the American experience.  The following stories highlight a few of the many 

new discoveries, research programs, and initiatives that have occurred recently at the 

Smithsonian.  These achievements reflect the immense resources and intellectual talent of 

the Smithsonian, as well as demonstrate its commitment to addressing issues and 

answering questions of global importance. 

UNLOCKING THE MYSTERIES OF THE UNIVERSE

Astronomers at the Smithsonian Astrophysical Observatory (SAO) Find Super­Earth

Using Amateur Technology

Astronomers at SAO have discovered a “super‐Earth” orbiting a red dwarf star 40 light‐

years from Earth.  They found the distant planet with a small fleet of ground‐based 

telescopes no larger than those many amateur astronomers have in their backyards.  

Although the planet is too hot to sustain life, the discovery shows that current ground‐

based technologies are capable of finding almost‐Earth‐sized planets in warm, life‐friendly 

orbits. 

A super‐Earth is defined as a planet between one and 10 times the mass of the Earth.  The 

newfound world, GJ1214b, is about 6.5 times as massive as the Earth.  Its host star, GJ1214, 

is about one‐fifth the size of the Sun, has a surface temperature of only about 4,900 degrees 

Fahrenheit, and emits a luminosity just three‐thousandths as bright as the Sun.  

                                                                          

This artist's conception shows 

the newly discovered super‐

Earth GJ 1214b, which orbits a 

red dwarf star 40 light‐years 

from Earth.  It was discovered 

by the MEarth project—a small 

fleet of ground‐based 

telescopes no larger than those 

many amateur astronomers 

have in their backyards. 
The planet GJ1214b orbits its star once every 38 hours at a distance of only 1.3 million 

miles.  Astronomers estimate the planet's temperature to be about 400 degrees Fahrenheit.  

Although warm as an oven, it is still cooler than any other known transiting planet because 

it orbits a very dim star. 

Since GJ1214b crosses in front of its star, astronomers were able to measure its radius, 

which is about 2.7 times that of the Earth.  This makes GJ1214b one of the two smallest 

transiting worlds astronomers have discovered.  The planet’s density suggests that 

GJ1214b is composed of about three‐fourths water and other ices, and one‐fourth rock.  

There are also hints that the planet has a gaseous atmosphere.  

National Air and Space Museum (NASM) Geologist Makes a Radar Map of the Moon

A Smithsonian geologist is using the 

Greenbank telescope system in West Virginia 

to make radar maps of the moon. 

Dr. Bruce Campbell can direct the Greenbank 

telescope, which is more than 300 feet wide, 

towards any spot in the sky.  The telescope 

receives radar echoes that are bounced off the 

moon by signals transmitted from the Aricebo 

telescope in Puerto Rico.  The echoes can 

penetrate the dirt‐ and dust‐covered surface 

of the moon to create high‐resolution images that can show features as deep as 100 feet 

below the moon’s surface.  Scientists also have seen ancient geological features such as lava 

flows. 

Making radar maps of the moon allows scientists to understand its basic geology.  The 

moon also preserves a geological record of a time in the history of the solar system going 

back more than 3 billion years—a record that is almost entirely erased on the Earth 

because of erosion.  In addition, scientists can study ancient 

volcanism, the role of impacts in the sculpting of the moon’s 

surface, and a variety of other geological issues.   

The maps also provide basic information on the surface and 

subsurface properties of the moon, which are needed to prepare 

for robotic and human exploration.  By using this technology, 

Smithsonian scientists can look down into the lunar soil and 

back in time.  

NASM scientists use radar echoes that are bounced off the 

moon and received by the Greenbank telescope system in West 

Virginia to see below the moon’s surface. 
UNDERSTANDING AND SUSTAINING A BIODIVERSE PLANET

National Museum of Natural History (NMNH) Biologist Discovers New Species of

Giant Rat Discovered in Volcano Crater

A Smithsonian biologist discovered a new species of giant rat on a filmmaking expedition to 

a remote rainforest in Papua New Guinea.  The discovery was made in the crater of the 

extinct volcano Mount Bosavi in Papua New Guinea’s Southern Highlands province.  Two‐

and‐a‐half miles in width and rimmed with walls nearly a half‐mile high, the gigantic 

volcano’s crater trapped the creatures inside a “lost world” of mountain rainforests 

probably rarely visited by humans. 

Kristofer Helgen, curator of mammals at NMNH, was one of the first on the scene when the 

rat was found by a tracker from the Kasua tribe that lives outside the crater. 

Weighing nearly 3.5 pounds and measuring 32 inches 

from nose to tail, the Bosavi woolly rat is one of the 

biggest rats in the world.  Most surprising is that the 

rat is completely tame, a sign that the animals in the 

isolated crater are unfamiliar with humans.  

The gigantic rat is silvery gray, with thick woolly fur.  

It eats a vegetarian diet of leaves and roots and 

probably builds underground nests beneath rocks 

and tree roots.  A member of the genus Mallomys, it 

has yet to receive its formal scientific name. 

The expedition also found approximately 16 species 

of frogs, one species of gecko, three species of fish, 

and at least 20 species of insects and spiders— 

potentially all new species.  Also on the list is an animal Helgen calls the Bosavi silky 

cuscus, which may be a new subspecies of the tree‐living marsupial.  

NMNH Researchers Identify Largest Orb­Weaving Spider

Researchers from NMNH and colleagues in Slovenia have identified a new giant Nephila 

species (golden orb weaver spiders) from Africa and Madagascar.  Smithsonian research 

associate Matjaž Kuntner, along with Jonathan Coddington, senior scientist and curator of 

arachnids in NMNH’s Department of Entomology, determined size differences in the family 

Nephilidae, establishing that this new species, on average, is the largest orb weaver known.  

Only the females are giants, however, with an average body length of 1.5 inches and a leg 

span of 4–5 inches; the males are tiny by comparison.   

More than 41,000 spider species are known to science with about 400–500 new species 

identified each year.  But for some well‐known groups, including the giant golden orb 

weavers, the last valid described species dates back to the 19th century. 

“It is a true rat, closely related to 

the rats and mice most of us are 

familiar with, but so much bigger,” 

said Helgen. 
In response to the discovery of a seemingly unique Nephila specimen in 1978, Kuntner, 

Coddington, and colleagues launched several expeditions to South Africa to find this 

species.  Their searches, however, were unsuccessful, 

suggesting that the specimen was a hybrid or perhaps an 

extinct species.  Then, the finding of a second specimen from 

Madagascar in 2003 suggested that the spider found in 1978 

was not a hybrid.  As no additional specimens turned up 

among more than 2,500 samples from 37 museums, the 

species seemed extinct.  When a South African colleague found 

a male and two females in Tembe Elephant Park a few years 

ago, it became clear that the specimens were indeed a valid 

new species. 

NMNH Scientists Find Evidence that Plant Pollination by Insects Occurred Long

Before Flowers Evolved  

Scientific evidence shows that almost all of the earliest angiosperms (flowering plants) 

were pollinated by insects.  Whether such a relationship existed between insects and early 

gymnosperm species (non‐flowering plants with exposed seeds, such as conifers) has been 

widely disputed.  Smithsonian scientists, however, found evidence that gymnosperm plants 

shared an intricate pollination relationship with scorpionfly insects 62 million years before 

flowering plants appear in fossil records.   

Conrad Labandeira, paleoentomologist at NMNH, and team members examined both the 

specialized features of scorpionfly mouthparts and the unique reproductive features of 

coexisting gymnosperm plants.  The proboscis (elongated tubular mouthparts) of these 

This discovery answers 

paleobotanists’ questions 

about “strange” structures 

occurring in the reproductive 

cones of certain ancient 

plants,” said Labandeira. 

The female of this new species, similar to other species in the 

Nephilidae family (such as Nephila madagascariensis pictured 

here), can have a leg span up to 5 inches wide. 
insects, which was up to 1.3 centimeters long, was either hairy or had ridges, and 

frequently had pads at the tip to suck up fluids, similar to the structure of modern moths 

and butterflies.  The presumed gymnosperm hosts possessed deep funnel‐like or tubular 

channels, also up to 1.3 centimeters long, containing nectar‐like pollen drops.. 

The reproductive anatomy of the non‐flowering plants show important modifications to 

attract insects, similar to modern flowering plants.  However, the lineages of these plants 

and their scorpionfly pollinators became extinct approximately 105 million years ago, just 

as flowering plants and their newly evolved pollinators, such as butterflies, became 

established.   

Smithsonian Environmental Research Center (SERC) Scientists Examine Plankton’s

Branch on the Tree Of Life

SERC scientists are working on the Assembling the Tree of Life Initiative funded by the 

National Science Foundation.  Researchers are using the latest tools in genetics to decipher 

the evolutionary relationships among dinoflagellates (a large group of organisms, most of 

which are marine plankton).  These single‐celled organisms are of global importance for 

many reasons: they are at the base of the food web that supports fisheries, they cause algal 

blooms, and they can produce toxins that threaten human health.   

  

Smithsonian scientists Wayne Coats and Tsvetan Bachvaroff, along with collaborators at 

other academic institutions, are using DNA analysis to advance understanding of 

dinoflagellate evolution.  For the first time ever, they have discovered how to distinguish 

the genes of the parasitic dinoflagellate Amoebophrya from those of its host.  Amoebophrya 

is important to the Assembling the Tree of Life investigations because it forms a branch at 

the base of the dinoflagellate lineage.  Coats and Bachvaroff are laying the groundwork for 

future investigations of the evolutionary relationships in dinoflagellates and related taxa.    

SERC’s Tsvetan Bachvaroff 

analyzes massive amounts of 

DNA data to advance 

understanding of dinoflagellate 

evolution.  His research is part 

of the Assembling the Tree of 

Life initiative.   
SERC Scientists Predict Warn Climate Change May Drastically Alter Chesapeake Bay  

The Chesapeake Bay is one of the largest and most productive estuaries in the world, yet 

dramatic changes are in store for it in coming decades if climate‐change predictions hold 

true, say a team of SERC scientists and colleagues. 

Using forecasts of atmospheric carbon dioxide production for the coming century, the 

scientists predict the water of the Bay will see rising levels of dissolved carbon dioxide and 

higher water temperatures.  As a result, problems of low dissolved oxygen concentrations 

in the Chesapeake’s water are expected to worsen and  sea levels are anticipated to rise. 

For fish and other organisms living in the Bay, the scientists predict:   

• Populations of marine fish that favor warmer water and whose northern range ends 

near the Chesapeake (such as southern flounder, mullet, and tarpon) can be 

expected to increase. 

• Many fish species that favor cold water (such as yellow perch, white perch, striped 

bass, and winter flounder) will disappear or become less abundant in the 

Chesapeake Bay.   

• Fish susceptible to winter die‐offs due to the seasonal cold weather of the 

Chesapeake may see a strengthening of their populations due to warmer water, with 

more juveniles surviving through the winter.   

• Some fish parasites will likely benefit from warmer water, increasing their impact 

on fish and oysters in the Bay.   

• Rising sea levels will submerge some of the Bay’s wetlands, which many ecologically 

and economically important fish use as nursery areas and as foraging grounds.   

                    

With warming temperatures, the species that make up the food web of the Chesapeake Bay 

will be impacted differently, likely disrupting the normal interactions between predator 

and prey species.  Hypoxia, or a lack of oxygen in the water, will be another prevailing 

characteristic of warmer Bay water with expected negative effects.  At warmer 

temperatures microbes will consume oxygen at a higher rate and less oxygen can dissolve 

in warm water.  At the same time fish and perhaps other animals will require more oxygen 

in warmer water.   

In addition to effecting fish 

populations, an increase of carbon 

dioxide in the Chesapeake may raise 

the acidity of the Bay and reduce 

the ability of oysters, clams, 

mussels, and other animals to build 

calcium carbonate shells. 
Smithsonian Tropical Research Institute (STRI) Researchers Use Camera Traps and

Radio Collars to Reveal Hoarding Strategies of the Agouti

In a series of ongoing experiments on Barro Colorado Island in the Panama Canal, STRI 

researchers are using camera traps, radio collars, and palm nuts with attached tracking 

transmitters to take a closer look at the nut‐hoarding strategies of the agouti (a large 

rodent from Central and South American rain forests). 

Rabbit‐sized with squirrel‐like habits, the agouti is a hoarder and a robber.  When not 

collecting fallen nuts and burying them in shallow holes, it is adept at finding, stealing, and 

re‐hiding nuts buried by its agouti neighbors.  A single nut might be hidden and stolen 

multiple times.  The agouti’s method of seed dispersal and caching is critically important 

for tropical trees, as it gives seeds a much better chance for germination. 

Hoarding seeds is also important for the agouti.  In certain seasons food is scarce in the 

tropical jungle.  Just as squirrels in North America hide acorns to survive snowy winters, 

agoutis hide nuts in the tropics to survive periods when little food is available. 

                                                                                           

The researchers found that where less food is available, agoutis spread their seed cashes 

more widely, making it harder for pilferers to find the nuts they hide.  “To hide nuts further 

away from the tree where they are found requires more energy, yet an animal benefits 

when fewer of their caches are found by pilferers,” says Roland Kays, a STRI mammalogist.  

“In lean areas competitors increase their foraging and the hoarders are left with no other 

choice but to spend more time in hiding seeds or lose them to thieves.” 

Sequencing also plays a role in seed dispersal the researchers found.  In taking seeds from a 

tray laid on the ground, the agoutis hid the seeds they first removed closer to the tray than 

the seeds they took later on.  The researchers also learned that larger seeds are hidden 

with more care than smaller seeds.  “In terms of energy value, a larger seed is more 

valuable and worth the extra effort to hide it,” Kays said. 

