Form 990 Return of Organization Exempt From Income Tax 0MB No. 1545-0047 

Under section 501(c), 527, or 4947(al(1) of the Internal Revenue Code (except private foundations) �@16 

Open to Public 

Inspection Department of the Treasury ► Do not enter social security numbers on this form as it may be made public. 

Internal Revenue Service ► Information about Form 990 and its instructions is at www.irs. ov/form990. 

A For the 2016 calendar year or tax year beginning 10/01 , 2016, and ending 09/30 ' 

, 20 17 

B Check if applicable: C Name of organization SMITHSONIAN INSTITUTION D Employer identification number 

□ Address change Doing business as 53-0206027 

□ Name change Number and street (or P.O. box if mail is not delivered to street address) I Room/suite E Telephone number 

□ Initial return 1000 JEFFERSON DRIVE S W (202) 633-1000

□ Final return/terminated City or town, state or province. country, and ZIP or foreign postal code 

□ Amended return WASHINGTON, DC 20560 G Gross receipts $ 1,883,676,484 

□ Application pending F Name and address of principal officer: DR. DAVID J. SKORTON H(al Is Ins a group return for subordinates? D Yes 0 No 

SAME AS C ABOVE H(b) Are all subordinates included? D Yes D No 

I Tax-exempt status: 0 501(c)(3) Dso11c11 l ◄ finsert no.) D 494 7(a)(1) or Ds21 If "No." attach a list. (see instructions) 

J Website: ► WWW.SI.EDU H(c) Group exemption number ► 

lmJ 

K Form of organization: D Corporation [Z] Trust D Association D Other ► I L Year of formation: 1846 I M State of legal domicile: 

Summary

1 Briefly describe the organization's mission or most significant activities: "INCREASE AND DIFFUSION OF KNOWLEDGE" 

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Q) IS THE MISSION SET FORTH BY JAMES SMITHSON. 

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2 Check this box► D if the organization discontinued its operations or disposed of more than 25% of its net assets. 

3 Number of voting members of the governing body (Part VI, line 1 a) . 3 17 (!I 

olS 4 Number of independent voting members of the governing body (Part VI, line 1 b) 4 17 

Q) 5 Total number of individuals employed in calendar year 2016 (Part V, line 2a) 5 7,156 

.:!: 6 Total number of volunteers (estimate if necessary) 6 6,905 

7a Total unrelated business revenue from Part VIII, column (C), line 12 7a 18,188,534 

b Net unrelated business taxable income from Form 990-T, line 34 7b (1,053,194) 

Prior Year Current Year 

Q) 8 Contributions and grants (Part VIII, line 1 h) 1,221,449,061 1,174,946,626 

::, 9 Program service revenue (Part VIII, line 2g) 109,747,404 115,337,291 

GI 

10 Investment income (Part VIII, column (A), lines 3, 4, and 7d) 53,948,762 89,870,212 GI 

11 Other revenue (Part VIII, column (A), lines 5, 6d, Sc, 9c, 1 Oc, and 11 e) 64,485,155 76,672,846 

12 Total revenue-add lines 8 through 11 (must equal Part VIII, column (A), line 12) 1,449,630,382 1,456,826,975 

13 Grants and similar amounts paid (Part IX, column (A), lines 1-3) . 18,942,921 18,017,203 

14 Benefits paid to or for members (Part IX, column (A), line 4) 0 

"' 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10) 653,696,354 694,613,186 

16a Professional fundraising fees (Part IX, column (A). line 11 e) 3,720,161 3,005,602 

GI 

a. b Total fundraising expenses (Part IX, column (D), line 25) ► 43,644,159 

17 Other expenses (Part IX, column (A), lines 11 a-11d, 11f-24e) 631,334,735 659,102,865 

18 Total expenses. Add lines 13-17 (must equal Part IX, column (A), line 25) 1,307,694,171 1,374,738,856 

19 Revenue less expenses. Subtract line 18 from line 12 141,936,211 82,088,119 

� "' Beginning of Current Year End of Year o<> ij 20 Total assets (Part X, line 16) 4,712,932,038 4,889,814,961 

"'"' "'m < .,, 21 Total liabilities (Part X, line 26) 881,992.402 905,888,891 

"i C 

z.z 22 Net assets or fund balances. Subtract line 21 from line 20 3,830,939,636 3,983,926,070 

■=:i: .. ,. Signature Block 

Under penalties of perjury, I declare that I have examined this return. including accompanying schedules and statements, and to the best of my knowledge and belief, it is 

true, correct. and comple . Declaration of par (other than officer) is based on all information of which preparer has any knowledge. 

Sign 

Here 

► 

► ALBERT HORVATH, CHIEF FINANCIAL OFFICER 

Type or print name and title 

Paid PrinVType preparer's name 

Preparer MARGARET A. BRADSHAW 

Preparer's signature 

cJ. � 

Date 

7/30/18 

Use Only Firm's name ► KPMG LLP 

Firm's address ► 1676 INTERNATIONAL DRIVE, MCLEAN, VA 22102 __

May the IRS discuss this return with the preparer shown above? (see instructions) 

For Paperwork Reduction Act Notice, see the separate instructions. Cat. No. 11282V 

Date 

Check O if PTIN 

self-employed P00501222 

Firm's EIN ► 

Phone no. 

13-5565207 

(703) 286-8000

[Z]Yes D No 

Form 990 (2016) 

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 2

Part III Statement of Program Service Accomplishments 

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

1 Briefly describe the organization’s mission:

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

prior Form 990 or 990-EZ? . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

If “Yes,” describe these new services on Schedule O.

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

services? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

If “Yes,” describe these changes on Schedule O.

4 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.

4 a (Code: ) (Expenses $ including grants of $ ) (Revenue $ ) 

4b (Code: ) (Expenses $ including grants of $ ) (Revenue $ ) 

4 c (Code: ) (Expenses $ including grants of $ ) (Revenue $ ) 

4d Other program services (Describe in Schedule O.)

(Expenses $ including grants of $ ) (Revenue $ ) 

4e Total program service expenses ▶

Form 990 (2016)

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"INCREASE AND DIFFUSION OF KNOWLEGE" 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. ✔

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497,098,156 16,392,954 49,710,292 RESEARCH AND COLLECTIONS (SEE SCHEDULE O) (CONTINUED ON SCHEDULE O) 475,252,355 1,624,249 63,194,854 EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS (SEE SCHEDULE O) (CONTINUED ON SCHEDULE O) 79,949,362 62,261,182 MEMBERSHIP (SEE SCHEDULE O) (CONTINUED ON SCHEDULE O) 1,052,299,873

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 3

Part IV Checklist of Required Schedules

Yes No

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

complete Schedule A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? . . . 2

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

candidates for public office? If “Yes,” complete Schedule C, Part I . . . . . . . . . . . . . . 3 

4 Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) 

election in effect during the tax year? If “Yes,” complete Schedule C, Part II . . . . . . . . . . . 4 

5 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? If “Yes,” complete Schedule C, 

Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

6 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? If

“Yes,” complete Schedule D, Part I . . . . . . . . . . . . . . . . . . . . . . . . 6 

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

the environment, historic land areas, or historic structures? If “Yes,” complete Schedule D, Part II . . . 7 

8 Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,” 

complete Schedule D, Part III . . . . . . . . . . . . . . . . . . . . . . . . . . 8 

9 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? If “Yes,” complete Schedule D, Part IV . . . . . . . . . . . . . . 9

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

endowments, permanent endowments, or quasi-endowments? If “Yes,” complete Schedule D, Part V . . 10 

11 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.

a Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If “Yes,”

complete Schedule D, Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . 11a 

b 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? If “Yes,” complete Schedule D, Part VII . . . . . . . . 11b 

c 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? If “Yes,” complete Schedule D, Part VIII . . . . . . . . 11c 

d 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? If “Yes,” complete Schedule D, Part IX . . . . . . . . . . . . . . 11d 

e Did the organization report an amount for other liabilities in Part X, line 25? If “Yes,” complete Schedule D, Part X 11e 

f 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)? If “Yes,” complete Schedule D, Part X . 11f 

12 a Did the organization obtain separate, independent audited financial statements for the tax year? If “Yes,” complete 

Schedule D, Parts XI and XII . . . . . . . . . . . . . . . . . . . . . . . . . . . 12a 

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

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

13 Is the organization a school described in section 170(b)(1)(A)(ii)? If “Yes,” complete Schedule E . . . . 13 

14 a Did the organization maintain an office, employees, or agents outside of the United States? . . . . . 14a

b 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? If “Yes,” complete Schedule F, Parts I and IV . . . . . 14b

15 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? If “Yes,” complete Schedule F, Parts II and IV . . . . . . . . . . . 15 

16 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? If “Yes,” complete Schedule F, Parts III and IV. . . . . . . . 16 

17 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? If “Yes,” complete Schedule G, Part I (see instructions) . . . . . 17 

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

Part VIII, lines 1c and 8a? If “Yes,” complete Schedule G, Part II . . . . . . . . . . . . . . . 18 

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

If “Yes,” complete Schedule G, Part III . . . . . . . . . . . . . . . . . . . . . . . 19 

Form 990 (2016)

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PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 4

Part IV Checklist of Required Schedules (continued)

Yes No

20 a Did the organization operate one or more hospital facilities? If “Yes,” complete Schedule H . . . . . . 20a 

b If “Yes” to line 20a, did the organization attach a copy of its audited financial statements to this return? . 20b

21 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? If “Yes,” complete Schedule I, Parts I and II . . . . 21 

22 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? If “Yes,” complete Schedule I, Parts I and III . . . . . . . . . . . . 22 

23 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? If “Yes,” complete Schedule J . . . . . . . . . . . . . . . . . . . . . . 23 

24a 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? If “Yes,” answer lines 24b

through 24d and complete Schedule K. If “No,” go to line 25a . . . . . . . . . . . . . . . 24a

b Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? . . 24b

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

to defease any tax-exempt bonds? . . . . . . . . . . . . . . . . . . . . . . . . 24c

d Did the organization act as an “on behalf of” issuer for bonds outstanding at any time during the year? . . 24d

25a Section 501(c)(3), 501(c)(4), and 501(c)(29) organizations. Did the organization engage in an excess benefit 

transaction with a disqualified person during the year? If “Yes,” complete Schedule L, Part I . . . . . 25a

b 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? 

If “Yes,” complete Schedule L, Part I . . . . . . . . . . . . . . . . . . . . . . . . 25b

26 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? If “Yes,” complete Schedule L, Part II . . . . . . . . . . . . . . . . 26 

27 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? If “Yes,” complete Schedule L, Part III . . . . . . . 27 

28 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 A current or former officer, director, trustee, or key employee? If “Yes,” complete Schedule L, Part IV . . 28a

b A family member of a current or former officer, director, trustee, or key employee? If “Yes,” complete 

Schedule L, Part IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28b

c 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? If “Yes,” complete Schedule L, Part IV . . . 28c

29 Did the organization receive more than $25,000 in non-cash contributions? If “Yes,” complete Schedule M 29

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

conservation contributions? If “Yes,” complete Schedule M . . . . . . . . . . . . . . . . 30

31 Did the organization liquidate, terminate, or dissolve and cease operations? If “Yes,” complete Schedule N, 

Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

32 Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If “Yes,”

complete Schedule N, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . 32

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

sections 301.7701-2 and 301.7701-3? If “Yes,” complete Schedule R, Part I . . . . . . . . . . . 33

34 Was the organization related to any tax-exempt or taxable entity? If “Yes,” complete Schedule R, Part II, III, 

or IV, and Part V, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

35 a Did the organization have a controlled entity within the meaning of section 512(b)(13)? . . . . . . . 35a

b 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)? If “Yes,” complete Schedule R, Part V, line 2 . . 35b

36 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable

related organization? If “Yes,” complete Schedule R, Part V, line 2 . . . . . . . . . . . . . . 36

37 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? If “Yes,” complete Schedule R, 

Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

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

19? Note. All Form 990 filers are required to complete Schedule O. 38

Form 990 (2016)

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PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 5

Part V Statements Regarding Other IRS Filings and Tax Compliance

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

Yes No

1a Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable . . . . 1a

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

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

reportable gaming (gambling) winnings to prize winners? . . . . . . . . . . . . . . . . . 1c

2a 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 2a

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

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

3a Did the organization have unrelated business gross income of $1,000 or more during the year? . . . . 3a

b If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O . . 3b

4a 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)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4a

b 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). 

5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? . . . 5a

b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? 5b

c If “Yes” to line 5a or 5b, did the organization file Form 8886-T? . . . . . . . . . . . . . . . 5c

6a 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? . . . . . 6a

b If “Yes,” did the organization include with every solicitation an express statement that such contributions or 

gifts were not tax deductible? . . . . . . . . . . . . . . . . . . . . . . . . . . 6b

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

a 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? . . . . . . . . . . . . . . . . . . . . . . . . 7a

b If “Yes,” did the organization notify the donor of the value of the goods or services provided? . . . . . 7b

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

required to file Form 8282? . . . . . . . . . . . . . . . . . . . . . . . . . . . 7c

d If “Yes,” indicate the number of Forms 8282 filed during the year . . . . . . . . 7d

e Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? 7e

f Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? . 7f

g If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? 7g

h If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? 7h

8 Sponsoring organizations maintaining donor advised funds. Did a donor advised fund maintained by the

sponsoring organization have excess business holdings at any time during the year? . . . . . . . . 8

9 Sponsoring organizations maintaining donor advised funds.

a Did the sponsoring organization make any taxable distributions under section 4966? . . . . . . . . 9a

b Did the sponsoring organization make a distribution to a donor, donor advisor, or related person? . . . 9b

10 Section 501(c)(7) organizations. Enter:

a Initiation fees and capital contributions included on Part VIII, line 12 . . . . . . . 10a

b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities . 10b

11 Section 501(c)(12) organizations. Enter:

a Gross income from members or shareholders . . . . . . . . . . . . . . . 11a

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

against amounts due or received from them.) . . . . . . . . . . . . . . . 11b

12a Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041? 12a

b If “Yes,” enter the amount of tax-exempt interest received or accrued during the year . . 12b

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

a Is the organization licensed to issue qualified health plans in more than one state? . . . . . . . . 13a

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

b 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 . . . . . . . . . . 13b

c Enter the amount of reserves on hand . . . . . . . . . . . . . . . . . 13c

14a Did the organization receive any payments for indoor tanning services during the tax year? . . . . . . 14a

b If “Yes,” has it filed a Form 720 to report these payments? If “No,” provide an explanation in Schedule O . 14b

Form 990 (2016)

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PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 6

Part VI Governance, Management, and Disclosure 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.

