PUBLIC INSPECTION COPY 06/26/17 1
Code: Expenses $ including grants of $ Revenue $

Code: Expenses $ including grants of $ Revenue $

Code: Expenses $ including grants of $ Revenue $

Expenses $ including grants of $ Revenue $

532002

12-16-15

1

2

3

4

Yes No

Yes No

4a

4b

4c

4d

4e

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part III 

Briefly describe the organization's mission:

Did the organization undertake any significant program services during the year which were not listed on

the prior Form 990 or 990-EZ?

If "Yes," describe these new services on Schedule O.

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization cease conducting, or make significant changes in how it conducts, any program services?

If "Yes," describe these changes on Schedule O.

~~~~~~

Describe the organization's program service accomplishments for each of its three largest program services, as measured by expenses.

Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and

revenue, if any, for each program service reported.

( ) ( ) ( )

( ) ( ) ( )

( ) ( ) ( )

Other program services (Describe in Schedule O.)

( ) ( )

Total program service expenses |

Form (2015)

2

Part III Statement of Program Service Accomplishments

990

†

† †

† †

Smithsonian Institution 53-0206027

X

"Increase and diffusion of knowledge" is the mission set forth by

James Smithson. The Smithsonian endeavors to shape the future by

preserving our heritage, discovering new knowledge, and sharing our

resources with the world.

X

X

488,998,307. 17,555,691. 45,537,335.

4A Research and Collections (See Schedule O)

435,043,315. 1,387,230. 51,675,934.

4B Education, Public Programs and Exhibitions (See Schedule O)

76,550,443. 63,129,565.

4C Membership (See Schedule O)

1,000,592,065.

See Schedule O for Continuation(s)

PUBLIC INSPECTION COPY 06/26/17 3
532003

12-16-15

Yes No

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

1

2

3

4

5

6

7

8

9

10

Section 501(c)(3) organizations.

a

b

c

d

e

f

a

b

11a

11b

11c

11d

11e

11f

12a

12b

13

14a

14b

15

16

17

18

19

a

b

If "Yes," complete Schedule A

Schedule B, Schedule of Contributors

If "Yes," complete Schedule C, Part I

If "Yes," complete Schedule C, Part II

If "Yes," complete Schedule C, Part III

If "Yes," complete Schedule D, Part I

If "Yes," complete Schedule D, Part II

If "Yes," complete

Schedule D, Part III

If "Yes," complete Schedule D, Part IV

If "Yes," complete Schedule D, Part V

If "Yes," complete Schedule D,

Part VI

If "Yes," complete Schedule D, Part VII

If "Yes," complete Schedule D, Part VIII

If "Yes," complete Schedule D, Part IX

If "Yes," complete Schedule D, Part X

If "Yes," complete Schedule D, Part X

If "Yes," complete

Schedule D, Parts XI and XII

If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional

If "Yes," complete Schedule E

If "Yes," complete Schedule F, Parts I and IV

If "Yes," complete Schedule F, Parts II and IV

If "Yes," complete Schedule F, Parts III and IV

If "Yes," complete Schedule G, Part I

If "Yes," complete Schedule G, Part II

If "Yes,"

complete Schedule G, Part III

Form 990 (2015) Page 

Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Is the organization required to complete ?

Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for

public office? 

~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

 Did the organization engage in lobbying activities, or have a section 501(h) election in effect

during the tax year? 

Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or

similar amounts as defined in Revenue Procedure 98-19? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~

Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to

provide advice on the distribution or investment of amounts in such funds or accounts? 

Did the organization receive or hold a conservation easement, including easements to preserve open space,

the environment, historic land areas, or historic structures? 

Did the organization maintain collections of works of art, historical treasures, or other similar assets? 

~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report an amount in Part X, line 21, for escrow or custodial account liability, serve as a custodian for

amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services?

Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent

endowments, or quasi-endowments? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~

If the organization's answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X

as applicable.

Did the organization report an amount for land, buildings, and equipment in Part X, line 10? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report an amount for investments - other securities in Part X, line 12 that is 5% or more of its total

assets reported in Part X, line 16? 

Did the organization report an amount for investments - program related in Part X, line 13 that is 5% or more of its total

assets reported in Part X, line 16? 

~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in

Part X, line 16? 

Did the organization report an amount for other liabilities in Part X, line 25? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~

Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses

the organization's liability for uncertain tax positions under FIN 48 (ASC 740)? 

Did the organization obtain separate, independent audited financial statements for the tax year? 

~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Was the organization included in consolidated, independent audited financial statements for the tax year?

~~~~~

Is the organization a school described in section 170(b)(1)(A)(ii)? 

Did the organization maintain an office, employees, or agents outside of the United States?

~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~

Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business,

investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000

or more? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any

foreign organization? 

Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to 

or for foreign individuals? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX,

column (A), lines 6 and 11e? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines

1c and 8a? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? 



Form (2015)

3

Part IV Checklist of Required Schedules

990

Smithsonian Institution 53-0206027

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 4
532004

12-16-15

Yes No

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

a

b

20a

20b

21

22

23

24a

24b

24c

24d

25a

25b

26

27

28a

28b

28c

29

30

31

32

33

34

35a

35b

36

37

38

a

b

c

d

a

b

Section 501(c)(3), 501(c)(4), and 501(c)(29) organizations. 

a

b

c

a

b

Section 501(c)(3) organizations. 

Note. 

(continued)

If "Yes," complete Schedule H

If "Yes," complete Schedule I, Parts I and II

If "Yes," complete Schedule I, Parts I and III

If "Yes," complete

Schedule J

If "Yes," answer lines 24b through 24d and complete

Schedule K. If "No", go to line 25a

If "Yes," complete Schedule L, Part I

If "Yes," complete

Schedule L, Part I

 If "Yes,"

complete Schedule L, Part II

If "Yes," complete Schedule L, Part III

If "Yes," complete Schedule L, Part IV

If "Yes," complete Schedule L, Part IV

If "Yes," complete Schedule L, Part IV

If "Yes," complete Schedule M

If "Yes," complete Schedule M

If "Yes," complete Schedule N, Part I

If "Yes," complete

Schedule N, Part II

If "Yes," complete Schedule R, Part I

If "Yes," complete Schedule R, Part II, III, or IV, and 

Part V, line 1

If "Yes," complete Schedule R, Part V, line 2

If "Yes," complete Schedule R, Part V, line 2

If "Yes," complete Schedule R, Part VI

Form 990 (2015) Page 

Did the organization operate one or more hospital facilities? ~~~~~~~~~~~~~~~~

If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return? ~~~~~~~~~~

Did the organization report more than $5,000 of grants or other assistance to any domestic organization or

domestic government on Part IX, column (A), line 1? ~~~~~~~~~~~~~~

Did the organization report more than $5,000 of grants or other assistance to or for domestic individuals on

Part IX, column (A), line 2? ~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current

and former officers, directors, trustees, key employees, and highest compensated employees? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the

last day of the year, that was issued after December 31, 2002? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?

Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease

any tax-exempt bonds?

Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?

~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~

Did the organization engage in an excess benefit

transaction with a disqualified person during the year? 

Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and

that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ? 

~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or

former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial

contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member

of any of these persons? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV

instructions for applicable filing thresholds, conditions, and exceptions):

A current or former officer, director, trustee, or key employee? ~~~~~~~~~~~

A family member of a current or former officer, director, trustee, or key employee? 

An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer,

director, trustee, or direct or indirect owner? 

~~

~~~~~~~~~~~~~~~~~~~~~

Did the organization receive more than $25,000 in non-cash contributions? 

Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation

contributions? 

~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization liquidate, terminate, or dissolve and cease operations?

Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization own 100% of an entity disregarded as separate from the organization under Regulations

sections 301.7701-2 and 301.7701-3? 

Was the organization related to any tax-exempt or taxable entity? 

~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization have a controlled entity within the meaning of section 512(b)(13)?

If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity

within the meaning of section 512(b)(13)? 

~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~

Did the organization make any transfers to an exempt non-charitable related organization?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization conduct more than 5% of its activities through an entity that is not a related organization

and that is treated as a partnership for federal income tax purposes? ~~~~~~~~

Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19?

All Form 990 filers are required to complete Schedule O 

Form (2015)

4

Part IV Checklist of Required Schedules

990

Smithsonian Institution 53-0206027

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 5
532005

12-16-15

Yes No

1

2

3

4

5

6

7

a

b

c

1a

1b

1c

a

b

2a

Note. 

2b

3a

3b

4a

5a

5b

5c

6a

6b

7a

7b

7c

7e

7f

7g

7h

8

9a

9b

a

b

a

b

a

b

c

a

b

Organizations that may receive deductible contributions under section 170(c).

a

b

c

d

e

f

g

h

7d

8

9

10

11

12

13

14

Sponsoring organizations maintaining donor advised funds. 

Sponsoring organizations maintaining donor advised funds.

a

b

Section 501(c)(7) organizations. 

a

b

10a

10b

Section 501(c)(12) organizations. 

a

b

11a

11b

a

b

Section 4947(a)(1) non-exempt charitable trusts. 12a

12b

Section 501(c)(29) qualified nonprofit health insurance issuers.

Note.

a

b

c

a

b

13a

13b

13c

14a

14b

e-file

If "No," to line 3b, provide an explanation in Schedule O

If "No," provide an explanation in Schedule O

Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?

Form (2015)

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part V 

Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable ~~~~~~~~~~~

Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable ~~~~~~~~~~

Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming

(gambling) winnings to prize winners? 

Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements,

filed for the calendar year ending with or within the year covered by this return ~~~~~~~~~~

If at least one is reported on line 2a, did the organization file all required federal employment tax returns?

If the sum of lines 1a and 2a is greater than 250, you may be required to (see instructions)

~~~~~~~~~~

~~~~~~~~~~~

Did the organization have unrelated business gross income of $1,000 or more during the year?

If "Yes," has it filed a Form 990-T for this year? 

~~~~~~~~~~~~~~

~~~~~~~~~~

At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a

financial account in a foreign country (such as a bank account, securities account, or other financial account)?~~~~~~~

If "Yes," enter the name of the foreign country:

See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR).

Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?

Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?

~~~~~~~~~~~~

~~~~~~~~~

If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit

any contributions that were not tax deductible as charitable contributions?

If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts

were not tax deductible?

~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

If "Yes," did the organization notify the donor of the value of the goods or services provided?

Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required

to file Form 8282?

~~~~~~~~~~~~~~~



If "Yes," indicate the number of Forms 8282 filed during the year

Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?

~~~~~~~~~~~~~~~~

~~~~~~~

Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? ~~~~~~~~~

If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?

If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?

~

Did a donor advised fund maintained by the 

sponsoring organization have excess business holdings at any time during the year? ~~~~~~~~~~~~~~~~~~~

Did the sponsoring organization make any taxable distributions under section 4966?

Did the sponsoring organization make a distribution to a donor, donor advisor, or related person?

~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~

Enter:

Initiation fees and capital contributions included on Part VIII, line 12

Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities

~~~~~~~~~~~~~~~

~~~~~~

Enter:

Gross income from members or shareholders

Gross income from other sources (Do not net amounts due or paid to other sources against

amounts due or received from them.)

~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Is the organization filing Form 990 in lieu of Form 1041?

If "Yes," enter the amount of tax-exempt interest received or accrued during the year 

Is the organization licensed to issue qualified health plans in more than one state?

 See the instructions for additional information the organization must report on Schedule O.

~~~~~~~~~~~~~~~~~~~~~

Enter the amount of reserves the organization is required to maintain by the states in which the

organization is licensed to issue qualified health plans

Enter the amount of reserves on hand

~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization receive any payments for indoor tanning services during the tax year?

If "Yes," has it filed a Form 720 to report these payments? 

~~~~~~~~~~~~~~~~



5

Part V Statements Regarding Other IRS Filings and Tax Compliance

990

†

J

Smithsonian Institution 53-0206027

3886

0

X

6935

X

X

X

X

Panama, Gabon

X

X

X

X

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 6
532006 12-16-15

Yes No

1a

1b

1

2

3

4

5

6

7

8

9

a

b

2

3

4

5

6

7a

7b

8a

8b

9

a

b

a

b

Yes No

10

11

a

b

10a

10b

11a

12a

12b

12c

13

14

15a

15b

16a

16b

a

b

12a

b

c

13

14

15

a

b

16a

b

17

18

19

20

For each "Yes" response to lines 2 through 7b below, and for a "No" response

to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.

If "Yes," provide the names and addresses in Schedule O

(This Section B requests information about policies not required by the Internal Revenue Code.)

If "No," go to line 13

If "Yes," describe

in Schedule O how this was done

 (explain in Schedule O)

If there are material differences in voting rights among members of the governing body, or if the governing

body delegated broad authority to an executive committee or similar committee, explain in Schedule O.

Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:

Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts?

Form (2015)

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part VI 

Enter the number of voting members of the governing body at the end of the tax year

Enter the number of voting members included in line 1a, above, who are independent

~~~~~~

~~~~~~

Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other

officer, director, trustee, or key employee? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization delegate control over management duties customarily performed by or under the direct supervision

of officers, directors, or trustees, or key employees to a management company or other person? ~~~~~~~~~~~~~~

Did the organization make any significant changes to its governing documents since the prior Form 990 was filed?

Did the organization become aware during the year of a significant diversion of the organization's assets?

Did the organization have members or stockholders?

~~~~~

~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or

more members of the governing body?

Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or

persons other than the governing body?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

The governing body?

Each committee with authority to act on behalf of the governing body?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the

organization's mailing address? 

Did the organization have local chapters, branches, or affiliates?

If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates,

and branches to ensure their operations are consistent with the organization's exempt purposes?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~

Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form?

Describe in Schedule O the process, if any, used by the organization to review this Form 990.

Did the organization have a written conflict of interest policy? ~~~~~~~~~~~~~~~~~~~~

~~~~~~

Did the organization regularly and consistently monitor and enforce compliance with the policy? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization have a written whistleblower policy?

Did the organization have a written document retention and destruction policy?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~

Did the process for determining compensation of the following persons include a review and approval by independent

persons, comparability data, and contemporaneous substantiation of the deliberation and decision?

The organization's CEO, Executive Director, or top management official

Other officers or key employees of the organization

If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).

~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a

taxable entity during the year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation

in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization's

exempt status with respect to such arrangements? 

List the states with which a copy of this Form 990 is required to be filed 

Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (Section 501(c)(3)s only) available

for public inspection. Indicate how you made these available. Check all that apply.

Own website Another's website Upon request Other

Describe in Schedule O whether (and if so, how) the organization made its governing documents, conflict of interest policy, and financial

statements available to the public during the tax year.

State the name, address, and telephone number of the person who possesses the organization's books and records: |

6

Part VI Governance, Management, and Disclosure 

Section A. Governing Body and Management

Section B. Policies 

Section C. Disclosure

990

†

J

† † † †

Smithsonian Institution 53-0206027

X

17

17

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

None

X X

Jean Garvin - 202-633-7218

2011 Crystal Dr., Arlington, VA 22202

PUBLIC INSPECTION COPY 06/26/17 7
Individual trustee or director

Institutional trusteeOfficerKey employeeHighest compensatedemployeeFormer

(do not check more than one

box, unless person is both an

officer and a director/trustee)

532007 12-16-15

 current

Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees

1a 

current 

current 

former 

former directors or trustees 

(A) (B) (C) (D) (E) (F)

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part VII 

Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization's tax year.

• List all of the organization's officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation.

Enter -0- in columns (D), (E), and (F) if no compensation was paid.

• List all of the organization's key employees, if any. See instructions for definition of "key employee."

• List the organization's five highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations.

• List all of the organization's officers, key employees, and highest compensated employees who received more than $100,000 of

reportable compensation from the organization and any related organizations.

• List all of the organization's that received, in the capacity as a former director or trustee of the organization,

more than $10,000 of reportable compensation from the organization and any related organizations.

List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest compensated employees; 

and former such persons.

Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.

Position Name and Title Average 

hours per

week 

(list any

hours for

related

organizations

below

line)

Reportable

compensation

from 

the

organization

(W-2/1099-MISC)

Reportable

compensation

from related

organizations

(W-2/1099-MISC)

Estimated

amount of

other

compensation

from the

organization

and related

organizations

Form (2015)

7

Part VII Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated

Employees, and Independent Contractors

990

†

†

Smithsonian Institution 53-0206027

(1) Honorable John Roberts, Jr. 0.50

Regent X 0. 0. 0.

(2) Honorable Joseph Biden 0.50

Regent X 0. 0. 0.

(3) Honorable Xavier Becerra 2.00

Regent X 0. 0. 0.

(4) Honorable John Boozman 2.00

Regent X 0. 0. 0.

(5) Honorable Thomas Cole 2.00

Regent X 0. 0. 0.

(6) Honorable Sam Johnson 2.00

Regent X 0. 0. 0.

(7) Honorable Patrick Leahy 2.00

Regent X 0. 0. 0.

(8) Honorable David Perdue 2.00

Regent X 0. 0. 0.

(9) Ms. Barbara Barrett 2.00

Regent X 0. 0. 0.

(10) Mr. Steve Case 2.00

Regent X 0. 0. 0.

(11) Mr. John Fahey 2.00

Regent X 0. 0. 0.

(12) Dr. Shirley Ann Jackson 8.00

Regent X 0. 0. 0.

(13) Mr. Robert Kogod 2.00

Regent X 0. 0. 0.

(14) Dr. Risa Lavizzo-Mourey 2.00

Regent X 0. 0. 0.

(15) Mr. Michael Lynton 2.00

Regent X 0. 0. 0.

(16) Mr. John McCarter 16.00

Regent X 0. 0. 0.

(17) Mr. David Rubenstein 2.00

Regent X 0. 0. 0.

