STATEMENT OF VALUES AND CODE OF ETHICS

INTRODUCTION

The Smithsonian Institution is a public trust whose mission is the increase and diffusion of

knowledge. The Smithsonian was established by the United States Congress to carry out the

fiduciary responsibility assumed by the United States in accepting the bequest of James

Smithson to create the Smithsonian Institution. We are accountable to the general public as

well as to the Smithsonian’s multiple stakeholders in carrying out this responsibility. We

recognize that the public interest is paramount.

Serving the Smithsonian is a privilege and those who work on its behalf have a responsibility to

maintain the highest standards of honesty, integrity, professionalism, and loyalty to the

Institution. We must ensure that our activities support the Smithsonian mission and take care

to avoid conduct that would compromise the integrity of or public confidence in the

Smithsonian. We acknowledge that in order to merit and preserve the public trust we must

maintain a shared commitment to core values and an expectation of ethical and professional

conduct in all of our activities. This Statement of Values and Code of Ethics articulates our core

values and ethical standards to provide guidance for the application of these principles in

pursuit of the Smithsonian’s mission.  

APPLICABILITY AND GUIDING PRINCIPLES

This Statement of Values and Code of Ethics establishes the standards and principles for ethical

conduct that apply to the Institution collectively and to all members of the Smithsonian

community, which includes Regents, staff, volunteers, advisory board members, fellows,

interns, research associates, affiliated individuals, and others who have been entrusted to act

on behalf of or in the name of the Smithsonian. All members of the Smithsonian community are

guided by these standards and principles and are expected to use their best efforts to adhere to

them in conducting activities on behalf of the Smithsonian.  

In June 2007 the Board of Regents, in order to reinforce the Institution’s foundation of integrity

and responsibility, articulated guiding principles that have informed the creation of and are

carried out through this Statement of Values and Code of Ethics. These guiding principles are as

follows:  

Our Operations and Activities Will Reflect Our Status as a Public Trust Administered on

Behalf of the American People:

The Board of Regents was established by Congress to carry out the responsibilities

of the United States as trustee of the Smithson trust. Given this unique and special

status, the Smithsonian must be mindful that it is a public trust operating on
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behalf of the American public and the United States government to carry out its

mission to increase and diffuse knowledge. As such, the Smithsonian will be guided

by the principles of the federal sector in the conduct of its activities whenever

appropriate and consistent with its mission and trust responsibilities. In all other

cases, the Institution will follow the principles and best practices for fiduciary

stewardship in the nonprofit sector.

We Remain Committed to Following The Highest Standards of Ethical Conduct:  

The Smithsonian Institution remains committed to following the highest standards

of ethical conduct in pursuit of its mission to increase and diffuse knowledge. All

individuals who have been entrusted to act on behalf of the Smithsonian —

Regents, staff, researchers, fellows, interns, and volunteers — are expected to

conduct their activities according to the highest professional standards, with

honesty and accountability, and in the best interest of the Smithsonian. They must

take care that their actions will not adversely impact the integrity of, or the public’s

confidence in, the Institution, its work, or its mission.

We Will Conduct Our Business Within an Ethos of Transparency:  

The Smithsonian Institution is committed to operating in a culture marked by

openness, accessibility, and robust communication. All Smithsonian stakeholders

should have access to appropriate and accurate information regarding the finances,

operations, and activities of the Smithsonian Institution. Effective transparency also

requires open and reliable communication between the Board, management, and

other stakeholders to support informed decision‐making. The Smithsonian is

dedicated to using every reasonable method to foster the effective transparency

that will support its mission to increase and diffuse knowledge.

PERSONAL AND PROFESSIONAL INTEGRITY

Each member of the Smithsonian community is expected to act in accordance with professional

standards, as well as with honesty, integrity, openness, accountability, and a commitment to

excellence. Each individual is expected to conduct Smithsonian activities in accordance with this

Statement of Values and Code of Ethics, exercising sound judgment to support the

Smithsonian’s mission and serving the best interests of the Smithsonian and the public.  

The Smithsonian promotes a working environment that values respect, fairness, and integrity.

We act in accordance with these values by treating our colleagues, the public, and others with

whom we interact with dignity, civility, and respect. Members of the Smithsonian community

exercise responsibility appropriate to their position and delegated authorities. We strive for

excellence in all of our activities and acknowledge that we are responsible to each other, to the

Smithsonian, and to the Smithsonian’s stakeholders for our actions. We are each responsible

for being aware of and complying with applicable professional standards that govern our

conduct, including those that relate to our particular discipline.  
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COMPLIANCE WITH APPLICABLE LAWS

All Smithsonian activities will be conducted in compliance with applicable laws, regulations, and

international conventions. Members of the Smithsonian community are expected to become

familiar with and comply with the laws and regulations that apply to their areas of

responsibility.  