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

Section A. Governing Body and Management

Yes No

1a Enter the number of voting members of the governing body at the end of the tax year . . 1a

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. 

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

2 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? . . . . . . . . . . . . . . . . . . 2

3 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? . 3

4 Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? 4

5 Did the organization become aware during the year of a significant diversion of the organization’s assets? . 5

6 Did the organization have members or stockholders? . . . . . . . . . . . . . . . . . . 6

7a 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? . . . . . . . . . . . . . . . . . . . . 7a

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

stockholders, or persons other than the governing body? . . . . . . . . . . . . . . . . . 7b

8 Did the organization contemporaneously document the meetings held or written actions undertaken during 

the year by the following:

a The governing body? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8a

b Each committee with authority to act on behalf of the governing body? . . . . . . . . . . . . 8b

 9 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? If “Yes,” provide the names and addresses in Schedule O . . . . . 9

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

Yes No

10a Did the organization have local chapters, branches, or affiliates? . . . . . . . . . . . . . . 10a

b 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? 10b

11a Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? 11a

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

12a Did the organization have a written conflict of interest policy? If “No,” go to line 13 . . . . . . . . 12a

b Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? 12b

c Did the organization regularly and consistently monitor and enforce compliance with the policy? If “Yes,” 

describe in Schedule O how this was done . . . . . . . . . . . . . . . . . . . . . . 12c

13 Did the organization have a written whistleblower policy? . . . . . . . . . . . . . . . . . 13

14 Did the organization have a written document retention and destruction policy? . . . . . . . . . 14

15 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?

a The organization’s CEO, Executive Director, or top management official . . . . . . . . . . . . 15a

b Other officers or key employees of the organization . . . . . . . . . . . . . . . . . . . 15b

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

16a Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement 

with a taxable entity during the year? . . . . . . . . . . . . . . . . . . . . . . . . 16a

b 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? . . . . . . . . . . . . . . 16b

Section C. Disclosure

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

18 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 (explain in Schedule O)

19 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.

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

Form 990 (2016)

✔

1717 ✔

✔

✔

✔

✔

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✔

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✔

✔

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NONE ✔ ✔

JEAN GARVIN, PO BOX 37012, WASHINGTON, DC 20013-7012, (202) 633-7218, FAX: (202) 312-1992

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 7 

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

Independent Contractors

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

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

1a 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 current 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 current key employees, if any. See instructions for definition of “key employee.” 

• List the organization’s five current 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 former 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 former directors or trustees 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.

(A) 

Name and Title

(B) 

Average

hours per

week (list any 

hours for 

related 

organizations 

below dotted 

line)

(C) 

Position 

(do not check more than one 

box, unless person is both an 

officer and a director/trustee) or director Individual trustee Institutional trustee Officer Key employee employee Highest compensated Former

(D) 

Reportable 

compensation 

from

the

organization 

(W-2/1099-MISC)

(E) 

Reportable

compensation from 

related

organizations

(W-2/1099-MISC)

(F) 

Estimated

amount of

other

compensation 

from the

organization

and related

organizations

 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

Form 990 (2016) 

HONORABLE JOHN ROBERTS REGENT 0.5 ✔ 0 0 0

HONORABLE MICHAEL PENCE REGENT 0.5 ✔ 0 0 0

HONORABLE JOSEPH BIDEN REGENT 0.5 ✔ 0 0 0

HONORABLE XAVIER BECERRA REGENT 2.0 ✔ 0 0 0

HONORABLE JOHN BOOZMAN REGENT 2.0 ✔ 0 0 0

HONORABLE THOMAS COLE REGENT 2.0 ✔ 0 0 0

HONORABLE SAM JOHNSON REGENT 2.0 ✔ 0 0 0

HONORABLE PATRICK J LEAHY REGENT 2.0 ✔ 0 0 0

HONORABLE DORIS MATSUI REGENT 2.0 ✔ 0 0 0

HONORABLE DAVID PERDUE REGENT 2.0 ✔ 0 0 0

MS BARBARA BARRETT REGENT 2.0 ✔ 0 0 0

MR STEVE CASE REGENT 4.0 ✔ 0 0 0

MR JOHN FAHEY REGENT 2.0 ✔ 0 0 0

MR ROGER FERGUSON REGENT 2.0 ✔ 0 0 0

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 8 

Part VII Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)

(A) 

Name and title

(B) 

Average

hours per

week (list any 

hours for 

related 

organizations 

below dotted 

line)

(C) 

Position 

(do not check more than one 

box, unless person is both an 

officer and a director/trustee) or director Individual trustee Institutional trustee Officer Key employee employee Highest compensated Former

(D) 

Reportable 

compensation 

from

the

organization 

(W-2/1099-MISC)

(E) 

Reportable

compensation from 

related

organizations

(W-2/1099-MISC)

(F) 

Estimated

amount of

other

compensation 

from the

organization

and related

organizations

 

(15)

(16)

(17)

(18)

(19)

(20)

(21)

(22)

(23)

(24)

(25)

1b Sub-total . . . . . . . . . . . . . . . . . . . . . ▶

c Total from continuation sheets to Part VII, Section A . . . . . ▶

d Total (add lines 1b and 1c) . . . . . . . . . . . . . . . ▶

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

reportable compensation from the organization ▶

Yes No

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

employee on line 1a? If “Yes,” complete Schedule J for such individual . . . . . . . . . . . . 3

4 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? If “Yes,” complete Schedule J for such 

individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

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

for services rendered to the organization? If “Yes,” complete Schedule J for such person . . . . . . 5

Section B. Independent Contractors

1 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.

(A) 

Name and business address

(B) 

Description of services

(C) 

Compensation

2 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 990 (2016) 

MR MICHAEL GOVAN REGENT 2.0 ✔ 0 0 0

DR SHIRLEY ANN JACKSON REGENT 4.0 ✔ 0 0 0

MR ROBERT P KOGOD REGENT 2.0 ✔ 0 0 0

DR RISA LAVIZZO-MOUREY REGENT 2.0 ✔ 0 0 0

MR MICHAEL M LYNTON REGENT 2.0 ✔ 0 0 0

MR JOHN MCCARTER REGENT 6.0 ✔ 0 0 0

MR DAVID RUBENSTEIN REGENT 10.0 ✔ 0 0 0

DAVID SKORTON SECRETARY 50.0 ✔ 787,720 0 60,629 ALBERT HORVATH UNDER SECRETARY FINANCE & ADMINISTRATION/CFO 50.0 ✔ 412,821 0 57,160 CATHY HELM INSPECTOR GENERAL 50.0 ✔ 186,833 0 20,248 (SEE STATEMENT) 1,387,374 0 138,037 6,911,598 0 943,794 8,298,972 0 1,081,831 1,458 ✔

✔

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CLARK/SMOOT/RUSSELL, A JOINT VENTURE, 7500 OLD GEORGETOWN ROAD, BETHESDA, MD 20814 CONSTRUCTION 62,741,985 DESIGN AND PRODUCTION INC, 7110 RAINWATER PLACE, LORTON, VA 22079 EXHIBIT DESIGN 30,744,002 GRUNLEY CONSTRUCTION COMPANY, INC, 888 17TH STREET NW, WASHINGTON, DC 20006 CONSTRUCTION 21,563,733 QUINN EVANS ARCHITECTS, INC, 2121 WARD PLACE NW #4, WASHINGTON, DC 20037 CONSTRUCTION 16,470,421 OCEAN VIEW DEVELOPMENT COMPANY, 2200 PENNSYLVANIA AVE, N.W., SUITE 200W, WASHINGTON, DC 20037 RENT 16,308,535 527

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 9 

Part VIII Statement of Revenue 

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

Contributions, Gifts, Grants 

and Other Similar Amounts

(A) 

Total revenue

(B) 

Related or

exempt

function

revenue

(C) 

Unrelated

business

revenue

(D) 

Revenue

excluded from tax

under sections

512-514

1a Federated campaigns . . . 1a 

b Membership dues . . . . 1b

c Fundraising events . . . . 1c 

d Related organizations . . . 1d

e Government grants (contributions) 1e 

f All other contributions, gifts, grants, 

and similar amounts not included above 1f 

g Noncash contributions included in lines 1a-1f: $ 

h Total. Add lines 1a–1f . . . . . . . . . ▶

Program Service Revenue

Business Code 

2a 

b 

c 

d 

e 

f All other program service revenue .

g Total. Add lines 2a–2f . . . . . . . . . ▶

Other Revenue

3 Investment income (including dividends, interest, 

and other similar amounts) . . . . . . . ▶

4 Income from investment of tax-exempt bond proceeds ▶

5 Royalties . . . . . . . . . . . . . ▶

6a Gross rents . .

(i) Real (ii) Personal

b Less: rental expenses

c Rental income or (loss)

d Net rental income or (loss) . . . . . . . ▶

7a Gross amount from sales of 

assets other than inventory 

(i) Securities (ii) Other

b Less: cost or other basis 

and sales expenses .

c Gain or (loss) . .

d Net gain or (loss) . . . . . . . . . . ▶

8a 

 

 

Gross income from fundraising 

events (not including $

of contributions reported on line 1c). 

See Part IV, line 18 . . . . . a 

b Less: direct expenses . . . . b 

c Net income or (loss) from fundraising events . ▶ 

9a Gross income from gaming activities. 

See Part IV, line 19 . . . . . a 

b Less: direct expenses . . . . b 

c Net income or (loss) from gaming activities . . ▶ 

10a Gross sales of inventory, less 

returns and allowances . . . a 

b Less: cost of goods sold . . . b 

c Net income or (loss) from sales of inventory . . ▶ 

Miscellaneous Revenue Business Code

11a 

b

c

d All other revenue . . . . .

e Total. Add lines 11a–11d . . . . . . . . ▶

12 Total revenue. See instructions. . . . . . ▶

Form 990 (2016) 

44,300 23,657,498 4,860,625 570,395 968,913,821 176,899,987 23,464,657 1,174,946,626 VISITORS/MEMBERS/EMPLO 900099 53,797,724 28,279,973 25,517,751 SUBSCRIPTIONS - MAGAZINE 511120 33,153,491 33,153,491 TOURS/CLASSES 900099 13,452,727 13,372,120 80,607 THEATER INCOME 512131 11,965,900 9,700,278 2,265,622 TRAVELING EXHIBITIONS 712110 2,867,449 2,867,449 900099 100,000 0 100,000 0

115,337,291 19,051,168 19,051,168 17,641,915 17,641,915 0 0

465,336,652 36,632 394,554,240 70,782,412 36,632 70,819,044 36,632 70,782,412 4,860,625 1,492,445 2,290,551 (798,106) (798,106) 78,366,223 30,004,718 48,361,505 44,086,732 4,274,773 MAGAZINE/WEBSITE ADVER 541800 11,467,532 11,467,532 0 0 0 0

11,467,532 1,456,826,975 131,496,675 18,188,534 132,195,140

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 10 

Part IX Statement of Functional Expenses

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

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

Do not include amounts reported on lines 6b, 7b, 

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

(A) 

Total expenses

(B) 

Program service

expenses

(C) 

Management and

general expenses

(D) 

Fundraising

expenses

1 Grants and other assistance to domestic organizations 

and domestic governments. See Part IV, line 21 . .

2 Grants and other assistance to domestic 

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

3 Grants and other assistance to foreign 

organizations, foreign governments, and foreign 

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

4 Benefits paid to or for members . . . .

5 Compensation of current officers, directors, 

trustees, and key employees . . . . .

6 Compensation not included above, to disqualified 

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

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

7 Other salaries and wages . . . . . .

8 Pension plan accruals and contributions (include 

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

9 Other employee benefits . . . . . . .

10 Payroll taxes . . . . . . . . . . .

11 Fees for services (non-employees):

a Management . . . . . . . . . .

b Legal . . . . . . . . . . . . .

c Accounting . . . . . . . . . . .

d Lobbying . . . . . . . . . . . .

e Professional fundraising services. See Part IV, line 17 

f Investment management fees . . . . .

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

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

12 Advertising and promotion . . . . . .

13 Office expenses . . . . . . . . .

14 Information technology . . . . . . .

15 Royalties . . . . . . . . . . . .

16 Occupancy . . . . . . . . . . .

17 Travel . . . . . . . . . . . . .

18 Payments of travel or entertainment expenses 

for any federal, state, or local public officials

19 Conferences, conventions, and meetings .

20 Interest . . . . . . . . . . . .

21 Payments to affiliates . . . . . . . .

22 Depreciation, depletion, and amortization .

23 Insurance . . . . . . . . . . . .

24 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.)

a 

b 

c 

d 

e All other expenses 

25 Total functional expenses. Add lines 1 through 24e 

26 Joint costs. Complete this line only if the 

organization reported in column (B) joint costs 

from a combined educational campaign and 

fundraising solicitation. Check here ▶ if 

following SOP 98-2 (ASC 958-720) . . . .