PUBLIC INSPECTION COPY 06/26/17 8
Individual trustee or director

Institutional trusteeOfficer

Key employee

Highest compensatedemployee

Former

(do not check more than one

box, unless person is both an

officer and a director/trustee)

532008

12-16-15

Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees 

(A) (B) (C) (D) (E) (F)

1b

c

d

Sub-total

Total from continuation sheets to Part VII, Section A

Total (add lines 1b and 1c)

2

Yes No

3

4

5

former 

3

4

5

Section B. Independent Contractors

1

(A) (B) (C)

2

(continued)

If "Yes," complete Schedule J for such individual

If "Yes," complete Schedule J for such individual

If "Yes," complete Schedule J for such person

Form 990 (2015) Page 

Average Position

hours per

week

(list any

hours for

related

organizations

below

line)

Name and title Reportable

compensation

from 

the

organization

(W-2/1099-MISC)

Reportable

compensation

from related

organizations

(W-2/1099-MISC)

Estimated

amount of

other

compensation

from the

organization

and related

organizations

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |

~~~~~~~~~~ |

 |

Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable

compensation from the organization |

Did the organization list any officer, director, or trustee, key employee, or highest compensated employee on

line 1a? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization

and related organizations greater than $150,000? ~~~~~~~~~~~~~

Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services

rendered to the organization? 

Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from 

the organization. Report compensation for the calendar year ending with or within the organization's tax year.

Name and business address Description of services Compensation

Total number of independent contractors (including but not limited to those listed above) who received more than

$100,000 of compensation from the organization |

Form (2015)

8

Part VII

990

Smithsonian Institution 53-0206027

(18) David Skorton 50.00

Secretary X 508,315. 0. 53,045.

(19) Albert Horvath 50.00

U/S Finance & Administration/CFO X 442,856. 0. 59,932.

(20) Cathy Helm 50.00

Inspector General X 179,434. 0. 19,216.

(21) Judith Leonard 50.00

General Counsel X 188,345. 0. 33,650.

(22) Porter Wilkinson 50.00

Chief of Staff - Regents X 119,097. 0. 21,280.

(23) Nancy Bechtol 50.00

Director - Facilities X 189,653. 0. 25,933.

(24) Claudine Brown(decd 03/17/16) 50.00

Asst Sec - Education and Access X 261,211. 0. 46,853.

(25) Deron Burba 50.00

Chief Information Officer X 189,561. 0. 44,228.

(26) Amy Chen 50.00

Chief Investment Officer X 509,771. 0. 37,033.

2,588,243. 0. 341,170.

5,720,858. 0. 806,547.

8,309,101. 0. 1,147,717.

1,363

X

X

X

Clark/Smoot/Russell, A Joint Venture, 7500

Old Georgetown Road, Bethesda, MD 20814 Construction 133,534,271.

Design and Production

7110 Rainwater Place, Lorton, VA 22079 Exhibit Design 20,016,314.

Grunley Construction Company

888 17th Street NW, Washington, DC 20006 Construction 18,329,129.

Consigli Construction Company

72 Sumner Street, Milford, MA 01757 Construction 18,115,331.

Hensel Phelps Construction Company, 4437

Brookefield Corp. Dr., Chantilly, VA 20151 Construction 13,160,731.

408

See Part VII, Section A Continuation sheets

PUBLIC INSPECTION COPY 06/26/17 9
Individual trustee or director

Institutional trusteeOfficerKey employeeHighest compensated employeeFormer

532201

04-01-15

Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees 

(A) (B) (C) (D) (E) (F)

(continued)

Form 990

Name and title Average 

hours 

per 

week

(list any

hours for

related

organizations

below

line)

Position 

(check all that apply)

Reportable

compensation

from 

the

organization

(W-2/1099-MISC)

Reportable

compensation

from related

organizations

(W-2/1099-MISC)

Estimated

amount of

other

compensation

from the

organization

and related

organizations

Total to Part VII, Section A, line 1c 

Part VII

Smithsonian Institution 53-0206027

(27) Virginia Clark 50.00

Director - Advancement & Giving X 349,878. 0. 59,932.

(28) Bruce Dauer 50.00

VP Finance/Adm - (SE) X 300,468. 0. 36,638.

(29) James Douglas 50.00

Director - Office of Human Resources X 184,117. 0. 29,921.

(30) Jean Garvin 50.00

Director - Finance & Accounting X 183,014. 0. 46,225.

(31) John Kress 50.00

Interim Under Secretary - Science X 164,709. 0. 25,382.

(32) Richard Kurin 50.00

Acting Provost-U/S for Museums/Resea X 312,848. 0. 56,047.

(33) John Lapiana 50.00

Acting Asst Sec/Comm & External Affr X 212,119. 0. 33,998.

(34) Dorothy Leffler 50.00

Director - Office of Contracts X 156,943. 0. 17,170.

(35) Evelyn Lieberman(Decd 12/12/15) 50.00

Senior Advisor to the Secretary X 248,558. 0. 35,001.

(36) Christopher Liedel 50.00

President - Smithsonian Enterprises X 628,563. 0. 61,991.

(37) Era Marshall 50.00

Dir-Equal Emplymt & Minority Affairs X 173,242. 0. 15,178.

(38) Mary Payne 50.00

Director - Office of Govt Relations X 187,036. 0. 36,811.

(39) David Voyles 50.00

Director - OPMB X 176,679. 0. 14,637.

(40) Michael Caruso 50.00

Editor in Chief - (SE) X 333,555. 0. 59,441.

(41) Melissa Chiu 50.00

Director - Hirschhorn Museum X 389,547. 0. 60,026.

(42) Edward Howell 50.00

SVP Retail-Smithsonian Enterprises X 390,465. 0. 59,347.

(43) Carol LeBlanc 50.00

SVP Licensing-Smithsonian Enterprise X 334,429. 0. 56,409.

(44) Jeffrey Smith 50.00

Investment Officer X 350,927. 0. 43,261.

(45) G. Wayne Clough 50.00

Former Secretary X 143,239. 0. 4,907.

(46) Charles R. Alcock 50.00

Former Acting Under Sec - Science X 157,679. 0. 20,458.

PUBLIC INSPECTION COPY 06/26/17 10
Individual trustee or director

Institutional trusteeOfficerKey employeeHighest compensated employeeFormer

532201

04-01-15

Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees 

(A) (B) (C) (D) (E) (F)

(continued)

Form 990

Name and title Average 

hours 

per 

week

(list any

hours for

related

organizations

below

line)

Position 

(check all that apply)

Reportable

compensation

from 

the

organization

(W-2/1099-MISC)

Reportable

compensation

from related

organizations

(W-2/1099-MISC)

Estimated

amount of

other

compensation

from the

organization

and related

organizations

Total to Part VII, Section A, line 1c 

Part VII

Smithsonian Institution 53-0206027

(47) Kenneth Johnson 50.00

Former Acting Director - OPMB X 177,752. 0. 8,637.

(48) Andrew Zino 50.00

Former Comptroller X 165,091. 0. 25,130.

5,720,858. 806,547.

PUBLIC INSPECTION COPY 06/26/17 11
Noncash contributions included in lines 1a-1f: $

532009 12-16-15

Total revenue. 

(A) (B) (C) (D)

1 a

b

c

d

e

f

g

h

1

1

1

1

1

1

a

b

c

d

e

f

Contributions, Gifts, Grants

and Other Similar Amounts

Total. 

Business Code

a

b

c

d

e

f

g

2

Program Service

Revenue

Total. 

3

4

5

6 a

b

c

d

a

b

c

d

7

a

b

c

8

a

b

9 a

b

c

a

b

10 a

b

c

a

b

Business Code

11 a

b

c

d

e Total. 

Other Revenue

12

Revenue excluded from tax under sections

512 - 514

All other contributions, gifts, grants, and

similar amounts not included above

See instructions.

Form (2015)

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part VIII 

Total revenue Related or

exempt function

revenue

Unrelated

business

revenue

Federated campaigns

Membership dues

~~~~~~

~~~~~~~~

Fundraising events

Related organizations

~~~~~~~~

~~~~~~

Government grants (contributions)

~~

Add lines 1a-1f  |

All other program service revenue ~~~~~

Add lines 2a-2f  |

Investment income (including dividends, interest, and

other similar amounts)

Income from investment of tax-exempt bond proceeds

~~~~~~~~~~~~~~~~~ |

|

Royalties  |

(i) Real (ii) Personal

Gross rents

Less: rental expenses

Rental income or (loss)

Net rental income or (loss)

~~~~~~~

~~~

~~

 |

Gross amount from sales of

assets other than inventory

(i) Securities (ii) Other

Less: cost or other basis

and sales expenses

Gain or (loss)

~~~

~~~~~~~

Net gain or (loss)  |

Gross income from fundraising events (not

including $ of

contributions reported on line 1c). See

Part IV, line 18 ~~~~~~~~~~~~~

Less: direct expenses~~~~~~~~~~

Net income or (loss) from fundraising events  |

Gross income from gaming activities. See

Part IV, line 19 ~~~~~~~~~~~~~

Less: direct expenses

Net income or (loss) from gaming activities

~~~~~~~~~

 |

Gross sales of inventory, less returns

and allowances ~~~~~~~~~~~~~

Less: cost of goods sold

Net income or (loss) from sales of inventory

~~~~~~~~

 |

Miscellaneous Revenue

All other revenue ~~~~~~~~~~~~~

Add lines 11a-11d ~~~~~~~~~~~~~~~ |

 |

9

Part VIII Statement of Revenue

990

†

Smithsonian Institution 53-0206027

43,693.

19,952,493.

3,647,170.

508,408.

951,570,661.

245,726,636.

25,035,328.

1,221,449,061.

Visitors/Members/Emplo 900099 49,749,773. 26,497,332. 23,252,441.

Subscriptions-magazine 511120 33,826,982. 33,826,982.

Tours/Classes 900099 12,038,910. 11,958,852. 80,058.

Theater Income 512131 11,964,784. 9,332,918. 2,631,866.

Traveling Exhibitions 712110 2,066,955. 2,066,955.

900099 100,000. 100,000.

109,747,404.

13,983,057. 13,983,057.

14,688,923. 14,688,923.

192,631,741. 575,616.

153,241,652. 0.

39,390,089. 575,616.

39,965,705. 575,616. 39,390,089.

3,647,170.

1,467,824.

2,267,022.

-799,198. -799,198.

60,835,673.

23,191,478.

37,644,195. 35,779,715. 1,864,480.

Magazine/Website Adver 541800 12,951,235. 12,951,235.

12,951,235.

1,449,630,382. 120,038,370. 17,627,639. 90,515,312.

PUBLIC INSPECTION COPY 06/26/17 12
Check here if following SOP 98-2 (ASC 958-720)

532010 12-16-15

Total functional expenses. 

Joint costs.

(A) (B) (C) (D)

1

2

3

4

5

6

7

8

9

10

11

a

b

c

d

e

f

g

12

13

14

15

16

17

18

19

20

21

22

23

24

a

b

c

d

e

25

26

Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).

Grants and other assistance to domestic organizations

and domestic governments. See Part IV, line 21

Compensation not included above, to disqualified 

persons (as defined under section 4958(f)(1)) and 

persons described in section 4958(c)(3)(B)

Pension plan accruals and contributions (include

section 401(k) and 403(b) employer contributions)

Professional fundraising services. See Part IV, line 17

(If line 11g amount exceeds 10% of line 25,

column (A) amount, list line 11g expenses on Sch O.)

Other expenses. Itemize expenses not covered 

above. (List miscellaneous expenses in line 24e. If line

24e amount exceeds 10% of line 25, column (A)

amount, list line 24e expenses on Schedule O.)

Add lines 1 through 24e

 Complete this line only if the organization

reported in column (B) joint costs from a combined

educational campaign and fundraising solicitation.

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part IX 

Total expenses Program service

expenses

Management and

general expenses

Fundraising

expenses

~

Grants and other assistance to domestic

individuals. See Part IV, line 22 ~~~~~~~

Grants and other assistance to foreign

organizations, foreign governments, and foreign

individuals. See Part IV, lines 15 and 16 ~~~

Benefits paid to or for members ~~~~~~~

Compensation of current officers, directors,

trustees, and key employees ~~~~~~~~

~~~

Other salaries and wages ~~~~~~~~~~

Other employee benefits ~~~~~~~~~~

Payroll taxes ~~~~~~~~~~~~~~~~

Fees for services (non-employees):

Management

Legal

Accounting

Lobbying

~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~

Investment management fees

Other. 

~~~~~~~~

Advertising and promotion

Office expenses

Information technology

Royalties

~~~~~~~~~

~~~~~~~~~~~~~~~

~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~

Occupancy ~~~~~~~~~~~~~~~~~

Travel ~~~~~~~~~~~~~~~~~~~

Payments of travel or entertainment expenses

for any federal, state, or local public officials

Conferences, conventions, and meetings ~~

Interest

Payments to affiliates

~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~

Depreciation, depletion, and amortization

Insurance

~~

~~~~~~~~~~~~~~~~~

~~

All other expenses

|

Form (2015)

Do not include amounts reported on lines 6b,

7b, 8b, 9b, and 10b of Part VIII.

10

Part IX Statement of Functional Expenses

990

†

†

Smithsonian Institution 53-0206027

364,591. 364,591.

12,050,170. 12,050,170.

6,528,160. 6,528,160.

7,151,183. 1,889,887. 4,834,296. 427,000.

3,790,014. 3,598,453. 191,561.

489,706,830. 352,427,453. 116,341,470. 20,937,907.

64,772,546. 48,444,048. 13,666,320. 2,662,178.

54,963,088. 38,704,680. 13,956,366. 2,302,042.

33,312,693. 23,236,179. 8,735,910. 1,340,604.

4,134,098. 2,938,962. 1,188,842. 6,294.

823,533. 823,533.

3,720,161. 3,720,161.

2,491,374. 2,491,374.

127,878,911. 88,693,468. 27,466,202. 11,719,241.

6,376,997. 4,641,097. 943,748. 792,152.

51,836,856. 41,459,053. 9,248,355. 1,129,448.

49,302,375. 12,528,378. 35,573,574. 1,200,423.

309,564. 309,519. 45.

121,255,309. 100,725,964. 18,624,784. 1,904,561.

14,787,306. 11,440,921. 2,226,486. 1,119,899.

4,661,437. 3,235,566. 1,257,236. 168,635.

3,018,592. 3,018,592.

136,008,297. 116,849,524. 18,893,818. 264,955.

1,210,453. 563,177. 647,117. 159.

Periodical & Program Pr 46,724,203. 42,869,726. 3,473,782. 380,695.

Research/Subcontracts 36,314,538. 36,314,538.

Collections & Equipmnt/ 24,200,892. 23,613,959. 481,446. 105,487.

OH Cost Recovery Grants 0. 24,146,000. -24,146,000.

1,307,694,171. 1,000,592,065. 256,920,220. 50,181,886.

X 11,231,431. 2,918,367. 0. 8,313,064.

PUBLIC INSPECTION COPY 06/26/17 13
532011

12-16-15

(A) (B)

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

1

2

3

4

5

6

7

8

9

10c

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

a

b

10a

10b

Assets

Total assets. 

Liabilities

Total liabilities. 

Organizations that follow SFAS 117 (ASC 958), check here and

complete lines 27 through 29, and lines 33 and 34.

27

28

29

Organizations that do not follow SFAS 117 (ASC 958), check here

and complete lines 30 through 34.

30

31

32

33

34

Net Assets or Fund Balances

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part X 

Beginning of year End of year

Cash - non-interest-bearing

Savings and temporary cash investments

Pledges and grants receivable, net

~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~

Accounts receivable, net ~~~~~~~~~~~~~~~~~~~~~~~~~~

Loans and other receivables from current and former officers, directors,

trustees, key employees, and highest compensated employees. Complete

Part II of Schedule L ~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Loans and other receivables from other disqualified persons (as defined under

section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing

employers and sponsoring organizations of section 501(c)(9) voluntary

employees' beneficiary organizations (see instr). Complete Part II of Sch L ~~

Notes and loans receivable, net

Inventories for sale or use

Prepaid expenses and deferred charges

~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~

Land, buildings, and equipment: cost or other

basis. Complete Part VI of Schedule D

Less: accumulated depreciation

~~~

~~~~~~

Investments - publicly traded securities

Investments - other securities. See Part IV, line 11

Investments - program-related. See Part IV, line 11

Intangible assets

~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~

~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Other assets. See Part IV, line 11 ~~~~~~~~~~~~~~~~~~~~~~

Add lines 1 through 15 (must equal line 34) 

Accounts payable and accrued expenses

Grants payable

Deferred revenue

~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Tax-exempt bond liabilities

Escrow or custodial account liability. Complete Part IV of Schedule D

~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~

Loans and other payables to current and former officers, directors, trustees,

key employees, highest compensated employees, and disqualified persons.

Complete Part II of Schedule L ~~~~~~~~~~~~~~~~~~~~~~~

Secured mortgages and notes payable to unrelated third parties ~~~~~~

Unsecured notes and loans payable to unrelated third parties ~~~~~~~~

Other liabilities (including federal income tax, payables to related third

parties, and other liabilities not included on lines 17-24). Complete Part X of

Schedule D ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Add lines 17 through 25 

|

Unrestricted net assets

Temporarily restricted net assets

Permanently restricted net assets

~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~

|

Capital stock or trust principal, or current funds

Paid-in or capital surplus, or land, building, or equipment fund

Retained earnings, endowment, accumulated income, or other funds

~~~~~~~~~~~~~~~

~~~~~~~~

~~~~

Total net assets or fund balances ~~~~~~~~~~~~~~~~~~~~~~

Total liabilities and net assets/fund balances 

Form (2015)

11

Part X Balance Sheet

990

†

†

†

Smithsonian Institution 53-0206027

506,406,711. 407,562,748.

25,628,497. 23,446,852.

274,734,852. 288,750,726.

47,018,136. 48,830,546.

11,162,602. 13,084,526.

16,727,691. 18,171,247.

4,357,920,588.

2,025,835,058. 2,226,521,998. 2,332,085,530.

264,932,851. 414,869,111.

1,106,485,966. 1,127,208,144.

36,672,169. 38,922,608.

4,516,291,473. 4,712,932,038.

304,981,578. 286,293,705.

319,622,707. 343,096,650.

102,767,192. 101,221,443.

100,000,000. 100,000,000.

50,341,604. 51,380,604.

877,713,081. 881,992,402.

X

2,397,125,664. 2,651,205,341.

754,106,270. 670,393,313.

487,346,458. 509,340,982.

3,638,578,392. 3,830,939,636.

4,516,291,473. 4,712,932,038.