“It is interesting that a rodent can be doing this.  It is ingrained in the calculations of the 

daily life of an agouti to make these optimal decisions.” 

The agouti’s method of seed 

dispersal and caching is 

critically important for 

tropical trees, giving seeds a 

much better chance for 

germination. 
STRI Researchers Find that Tree Frog Embryos Can Evaluate Different Features of

Vibrations

Researchers from STRI and Boston University have been taking a closer look at the 

vibrations that red‐eyed tree frog embryos use as cues to trigger early hatching.  The 

researchers—Karen Warkentin of both STRI and Boston University and Michael Caldwell 

and J. Gregory McDaniel of Boston University—embedded tiny recording devices into red‐

eyed tree frog egg clutches and recorded the low‐frequency vibrations caused by snakes as 

they ate the eggs and also measured the vibrations caused by rain storms.  They played 

back these vibrations to egg clutches in a laboratory and found that some of the embryos 

hatched in response to the snake‐generated vibrations and not to the rain vibrations. 

This experiment showed that the embryos were responding to and could differentiate 

between snake vibrations and rainstorm vibrations.  The embryos didn’t need chemical or 

visual cues from snakes.  

What puzzled the researchers was that the low‐frequency vibrations triggering the embryo 

hatchings were in some ways very similar to vibrations caused by many benign forest 

stimuli—such as rainfall, wind, or non‐predatory animals.  “Hatching early in response to 

benign stimuli would be a serious error,” Warkentin explained, “since premature hatchlings 

are vulnerable to predators in the pond.  We reasoned that if a defense—such as hatching 

early—is costly for prey, then mechanisms should be in place to avoid false alarms, just as 

mechanisms exist to recognize and defend against predators.” 

                                                                          

In recent laboratory work the scientists improved their understanding of how these false‐

alarm mechanisms work in regard to rainfall.  The low‐frequency vibrations generated by 

rainstorms are accompanied by two elements that snake‐feeding vibrations do not have: 

high‐frequency vibrations and an initial buildup of intensity.  When these two features 

were removed from rainfall recordings and played back to embryos in the lab, many of the 

embryos hatched.   

  

A snake can eat a clutch of 

red‐eyed tree frog eggs in 

five minutes—but some of 

the frog embryos can sense 

the vibrations of the snake’s 

eating and hatch 

prematurely. 
Report to the Regents on new Smithsonian research in history, art, and culture:

East Meets West 

In October 2009 the Smithsonian American Art Museum, with the cooperation of Freer and Sackler 

Galleries, the Asian Pacific American Program, and the Archives of American Art, organized EastWest Interchanges in American Art, a symposium sponsored by the Terra Foundation for American 

Art. The symposium drew the participation of Smithsonian, university and international scholars to 

examine the connections and mutual influences of American and Asian art. They found that 

Smithsonian collections revealed far richer interactions and inter‐cultural creativity than 

heretofore appreciated; and that the interaction is not only historic; it also continues in 

contemporary form. A forthcoming book as well as other activities across the Smithsonian will help 

re‐write missing chapters of American and Asian art history.  

ORIENTALISM

1. Harmony in Blue and Gold

“Peacock Room,”  

1876‐77 home of Frederick Leyland, 

1904 home of Charles Lang Freer  

James McNeill Whistler  (1834‐

1903), after Thomas Jekyll 

FREER GALLERY OF ART  

SOCIAL COMMENTARY

2. The Chinese in New York—

Scene in a Baxter Street Club

House

1874, Harper’s Weekly 

Wood engraving on paper 

Winslow Homer (1836‐1910) 

SMITHSONIAN AMERICAN 

ART MUSEUM  

AMERICAN PAINTER FOR

THE LOUISIANA PURCHASE

EXPOSITION

3. The Empress Dowager,

Tze His, of China

1903, Oil on canvas 

Katharine Augusta Carl 

(1862‐1938) 

SMITHSONIAN 

AMERICAN ART MUSEUM 

1

2 3
AMERICAN PAINTER LEARNS

JAPANESE TECHNIQUE

4. The Sauce­Pan Shop

1908, Color woodcut on paper 

Helen Hyde (1868‐1919) 

SMITHSONIAN AMERICAN  

ART MUSEUM  

IMMIGRANT APPLIES JAPANESE STYLE TO

REPRESENTATION OF THE AMERICAN WEST  

6. Eagle Peak Trail

1930, Color woodcut on paper 

Chiura Obata born Okayama ken (1862, 

Japan‐1938, Berkeley, California) 

SMITHSONIAN AMERICAN ART MUSEUM  

INDIAN  PAINTER LEARNS

ETCHING TECHNIQUE IN CHICAGO   

5. Sir Rabindranath Tagore

Circa 1916, Drypoint 

Mukul Dey, born Sridharkhola 

(1895‐1989) 

SMITHSONIAN AMERICAN ART 

MUSEUM  

4

6

5
JAPANESE IMMIGRANT PAINTER

CONFLATES STYLES TO DEPICT

CONTRADICTORY THEMES OF INTERNEE’S

AMERICAN EXPERIENCE

8. Thinking of Loved One

Circa 1944, Oil on canvas 

Henry Sugimoto born Yuzuru Sugimoto 

(1900, Japan‐1990, New York) 

NATIONAL  MUSEUM OF AMERICAN 

HISTORY

JAPANESE IMMIGRANT PAINTER DEPICTS

INTERNMENT IN POST‐IMPRESSIONIST STYLE

7. Arrival in Camp Jerome

Circa 1943, Oil on canvas 

Henry Sugimoto born Yuzuru Sugimoto 

(1900, Japan‐1990, New York) 

NATIONAL  MUSEUM OF AMERICAN 

HISTORY  

7

8
10

9

CONTEMPORARY COMMENTARY‐ GLOBAL ARTIST

10. Electronic Super Highway

1995, Multimedia 

Nam June Paik  (1932, Seoul, Korea‐2006, Miami, Florida) 

SMITHSONIAN AMERICAN ART MUSEUM 

IMMIGRANT FOLK ART DEPICTS EPISODE IN

JOINED ASIAN AND AMERICAN EXPERIENCE

9. Hmong paj ntaub dab neej flower cloth 

Circa 1990, Cloth embroidery 

My Yia Vang (1958, Laos‐migrated 1980 to 

Wisconsin) 

NATIONAL MUSEUM OF AMERICAN HISTORY 
DYNASTIC TRADITION

11. Lacquer wood plate with mother‐of‐

pearl inlay, 13‐14th century 

Southern Song to Yuan Dynasty 

FREER GALLERY OF ART  

CONTEMPORARY VIETNAMESE

12. The Buffalo Boy  

2007, Lacquer son mai, eggshells and acrylic,  

Le Ngoc Thanh & Le Duc Hai (Twins) (1975, 

Vietnam‐) 

EDEN CENTER‐GALERIE BRIGITTE/ 

SITES –ASIAN PACIFIC AMERICAN 

PROGRAM VENUE  

11

13

12 CONTEMPORARY VIETNAMESE‐AMERICAN

13. Moonwalk on Eggshell: Michael Jackson  

2009, Lacquer son mai, eggshells and acrylic 

Quan Le (1958, Vietnam‐ ) & Brigitte Le 

(1962, Vietnam‐1975,migrated to Virginia) 

EDEN CENTER‐GALERIE BRIGITTE/ 

SITES –ASIAN PACIFIC AMERICAN 

PROGRAM VENUE  
  

CONNECTING CULTURES

14. Tibetan Culture in Washington  

2000, Watercolor on canvas thangka

Sangei Yeshi (?) 

Gift of the Dalai Lama 

CENTER FOR FOLKLIFE AND CULTURAL HERITAGE  

14
REPORT OF THE GOVERNANCE AND NOMINATING COMMITTEE

The Governance and Nominating Committee met on December 8, 2009.  Committee Chair 

Shirley Ann Jackson will provide an oral summary of the Committee’s discussions to the 

Board of Regents at its January 25, 2010, meeting.  The following papers will support the 

Regents’ consideration of the proposed motions. 

A. Committee Assignments  

    Proposed Motions: VOTED that the Board of Regents elects Robert P. Kogod as a 

member of the Executive Committee effective January 25, 2010. 

VOTED that the Board of Regents approves the proposed 

committee chairmanships and member assignments for 2010 and 

requests that the Chancellor make the necessary appointments. 

B. Advisory Board Appointments

Proposed Motions: VOTED that the Board of Regents appoints Laura Bush, Ruth  

Simmons, and Gregg Steinhafel to the Council of the National 

Museum of African American History and Culture for three‐year 

terms effective immediately.   

VOTED that the Board of Regents appoints Jack Martin to the 

Board of the National Museum of American History for a 

three‐year term effective February 1, 2010. 

VOTED that the Board of Regents reappoints Gabriela 

Febres‐Cordero, William Frist, David Koch, Jane Lubchenco, and 

David Rubenstein to the Board of the National Museum of Natural

History for three‐year terms effective immediately; William Luers 

and Roger Sant to the Board for three‐year terms effective May 1, 

2010; and John Fahey to the Board for a three‐year term effective 

June 1, 2010. 

VOTED that the Board of Regents appoints Patricia M. Zell and 

reappoints Frederick Hoxie, Byron I. Mallott, Jacqueline Old 

Coyote, Tina Marie Osceola, Freda Porter, and Randall Willis to

the Board of Trustees of the National Museum of the American 

Indian for three‐year terms effective immediately.   

VOTED that the Board of Regents appoints Mary Ann Bowman, 

Elizabeth Hisey, and May Day Taylor to the Council of Philatelists 

of the National Postal Museum for three‐year terms effective 

immediately. 
VOTED that the Board of Regents reappoints James Dyer, Steven 

A. Elmendorf, John Marriott, Susan Mars, Thomas Nides, Joseph 

Robert Jr., Ronald Rosenfeld, and J. Scott Wilfong to the Advisory 

Board of the National Zoological Park for three‐year terms 

effective immediately. 

VOTED that the Board of Regents appoints Aida M. Alvarez to the 

Commission of the Smithsonian American Art Museum for a 

four‐year term effective January 31, 2010. 

VOTED that the Board of Regents appoints Johnny A. Yataco to 

the Smithsonian National Board for Latino Initiatives of the 

Smithsonian Latino Center for a three‐year term effective 

immediately. 

C. Reappointments to the Smithsonian National Board

Proposed Motion:  VOTED that the Board of Regents reappoints Judy Hart Angelo,  

Jane Lipton Cafritz, John French III, Russell E. Palmer Jr., William 

M. Ragland Jr., Ronald A. Rosenfeld, Douglas C. Walker, and 

Mallory Walker to the Smithsonian National Board for three‐year

terms effective immediately. 

D. Minutes of the July 27, 2009, Committee Meeting and Draft Minutes of the

December 8, 2009, Meeting
EXECUTIVE COMMITTEE ELECTION AND COMMITTEE ASSIGNMENTS

Pursuant to section 4.06 of the Bylaws of the Board of Regents, it is the responsibility of the 

Governance and Nominating Committee to nominate candidates for election to the 

Executive Committee, as well as nominate candidates and chairs for appointment to other 

Regents’ committees.  In a mail ballot following its December 8, 2009, meeting, the 

Governance and Nominating Committee approved the nomination of Robert P. Kogod for 

election to the Executive Committee; Mr. Kogod will assume the position that will be 

vacated by Roger W. Sant.  The Committee also approved the recommendation of the 

proposed Regents’ committee chairmanships and member assignments for appointment.    

VOTED that the Board of Regents elects Robert P. Kogod as a member of the 

Executive Committee effective January 25, 2010. 

VOTED that the Board of Regents approves the proposed committee chairmanships 

and member assignments for 2010 and requests that the Chancellor make the 

necessary appointments. 