Form 990 (2016) 

166,863 166,863 11,310,850 11,310,850 6,539,490 6,539,490 6,260,280 1,346,683 4,558,454 355,143 4,237,037 3,765,484 205,340 266,213 512,701,339 367,938,302 123,560,462 21,202,575 69,664,036 49,816,601 17,441,627 2,405,808 66,864,705 49,165,855 15,244,909 2,453,941 34,885,789 24,867,953 8,507,976 1,509,860 1,185,543 246,594 938,918 31 844,481 844,481 3,005,602 3,005,602 2,836,410 2,836,410 124,509,217 93,875,321 25,893,382 4,740,514 6,165,535 5,463,256 457,291 244,988 50,687,076 39,443,473 8,700,970 2,542,633 46,400,560 13,738,481 31,413,265 1,248,814 246,293 246,238 55 137,017,455 111,658,307 23,864,659 1,494,489 14,249,625 10,553,614 2,318,858 1,377,153 4,594,811 2,873,013 1,520,248 201,550 3,624,766 3,624,766 153,765,060 127,593,413 25,962,295 209,352 1,268,396 445,508 824,718 (1,830) PROGRAM PRODUCTION 49,413,985 45,111,379 3,995,025 307,581 RESEARCH/SUBCONTRACT 33,960,442 33,960,442 COLLECTIONS/EQUIPMENT/ACCRUED EXP 28,333,210 25,993,322 2,260,201 79,687 OVERHEAD COST RECOVERY ON GRANTS 0 22,554,665 (22,554,665) 0 0 0 0

1,374,738,856 1,052,299,873 278,794,824 43,644,159 ✔

10,830,188 8,312,523 2,517,665

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 11 

Part X Balance Sheet

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

Assets Liabilities Net Assets or Fund Balances

(A) 

Beginning of year

(B) 

End of year

1 Cash—non-interest-bearing . . . . . . . . . . . . . . 1 

2 Savings and temporary cash investments . . . . . . . . . . 2 

3 Pledges and grants receivable, net . . . . . . . . . . . . 3 

4 Accounts receivable, net . . . . . . . . . . . . . . . 4 

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

trustees, key employees, and highest compensated employees. 

Complete Part II of Schedule L . . . . . . . . . . . . . 5 

6 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 instructions). Complete Part II of Schedule L . . . . . . . 6 

7 Notes and loans receivable, net . . . . . . . . . . . . . 7 

8 Inventories for sale or use . . . . . . . . . . . . . . . 8 

9 Prepaid expenses and deferred charges . . . . . . . . . . 9 

10a Land, buildings, and equipment: cost or 

other basis. Complete Part VI of Schedule D 10a

b Less: accumulated depreciation . . . . 10b 10c

11 Investments—publicly traded securities . . . . . . . . . . 11 

12 Investments—other securities. See Part IV, line 11 . . . . . . . 12 

13 Investments—program-related. See Part IV, line 11 . . . . . . . 13 

14 Intangible assets . . . . . . . . . . . . . . . . . . 14 

15 Other assets. See Part IV, line 11 . . . . . . . . . . . . . 15 

16 Total assets. Add lines 1 through 15 (must equal line 34) . . . . . 16 

17 Accounts payable and accrued expenses . . . . . . . . . . 17 

18 Grants payable . . . . . . . . . . . . . . . . . . . 18 

19 Deferred revenue . . . . . . . . . . . . . . . . . . 19 

20 Tax-exempt bond liabilities . . . . . . . . . . . . . . . 20 

21 Escrow or custodial account liability. Complete Part IV of Schedule D . 21 

22 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 . . . . . . 22 

23 Secured mortgages and notes payable to unrelated third parties . . 23 

24 Unsecured notes and loans payable to unrelated third parties . . . 24 

25 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 . . . . . . . . . . . . . . . . . . . 25 

26 Total liabilities. Add lines 17 through 25 . . . . . . . . . . 26 

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

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

27 Unrestricted net assets . . . . . . . . . . . . . . . . 27 

28 Temporarily restricted net assets . . . . . . . . . . . . . 28 

29 Permanently restricted net assets . . . . . . . . . . . . . 29 

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

complete lines 30 through 34.

30 Capital stock or trust principal, or current funds . . . . . . . . 30 

31 Paid-in or capital surplus, or land, building, or equipment fund . . . 31 

32 Retained earnings, endowment, accumulated income, or other funds . 32 

33 Total net assets or fund balances . . . . . . . . . . . . . 33 

34 Total liabilities and net assets/fund balances . . . . . . . . . 34 

Form 990 (2016) 

407,562,748 440,423,714 23,446,852 15,120,167 288,750,726 243,071,341 48,830,546 39,110,157 0 0

0 0

0 0

13,084,526 13,502,687 18,171,247 17,578,541 4,508,818,295 2,166,586,190 2,332,085,530 2,342,232,105 414,869,111 463,022,103 1,127,208,144 1,274,787,874 0 0

0 0

38,922,608 40,966,272 4,712,932,038 4,889,814,961 286,293,705 296,140,780 0 0

343,096,650 360,175,278 101,221,443 99,653,229 0 0

0 0

0 0

100,000,000 100,000,000 51,380,604 49,919,604 881,992,402 905,888,891 ✔

2,651,205,341 2,766,324,476 670,393,313 692,042,888 509,340,982 525,558,706 0 0

0 0

0 0

3,830,939,636 3,983,926,070 4,712,932,038 4,889,814,961

PUBLIC DISCLOSURE COPY
Form 990 (2016) Page 12 

Part XI Reconciliation of Net Assets

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

1 Total revenue (must equal Part VIII, column (A), line 12) . . . . . . . . . . . . . . 1 

2 Total expenses (must equal Part IX, column (A), line 25) . . . . . . . . . . . . . 2 

3 Revenue less expenses. Subtract line 2 from line 1 . . . . . . . . . . . . . . . 3 

4 Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) . . . 4 

5 Net unrealized gains (losses) on investments . . . . . . . . . . . . . . . . . 5 

6 Donated services and use of facilities . . . . . . . . . . . . . . . . . . . 6 

7 Investment expenses . . . . . . . . . . . . . . . . . . . . . . . . . 7

8 Prior period adjustments . . . . . . . . . . . . . . . . . . . . . . . . 8

9 Other changes in net assets or fund balances (explain in Schedule O) . . . . . . . . . 9

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

33, column (B)) . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Part XII Financial Statements and Reporting

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

Yes No

1 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.

2a Were the organization’s financial statements compiled or reviewed by an independent accountant? . . . 2a

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

b Were the organization’s financial statements audited by an independent accountant? . . . . . . . 2b

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

c 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? 2c

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

Schedule O.

3a 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?. . . . . . . . . . . . . . . . . . . . . 3a

b 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. 3b

Form 990 (2016) 

✔

1,456,826,975 1,374,738,856 82,088,119 3,830,939,636 90,397,275 (19,498,960) 3,983,926,070 ✔

✔

✔

✔

✔

✔

✔

PUBLIC DISCLOSURE COPY
Part VII Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)

(A) Name and Title (B) Average hours

per week

(list any hours for related

organizations below

dotted line)

(C) Position

(Check all that apply)

(D) Reportable

compensation

from the

organization

(W-2/1099-MISC)

(E) Reportable

compensation

from related

organizations

(W-2/1099-MISC)

(F) Estimated

amount of other

compensation

from the

organization and

related

organizations

Individual trustee or directorInstitutional trusteeOfficerKey employeeHighest compensated employeeFormer

(25) JUDITH LEONARD

----------------------------------------------------

GENERAL COUNSEL

50.0

------------------------- 198,169 0 36,642

(26) PORTER WILKINSON

----------------------------------------------------

CHIEF OF STAFF - REGENTS

50.0

------------------------- 153,952 0 31,716

(27) PATRICIA BARTLETT

----------------------------------------------------

ACTING ASST. SECRETARY,

EDUCATION & ACCESS

50.0

------------------------- 191,033 0 38,353

(28) NANCY BECHTOL

----------------------------------------------------

DIRECTOR - FACILITIES

50.0

------------------------- 193,204 0 27,671

(29) DERON BURBA

----------------------------------------------------

CHIEF INFORMATION OFFICER

50.0

------------------------- 193,289 0 50,251

(30) AMY CHEN

----------------------------------------------------

CHIEF INVESTMENT OFFICER

50.0

------------------------- 635,703 0 38,399

(31) VIRGINIA CLARK

----------------------------------------------------

ASSISTANT SECRETARY FOR

ADVANCEMENT

50.0

------------------------- 362,029 0 57,048

(32) BRUCE DAUER

----------------------------------------------------

VICE PRESIDENT FINANCE/ADM -

SMITHSONIAN ENTERPRISES

50.0

------------------------- 279,290 0 34,251

(33) JAMES DOUGLAS

----------------------------------------------------

DIRECTOR - OFFICE OF HUMAN

RESOURCES

50.0

------------------------- 191,561 0 31,353

(34) JEAN GARVIN

----------------------------------------------------

DIRECTOR - FINANCE &

ACCOUNTING

50.0

------------------------- 190,050 0 43,894

(35) RICHARD KURIN

----------------------------------------------------

ACTING PROVOST

50.0

------------------------- 337,084 0 54,053

(36) JOHN LAPIANA

----------------------------------------------------

ACTING ASST. SECRETARY,

COMMUNICATION & EXTERNAL

AFFAIRS

50.0

------------------------- 194,621 0 36,446

(37) CHRISTOPHER LIEDEL

----------------------------------------------------

PRESIDENT - SMITHSONIAN

ENTERPRISES

50.0

------------------------- 577,591 0 69,044

(38) ERA MARSHALL

----------------------------------------------------

DIRECTOR - EQUAL EMPLOYMENT

& MINORITY AFFAIRS

50.0

------------------------- 179,019 0 17,786

(39) MARY PAYNE

----------------------------------------------------

DIRECTOR - OFFICE OF

GOVERNMENT RELATIONS

50.0

------------------------- 193,050 0 39,325

(40) DAVID VOYLES

----------------------------------------------------

DIRECTOR - PLANNING,

MANAGEMENT & BUDGET

50.0

------------------------- 181,162 0 15,473

(41) MICHAEL CARUSO

----------------------------------------------------

EDITOR IN CHIEF - SMITHSONIAN

MAGAZINE

50.0

------------------------- 388,933 0 67,824

PUBLIC DISCLOSURE COPY
(A) Name and Title (B) Average hours

per week

(list any hours for related

organizations below

dotted line)

(C) Position

(Check all that apply)

(D) Reportable

compensation

from the

organization

(W-2/1099-MISC)

(E) Reportable

compensation

from related

organizations

(W-2/1099-MISC)

(F) Estimated

amount of other

compensation

from the

organization and

related

organizations

Individual trustee or directorInstitutional trusteeOfficerKey employeeHighest compensated employeeFormer

(42) MELISSA CHIU

----------------------------------------------------

DIRECTOR - HIRSHHORN MUSEUM

50.0

------------------------- 398,011 0 66,466

(43) RYAN DOTSON

----------------------------------------------------

INVESTMENT OFFICER

50.0

------------------------- 383,474 0 46,365

(44) MICHAEL GIOVENCO

----------------------------------------------------

INVESTMENT OFFICER

50.0

------------------------- 432,344 0 31,474

(45) JEFFREY SMITH

----------------------------------------------------

INVESTMENT OFFICER

50.0

------------------------- 504,411 0 48,954

(46) KENNETH JOHNSON

----------------------------------------------------

FORMER ACTING DIRECTOR -

PLANNING, MANAGEMENT &

BUDGET

50.0

------------------------- 182,877 0 9,246

(47) JOHN KRESS

----------------------------------------------------

FORMER INTERIM UNDER

SECRETARY - SCIENCE

50.0

------------------------- 174,395 0 27,476

(48) ANDREW ZINO

----------------------------------------------------

FORMER COMPTROLLER

50.0

------------------------- 196,346 0 24,284

PUBLIC DISCLOSURE COPY
SCHEDULE A 

(Form 990 or 990-EZ)

Department of the Treasury 

Internal Revenue Service 

Public Charity Status and Public Support

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. 

▶ Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I Reason for Public Charity Status (All organizations must complete this part.) See instructions.

The organization is not a private foundation because it is: (For lines 1 through 12, check only one box.)

1 A church, convention of churches, or association of churches described in section 170(b)(1)(A)(i).

 2 A school described in section 170(b)(1)(A)(ii). (Attach Schedule E (Form 990 or 990-EZ).)

 3 A hospital or a cooperative hospital service organization described in section 170(b)(1)(A)(iii).

4 A medical research organization operated in conjunction with a hospital described in section 170(b)(1)(A)(iii). Enter the 

hospital’s name, city, and state:

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

section 170(b)(1)(A)(iv). (Complete Part II.)

6 A federal, state, or local government or governmental unit described in section 170(b)(1)(A)(v).

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

described in section 170(b)(1)(A)(vi). (Complete Part II.)

8 A community trust described in section 170(b)(1)(A)(vi). (Complete Part II.)

 9 An agricultural research organization described in section 170(b)(1)(A)(ix) operated in conjunction with a land-grant college 

or university or a non-land-grant college of agriculture (see instructions). Enter the name, city, and state of the college or 

university:

10 An organization that normally receives: (1) more than 331/3% 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 331/3% 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 section 509(a)(2). (Complete Part III.)

 11 An organization organized and operated exclusively to test for public safety. See section 509(a)(4).

 12 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 section 509(a)(1) or section 509(a)(2). See section 509(a)(3). 