PUBLIC INSPECTION COPY 06/26/17 14
532012

12-16-15

1

2

3

4

5

6

7

8

9

10

1

2

3

4

5

6

7

8

9

10

Yes No

1

2

3

a

b

c

2a

2b

2c

a

b

3a

3b

Form 990 (2015) Page 

Check if Schedule O contains a response or note to any line in this Part XI 

Total revenue (must equal Part VIII, column (A), line 12)

Total expenses (must equal Part IX, column (A), line 25)

Revenue less expenses. Subtract line 2 from line 1

Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A))

~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~

Net unrealized gains (losses) on investments

Donated services and use of facilities

Investment expenses

Prior period adjustments

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Other changes in net assets or fund balances (explain in Schedule O)

Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33,

column (B))

~~~~~~~~~~~~~~~~~~~



Check if Schedule O contains a response or note to any line in this Part XII 

Accounting method used to prepare the Form 990: Cash Accrual Other

If the organization changed its method of accounting from a prior year or checked "Other," explain in Schedule O.

Were the organization's financial statements compiled or reviewed by an independent accountant? ~~~~~~~~~~~~

If "Yes," check a box below to indicate whether the financial statements for the year were compiled or reviewed on a

separate basis, consolidated basis, or both:

Separate basis Consolidated basis Both consolidated and separate basis

Were the organization's financial statements audited by an independent accountant? ~~~~~~~~~~~~~~~~~~~

If "Yes," check a box below to indicate whether the financial statements for the year were audited on a separate basis,

consolidated basis, or both:

Separate basis Consolidated basis Both consolidated and separate basis

If "Yes" to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit,

review, or compilation of its financial statements and selection of an independent accountant?~~~~~~~~~~~~~~~

If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.

As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit 

Act and OMB Circular A-133? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit

or audits, explain why in Schedule O and describe any steps taken to undergo such audits 

Form (2015)

12

Part XI Reconciliation of Net Assets

Part XII Financial Statements and Reporting

990

†

†

† † †

† † †

† † †

Smithsonian Institution 53-0206027

X

1,449,630,382.

1,307,694,171.

141,936,211.

3,638,578,392.

55,074,640.

-4,649,607.

3,830,939,636.

X

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 15
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532021 09-23-15

Information about Schedule A (Form 990 or 990-EZ) and its instructions is at 

(i) Name of supported (ii) (iii) (iv) (v) (vi)

organization

Type of organization 

(described on lines 1-9 

above (see instructions))

Is the organization

listed in your

governing document?

Amount of monetary

support (see

instructions)

Amount of

other support (see

instructions)

EIN

(Form 990 or 990-EZ) Complete if the organization is a section 501(c)(3) organization or a section

4947(a)(1) nonexempt charitable trust.

| Attach to Form 990 or Form 990-EZ. 

| 

Open to Public

Inspection

Name of the organization Employer identification number

1

2

3

4

5

6

7

8

9

10

11

section 170(b)(1)(A)(i).

section 170(b)(1)(A)(ii).

section 170(b)(1)(A)(iii).

section 170(b)(1)(A)(iii).

section 170(b)(1)(A)(iv). 

section 170(b)(1)(A)(v).

section 170(b)(1)(A)(vi).

section 170(b)(1)(A)(vi).

 section 509(a)(2).

section 509(a)(4).

section 509(a)(1) section 509(a)(2) section 509(a)(3).

a

b

c

d

e

f

g

Type I.

You must complete Part IV, Sections A and B.

Type II.

You must complete Part IV, Sections A and C.

Type III functionally integrated.

You must complete Part IV, Sections A, D, and E.

Type III non-functionally integrated.

You must complete Part IV, Sections A and D, and Part V.

Yes No

Total

For Paperwork Reduction Act Notice, see the Instructions for

Form 990 or 990-EZ.

Schedule A (Form 990 or 990-EZ) 2015

(All organizations must complete this part.) See instructions.

The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)

A church, convention of churches, or association of churches described in 

A school described in (Attach Schedule E (Form 990 or 990-EZ).)

A hospital or a cooperative hospital service organization described in 

A medical research organization operated in conjunction with a hospital described in Enter the hospital's name,

city, and state:

An organization operated for the benefit of a college or university owned or operated by a governmental unit described in

(Complete Part II.)

A federal, state, or local government or governmental unit described in 

An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in 

 (Complete Part II.)

A community trust described in (Complete Part II.)

An organization that normally receives: (1) more than 33 1/3% of its support from contributions, membership fees, and gross receipts from 

activities related to its exempt functions - subject to certain exceptions, and (2) no more than 33 1/3% of its support from gross investment 

income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975. 

See (Complete Part III.)

An organization organized and operated exclusively to test for public safety. See 

An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or 

more publicly supported organizations described in or . See Check the box in

lines 11a through 11d that describes the type of supporting organization and complete lines 11e, 11f, and 11g.

 A supporting organization operated, supervised, or controlled by its supported organization(s), typically by giving

the supported organization(s) the power to regularly appoint or elect a majority of the directors or trustees of the supporting

organization. 

 A supporting organization supervised or controlled in connection with its supported organization(s), by having

control or management of the supporting organization vested in the same persons that control or manage the supported

organization(s). 

 A supporting organization operated in connection with, and functionally integrated with,

its supported organization(s) (see instructions). 

 A supporting organization operated in connection with its supported organization(s)

that is not functionally integrated. The organization generally must satisfy a distribution requirement and an attentiveness

requirement (see instructions). 

Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type III

functionally integrated, or Type III non-functionally integrated supporting organization.

Enter the number of supported organizations ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Provide the following information about the supported organization(s).

LHA 

www.irs.gov/form990.

SCHEDULE A

Part I Reason for Public Charity Status 

Public Charity Status and Public Support 2015

†

†

†

†

†

†

†

†

†

†

†

†

†

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Smithsonian Institution 53-0206027

X

PUBLIC INSPECTION COPY 06/26/17 16
Subtract line 5 from line 4.

532022

09-23-15

Calendar year (or fiscal year beginning in) 

Calendar year (or fiscal year beginning in) |

2

(a) (b) (c) (d) (e) (f) 

1

2

3

4

5

Total.

6 Public support. 

(a) (b) (c) (d) (e) (f) 

7

8

9

10

11

12

13

Total support. 

12

First five years. 

stop here

14

15

14

15

16

17

18

a

b

a

b

33 1/3% support test - 2015. 

stop here. 

33 1/3% support test - 2014. 

stop here. 

10% -facts-and-circumstances test - 2015. 

stop here. 

10% -facts-and-circumstances test - 2014. 

stop here. 

Private foundation. 

Schedule A (Form 990 or 990-EZ) 2015

|

Add lines 7 through 10

Schedule A (Form 990 or 990-EZ) 2015 Page 

(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization

fails to qualify under the tests listed below, please complete Part III.)

2011 2012 2013 2014 2015 Total

Gifts, grants, contributions, and

membership fees received. (Do not

include any "unusual grants.") ~~

Tax revenues levied for the organization's benefit and either paid to 

or expended on its behalf ~~~~

The value of services or facilities

furnished by a governmental unit to 

the organization without charge ~

 Add lines 1 through 3 ~~~

The portion of total contributions

by each person (other than a

governmental unit or publicly

supported organization) included

on line 1 that exceeds 2% of the

amount shown on line 11,

column (f) ~~~~~~~~~~~~

2011 2012 2013 2014 2015 Total

Amounts from line 4 ~~~~~~~

Gross income from interest, 

dividends, payments received on 

securities loans, rents, royalties 

and income from similar sources ~

Net income from unrelated business

activities, whether or not the

business is regularly carried on ~

Other income. Do not include gain

or loss from the sale of capital

assets (Explain in Part VI.) ~~~~

Gross receipts from related activities, etc. (see instructions) ~~~~~~~~~~~~~~~~~~~~~~~

If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3)

organization, check this box and  |

Public support percentage for 2015 (line 6, column (f) divided by line 11, column (f))~~~~~~~~~~~~

Public support percentage from 2014 Schedule A, Part II, line 14

%

~~~~~~~~~~~~~~~~~~~~~ %

If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box and

The organization qualifies as a publicly supported organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |

If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this box

and The organization qualifies as a publicly supported organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |

If the organization did not check a box on line 13, 16a, or 16b, and line 14 is 10% or more,

and if the organization meets the "facts-and-circumstances" test, check this box and Explain in Part VI how the organization

meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported organization ~~~~~~~~~~~~~~~ |

If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 is 10% or

more, and if the organization meets the "facts-and-circumstances" test, check this box and Explain in Part VI how the

organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported organization ~~~~~~~~ |

If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see instructions  |

Part II Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)

Section A. Public Support

Section B. Total Support

Section C. Computation of Public Support Percentage

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Smithsonian Institution 53-0206027

1126869412. 1120530769. 1190256002. 1097910208. 1221449061. 5757015452.

1126869412. 1120530769. 1190256002. 1097910208. 1221449061. 5757015452.

5757015452.

1126869412. 1120530769. 1190256002. 1097910208. 1221449061. 5757015452.

17,395,111. 20,622,076. 35,313,796. 26,621,870. 28,671,980. 128,624,833.

5885640285.

795,164,104.

97.81

97.94

X

PUBLIC INSPECTION COPY 06/26/17 17
(Subtract line 7c from line 6.)

Amounts included on lines 2 and 3 received

from other than disqualified persons that

exceed the greater of $5,000 or 1% of the

amount on line 13 for the year

(Add lines 9, 10c, 11, and 12.)

532023 09-23-15

Calendar year (or fiscal year beginning in) |

Calendar year (or fiscal year beginning in) |

Total support. 

3

(a) (b) (c) (d) (e) (f) 

1

2

3

4

5

6

7

Total.

a

b

c

8 Public support. 

(a) (b) (c) (d) (e) (f) 

9

10a

b

c

11

12

13

14 First five years. 

stop here

15

16

15

16

17

18

19

20

2015 

2014

17

18

a

b

33 1/3% support tests - 2015. 

stop here.

33 1/3% support tests - 2014. 

stop here.

Private foundation. 

Schedule A (Form 990 or 990-EZ) 2015

Unrelated business taxable income

(less section 511 taxes) from businesses

acquired after June 30, 1975

Schedule A (Form 990 or 990-EZ) 2015 Page 

(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to

qualify under the tests listed below, please complete Part II.) 

2011 2012 2013 2014 2015 Total

Gifts, grants, contributions, and

membership fees received. (Do not 

include any "unusual grants.") ~~

Gross receipts from admissions,

merchandise sold or services performed, or facilities furnished in

any activity that is related to the

organization's tax-exempt purpose

Gross receipts from activities that

are not an unrelated trade or business under section 513 ~~~~~

Tax revenues levied for the organization's benefit and either paid to 

or expended on its behalf ~~~~

The value of services or facilities

furnished by a governmental unit to

the organization without charge ~

 Add lines 1 through 5 ~~~

Amounts included on lines 1, 2, and

3 received from disqualified persons

~~~~~~

Add lines 7a and 7b ~~~~~~~

2011 2012 2013 2014 2015 Total

Amounts from line 6 ~~~~~~~

Gross income from interest, 

dividends, payments received on 

securities loans, rents, royalties 

and income from similar sources ~

~~~~

Add lines 10a and 10b ~~~~~~

Net income from unrelated business

activities not included in line 10b, 

whether or not the business is 

regularly carried on ~~~~~~~

Other income. Do not include gain

or loss from the sale of capital

assets (Explain in Part VI.) ~~~~

If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization,

check this box and  |

Public support percentage for 2015 (line 8, column (f) divided by line 13, column (f))

Public support percentage from 2014 Schedule A, Part III, line 15

~~~~~~~~~~~~ %

 %

Investment income percentage for (line 10c, column (f) divided by line 13, column (f))

Investment income percentage from Schedule A, Part III, line 17