The proposed committee chairmanships and member assignments for 2010 follow. 
PROPOSED MEMBERSHIP OF BOARD OF REGENTS’ COMMITTEES

Effective January 25, 2010 

   

Executive

Patty Stonesifer+, Chair 

Alan Spoon+, Vice Chair 

Robert Kogod 

Advancement

Alan Spoon, Chair 

Phillip Frost 

Robert Kogod 

Patty Stonesifer+ 

Travis Engen* 

Sakurako Fisher* 

David H. Koch* 

Adrienne Bevis Mars* 

Paul Neely* 

Audit and Review

John McCarter, Chair 

Representative Sam Johnson 

Shirley Ann Jackson 

Robert Kogod 

Herb Schulken, Advisor 

Compensation and Human

Resources

Phillip Frost, Chair 

Senator Thad Cochran 

Representative Xavier Becerra 

John McCarter 

Roger Sant 

Patty Stonesifer 

Facilities  

Robert Kogod, Chair 

Senator Patrick Leahy 

Representative Xavier Becerra                  

Representative Sam Johnson             

George E. Hartman*        

Finance  

Roger Sant, Chair  

Thad Cochran  

David Rubenstein 

Patty Stonesifer+ 

David Silfen*

Governance and Nominating

Shirley Ann Jackson, Chair 

France Cordova 

Senator Chris Dodd 

Representative Doris Matsui 

Roger Sant 

Investment  

David Silfen*, Chair 

Roger Sant, Vice Chair 

Alan Spoon 

David Rubenstein 

Afsaneh Beschloss* 

Eli Broad*  

Hacker Caldwell* 

J. Tomilson Hill III*  

Strategic Planning and Programs

Representative Doris Matsui, Chair 

France Cordova 

Senator Chris Dodd 

Senator Patrick Leahy 

Phillip Frost 

Shirley Ann Jackson  

Judy Huret*  

Paul Neely* 

*non­Regent

+ ex officio 
PROPOSED

MEMBERSHIP OF BOARD OF REGENTS’ COMMITTEES

Effective January 25, 2010

COMMITTEES Advancement Audit

&

Review

Comp &

HR

Executive Facilities Finance Governance &

Nominating

Regents (# of committees)Senator Thad Cochran (2) X XSenator Chris Dodd (2) X Senator Patrick Leahy (2) X Representative X. Becerra (2) X XRepresentative Sam Johnson (2) X XRepresentative Doris Matsui (2) X France Córdova (2) X Phillip Frost (3) X Chair Shirley Ann Jackson (3) X Chair Robert Kogod (4) X X X ChairJohn McCarter (2) Chair XDavid M. Rubenstein (2) X Roger Sant (4) X Chair X Alan Spoon (3) Chair Vice Chair Patty Stonesifer (4) X X Chair X# of Regents/Committee 4 4 6 3 4 4 5 Non‐Regents (# of committees)Afsaneh Beschloss (1) Eli Broad (1) Hacker Caldwell (1) Travis Engen (1) XSakurako Fisher (1) XGeorge E. Hartman (1) XJ. Tomilson Hill III (1) Judy Huret (1) David Koch (1) XAdrienne Bevis Mars (1) XPaul Neely (2) X Herb Schulken (1) AdvisorDavid Silfen(2) X # of Non‐Regents/Committee 5 1 1 Total/Quorum Requirement 9/5 4/3 6/4 3/2 5/3 5/4 5/3 
APPOINTMENTS TO SMITHSONIAN ADVISORY BOARDS

Appointments and reappointments to most Smithsonian advisory boards require the 

approval of the Board of Regents.  Requests for the Board’s approval have been received 

from: 

National Museum of African American History and Culture 

National Museum of American History 

National Museum of Natural History 

National Museum of the American Indian 

National Postal Museum  

National Zoological Park  

Smithsonian American Art Museum 

Smithsonian Latino Center 

NATIONAL MUSEUM OF AFRICAN AMERICAN HISTORY AND CULTURE  

At its meeting on October 15, 2009, the Council of the National Museum of African 

American History and Culture recommended the appointment of Laura Bush, Ruth 

Simmons, and Gregg Steinhafel to the Council.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents appoints Laura Bush, Ruth Simmons, and Gregg 

Steinhafel to the Council of the National Museum of African American History and 

Culture for three‐year terms effective immediately.   

Biographies of the candidates follow:  

Laura Bush of Crawford, Texas, graduated from Southern Methodist University in 1968 

with a Bachelor's degree in education and attained her Master's degree in Library Science 

at the University of Texas at Austin.  As First Lady of the United States, she established the 

annual National Book Festival in 2001, advanced women's causes through The Heart Truth 

and Susan G. Komen for the Cure, and established the Women's Health and Wellness 

Initiative.  She represented the United States during her foreign trips, which primarily 

focused on HIV/AIDS and malaria awareness.  She has received a number of awards and 

honors.   

Ruth Jean Simmons of Providence, Rhode Island, is the 18th president of Brown 

University, the first female president of Brown, and the first African American president of 

an Ivy League institution.  She was named Woman of the Year by Newsweek in 2002 and 

America’s best college president by Time in 2001.  Dr. Simmons earned her MA and PhD in 

romance literature from Harvard University.  She is the recipient of many honors, including 

a Fulbright Fellowship, the 2001 President’s Award from the United Negro College Fund, 

the 2002 Fulbright Lifetime Achievement Medal, and the 2004 Eleanor Roosevelt Val‐Kill 
Medal.  She is a member of the Howard University Board of Trustees and serves on a 

number of corporate boards, including Texas Instruments and The Goldman Sachs Group.   

Gregg W. Steinhafel, a resident of Minneapolis, Minnesota, is chairman, chief executive 

officer, and president of Target Corporation.  He is a member of the Executive Committee 

on the Board of Directors of Toro Company.  Mr. Steinhafel is a graduate of Carroll College 

and Northwestern University's Kellogg School of Management.   

The proposed membership of the Council of the National Museum of African American 

History and Culture is as follows: 

Richard D. Parsons, co‐chair, New York, NY 

Linda Johnson Rice, co‐chair, Chicago, IL 

Laura Bush, Crawford, TX 

James I. Cash Jr., Watertown, MA 

Kenneth I. Chenault, New York, NY 

Ann Marie Fudge, Chestnut Hill, MA 

Quincy Jones, Los Angeles, CA  

James A. Johnson, Washington, DC  

Robert L. Johnson, Washington, DC  

Ann Dibble Jordan, Washington, DC  

Michael L. Lomax, Fairfax, VA 

Doris Matsui, Sacramento, CA 

Homer Alfred Neal, Ann Arbor, MI  

E. Stanley O’Neal, New York, NY 

Samuel J. Palmisano, Armonk, NY 

Franklin D. Raines, Washington, DC  

Ruth Jean Simmons, Providence, RI 

Gregg W. Steinhafel, Minneapolis, MN 

H. Patrick Swygert, Washington, DC  

Anthony Welters, Vienna, VA 

Oprah Winfrey, Chicago, IL  

Ex Officio Member

G. Wayne Clough, Washington, DC 

NATIONAL MUSEUM OF AMERICAN HISTORY  

At its meeting on October 9, 2009, the Board of the National Museum of American History 

recommended the appointment of Jack Martin to the Board.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents appoints Jack Martin to the Board of the National 

Museum of American History for a three‐year term effective February 1, 2010. 

A biography of the candidate follows:  

Jack Martin of Austin, Texas, is the founder and chairman of Public Strategies Inc., a global 

business advisory firm founded in 1988.  Mr. Martin previously served as a senior advisor 

to the Democratic National Committee; consultant to the U.S. Senate Democratic Campaign 

Committee; treasurer of the Texas Democratic Party; and executive assistant to U.S. Senator 

Lloyd Bentsen (TX).  He is the founder of the 2020 Group, which includes key Texan leaders 

in business, civic endeavors, and non‐profit organizations for the purpose of identifying 

ideas to improve the lives of all Texan families by 2020.  He is a member of the Board of 

Visitors of the MD Anderson Cancer Center and a member of the Board of Directors of the 
Lyndon Baines Johnson Foundation, which supports public policy education at the 

University of Texas’s Lyndon Baines Johnson School of Public Affairs, and the Lyndon 

Baines Johnson Presidential Library and Archives.  Mr. Martin was also the chairman of the 

Board of Regents of the Texas State University System.   

The proposed membership of the Board of the National Museum of American History s as 

follows: 

John F.W. Rogers, chair, Washington, DC 

Michael Beschloss, Washington, DC 

Curt Bradbury, Little Rock, AR 

Ellsworth Brown, Madison, WI 

Kathryn Brown, Washington, DC 

Charles F. Bryan Jr., Richmond, VA 

Victor Cabral, McLean, VA 

Thad Cochran, Jackson, MS 

Lesley Herrmann, New York, NY 

Philip Lader, Charleston, SC 

Francine LeFrak, New York, NY 

Charles Manatt, Washington, DC 

Jack Martin, Austin, TX 

Doris Matsui, Sacramento, CA  

David McCullough, West Tisbury, MA 

Tommy C. Morrison, Albany, GA 

Timothy O’Neill, New York, NY 

Abbe Raven, New York, NY 

David M. Rubenstein, Washington, DC 

Vicki Ruiz, Irvine, CA 

Frederick Ryan, Potomac, MD 

Nicholas Taubman, Roanoke, VA 

Riley K. Temple, Washington, DC 

James G. Vella, Deerborn, MI 

Gail Berry West, Washington, DC 

Judy Woodruff, Washington, DC 

Ex Officio Members

G. Wayne Clough, Washington, DC 

Brent D. Glass, Washington, DC 

Richard Kurin, Falls Church, VA 

Alumni Members

David E. Behring, Danville, CA 

Pete Claussen, Knoxville, TN 

David Fields, Birmingham, AL 

Irene Y. Hirano, Los Angeles, CA 

Dorothy Lemelson, Incline Village, NV 

Elizabeth MacMillan, Wayzata, MN 

James R. Mellor, Laguna Beach, CA 

Libby Haight O’Connell, Lloyd Harbor, NY 

Elihu Rose, New York, NY 

Ivan Selin, Washington, DC 

Rodney Slater, Washington, DC 

Marvin D. Williams, Grapevine, TX 

Tae Yoo, San Jose, CA 

NATIONAL MUSEUM OF NATURAL HISTORY  

At its meeting on November 5, 2009, the Board of the National Museum of Natural History 

recommended the reappointment of John Fahey, Gabriela Febres‐Cordero, William Frist, 

David Koch, Jane Lubchenco, William Luers, David Rubenstein, and Roger Sant to the Board.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents reappoints Gabriela Febres‐Cordero, William 

Frist, David Koch, Jane Lubchenco, and David Rubenstein to the Board of the 
National Museum of Natural History for three‐year terms effective immediately; 

William Luers and Roger Sant to the Board for three‐year terms effective May 1, 

2010; and John Fahey to the Board for a three‐year term effective June 1, 2010. 

The proposed membership of the Board of the National Museum of Natural History is as 

follows: 

Paul G. Risser, chair, Norman, OK 

Bruce Babbitt, Washington, DC

Peter Buck, Danbury, CT 

Jane Buikstra, Tempe, AZ 

Michael J. Collins, Coral Gables, FL 

Rita Colwell, Bethesda, MD 

John Fahey, Washington, DC 

Gabriela Febres‐Cordero, New York, NY 

Jonathan Fink, Tempe, AZ 

William H. Frist, Nashville, TN 

Kathryn S. Fuller, Washington, DC 

Paula Kerger, Arlington, VA 

David Koch, New York, NY 

Jane Lubchenco, Corvallis, OR 

William H. Luers, New York, NY 

Whitney Macmillan, Wayzata, MN 

Sandra Day O’Connor, Washington, DC 

Jerold J. Principato, Bethesda, MD 

David Rubenstein, Washington, DC 

Jeremy Sabloff, Santa Fe, NM 

Roger W. Sant, Washington, DC 

Shirley Sherwood, London, England 

Emeritus Members

I. Michael Heyman, Berkeley, CA 

Jean Lane, Portola Valley, CA 

Robert Malott, Chicago, IL 

Ex Officio Members

G. Wayne Clough, Washington, DC 

Eva Pell, Arlington, VA 

Cristián Samper, Washington, DC

NATIONAL MUSEUM OF THE AMERICAN INDIAN  

At its meeting on October 8, 2009, the Board of Trustees of the National Museum of the 

American Indian recommended the appointment of Patricia M. Zell and the reappointments 

of Frederick Hoxie, Byron I. Mallott, Jacqueline Old Coyote, Tina Marie Osceola, Freda 

Porter, and Randall Willis to the Board for three‐year terms effective immediately.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents appoints Patricia M. Zell and reappoints Frederick 

Hoxie, Byron I. Mallott, Jacqueline Old Coyote, Tina Marie Osceola, Freda Porter, and 

Randall Willis to the Board of Trustees of the National Museum of the American 

Indian for three‐year terms effective immediately.   

A biography of the candidate follows:  

Patricia M. Zell of Alexandria, Virginia, is a partner in Zell & Cox Law, P.C., specializing in 

the laws affecting American Indians, Alaska Natives and Native Hawaiians, and Native 

American business opportunities.  Ms. Zell retired from public service in March of 2005, 

following 25 years of service on the U.S. Senate Committee on Indian Affairs, where she 

served as Democratic Staff Director and Chief Counsel for the last 19 years of her service, 

working with the Chairman and Vice Chairman of the Committee, Senator Daniel K. Inouye.  
Prior to her Senate service, Patricia Zell worked for the U.S. Commission on Civil Rights, the 

American Indian Policy Review Commission, and the American Psychological Association.   

The proposed membership of the Board of Trustees of the National Museum of the 

American Indian is as follows: 

Manley Begay Jr., Tucson, AZ 

Ben Nighthorse Campbell, Ignacio, CO 

Howard R. Berlin, Carefree, AZ 

Roberta Leigh Connor, Pendleton, OR 

Cheryl Crazy Bull, Bellingham, WA 

Philip J. Deloria, Ann Arbor, MI 

Lucille A. Echohawk, Arvada, CO 

John Ernst, New York, NY 

Catherine Fowler, Reno, NV 

George Gund III, San Francisco, CA 

Frederick E. Hoxie, Evanston, IL 

Maurice A. John Sr., Salamanca, NY 

Eric J. Jolly, St. Paul, MN 

Byron I. Mallot, Anchorage, AK 

Marshall McKay, Brooks, CA 

Jackie Old Coyote, Cambridge, MA 

Tina Marie Osceola, Naples, FL 

Freda Porter, Pembroke, NC 

Ronald J. Solimon, Albuquerque, NM 

Lynn Valbuena, Highland, CA 

Randall L. Willis, Atlanta, GA 

José Zárate, Toronto, Canada 

Patricia M. Zell, Alexandria, VA 

Ex Officio Members

G. Wayne Clough, Washington, DC 

Richard Kurin, Falls Church, VA 

NATIONAL POSTAL MUSEUM  

At its meeting on June 9, 2009, the Council of Philatelists of the National Postal Museum 

recommended the appointment of Elizabeth Hisey and May Day Taylor to the Council and, 

at its meeting on October 24, 2009, the Council recommended the appointment of Mary 

Ann Bowman to the Council.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents appoints Mary Ann Bowman, Elizabeth Hisey, and 

May Day Taylor to the Council of Philatelists of the National Postal Museum for 

three‐year terms effective immediately. 