Check the box in lines 12a through 12d that describes the type of supporting organization and complete lines 12e, 12f, and 12g.

a Type I. 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. You must complete Part IV, Sections A and B.

b Type II. 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). You must complete Part IV, Sections A and C.

c Type III functionally integrated. A supporting organization operated in connection with, and functionally integrated with, 

its supported organization(s) (see instructions). You must complete Part IV, Sections A, D, and E.

d Type III non-functionally integrated. 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). You must complete Part IV, Sections A and D, and Part V.

e 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.

f Enter the number of supported organizations . . . . . . . . . . . . . . . . . . . . . . .

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

(i) Name of supported organization (ii) EIN (iii) Type of organization

(described on lines 1–10

above (see instructions))

(iv) Is the organization

listed in your governing 

document?

(v) Amount of monetary 

support (see 

instructions)

(vi) Amount of 

other support (see 

instructions)

 Yes No 

(A)

(B)

(C)

(D)

(E)

Total

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Cat. No. 11285F Schedule A (Form 990 or 990-EZ) 2016

SMITHSONIAN INSTITUTION 53-0206027 ✔

PUBLIC DISCLOSURE COPY
Schedule A (Form 990 or 990-EZ) 2016 Page 2

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

(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.)

Section A. Public Support

Calendar year (or fiscal year beginning in) ▶ (a) 2012 (b) 2013 (c) 2014 (d) 2015 (e) 2016 (f) Total

1 Gifts, grants, contributions, and 

membership fees received. (Do not 

include any “unusual grants.”) . . .

2 Tax revenues levied for the 

organization’s benefit and either paid 

to or expended on its behalf . . .

3 The value of services or facilities 

furnished by a governmental unit to the 

organization without charge . . . .

4 Total. Add lines 1 through 3 . . . .

5 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) . . . .

6 Public support. Subtract line 5 from line 4

Section B. Total Support

Calendar year (or fiscal year beginning in) ▶ (a) 2012 (b) 2013 (c) 2014 (d) 2015 (e) 2016 (f) Total

7 Amounts from line 4 . . . . . .

8 Gross income from interest, dividends, 

payments received on securities loans, 

rents, royalties and income from similar 

sources . . . . . . . . . .

9 Net income from unrelated business 

activities, whether or not the business 

is regularly carried on . . . . .

10 Other income. Do not include gain or 

loss from the sale of capital assets 

(Explain in Part VI.) . . . . . . .

11 Total support. Add lines 7 through 10

 12 Gross receipts from related activities, etc. (see instructions) . . . . . . . . . . . . 12

13 First five years. 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 stop here . . . . . . . . . . . . . . . . . . . . . . . . . ▶

Section C. Computation of Public Support Percentage

14 Public support percentage for 2016 (line 6, column (f) divided by line 11, column (f)) . . . . 14 %

15 Public support percentage from 2015 Schedule A, Part II, line 14 . . . . . . . . . . 15 %

16 a 331/3% support test—2016. If the organization did not check the box on line 13, and line 14 is 331/3% or more, check this 

box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . . ▶

b 331/3% support test—2015. If the organization did not check a box on line 13 or 16a, and line 15 is 331/3% or more, check 

this box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . ▶

17 a 10%-facts-and-circumstances test—2016. 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 stop here. Explain in 

Part VI how the organization meets the “facts-and-circumstances” test. The organization qualifies as a publicly supported 

organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ▶

b 10%-facts-and-circumstances test—2015. 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 stop here.

Explain in Part VI how the organization meets the “facts-and-circumstances” test. The organization qualifies as a publicly 

supported organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ▶

18 Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see 

instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ▶

Schedule A (Form 990 or 990-EZ) 2016

1,120,530,769 1,190,256,002 1,097,910,208 1,221,449,061 1,174,926,626 5,805,072,6660

0

1,120,530,769 1,190,256,002 1,097,910,208 1,221,449,061 1,174,926,626 5,805,072,6660

5,805,072,666 1,120,530,769 1,190,256,002 1,097,910,208 1,221,449,061 1,174,926,626 5,805,072,666 20,622,076 35,313,796 26,621,870 28,671,980 36,693,083 147,922,8050

0 0 0 0 0 0

5,952,995,471 833,896,442 97.52 97.81 ✔

PUBLIC DISCLOSURE COPY
Schedule A (Form 990 or 990-EZ) 2016 Page 3

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

(Complete only if you checked the box on line 10 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.)

Section A. Public Support

Calendar year (or fiscal year beginning in) ▶ (a) 2012 (b) 2013 (c) 2014 (d) 2015 (e) 2016 (f) Total

1 Gifts, grants, contributions, and membership fees 

received. (Do not include any “unusual grants.”) 

2 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 . . .

3 Gross receipts from activities that are not an 

unrelated trade or business under section 513

4 Tax revenues levied for the 

organization’s benefit and either paid 

to or expended on its behalf . . .

5 The value of services or facilities 

furnished by a governmental unit to the 

organization without charge . . . .

6 Total. Add lines 1 through 5 . . . .

7a Amounts included on lines 1, 2, and 3 

received from disqualified persons .

b 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 

c Add lines 7a and 7b . . . . . .

8 Public support. (Subtract line 7c from

line 6.) . . . . . . . . . . .

Section B. Total Support

Calendar year (or fiscal year beginning in) ▶ (a) 2012 (b) 2013 (c) 2014 (d) 2015 (e) 2016 (f) Total

9 Amounts from line 6 . . . . . .

10a Gross income from interest, dividends, 

payments received on securities loans, rents, 

royalties and income from similar sources .

b Unrelated business taxable income (less 

section 511 taxes) from businesses 

acquired after June 30, 1975 . . . .

c Add lines 10a and 10b . . . . .

11 Net income from unrelated business 

activities not included in line 10b, whether 

or not the business is regularly carried on 

12 Other income. Do not include gain or 

loss from the sale of capital assets 

(Explain in Part VI.) . . . . . . .

13 Total support. (Add lines 9, 10c, 11,

and 12.) . . . . . . . . . .

14 First five years. 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 stop here . . . . . . . . . . . . . . . . . . . . . . . . . ▶

Section C. Computation of Public Support Percentage

15 Public support percentage for 2016 (line 8, column (f) divided by line 13, column (f)) . . . . . 15 %

16 Public support percentage from 2015 Schedule A, Part III, line 15 . . . . . . . . . . . 16 %

Section D. Computation of Investment Income Percentage

17 Investment income percentage for 2016 (line 10c, column (f) divided by line 13, column (f)) . . . 17 %

18 Investment income percentage from 2015 Schedule A, Part III, line 17 . . . . . . . . . . 18 %

19a 331/3% support tests—2016. If the organization did not check the box on line 14, and line 15 is more than 331/3%, and line 

17 is not more than 331/3%, check this box and stop here. The organization qualifies as a publicly supported organization . ▶

b 331/3% support tests—2015. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 331/3%, and

line 18 is not more than 331/3%, check this box and stop here. The organization qualifies as a publicly supported organization ▶

20 Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions ▶

Schedule A (Form 990 or 990-EZ) 2016

PUBLIC DISCLOSURE COPY
Schedule A (Form 990 or 990-EZ) 2016 Page 4

Part IV Supporting Organizations 

(Complete only if you checked a box in line 12 on Part I. If you checked 12a of Part I, complete Sections A 

and B. If you checked 12b of Part I, complete Sections A and C. If you checked 12c of Part I, complete 

Sections A, D, and E. If you checked 12d of Part I, complete Sections A and D, and complete Part V.)

Section A. All Supporting Organizations

Yes No

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

documents? If “No,” describe in Part VI how the supported organizations are designated. If designated by 

class or purpose, describe the designation. If historic and continuing relationship, explain. 1

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

under section 509(a)(1) or (2)? If “Yes,” explain in Part VI how the organization determined that the supported

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

 3a Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? If “Yes,” answer 

(b) and (c) below. 3a

b 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)? If “Yes,” describe in Part VI when and how the

organization made the determination. 3b

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

purposes? If “Yes,” explain in Part VI what controls the organization put in place to ensure such use. 3c

4a Was any supported organization not organized in the United States (“foreign supported organization”)? If

“Yes,” and if you checked 12a or 12b in Part I, answer (b) and (c) below. 4a

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

supported organization? If “Yes,” describe in Part VI how the organization had such control and discretion

despite being controlled or supervised by or in connection with its supported organizations. 4b

c 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)? If “Yes,” explain in Part VI 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. 4c

5a Did the organization add, substitute, or remove any supported organizations during the tax year? If “Yes,”

answer (b) and (c) below (if applicable). Also, provide detail in Part VI, 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). 5a

b Type I or Type II only. Was any added or substituted supported organization part of a class already

designated in the organization's organizing document? 5b

c Substitutions only. Was the substitution the result of an event beyond the organization's control? 5c

6 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? If “Yes,” provide detail in Part VI. 6

7 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? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ). 7

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

If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ). 8

 9a 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))? If “Yes,” provide detail in Part VI. 9a

b 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? If “Yes,” provide detail in Part VI. 9b

c 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? If “Yes,” provide detail in Part VI. 9c

10a 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)? If “Yes,” answer 10b below. 10a

b Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to 

determine whether the organization had excess business holdings.) 10b

Schedule A (Form 990 or 990-EZ) 2016

PUBLIC DISCLOSURE COPY
Schedule A (Form 990 or 990-EZ) 2016 Page 5

Part IV Supporting Organizations (continued) 

Yes No

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

a 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? 11a

b A family member of a person described in (a) above? 11b

c A 35% controlled entity of a person described in (a) or (b) above? If “Yes” to a, b, or c, provide detail in Part VI. 11c

Section B. Type I Supporting Organizations

Yes No

1 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? If “No,” describe in Part VI 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. 1

 2 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? If “Yes,” explain in Part 

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

supervised, or controlled the supporting organization. 2

Section C. Type II Supporting Organizations

Yes No

1 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)? If “No,” describe in Part VI how control 

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

the supported organization(s). 1

Section D. All Type III Supporting Organizations

Yes No

1 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? 1

 2 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? If “No,” explain in Part VI how 

the organization maintained a close and continuous working relationship with the supported organization(s). 2

 3 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? If “Yes,” describe in Part VI the role the organization’s 

supported organizations played in this regard. 3

Section E. Type III Functionally Integrated Supporting Organizations

1 Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions).

a The organization satisfied the Activities Test. Complete line 2 below.

b The organization is the parent of each of its supported organizations. Complete line 3 below.

c The organization supported a governmental entity. Describe in Part VI how you supported a government entity (see instructions).

 2 Activities Test. Answer (a) and (b) below. Yes No

a 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? If “Yes,” then in Part VI identify 

those supported organizations and explain 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. 2a

b 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? If “Yes,” explain in Part VI the 

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

activities but for the organization’s involvement. 2b

 3 Parent of Supported Organizations. Answer (a) and (b) below.

a 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 Part VI. 3a

b 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 the role played by the organization in this regard. 3b

Schedule A (Form 990 or 990-EZ) 2016

PUBLIC DISCLOSURE COPY
Schedule A (Form 990 or 990-EZ) 2016 Page 6

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

1 Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov. 20, 1970 (explain in Part VI). See 

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

Section A - Adjusted Net Income (A) Prior Year (B) Current Year 

 (optional)

1 Net short-term capital gain 1

2 Recoveries of prior-year distributions 2

3 Other gross income (see instructions) 3

4 Add lines 1 through 3. 4

5 Depreciation and depletion 5

6 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) 6

7 Other expenses (see instructions) 7

8 Adjusted Net Income (subtract lines 5, 6, and 7 from line 4). 8

Section B - Minimum Asset Amount (A) Prior Year (B) Current Year 

 (optional)

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

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

a Average monthly value of securities 1a

b Average monthly cash balances 1b

c Fair market value of other non-exempt-use assets 1c

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

e Discount claimed for blockage or other 

factors (explain in detail in Part VI):

2 Acquisition indebtedness applicable to non-exempt-use assets 2

3 Subtract line 2 from line 1d. 3

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

see instructions). 4

5 Net value of non-exempt-use assets (subtract line 4 from line 3) 5

6 Multiply line 5 by .035. 6

7 Recoveries of prior-year distributions 7

8 Minimum Asset Amount (add line 7 to line 6) 8

Section C - Distributable Amount Current Year 

1 Adjusted net income for prior year (from Section A, line 8, Column A) 1

2 Enter 85% of line 1. 2

3 Minimum asset amount for prior year (from Section B, line 8, Column A) 3 

4 Enter greater of line 2 or line 3. 4 

5 Income tax imposed in prior year 5

6 Distributable Amount. Subtract line 5 from line 4, unless subject to 

emergency temporary reduction (see instructions). 6

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

instructions).

Schedule A (Form 990 or 990-EZ) 2016

PUBLIC DISCLOSURE COPY
Schedule A (Form 990 or 990-EZ) 2016 Page 7

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

Section D - Distributions Current Year

1 Amounts paid to supported organizations to accomplish exempt purposes

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

organizations, in excess of income from activity

3 Administrative expenses paid to accomplish exempt purposes of supported organizations

4 Amounts paid to acquire exempt-use assets

5 Qualified set-aside amounts (prior IRS approval required)

6 Other distributions (describe in Part VI). See instructions.

7 Total annual distributions. Add lines 1 through 6.

8 Distributions to attentive supported organizations to which the organization is responsive 

(provide details in Part VI). See instructions.

9 Distributable amount for 2016 from Section C, line 6

10 Line 8 amount divided by Line 9 amount

Section E - Distribution Allocations (see instructions) (i) 

Excess Distributions

(ii) 

Underdistributions 

Pre-2016

(iii) 

Distributable 

Amount for 2016

1 Distributable amount for 2016 from Section C, line 6

2 

Underdistributions, if any, for years prior to 2016 

(reasonable cause required—explain in Part VI). See 

instructions.