~~~~~~~~ %

~~~~~~~~~~~~~~~~~~ %

If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line 17 is not

more than 33 1/3%, check this box and The organization qualifies as a publicly supported organization ~~~~~~~~~~ |

If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3%, and

line 18 is not more than 33 1/3%, check this box and The organization qualifies as a publicly supported organization~~~~ |

If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions  |

Part III Support Schedule for Organizations Described in Section 509(a)(2) 

Section A. Public Support

Section B. Total Support

Section C. Computation of Public Support Percentage

Section D. Computation of Investment Income Percentage

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Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 18
532024 09-23-15

4

Yes No

1

2

3

4

5

6

7

8

9

10

1

2

3a

3b

3c

4a

4b

4c

5a

5b

5c

6

7

8

9a

9b

9c

10a

10b

a

b

c

a

b

c

a

b

c

a

b

c

a

b

Type I or Type II only.

Substitutions only. 

Schedule A (Form 990 or 990-EZ) 2015

If "No" describe in how the supported organizations are designated. If designated by

class or purpose, describe the designation. If historic and continuing relationship, explain.

If "Yes," explain in how the organization determined that the supported

organization was described in section 509(a)(1) or (2).

If "Yes," answer

(b) and (c) below.

If "Yes," describe in when and how the

organization made the determination.

If "Yes," explain in what controls the organization put in place to ensure such use.

If

"Yes," and if you checked 11a or 11b in Part I, answer (b) and (c) below.

If "Yes," describe in how the organization had such control and discretion

despite being controlled or supervised by or in connection with its supported organizations.

 If "Yes," explain in what controls the organization used

to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B)

purposes.

If "Yes,"

answer (b) and (c) below (if applicable). Also, provide detail in including (i) the names and EIN

numbers of the supported organizations added, substituted, or removed; (ii) the reasons for each such action;

(iii) the authority under the organization's organizing document authorizing such action; and (iv) how the action

was accomplished (such as by amendment to the organizing document).

If "Yes," provide detail in

If "Yes," complete Part I of Schedule L (Form 990 or 990-EZ).

If "Yes," complete Part I of Schedule L (Form 990 or 990-EZ).

If "Yes," provide detail in 

 If "Yes," provide detail in 

If "Yes," provide detail in 

 If "Yes," answer 10b below.

(Use Schedule C, Form 4720, to

determine whether the organization had excess business holdings.)

Schedule A (Form 990 or 990-EZ) 2015 Page 

(Complete only if you checked a box in line 11 on Part I. If you checked 11a of Part I, complete Sections A

and B. If you checked 11b of Part I, complete Sections A and C. If you checked 11c of Part I, complete

Sections A, D, and E. If you checked 11d of Part I, complete Sections A and D, and complete Part V.)

Are all of the organization's supported organizations listed by name in the organization's governing

documents? 

Did the organization have any supported organization that does not have an IRS determination of status

under section 509(a)(1) or (2)? 

Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? 

Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and

satisfied the public support tests under section 509(a)(2)? 

Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B)

purposes? 

Was any supported organization not organized in the United States ("foreign supported organization")? 

Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign

supported organization? 

Did the organization support any foreign supported organization that does not have an IRS determination

under sections 501(c)(3) and 509(a)(1) or (2)?

Did the organization add, substitute, or remove any supported organizations during the tax year? 

 Was any added or substituted supported organization part of a class already

designated in the organization's organizing document?

Was the substitution the result of an event beyond the organization's control?

Did the organization provide support (whether in the form of grants or the provision of services or facilities) to

anyone other than (i) its supported organizations, (ii) individuals that are part of the charitable class

benefited by one or more of its supported organizations, or (iii) other supporting organizations that also

support or benefit one or more of the filing organization's supported organizations? 

Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor

(defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with

regard to a substantial contributor? 

Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 7?

Was the organization controlled directly or indirectly at any time during the tax year by one or more

disqualified persons as defined in section 4946 (other than foundation managers and organizations described

in section 509(a)(1) or (2))? 

Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which

the supporting organization had an interest?

Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit

from, assets in which the supporting organization also had an interest? 

Was the organization subject to the excess business holdings rules of section 4943 because of section

4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated

supporting organizations)?

Did the organization have any excess business holdings in the tax year? 

Part VI 

 Part VI

Part VI

Part VI

Part VI

Part VI

Part VI, 

Part VI.

Part VI.

Part VI.

Part VI.

Part IV Supporting Organizations

Section A. All Supporting Organizations

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 19
532025 09-23-15

5

Yes No

11

a

b

c

11a

11b

11c

Yes No

1

2

1

2

Yes No

1

1

Yes No

1

2

3

1

2

3

1

2

3

a

b

c

 

Yes No

a

b

a

b

2a

2b

3a

3b

Schedule A (Form 990 or 990-EZ) 2015

If "Yes" to a, b, or c, provide detail in 

If "No," describe in how the supported organization(s) effectively operated, supervised, or

controlled the organization's activities. If the organization had more than one supported organization,

describe how the powers to appoint and/or remove directors or trustees were allocated among the supported

organizations and what conditions or restrictions, if any, applied to such powers during the tax year.

If "Yes," explain in

 how providing such benefit carried out the purposes of the supported organization(s) that operated,

supervised, or controlled the supporting organization.

If "No," describe in how control

or management of the supporting organization was vested in the same persons that controlled or managed

the supported organization(s).

 If "No," explain in how

the organization maintained a close and continuous working relationship with the supported organization(s).

If "Yes," describe in the role the organization's

supported organizations played in this regard.

Check the box next to the method that the organization used to satisfy the Integral Part Test during the year 

Complete below.

Complete below.

Describe in Part VI how you supported a government entity (see instructions).

If "Yes," then in 

 how these activities directly furthered their exempt purposes,

how the organization was responsive to those supported organizations, and how the organization determined

that these activities constituted substantially all of its activities.

 If "Yes," explain in the

reasons for the organization's position that its supported organization(s) would have engaged in these

activities but for the organization's involvement.

the role played by the organization in this regard.

Schedule A (Form 990 or 990-EZ) 2015 Page 

Has the organization accepted a gift or contribution from any of the following persons?

A person who directly or indirectly controls, either alone or together with persons described in (b) and (c)

below, the governing body of a supported organization?

A family member of a person described in (a) above?

A 35% controlled entity of a person described in (a) or (b) above? 

Did the directors, trustees, or membership of one or more supported organizations have the power to

regularly appoint or elect at least a majority of the organization's directors or trustees at all times during the

tax year? 

Did the organization operate for the benefit of any supported organization other than the supported

organization(s) that operated, supervised, or controlled the supporting organization? 

Were a majority of the organization's directors or trustees during the tax year also a majority of the directors

or trustees of each of the organization's supported organization(s)? 

Did the organization provide to each of its supported organizations, by the last day of the fifth month of the

organization's tax year, (i) a written notice describing the type and amount of support provided during the prior tax

year, (ii) a copy of the Form 990 that was most recently filed as of the date of notification, and (iii) copies of the

organization's governing documents in effect on the date of notification, to the extent not previously provided?

Were any of the organization's officers, directors, or trustees either (i) appointed or elected by the supported

organization(s) or (ii) serving on the governing body of a supported organization?

By reason of the relationship described in (2), did the organization's supported organizations have a

significant voice in the organization's investment policies and in directing the use of the organization's

income or assets at all times during the tax year? 

The organization satisfied the Activities Test. 

The organization is the parent of each of its supported organizations. 

The organization supported a governmental entity. 

Activities Test.

Did substantially all of the organization's activities during the tax year directly further the exempt purposes of

the supported organization(s) to which the organization was responsive? 

Did the activities described in (a) constitute activities that, but for the organization's involvement, one or more

of the organization's supported organization(s) would have been engaged in?

Parent of Supported Organizations. 

Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or

trustees of each of the supported organizations? Provide details in 

Did the organization exercise a substantial degree of direction over the policies, programs, and activities of each

of its supported organizations? If "Yes," describe in 

Part VI.

Part VI

Part VI

Part VI

Part VI

Part VI

(see instructions):

line 2

line 3

 Answer (a) and (b) below.

Part VI identify

those supported organizations and explain

Part VI

Answer (a) and (b) below.

Part VI.

Part VI

Part IV Supporting Organizations (continued)

Section B. Type I Supporting Organizations

Section C. Type II Supporting Organizations

Section D. All Type III Supporting Organizations

Section E. Type III Functionally-Integrated Supporting Organizations

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Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 20
532026

09-23-15

6

1 See instructions.

Section A - Adjusted Net Income

1

2

3

4

5

6

7

8

1

2

3

4

5

6

7

Adjusted Net Income 8

Section B - Minimum Asset Amount

1

2

3

4

5

6

7

8

a

b

c

d

e

1a

1b

1c

1d

2

3

4

5

6

7

8

Total 

Discount

Part VI

Minimum Asset Amount 

Section C - Distributable Amount

1

2

3

4

5

6

7

1

2

3

4

5

6

Distributable Amount.

Schedule A (Form 990 or 990-EZ) 2015

Schedule A (Form 990 or 990-EZ) 2015 Page 

Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov. 20, 1970. All

other Type III non-functionally integrated supporting organizations must complete Sections A through E.

(B) Current Year

(optional) (A) Prior Year

Net short-term capital gain

Recoveries of prior-year distributions

Other gross income (see instructions)

Add lines 1 through 3

Depreciation and depletion

Portion of operating expenses paid or incurred for production or

collection of gross income or for management, conservation, or

maintenance of property held for production of income (see instructions)

Other expenses (see instructions)

 (subtract lines 5, 6 and 7 from line 4)

(B) Current Year

(optional) (A) Prior Year

Aggregate fair market value of all non-exempt-use assets (see

instructions for short tax year or assets held for part of year):

Average monthly value of securities

Average monthly cash balances

Fair market value of other non-exempt-use assets

(add lines 1a, 1b, and 1c)

 claimed for blockage or other

factors (explain in detail in ):

Acquisition indebtedness applicable to non-exempt-use assets

Subtract line 2 from line 1d

Cash deemed held for exempt use. Enter 1-1/2% of line 3 (for greater amount,

see instructions).

Net value of non-exempt-use assets (subtract line 4 from line 3)

Multiply line 5 by .035

Recoveries of prior-year distributions

(add line 7 to line 6)

Current Year

Adjusted net income for prior year (from Section A, line 8, Column A)

Enter 85% of line 1

Minimum asset amount for prior year (from Section B, line 8, Column A)

Enter greater of line 2 or line 3

Income tax imposed in prior year

 Subtract line 5 from line 4, unless subject to

emergency temporary reduction (see instructions)

Check here if the current year is the organization's first as a non-functionally-integrated Type III supporting organization (see

instructions).

Part V Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations 

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PUBLIC INSPECTION COPY 06/26/17 21
532027

09-23-15

7

Section D - Distributions Current Year

1

2

3

4

5

6

7

8

9

10

Part VI

Total annual distributions.

Part VI

(i)

Excess Distributions

(ii)

Underdistributions

Pre-2015

(iii)

Distributable

Section E - Distribution Allocations (see instructions) Amount for 2015

1

2

3

4

5

6

7

8

a

b

c

d

e

f

g

h

i

j

Total 

a

b

c

Excess distributions carryover to 2016. 

a

b

c

d

e

Schedule A (Form 990 or 990-EZ) 2015

Schedule A (Form 990 or 990-EZ) 2015 Page 

Amounts paid to supported organizations to accomplish exempt purposes

Amounts paid to perform activity that directly furthers exempt purposes of supported

organizations, in excess of income from activity

Administrative expenses paid to accomplish exempt purposes of supported organizations

Amounts paid to acquire exempt-use assets

Qualified set-aside amounts (prior IRS approval required)

Other distributions (describe in ). See instructions.

 Add lines 1 through 6.

Distributions to attentive supported organizations to which the organization is responsive

(provide details in ). See instructions.

Distributable amount for 2015 from Section C, line 6

Line 8 amount divided by Line 9 amount

Distributable amount for 2015 from Section C, line 6

Underdistributions, if any, for years prior to 2015

(reasonable cause required-see instructions)

Excess distributions carryover, if any, to 2015:

From 2013

From 2014

of lines 3a through e

Applied to underdistributions of prior years

Applied to 2015 distributable amount

Carryover from 2010 not applied (see instructions)

Remainder. Subtract lines 3g, 3h, and 3i from 3f.

Distributions for 2015 from Section D,

line 7: $

Applied to underdistributions of prior years

Applied to 2015 distributable amount

Remainder. Subtract lines 4a and 4b from 4.

Remaining underdistributions for years prior to 2015, if

any. Subtract lines 3g and 4a from line 2 (if amount

greater than zero, see instructions).

Remaining underdistributions for 2015. Subtract lines 3h

and 4b from line 1 (if amount greater than zero, see

instructions).

Add lines 3j

and 4c.

Breakdown of line 7:

Excess from 2013

Excess from 2014

Excess from 2015

Part V Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations (continued) 

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 22
532028 09-23-15

8

Schedule A (Form 990 or 990-EZ) 2015

Schedule A (Form 990 or 990-EZ) 2015 Page 

Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; Part III, line 12;

Part IV, Section A, lines 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11a, 11b, and 11c; Part IV, Section B, lines 1 and 2; Part IV, Section C,

line 1; Part IV, Section D, lines 2 and 3; Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b; Part V, line 1; Part V, Section B, line 1e; Part V,

Section D, lines 5, 6, and 8; and Part V, Section E, lines 2, 5, and 6. Also complete this part for any additional information.

(See instructions.)

Part VI Supplemental Information. 

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 23
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

523451

10-26-15

Schedule B (Form 990, 990-EZ, or 990-PF) (2015)

(Form 990, 990-EZ,

or 990-PF) | Attach to Form 990, Form 990-EZ, or Form 990-PF.

| Information about Schedule B (Form 990, 990-EZ, or 990-PF) and

its instructions is at .

Name of the organization Employer identification number

Organization type

Filers of: Section:

 not

 General Rule Special Rule.

Note. 

General Rule

Special Rules

(1) (2) 

General Rule 

Caution.

 must

For Paperwork Reduction Act Notice, see the Instructions for Form 990, 990-EZ, or 990-PF.

exclusively 

exclusively

 exclusively

nonexclusively

(check one):

Form 990 or 990-EZ 501(c)( ) (enter number) organization

4947(a)(1) nonexempt charitable trust treated as a private foundation

527 political organization

Form 990-PF 501(c)(3) exempt private foundation

4947(a)(1) nonexempt charitable trust treated as a private foundation

501(c)(3) taxable private foundation

Check if your organization is covered by the or a

Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.

For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, contributions totaling $5,000 or more (in money or

property) from any one contributor. Complete Parts I and II. See instructions for determining a contributor's total contributions.

For an organization described in section 501(c)(3) filing Form 990 or 990-EZ that met the 33 1/3% support test of the regulations under

sections 509(a)(1) and 170(b)(1)(A)(vi), that checked Schedule A (Form 990 or 990-EZ), Part II, line 13, 16a, or 16b, and that received from

any one contributor, during the year, total contributions of the greater of $5,000 or 2% of the amount on (i) Form 990, Part VIII, line 1h,

or (ii) Form 990-EZ, line 1. Complete Parts I and II.

For an organization described in section 501(c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one contributor, during the

year, total contributions of more than $1,000 for religious, charitable, scientific, literary, or educational purposes, or for

the prevention of cruelty to children or animals. Complete Parts I, II, and III.

For an organization described in section 501(c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one contributor, during the

year, contributions for religious, charitable, etc., purposes, but no such contributions totaled more than $1,000. If this box

is checked, enter here the total contributions that were received during the year for an religious, charitable, etc.,

purpose. Do not complete any of the parts unless the applies to this organization because it received 

religious, charitable, etc., contributions totaling $5,000 or more during the year ~~~~~~~~~~~~~~~ | $

An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990, 990-EZ, or 990-PF),

but it answer "No" on Part IV, line 2, of its Form 990; or check the box on line H of its Form 990-EZ or on its Form 990-PF, Part I, line 2, to

certify that it does not meet the filing requirements of Schedule B (Form 990, 990-EZ, or 990-PF).

LHA

www.irs.gov/form990

Schedule B Schedule of Contributors

2015

†

†

†

†

†

†

†

†

†

†

Smithsonian Institution 53-0206027

X 3

X

PUBLIC INSPECTION COPY 06/26/17 24

523453 10-26-15

Name of organization Employer identification number

Schedule B (Form 990, 990-EZ, or 990-PF) (2015)

(a)

No.

from

Part I

(c)

FMV (or estimate)

(see instructions)

(b)

Description of noncash property given

(d)

Date received

(a)

No.

from

Part I

(c)

FMV (or estimate)

(see instructions)

(b)

Description of noncash property given

(d)

Date received

(a)

No.

from

Part I

(c)

FMV (or estimate)

(see instructions)

(b)

Description of noncash property given

(d)

Date received

(a)

No.

from

Part I

(c)

FMV (or estimate)

(see instructions)

(b)

Description of noncash property given

(d)

Date received

(a)

No.

from

Part I

(c)

FMV (or estimate)

(see instructions)

(b)

Description of noncash property given

(d)

Date received

(a)

No.

from

Part I

(c)

FMV (or estimate)

(see instructions)

(b)

Description of noncash property given

(d)

Date received

Schedule B (Form 990, 990-EZ, or 990-PF) (2015) Page 

(see instructions). Use duplicate copies of Part II if additional space is needed.

$

$

$

$

$

$

3

Part II Noncash Property

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 26
 (Enter this info. once.)

For organizations

completing Part III, enter the total of exclusively religious, charitable, etc., contributions of $1,000 or less for the year.

523454 10-26-15

Name of organization Employer identification number

religious, charitable, etc., contributions to organizations described in section 501(c)(7), (8), or (10) that total more than $1,000 for

the year from any one contributor. (a) (e) and 

Schedule B (Form 990, 990-EZ, or 990-PF) (2015)

 

(a) No.

from

Part I (b) Purpose of gift (c) Use of gift (d) Description of how gift is held

(e) Transfer of gift

Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee

(a) No.

from

Part I (b) Purpose of gift (c) Use of gift (d) Description of how gift is held

(e) Transfer of gift

Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee

(a) No.

from

Part I (b) Purpose of gift (c) Use of gift (d) Description of how gift is held

(e) Transfer of gift

Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee

(a) No.

from

Part I (b) Purpose of gift (c) Use of gift (d) Description of how gift is held

(e) Transfer of gift

Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee

Complete columns through the following line entry. 

Schedule B (Form 990, 990-EZ, or 990-PF) (2015) Page 

| $

Use duplicate copies of Part III if additional space is needed.

Exclusively

4

Part III

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 27
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532051

11-02-15

Held at the End of the Tax Year

(Form 990) | Complete if the organization answered "Yes" on Form 990,

Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. | Attach to Form 990. | Information about Schedule D (Form 990) and its instructions is at 

Open to Public

Inspection

Name of the organization Employer identification number

(a) (b) 

1

2

3

4

5

6

Yes No

Yes No

1

2

3

4

5

6

7

8

9

a

b

c

d

2a

2b

2c

2d

Yes No

Yes No

1

2

a

b

(i)

(ii)

a

b

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule D (Form 990) 2015

Complete if the

organization answered "Yes" on Form 990, Part IV, line 6.

Donor advised funds Funds and other accounts

Total number at end of year

Aggregate value of contributions to (during year)

Aggregate value of grants from (during year)

Aggregate value at end of year

~~~~~~~~~~~~~~~

~~~~

~~~~~~

~~~~~~~~~~~~~

Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds

are the organization's property, subject to the organization's exclusive legal control?~~~~~~~~~~~~~~~~~~

Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only

for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring

impermissible private benefit? 

Complete if the organization answered "Yes" on Form 990, Part IV, line 7.

Purpose(s) of conservation easements held by the organization (check all that apply).

Preservation of land for public use (e.g., recreation or education)

Protection of natural habitat

Preservation of open space

Preservation of a historically important land area

Preservation of a certified historic structure

Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last

day of the tax year.

Total number of conservation easements

Total acreage restricted by conservation easements

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Number of conservation easements on a certified historic structure included in (a)

Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure

listed in the National Register

~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the tax

year |

Number of states where property subject to conservation easement is located |

Does the organization have a written policy regarding the periodic monitoring, inspection, handling of

violations, and enforcement of the conservation easements it holds? ~~~~~~~~~~~~~~~~~~~~~~~~~

Staff and volunteer hours devoted to monitoring, inspecting, handling of violations, and enforcing conservation easements during the year 

|

Amount of expenses incurred in monitoring, inspecting, handling of violations, and enforcing conservation easements during the year 

| $

Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i)

and section 170(h)(4)(B)(ii)? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and

include, if applicable, the text of the footnote to the organization's financial statements that describes the organization's accounting for

conservation easements.

Complete if the organization answered "Yes" on Form 990, Part IV, line 8.

If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art,

historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII,

the text of the footnote to its financial statements that describes these items.

If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical

treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts

relating to these items:

Revenue included on Form 990, Part VIII, line 1

Assets included in Form 990, Part X

~~~~~~~~~~~~~~~~~~~~~~~~~~~~ | $

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ | $

If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide

the following amounts required to be reported under SFAS 116 (ASC 958) relating to these items:

Revenue included on Form 990, Part VIII, line 1

Assets included in Form 990, Part X

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ | $

 | $

LHA

www.irs.gov/form990.

Part I Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. 

Part II Conservation Easements. 

Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.

SCHEDULE D Supplemental Financial Statements 2015

† †

† †

† †

† †

†

† †

† †

Smithsonian Institution 53-0206027

X

1

88.25

0

0

0

1

X

0

0.

PUBLIC INSPECTION COPY 06/26/17 28
532052

09-21-15

3

4

5

a

b

c

d

e

Yes No

1

2

a

b

c

d

e

f

a

b

Yes No

1c

1d

1e

1f

Yes No

(a) (b) (c) (d) (e) 

1

2

3

4

a

b

c

d

e

f

g

a

b

c

a

b

Yes No

(i)

(ii)

3a(i)

3a(ii)

3b

(a) (b) (c) (d) 

1a

b

c

d

e

Total. 

Schedule D (Form 990) 2015

(continued)

(Column (d) must equal Form 990, Part X, column (B), line 10c.)

Two years back Three years back Four years back

Schedule D (Form 990) 2015 Page 

Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection items

(check all that apply):

Public exhibition

Scholarly research

Preservation for future generations

Loan or exchange programs

Other

Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part XIII.

During the year, did the organization solicit or receive donations of art, historical treasures, or other similar assets

to be sold to raise funds rather than to be maintained as part of the organization's collection? 

Complete if the organization answered "Yes" on Form 990, Part IV, line 9, or

reported an amount on Form 990, Part X, line 21.

Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included

on Form 990, Part X?

If "Yes," explain the arrangement in Part XIII and complete the following table:

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Amount

Beginning balance

Additions during the year

Distributions during the year

Ending balance

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability?

If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided on Part XIII

~~~~~



Complete if the organization answered "Yes" on Form 990, Part IV, line 10.

Current year Prior year

Beginning of year balance

Contributions

Net investment earnings, gains, and losses

Grants or scholarships

~~~~~~~

~~~~~~~~~~~~~~

~~~~~~~~~

Other expenditures for facilities

and programs

Administrative expenses

End of year balance

~~~~~~~~~~~~~

~~~~~~~~

~~~~~~~~~~

Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:

Board designated or quasi-endowment

Permanent endowment

Temporarily restricted endowment

The percentages on lines 2a, 2b, and 2c should equal 100%.

| %

| %

| %

Are there endowment funds not in the possession of the organization that are held and administered for the organization

by:

unrelated organizations

related organizations

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

If "Yes" on line 3a(ii), are the related organizations listed as required on Schedule R?

Describe in Part XIII the intended uses of the organization's endowment funds.

~~~~~~~~~~~~~~~~~~~~

Complete if the organization answered "Yes" on Form 990, Part IV, line 11a. See Form 990, Part X, line 10.

Description of property Cost or other

basis (investment)

Cost or other

basis (other)

Accumulated

depreciation

Book value

Land

Buildings

Leasehold improvements

~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~

~~~~~~~~~~

Equipment

Other

~~~~~~~~~~~~~~~~~



Add lines 1a through 1e.  |

2

Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets 

Part IV Escrow and Custodial Arrangements. 

Part V Endowment Funds. 

Part VI Land, Buildings, and Equipment.

† †

† †

†

† †

† †

† †

†

Smithsonian Institution 53-0206027

X X

X

X

X

1,288,235,067. 1,299,208,124. 1,191,094,313. 1,074,356,857. 971,279,043.

52,940,072. 49,265,188. 37,894,600. 34,861,990. 34,505,912.

99,512,052. 2,426,301. 130,483,529. 139,875,394. 121,707,182.

67,486,808. 59,663,483. 57,266,941. 55,408,994. 51,207,144.

4,445,386. 3,001,063. 2,997,377. 2,590,934. 1,928,136.

1,368,754,997. 1,288,235,067. 1,299,208,124. 1,191,094,313. 1,074,356,857.

46.00

33.41

20.59

X

X

12,582,149. 12,582,149.

3,481,662,916. 1,680,696,796. 1,800,966,120.

129,317,168. 72,611,066. 56,706,102.

390,233,460. 272,527,196. 117,706,264.

344,124,895. 344,124,895.

2,332,085,530.

PUBLIC INSPECTION COPY 06/26/17 29
(including name of security)

532053

09-21-15

Total. 

Total. 

(a) (b) (c) 

(1)

(2)

(3)

(a) (b) (c) 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(a) (b) 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

Total. 

1. (a) (b) 

Total. 

2.

Schedule D (Form 990) 2015

(Column (b) must equal Form 990, Part X, col. (B) line 15.)

(Column (b) must equal Form 990, Part X, col. (B) line 25.)

Description of security or category 

(Col. (b) must equal Form 990, Part X, col. (B) line 12.) |

(Col. (b) must equal Form 990, Part X, col. (B) line 13.) |

Schedule D (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 11b. See Form 990, Part X, line 12.

Book value Method of valuation: Cost or end-of-year market value

Financial derivatives

Closely-held equity interests

Other

~~~~~~~~~~~~~~~

~~~~~~~~~~~

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

Complete if the organization answered "Yes" on Form 990, Part IV, line 11c. See Form 990, Part X, line 13.

Description of investment Book value Method of valuation: Cost or end-of-year market value

Complete if the organization answered "Yes" on Form 990, Part IV, line 11d. See Form 990, Part X, line 15.

Description Book value

 |

Complete if the organization answered "Yes" on Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.

Description of liability Book value

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

Federal income taxes

 |

Liability for uncertain tax positions. In Part XIII, provide the text of the footnote to the organization's financial statements that reports the

organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII

3

Part VII Investments - Other Securities.

Part VIII Investments - Program Related.

Part IX Other Assets.

Part X Other Liabilities.

†

Smithsonian Institution 53-0206027

Global & Emerging Markets 368,682,242. End-of-Year Market Value

Marketable Alternatives 281,915,714. End-of-Year Market Value

Private Equity & Venture Capital 277,953,294. End-of-Year Market Value

Natural Resources 73,042,036. End-of-Year Market Value

Real Estate 103,644,655. End-of-Year Market Value

Fixed Income 21,970,203. End-of-Year Market Value

1,127,208,144.

Environmental remediation obligation 51,380,604.

51,380,604.

X

PUBLIC INSPECTION COPY 06/26/17 30
532054

09-21-15

1

2

3

4

5

1

a

b

c

d

e

2a

2b

2c

2d

2a 2d 2e

2e 1 3

a

b

c

4a

4b

4a 4b

3 4c. 