Biographies of the candidates follow:  

Mary Ann Bowman, a resident of Waukesha, Wisconsin, is a retired Wisconsin school 

teacher.  She received the first annual Ernest A. Kehr Future of Philately Award in 1991 for 

her work with youth in stamp collecting.  Among her achievements for philately is the 

creation of the first formal youth area at a national level stamp show in 1982, which has 

served as a model for local‐ to international‐level stamp shows.  In addition to school stamp 

clubs and community outreach programs, she served on the American Philatelic Society 

(APS) Youth Activities Committee and contributes to the APS Chapter Activities Committee 

newsletter.  She has supported other philatelic organizations, including international 
exhibitions, and served as the director of educational projects for the Junior Philatelists of 

America.  Ms. Bowman received the first Collectors Club of Chicago encouragement grant in 

recognition for her work with young people and in 2005 was recognized as a Distinguished 

Topical Philatelist by the American Topical Association.   

Elizabeth M. Hisey, a resident of Sebring, Florida, has been involved in philately for the 

past 10 years.  She is a life member of the American Philatelic Society and the American 

Association of Philatelic Exhibitors; co‐founder of Women Exhibitors; and a member of 

American Topical Association and the United States Classics Society.  She is an 

APS‐accredited Judge, and also a member of the Council on the Accreditation of National 

Exhibitions and Judges.  Ms. Hisey is currently secretary for the American Association of 

Philatelic Exhibitors and is treasurer for Women Exhibitors.  She has been a professional 

volunteer for 20 years with various organizations and served as president of the 

Association of Florida Hospital Auxiliaries and Volunteers in 2000 and managed the 

Highlands Regional Medical Center Gift Shop for 19 years.  She owned a catering company 

in Connecticut for 10 years before she and her husband retired to Florida.   

May Day Taylor, of Somerset, New Jersey, has been a stamp collector since age 10.  An 

historian by education and a business consultant by profession (she established United 

Buying Service in 1967 and Consulting, Advertising and Research Services in 1984), Ms. 

Taylor has moved from a world‐wide stamp collector to a topical collector with interests in 

new U.S. issues.  An award‐winning cachetmaker, she collects ceremony programs and 

philatelic pages.  She is president of the Mr. Beasley Stamp Club, active in three other 

philatelic clubs, and has served on the board of NAPEX as well as the American Philatelic 

Society Finance Committee.  At the world philatelic exhibition Washington 2006 she 

exhibited in the Court of Honor with “Welcome to Washington” and coordinated the 

Alexandria Blue Boy Exhibit which resulted from her research and subsequent publication 

on that famous stamp.   

The proposed membership of the Council of Philatelists of the National Postal Museum is as 

follows: 

Donald Sundman, chair, Camden, NY 

Michael Aldrich, Carefree, AZ 

Harvey Bennett, Timonium, MD 

Mary Ann Bowman, Waukesha, WI      

Roger Brody, Watchung, NJ 

Charles DiComo, Pawling, NJ 

Ian C. Gibson‐Smith, Martinsburg, WV 

Harry Hagendorf, Scarsdale, NY 

Elizabeth Hisey, Sebring, FL 

Jay Hoffman III, Alexandria, VA 

John Hotchner, Falls Church, VA 

Jim Kloetzel, Sidney, OH 

Janet Klug, Pleasant Plain, OH 

Van Koppersmith, Mobile, AL 

Al Kugel, Hinsdale, IL 

Curtis Livingston, Nantucket, MA 

Tom Mazza, New York, NY 

Peter McCann, University Park, FL 

Harvey Mirsky, New York, NY 

Bob Odenweller, Bernardsville, NJ 

Steven Rod, Orange, NJ 

Omar Rodriguez, New York, NY 

Robert Rose, Morristown, NJ 

Wade Saadi, Brooklyn, NY 

Charles Shreve, Dallas, TX 

May Day Taylor, Washington, DC 

Herbert Trenchard, Hyattsville, MD 

Charles Verge, Toronto, ON, Canada 
Alan, Warren, Exton, PA 

Alan Whitman, Arcadia, CA 

Richard Winter, Greensboro, NC 

Ex Officio Members  

G. Wayne Clough, Washington, DC 

Cheryl Ganz, Washington, DC 

Allen Kane, Rockville, MD 

Daniel Piazza, Greenbelt, MD 

Emeritus Members

Thomas Alexander, Kansas City, MO  

Guido Craveri, Lugano, Switzerland  

David Sundman, Littleton, NH 

NATIONAL ZOOLOGICAL PARK  

At its meeting on October 9, 2009, the Advisory Board of the National Zoological Park 

recommended the reappointment of James Dyer, Steven A. Elmendorf, John Marriott, Susan 

Mars, Thomas Nides, Joseph Robert Jr., Ronald Rosenfeld, and J. Scott Wilfong to the Board.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents reappoints James Dyer, Steven A. Elmendorf, John 

Marriott, Susan Mars, Thomas Nides, Joseph Robert Jr., Ronald Rosenfeld, and J. 

Scott Wilfong to the Advisory Board of the National Zoological Park for three‐year 

terms effective immediately 

The proposed membership of the Advisory Board of the National Zoological Park is as 

follows: 

John W. Marriott III, chair, Potomac, MD 

Susan Mars, vice chair, McLean, VA   

Wendy Block, Washington, DC 

W. Clark Bunting II, Potomac, MD 

James Dyer, Washington, DC  

Steven A. Elmendorf, Washington, DC  

Clinton A. Fields, Annandale, VA 

Stanley E. Freimuth, Harrison, NY 

Jennie Turner Garlington, Paris, KY 

Camilla Jenkins, Valhalla, NY 

Anthony V. Lupo, Washington, DC 

Thomas Nides, Potomac, MD 

Stuart L. Pimm, Durham, NC 

Joseph Robert Jr., McLean, VA   

Ronald Rosenfeld, Chevy Chase, MD 

Jim Weinberg, Washington, DC  

J. Scott Wilfong, Washington, DC  

Curtin Winsor III, Washington, DC 

Emeritus Members

Joan Donner, Colorado Springs, CO  

Adrienne Mars, Jackson, WY  

Ex Officio Members

G. Wayne Clough, Washington, DC 

Eva Pell, Arlington, VA 

James C. Weinberg, Washington, DC 

SMITHSONIAN AMERICAN ART MUSEUM  

At its meeting on November 16, 2009, the Commission of the Smithsonian American Art 

Museum recommended the appointment of Aida M. Alvarez to the Commission.   
Accordingly, the following motion is suggested: 

VOTED that the Board of Regents appoints Aida M. Alvarez to the Commission of the 

Smithsonian American Art Museum for a four‐year term effective January 31, 2010. 

A biography of the candidate follows:  

Aida M. Alvarez of Piedmont, California, has been an awarding‐winning journalist, a 

successful investment banker, and a member of President Clinton’s Cabinet.  Ms. Alvarez 

currently serves on the boards of Wal‐Mart and UnionBanCal Corporation, whose primary 

subsidiary is Union Bank, N.A.  She chairs the Latino Community Foundation and is a 

trustee of the National Trust for Historic Preservation.  In 1996, she was named 

administrator of the United States Small Business Administration by President Clinton.  She 

was the first Hispanic woman to serve in a president’s cabinet.  Prior to entering public 

service, Ms. Alvarez served as a vice president in public finance at First Boston Corporation 

and Bear Stearns.  She began her career in journalism, working in both print (New York

Post) and television media (Metromedia, now Fox TV).  A Harvard graduate, Ms. Alvarez 

holds honorary doctorates from Bethany College, Iona College, Mercy College, and the 

Inter‐American University of Puerto Rico.   

The proposed membership of the Commission of the Smithsonian American Art Museum is 

as follows: 

James F. Dicke II, chair, New Bremen, OH 

Samuel G. Rose, vice chair, Bethesda, MD 

Aida M. Alvarez, Piedmont, CA 

Judah Best, Arlington, VA

Richard Brodie, Bloomfield Hills, MI 

L. Hardwick Caldwell III, Lookout  

  Mountain, TN 

Tania Goss Evans, Grafton, VT 

Norma Lee Funger, Potomac, MD 

Dorothy Tapper Goldman, New York, NY 

William I. Koch, West Palm Beach, FL 

John T. Kotelly, Washington, DC 

Elizabeth S. MacMillan, Wayzata, MN 

Jean B. Mahoney, Hobe Sound, FL 

Edgar M. Masinter, White Plains, NY 

Nion T. McEvoy, San Francisco, CA 

Beverly L. Perry, Washington, DC 

Allan J. Riley, New York, NY 

Clarice R. Smith, Washington, DC 

Michael I. Wilkins, Berkeley, CA 

Gary Wolkowitz, New York, NY 

Emeritus Members

Barney A. Ebsworth, Hunts Point, WA 

Patricia Frost, Miami, FL 

Shelby M. Gans, San Francisco, CA 

Ken Hakuta, Washington, DC 

William G. Kerr, Jackson, WY 

Melvin Lenkin, Chevy Chase, MD 

Peter Lunder, Scarborough, ME 

Nan Tucker McEvoy, San Francisco, CA 

David Purvis, Stonington, CT 

Ferdinand T. Stent, Stone Mountain, GA 

Ex­Officio Member

G. Wayne Clough, Washington, DC
SMITHSONIAN LATINO CENTER  

At its meeting on June 4, 2009, the Smithsonian National Board for Latino Initiatives of the 

Smithsonian Latino Center recommended the appointment of Johnny A. Yataco to the 

Board for a three‐year term effective immediately.   

Accordingly, the following motion is suggested: 

VOTED that the Board of Regents appoints Johnny A. Yataco to the Smithsonian 

National Board for Latino Initiatives of the Smithsonian Latino Center for a 

three‐year term effective immediately. 

A biography of the candidate follows:  

Johnny A. Yataco, a resident of Washington, D.C., is the publisher of the Washington

Hispanic, a principal Spanish‐language weekly newspaper serving Latino communities in 

the District of Colombia, Maryland, and Virginia.  Established in 1994, the Washington

Hispanic has been recognized by the National Association of Hispanic Publications and, in 

1999, was ranked #54 as one of the fastest‐growing Hispanic companies in the United 

States.  The Washington Hispanic has a weekly circulation of 55,000, with an estimated 

readership of 192,000.  In 2008, Mr. Yataco was recognized as the Businessman of the Year 

by the Peruvian American Chamber of Commerce.  He serves on the boards of the Capital 

Area Food Bank and the Inter‐American Press Association.  He also serves on the 

Montgomery County Commission on Ethnic Affairs.  Mr. Yataco is a native of Lima, Peru, 

where he served as press secretary and photographer at the Government Palace in Lima, 

Peru, from 1987 to 1988, covering official activities and special events for the President of 

Peru.   

The proposed membership of the Smithsonian National Board for Latino Initiatives of the 

Smithsonian Latino Center is as follows: 

Jesus Rangel, chair, San Antonio, TX 

Virginia Gonzalez Hough, vice chair,  

  Burbank, CA 

Xavier Becerra, Los Angeles, CA 

Gilberto Cardenas, Notre Dame, IN 

Thomas H. Castro, Houston, TX 

Stephen M. Cunningham, New York, NY 

Raquel Egusquiza, Arlington, VA 

Ivelisse Estrada, Los Angeles, CA 

Margarita Flores, San Antonio, TX 

David Gonzales, Dallas, TX 

Laura Hernandez, Dallas, TX 

Guillermo Jasson, Greenwich, CT 

Richard Marin, Los Angeles, CA 

Gloria Rodriguez, Arlington, VA 

Socorro Vasquez, Laguna Beach, CA 

Johnny Yataco, Washington, DC 

Tomás Ybarra‐Frausto, New York, NY 

Ex Officio Members

G. Wayne Clough, Washington, DC 

Eduardo Díaz, Washington, DC 

Richard Kurin, Falls Church, VA

Emeritus Member  

Henry R. Muñoz III, San Antonio, TX 
HIRSHHORN MUSEUM AND SCULPTURE GARDEN  

Pursuant to statute, appointments to the Hirshhorn Museum and Sculpture Garden’s Board 

of Trustees do not require the approval of the Board of Regents.  Although no action is 

required from the Board, an update on the membership of the Board of Trustees of the 

Hirshhorn Museum and Sculpture Garden is provided for informational purposes. 

At its meeting on October 8, 2009, the Board of Trustees of the Hirshhorn Museum and 

Sculpture Garden elected Dan Sallick to the Board.  A biography of the candidate follows. 

Dan Sallick of Washington, D.C., is the co‐founder of Home Front Communications, a full 

service broadcast public relations, Web development, and social media firm with offices in 

Washington, D.C., and New York City.  He formerly served as communications director for 

the Democratic Congressional Campaign Committee and as deputy press secretary for 

House Minority Leader Richard A. Gephardt.   