3 Excess distributions carryover, if any, to 2016:

a 

b 

c From 2013 . . . . . 

d From 2014 . . . . . 

e From 2015 . . . . .

f Total of lines 3a through e

g Applied to underdistributions of prior years

h Applied to 2016 distributable amount

i Carryover from 2011 not applied (see instructions)

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

4 Distributions for 2016 from 

Section D, line 7: $

a Applied to underdistributions of prior years

b Applied to 2016 distributable amount

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

5 Remaining underdistributions for years prior to 2016, if 

any. Subtract lines 3g and 4a from line 2. For result 

greater than zero, explain in Part VI. See instructions.

6 Remaining underdistributions for 2016. Subtract lines 3h 

and 4b from line 1. For result greater than zero, explain in 

Part VI. See instructions.

7 Excess distributions carryover to 2017. Add lines 3j 

and 4c.

8 Breakdown of line 7:

a 

b Excess from 2013 . . . 

c Excess from 2014 . . . 

d Excess from 2015 . . .

e Excess from 2016 . . .

Schedule A (Form 990 or 990-EZ) 2016

PUBLIC DISCLOSURE COPY
Schedule B

(Form 990, 990-EZ, 

or 990-PF)

Department of the Treasury 

Internal Revenue Service

Schedule of Contributors

▶ 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 www.irs.gov/form990.

OMB No. 1545-0047

2016

Name of the organization Employer identification number

Organization type (check one):

Filers of: Section:

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

4947(a)(1) nonexempt charitable trust not 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 General Rule or a Special Rule.

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

instructions.

General Rule

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.

Special Rules

For an organization described in section 501(c)(3) filing Form 990 or 990-EZ that met the 331/3 % 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 (1) 

$5,000 or (2) 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 exclusively 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 exclusively 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 exclusively religious, charitable, etc., purpose. Don't complete any of the parts unless the 

General Rule applies to this organization because it received nonexclusively religious, charitable, etc., contributions 

totaling $5,000 or more during the year . . . . . . . . . . . . . . . . . . ▶ $

Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't file Schedule B (Form 990,

990-EZ, or 990-PF), but it must 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 doesn't meet the filing requirements of Schedule B (Form 990, 990-EZ, or 990-PF).

For Paperwork Reduction Act Notice, see the Instructions for Form 990, 990-EZ, or 990-PF. Cat. No. 30613X Schedule B (Form 990, 990-EZ, or 990-PF) (2016)

SMITHSONIAN INSTITUTION 53-0206027 ✔ 3

✔

PUBLIC DISCLOSURE COPY
Schedule B (Form 990, 990-EZ, or 990-PF) (2016) Page 2

Name of organization Employer identification number

Part I Contributors (See instructions). Use duplicate copies of Part I if additional space is needed.

(a) 

No.

(b) 

Name, address, and ZIP + 4

(c) 

Total contributions

(d) 

Type of contribution

$

Person

Payroll

Noncash

(Complete Part II for 

noncash contributions.)

(a) 

No.

(b) 

Name, address, and ZIP + 4

(c) 

Total contributions

(d) 

Type of contribution

$

Person

Payroll

Noncash

(Complete Part II for 

noncash contributions.)

(a) 

No.

(b) 

Name, address, and ZIP + 4

(c) 

Total contributions

(d) 

Type of contribution

$

Person

Payroll

Noncash

(Complete Part II for 

noncash contributions.)

(a) 

No.

(b) 

Name, address, and ZIP + 4

(c) 

Total contributions

(d) 

Type of contribution

$

Person

Payroll

Noncash

(Complete Part II for 

noncash contributions.)

(a) 

No.

(b) 

Name, address, and ZIP + 4

(c) 

Total contributions

(d) 

Type of contribution

$

Person

Payroll

Noncash

(Complete Part II for 

noncash contributions.)

(a) 

No.

(b) 

Name, address, and ZIP + 4

(c) 

Total contributions

(d) 

Type of contribution

$

Person

Payroll

Noncash

(Complete Part II for 

noncash contributions.)

Schedule B (Form 990, 990-EZ, or 990-PF) (2016)

SMITHSONIAN INSTITUTION 53-0206027 1

840,970,384 ✔

PUBLIC DISCLOSURE COPY
Schedule B (Form 990, 990-EZ, or 990-PF) (2016) Page 3

Name of organization Employer identification number

Part II Noncash Property (See instructions). Use duplicate copies of Part II if additional space is needed.

(a) No. 

from 

Part I

(b) 

Description of noncash property given

(c) 

FMV (or estimate) 

(See instructions)

(d) 

Date received

$

(a) No. 

from 

Part I

(b) 

Description of noncash property given

(c) 

FMV (or estimate) 

(See instructions)

(d) 

Date received

$

(a) No. 

from 

Part I

(b) 

Description of noncash property given

(c) 

FMV (or estimate) 

(See instructions)

(d) 

Date received

$

(a) No. 

from 

Part I

(b) 

Description of noncash property given

(c) 

FMV (or estimate) 

(See instructions)

(d) 

Date received

$

(a) No. 

from 

Part I

(b) 

Description of noncash property given

(c) 

FMV (or estimate) 

(See instructions)

(d) 

Date received

$

(a) No. 

from 

Part I

(b) 

Description of noncash property given

(c) 

FMV (or estimate) 

(See instructions)

(d) 

Date received

$

Schedule B (Form 990, 990-EZ, or 990-PF) (2016)

SMITHSONIAN INSTITUTION 53-0206027

PUBLIC DISCLOSURE COPY
Schedule B (Form 990, 990-EZ, or 990-PF) (2016) Page 4

Name of organization Employer identification number

Part III Exclusively 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. Complete columns (a) through (e) and 

the following line entry. For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,

contributions of $1,000 or less for the year. (Enter this information once. See instructions.) ▶ $

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

(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

Schedule B (Form 990, 990-EZ, or 990-PF) (2016)

SMITHSONIAN INSTITUTION 53-0206027

PUBLIC DISCLOSURE COPY
SCHEDULE D 

(Form 990)

Department of the Treasury 

Internal Revenue Service 

Supplemental Financial Statements

▶ 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 www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

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

Complete if the organization answered “Yes” on Form 990, Part IV, line 6.

(a) Donor advised funds (b) Funds and other accounts

1 Total number at end of year . . . . . . .

2 Aggregate value of contributions to (during year) 

3 Aggregate value of grants from (during year) .

4 Aggregate value at end of year . . . . . .

5 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? . . . . . . Yes No

6 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? . . . . . . . . . . . . . . . . . . . . . . Yes No

Part II Conservation Easements. 

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

1 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

2 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. Held at the End of the Tax Year

a Total number of conservation easements . . . . . . . . . . . . . . . . . 2a

b Total acreage restricted by conservation easements . . . . . . . . . . . . . . 2b

c Number of conservation easements on a certified historic structure included in (a) . . . . 2c

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

historic structure listed in the National Register . . . . . . . . . . . . . . . 2d

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

tax year ▶

4 Number of states where property subject to conservation easement is located ▶

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

violations, and enforcement of the conservation easements it holds? . . . . . . . . . . . . . Yes No

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

▶

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

▶ $

8 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)? . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

9 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.

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

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

1 a 

 

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.

b 

 

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:

(i) Revenue included on Form 990, Part VIII, line 1 . . . . . . . . . . . . . . . . ▶ $

(ii) Assets included in Form 990, Part X . . . . . . . . . . . . . . . . . . . . ▶ $

2 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:

a Revenue included on Form 990, Part VIII, line 1 . . . . . . . . . . . . . . . . . ▶ $

b Assets included in Form 990, Part X . . . . . . . . . . . . . . . . . . . . . ▶ $

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 52283D Schedule D (Form 990) 2016

SMITHSONIAN INSTITUTION 53-0206027 ✔

1

88.25 0

0

0

1

✔

0

PUBLIC DISCLOSURE COPY
Schedule D (Form 990) 2016 Page 2 

Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)

3 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):

a Public exhibition

b Scholarly research

c Preservation for future generations

d Loan or exchange programs

e Other

4 Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in Part 

XIII.

5 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? . . Yes No

Part IV Escrow and Custodial Arrangements. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 9, or reported an amount on Form 

990, Part X, line 21.

1 a Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not 

included on Form 990, Part X? . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

b If “Yes,” explain the arrangement in Part XIII and complete the following table:

Amount

c Beginning balance . . . . . . . . . . . . . . . . . . . . . . 1c

d Additions during the year . . . . . . . . . . . . . . . . . . . 1d

e Distributions during the year . . . . . . . . . . . . . . . . . . 1e

f Ending balance . . . . . . . . . . . . . . . . . . . . . . . 1f

2a Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? Yes No

b If “Yes,” explain the arrangement in Part XIII. Check here if the explanation has been provided on Part XIII . . . .

Part V Endowment Funds. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 10.

(a) Current year (b) Prior year (c) Two years back (d) Three years back (e) Four years back

1a Beginning of year balance . . .

b Contributions . . . . . . .

c Net investment earnings, gains, and 

losses . . . . . . . . . .

d Grants or scholarships . . . .

e Other expenditures for facilities and 

programs . . . . . . . . .

f Administrative expenses . . . .

g End of year balance . . . . .

2 Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:

a Board designated or quasi-endowment ▶ %

b Permanent endowment ▶ %

c Temporarily restricted endowment ▶ %

The percentages on lines 2a, 2b, and 2c should equal 100%.

3 a Are there endowment funds not in the possession of the organization that are held and administered for the

organization by: Yes No

(i) unrelated organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . 3a(i)

(ii) related organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3a(ii)

b If “Yes” on line 3a(ii), are the related organizations listed as required on Schedule R? . . . . . . . . 3b

4 Describe in Part XIII the intended uses of the organization’s endowment funds.

Part VI Land, Buildings, and Equipment. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 11a. See Form 990, Part X, line 10.

Description of property (a) Cost or other basis

(investment)

(b) Cost or other basis 

(other)

(c) Accumulated

depreciation

(d) Book value

1a Land . . . . . . . . . . .

b Buildings . . . . . . . . . .

c Leasehold improvements . . . .

d Equipment . . . . . . . . .

e Other . . . . . . . . . . .

Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10c.) . . . . . ▶

Schedule D (Form 990) 2016

✔

✔

✔

✔

✔

1,368,754,997 1,288,235,067 1,299,208,124 1,191,094,313 1,074,356,857 42,062,815 52,940,072 49,265,188 37,894,600 34,861,990 166,875,266 99,512,052 2,426,301 130,483,529 139,875,394 71,427,379 67,486,808 59,663,483 57,266,941 55,408,994 4,106,359 4,445,386 3,001,063 2,997,377 2,590,934 1,502,159,340 1,368,754,997 1,288,235,067 1,299,208,124 1,191,094,313 44.60 32.30 23.10 ✔

✔

12,582,149 12,582,149 3,551,107,101 1,797,528,078 1,753,579,023 133,470,296 80,152,671 53,317,625 405,946,994 288,905,441 117,041,553 405,711,755 405,711,755 2,342,232,105

PUBLIC DISCLOSURE COPY
Schedule D (Form 990) 2016 Page 3 

Part VII Investments—Other Securities. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 11b. See Form 990, Part X, line 12.

(a) Description of security or category

(including name of security)

(b) Book value (c) Method of valuation: 

Cost or end-of-year market value

(1) Financial derivatives . . . . . . . . . . . . . . .

(2) Closely-held equity interests . . . . . . . . . . . . .

(3) Other

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.) ▶

Part VIII Investments—Program Related. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 11c. See Form 990, Part X, line 13.

(a) Description of investment (b) Book value (c) Method of valuation: 

Cost or end-of-year market value

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

Total. (Column (b) must equal Form 990, Part X, col. (B) line 13.) ▶

Part IX Other Assets. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 11d. See Form 990, Part X, line 15.

(a) Description (b) Book value

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

Total. (Column (b) must equal Form 990, Part X, col. (B) line 15.) . . . . . . . . . . . . . . ▶

Part X Other Liabilities. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 11e or 11f. See Form 990, Part X, 

line 25.

1. (a) Description of liability (b) Book value

(1) Federal income taxes

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

Total. (Column (b) must equal Form 990, Part X, col. (B) line 25.) ▶

2. 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 

Schedule D (Form 990) 2016

GLOBAL & EMERGING MARKETS 403,788,259 END OF YEAR MARKET VALUE MARKETABLE ALTERNATIVES 282,842,201 END OF YEAR MARKET VALUE PRIVATE EQUITY & VENTURE CAPITAL 356,617,644 END OF YEAR MARKET VALUE NATURAL RESOURCES 88,558,167 END OF YEAR MARKET VALUE REAL ESTATE 120,470,150 END OF YEAR MARKET VALUE FIXED INCOME 22,511,453 END OF YEAR MARKET VALUE 1,274,787,874 ENVIRONMENTAL REMEDIATION OBLIGATION 49,919,604 49,919,604 ✔

PUBLIC DISCLOSURE COPY
Schedule D (Form 990) 2016 Page 4 

Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 12a.

1 Total revenue, gains, and other support per audited financial statements . . . . . . . . . 1

2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:

a Net unrealized gains (losses) on investments . . . . . . . . . 2a

b Donated services and use of facilities . . . . . . . . . . . 2b

c Recoveries of prior year grants . . . . . . . . . . . . . . 2c

d Other (Describe in Part XIII.) . . . . . . . . . . . . . . . 2d

e Add lines 2a through 2d . . . . . . . . . . . . . . . . . . . . . . . . . 2e

3 Subtract line 2e from line 1 . . . . . . . . . . . . . . . . . . . . . . . . 3

4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:

a Investment expenses not included on Form 990, Part VIII, line 7b . . 4a

b Other (Describe in Part XIII.) . . . . . . . . . . . . . . . 4b

c Add lines 4a and 4b . . . . . . . . . . . . . . . . . . . . . . . . . . 4c

5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) . . . . . . . 5

Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. 