COMPLIANCE WITH SMITHSONIAN POLICIES, DIRECTIVES, AND PROCEDURES

All Smithsonian activities will be conducted in accordance with established policies, directives,

and procedures, which are designed to set standards for acceptable practices and activities.

Members of the Smithsonian community are expected to conduct their activities in

conformance with applicable policies, directives, and procedures and accordingly have an

obligation to become familiar with those that apply to their areas of responsibility.  

CONFLICTS OF INTEREST

All members of the Smithsonian community have a duty to act in the best interest of the

Smithsonian rather than in furtherance of their personal interest or for private gain. We must

avoid apparent or actual conflicts of interest and ensure that potential conflicts of interest are

disclosed and managed in accordance with applicable guidelines, directives, and standards of

conduct.  

GOVERNANCE

The Board of Regents is the governing authority for the Smithsonian and has the ultimate

authority and responsibility for ensuring that Smithsonian resources, programs, and activities

support the Smithsonian mission. The Board of Regents is responsible for establishing the

strategic direction of the Institution, providing guidance on and oversight of Smithsonian

policies and operations, ensuring that Smithsonian resources are responsibly and prudently

managed in compliance with legal and ethical requirements, and regularly assessing the

effectiveness of Smithsonian programs.  

Regents are expected to understand their governance responsibilities and to devote the time

and attention necessary to fulfill them. The Board of Regents takes action as a body through the

collective judgment of its members. Individual Regents do not represent the Board, except as

may be authorized by the Board.  

Regents respect and maintain the confidentiality of non‐public information provided to them in

connection with their service as Regents. This principle does not preclude disclosure of

information that is properly in the public domain, or information that should be released in

fulfilling the Institution’s accountability to the public.

The Board of Regents is responsible for the appointment and retention of the Smithsonian

Secretary, who is the chief executive officer of the Institution. The Board of Regents provides

leadership and direction to the Secretary, regularly assesses his or her performance, and

ensures that the Secretary’s compensation is fair and reasonable. The Board and the Secretary

will maintain open communication and engage in a constructive partnership to achieve the

Smithsonian’s mission, each understanding and respecting the respective role of the other in
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the governance and management of the Smithsonian. The Secretary and appropriate staff

ensure that the Board of Regents is provided with timely, accurate, and complete information

to enable the Regents to fulfill their responsibilities.

The management and staff of the Smithsonian (other than the Office of Inspector General and

Office of the Board of Regents) serve under the direction and control of the Secretary in

accordance with specific authorities delegated by the Secretary or specified in the Bylaws of the

Board of Regents. Managers and supervisors are expected to lead by example, establishing and

following a high standard of ethics and accountability to be adhered to at all levels of their

organizations.

Smithsonian advisory boards are established by the Board of Regents or by statute to provide

advice and assistance to the Board and the Secretary. Advisory boards exercise the duties and

responsibilities delegated to them in applicable laws or bylaws approved by the Board of

Regents.

RESPONSIBLE STEWARDSHIP

The Smithsonian ensures that its resources, including financial assets, collections, facilities and

other physical property, intellectual property, and human resources, are protected, maintained,

developed, and managed prudently and responsibly in support of the Smithsonian mission and

the public trust. Policies and practices to ensure compliance with these principles, as well as

consistency with professional standards and best practices for responsible stewardship and

internal control, are established, disseminated, kept current, and consistently applied at all

levels of the organization. Accurate and complete records are maintained to support reliable

financial reporting and to ensure accountability and positive control of the Smithsonian’s

physical and financial assets.

COLLECTIONS

The Smithsonian develops, maintains, preserves, studies, exhibits, and interprets collections of

art, artifacts, natural specimens, living animals and plants, images, archival and library

materials, and audiovisual and digital media of unparalleled scope, depth, and quality.

Stewardship of Smithsonian collections entails the highest public trust and carries with it the

responsibility to provide prudent and responsible management, documentation, preservation,

and use of the collections for the benefit of the public. The Smithsonian conducts these

activities in accordance with professional standards and practices and ensures that legal

requirements are observed and compliance is documented. Policies and practices to ensure

compliance with these principles and consistency with professional standards and best

practices for responsible collections stewardship are established, clearly articulated,

disseminated, kept current, and consistently applied.  