The membership of the Board of Trustees of the Hirshhorn Museum and Sculpture Garden 

is as follows: 

J. Tomilson Hill, chair, New York, NY 

Melva Bucksbaum, Aspen, CO 

Connie Caplan, Baltimore, MD 

Glenn Fuhrman, New York, NY 

Robert Goergen, Greenwich, CT 

Ann Hamilton, Columbus, OH 

Olga Hirshhorn, Washington, DC 

Robert Lehrman, Washington, DC 

Jacqueline Leland, Washington, DC 

Barbara Levine, Washington, DC 

Richard Levitt, Des Moines, IA 

Linda Macklowe, New York, NY 

John Pappajohn, Des Moines, IA 

Dan Sallick, Washington, DC 

Thomas Stoner, Annapolis, MD 

Steven Tananbaum, New York, NY 

John Wieland, Atlanta, GA 

Ginny Williams, Denver, CO 

Ex Officio Members

G. Wayne Clough, Washington, DC 

John Roberts, Chevy Chase, MD 
REAPPOINTMENTS TO THE SMITHSONIAN NATIONAL BOARD

As noted in the Report of the Smithsonian National Board, the National Board recommends 

the reappointment of eight members to its Board.  Accordingly, the following motion is 

suggested: 

VOTED that the Board of Regents reappoints Judy Hart Angelo, Jane Lipton Cafritz, 

John French III, Russell E. Palmer Jr., William M. Ragland Jr., Ronald A. Rosenfeld, 

Douglas C. Walker, and Mallory Walker to the Smithsonian National Board for three‐

year terms effective immediately.   
* participated by teleconference

DRAFT MINUTES OF THE DECEMBER 8, 2009, GOVERNANCE AND

NOMINATING COMMITTEE MEETING

The Governance and Nominating Committee (“the Committee”) of the Board of Regents of 

the Smithsonian Institution held a meeting on December 8, 2009, beginning at 1:30 p.m. in 

the Smithsonian Castle in Washington, D.C.  Participating were Committee Chair Shirley 

Ann Jackson* and Committee member Representative Doris Matsui*.  Committee member 

Christopher J. Dodd was unable to participate.  In attendance were Secretary G. Wayne 

Clough, Chief of Staff to the Secretary Patricia Bartlett, Assistant to Representative Matsui 

Julie Eddy*, Office of the Regents Program Officer Grace Jaeger, Chief of Staff to the Board of 

Regents John K. Lapiana, General Counsel Judith Leonard, Assistant to Senator Dodd Colin 

McGinnis*, Director of Government Relations Nell Payne, and Inspector General A. 

Sprightley Ryan. 

The Chair called the meeting to order. 

APPROVAL OF MINUTES

The Chair asked for comments on the draft minutes of the July 27, 2009, meeting.  There 

were none and the minutes were approved. 

REPORT OF THE CHAIR

GAO Report

As part of the Smithsonian’s fiscal year 2010 Federal appropriation, the Government 

Accountability Office (GAO) was asked to review the progress of Smithsonian governance 

reforms by December 31, 2009.  GAO completed that review and will present its findings 

during testimony before the House Appropriations Subcommittee on December 10, 2009.  

GAO staff allowed the Smithsonian to provide management’s responses to its report before 

it was made final on December 7, 2009.  The prepared testimonies of the GAO, Secretary 

Clough, and Inspector General Ryan, as well as management’s responses, will be distributed 

to Committee members. 

In general, GAO found that progress was made against all 25 Governance and Nominating 

Committee recommendations, as well as those offered by GAO in its May 2008 review.  GAO 

also determined that additional attention by the Regents, and the Committee in particular, 

might be productive in two areas.  First, GAO concluded that the selection, use, and 

evaluation of non‐Regents on Regents’ committees would benefit from increased 

transparency.  The GAO report referenced discussions from the July 27, 2009, meeting of 

the Committee on the development of a bylaw to codify and clarify the role of non‐Regent 

committee members.   

The Chair noted that Ms. Leonard and Assistant General Counsel Craig Blackwell provided 

her with further information on the potential ramifications should the bylaw be enacted, 

especially with regard to the delegation of the statutory duties of Regents and the 
application of the Regents’ ethical and financial disclosure obligations to non‐Regent 

committee members.  This issue will be further discussed at the next meeting of the 

Committee on March 8, 2010. One issue immediately clarified for the GAO was that the 

charters of the Regents’ committees require all committee members, including non‐Regent 

committee members, to file annual financial disclosures.   

GAO’s second conclusion regarded the need to strengthen “two‐way” communications 

between the advisory boards and the Board of Regents.  GAO cited a number of outreach 

efforts conducted by Board Chair Patricia Stonesifer and former Chair Roger Sant, but 

noted that such efforts have not been formalized.  Specifically, GAO noted in its draft report 

that there was no guarantee that future chairs would continue the same practice. 

Dr. Jackson noted that Ms. Stonesifer and she had discussed this aspect of the report and, as 

a result of their discussion, advised GAO that during the first quarter of 2010 the Regents 

would work to codify processes for two‐way communications between the Regents and 

advisory board chairs.   

In addition, the Committee will continue to review the best practices of diverse 

organizations with similar advisory board structures and look for new ways to promote 

communications and strengthen partnerships with the Smithsonian’s advisory boards.  Dr. 

Jackson and Ms. Stonesifer also asked staff to identify and study similar governing 

board/advisory board relationships and report their findings to the Committee at the 

March 2010 meeting.   

Ms. Payne noted that, unlike most GAO reports, the report on the Smithsonian’s governance 

reforms contained no additional recommendations, which she characterized as 

remarkable.  Dr. Jackson thanked Ms. Payne for serving as principal liaison with the GAO 

during the review process.   

Advisory Board Appointments

Dr. Jackson made note of the biographies of candidates for appointment or reappointment 

to eight Smithsonian advisory boards, which were provided in the meeting materials.  She 

explained that the appointment of a new trustee to the Hirshhorn Museum and Sculpture 

Garden board did not require action from the Committee or the Board of Regents because 

the Hirshhorn board, pursuant to the Museum’s founding statute, retains the authority to 

appoint new trustees.  She added that the appointment was included in the meeting 

materials for informational purposes, as well as in the interest of transparency. 

The Committee was reminded that in April 2009 the Regents approved an amendment to 

the bylaws of the Advisory Council of the National Museum of African American History 

and Culture to support the increase of the Council’s size from 17 to “not more than 35.”  

Accordingly, three candidates were submitted for the Committee’s consideration, and the 

Committee was advised that the Museum anticipated that it would recommend between six 

and eight additional candidates for consideration at the next Committee meeting.   
Ms. Matsui noted that she agreed with the proposed nominations.   The following motion 

was then approved.  

VOTED that the Committee recommends that the Board of Regents approves the 

proposed slate of candidates for appointment or reappointment to eight 

Smithsonian advisory boards.  

Regents’ Committee Assignments

Included in the meeting materials were proposed committee rosters for calendar year 

2010.  Dr. Jackson said she had spoken at length with Board Chair Patricia Stonesifer about 

the proposed assignments and outlined the suggested changes: Paul Neely will replace 

Hacker Caldwell on the Advancement Committee, as well as continue to represent the 

Smithsonian National Board; Phillip Frost will serve as Chair of the Compensation and 

Human Resources Committee; Robert Kogod, if elected, will replace Roger Sant on the 

Executive Committee and will step off of the Finance Committee; France Córdova and 

Roger Sant will join the Governance and Nominating Committee, increasing its membership 

to five; and France Córdova will join the Strategic Planning and Programs Committee. 

In addition, the proposed committee changes addressed the membership and leadership 

structure of the Investment Committee.  Dr. Jackson said that the Investment Committee 

would be strengthened with the addition of David Rubenstein and the creation of the 

position of Vice Chair.  She explained that the proposed position was suggested in 

recognition that, although this key committee is ably chaired by David Silfen, a Regent with 

fiduciary‐like responsibility for oversight of the Endowment should share the committee’s 

leadership duties.  She added that Roger Sant had agreed to assume this role for 2010.   

  

Ms. Matsui concurred with the proposed committee rosters.  The Committee, however, did 

not consider a motion to approve the proposed committee memberships.  Instead, it agreed 

to engage the full Committee in this action by circulating a mail ballot to all members after 

the meeting. 

ADJOURNMENT

The Chair adjourned the meeting at 1:50 p.m. 
MINUTES OF THE JULY 27, 2009, GOVERNANCE AND NOMINATING

COMMITTEE MEETING

The Governance and Nominating Committee (“the Committee”) of the Board of Regents of 

the Smithsonian Institution held a meeting on July 27, 2009, beginning at 10:10 a.m. in the 

Smithsonian Castle in Washington, D.C.  Participating were Committee Chair Shirley Ann 

Jackson* and Committee member Representative Doris Matsui*.  In attendance were Chief 

of Staff to the Secretary Patricia Bartlett, Assistant General Counsel Craig Blackwell, 

Assistant to Representative Matsui Julie Eddy,* Office of the Regents Program Officer Grace 

Jaeger, Chief of Staff to the Board of Regents John K. Lapiana, General Counsel Judith 

Leonard, Assistant to Senator Dodd Colin McGinnis*, and Inspector General Sprightley 

Ryan. 

The Chair called the meeting to order. 

APPROVAL OF MINUTES

The Chair asked for comments on the draft minutes of the March 23, 2009, meeting.  There 

were none and the minutes were approved. 

REPORT OF THE CHAIR

Dr. Jackson reported that progress had been made on the official appointment of Dr. France 

Córdova to the Board of Regents.  She said that Dr. Córdova had met with members of the 

House Administration Committee and that her appointment was expected in time for the 

September 21, 2009, full Board meeting.  Dr. Jackson thanked Congresswoman Matsui and 

her Regent colleagues in the House of Representatives for their work in securing Dr. 

Córdova’s appointment. 

Dr. Jackson said that the Government Accountability Office (GAO) recently conducted a 

survey of governance practices and the role of inspectors general at a number of 

designated Federal entities.  She said that the final report was released on April 20, 2009, 

and a Web link to the report would be provided for interested members. 

CONSENT AGENDA

The Committee approved the following motions en bloc: 

VOTED that the Committee recommends that the Board of Regents approves the 

proposed slate of candidates for appointment or reappointment to seven 

Smithsonian advisory boards. 

VOTED that the Committee recommends that the Board of Regents approves the 

appointment of Paul Neely as Chair and Judy S. Huret and Gary B. Moore as Vice 

Chairs of the Smithsonian National Board for three‐year terms effective October 1, 

2009. 

* participated by teleconference
VOTED that the Committee recommends that the Board of Regents reelect  

Patricia Q. Stonesifer as Chair of the Smithsonian Institution’s Board of Regents for a 

one‐year term effective January 21, 2010. 

VOTED that the Committee recommends that the Board of Regents reelect Alan G. 

Spoon as Vice Chair of the Smithsonian Institution’s Board of Regents for a one‐year 

term effective January 21, 2010. 

VOTED that the Committee recommends that the Board of Regents appoint  

George E. Hartman as a non‐Regent member to the Facilities Committee. 

PROPOSED BYLAW REGARDING NON­REGENT COMMITTEE MEMBERS

Dr. Jackson led a discussion on a proposed bylaw concerning the duties and responsibilities 

of non‐Regent members of Board committees.  The proposed bylaw provided in part that 

non‐Regent committee members exercise the same duties and responsibilities as Regent 

committee members. 

   

Committee members and staff discussed the role of non‐Regent committee members and 

whether the bylaw reflected that role.  The Committee noted that non‐Regent members are 

valuable to the work of the committees, but that non‐Regent members do not go through 

the same nomination and appointment process as Regents and do not exercise the 

statutory authority of Regents.  The Committee discussed whether standards of conduct for 

non‐Regent committee members could be established through guidelines rather than a 

bylaw amendment. 

Ms. Leonard and Mr. Blackwell reviewed the ethical and disclosure obligations of Regents 

under the Board of Regents Ethics Guidelines and the Board of Regents Annual Disclosure 

Statement.  The Committee discussed whether those obligations should apply equally to 

non‐Regent committee members.  Mr. Blackwell noted an additional disclosure obligation 

that applied to the Regents in conjunction with the Institution’s IRS Form 990.  He noted 

that that disclosure obligation would likely change as the IRS had recently revised the Form 

990.  

Mr. Lapiana noted that the GAO had raised the issue of non‐Regent duties and 

responsibilities while preparing its 2008report on governance at the Smithsonian.  Dr. 

Jackson asked staff to provide information about the GAO’s views.  Committee members 

agreed that further research and discussion were needed and tabled the proposed bylaw 

amendment.  Dr. Jackson asked staff to propose standards for disclosure of conflicts and 

potential conflicts of interest for non‐Regent committee members.  Dr. Jackson also asked 

staff to further consider whether such standards should be memorialized in a bylaw, in 

committee charters, in Regent guidelines, or in some other format.   

SELF ASSESSMENT TEMPLATE

Members received proposed Board and committee self‐assessment templates in the 

meeting materials.  The full Board assessment was slightly modified from the one used in 

fiscal year 2008.  Members discussed and approved the templates with the following 
comments deleted from the full Board assessment: 

1. Our Board’s size is about right. 

2. Any standing committee I serve on completes its tasks in an effective and timely 

way. 

3. The bulk of committee meetings are spent on substantive deliberation of 

pending decisions and critical issues facing the Smithsonian and its units. 

It was noted that the assessments would be included in the September 21, 2009, full Board 

meeting materials and presented by Dr. Jackson to the Board.  The assessments would then 

be administered in October 2009. 