4c

5

1

2

3

4

5

1

a

b

c

d

e

2a

2b

2c

2d

2a 2d

2e 1

2e

3

a

b

c

4a

4b

4a 4b

3 4c. 

4c

5

Schedule D (Form 990) 2015

(This must equal Form 990, Part I, line 12.)

(This must equal Form 990, Part I, line 18.)

Schedule D (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 12a.

Total revenue, gains, and other support per audited financial statements

Amounts included on line 1 but not on Form 990, Part VIII, line 12:

~~~~~~~~~~~~~~~~~~~

Net unrealized gains (losses) on investments

Donated services and use of facilities

Recoveries of prior year grants

Other (Describe in Part XIII.)

~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Add lines through ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Subtract line from line ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Amounts included on Form 990, Part VIII, line 12, but not on line 1:

Investment expenses not included on Form 990, Part VIII, line 7b

Other (Describe in Part XIII.)

~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Add lines and 

Total revenue. Add lines and 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~



Complete if the organization answered "Yes" on Form 990, Part IV, line 12a.

Total expenses and losses per audited financial statements

Amounts included on line 1 but not on Form 990, Part IX, line 25:

~~~~~~~~~~~~~~~~~~~~~~~~~~

Donated services and use of facilities

Prior year adjustments

Other losses

Other (Describe in Part XIII.)

~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Add lines through 

Subtract line from line 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Amounts included on Form 990, Part IX, line 25, but not on line 1:

Investment expenses not included on Form 990, Part VIII, line 7b

Other (Describe in Part XIII.)

~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~

Add lines and 

Total expenses. Add lines and 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~



Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part IV, lines 1b and 2b; Part V, line 4; Part X, line 2; Part XI,

lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.

4

Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return.

Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return.

Part XIII Supplemental Information.

Smithsonian Institution 53-0206027

1,577,109,649.

55,074,640.

9,367,394.

40,070,107.

104,512,141.

1,472,597,508.

2,491,374.

-25,458,500.

-22,967,126.

1,449,630,382.

1,384,748,406.

9,367,394.

71,345,346.

80,712,740.

1,304,035,666.

2,491,374.

1,167,131.

3,658,505.

1,307,694,171.

Part II, Line 3:

Smithsonian Institution did not modify, transfer, release, extinguish or

terminate any conservation easements during the year.

Part II, Line 6

The Smithsonian Environmental Research Center (SERC) is located on 2,650

acres of land on the Chesapeake Bay in southern Maryland spanning

forests, wetlands, marshes, and 12 miles of protected shoreline. The

site serves as a natural laboratory for long-term and cutting-edge

ecological research. The Smithsonian has a conservation eastment

associated with property that is immediately adjacent to SERC land owned

by the Institution. Facilities and security staff visit the area

regularly, and are thus able to report any unusual activity on the land

PUBLIC INSPECTION COPY 06/26/17 31
532055

09-21-15

5

Schedule D (Form 990) 2015

(continued)

Schedule D (Form 990) 2015 Page 

Part XIII Supplemental Information 

Smithsonian Institution 53-0206027

subject to the easement. The organization does not separately track the

hours and expenses associated with monitoring the property related to the

easement.

Part II, Line 9:

The Smithsonian Institution's conservation easement does not appear in

the Institution's audited financial statements.

Part III, line 1a:

In conformity with the practice generally followed by museums, no value is

assigned to the collections in the statement of financial position.

Purchases of collection items are recognized as reductions in net assets

in the period of acquisition. Proceeds from sales of deaccessioned

collection items or insurance recoveries for lost or destroyed collection

items are recognized as increases in the approriate net asset class and

are designated for future collection acquisitions.

Part III, line 4:

The acquisition, preservation, management, and study of collections are

fundamental to the Smithsonian's mission to increase and diffuse knowledge

and have been the foundation upon which it rests. Smithsonian collections

are a national and global resource accessed each year by millions of

visitors and researchers who use traditional methods and cutting-edge

technologies to explore subjects from aeronautics to zoology. Through its

collections, the Smithsonian presents the astonishing record of American

and international artistic, historical, cultural, and scientific

achievement, with a scope and depth no other institution in the world can

match.

Smithsonian collections contribute to population recovery of endangered

PUBLIC INSPECTION COPY 06/26/17 32
532055

09-21-15

5

Schedule D (Form 990) 2015

(continued)

Schedule D (Form 990) 2015 Page 

Part XIII Supplemental Information 

Smithsonian Institution 53-0206027

species, advances in reproductive biology, genome resource banking,

medical research, forensic analysis, bio-security, and conservation policy

worldwide.

Assembled over more than 165 years, the collections are central to the

core activities and to the vitality and significance of the Smithsonian.

Part V, line 4:

The Endowment includes approximately 600 individual endowment funds. The

Endowment provides stable financial support for scholarship, research

activities, other programs, acquisitions of collections and other

Institutional activities. It plays a critical role in enabling the

Institution to achieve its mission - "the increase and diffusion of

knowledge." The Endowment includes both donor-restricted endowment funds

and funds designated by the Board of Regents to function as endowments.

Classification and reporting of net assets associated with the Endowment

reflect donor-imposed restrictions.

Part X, Line 2:

The Smithsonian recognizes the effect of income tax positions only if

those positions are more likely than not of being sustained. The

Smithsonian does not believe its financial statements include any

uncertain tax positions.

Part XI, Line 2d - Other Adjustments:

Deferred gain on building 3,908,586.

Change in net assets of related organizations 131,546.

Change in minority interest - SNI/SI Networks LLC 2,433,900.

PUBLIC INSPECTION COPY 06/26/17 33
532055

09-21-15

5

Schedule D (Form 990) 2015

(continued)

Schedule D (Form 990) 2015 Page 

Part XIII Supplemental Information 

Smithsonian Institution 53-0206027

Imputed benefit revenue 44,763,206.

Increase in allowance for uncollectible pledges netted -11,167,131.

 against contribution revenue on audited financial statements

Total to Schedule D, Part XI, Line 2d 40,070,107.

Part XI, Line 4b - Other Adjustments:

Direct expenses - fundraising -2,267,022.

Direct expenses - cost of goods sold -23,191,478.

Total to Schedule D, Part XI, Line 4b -25,458,500.

Part XII, Line 2d - Other Adjustments:

Direct expenses - fundraising 2,267,022.

Direct expenses - cost of goods sold 23,191,478.

Imputed benefit costs 44,763,206.

Environmental remediation liability adjustment 1,123,640.

Total to Schedule D, Part XII, Line 2d 71,345,346.

Part XII, Line 4b - Other Adjustments:

Increase in allowance for uncollectible pledges netted 1,167,131.

 against contribution revenue on audited financial statements

PUBLIC INSPECTION COPY 06/26/17 34
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532071

10-01-15

| Complete if the organization answered "Yes" on Form 990, Part IV, line 14b, 15, or 16.

| Attach to Form 990.

| Information about Schedule F (Form 990) and its instructions is at Open to Public 

Inspection

Employer identification number

1

2

3

For grantmakers. 

Yes No

For grantmakers. 

(a) (b) (c) (d) (e) (f) 

3 a

b

c Totals 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule F (Form 990) 2015

Name of the organization

Complete if the organization answered "Yes" on

Form 990, Part IV, line 14b.

Does the organization maintain records to substantiate the amount of its grants and other assistance,

the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? ~~

Describe in Part V the organization's procedures for monitoring the use of its grants and other assistance outside the

United States.

Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)

Region Number of

offices

in the region

Number of

employees, agents, and

independent

contractors

in region

Activities conducted in region

(by type) (e.g., fundraising, program

services, investments, grants to

recipients located in the region)

If activity listed in (d)

is a program service,

describe specific type

of service(s) in region

Total

expenditures

for and

investments

in region

Sub-total ~~~~~~

Total from continuation

sheets to Part I ~~~

(add lines 3a

and 3b) 

LHA

www.irs.gov/form990.

(Form 990)

Part I General Information on Activities Outside the United States. 

SCHEDULE F Statement of Activities Outside the United States 2015

† †

Smithsonian Institution 53-0206027

X

Academic appointment

Central America and stipends to recipients

the Caribbean 0 0 located in the region 1,952,019.

Academic appointment

stipends to recipients

East Asia & Pacific 0 0 located in the region 1,243,496.

Academic appointment

stipends to recipients

Europe 0 0 located in the region 2,349,314.

Academic appointment

Middle East & North stipends to recipients

Africa 0 0 located in the region 114,985.

Academic appointment

stipends to recipients

North America 0 0 located in the region 247,498.

Academic appointment

Russia & Neighboring stipends to recipients

States 0 0 located in the region 105,265.

Academic appointment

stipends to recipients

South America 0 0 located in the region 280,817.

Academic appointment

stipends to recipients

South Asia 0 0 located in the region 104,452.

0 0 6,397,846.

10 617 775,538,140.

10 617 781,935,986.

PUBLIC INSPECTION COPY 06/26/17 35
532181

04-01-15

(a) (b) (c) (d) (e) (f) 

Totals

Schedule F (Form 990) Page 1

 (Schedule F (Form 990), Part I, line 3)

Region Number of

offices

in the region

Number of

employees or

agents in

region

Activities conducted in region

(by type) (i.e., fundraising,

program services, grants to

recipients located in the region)

If activity listed in (d)

is a program service,

describe specific type

of service(s) in region

Total

expenditures

for region

 |

Part I Continuation of Activities per Region.

Smithsonian Institution 53-0206027

Academic appointment

stipends to recipients

Sub-Saharan Africa 0 0 located in the region 130,314.

Travel related to

Central America and research,conferences and

the Caribbean 0 0 Program Services training 599,041.

Travel related to

research, conferences

East Asia & Pacific 0 0 Program Services and training 1,055,397.

Travel related to

research, conferences

Europe 0 0 Program Services and training 1,985,563.

Travel related to

Middle East & North research, conferences

Africa 0 0 Program Services and training 109,576.

Travel related to

research, conferences

North America 0 0 Program Services and training 409,800.

Travel related to

Russia & Neighboring research, conferences

States 0 0 Program Services and training 118,167.

Travel related to

research, conferences

South America 0 0 Program Services and training 364,245.

Travel related to

research, conferences

South Asia 0 0 Program Services and training 120,379.

Travel related to

research, conferences

Sub-Saharan Africa 0 0 Program Services and training 546,293.

PUBLIC INSPECTION COPY 06/26/17 36
532181

04-01-15

(a) (b) (c) (d) (e) (f) 

Totals

Schedule F (Form 990) Page 1

 (Schedule F (Form 990), Part I, line 3)

Region Number of

offices

in the region

Number of

employees or

agents in

region

Activities conducted in region

(by type) (i.e., fundraising,

program services, grants to

recipients located in the region)

If activity listed in (d)

is a program service,

describe specific type

of service(s) in region

Total

expenditures

for region

 |

Part I Continuation of Activities per Region.

Smithsonian Institution 53-0206027

Central America and

the Caribbean 7 593 Program Services Research Facilities 25,596,686.

Design and implement a

biodiveristy monitoring

South America 1 7 Program services progam 850,334.

Develop biodiversity

action plan to conserve

amazonian tropical

Sub-Saharan Africa 1 8 Program Services ecosystems 558,126.

Tropical Research/Forest

East Asia & Pacific 0 0 Program Services and Wildlife 888,893.

Joint program with USAID

for community-based

Russia & Neighboring tourism development in

States 1 9 Program Services Armenia 766,346.

Tropical Research/Forest

South America 0 0 Program Services and Wildlife 163,512.

Central America and

the Caribbean 0 0 Investments 622,007,147.

Europe 0 0 Investments 73,108,974.

East Asia & Pacific 0 0 Investments 32,118,247.

Sub-Saharan Africa 0 0 Investments 10,022,027.

PUBLIC INSPECTION COPY 06/26/17 37
532181

04-01-15

(a) (b) (c) (d) (e) (f) 

Totals

Schedule F (Form 990) Page 1

 (Schedule F (Form 990), Part I, line 3)

Region Number of

offices

in the region

Number of

employees or

agents in

region

Activities conducted in region

(by type) (i.e., fundraising,

program services, grants to

recipients located in the region)

If activity listed in (d)

is a program service,

describe specific type

of service(s) in region

Total

expenditures

for region

 |

Part I Continuation of Activities per Region.

Smithsonian Institution 53-0206027

North America 0 0 Investments 4,019,073.

10 617 775,538,140.

PUBLIC INSPECTION COPY 06/26/17 38
532072

10-01-15

2

Part II Grants and Other Assistance to Organizations or Entities Outside the United States. 

(a) (b) (c) (d) (e) (f) 1 (g) (h) (i) 

2

3

Schedule F (Form 990) 2015

IRS code section

and EIN (if applicable)

Schedule F (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 15, for any

recipient who received more than $5,000. Part II can be duplicated if additional space is needed.

Name of organization Region Purpose of

grant

Amount

of cash grant

Manner of

cash disbursement

Amount of

non-cash

assistance

Description

of non-cash

assistance

Method of

valuation (book, FMV,

appraisal, other)

Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by

the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter ~~~~~~~~~~~~~~~~~~~~~~~ |

Enter total number of other organizations or entities  |

Smithsonian Institution 53-0206027

Academic appointment

Europe stipend 5,000.EFT 0.

Academic appointment

Russia stipend 29,270.EFT 0.

2

0

PUBLIC INSPECTION COPY 06/26/17 39
532073

10-01-15

3

Part III Grants and Other Assistance to Individuals Outside the United States. 

(c) (d) (e) (f) (g) (h) (a) (b) 

Schedule F (Form 990) 2015

Schedule F (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 16.

Part III can be duplicated if additional space is needed.

Number of

recipients

Amount of

cash grant

Manner of

cash disbursement

Amount of

non-cash

assistance

Description of

non-cash assistance

Method of

valuation

(book, FMV,

appraisal, other)

Type of grant or assistance Region

Smithsonian Institution 53-0206027

Central America

Academic Appointment Stipends and the Caribbean 252 1,952,019.Direct Deposits & Checks 0.

East Asia and the

Academic Appointment Stipends Pacific 50 1,243,496.Direct Deposits & Checks 0.

Academic Appointment Stipends Europe 88 2,344,314.Direct Deposits & Checks 0.

Middle East and

Academic Appointment Stipends North Africa 7 114,985.Direct Deposits & Checks 0.

Academic Appointment Stipends North America 20 247,498.Direct Deposits & Checks 0.

Russia and

Neighboring

Academic Appointment Stipends States 3 75,995.Direct Deposits & Checks 0.

Academic Appointment Stipends South America 21 280,817.Direct Deposits & Checks 0.

Academic Appointment Stipends South Asia 5 104,452.Direct Deposits & Checks 0.

Sub-Saharan

Academic Appointment Stipends Africa 10 130,314.Direct Deposits & Checks 0.

PUBLIC INSPECTION COPY 06/26/17 40
532074

10-01-15

4

1

2

3

4

5

6

Schedule F (Form 990) 2015

 If "Yes," the

organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign

Corporation (see Instructions for Form 926)

If "Yes," the organization

may be required to separately file Form 3520, Annual Return To Report Transactions With Foreign

Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign

Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A; do not file with Form 990)

If "Yes,"

the organization may be required to file Form 5471, Information Return of U.S. Persons With Respect to

Certain Foreign Corporations (see Instructions for Form 5471)

If "Yes," the organization may be required to file Form 8621,

Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund

(see Instructions for Form 8621)

If "Yes,"

the organization may be required to file Form 8865, Return of U.S. Persons With Respect to Certain

Foreign Partnerships (see Instructions for Form 8865)

 If

"Yes," the organization may be required to separately file Form 5713, International Boycott Report (see

Instructions for Form 5713; do not file with Form 990)

Schedule F (Form 990) 2015 Page 

Was the organization a U.S. transferor of property to a foreign corporation during the tax year?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No