Complete if the organization answered “Yes” on Form 990, Part IV, line 12a.

1 Total expenses and losses per audited financial statements . . . . . . . . . . . . . 1

2 Amounts included on line 1 but not on Form 990, Part IX, line 25:

a Donated services and use of facilities . . . . . . . . . . . 2a

b Prior year adjustments . . . . . . . . . . . . . . . . 2b

c Other losses . . . . . . . . . . . . . . . . . . . . 2c

d Other (Describe in Part XIII.) . . . . . . . . . . . . . . . 2d

e Add lines 2a through 2d . . . . . . . . . . . . . . . . . . . . . . . . . 2e

3 Subtract line 2e from line 1 . . . . . . . . . . . . . . . . . . . . . . . . 3

4 Amounts included on Form 990, Part IX, line 25, but not on line 1:

a Investment expenses not included on Form 990, Part VIII, line 7b . . 4a

b Other (Describe in Part XIII.) . . . . . . . . . . . . . . . 4b

c Add lines 4a and 4b . . . . . . . . . . . . . . . . . . . . . . . . . . 4c

5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) . . . . . . . 5

Part XIII Supplemental Information.

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.

Schedule D (Form 990) 2016

1,616,083,987 90,397,275 10,873,340 28,527,538 129,798,153 1,486,285,834 2,836,410 (32,295,269) (29,458,859) 1,456,826,975 1,463,097,553 10,873,340 81,632,723 92,506,063 1,370,591,490 2,836,410 1,310,956 4,147,366 1,374,738,856 SEE STATEMENT

PUBLIC DISCLOSURE COPY
Part XIII 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.

Return Reference - Identifier Explanation

SCHEDULE D, PART XI, LINE

2(D) - OTHER REVENUES IN

AUDITED FINANCIAL

STATEMENTS NOT IN FORM

990

(a) Description (b) Amount

DEFERRED GAIN ON BUILDING 3,908,586

CHANGES IN NET ASSETS OF RELATED ORGANIZATIONS - 73,942

CHANGE IN MINORITY INTEREST - SNI/SI NETWORKS LLC 2,231,900

IMPUTED BENEFIT REVENUE 50,735,025

BAD DEBT EXPENSE/INCREASE IN ALLOWANCE FOR UNCOLLECTIBLE

PLEDGES NETTED AGAINT CONTRIBUTION REVENUE ON AUDITED

FINANCIAL STATEMENTS

- 28,274,031

SCHEDULE D, PART XI, LINE

4(B) - OTHER REVENUE

(a) Description (b) Amount

DIRECT EXPENSES - FUNDRAISING - 2,290,551

DIRECT EXPENSES - COST OF GOODS SOLD - 30,004,718

SCHEDULE D, PART XII, LINE

2(D) - OTHER EXPENSES IN

AUDITED FINANCIAL

STATEMENTS NOT IN FORM

990

(a) Description (b) Amount

DIRECT EXPENSES - FUNDRAISING 2,290,551

DIRECT EXPENSES - COST OF GOODS SOLD 30,004,718

IMPUTED BENEFIT COSTS 50,735,025

ENVIRONMENTAL REMEDIATION LIABILITY ADJUSTMENT - 1,397,571

SCHEDULE D, PART XII, LINE

4(B) - OTHER EXPENSES

(a) Description (b) Amount

INCREASE IN ALLOWANCE FOR UNCOLLECTIBLE PLEDGES NETTED

AGAINST CONTRIBUTION REVENUE ON AUDITED FINANCIAL STATEMENTS

1,310,956

PUBLIC DISCLOSURE COPY
Part XIII Supplemental Information. 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.

Return Reference - Identifier Explanation

SCHEDULE D, PART II,

LINE 3 - CONSERVATION

EASEMENTS

SMITHSONIAN INSTITUTION DID NOT MODIFY, TRANSFER, RELEASE, EXTINGUISH OR TERMINATE ANY

CONSERVATION EASEMENTS DURING THE YEAR.

SCHEDULE D, PART II,

LINE 6 - CONSERVATION

MONITORING POLICIES

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 EASEMENT

ASSOCIATED WITH PROPERTY THAT IS IMMEDIATELY ADJACENT TO SERC LAND OWNED BY THE

INSTITUTION. FACILITIES AND SECURITY STAFF VISIT THE AREA REGULARLY, AND ARE THUS ABLE TO

REPORT ANY UNUSUAL ACTIVITY ON THE LAND SUBJECT TO THE EASEMENT. THE ORGANIZATION DOES

NOT SEPARATELY TRACK THE HOURS AND EXPENSES ASSOCIATED WITH MONITORING THE PROPERTY

RELATED TO THE EASEMENT.

SCHEDULE D, PART II,

LINE 9 - CONSERVATION

EASEMENTS FINANCIAL

REPORTING

THE SMITHSONIAN INSTITUTION'S CONSERVATION EASEMENT DOES NOT APPEAR IN THE INSTITUTION'S

AUDITED FINANCIAL STATEMENTS.

SCHEDULE D, PART III,

LINE 1A - COLLECTIONS

OF ART - FINANCIAL

STATEMENT FOOTNOTE

IN CONFORMITY WITH THE PRACTICE GENERALLY FOLLOWED BY MUSEUMS, NO VALUE IS ASSIGNED TO

THE COLLECTIONS IN THE STATEMENT OF FINANCIAL POSITION.

PURCHASES OF COLLECTION ITEMS ARE RECOGNIZED AS REDUCTIONS IN UNRESTRICTED NET ASSETS IN

THE PERIOD OF ACQUISITION.

PROCEEDS FROM DEACCESSIONS OR INSURANCE RECOVERIES FOR LOST OR DESTROYED COLLECTION

ITEMS ARE RECOGNIZED AS INCREASES IN THE APPROPRIATE NET ASSET CLASS AND ARE DESIGNATED

FOR FUTURE COLLECTION ACQUISITIONS.

SCHEDULE D, PART III,

LINE 4 - COLLECTIONS OF

ART - DESCRIPTION OF

COLLECTIONS

THE ACQUISITION, PRESERVATION, MANAGEMENT, AND STUDY OF COLLECTIONS ARE FUNDAMENTAL TO

THE SMITHSONIAN'S MISSION TO INCREASE AND DIFFUSE KNOWLEDGE AND HAVE BEEN THE FOUNDATION

UPON WHICH IT RESTS.

SMITHSONIAN COLLECTIONS ARE A NATIONAL AND GLOBAL RESOURCE ACCESSED EACH YEAR BY

MILLIONS OF VISITORS AND RESEARCHERS WHO USE TRADITIONAL METHODS AND CUTTING-EDGE

TECHNOLOGIES TO EXPLORE SUBJECTS FROM AERONAUTICS TO ZOOLOGY.

THROUGH ITS COLLECTIONS, THE SMITHSONIAN PRESENTS THE ASTONISHING RECORD OF AMERICAN AND

INTERNATIONAL ARTISTIC, HISTORICAL, CULTURAL, AND SCIENTIFIC ACHIEVEMENT, WITH A SCOPE AND

DEPTH NO OTHER INSTITUTION IN THE WORLD CAN MATCH.

SMITHSONIAN COLLECTIONS CONTRIBUTE TO POPULATION RECOVERY OF ENDANGERED SPECIES,

ADVANCES IN REPRODUCTIVE BIOLOGY, GENOME RESOURCE BANKING, MEDICAL RESEARCH, FORENSIC

ANALYSIS, BIO-SECURITY, AND CONSERVATION POLICY WORLDWIDE.

ASSEMBLED OVER MORE THAN 165 YEARS, THE COLLECTIONS ARE CENTRAL TO THE CORE ACTIVITIES

AND TO THE VITALITY AND SIGNIFICANCE OF THE SMITHSONIAN.

SCHEDULE D, PART V,

LINE 4 - INTENDED USES

OF ENDOWMENT FUNDS

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 FUND 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.

SCHEDULE D, PART X,

LINE 2 - FIN 48 (ASC 740)

FOOTNOTE

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.

PUBLIC DISCLOSURE COPY
SCHEDULE F 

(Form 990)

Department of the Treasury 

Internal Revenue Service 

Statement of Activities Outside the United States

▶ 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 www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I General Information on Activities Outside the United States. Complete if the organization answered “Yes” on 

Form 990, Part IV, line 14b. 

1 For grantmakers. 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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No 

2 For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other 

assistance outside the United States. 

3 Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.) 

(a) Region (b) Number of 

offices in the 

region 

(c) Number of 

employees,

agents, and 

independent 

contractors 

in the region

(d) Activities conducted in the 

region (by type) (such as, 

fundraising, program services, 

investments, grants to recipients 

located in the region) 

(e) If activity listed in (d) is 

a program service, 

describe specific type of 

service(s) in the region 

(f) Total 

expenditures for 

and investments

in the region 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

(17)

3 a Sub-total . . . . . .

b Total from continuation 

sheets to Part I . . . .

c Totals (add lines 3a and 3b) 

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50082W Schedule F (Form 990) 2016 

SMITHSONIAN INSTITUTION 53-0206027 ✔

CENTRAL AMERICA AND THE

CARIBBEAN 0 0

ACADEMIC APPOINTMENT

STIPENDS 2,308,269

EAST ASIA AND THE PACIFIC

0 0

ACADEMIC APPOINTMENT

STIPENDS 988,715

EUROPE (INCLUDING

ICELAND AND GREENLAND) 0 0

ACADEMIC APPOINTMENT

STIPENDS 2,105,486

MIDDLE EAST AND NORTH

AFRICA 0 0

ACADEMIC APPOINTMENT

STIPENDS 83,525

NORTH AMERICA (CANADA &

MEXICO ONLY) 0 0

ACADEMIC APPOINTMENT

STIPENDS 267,214

RUSSIA AND NEIGHBORING

STATES 0 0

ACADEMIC APPOINTMENT

STIPENDS 138,122

SOUTH AMERICA

0 0

ACADEMIC APPOINTMENT

STIPENDS 499,721

SOUTH ASIA

0 0

ACADEMIC APPOINTMENT

STIPENDS 52,232

SUB-SAHARAN AFRICA

0 0

ACADEMIC APPOINTMENT

STIPENDS 96,206

CENTRAL AMERICA AND THE

CARIBBEAN 0 0

INVESTMENTS

736,703,629

EAST ASIA AND THE PACIFIC

0 0

INVESTMENTS

32,479,227

EUROPE (INCLUDING

ICELAND AND GREENLAND) 0 0

INVESTMENTS

68,808,258

NORTH AMERICA (CANADA &

MEXICO ONLY) 0 0

INVESTMENTS

7,507,038

SUB-SAHARAN AFRICA

0 0

INVESTMENTS

13,129,448

ANTARCTICA

0 0

PROGRAM SERVICES TRAVEL RELATED TO RESEARCH,

CONFERENCES AND TRAINING

1,837

CENTRAL AMERICA AND THE

CARIBBEAN 0 0

PROGRAM SERVICES TRAVEL RELATED TO RESEARCH,

CONFERENCES AND TRAINING

714,736

(SEE STATEMENT)

0 0 865,883,663 10 688 30,704,417 10 688 896,588,080

PUBLIC DISCLOSURE COPY
Schedule F (Form 990) 2016 Page 2 

Part II Grants and Other Assistance to Organizations or Entities Outside the United States. 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. 

1 (a) Name of 

organization 

(b) IRS code 

section and EIN (if applicable) 

(c) Region (d) Purpose of grant (e) Amount of cash grant (f) Manner of cash 

disbursement 

(g) Amount of noncash 

assistance 

(h) Description of noncash assistance (i) Method of valuation 

(book, FMV, 

appraisal, other) 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

2 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 . . . . . . . . . . . . ▶

3 Enter total number of other organizations or entities . . . . . . . . . . . . . . . . . . . . . . . . . . . ▶

Schedule F (Form 990) 2016 

RUSSIA AND NEIGHBORING

STATES

ACADEMIC APPOINTMENT STIPEND 25,690 ETF 1

0

PUBLIC DISCLOSURE COPY
Schedule F (Form 990) 2016 Page 3 

Part III Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered “Yes” on Form 990, Part IV, line 16. 

Part III can be duplicated if additional space is needed. 

(a) Type of grant or assistance (b) Region (c) Number of 

recipients 

(d) Amount of 

cash grant 

(e) Manner of cash 

disbursement 

(f) Amount of noncash 

assistance 

(g) Description of noncash assistance (h) Method of valuation (book, FMV, 

 appraisal, other) 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

(17)

(18)

Schedule F (Form 990) 2016 

ACADEMIC APPOINTMENT

STIPENDS CENTRAL AMERICA AND THE CARIBBEAN 283 2,308,269

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS EAST ASIA AND THE PACIFIC 35 988,715

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS EUROPE (INCLUDING ICELAND AND GREENLAND) 86 2,105,486

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS MIDDLE EAST AND NORTH AFRICA 4 83,525

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS NORTH AMERICA (CANADA & MEXICO ONLY) 15 267,214

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS RUSSIA AND NEIGHBORING STATES 4 112,432

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS SOUTH AMERICA 36 499,721

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS SOUTH ASIA 4 52,232

DIRECT DEPOSIT

& CHECKS

ACADEMIC APPOINTMENT

STIPENDS SUB-SAHARAN AFRICA 5 96,206

DIRECT DEPOSIT

& CHECKS

PUBLIC DISCLOSURE COPY
Schedule F (Form 990) 2016 Page 4

Part IV Foreign Forms

1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? 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) . . . . . . . . . . . . . . . . . . . . Yes No

2 Did the organization have an interest in a foreign trust during the tax year? 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) . . Yes No

3 Did the organization have an ownership interest in a foreign corporation during the tax year? 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) . . . . . . . . . . . . . Yes No

4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a 

qualified electing fund during the tax year? 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). . . . . . . . . . . . . . . . . . . . . . Yes No

5 Did the organization have an ownership interest in a foreign partnership during the tax year? 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) . . . . . . . . . . . . . . . . Yes No

6 Did the organization have any operations in or related to any boycotting countries during the tax year? 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) . . . . . . . . . . . . . . . . Yes No

Schedule F (Form 990) 2016 

✔

✔

✔

✔

✔

✔

PUBLIC DISCLOSURE COPY
Schedule F (Form 990) 2016 Page 5 

Part V Supplemental Information 

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. See instructions. 