BOARD RESPONSES TO REGENT NON­PERFORMANCE

In its 2008 report on the effectiveness of the Smithsonian’s governance reforms, the GAO 

recommended that the Board should “evaluate” what actions could be taken in the “event 

of persistent neglect of duties” by a Regent.  [Unlike most boards, the Regents do not have 

the authority to remove a board member.  The Congress has sole authority to remove a 

Regent and exercised that authority only once, in 1863, to remove George E. Badger for 

giving aid and comfort to the Confederacy.]  As part of the governance reforms, the Regents 

strengthened their oversight regarding board members by clarifying Regents’ duties and 

responsibilities; requiring annual self‐assessments; and charging the Governance and 

Nominating Committee with overall Board assessment.  

In response to GAO’s recommendation, staff proposed steps that could be taken in the 

event of “persistent neglect of duties” by a Regent.  After discussion by Committee 

members, the proposal was modified and accepted as follows.   

Board Approach to Regent Performance

Actions to be taken in the event of “persistent neglect of duties” by a Regent: 

1) initial counseling by the Chair of the Governance and Nominating Committee in 

conjunction with the Board annual self‐assessment, followed, as necessary, by 

counseling by the Chair of the Board, and 

2)  should these discussions fail to result in improvement, referral to the full Board 

for appropriate action. 

ADJOURNMENT

At 11:05 a.m. the Committee went into executive session, after which the meeting was 

adjourned at 11:15 a.m. 

Respectfully submitted,  

Shirley Ann Jackson, Chair 
REPORT OF THE FACILITIES COMMITTEE

Facilities Committee Chair Robert Kogod will provide an update on the Committee’s 

activities to the Board at its January 25, 2010, meeting.  The following papers will support 

his report. 

A. Construction Authorization for the National Zoological Park’s facility in Front

Royal, Virginia

Proposed Motion: VOTED that the Board of Regents seek authorization, as necessary, 

for the design and construction of new and renovated facilities at 

the National Zoological Park’s facility in Front Royal, Virginia.

B. Draft Minutes of the October 19, 2009, Committee Meeting
NEW EDUCATIONAL AND SUPPORT FACILITIES FOR THE NATIONAL

ZOOLOGICAL PARK FACILITY IN FRONT ROYAL, VIRGINIA

BACKGROUND

The Smithsonian Institution and specifically the National Zoological Park (NZP) have a long 

history of collaborating closely with strategic partners to advance important goals.  The 

specific goals of discovering and understanding biological diversity, advancing scientific 

solutions, and conserving wildlife cannot be achieved without significant creative 

collaboration.  Toward that end, the NZP Comprehensive Facilities Master Plan completed 

in December 2008 includes plans for the creation of a campus‐like setting at the NZP 

facility in Front Royal, Virginia (NZP‐FR), with space capable of hosting multiple partners 

who share common goals and are willing to work with NZP scientists and staff to advance 

efforts in conservation biology.   

In October 2008, the Smithsonian and George Mason University (GMU) signed a 

Memorandum of Agreement (MOU) establishing the “Smithsonian‐Mason Global 

Conservation Studies Program.”  The program will enhance and expand the NZP’s long 

history of providing educational classes and professional training for the next generation of 

conservation and scientific professionals.  The agreement is the first of what the Institution 

hopes will be many partnerships assisting in advancing the Institution’s mission to support 

the increase and diffusion of knowledge.   

The MOU between the Smithsonian and GMU commits both parties to providing an 

accredited educational program and facilities to house the program.  New construction and 

major revitalization of an existing structure will provide code‐compliant, LEED‐certified 

facilities to house residential and educational functions.  The Smithsonian will renovate 

and expand an existing structure (Building 701‐0116) for the education facility.  GMU will 

construct new residential and food service facilities on NZP‐FR land via a ground lease with 

the Institution.  The goal is to open the facilities prior to the start of the fall 2012 semester. 

A series of planning and programming workshops were held from January through March 

2009 with representatives from the Smithsonian, GMU, and two teams of architect‐

engineer consultants.  Several concepts were explored and the parties agreed to a selection 

of preferred alternatives.  The consultants further developed the preferred schemes, 

established design and program parameters, and tested cost models.   

The Smithsonian and GMU are currently finalizing details of the ground lease for the land 

upon which GMU will construct the residential and food service facilities.  Drafts of a design 

and construction agreement as well as an operations and maintenance agreement are also 

being developed and reviewed by both parties.  The ground lease and both agreements are 

expected to be in place by March 2010. 

   
DESCRIPTIONS OF PROPOSED FACILITIES

Major Renovation/Addition: Education Facility in Building 701­0116

Responsible partner: Smithsonian Institution

Funding: $10 million total; $5 million Federal capital plus $5 million Trust

Existing Building 701‐0116, a one‐story, H‐shaped building (two separate, equally sized 

wings connected by an enclosed “hyphen” corridor) approximately 14,925 gross square 

feet (gsf) in area, has been selected for rehabilitation for educational functions.  The 

Education Facility will host a program that requires a total of 25,400 gsf of classrooms, 

laboratories, offices, and support spaces.  Three alternative concepts were considered and 

a preferred scheme was selected that will: 

• renovate the existing west wing for classrooms 

• demolish the east wing and, within the same footprint, replace with a new, two‐

story wing comprised of labs on the lower level and offices on the upper level 

• connect both wings at grade with two new passages: one interior corridor and one 

covered exterior walkway 

The building footprint will remain essentially the same as the existing structure; the total 

floor area will be increased by approximately 10,475 gsf to a new total of 25,400 gsf.   

New Construction: Residential and Food Service Facilities

Responsible partner: George Mason University

Funding: $20 million total, through GMU’s State of Virginia bond financing

The area west of Training Center Road, identified as a potential partnership development 

zone in the NZP Comprehensive Facilities Master Plan, has been selected as the site to 

house the residential and food service facilities for the Smithsonian‐Mason Global 

Conservation Studies Program.  Like the Education Facility, three alternative concepts were 

considered and the most compact scheme was selected.  The plan’s components are: 

• one L‐shaped residential building comprised of a three‐story, 60‐bed, professional 

residence wing and a two‐story, 60‐bed undergraduate wing, for a total of 

approximately 42,743 gsf 

• a separate one‐story dining/commons facility of approximately 10,203 gsf. 

The scheme meets sustainability goals and the project will pursue LEED‐Gold certification. 

FUNDING  

The Smithsonian’s fiscal year 2010 Federal capital request includes $1 million in design 

funds (of the $5 million total Federal commitment) for the renovation of an addition to 

Building 701‐0116 for reuse as an Education Facility.  Major revitalization funding is 

requested in fiscal year 2011 ($1 million) and fiscal year 2012 ($3 million).  NZP is actively  

   
fund raising for the $5 million Trust component and expects to have a significant portion in 

hand by the end of fiscal year 2010.   

GMU’s State of Virginia bond financing was approved in 2009.  The university expects to 

initiate contracting for a design‐build construction firm in 2010.  

CONSTRUCTION AUTHORIZATION

The Smithsonian has conducted a series of briefings with Congressional committee staff 

and but has not received unambiguous guidance about possible authorization 

requirements for these projects.  Until a clear determination is made, it is recommended 

that the Smithsonian pursue the path toward Construction Authorization for the addition 

to Building 701‐0116 and the new residential and food service facilities.  Accordingly, the 

following motion is suggested: 

VOTED that the Board of Regents seeks authorization, as necessary, for the design 

and construction of new and renovated facilities at the National Zoological Park’s 

facility in Front Royal, Virginia.
* participated by teleconference

DRAFT MINUTES OF THE OCTOBER 19, 2009, FACILITIES COMMITTEE

MEETING

The Facilities Committee (“the Committee”) of the Board of Regents of the Smithsonian 

Institution held a meeting on October 19, 2009, at 2:00 p.m. in the Regents’ Room of the 

Smithsonian Castle in Washington, D.C.  Participating were Committee Chair Robert Kogod 

and members Representative Sam Johnson* and George Hartman.  Also present were 

Secretary G. Wayne Clough; Chief of Staff to the Secretary Patricia Bartlett; National 

Museum of African American History and Culture (NMAAHC) Director Lonnie Bunch; 

Assistant to Representative Johnson David Heil*; Office of the Regents Program Officer 

Grace Jaeger; Associate Director of the Office of Planning, Management, and Budget Ken 

Johnson; Director of the Office of Facilities Engineering and Operations (OFEO) Bruce 

Kendall; OFEO Office of Planning and Project Management Director Sheryl Kolasinski; Chief 

of Staff to the Regents John K. Lapiana; General Counsel Judith Leonard; Chief Financial 

Officer Alice Maroni; Assistant to Senator Leahy Kevin McDonald*; Under Secretary for 

Finance and Administration Alison McNally; Director of Government Relations Nell Payne; 

and Assistant General Counsel James Wilson.  

Mr. Kogod called the meeting to order at 2:05 p.m. and acknowledged the presence of a 

quorum.    

He asked if there were any questions or comments on the minutes from the June 1, 2009, 

Committee meeting.  There were none and the minutes were approved. 

REPORT OF THE CHAR

Introductions

Mr. Kogod introduced new Committee member George Hartman.  Mr. Hartman is a highly 

respected local architect and founding member of the firm Hartman‐Cox Architects, an 

internationally recognized firm that has received over 120 national and international 

design awards.  Mr. Kogod also recognized the new Director of OFEO, Bruce Kendall.  Mr. 

Kendall, who came to the Smithsonian from the Los Angeles Unified School District, has an 

extensive and distinguished background in facilities management. 

National Postal Museum Lease

Mr. Kogod reported that the lease between the National Postal Museum and the United 

States Postal Service for additional space at 2 Massachusetts Avenue, NE, was signed on 

September 10, 2009, after meeting all the required conditions. 

Facilities Capital and Maintenance Investment Requirements for Fiscal Years  

2008–2017

Mr. Kogod then reviewed the “Facilities Capital and Maintenance Investment Requirement 

FY 2008–2017” data provided in the meeting materials.  The charts, which are updated 

semi‐annually by OFEO, include: summary chart, priority listing, Trust capital 
requirements, and maintenance analysis charts. He noted several changes in buildings’ 

funding requirements from fiscal year 2007 with requirements dropping from $2.5 billion 

to $2.293 billion. The total requirement figure is constantly changing so that the annual 

requirement and funds availability tend to be more meaningful.  Annual requirement for 

capital improvements was estimated at $150 million per year with the federal 

appropriation between $100–125 million per year.  Requirement for maintenance was 

estimated at $100 million per year and federal appropriation approximately $67 ‐ $70 

million per year.  Secretary Clough suggested using facility age as a data point for 

comparison of facilities. 

CONSERVATION AND RESEARCH CENTER

Ms. Kolasinski and Ms. Payne presented a proposal for Congressional construction 

authorization for renovations and new construction at the National Zoological Park’s (NZP) 

Conservation and Research Center (CRC) site in Front Royal, Virginia.  The Committee was 

reminded that it and the full Board had approved entering into a Memo of Understanding 

with George Mason University (GMU) in 2008 to create an accredited educational program 

in conservation studies and to provide facilities for the program.  New construction and 

major revitalization of an existing structure will provide residential and educational space 

at the facility.  

The Committee was told that an existing structure had been selected for rehabilitation to 

become the Educational Facility at an estimated cost of $10 million ($5 million Federal 

funds, $5 million Trust funds).  Of those costs, $1 million for design funding is included in 

the fiscal year 2010 capital request.   

A new facility would be constructed for residential and food service functions.  The 

Smithsonian and GMU are currently finalizing details of the ground lease. 

Discussion followed about whether the Smithsonian was required to seek Congressional 

authorization for the two projects.  Since guidance from Capitol Hill about the need for 

authorization has been ambiguous, it was decided the Committee be prudent and 

recommend that the Board request authorization from Congress, should it be necessary.  

Mr. Kogod suggested Ms. Payne consult with the Congressional Regents.  She agreed and 

said that, per usual procedures, she would first speak with the Congressional Regents on 

the Facilities Committee.   

The following motion was then approved: 

   

VOTED that the Committee recommends that the Board of Regents, as necessary, 

seek authorization for the design and construction of new and renovated facilities at 

the National Zoological Park’s Conservation and Research Center in Front Royal, 

Virginia. 
MAJOR CAPITAL PROGRAMS UPDATE

Ms. Kolasinski provided an update on the Facilities Capital Program for fiscal year 2009, 

which included many positive achievements.  For the 12th straight year, OFEO exceeded its 

contract awards goal, awarding over $120 million in fiscal year 2009.  Highlights included 

obligations for Phase II at the National Air and Space Museum’s Udvar‐Hazy Center, the 

first phase of the National Zoological Park’s Seal/Sea Lion habitat, and the National 

Museum of Natural History’s Laboratory of Analytical Biology.  OFEO’s Office of 

Architectural History and Historic Preservation also published the Guide to Smithsonian

Architecture, the first‐ever review of the history of architecture at the Smithsonian. 

She discussed several projects, noting in particular Pod 3 at the Museum Support Center, a 

technological achievement that provides 14 different climate‐controlled areas, and the 

Smithsonian Environmental Research Center’s (SERC) Mathias Lab, the Smithsonian’s first 

LEED‐certified building.  Discussions are ongoing about the use of the Renwick Gallery and 

the Holt House at NZP.  Mr. Kogod noted he had received a letter from a concerned 

stakeholder about the Holt House.  Ms. Kolasinski said that the project had been 

“mothballed” but that OFEO may spend additional funds for maintenance on the structure. 