Did the organization have an interest in a foreign trust during the tax year? 

~~~~~~~~~~ Yes No

Did the organization have an ownership interest in a foreign corporation during the tax year? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No

Was the organization a direct or indirect shareholder of a passive foreign investment company or a

qualified electing fund during the tax year? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No

Did the organization have an ownership interest in a foreign partnership during the tax year? 

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No

Did the organization have any operations in or related to any boycotting countries during the tax year?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No

Part IV Foreign Forms

† †

† †

† †

† †

† †

† †

Smithsonian Institution 53-0206027

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 41
532075 10-01-15

5

Schedule F (Form 990) 2015

Schedule F (Form 990) 2015 Page 

Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of

investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c)

(estimated number of recipients), as applicable. Also complete this part to provide any additional information.

Part V Supplemental Information

Smithsonian Institution 53-0206027

Part I, Line 2:

The Office of Fellowships has central management and administrative

responsibility for the Smithsonian programs of research fellowships and

other academic appointments for undergraduate, graduate students,

postdoctoral and senior scholars. The Smithsonian Institution Fellowship

Program is a competitive fellowship program for graduate and postdoctoral

fellows, who apply to conduct research at the Institution with research

staff serving as advisors. The review process is made up of disciplinary

committees comprised of the Institution's staff who evaluate the

candidates and then select the fellows. There are other competitive and

non-competitive fellowships for visiting scholar and student appointees

selected through the Smithsonian units that go through a variety of other

selection processes before an award is made. An official

letter/agreement is provided to each award recipient identifying the

award title, dates of tenure, stipend allowances, and required

responsibilities for holding this position. All recipients either will

identify a financial institution for receipt of their monetary award or

they will receive US Treasury checks. Depending on the tenure of the

appointment, payments can range from one lump sum, biweekly payments or

monthly payments. Most fellowship appointments are awarded for one to

two years. On occasion, the Smithsonian Institution has visiting

scholars or fellows who are conducting research in another country.

Payments are usually submitted as stated above, however, on occasion,

there may be one or two who request that their payments be sent to the

country of their research. At the end of tenure, a final report of their

research accomplishments is provided for our records. Smithsonian

PUBLIC INSPECTION COPY 06/26/17 42
532075 10-01-15

5

Schedule F (Form 990) 2015

Schedule F (Form 990) 2015 Page 

Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of

investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c)

(estimated number of recipients), as applicable. Also complete this part to provide any additional information.

Part V Supplemental Information

Smithsonian Institution 53-0206027

research staff who serve as advisors to these fellows, students and

scholars are usually in the field during their tenure. The eight

Smithsonian research centers located in the United States and one located

in Panama monitor the progress of their fellows especially those fellows

in other countries, and the administrative management of funds is managed

through the Institution's central administration for accountability.

Part I, Line 3:

Program services for travel related to research, conferences and training

is for travel by SI employees, research associates, or invitational

travelers (i.e., individuals who are not SI employees). Only travel

essential to the performance of official Smithsonian business and for

which travel-related expenses are to be paid by the Smithsonian, can be

approved, authorized, and reimbursed.

Investments in regions include investments in foreign partnerships and

foreign corporations. The foreign region is determined by the country

whose laws govern the investment entity. The value reported represents

the fair market value of the investment at the end of the fiscal year.

Per Form 990 instructions, stipends are reported on Schedule F if the

person receiving the stipend is living or residing outside the United

States at the time the stipend is paid or distributed. However, many of

these stipend recipients later traveled to the Smithsonian in the United

States to perform their research.

PUBLIC INSPECTION COPY 06/26/17 43
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

Did

fundraiser

have custody

or control of contributions?

532081

09-14-15

 Information about Schedule G (Form 990 or 990-EZ) and its instructions is at

(Form 990 or 990-EZ) Complete if the organization answered "Yes" on Form 990, Part IV, lines 17, 18, or 19, or if the

organization entered more than $15,000 on Form 990-EZ, line 6a.

| Attach to Form 990 or Form 990-EZ. Open to Public

| Inspection

Employer identification number

1

a

b

c

d

a

b

e

f

g

2

Yes No

(i) (ii) 

(iii) (iv) (v) 

(i)

(vi) 

Yes No

Total

3

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule G (Form 990 or 990-EZ) 2015

Name of the organization

Complete if the organization answered "Yes" on Form 990, Part IV, line 17. Form 990-EZ filers are not

required to complete this part.

Indicate whether the organization raised funds through any of the following activities. Check all that apply.

Mail solicitations

Internet and email solicitations

Phone solicitations

In-person solicitations

Solicitation of non-government grants

Solicitation of government grants

Special fundraising events

Did the organization have a written or oral agreement with any individual (including officers, directors, trustees or

key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services?

If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be

compensated at least $5,000 by the organization.

Name and address of individual

or entity (fundraiser) Activity Gross receiptsfrom activity

Amount paid

to (or retained by)

fundraiser

listed in col. 

Amount paid

to (or retained by)

organization

 |

List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration

or licensing.

LHA

 www.irs.gov/form990.

SCHEDULE G Supplemental Information Regarding Fundraising or Gaming Activities

Fundraising Activities. Part I

2015

† †

† †

† †

†

† †

Smithsonian Institution 53-0206027

X X

X X

X X

X

X

Avalon Consulting Group - Direct Marketing

2030 M St, NW, Washington, DC Consulting & Services X 0. 2,274,218. 2,274,218.

Community Counselling Service

- 3349 Highway 138, Wall, NJ Fundraising Consultant X 0. 422,500. 422,500.

M & R Strategic Services -

2120 L St NW, Washington, DC Online Advisory Services X 0. 228,550. 228,550.

Blackbaud - PO Box 930256,

Atlanta, GA 31193-0256 Fundraising Consultant X 0. 211,712. 211,712.

Marts & Lundy - 1200 Wall St

W, Lyndhurst, NJ 07071-3680 Fundraising Consultant X 0. 166,087. 166,087.

Donor Services Group - 1150

Olympic Bvd, Los Angeles, CA Telemarketing Services X 0. 113,869. 113,869.

Impact Communications - 1009

E St, 2nd Flr, Washington, DC Fundraising Consultant X 0. 97,400. 97,400.

Kimbia Inc - 2500 Bee Caves

Rd, #2, Austin, TX Fundraising Consultant X 0. 82,300. 82,300.

SD&A Teleservices - 101

Continental Blvd, El Segundo, Telemarketing Services X 0. 123,525. 123,525.

3,720,161. 3,720,161.

See Part IV for continuations

PUBLIC INSPECTION COPY 06/26/17 44
532082 09-14-15

2

(d) 

(a) 

(c)

(a) (b) (c) 

1

2

3

4

5

6

7

8

9

10

11

(a) (b) (c) (d) 

(a) (c)

1

2

3

4

5

6

7

8

Yes Yes Yes

No No No

9

10

a

b

Yes No

a

b

Yes No

Schedule G (Form 990 or 990-EZ) 2015

Pull tabs/instant

bingo/progressive bingo

Schedule G (Form 990 or 990-EZ) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 18, or reported more than $15,000

of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000.

Total events

(add col. through

col. )

Revenue

Event #1 Event #2 Other events

(event type) (event type) (total number)

Gross receipts

Less: Contributions

~~~~~~~~~~~~~~

~~~~~~~~~~~

Gross income (line 1 minus line 2)

Direct Expenses



Cash prizes

Noncash prizes

~~~~~~~~~~~~~~~

~~~~~~~~~~~~~

Rent/facility costs ~~~~~~~~~~~~

Food and beverages

Entertainment

~~~~~~~~~~

~~~~~~~~~~~~~~

Other direct expenses ~~~~~~~~~~

Direct expense summary. Add lines 4 through 9 in column (d)

Net income summary. Subtract line 10 from line 3, column (d)

~~~~~~~~~~~~~~~~~~~~~~~~ |

 |

Complete if the organization answered "Yes" on Form 990, Part IV, line 19, or reported more than

$15,000 on Form 990-EZ, line 6a.

Revenue

Bingo Other gaming Total gaming (add

col. through col. )

Direct Expenses

Gross revenue 

Cash prizes

Noncash prizes

~~~~~~~~~~~~~~~

~~~~~~~~~~~~~

Rent/facility costs

Other direct expenses

~~~~~~~~~~~~



% % %

Volunteer labor ~~~~~~~~~~~~~

Direct expense summary. Add lines 2 through 5 in column (d)

Net gaming income summary. Subtract line 7 from line 1, column (d)

~~~~~~~~~~~~~~~~~~~~~~~~ |

 |

Enter the state(s) in which the organization conducts gaming activities:

Is the organization licensed to conduct gaming activities in each of these states?

If "No," explain:

~~~~~~~~~~~~~~~~~~~~

Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year?

If "Yes," explain:

~~~~~~~~~

Part II Fundraising Events.

Part III Gaming.

† † †

† † †

† †

† †

Smithsonian Institution 53-0206027

Hirshhorn Gala

American Portrait

Gala 9

1,427,800. 1,177,608. 2,509,586. 5,114,994.

1,325,505. 1,054,362. 1,267,303. 3,647,170.

102,295. 123,246. 1,242,283. 1,467,824.

50,000. 19,564. 69,564.

74,910. 137,000. 323,107. 535,017.

425,033. 568,207. 669,201. 1,662,441.

2,267,022.

-799,198.

PUBLIC INSPECTION COPY 06/26/17 45
532083 09-14-15

3

11

12

13

14

15

Yes No

Yes No

a

b

13a

13b

a Yes No

b

c

16

17

a

b

Yes No

Supplemental Information. 

Schedule G (Form 990 or 990-EZ) 2015

Schedule G (Form 990 or 990-EZ) 2015 Page 

Does the organization conduct gaming activities with nonmembers?

Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity formed

to administer charitable gaming?

~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Indicate the percentage of gaming activity conducted in:

The organization's facility

An outside facility

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ %

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ %

Enter the name and address of the person who prepares the organization's gaming/special events books and records:

Name |

Address |

Does the organization have a contract with a third party from whom the organization receives gaming revenue?