Schedule F (Form 990) 2016 

(SEE STATEMENT)

PUBLIC DISCLOSURE COPY
Part I Activities per Region (continued)

(a)

Region

(b)

Number of offices in

the region

(c)

Number of

employees, agents,

and independent

contractors in region

(d)

Activities conducted

in region (by type)

(e.g., fundraising, program

services, investments,

grants to recipients located

in the region)

(e)

If activity listed in (d)

is a program

service, describe

specific type of

service(s) in region

(f)

Total expenditures

for and investments

in region

(17) EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

1,229,799

(18) EUROPE (INCLUDING ICELAND

AND GREENLAND) 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

1,786,266

(19) MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

122,434

(20) NORTH AMERICA (CANADA &

MEXICO ONLY) 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

542,598

(21) RUSSIA AND NEIGHBORING

STATES 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

127,369

(22) SOUTH AMERICA 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

485,946

(23) SOUTH ASIA 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

142,148

(24) SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES

TRAVEL RELATED

TO RESEARCH,

CONFERENCES

AND TRAINING

375,508

(25) CENTRAL AMERICA AND THE

CARIBBEAN 7 655 PROGRAM SERVICES RESEARCHFACILITIES 23,512,655

(26) RUSSIA AND NEIGHBORING

STATES 1 18 PROGRAM SERVICES

JOINT PROGRAM

WITH USAID FOR

COMMUNITYBASED TOURISM

DEVELOPMENT IN

ARMENIA.

1,110,212

(27) SUB-SAHARAN AFRICA 1 8 PROGRAM SERVICES

DEVELOP

BIODIVERSITY

ACTION PLAN TO

CONSERVE

AMAZONIAN

TROPICAL

ECOSYSTEMS

511,342

(28) SOUTH AMERICA 1 7 PROGRAM SERVICES

DESIGN AND

IMPLEMENT A

BIODIVERSITY

PROGRAM;

TROPICAL

RESEARCH

516,228

(29) EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES

TROPICAL

RESEARCH;

FOREST AND

WILDLIFE

241,912

PUBLIC DISCLOSURE COPY
Part V Supplemental Information. 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); andPart III, column (c) (estimated number

of recipients), as applicable. Also complete this part to provide any additional information (see

instructions).

Return Reference - Identifier Explanation

SCHEDULE F, PART I, LINE

2 - PROCEDURES FOR

MONITORING USE OF

GRANT FUNDS

THE OFFICE OF FELLOWSHIPS HAS CENTRAL MANAGEMENT AND ADMINISTRATIVE RESPONSIBILITY FOR

THE SMITHSONIAN PROGRAMS OF RESEARCH FELLOWSHIPS AND OTHER ACADEMIC APPOINTMENTS FOR

UNDERGRADUATE, GRADUATE STUDENTS, POSTDOCTORAL AND SENIOR SCHOLARS.

THE SMITHSONIAN INSTITUTION FELLOWSHIP PROGRAM IS A COMPETITIVE FELLOWSHIP PROGRAM FOR

GRADUATE AND POSTDOCTORAL FELLOWS, WHO APPLY TO CONDUCT RESEARCH AT THE INSTITUTION

WITH RESEARCH STAFF SERVING AS ADVISORS. THE REVIEW PROCESS IS MADE UP OF DISCIPLINARY

COMMITTEES COMPRISED OF THE INSTITUTION'S STAFF WHO EVALUATE THE CANDIDATES AND THEN

SELECT THE FELLOWS. THERE ARE OTHER COMPETITIVE AND NON-COMPETITIVE FELLOWSHIPS FOR

VISITING SCHOLAR AND STUDENT APPOINTEES SELECTED THROUGH THE SMITHSONIAN UNITS THAT GO

THROUGH A VARIETY OF OTHER SELECTION PROCESSES BEFORE AN AWARD IS MADE. AN OFFICIAL

LETTER/AGREEMENT IS PROVIDED TO EACH AWARD RECIPIENT IDENTIFYING THE AWARD TITLE, DATES OF

TENURE, STIPEND ALLOWANCES, AND REQUIRED RESPONSIBILITIES FOR HOLDING THIS POSITION.

ALL RECIPIENTS EITHER WILL IDENTIFY A FINANCIAL INSTITUTION FOR RECEIPT OF THEIR MONETARY

AWARD OR THEY WILL RECEIVE US TREASURY CHECKS. DEPENDING ON THE TENURE OF THE

APPOINTMENT, PAYMENTS CAN RANGE FROM ONE LUMP SUM, BIWEEKLY PAYMENTS OR MONTHLY

PAYMENTS. MOST FELLOWSHIP APPOINTMENTS ARE AWARDED FOR ONE TO TWO YEARS. ON OCCASION,

THE SMITHSONIAN INSTITUTION HAS VISITING SCHOLARS OR FELLOWS WHO ARE CONDUCTING RESEARCH

IN ANOTHER COUNTRY. PAYMENTS ARE USUALLY SUBMITTED AS STATED ABOVE, HOWEVER, ON

OCCASION, THERE MAY BE ONE OR TWO WHO REQUEST THAT THEIR PAYMENTS BE SENT TO THE

COUNTRY OF THEIR RESEARCH. AT THE END OF TENURE, A FINAL REPORT OF THEIR RESEARCH

ACCOMPLISHMENTS IS PROVIDED FOR OUR RECORDS.

SMITHSONIAN RESEARCH STAFF WHO SERVE AS ADVISORS TO THESE FELLOWS, STUDENTS AND

SCHOLARS ARE USUALLY IN THE FIELD DURING THEIR TENURE. THE EIGHT SMITHSONIAN RESEARCH

CENTERS LOCATED IN THE UNITED STATES AND ONE LOCATED IN PANAMA MONITOR THE PROGRESS OF

THEIR FELLOWS ESPECIALLY THOSE FELLOWS IN OTHER COUNTRIES, AND THE ADMINISTRATIVE

MANAGEMENT OF FUNDS IS MANAGED THROUGH THE INSTITUTION'S CENTRAL ADMINISTRATION FOR

ACCOUNTABILITY.

SCHEDULE F, PART I, LINE

3 - ACADEMIC

APPOINTMENTS

(STIPENDS)

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.

SCHEDULE F, PART I, LINE

3 - FOREIGN TRAVEL

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.

SCHEDULE F, PART I, LINE

3 - INVESTMENTS

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.

SCHEDULE F, PART I, LINE

3 - METHOD TO ACCOUNT

FOR EXPENDITURES ON

ORG'S FINANCIAL

STATEMENTS

ANTARCTICA: ACCRUAL

CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL

EAST ASIA AND THE PACIFIC: ACCRUAL

EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL

MIDDLE EAST AND NORTH AFRICA: ACCRUAL

NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL

RUSSIA AND NEIGHBORING STATES: ACCRUAL

SOUTH AMERICA: ACCRUAL

SOUTH ASIA: ACCRUAL

SUB-SAHARAN AFRICA: ACCRUAL

SCHEDULE F, PART II,

LINE 1 - METHOD TO

ACCOUNT FOR

EXPENDITURES ON ORG'S

FINANCIAL STATEMENTS

RUSSIA AND NEIGHBORING STATES: ACCRUAL

SCHEDULE F, PART III -

METHOD TO ACCOUNT

FOR EXPENDITURES ON

ORG'S FINANCIAL

STATEMENTS

CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL

EAST ASIA AND THE PACIFIC: ACCRUAL

EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL

MIDDLE EAST AND NORTH AFRICA: ACCRUAL

NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL

RUSSIA AND NEIGHBORING STATES: ACCRUAL

SOUTH AMERICA: ACCRUAL

SOUTH ASIA: ACCRUAL

SUB-SAHARAN AFRICA: ACCRUAL

PUBLIC DISCLOSURE COPY
SCHEDULE G 

(Form 990 or 990-EZ)

Department of the Treasury 

Internal Revenue Service 

Supplemental Information Regarding Fundraising or Gaming Activities

Complete if the organization answered “Yes” on Form 990, Part IV, line 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.

▶ Information about Schedule G (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I Fundraising Activities. Complete if the organization answered “Yes” on Form 990, Part IV, line 17.

Form 990-EZ filers are not required to complete this part.

1 Indicate whether the organization raised funds through any of the following activities. Check all that apply.

a Mail solicitations

b Internet and email solicitations

c Phone solicitations

d In-person solicitations

e Solicitation of non-government grants

f Solicitation of government grants

g Special fundraising events

2 a 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? Yes No

b If “Yes,” list the 10 highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be

compensated at least $5,000 by the organization.

(i) Name and address of individual

or entity (fundraiser) (ii) Activity

(iii) Did fundraiser have

custody or control of

contributions?

(iv) Gross receipts

from activity

(v) Amount paid to

(or retained by)

fundraiser listed in

col. (i)

(vi) Amount paid to

(or retained by)

organization

 Yes No 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

Total . . . . . . . . . . . . . . . . . . . . . ▶

3 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.

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Cat. No. 50083H Schedule G (Form 990 or 990-EZ) 2016

SMITHSONIAN INSTITUTION 53-0206027 ✔

✔

✔

✔

✔

✔

✔

✔

AVALON CONSULTING GROUP, INC. 805

15TH STREET NW, WASHINGTON, DC 20005

DIRECT

MKTG/CONSULTANT

✔ 0 1,834,966 (1,834,966)

COMMUNITY COUNSELLING SERVICE CO,.

LLC 3349 HIGHWAY 138, WALL, NJ 07719

FUNDRAISING

CONSULTANT ✔ 0 300,000 (300,000)

MARTS & LUNDY INC 1200 WALL ST

W, LYNDHURST, NJ 07071-3680

FUNDRAISING

CONSULTANT ✔ 0 192,131 (192,131)

BLACKBAUD, INC PO BOX 930256,

ATLANTA, GA 31193-0256

FUNDRAISING

CONSULTANT ✔ 0 183,798 (183,798)

M & R STRATEGIC SERVICES GROUP, LLC

2120 L ST NW, WASHINGTON, DC 20037-1538

ONLINE ADVISORY

SERVICES

✔ 0 153,304 (153,304)

DONOR SERVICES GROUP, LLC 1200

WILSHIRE BLVD, LOS ANGELES, CA 90017

TELEMARKETING

SERVICES

✔ 0 98,036 (98,036) OLOGIE LLC 447 E MAIN ST,

COLUMBUS, OH 43215

FUNDRAISING

CONSULTANT ✔ 0 92,000 (92,000)

SD&A TELESERVICES, INC 101 CONTINENTAL

BLVD, EL SEGUNDO, CA 90245-4515

TELEMARKETING

SERVICES

✔ 0 74,917 (74,917) KIMBIA, INC 2500 BEE CAVES

RD, #2, AUSTIN, TX 78746-5741

FUNDRAISING

CONSULTANT ✔ 0 48,490 (48,490)

FUSZION COLLABORATIVE, INC 2312 MOUNT

VERNON AVE, ALEXANDRIA, VA 22301-1328

FUNDRAISING

CONSULTANT ✔ 0 26,145 (26,145) 0 3,003,787 (3,003,787)

PUBLIC DISCLOSURE COPY
Schedule G (Form 990 or 990-EZ) 2016 Page 2

Part II Fundraising Events. 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.

Revenue Direct Expenses 

(a) Event #1

(event type)

(b) Event #2

(event type)

(c) Other events

(total number)

(d) Total events

(add col. (a) through 

col. (c))

 

1 Gross receipts . . . .

2 Less: Contributions . .

3 Gross income (line 1 minus 

line 2) . . . . . . .