She also reported on the use of American Recovery and Reinvestment Act funds received 

from Congress and noted that Mr. Kendall would soon testify on Capitol Hill about the 

Institution’s use of the funds.  She said that $21 million of the $25 million was obligated and 

lower‐than‐anticipated bids allowed for the award of all additional contract options that 

had been identified.    Awards were let for work at NZP and for other Smithsonian‐wide 

revitalization projects, including $4.6 million for repairs at the Arts and Industries Building 

(masonry repairs, interior demolition, and hazmat removal).  Ms. Kolasinski said the Arts 

and Industries program committee established by the Secretary recently reported to him 

on suggested uses for the building; in addition, the Latino Commission toured the building 

in October 2009 to determine if it would be an appropriate structure for the future Latino 

Museum.  Mr. Kogod noted that major rehabilitation of the building would begin when its 

use was determined and funds were available. 

NATIONAL MUSEUM OF AFRICAN AMERICAN HISTORY AND CULTURE

NMAAHC Director Lonnie Bunch gave a progress report on the Museum.  He first reminded 

the Committee that the design competition had resulted in the selection of Freelon Adjaye 

Bond/SmithGroup as the design team for the Museum.  Dr. Bunch said that contract 

negotiations with Freelon Adjaye Bond/SmithGroup would be finalized in the coming 

weeks; a strategy for the regulatory approval process was being developed; and more 

intense fund raising would soon commence now that the building’s design team had been 

identified.  He reported that almost $50 million in private funds had been raised to date, 

including a recent gift of $10 million from the Bill and Melinda Gates Foundation.  He 

emphasized that the strategy for fund raising needed to be in tandem with efforts to secure 

Federal funding.  He said the Museum’s fund‐raising campaign would be national in scope 

and that the results of initial market‐testing efforts were very promising.  Mr. Bunch noted 

the importance of establishing the Museum’s visibility during its development phase, and 
said that an array of programs would be promoted around the country and that the 

National Museum of American History now hosts an exhibition hall devoted to the future 

Museum.   

Secretary Clough said that a review of problems encountered in the development of other 

museums revealed that most related to fund raising, such as payments delayed by donors, 

rather than construction issues.  He reminded the Committee that the Board of Regents had 

recently approved the NMAAHC’s request to increase the size of its advisory board.  Mr. 

Kogod asked if there was a staff oversight committee and Mr. Bunch said that one met 

monthly.  Mr. Hartman suggested getting “pre‐commitments” from, at least, the two major 

review commissions (National Capital Planning Commission and the Commission of Fine 

Arts) and to make sure they fully understand the concept of the Museum.  Mr. Bunch and 

Ms. Kolasinski agreed and said they would provide regular updates to the Committee.   

SMITHSONIAN STRATEGIC PLAN­SUSTAINABILITY GOALS

Ms. Kolasinski then discussed the last meeting topic: the development of a “green” 

Smithsonian.  She explained the Leadership in Energy and Environmental Design, or LEED, 

rating system adopted by the U.S. Green Building Council in 1998 and noted where LEED 

initiatives were already in place at the Smithsonian.  She said that the SERC Mathias Lab 

will be the first new Smithsonian building to be ranked as a LEED Gold Building and 

described other projects at the Smithsonian utilizing LEED concepts.  Ms. Kolasinski also 

explained the characteristics of projects that are promoted by the LEED rating: sustainable 

sites, water efficiency, energy and atmosphere, materials and resources, indoor 

environmental quality, and innovation in design.  She listed the criteria for every category 

and said that, if met, each would result in positive environmental outcomes, as well as 

credit  towards a LEED rating.   

Mr. Kendall tied the green concept to the Smithsonian’s Strategic Plan saying that it fits into 

the grand challenge of “Understanding and Sustaining a Biodiverse Planet.”  Secretary 

Clough noted that “going green” both saves money and demonstrates that the Smithsonian 

is a good place to invest (both private funds and funding from Congress). 

ADJOURNMENT

The meeting was adjourned 3:30 p.m.  

Respectfully submitted, 

Robert P. Kogod 

Committee Chair 
REPORT OF THE SMITHSONIAN NATIONAL BOARD

The following is a report of the activities of the Smithsonian National Board.  The most 

recent plenary meeting of the National Board was held on October 22–24, 2009, in 

Washington, D.C.  The Board will reconvene in January 21–23, 2010, for its winter meeting.  

On Friday, October 23, 2009, Smithsonian Secretary G. Wayne Clough presented the 

Institution’s Strategic Plan, Inspiring Generations Through Knowledge and Discovery, to 

National Board members and alumni, who provided important financial support for the 

strategic planning process.  The National Board was the first of the Smithsonian’s 

stakeholders to participate in the strategic planning process, and several members 

assumed key roles in its development.  Robert MacDonald served on the Smithsonian 

Strategic Planning Steering Committee; Mallory Walker participated as the Chair of the 

National Portrait Gallery Commission; and National Board Chair Paul Neely and Vice Chair 

Judy Huret continue to serve on the Regents’ Strategic Planning and Programs Committee.  

The National Board also will play an important role in the Strategic Plan’s implementation.  

In addition to its support for the Strategic Plan, the National Board has provided funding 

for online education programs, the Smithsonian 2.0 initiative, collaborations with 

universities, technology upgrades, and interdisciplinary fellowships, all of which align with 

the priorities identified in the Strategic Plan.   

Report of the Chair

Members and alumni of the Institution’s only pan‐institutional advisory board continue to 

serve the Smithsonian by enhancing the Institution’s national outreach, advising the 

Secretary, and raising resources in support of the Smithsonian.  National Board members 

and alumni continue to introduce Secretary Clough to communities around the nation and, 

since May 2009, have hosted events for the Secretary in the Minneapolis–St. Paul, 

Minnesota, and Seattle, Washington, areas.  In July 2009, a National Board member 

provided support for the Smithsonian Institution’s Traveling Exhibition Service’s exhibit 

The Kennedys: Portrait of a Family, which opened at the Hunter Museum of American Art in 

Chattanooga, Tennessee, in November 2009.  In August 2009, another member made 

possible a preview of the new Smithsonian Arctic Studies Center in Anchorage, Alaska, 

which will open in May 2010.  National Board members provided support and helped 

secure lead sponsorship from Target to help stage the Smithsonian’s annual Teachers’ 

Night on October 23, 2009, which was attended by 4,500 teachers.   

The diverse expertise and talents of National Board members and alumni are reflected in 

their membership and contributions to the Smithsonian’s numerous advisory boards.  With 

regard to the Board of Regents, National Board members have served, or continue to serve, 

on the Regents’ Investment, Finance, Advancement, and Strategic Planning and Programs 

Committees.  The Smithsonian Leadership Development Program, now inviting 

applications for its second class, also benefits from the advice and support of National 

Board members.   
In fiscal year 2009, National Board members and alumni gave $1.012 million in 

unrestricted funds through its Board Annual Giving campaign, exceeding their goal of $1 

million.  An additional $12.1 million in gifts, pledges, and payments on pledges to the 

Institution and individual units also was given by National Board members in fiscal year 

2009.  As previously noted, the strategic planning process also received financial support 

from the National Board, which contributed over $200,000 towards this important 

initiative.   

To support the National Board’s activities, the Web‐based portal BoardEffect will soon be 

implemented, providing members and alumni with online access to its membership 

directory, meeting calendar, and meeting materials.  A pilot will launch in January 2010, 

and a roll‐out is planned for April 2010.   

Led Mr. Neely, the National Board also discussed the realignment of its committees to 

better support the challenges and priorities identified in the Strategic Plan.  The Board 

agreed that the Executive and Nominating committees will remain standing committees; it 

will continue to reexamine the role and structure of its other committees.   

The National Board is poised to help Secretary Clough execute the Strategic Plan.  Pooling 

their expertise in areas prioritized in the Strategic Plan, National Board members can serve 

as advisors.  To augment the National Board’s role and contributions, Mr. Neely will engage 

the Secretary and Under Secretaries in discussions about how the National Board can best 

serve the Smithsonian’s current efforts and initiatives, including the Strategic Plan.   

Judy Huret, assisted by James Smithson biographer Heather Ewing, updated National Board 

members about the planned 2010 study tour “In the Footsteps of James Smithson, Paris & 

London.”  The tour will emphasize sites in these cities that were familiar to the Institution’s 

founder. 

The Smithsonian Women’s Committee President Anne Keiser, an ex officio member of the 

National Board, reported that her committee was reviewing 64 proposals from 23 

museums and research centers.  The units are competing for approximately $400,000 in 

grants made available by the committee for fiscal year 2010.   

National Board committee chairs reported on the activities of their committees.   

The Alumni Committee was established in 2004 as a means to reunite the alumni of the 

Smithsonian National Board and to facilitate their continued engagement with the 

Smithsonian Institution.  Co‐chairs Holly Madigan and Dave Purvis reported that the Sixth 

Annual Alumni Reunion yielded the largest alumni attendance of any reunion to date.  

Several National Board Alumni will be participating in the upcoming Smithsonian Journeys 

“Amazon Riverboat Voyage Study Tour,” which will be led by National Museum of Natural 

History Director Cristián Samper in January 2010.  Alumni also are being invited to join the 

aforementioned study tour “In the Footsteps of James Smithson, Paris & London.”  Alumni 

communications will be enhanced by an upgrade to the alumni newsletter, renamed the
Journal, which is published twice yearly.  Campaign Director Jenine Rabin also discussed 

the Smithsonian’s comprehensive national campaign with alumni.   

The Development Committee, under the leadership of Chair Mallory Walker, supports 

efforts to raise private resources for the Institution.  Reiterating that the Board Annual 

Giving campaign exceeded its fiscal year 2009 goal, Mr. Walker said that the fiscal year 

2010 Board Annual Giving goal is $1 million in unrestricted giving.  He also reported that 

the Institution raised $126.6 million in total funds in fiscal year 2009, surpassing its  

$120 million goal by 5%.  Of that total, $21.6 million were unrestricted funds, including 

$13.5 million raised by the Friends of the Smithsonian (previously known as the 

Contributing Membership).  The Smithsonian’s fund‐raising goal for fiscal year 2010 is 

$130 million.  The Development Committee also discussed how it will support the 

Smithsonian’s national campaign, the Regents’ Advancement Committee, and any other 

campaign‐specific committees that might be developed.    

The Education Committee, under the leadership of Chair Wilmer Cody and Vice Chair 

Kristin Richardson, advises the Smithsonian on its educational programs and assists in 

procuring support for the Smithsonian’s educational initiatives.  The Committee discussed 

the Strategic Plan with Under Secretary for History, Art, and Culture Richard Kurin and 

how the Plan will help focus the Smithsonian’s educational programs.  The Committee also 

reviewed a new report from the Office of Policy and Analysis, Lessons for Tomorrow: A

Study of Education at the Smithsonian, which provides extensive information on education 

at the Smithsonian and will be a resource for the new Smithsonian Director of Education.  

Mr. Cody serves on the search committee for the newly created position. 

The Science Committee promotes the visibility of Smithsonian science and provides 

counsel to the Under Secretary for Science.  Chair Steven Hoch led a discussion about how 

the committee can help the Smithsonian achieve the science‐based goals of the Strategic 

Plan, further public awareness of Smithsonian science, and assist new Under Secretary for 

Science Dr. Eva Pell.  Acting Under Secretary for Science Scott Miller provided an overview 

of the Smithsonian Institution’s Global Earth Observatories (SIGEO), an example of a 

project that supports the goals of the Strategic Plan. 

The Smithsonian Across America Committee, under the leadership of Co‐chairs William 

Ragland and Sakurako Fisher, helps facilitate Smithsonian outreach activities and engages 

community leaders and elected officials in member communities across the nation.  Mr. 

Ragland reported that National Board members continue to promote Smithsonian activities 

in their communities, contact and meet elected officials and lawmakers, provide exhibition 

funding, engage with local museums, assist in securing exhibition sites for the Smithsonian 

Institution’s Traveling Exhibition Service (SITES), and provide suggestions for additional 

SITES programming.  He led a discussion of how the committee can support the Strategic 

Plan, especially its priority “Broadening Access.”   

The Nominating Committee, under the leadership of Peggy Burnet, identifies future 

candidates for National Board membership.  Paul Neely provided the committee’s report on 

behalf of Ms. Burnet, who was unable to be present.  Mr. Neely said that the committee had 
reviewed 17 potential candidates and that National Board members can submit additional 

candidates’ names for consideration until December 15, 2009.  National Board members 

then approved the Committee’s motion to recommend to the Board of Regents that it 

reappoints Judy Hart Angelo, Jane Lipton Cafritz, John French III, Russell E. Palmer Jr., 

William M. Ragland Jr., Ronald A. Rosenfeld, Douglas C. Walker, and Mallory Walker to the 

National Board.  Accordingly, the following motion will be suggested during the Report of 

the Governance and Nominating Committee during the January 25, 2010, meeting of the 

Board of Regents: 

VOTED that the Board of Regents reappoints Judy Hart Angelo, Jane Lipton Cafritz, 

John French III, Russell E. Palmer Jr., William M. Ragland Jr., Ronald A. Rosenfeld, 

Douglas C. Walker, and Mallory Walker to the Smithsonian National Board for three‐

year terms effective immediately.   