If "Yes," enter the amount of gaming revenue received by the organization |

~~~~~~

$ and the amount

of gaming revenue retained by the third party | $ .

If "Yes," enter name and address of the third party:

Name |

Address |

Gaming manager information:

Name |

Gaming manager compensation |

Description of services provided |

$

Director/officer Employee Independent contractor

Mandatory distributions:

Is the organization required under state law to make charitable distributions from the gaming proceeds to

retain the state gaming license? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Enter the amount of distributions required under state law to be distributed to other exempt organizations or spent in the

organization's own exempt activities during the tax year | $

Provide the explanations required by Part I, line 2b, columns (iii) and (v); and Part III, lines 9, 9b, 10b, 15b,

15c, 16, and 17b, as applicable. Also provide any additional information (see instructions).

Part IV

† †

† †

† †

† † †

† †

Smithsonian Institution 53-0206027

Schedule G, Part I, Line 2b Column (iv) and (v):

SI engaged multiple fundraising services and many work on the same

campaigns. It is not possible to accurately report the exact amount of

revenue associated with each fundraiser. None of these fundraisers had

control of contributions; all were paid under the terms of negotiated

contracts. SI closely monitors fundraising performance against

established campaign goals for its contractors, and results are taken

into consideration in future contract negotiations.

PUBLIC INSPECTION COPY 06/26/17 46
532084

04-01-15

4

Schedule G (Form 990 or 990-EZ)

(continued)

Schedule G (Form 990 or 990-EZ) Page 

Part IV Supplemental Information 

Smithsonian Institution 53-0206027

Payments to Avalon Consulting Group of approximately $2,046,550 are not

reported in Part I. This amount is for reimbursements related to

fundraising expenses of postage, printing and mailing lists.

Schedule G, Part I, Line 3:

SI is a trust instrumentality of the U.S. and as such is exempt from

state regulations pursuant to the Supremacy Clause of the U.S.

Constitution. All states that have inquired about SI fundraising

soliciation registration have acknowledged this exemption.

PUBLIC INSPECTION COPY 06/26/17 47
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532101

10-28-15

SCHEDULE I

(Form 990)

Complete if the organization answered "Yes" on Form 990, Part IV, line 21 or 22.

| Attach to Form 990.

| Information about Schedule I (Form 990) and its instructions is at 

Open to Public

Inspection

Employer identification number

Part I General Information on Grants and Assistance

1

2

Yes No

Part II Grants and Other Assistance to Domestic Organizations and Domestic Governments. 

(f) 1 (a) (b) (c) (d) (e) (g) (h) 

2

3

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I (Form 990) (2015)

Name of the organization

Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection 

criteria used to award the grants or assistance? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.

Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any

recipient that received more than $5,000. Part II can be duplicated if additional space is needed.

Method of

valuation (book,

FMV, appraisal,

other)

Name and address of organization

or government

EIN IRC section

if applicable

Amount of

cash grant

Amount of

non-cash

assistance

Description of

non-cash assistance

Purpose of grant

or assistance

Enter total number of section 501(c)(3) and government organizations listed in the line 1 table

Enter total number of other organizations listed in the line 1 table

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |

 |

LHA

www.irs.gov/form990.

Grants and Other Assistance to Organizations,

Governments, and Individuals in the United States 2015

Smithsonian Institution 53-0206027

X

American Council of Learned

Societies - 633 Third Avenue, 8th Academic Appointment

Flr - New York, NY 10017-6795 13-1851145 501(c)(3) 6,000. 0. Stipend

Cornell University

373 Pine Tree Road Academic Appointment

Ithaca, NY 14850 15-0532082 501(c)(3) 46,407. 0. Stipend

George Washington University

2121 I St MW Academic Appointment

Washington, DC 20052 53-0196584 501(c)(3) 4,894. 0. Stipend

Indiana University

400 E 7th Street, Rm 501 Academic Appointment

Bloomington, IN 35600-1673 35-6001673 115 12,500. 0. Stipend

Michigan State University Academic Appointment

220 Trowbridge Road Stipend

East Lansing, MI 48824 38-6005984 115 5,000. 0.

Ohio University

HDL Center, Ste 279 Academic Appointment

Athens, OH 45701 31-6402113 115 3,395. 0. Stipend

15.

0.

PUBLIC INSPECTION COPY 06/26/17 48
532241

04-01-15

Part II Continuation of Grants and Other Assistance to Governments and Organizations in the United States 

(a) (b) (c) (d) (e) (f) (g) (h)

Schedule I (Form 990)

Schedule I (Form 990) Page 1

(Schedule I (Form 990), Part II.)

 Name and address of 

organization or government

 EIN IRC section

if applicable

 Amount of 

cash grant

 Amount of 

non-cash

assistance

 Method of 

valuation 

(book, FMV, 

appraisal, other)

 Description of

non-cash assistance

 Purpose of grant

or assistance

Smithsonian Institution 53-0206027

Regents of the University of

Michigan - 3003 South State Street Academic Appointment

- Ann Arbor, MI 48109-1287 38-6006309 115 13,183. 0. Stipend

Regents of the University of

Minnesota - 2221 University Ave SE Academic Appointment

- Minneapolis, MN 41600-7513 41-6007513 115 37,610. 0. Stipend

Research Foundation for the State

Univ of NY - PO Box 9 - Albany, NY Academic Appointment

12201 14-1368361 501(c)(3) 41,650. 0. Stipend

Trustees of the Univ. of

Pennsylvania - 3451 Walnut Street Academic Appointment

- Philadelphia, PA 19104-6205 23-1352685 501(c)(3) 53,000. 0. Stipend

University of Chicago

6054 South Drexel Avenue Academic Appointment

Chicago, IL 60637 36-2177139 501(c)(3) 31,950. 0. Stipend

University of Illinois

506 S Wright Avenue Academic Appointment

Urbana, IL 61801 37-6000511 115 16,950. 0. Stipend

University of Mary Washington

1301 College Avenue Academic Appointment

Fredricksburg, VA 22401-5300 54-6001757 115 55,000. 0. Stipend

University of Maryland - College

Park - 2119 Main Administration Academic Appointment

Bldg - College Park, MD 20742 52-6002033 115 33,552. 0. Stipend

Utah State University

2400 Old Main Hill Academic Appointment

Logan, UT 84322 87-6000528 115 3,500. 0. Stipend

PUBLIC INSPECTION COPY 06/26/17 49
532102 10-28-15

2

Part III Grants and Other Assistance to Domestic Individuals. 

(a) (b) (c) (d) (e) (f) 

Part IV Supplemental Information. 

Schedule I (Form 990) (2015)

Schedule I (Form 990) (2015) Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 22.

Part III can be duplicated if additional space is needed.

Method of valuation

(book, FMV, appraisal, other)

Type of grant or assistance Number of

recipients

Amount of

cash grant

Amount of noncash assistanceDescription of non-cash assistance

Provide the information required in Part I, line 2, Part III, column (b), and any other additional information.

Smithsonian Institution 53-0206027

Academic Appointment Stipends 1096 12,050,170. 0.

Part I, Line 2:

The Office of Fellowships has central management and administrative

responsibility for the Smithsonian programs of research fellowships and

other academic appointments for undergraduate, graduate students,

postdoctoral and senior scholars. The Smithsonian Institution Fellowship

Program is a competitive fellowship program for graduate and postdoctoral

fellows, who apply to conduct research at the Institution with research

staff serving as advisors. The review process is made up of disciplinary

committees comprised of the Institution's research staff who evaluate the

PUBLIC INSPECTION COPY 06/26/17 50
532291

04-01-15

2

Schedule I (Form 990)

Schedule I (Form 990) Page 

Part IV Supplemental Information

Smithsonian Institution 53-0206027

candidates and then select the fellows. There are other competitive and

non-competitive fellowships for visiting scholar and student appointees

selected through the Smithsonian units that go through a variety of other

selections processes before an award is made. An official letter/agreement

is provided to each award recipient identifying the award title, dates of

tenure, stipend allowances, and required responsibilities for holding this

position. All recipients either will identify a financial institution for

receipt of their monetary award or they will receive US Treasury checks.

Depending on the tenure of the appointment, payments may be made in a lump

sum or in periodic payments. Most fellowship appointments are awarded for

one to two years. At the end of tenure, a final report of their research

accomplishments is provided for our records. Smithsonian research staff

who serve as advisors to these fellows, students and scholars are usually

in the field during their tenure. The individual Smithsonian research

centers monitor the progress of their fellows, and the funds are managed

through the Institution's central administration to ensure accountability.

Similiar processes are followed for awards made to organizations whose

academic staff perform the related research.

PUBLIC INSPECTION COPY 06/26/17 51
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532111

10-14-15

For certain Officers, Directors, Trustees, Key Employees, and Highest

Compensated Employees

Complete if the organization answered "Yes" on Form 990, Part IV, line 23. Open to Public

Inspection Attach to Form 990.

| Information about Schedule J (Form 990) and its instructions is at 

Employer identification number

Yes No

1a

b

1b

2

2

3

4

a

b

c

4a

4b

4c

Only section 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.

5

5a

5b

6a

6b

7

8

9

a

b

6

a

b

7

8

9

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule J (Form 990) 2015

|

|

Name of the organization

Check the appropriate box(es) if the organization provided any of the following to or for a person listed on Form 990,

Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.

First-class or charter travel

Travel for companions

Housing allowance or residence for personal use

Payments for business use of personal residence

Tax indemnification and gross-up payments

Discretionary spending account

Health or social club dues or initiation fees

Personal services (e.g., maid, chauffeur, chef)

If any of the boxes on line 1a are checked, did the organization follow a written policy regarding payment or

reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain~~~~~~~~~~~

Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all directors,

trustees, and officers, including the CEO/Executive Director, regarding the items checked in line 1a? ~~~~~~~~~~~~

Indicate which, if any, of the following the filing organization used to establish the compensation of the organization's

CEO/Executive Director. Check all that apply. Do not check any boxes for methods used by a related organization to

establish compensation of the CEO/Executive Director, but explain in Part III.

Compensation committee

Independent compensation consultant

Form 990 of other organizations

Written employment contract

Compensation survey or study

Approval by the board or compensation committee

During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing

organization or a related organization:

Receive a severance payment or change-of-control payment?

Participate in, or receive payment from, a supplemental nonqualified retirement plan?

Participate in, or receive payment from, an equity-based compensation arrangement?

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~

If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.

For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation

contingent on the revenues of:

The organization?

Any related organization?

If "Yes" to line 5a or 5b, describe in Part III.

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation

contingent on the net earnings of:

The organization?

Any related organization?

If "Yes" on line 6a or 6b, describe in Part III.

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed payments

not described on lines 5 and 6? If "Yes," describe in Part III

Were any amounts reported on Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the

initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe in Part III

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~

If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in

Regulations section 53.4958-6(c)? 

LHA

www.irs.gov/form990.

SCHEDULE J

(Form 990)

Part I Questions Regarding Compensation

Compensation Information

2015

†

†

†

†

†

†

†

†

†

†

†

†

†

†

Smithsonian Institution 53-0206027

X

X

X

X

X

X X

X

X

X

X

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 52
532112

10-14-15

2

Part II Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. 

Note: 

(B) (C) (D) (E) (F) 

(i) (ii) (iii) (A) 

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

Schedule J (Form 990) 2015

Schedule J (Form 990) 2015 Page 

Use duplicate copies if additional space is needed.

For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the instructions, on row (ii).

Do not list any individuals that are not listed on Form 990, Part VII.

The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.

Breakdown of W-2 and/or 1099-MISC compensation Retirement and

other deferred

compensation

Nontaxable

benefits

Total of columns

(B)(i)-(D)

Compensation

in column (B)

reported as deferred

on prior Form 990

Base

compensation

Bonus &

incentive

compensation

Other

reportable

compensation

Name and Title

Smithsonian Institution 53-0206027

(1) David Skorton 355,853. 150,000. 2,462. 39,710. 14,360. 562,385. 0.

Secretary 0. 0. 0. 0. 0. 0. 0.

(2) Albert Horvath 434,815. 6,000. 2,041. 39,710. 21,498. 504,064. 0.

U/S Finance & Administration/CFO 0. 0. 0. 0. 0. 0. 0.

(3) Cathy Helm 176,798. 2,636. 0. 0. 19,585. 199,019. 0.

Inspector General 0. 0. 0. 0. 0. 0. 0.

(4) Judith Leonard 182,262. 4,000. 2,083. 26,217. 8,229. 222,791. 0.

General Counsel 0. 0. 0. 0. 0. 0. 0.

(5) Nancy Bechtol 183,958. 5,000. 695. 25,933. 793. 216,379. 0.

Director - Facilities 0. 0. 0. 0. 0. 0. 0.

(6) Claudine Brown(decd 03/17/16) 251,563. 6,500. 3,148. 37,420. 10,393. 309,024. 0.

Asst Sec - Education and Access 0. 0. 0. 0. 0. 0. 0.

(7) Deron Burba 183,671. 5,500. 390. 26,962. 18,073. 234,596. 0.

Chief Information Officer 0. 0. 0. 0. 0. 0. 0.

(8) Amy Chen 253,635. 255,080. 1,056. 36,565. 1,424. 547,760. 0.

Chief Investment Officer 0. 0. 0. 0. 0. 0. 0.

(9) Virginia Clark 337,335. 8,000. 4,543. 39,710. 21,397. 410,985. 0.

Director - Advancement & Giving 0. 0. 0. 0. 0. 0. 0.

(10) Bruce Dauer 218,037. 79,817. 2,614. 31,707. 6,050. 338,225. 0.

VP Finance/Adm - (SE) 0. 0. 0. 0. 0. 0. 0.

(11) James Douglas 181,533. 499. 2,085. 26,241. 4,477. 214,835. 0.

Director - Office of Human Resources 0. 0. 0. 0. 0. 0. 0.

(12) Jean Garvin 176,940. 5,000. 1,074. 26,003. 21,016. 230,033. 0.

Director - Finance & Accounting 0. 0. 0. 0. 0. 0. 0.

(13) John Kress 158,709. 6,000. 0. 8,212. 17,497. 190,418. 0.

Interim Under Secretary - Science 0. 0. 0. 0. 0. 0. 0.

(14) Richard Kurin 301,002. 8,000. 3,846. 44,660. 12,456. 369,964. 0.

Acting Provost-U/S for Museums/Resea 0. 0. 0. 0. 0. 0. 0.

(15) John Lapiana 186,399. 25,000. 720. 26,660. 8,141. 246,920. 0.

Acting Asst Sec/Comm & External Affr 0. 0. 0. 0. 0. 0. 0.

(16) Dorothy Leffler 152,943. 4,000. 0. 0. 17,486. 174,429. 0.

Director - Office of Contracts 0. 0. 0. 0. 0. 0. 0.

PUBLIC INSPECTION COPY 06/26/17 53
532112

10-14-15

2

Part II Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. 

Note: 

(B) (C) (D) (E) (F) 

(i) (ii) (iii) (A) 

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

(i)

(ii)

Schedule J (Form 990) 2015

Schedule J (Form 990) 2015 Page 

Use duplicate copies if additional space is needed.

For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the instructions, on row (ii).

Do not list any individuals that are not listed on Form 990, Part VII.

The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.

Breakdown of W-2 and/or 1099-MISC compensation Retirement and

other deferred

compensation

Nontaxable

benefits

Total of columns

(B)(i)-(D)

Compensation

in column (B)

reported as deferred

on prior Form 990

Base

compensation

Bonus &

incentive

compensation

Other

reportable

compensation

Name and Title

Smithsonian Institution 53-0206027

(17) Evelyn Lieberman(Decd 12/12/15) 237,891. 6,000. 4,667. 35,001. 980. 284,539. 0.

Senior Advisor to the Secretary 0. 0. 0. 0. 0. 0. 0.

(18) Christopher Liedel 427,226. 199,328. 2,009. 39,125. 24,751. 692,439. 0.

President - Smithsonian Enterprises 0. 0. 0. 0. 0. 0. 0.

(19) Era Marshall 168,242. 5,000. 0. 0. 15,178. 188,420. 0.

Dir-Equal Emplymt & Minority Affairs 0. 0. 0. 0. 0. 0. 0.

(20) Mary Payne 184,306. 2,000. 730. 26,974. 10,644. 224,654. 0.

Director - Office of Govt Relations 0. 0. 0. 0. 0. 0. 0.

(21) David Voyles 171,179. 5,500. 0. 7,035. 7,946. 191,660. 0.

Director - OPMB 0. 0. 0. 0. 0. 0. 0.

(22) Michael Caruso 298,877. 33,965. 713. 39,125. 21,738. 394,418. 0.

Editor in Chief - (SE) 0. 0. 0. 0. 0. 0. 0.

(23) Melissa Chiu 389,129. 0. 418. 39,710. 21,607. 450,864. 0.

Director - Hirschhorn Museum 0. 0. 0. 0. 0. 0. 0.

(24) Edward Howell 266,635. 120,409. 3,421. 39,125. 21,527. 451,117. 0.

SVP Retail-Smithsonian Enterprises 0. 0. 0. 0. 0. 0. 0.

(25) Carol LeBlanc 240,282. 93,599. 548. 36,187. 21,433. 392,049. 0.

SVP Licensing-Smithsonian Enterprise 0. 0. 0. 0. 0. 0. 0.

(26) Jeffrey Smith 179,007. 171,756. 164. 26,144. 17,913. 394,984. 0.

Investment Officer 0. 0. 0. 0. 0. 0. 0.

(27) G. Wayne Clough 142,573. 0. 666. 4,806. 224. 148,269. 0.

Former Secretary 0. 0. 0. 0. 0. 0. 0.

(28) Charles R. Alcock 152,558. 4,300. 821. 20,458. 719. 178,856. 0.

Former Acting Under Sec - Science 0. 0. 0. 0. 0. 0. 0.

(29) Kenneth Johnson 172,752. 5,000. 0. 8,638. 343. 186,733. 0.

Former Acting Director - OPMB 0. 0. 0. 0. 0. 0. 0.

(30) Andrew Zino 163,091. 2,000. 0. 7,959. 17,505. 190,555. 0.

Former Comptroller 0. 0. 0. 0. 0. 0. 0.

PUBLIC INSPECTION COPY 06/26/17 54
532113

10-14-15

3

Part III Supplemental Information

Schedule J (Form 990) 2015

Schedule J (Form 990) 2015 Page 

Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information. 

Smithsonian Institution 53-0206027

Part I, Line 1a:

First Class Travel:

One officer listed in Part VII, Section A was authorized for first class

travel for bona-fide business purposes when the circumstances of their

travel met the requirements of the Smithsonian's travel policy for such

travel and first class travel was approved in each instance by that

individual's designated "approving official" for travel. The Smithsonian's

travel policy is guided by the Federal Travel Regulations as supplemented

by the Smithsonian's Travel handbook. The accountable plan for travel

reimbursements maintained by the Smithsonian meets IRS requirements,

therefore no portion of this travel was treated as taxable compensation.

Travel for companions:

Travel was authorized for the spouse of a person listed in Part VII,

Section A when the circumstances of that travel met the requirements of the

Smithsonian's policy for such travel. The Smithsonian's policy for payment

of spousal or dependent family member travel permits such payment only in

limited, exceptional cases, when there is a demonstrated bona fide business

PUBLIC INSPECTION COPY 06/26/17 55
532113

10-14-15

3

Part III Supplemental Information

Schedule J (Form 990) 2015

Schedule J (Form 990) 2015 Page 

Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information. 

Smithsonian Institution 53-0206027

purpose for the travel and the travel furthers the mission of the

Smithsonian, beyond mere attendance at an event or the performance of

incidental services. Such travel is authorized only if approved by the

Office of General Counsel and the Office of the Under Secretary for Finance

and Administration/Chief Financial Officer in advance. In the calendar

year 2015, two (domestic travel) trips were approved for the spouse of an

officer. Each trip was authorized consistent with policy. Because it was

determined that there was a bona fide business purpose for each trip, the

cost of the trips was not treated as taxable income.

Part I, Line 6:

Incentive Plan

Certain employees of Smithsonian Enterprises (SE), a unit of the

Smithsonian, are eligible to participate in the Smithsonian Enterprises

Management Incentive Plan. This eligibility is determined on an annual

basis. Even if eligible to participate, a performance review rating of

"Fully Successful" must be received. The Plan includes both financial and

individual (operational) goals, and these goals must be met in order to

receive an incentive payment. There are different performance levels, with

PUBLIC INSPECTION COPY 06/26/17 56
532113

10-14-15

3

Part III Supplemental Information

Schedule J (Form 990) 2015

Schedule J (Form 990) 2015 Page 

Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information. 

Smithsonian Institution 53-0206027

each successive level giving a higher incentive payment. In addition, the

eligible person must be employed by the organization on the last day of the

fiscal year in order to receive payment. Approvals for incentive payments

are tiered; any payment to a senior executive is reviewed by the Secretary,

with the Regents (either the Compensation Committee or the Full Board)

approving incentive payments to any disqualified person, any direct report

to the Secretary, and any executive with total cash above an annually

determined threshold. The Regents have delegated to the Secretary the

authority to approve other executive incentive payments. For

non-executives, the President of SE approves those payments, except for

payments above $10,000 which go to the Secretary for approval.

PUBLIC INSPECTION COPY 06/26/17 57
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

Does the organization maintain adequate books and records to support the final allocation of proceeds?

532121

10-22-15

SCHEDULE K

(Form 990) | Complete if the organization answered "Yes" on Form 990, Part IV, line 24a. Provide descriptions,

explanations, and any additional information in Part VI. Open to Public

| Attach to Form 990. | Information about Schedule K (Form 990) and its instructions is at Inspection

Employer identification number

Part I Bond Issues

(a) (b) (c) (d) (e) (f) (g) (h) (i)

Yes No Yes No Yes No

A

B

C

D

Part II Proceeds

A B C D

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

Yes No Yes No Yes No Yes No

Part III Private Business Use

A B C D

1

2

Yes No Yes No Yes No Yes No

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule K (Form 990) 2015

Defeased On behalf

of issuer

Name of the organization

Issuer name Issuer EIN CUSIP # Date issued Issue price Description of purpose Pooled

financing

Amount of bonds retired

Amount of bonds legally defeased





Total proceeds of issue

Gross proceeds in reserve funds





Capitalized interest from proceeds 

Proceeds in refunding escrows 

Issuance costs from proceeds

Credit enhancement from proceeds

Working capital expenditures from proceeds







Capital expenditures from proceeds

Other spent proceeds

Other unspent proceeds

Year of substantial completion









Were the bonds issued as part of a current refunding issue? 

Were the bonds issued as part of an advance refunding issue?

Has the final allocation of proceeds been made?







Was the organization a partner in a partnership, or a member of an LLC,

which owned property financed by tax-exempt bonds? 

Are there any lease arrangements that may result in private business use of

bond-financed property? 

LHA

www.irs.gov/form990.

Supplemental Information on Tax-Exempt Bonds

2015

Smithsonian Institution 53-0206027

Fairfax County Economic Development

Authority 54-0787833 30382ECZ5 12/03/03 77,545,000.To construct a museum X X X

District of Columbia 53-6001131 2548397S6 04/29/10 33,825,749.Refunding of 1997 Bonds X X X

8,035,000.

77,545,000. 33,825,749.

530,475. 612,994.

6,161.

77,008,364.

33,212,755.

2003 2010

X X

X X

X X

X X

X X

X X

PUBLIC INSPECTION COPY 06/26/17 58
532122

10-22-15

2

Part III Private Business Use 

A B C D

3a

b

c

d

Yes No Yes No Yes No Yes No

4

5

6

7

8

9

a

b

c

Part IV Arbitrage

A B C D

1

2

3

4

Yes No Yes No Yes No Yes No

a

b

c

a

b

c

d

e

Schedule K (Form 990) 2015

(Continued)

Are there any research agreements that may result in private business use of bond-financed property?

Schedule K (Form 990) 2015 Page 

Are there any management or service contracts that may result in private

business use of bond-financed property? 

If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside

counsel to review any management or service contracts relating to the financed property?

If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside

counsel to review any research agreements relating to the financed property? 

Enter the percentage of financed property used in a private business use by

entities other than a section 501(c)(3) organization or a state or local government  | % % % %

Enter the percentage of financed property used in a private business use as a result of

unrelated trade or business activity carried on by your organization, another

section 501(c)(3) organization, or a state or local government  | % % % %

Total of lines 4 and 5  % % % %

Does the bond issue meet the private security or payment test? 

Has there been a sale or disposition of any of the bond-financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?

If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed

of  % % % %

If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections

1.141-12 and 1.145-2? 

Has the organization established written procedures to ensure that all nonqualified

bonds of the issue are remediated in accordance with the requirements under

Regulations sections 1.141-12 and 1.145-2? 

Has the issuer filed Form 8038-T, Arbitrage Rebate, Yield Reduction and

Penalty in Lieu of Arbitrage Rebate? 

If "No" to line 1, did the following apply? 

Rebate not due yet?

Exception to rebate?





No rebate due? 

If "Yes" to line 2c, provide in Part VI the date the rebate computation was

performed 

Is the bond issue a variable rate issue? 

Has the organization or the governmental issuer entered into a qualified

hedge with respect to the bond issue? 

Name of provider 

Term of hedge

Was the hedge superintegrated?

Was the hedge terminated?







Smithsonian Institution 53-0206027

X X

X

X X

4.57

4.57

X X

X X

X X

X X

X X

X X

X X

X X

X X

PUBLIC INSPECTION COPY 06/26/17 59
532123 10-22-15

3

Part IV Arbitrage 

A B C D

Yes No Yes No Yes No Yes No

a

b

c

d

5

6

7

Part V Procedures To Undertake Corrective Action

A B C D

Yes No Yes No Yes No Yes No

Part VI Supplemental Information. 

Schedule K (Form 990) 2015

(Continued)

Schedule K (Form 990) 2015 Page 

Were gross proceeds invested in a guaranteed investment contract (GIC)? 

Name of provider

Term of GIC





Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied?

Were any gross proceeds invested beyond an available temporary period? 

Has the organization established written procedures to monitor the requirements of

section 148? 

Has the organization established written procedures to ensure that violations of

federal tax requirements are timely identified and corrected through the voluntary

closing agreement program if self-remediation is not available under applicable

regulations? 

Provide additional information for responses to questions on Schedule K (see instructions).

Smithsonian Institution 53-0206027

X X

X X

X X

X X

Schedule K, Part I, Bond Issues, Column (f), Line B

The issue date of the current refunded bonds was January 1, 1998.

Part III Private Business Use, Line 5, Column B

The percentage of financed property used in a private business use as a

result of unrelated trade or business activity is based on the

percentage of unrelated revenue to total revenue in the gift shop and

theater within the space financed by this bond issue.

PUBLIC INSPECTION COPY 06/26/17 60
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532141

08-21-15

Complete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30.

Open To Public

Inspection

Attach to Form 990.

Information about Schedule M (Form 990) and its instructions is at 

Employer identification number

(a) (b) (c) (d)

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

29

Yes No

30

31

32

33

a

b

30a

31

32a

a

b

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule M (Form 990) (2015)

Name of the organization

Check if

applicable

Number of

contributions or

items contributed

Noncash contribution

amounts reported on

Form 990, Part VIII, line 1g

Method of determining

noncash contribution amounts

Art - Works of art

Art - Historical treasures

Art - Fractional interests

~~~~~~~~~~~~~

~~~~~~~~~

~~~~~~~~~~

Books and publications

Clothing and household goods

~~~~~~~~~~

~~~~~~

Cars and other vehicles

Boats and planes

Intellectual property

~~~~~~~~~~

~~~~~~~~~~~~~

~~~~~~~~~~~

Securities - Publicly traded

Securities - Closely held stock

~~~~~~~~

~~~~~~~

Securities - Partnership, LLC, or

trust interests

Securities - Miscellaneous

~~~~~~~~~~~~~~

~~~~~~~~

Qualified conservation contribution -

Historic structures

Qualified conservation contribution - Other

~~~~~~~~~~~~

~

Real estate - Residential

Real estate - Commercial

Real estate - Other

~~~~~~~~~

~~~~~~~~~

~~~~~~~~~~~~

Collectibles

Food inventory

Drugs and medical supplies

Taxidermy

~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~

~~~~~~~~

~~~~~~~~~~~~~~~~

Historical artifacts

Scientific specimens

Archeological artifacts

~~~~~~~~~~~~

~~~~~~~~~~~

~~~~~~~~~~

Other ( )

Other ( )

Other ( )

Other ( )

Number of Forms 8283 received by the organization during the tax year for contributions

for which the organization completed Form 8283, Part IV, Donee Acknowledgement ~~~~

During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 28, that it

must hold for at least three years from the date of the initial contribution, and which is not required to be used for

exempt purposes for the entire holding period? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

If "Yes," describe the arrangement in Part II.

Does the organization have a gift acceptance policy that requires the review of any non-standard contributions? ~~~~~~

Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash

contributions? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

If "Yes," describe in Part II.

If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,

describe in Part II.

LHA

www.irs.gov/form990.

SCHEDULE M

(Form 990)

Part I Types of Property

Noncash Contributions

J 2015

J 

J 

J

J

J

J

Smithsonian Institution 53-0206027

X 3,081

X 3

X 286 19,424,528.Fair Market Value

X 6,862

X 1

X 2,794

X 56,145

Goods X 55 5,610,800.Fair Market Value

Arch cf/lf X 1,425 0.

Archival misc X 11,477 0.

70

X

X

X

PUBLIC INSPECTION COPY 06/26/17 61
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2

Schedule M (Form 990) (2015)

Schedule M (Form 990) (2015) Page 

Provide the information required by Part I, lines 30b, 32b, and 33, and whether the organization

is reporting in Part I, column (b), the number of contributions, the number of items received, or a combination of both. Also complete

this part for any additional information.

Part II Supplemental Information. 

Smithsonian Institution 53-0206027

Schedule M, Line 32b:

Although the Smithsonian acquires collections with the good faith

intention of retaining them for an indefinite period of time, prudent

collections management includes judicious consideration of appropriate

deaccessioning and disposal to refine and improve the quality and

relevance of the collections with respect to the Smithsonian's mission

and purpose. When objects are deaccessioned for disposal by sale, the

Smithsonian contracts with commercial galleries or auction houses to

sell the objects in order to assure the best return from the sale.

Schedule M, Line 33:

In accordance with professional practice, as allowed by SFAS 116, the

Smithsonian does not assign value to collection items acquired by

donation.

PUBLIC INSPECTION COPY 06/26/17 62
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

532211

09-02-15

Information about Schedule O (Form 990 or 990-EZ) and its instructions is at 

Complete to provide information for responses to specific questions on

Form 990 or 990-EZ or to provide any additional information.

| Attach to Form 990 or 990-EZ.

| 

(Form 990 or 990-EZ)

Open to Public

Inspection

Employer identification number

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule O (Form 990 or 990-EZ) (2015)

Name of the organization

LHA

www.irs.gov/form990.