EXHIBITIONS, EDUCATION, AND PUBLIC PROGRAMS

To carry out its mission to increase and diffuse knowledge, the Smithsonian engages in and

supports a vast array of exhibitions and educational and public programs in science, art, history,

and culture. The Smithsonian conducts these activities in accordance with professional

standards and practices and ensures that accuracy and intellectual integrity are the foundation
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for all exhibitions and educational and public programs produced in its name or under its

auspices. The Smithsonian retains control over and responsibility for the contents of its

exhibitions and educational and public programs. We acknowledge and address diverse values,

opinions, traditions, and concerns and ensure that our activities are open and widely accessible.

Policies and practices to ensure compliance with these principles and consistency with

professional standards and best practices are established, clearly articulated, disseminated,

kept current, and consistently applied.

RESEARCH  

To carry out its mission to increase and diffuse knowledge the Smithsonian engages in and

supports original research in science, art, history, and culture. The Smithsonian conducts these

activities in accordance with professional standards and practices and ensures that accuracy

and intellectual integrity are the foundation for all research produced in its name or under its

auspices. Accurate, valid, and reliable research data, records, and results are created, retained,

and disseminated as appropriate. Individuals who participate in or collaborate on a research

project or publication, as well as underlying sources and references, are appropriately

acknowledged in accordance with professional practices. Publication of research results is

subject to appropriate peer review. Policies and practices to ensure compliance with these

principles and consistency with professional standards and best practices are established,

clearly articulated, disseminated, kept current, and consistently applied.

OUTSIDE FINANCIAL SUPPORT

The Smithsonian seeks and relies on donations, grants, and contracts to provide vital support to

successfully achieve its mission. Donations, grants, and contracts may be received from

individuals, foundations, corporations, and grant‐making organizations. The Smithsonian

adheres to professional standards and best practices in seeking and accepting support from

these sources to ensure that fund‐raising activities support the Smithsonian mission and

protect the Smithsonian's reputation, integrity, and independence, while regarding donors and

sponsors with the highest level of respect and establishing relationships characterized by

forthrightness and honesty.

The Smithsonian provides truthful and relevant information in soliciting outside financial

support. We respect the interests and privacy concerns of donors and sponsors, and maintain

confidentiality as appropriate and legally permissible. We provide responsible stewardship and

recognition of contributions and ensure that they are used in accordance with the agreed terms

and conditions. Policies and practices to ensure compliance with these principles and

consistency with professional standards and best practices are established, clearly articulated,

disseminated, kept current, and consistently applied.

REVENUE‐GENERATING ACTIVITIES

The Smithsonian engages in revenue‐generating activities that create unrestricted financial

resources to support its mission. To ensure that these activities support the Smithsonian

mission and protect the Smithsonian's reputation, integrity, and independence, the

Smithsonian adheres to professional standards and best practices in conducting its revenue‐

generating activities. Smithsonian revenue‐generating activities must be consistent with the
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Smithsonian mission, culture, governance, and status as a trust instrumentality of the United

States and a tax‐exempt organization. Policies and practices to ensure compliance with these

principles and consistency with professional standards and best practices are established,

clearly articulated, disseminated, kept current, and consistently applied.

TRANSPARENCY AND DISCLOSURE

The Smithsonian provides accurate and comprehensive information about its finances,

operations, and activities to the public, Congress, and other stakeholders and responds in a

timely manner to reasonable requests for information. We engage in open and reliable

communication between and among the Board of Regents, management, and other

stakeholders to support informed decision‐making.

Smithsonian information will be disclosed in accordance with established policies and

procedures. Members of the Smithsonian community who have access to information that may

be considered confidential, private, or proprietary are expected to be familiar with and to

comply with applicable laws, policies, directives, and agreements pertaining to access, use,

protection, and disclosure of such information.

INCLUSIVENESS AND DIVERSITY

The Smithsonian values and promotes inclusiveness and diversity in all of its activities, including

employment practices, board and volunteer recruitment, and programs. The Smithsonian is

enriched and its effectiveness enhanced when the Smithsonian community and the

constituents we serve are composed of diverse individuals with varied backgrounds,

experience, and points of view.  

IMPLEMENTATION

While the Board of Regents retains the ultimate responsibility for requiring and overseeing

compliance with this Statement of Values and Code of Ethics, each Regent, employee,

volunteer, and other member of the Smithsonian community to whom it applies has a personal

responsibility to comply with this Statement. The Secretary will ensure that the Statement is

widely disseminated to Regents, staff, volunteers, advisory board members, and other

members of the Smithsonian community, as well as to the public and interested stakeholders.

The Secretary will ensure that appropriate policies and directives providing necessary guidance

are in place and kept current. The Secretary, in consultation with the General Counsel, will

establish an internal Ethics Advisory Board to provide advice to the Secretary and Board of

Regents on compliance with this Statement of Values and Code of Ethics.