The proposed membership of the Smithsonian National Board is as follows: 

Paul Neely, Chair, Chattanooga, TN 

Peggy P. Burnet, Vice Chair, Wayzata, MN  

Judy S. Huret, Vice Chair, San Francisco, CA 

Gary B. Moore, Vice Chair, San Jose, CA 

Rodney C. Adkins, Armonk, NY 

Gordon M. Ambach, New Haven, CT 

Valerie Anders, Deer Harbor, WA  

Judy Hart Angelo, New York, NY 

Barbara McConnell Barrett, Paradise  

  Valley, AZ 

William H. Bohnett, Princeton, NJ 

Jane Lipton Cafritz, Washington, DC 

Thomas H. Castro, Houston, TX 

Wilmer S. Cody, New Orleans, LA 

Abby Joseph Cohen, New York, NY 

James F. Dicke II, New Bremen, OH 

John G. B. Ellison, Jr., Greensboro, NC  

Sakurako D. Fisher, San Francisco, CA 

Michael R. Francis, Minneapolis, MN  

John French III, New York, NY 

Shelby M. Gans, San Francisco, CA 

Edward K. Gaylord II, Scottsdale, AZ 

Myra M. Hart, Cambridge, MA 

Richard W. Herbst, Morristown, NJ 

Robert F. Higgins, Boston, MA  

Steven G. Hoch, Boston, MA 

Jonathan M. Kemper, Kansas City, MO 

Betsy Lawer, Anchorage, AK 

Robert E. Long Jr., Greensboro, NC 

Robert D. MacDonald, St. Paul, MN 

Dorothy Swann McAuliffe, McLean, VA 

Chris E. McNeil Jr., Bellevue, WA 

Russell E. Palmer Jr., Philadelphia, PA 

William M. Ragland Jr., Atlanta, GA 

Kristin Richardson, Denver, CO 

Ronald A. Rosenfeld, Chevy Chase, MD 

Theiline Pigott Scheumann, Bellevue, WA 

Marna Del Mar Schnabel, Los Angeles, CA 

Phyllis M. Taylor, New Orleans, LA 

Douglas C. Walker, Philadelphia, PA 

Mallory Walker, Washington, DC 

   

Ex Officio Member

Anne B. Keiser, Washington, DC 
REPORT ON GOVERNMENT RELATIONS: LEGISLATIVE ACTIVITIES

AND ISSUES

HOUSE SUBCOMMITTEE HEARING ON “DOING BUSINESS WITH THE GOVERNMENT:

THE RECORD AND GOALS FOR SMALL, MINORITY AND DISADVANTAGED

BUSINESSES”

On September 17, 2009, the House Subcommittee on Economic Development, Public 

Buildings, and Emergency Management held a hearing on the use of small, disadvantaged, 

and minority and women–owned businesses in Federal operations.  Rudy Watley, Supplier 

Diversity Program Manager for the Office of Equal Employment and Minority Affairs, 

testified on behalf of the Smithsonian.  Mr. Watley testified that over the past three years 

the Smithsonian has spent 49 percent of its Federal contracting dollars with small 

businesses; 20 percent with small and disadvantaged businesses; 12 percent with 8(a) 

small businesses; and 10 percent with women‐owned businesses.  With the exception of 

service‐disabled veteran–owned small businesses, the Smithsonian has consistently 

exceeded all of the Small Business Administration’s government‐wide goals.   

HOUSE SUBCOMMITTEE HEARING ON “RECOVERY ACT TRACKING: FOLLOWING THE

DOLLARS TO THE JOBS”  

On October 27, 2009, the House Subcommittee on Economic Development, Public 

Buildings, and Emergency Management held a hearing on tracking American Recovery and 

Reinvestment Act (Recovery Act) dollars.  Bruce Kendall, Director of Facilities Engineering 

and Operations, testified on behalf of the Smithsonian.  Mr. Kendall testified that the 

Smithsonian applied its $25 million in stimulus funds to 16 repair and revitalization 

projects at various Smithsonian facilities on the National Mall, at the National Zoo, at the 

Zoo’s Conservation and Research Center in Front Royal, Virginia, and at the Smithsonian 

Environmental Research Center in Edgewater, Maryland.  With the exception of roughly  

$3 million reserved for unforeseen contingencies, the funds were completely obligated and 

being disbursed with complete transparency and accurate reporting, as required under the 

Recovery Act.    

HOUSE SUBCOMMITTEE HEARING ON “SMITHSONIAN INSTITUTION: PROGRESS ON

IMPLEMENTATION OF GOVERNANCE REFORMS AND FACILITIES MAINTENANCE, AND

FUTURE PRIORITIES”

On December 10, 2009, the House Subcommittee on Interior, Environment and Related 

Agencies Appropriations held a Smithsonian oversight hearing.  This hearing was originally 

scheduled for April 2009.  As was the case with hearings on all organizations under the 

Subcommittee’s jurisdiction, a witness from the Government Accountability Office and  

the Smithsonian’s Inspector General were invited to testify, followed by Secretary Clough.  

The Secretary’s testimony covered the new Strategic Plan; recent accomplishments; efforts 

to broaden access and reach new audiences, especially under‐served communities; 

progress on governance reform; the status of hazardous materials management 
improvements; and the Smithsonian’s efforts to improve financial management and 

internal controls. The members of the Subcommittee praised Secretary Clough’s energy 

and enthusiasm, and expressed their support for the Strategic Plan and the Smithsonian’s 

exhibits, research and programs. 

HOUSE SUBCOMMITTEE HEARING ON “HISTORY MUSEUM OR RECORDS ACCESS:

DEFINING AND FULFILLING THE MISSION OF THE NATIONAL ARCHIVES AND

RECORDS ADMINISTRATION”

On December 16, 2009, the House Subcommittee on Information Policy, Census and 

National Archives held a hearing on National Archives oversight.  Secretary Clough testified 

for the Smithsonian on a panel, which also included the new Archivist of the United States, 

Mr. Daniel Ferriero, and the Librarian of Congress, Dr. James Billington.  The hearing 

focused primarily on the mission of the National Archives, but Secretary Clough used the 

opportunity to discuss the new Strategic Plan, the Smithsonian’s recent accomplishments 

and contributions, and efforts to broaden access and reach new audiences. 

FISCAL YEAR 2010 INTERIOR APPROPRIATIONS BILL  

The President signed the fiscal year 2010 Interior, Environment and Related Agencies 

Appropriations Act on October 30, 2009.  The bill includes funding for the Smithsonian at a 

level slightly higher than the previous year (fiscal year 2009).  Specifically, the bill provides 

$636.161 million for Salaries and Expenses, an increase of $43 million above fiscal year 

2009 and an increase of $2 million above the President’s request.  In addition, the bill 

provides $25 million for Facilities Capital, an increase of $2 million above fiscal year 2009, 

as requested by the President.  This is an excellent outcome given the current climate, but 

only partially funds the mandated Federal pay raise.  The bill also revises the terms of the 

$30 million Legacy Fund, making it available for the Arts and Industries Building when 

matched dollar‐for‐dollar by private donations designated for projects related to reopening 

the building. 

SMITHSONIAN­INITIATED LEGISLATION

Construction Authorization for the Vehicle Maintenance Branch

On December 8, 2009, the House of Representatives passed H.R. 3224, a bill to authorize 

construction of a new Vehicle Maintenance Branch facility.  The bill will move to the Senate, 

where a companion measure introduced by Senator Patrick Leahy (D‐VT) is already 

pending in the Rules Committee.  Because of objections from a few Senators who have been 

blocking authorization of any new Federal spending, the Smithsonian may have trouble 

moving the authorization on the Senate floor, despite the fact that the $4 million authorized 

in the bill has already been provided in the fiscal year 2010 Interior appropriations bill, in 

which case the Smithsonian would have to move forward with the construction project on 

the basis of the fiscal year 2010 appropriation alone. 
SMITHSONIAN­RELATED LEGISLATION

Gold Medal for the Montford Point Marines  

H.R. 3927, a bill to award the Congressional gold medal in honor of the Montford Point 

Marines, was introduced by Representative Corrine Brown (D‐FL) on October 26, 2009.  

The first African American Marines were trained at Montford Point.  The bill was referred 

to the Committee on Financial Services, as well as to the Committee on House 

Administration.  Following the award, the gold medal will be given to the Smithsonian 

Institution, where it will be displayed as appropriate and made available for research.  In 

addition, the bill states that it is the sense of the Congress that the Smithsonian Institution 

should make the gold medal available for display elsewhere, particularly at other 

appropriate locations associated with the Montford Point Marines.   

Gold Medal for the 100th Infantry Battalion and the 442nd Regimental Combat Team

On May 14, 2009, the House passed H.R. 347, which would provide for the Speaker of the 

House of Representatives and the President pro tempore of the Senate to make 

arrangements for the award of a Congressional gold medal to the Army's 100th Infantry 

Battalion and the 442nd Regimental Combat Team, collectively, in recognition of their 

dedicated service during World War II.  The bill would require that, following its award, the 

gold medal will be given to the Smithsonian where it will be displayed as appropriate and 

made available for research.  In addition, the bill states that it is the sense of the Congress 

that the Smithsonian Institution should make the gold medal available for display at other 

appropriate locations associated with the 100th Infantry Battalion and the 442nd

Regimental Combat Team.  The companion bill in the Senate is S. 1055, which has been 

referred to the Committee on Banking, Housing and Urban Affairs.   

Concurrent Resolution Recognizing the 50th Anniversary of the Antarctic Treaty

Legislation (H. Con. Res. 51) was introduced by Representative Patrick Tiberi (R‐OH) on 

February 12, 2009, and passed the House on September 30, 2009.  The bill was received in 

the Senate and referred to the Senate Committee on Foreign Affairs on October 1, 2009.  

The bill would recognize that the Antarctic Treaty has successfully ensured the use of 

Antarctica for solely peaceful purposes and the continuance of international harmony for 

the past half century.  It also would recognize that the Smithsonian Institution’s National 

Museum of Natural History will host a treaty summit in 2009. 

Proposal to Recognize 100 Years of Military Aviation and Express Support for

Military Aviators

On May 14, 2009, Representative Pete Olson (R‐TX) introduced H.R. 445, which would 

recognize 100 years of military aviation and express continued support for military 

aviators of the United States Armed Forces.  The bill also would authorize the 

Smithsonian’s National Air and Space Museum to commemorate the centennial of military 

aviation with programs and exhibits throughout 2009.  This bill passed the House on 

October 14, 2009.  There is no companion bill in the Senate.  
PENDING LEGISLATION WITH NO RECENT ACTION

Artist­Museum Partnership Act

The Artist‐Museum Partnership Act (S. 405) was introduced by Senator Patrick Leahy (D‐

VT) on February 10, 2009, and Representative John Lewis (D‐GA) introduced an identical 

bill in the House (H.R. 1126) on February 23, 2009.  The bill would allow artists who create 

and donate literary, musical, or scholarly work to take a tax deduction equal to the fair 

market value of the work if properly appraised and donated no sooner than 18 months 

after the work was created.  Current law allows the deduction of only the cost of materials. 

Great Lakes Collaboration Act

Legislation (H.R. 500) introduced by Representative Vernon Ehlers (R‐MI) on January 14, 

2009, was referred to the House Committees on Natural Resources; Science and 

Technology; Administration; and Transportation and Infrastructure.  The legislation would 

amend the National Aquatic Invasive Species Act to require vessels to have management 

plans and take measures to prevent the release of organisms in ballast water.  The bill 

would designate the Smithsonian Environmental Research Center (SERC) as an 

implementing agency, along with the U.S. Geological Survey, the National Oceanic and 

Atmospheric Administration, and the Environmental Protection Agency.  The bill also 

would authorize $4 million per year for five years for SERC’s programs. 

Smithsonian Would Receive Proceeds from NASA Commemorative Coin

Legislation (H.R. 255) introduced by Representative Sheila Jackson‐Lee (D‐TX) on January 

7, 2009, was referred to the House Committee on Financial Services.  The bill would require 

the Treasury to mint coins in commemoration of the 50th anniversary of the National 

Aeronautics and Space Administration’s Jet Propulsion Laboratory.  Additionally, the bill 

would give the Smithsonian a portion of the proceeds from the coins’ sale and would 

require that the National Air and Space Museum use the proceeds for the preservation, 

maintenance, and restoration of space artifacts.  An identical bill was passed by the House 

in the last Congress but did not pass the Senate. 

Establishing a Museum of Ideas, Possibly Within the Smithsonian

Legislation (H.R. 202) introduced by Representative Cliff Stearns (R‐FL) on January 6, 

2009, was referred to the House Committee on House Administration and the House 

Committee on Natural Resources.  The bill would create a Commission to develop a plan to 

establish a Museum of Ideas and directs the Commission to decide whether the museum 

should be established within the Smithsonian.  An identical bill was introduced in the last 

Congress but was not considered by either body. 

American Clean Energy and Security Act  

On June 23, 2009, Representative Henry Waxman (D‐CA), Chair of the House Energy and 

Commerce Committee, introduced H.R. 2998, his long‐awaited climate change bill.  Sec. 451 

(C)(3) would create an Interagency Climate and Other Global Change Data Management 

Working Group, whose membership would include the Smithsonian.  On June 26, 2009, the 
text of H.R. 2998 was included in an amendment in the nature of a substitute to H.R. 2554, 

which was then passed by the House of Representatives.

Global Wildlife Conservation, Coordination, and Enhancement Act

On June 26, 2009, Representative Madeleine Bordallo (D‐GU), Chair of the House 

Subcommittee on Insular Affairs, Oceans and Wildlife, introduced H.R. 3086, the Global 

Wildlife Conservation, Coordination, and Enhancement Act of 2009.  The bill would 

authorize the Wildlife Without Borders Program and creates a Global Wildlife Coordination 

Council, whose membership would include the Secretary of the Smithsonian.