SCHEDULE O Supplemental Information to Form 990 or 990-EZ 2015

Smithsonian Institution 53-0206027

Form 990, Page 1, Line K

Form of organization (Other)

The Smithsonian Institution is a trust instrumentality of the U.S.,

created by Congress; organized pursuant to 20 U.S.C. sec. 41 et seq.

Form 990, Page 1, Line M

State of legal domicile:

As a trust instrumentality of the United States, the Smithsonian

Institution is a federal entity that is not domiciled in any state.

Form 990, Part III, Line 4a, Program Service Accomplishments:

Research and Collections - The Smithsonian collections of nearly 154

million objects (art, artifacts and scientific specimens) are the heart

of the Institution. Research, public programs and exhibitions are based

on these collections which additionally include 10 million digital

records of online material. Care of the collections involves the work

of registrars, conservators, museum specialists, designers, curators

and editors. Approximately 145 million objects and specimens are part

of the National Museum of Natural History collections and primarily

used for research by both Smithsonian scientists and researchers from

around the world. In some cases, the museum has the definitive,

irreplaceable collection of a certain species which is essential for

comparative studies.

PUBLIC INSPECTION COPY 06/26/17 63
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

A fossil that has been in the National Museum of Natural History's

collection since it was discovered in 1951 is helping scientists piece

together the evolutionary history of whales and dolphins, including the

origins of the endangered South Asian river dolphin. The fossil has

been determined to belong to a dolphin that swam in subarctic marine

waters about 25 million years ago. It represents a new genus and

species, which Smithsonian scientists have named Arktocara yakataga.

The 1 millionth object from the Smithsonian's collections was digitized

by the Smithsonian's Mass Digitization Program. A silver-and-wood

teapot crafted by African American master silversmith Peter Bentzon in

Philadelphia between 1817 and 1829 is one of the prized objects in the

collection of the National Museum of African American History and

Culture.

Staff from the National Air and Space Museum and the Smithsonian's 3D

Digitization Program discovered writing on the interior walls of the

Apollo 11 command module - something that was previously unknown to the

Smithsonian. The astronaut "graffiti," unseen for almost 50 years,

includes notes, figures and a calendar, presumably written by the crew

during their historic flight to the moon.

The Smithsonian National Zoo celebrated the birth of three critically

endangered red-ruffed lemurs born in April 2016. Unlike most primates

who carry their offspring with them, red-ruffed lemurs typically leave

their young in nests while they search for food. Native to the

northeastern deciduous forests of Madagascar, these lemurs are

PUBLIC INSPECTION COPY 06/26/17 64
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

considered critcally endangered by the International Union for

Conservation of Nature due to deforestation, hunting and trapping for

the pet trade.

Michael Jordan donated a game-worn 1996 NBA Finals home jersey to the

National Museum of African American History and Culture's permanent

collection.

Form 990, Part III, Line 4b, Program Service Accomplishments:

Education, Public Programs and Exhibitions - The Arthur M. Sackler

Gallery and Freer Gallery of Art opened "Turquoise Mountain: Artists

Transforming Afghanistan" March 5, 2016, in which a large gallery has

been converted into a marketplace of Old Kabul with artisans

demonstrating their skills in jewelry making, woodworking, calligraphy,

ceramics and other crafts. Turquoise Mountain is a British charity

based in Afghanistan that works with Afghan artisans and architects to

revive the country's cultural heritage and revitalize Murad Khani,

Kabul's historic Old City where artisans live and work. The immersive

exhibition includes videos, an interactive touchscreen map, a

caravanserai and a social-media wall.

The first gallery on the National Mall designed for the learning needs

of children from infancy to age 6 opened Dec. 9, 2015, at the National

Museum of American History. "Wonderplace," a 1,700-square-foot

children's center, provides the youngest historians with

age-appropriate activities and experiences. The early-learning gallery

completes the museum's 45,000-square-foot Innovation Wing, which

PUBLIC INSPECTION COPY 06/26/17 65
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

features 12 exhibitions, learning spaces and program places all

centered on the themes of invention, creativity and business.

The National Museum of African American History and Culture opened to

the public on September 24, 2016. Participants in the program included

President Barack Obama and First Lady Michelle Obama, former President

George W. Bush and Mrs. Laura Bush, Chief Justice John G. Roberts Jr.,

Smithsonian Secretary David Skorton, Rep. John Lewis and Lonnie G.

Bunch III, the museum's founding director. Vice President Joseph R.

Biden Jr., Dr. Jill Biden and former President Bill Clinton also

attended the ceremony.

The Smithsonian Asian Pacific American Center debuted "CrossLines: A

Culture Lab on Intersectionality" at the historic Arts and Industries

Building. The two-day event over Memorial Day weekend featured the

works of more than 40 artists, scholars and performers. "CrossLines"

began traveling to various cities after closing at the Smithsonian.

The National Museum of the American Indian presented a free

museum-wide, two-day festival celebrating the Choctaw Nation of

Oklahoma's tribal history and heritage. There were hands-on activities

for children and families including crafting corn-husk dolls and beaded

necklaces.

The Anacostia Community Museum presented "Twelve Years that Shook and

Shaped Washington: 1963-1975," an exhibition documenting the slow but

steady movement toward home rule as District residents obtained

appointed representation and later the right to elect them. "Twelve

PUBLIC INSPECTION COPY 06/26/17 66
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

Years" also included historical images, autobiographical stories and

interviews with current and former Washingtonians involved with or

observers of events significant to the era.

The National Air and Space Museum's GE Aviation Series featured two

accomplished and decorated female pilots-Suzanna Darcy-Hennemann, who

spoke about her experiences as Boeing's first female test pilot, and

Lt. Col. Christine Mau, the first and only female pilot of the F-35.

Form 990, Part III, Line 4c, Program Service Accomplishments:

Membership - The National Associate program is the Institution's

largest and most basic membership program. The program provides members

with "Smithsonian" magazine which is published 11 times a year.

The print and online publication provides in-depth coverage of history,

science, nature, the arts, and world cultures. "Smithsonian" magazine

also hosts the annual Ingenuity Awards, honoring the best and the

brightest innovators who are making a difference in the world in a

variety of fields.

"Friends of the Smithsonian" is a higher level membership program for

people interested in a deeper philanthropic connection to the

Smithsonian. Friends receive "Smithsonian" magazine, plus they are

invited to various events and are given the opportunity to learn about

and support the Institution's exhibits and research.

The Smithsonian Associates offers unparalleled access to the

PUBLIC INSPECTION COPY 06/26/17 67
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

Smithsonian's world of knowledge through innovative and engaging

programming that promotes learning, enrichment and creativity for

people of all ages. The largest museum-based educational program in the

world, Smithsonian Associates annually offers more than 750 seminars,

performances, lectures, studio art classes and local and regional study

tours. Performances at Discovery Theater and more than 90 educationally

focused summer camps are among the programs that foster the joys of

learning for young people and their families. In FY 2016 notable guests

included Donna Karan, Kevin Costner, Shonda Rhimes and several members

of ABC's "Scandal" cast.

Form 990, Part IV, Line 12b

The Smithsonian's operations funded through federal appropriation are

included in the U.S. Government's consolidated audited financial

statements.

Form 990, Part VI, Section A, line 1:

The Bylaws of the organization delegate authority to the Executive

Committee to act on behalf of the Board of Regents when the Board of

Regents is not in session. The Board of Regents elects from its members an

Executive Committee consisting of three members. The Executive Committee

has and may exercise all powers of the Board of Regents when the Board of

Regents is not in session, except those expressly reserved to itself by the

Board of Regents, provided that all such proceedings are reported to the

Governance and Nominating Committee and the Board of Regents on a regular

basis. The Chair of the Board serves as Chair of the Executive Committee.

The Vice Chair of the Board serves as a member of the Executive Committee.

PUBLIC INSPECTION COPY 06/26/17 68
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

Form 990, Part VI, Section A, line 7a:

Pursuant to federal statute, the Board of Regents consists of the Vice

President of the United States, the Chief Justice of the United States,

three members of the U.S. Senate, three members of the U.S. House of

Representatives, and nine additional citizen Regents. The three Senators

are appointed by the President Pro Tempore of the U.S. Senate, and the

three members of the House of Representatives are appointed by the Speaker

of the House of Representatives. Their appointment terms coincide with the

terms for which they are elected, and they may be reappointed if

re-elected. The citizen Regents are nominated by the Board of Regents, and

appointed by a Joint Resolution of Congress which is signed by the

President of the United States.

Form 990, Part VI, Section B, line 11:

The Form 990 return is prepared by staff in the Office of Finance &

Accounting. It is then reviewed by the Director of Finance and Accounting,

the Office of General Counsel, Chief Financial Officer and the Secretary of

the Smithsonian, as well as by external tax advisors. After this review

process, the 990 is made available to the full Board for its review and

comment. The Audit & Review Committee conducts a final review of the

return at a regularly scheduled Committee meeting prior to its filing.

Form 990, Part VI, Section B, Line 12c:

All officers, key employees, and certain other employees are required to

complete and file annually a Confidential Financial Disclosure Report.

These Reports - which require disclosure of certain assets, earned income,

liabilities, outside positions, outside contracts and agreements, gifts,

hospitality, reimbursements, and other interests related to the employee's

PUBLIC INSPECTION COPY 06/26/17 69
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

Smithsonian position - are reviewed by the Institution's Office of General

Counsel for compliance with applicable conflict of interest policies and

laws. In addition to this required reporting, all key employees are

required to comply with the Institution's Standards of Conduct, which,

among other things, requires that employees not engage in private or

personal activities that might conflict or appear to conflict with

Smithsonian interests, requires that employees obtain Office of General

Counsel approval before engaging in an outside activity for compensation,

and requires employees to consult with the Office of General Counsel

whenever a doubt exists as to whether an activity or planned activity

violates the Standards. All members of the Smithsonian's governing body

are required to complete and file annually the Board of Regents Annual

Disclosure Statement. These statements - which require reporting by

members (including any reportable interests held by immediate family of

members) on outside positions and substantial shareholding in for-profit

business entities, outside positions in non-profit entities, and interests

and affiliations of the member that have or sought to have a relationship

to the Smithsonian - are reviewed by the Institution's General Counsel for

compliance with applicable conflict of interest policies and laws. In

addition to this required reporting, all members of the Smithsonian's

governing body are required to comply with the Board of Regents Ethics

Guidelines, which, among other things, define conflicts of interest and

establish procedures for disclosing and reporting of conflicts and recusal

from decision-making.

Form 990, Part VI, Section B, Line 15:

The Smithsonian ensures that compensation paid to officers and other key

employees is reasonable and comparable to similar organizations. Employees

PUBLIC INSPECTION COPY 06/26/17 70
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

of the Smithsonian may be paid with federally appropriated funds or with

nonfederal ("Trust") funds.

Most Trust funded (nonfederal) officer and key employee positions are

subject to market-based compensation, and the Board of Regent's Committee

on Compensation and Human Resources engages an independent consultant to

develop and assemble comparability data for its consideration and to inform

its decisions. The Committee's annual deliberations and decisions are

documented as part of the final recommendation materials submitted to the

Board of Regents.

Salaries for Federal employees are determined by statutorily established

pay ranges for civil service employees. As a matter of policy, the

Smithsonian has established similar ranges for certain Trust funded officer

and key employee positions and maintains those ranges in proportion to the

appropriate Federal pay ranges.

Form 990, Part VI, Section C, Line 19:

The Smithsonian makes its governing documents, statement of values and code

of ethics, and audited financial statements available on its public website

(www.si.edu). Documents may also be viewed at the Office of Finance and

Accounting or mailed.

Form 990, Part XI, line 9, Changes in Net Assets:

Change in related party net assets 131,547.

Deferred gain on building 3,908,586.

Change in minority interest - SNI/SI Networks LLC 2,433,900.

Environmental remediation obligation FASB ASC 410-20 -1,123,640.

PUBLIC INSPECTION COPY 06/26/17 71
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2

Employer identification number

Schedule O (Form 990 or 990-EZ) (2015)

Schedule O (Form 990 or 990-EZ) (2015) Page 

Name of the organization

Smithsonian Institution 53-0206027

Bad Debt reserve established for prior years pledge -10,000,000.

Total to Form 990, Part XI, Line 9 -4,649,607.

Form 990, Part VII and Schedule J-2

The following are abbreviations found in the body of the return:

OPMB - Office of Planning, Management and Budget

SE - Smithsonian Enterprises

PUBLIC INSPECTION COPY 06/26/17 72
OMB No. 1545-0047

Department of the Treasury

Internal Revenue Service

Section 512(b)(13)

controlled

entity?

532161

09-08-15

SCHEDULE R

(Form 990) Complete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.

Attach to Form 990. Open to Public

| Information about Schedule R (Form 990) and its instructions is at Inspection

Employer identification number

Part I Identification of Disregarded Entities 

(a) (b) (c) (d) (e) (f)

Identification of Related Tax-Exempt Organizations Part II

(a) (b) (c) (d) (e) (f) (g)

Yes No

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule R (Form 990) 2015

| 

| 

Name of the organization

Complete if the organization answered "Yes" on Form 990, Part IV, line 33.

Name, address, and EIN (if applicable)

of disregarded entity

Primary activity Legal domicile (state or

foreign country)

Total income End-of-year assets Direct controlling

entity

Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt

organizations during the tax year.

Name, address, and EIN

of related organization

Primary activity Legal domicile (state or

foreign country)

Exempt Code

section

Public charity

status (if section

501(c)(3))

Direct controlling

entity

LHA

www.irs.gov/form990.

Related Organizations and Unrelated Partnerships

2015

Smithsonian Institution 53-0206027

Clay Fellowships Charitable Trust -

04-3560268, 10 Memorial Boulevard, Support of Smithsonian Line 11d,

Providence, RI 02903 Astrophysical Observatory Massachusetts 501(c)(3) III-O N/A X

Smithsonian UK Charitable Trust Advance the work of the

c/o Withers LLP, 16 Old Bailey Smithsonian Institution Smithsonian

London, UNITED KINGDOM EC4M 7EG worldwide UNITED KINGDOM 501(c)(3) Line 7 Institution X

PUBLIC INSPECTION COPY 06/26/17 73
Disproportionate

allocations?

Legal

domicile

(state or

foreign

country)

General or

managing

partner?

Section

512(b)(13)

controlled

entity?

Legal domicile

(state or

foreign

country)

532162 09-08-15

2

Identification of Related Organizations Taxable as a Partnership Part III

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Yes No Yes No

Identification of Related Organizations Taxable as a Corporation or Trust Part IV

(a) (b) (c) (d) (e) (f) (g) (h) (i)

Yes No

Schedule R (Form 990) 2015

Predominant income

(related, unrelated, excluded from tax under

sections 512-514)

Schedule R (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related

organizations treated as a partnership during the tax year.

Name, address, and EIN

of related organization

Primary activity Direct controlling

entity

Share of total

income

Share of

end-of-year

assets

Code V-UBI

amount in box 20 of Schedule

K-1 (Form 1065)

Percentage

ownership

Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related

organizations treated as a corporation or trust during the tax year.

Name, address, and EIN

of related organization

Primary activity Direct controlling

entity

Type of entity

(C corp, S corp,

or trust)

Share of total

income

Share of

end-of-year

assets

Percentage

ownership

Smithsonian Institution 53-0206027

Charitable Remainder Trusts (2)

1000 Jefferson Drive, S.W. Charitable Remainder

Washington, DC 20560 Trust DC N/A X

Charitable Remainder Trusts (2)

1000 Jefferson Drive, S.W. Charitable Remainder

Washington, DC 20560 Trust MA N/A X

Charitable Remainder Trusts (1)

1000 Jefferson Drive, S.W. Charitable Remainder

Washington, DC 20560 Trust MI N/A X

Charitable Remainder Trusts (5)

1000 Jefferson Drive, S.W. Charitable Remainder

Washington, DC 20560 Trust NY N/A X

Charitable Remainder Trusts (4)

1000 Jefferson Drive, S.W. Charitable Remainder

Washington, DC 20560 Trust VA N/A X

PUBLIC INSPECTION COPY 06/26/17 74
532163 09-08-15

3

Part V Transactions With Related Organizations 

Note. Yes No

1

a

b

c

d

e

f

g

h

i

j

k

l

m

n

o

p

q

r

s

(i) (ii) (iii) (iv) 1a

1b

1c

1d

1e

1f

1g

1h

1i

1j

1k

1l

1m

1n

1o

1p

1q

1r

1s

2

(a) (b) (c) (d)

(1)

(2)

(3)

(4)

(5)

(6)

Schedule R (Form 990) 2015

Schedule R (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36.

 Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.

During the tax year, did the organization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?

Receipt of interest, annuities, royalties, or rent from a controlled entity ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Gift, grant, or capital contribution to related organization(s)

Gift, grant, or capital contribution from related organization(s)

Loans or loan guarantees to or for related organization(s)

Loans or loan guarantees by related organization(s)

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Dividends from related organization(s) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Sale of assets to related organization(s)

Purchase of assets from related organization(s)

Exchange of assets with related organization(s)

Lease of facilities, equipment, or other assets to related organization(s)

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Lease of facilities, equipment, or other assets from related organization(s)

Performance of services or membership or fundraising solicitations for related organization(s)

Performance of services or membership or fundraising solicitations by related organization(s)

Sharing of facilities, equipment, mailing lists, or other assets with related organization(s)

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Sharing of paid employees with related organization(s) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Reimbursement paid to related organization(s) for expenses

Reimbursement paid by related organization(s) for expenses

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Other transfer of cash or property to related organization(s)

Other transfer of cash or property from related organization(s)

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~



If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.

Name of related organization Transaction

type (a-s)

Amount involved Method of determining amount involved

Smithsonian Institution 53-0206027

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

PUBLIC INSPECTION COPY 06/26/17 75
Are all

partners sec.

501(c)(3)

orgs.?

Disproportionate

allocations?

General or

managing

partner?

532164

09-08-15

Yes No Yes No Yes N

4

Part VI Unrelated Organizations Taxable as a Partnership 

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

o

Schedule R (Form 990) 2015

Predominant income

(related, unrelated, excluded from tax under

sections 512-514)

Code V-UBI

amount in box 20 of Schedule K-1

(Form 1065)

Schedule R (Form 990) 2015 Page 

Complete if the organization answered "Yes" on Form 990, Part IV, line 37.

Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue)

that was not a related organization. See instructions regarding exclusion for certain investment partnerships.

Name, address, and EIN

of entity

Primary activity Legal domicile

(state or foreign

country)

Share of

total

income

Share of

end-of-year

assets

Percentage

ownership

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 76
532165 09-08-15

5

Schedule R (Form 990) 2015

Schedule R (Form 990) 2015 Page 

Provide additional information for responses to questions on Schedule R (see instructions).

Part VII Supplemental Information

Smithsonian Institution 53-0206027

PUBLIC INSPECTION COPY 06/26/17 77