4 Cash prizes . . . . .

5 Noncash prizes . . .

6 Rent/facility costs . . .

7 Food and beverages . .

8 Entertainment . . . .

9 Other direct expenses .

10 Direct expense summary. Add lines 4 through 9 in column (d) . . . . . . . . . . ▶

11 Net income summary. Subtract line 10 from line 3, column (d) . . . . . . . . . . ▶

Part III Gaming. 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 Direct Expenses (a) Bingo (b) Pull tabs/instant

bingo/progressive bingo (c) Other gaming (d) Total gaming (addcol. (a) through col. (c))

1 Gross revenue . . . .

2 Cash prizes . . . . .

3 Noncash prizes . . .

4 Rent/facility costs . . .

5 Other direct expenses .

6 Volunteer labor . . . .

Yes %

No

Yes %

No

Yes %

No

7 Direct expense summary. Add lines 2 through 5 in column (d) . . . . . . . . . . ▶

8 Net gaming income summary. Subtract line 7 from line 1, column (d) . . . . . . . . ▶

9 Enter the state(s) in which the organization conducts gaming activities:

a Is the organization licensed to conduct gaming activities in each of these states? . . . . . . . . . Yes No

b If “No,” explain:

10a Were any of the organization’s gaming licenses revoked, suspended, or terminated during the tax year? . Yes No

b If “Yes,” explain:

Schedule G (Form 990 or 990-EZ) 2016

NATIONAL DESIGN AWARDS

GALA

HIRSHHORN MUSEUM GALA 20 1,082,915 965,665 4,304,490 6,353,070 969,675 895,050 2,995,900 4,860,625 113,240 70,615 1,308,590 1,492,4450

0

6,694 60,412 67,106 103,925 136,500 504,462 744,8870

392,571 313,310 772,677 1,478,558 2,290,551 (798,106)

PUBLIC DISCLOSURE COPY
Schedule G (Form 990 or 990-EZ) 2016 Page 3

11 Does the organization conduct gaming activities with nonmembers? . . . . . . . . . . . . . Yes No

12 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? . . . . . . . . . . . . . . . . . . . . . . Yes No

13 Indicate the percentage of gaming activity conducted in:

a The organization’s facility . . . . . . . . . . . . . . . . . . . . . . . . . 13a %

b An outside facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13b %

14 Enter the name and address of the person who prepares the organization’s gaming/special events books and 

records:

Name ▶

Address ▶

15a Does the organization have a contract with a third party from whom the organization receives gaming 

revenue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

b If “Yes,” enter the amount of gaming revenue received by the organization ▶ $ and the

amount of gaming revenue retained by the third party ▶ $

c If “Yes,” enter name and address of the third party:

Name ▶

Address ▶

16 Gaming manager information:

Name ▶

Gaming manager compensation ▶ $

Description of services provided ▶

Director/officer Employee Independent contractor

17 Mandatory distributions:

a Is the organization required under state law to make charitable distributions from the gaming proceeds to 

retain the state gaming license? . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

b 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 ▶ $

Part IV Supplemental Information. 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

Schedule G (Form 990 or 990-EZ) 2016

SEE NEXT PAGE

PUBLIC DISCLOSURE COPY
Part IV Supplemental Information. 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).

Return Reference - Identifier Explanation

SCHEDULE G, PART I,

LINE 2B - LINE 2B COLUMN

(IV) AND (V):

SI ENGAGED MULTIPLE FUNDRAISING SERVICES AND MANY WORK ON THE SAME CAMPAIGNS. IT IS NOT

POSSIBLE TO ACCURATELY REPORT THE EXACT AMOUNT OF REVENUE ASSOCIATED WITH EACH

FUNDRAISER. NONE OF THESE FUNDRAISERS HAD CONTROL OF CONTRIBUTIONS; ALL WERE PAID UNDER

THE TERMS OF NEGOTIATED CONTRACTS.

SI CLOSELY MONITORS FUNDRAISING PERFORMANCE AGAINST ESTABLISHED CAMPAIGN GOALS FOR ITS

CONTRACTORS, AND RESULTS ARE TAKEN INTO CONSIDERATION IN FUTURE CONTRACT NEGOTIATIONS.

PAYMENTS TO AVALON CONSULTING GROUP OF APPROXIMATELY $1,706,577 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 SOLICITATION REGISTRATION HAVE ACKNOWLEDGED THIS EXEMPTION.

PUBLIC DISCLOSURE COPY
SCHEDULE I 

(Form 990)

Department of the Treasury 

Internal Revenue Service 

Grants and Other Assistance to Organizations, 

Governments, and Individuals in the United States

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 www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number 

Part I General Information on Grants and Assistance 

1 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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No 

2 Describe in Part IV the organization’s procedures for monitoring the use of grant funds in the United States. 

Part II Grants and Other Assistance to Domestic Organizations and Domestic Governments. 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.

1 (a) Name and address of organization 

or government 

(b) EIN (c) IRC section 

(if applicable) 

(d) Amount of cash 

grant 

(e) Amount of noncash assistance 

(f) Method of valuation 

(book, FMV, appraisal, 

other) 

(g) Description of 

noncash assistance 

(h) Purpose of grant 

or assistance 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

2 Enter total number of section 501(c)(3) and government organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . ▶

3 Enter total number of other organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . ▶

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50055P Schedule I (Form 990) (2016)

SMITHSONIAN INSTITUTION 53-0206027 ✔

UNIVERSITY OF MARYLAND AT COLLEGE PARK OFFICE OF THE BURSAR, 1109 LEE BUILDING, COLLEGE PARK, MD 20742-5151 52-6002033 115 46,062

ACADEMIC APPT.

STIPEND UNIVERSITY OF GEORGIA OFC FOR SPONSORED PROGRAMS, 310 EAST CAMPUS RD, TUCKER 409, ATHENS, GA 30602-1589 58-6001998 115 35,000

ACADEMIC APPT.

STIPEND MORGAN STATE UNIVERSITY 1700 EAST COLD SPRING LANE, BALTIMORE, MD 21251 52-6002033 115 10,000

ACADEMIC APPT.

STIPEND TUSKEGEE UNIVERSITY 1200 W MONTGOMERY RD, TUSKEGEE INSTITUTE, AL 36088-1923 63-0288878 501(C)(3) 10,000

ACADEMIC APPT.

STIPEND UNIVERSITY OF WISCONSIN - MADISON RESEARCH & SPONSORED PROGRAMS, 21 NORTH PARK STREET, SUITE 6401, MADISON, WI 53715 39-6006492 115 12,713

ACADEMIC APPT.

STIPEND REGENTS OF THE UNIVERSITY OF MICHIGAN P.O. BOX 223131, PITTSBURGH, PA 15251-2131 38-6006309 115 9,888

ACADEMIC APPT.

STIPEND UNIVERSITY OF ILLINOIS OFFICE OF BUS & FIN SERVICES, 1901 S. FIRST STREET, SUITE A, CHAMPAIGN, IL 61820 37-6999511 115 21,950

ACADEMIC APPT.

STIPEND REGENTS OF THE UNIVERSITY OF MINNESOTAL 169 FRASER, 106 PLEASANT ST SE, MINNEAPOLIS, MN 55455 41-6007513 115 21,250

ACADEMIC APPT.

STIPEND 8

0

PUBLIC DISCLOSURE COPY
Schedule I (Form 990) (2016) Page 2 

Part III Grants and Other Assistance to Domestic Individuals. Complete if the organization answered “Yes” on Form 990, Part IV, line 22. 

Part III can be duplicated if additional space is needed. 

(a) Type of grant or assistance (b) Number of 

recipients 

(c) Amount of 

cash grant 

(d) Amount of 

noncash assistance 

(e) Method of valuation (book, 

FMV, appraisal, other) 

(f) Description of noncash assistance 

1

2

3

4

5

6

7

Part IV Supplemental Information. Provide the information required in Part I, line 2; Part III, column (b); and any other additional information. 

Schedule I (Form 990) (2016)

ACADEMIC APPOINTMENT STIPENDS 992 11,310,850 (SEE STATEMENT)

PUBLIC DISCLOSURE COPY
Part IV Supplemental Information. Provide the information required in Part I, line 2, Part III, column (b), and

any other additional information.

Return Reference - Identifier Explanation

SCHEDULE I, PART I, LINE

2 - PROCEDURES FOR

MONITORING USE OF

GRANT FUNDS.

THE OFFICE OF FELLOWSHIPS HAS CENTRAL MANAGEMENT AND ADMINISTRATIVE RESPONSIBILITY FOR

THE SMITHSONIAN PROGRAMS OF RESEARCH FELLOWSHIPS AND OTHER ACADEMIC APPOINTMENTS FOR

UNDERGRADUATE, GRADUATE STUDENTS, POSTDOCTORAL AND SENIOR SCHOLARS. THE SMITHSONIAN

INSTITUTION FELLOWSHIP PROGRAM IS A COMPETITIVE FELLOWSHIP PROGRAM FOR GRADUATE AND

POSTDOCTORAL FELLOWS, WHO APPLY TO CONDUCT RESEARCH AT THE INSTITUTION WITH RESEARCH

STAFF SERVING AS ADVISORS.

THE REVIEW PROCESS IS MADE UP OF DISCIPLINARY COMMITTEES COMPRISED OF THE INSTITUTION'S

RESEARCH STAFF WHO EVALUATE THE CANDIDATES AND THEN SELECT THE FELLOWS. THERE ARE OTHER

COMPETITIVE AND NON-COMPETITIVE FELLOWSHIPS FOR VISITING SCHOLAR AND STUDENT APPOINTEES

SELECTED THROUGH THE SMITHSONIAN UNITS THAT GO THROUGH A VARIETY OF OTHER SELECTIONS

PROCESSES BEFORE AN AWARD IS MADE. AN OFFICIAL LETTER/AGREEMENT IS PROVIDED TO EACH

AWARD RECIPIENT IDENTIFYING THE AWARD TITLE, DATES OF TENURE, STIPEND ALLOWANCES, AND

REQUIRED RESPONSIBILITIES FOR HOLDING THIS POSITION. ALL RECIPIENTS EITHER WILL IDENTIFY A

FINANCIAL INSTITUTION FOR RECEIPT OF THEIR MONETARY AWARD OR THEY WILL RECEIVE US TREASURY

CHECKS. DEPENDING ON THE TENURE OF THE APPOINTMENT, PAYMENTS MAY BE MADE IN A LUMP SUM OR

IN PERIODIC PAYMENTS.

MOST FELLOWSHIP APPOINTMENTS ARE AWARDED FOR ONE TO TWO YEARS. AT THE END OF TENURE, A

FINAL REPORT OF THEIR RESEARCH ACCOMPLISHMENTS IS PROVIDED FOR OUR RECORDS. SMITHSONIAN

RESEARCH STAFF WHO SERVE AS ADVISORS TO THESE FELLOWS, STUDENTS AND SCHOLARS ARE

USUALLY IN THE FIELD DURING THEIR TENURE.

THE INDIVIDUAL SMITHSONIAN RESEARCH CENTERS MONITOR THE PROGRESS OF THEIR FELLOWS, AND

THE FUNDS ARE MANAGED THROUGH THE INSTITUTION'S CENTRAL ADMINISTRATION TO ENSURE

ACCOUNTABILITY. SIMILAR PROCESSES ARE FOLLOWED FOR AWARDS MADE TO ORGANIZATIONS WHOSE

ACADEMIC STAFF PERFORM THE RELATED RESEARCH.

PUBLIC DISCLOSURE COPY
SCHEDULE J 

(Form 990)

Department of the Treasury 

Internal Revenue Service 

Compensation Information

For certain Officers, Directors, Trustees, Key Employees, and Highest 

Compensated Employees

▶ Complete if the organization answered “Yes” on Form 990, Part IV, line 23.

▶ Attach to Form 990. ▶ Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I Questions Regarding Compensation

Yes No

1a 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 Housing allowance or residence for personal use

Travel for companions Payments for business use of personal residence

Tax indemnification and gross-up payments Health or social club dues or initiation fees

Discretionary spending account Personal services (such as, maid, chauffeur, chef)

b 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1b

2 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 on line

1a? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

3 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 Written employment contract

Independent compensation consultant Compensation survey or study

Form 990 of other organizations Approval by the board or compensation committee

4 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:

a Receive a severance payment or change-of-control payment? . . . . . . . . . . . . . . . 4a

b Participate in, or receive payment from, a supplemental nonqualified retirement plan? . . . . . . . 4b

c Participate in, or receive payment from, an equity-based compensation arrangement? . . . . . . . 4c

If “Yes” to any of lines 4a–c, list the persons and provide the applicable amounts for each item in Part III.

Only section 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5–9.

5 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:

a The organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5a

b Any related organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . 5b

If “Yes” on line 5a or 5b, describe in Part III.

6 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:

a The organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6a

b Any related organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . 6b

If “Yes” on line 6a or 6b, describe in Part III.

7 For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed 

payments not described on lines 5 and 6? If “Yes,” describe in Part III . . . . . . . . . . . . . 7

8 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

9 If “Yes” on line 8, did the organization also follow the rebuttable presumption procedure described in 

Regulations section 53.4958-6(c)? . . . . . . . . . . . . . . . . . . . . . . . . 9

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50053T Schedule J (Form 990) 2016

SMITHSONIAN INSTITUTION 53-0206027 ✔

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PUBLIC DISCLOSURE COPY
Schedule J (Form 990) 2016 Page 2

Part II Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. 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 aren't listed on Form 990, Part VII.

Note: 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.

(B) Breakdown of W-2 and/or 1099-MISC compensation

(A) Name and Title (i) Base

compensation

(ii) Bonus & incentive

compensation

(iii) Other

reportable

compensation

(C) Retirement and

other deferred 

compensation

(D) Nontaxable

benefits

(E) Total of columns

(B)(i)–(D)

(F) Compensation 

in column (B) reported 

as deferred on prior

Form 990 

1

(i)

 (ii)

2

(i)

 (ii)

3

(i)

 (ii)

4

(i)

 (ii)

5

(i)

 (ii)

6

(i)

 (ii)

7

(i)

 (ii)

8

(i)

 (ii)

9

(i)

 (ii)

10

(i)

 (ii)

11

(i)

 (ii)

12

(i)

 (ii)

13

(i)

 (ii)

14

(i)

 (ii)

15

(i)

 (ii)

16

(i)

 (ii)

Schedule J (Form 990) 2016

782,386 0 5,334 39,710 20,919 848,349 0

0 0 0 0 0 0 0

401,018 10,000 1,803 39,710 17,450 469,981 0

0 0 0 0 0 0 0

CATHY HELM 186,833 0 0 0 20,248 207,081 0

0 0 0 0 0 0 0

JUDITH LEONARD 190,954 5,000 2,215 27,724 8,918 234,811 0

0 0 0 0 0 0 0

PORTER WILKINSON 144,798 9,000 154 20,302 11,414 185,668 0

0 0 0 0 0 0 0

PATRICIA BARTLETT 184,924 4,000 2,109 26,887 11,466 229,386 0

0 0 0 0 0 0 0

NANCY BECHTOL 189,479 3,000 725 26,871 800 220,875 0

0 0 0 0 0 0 0

DERON BURBA 187,884 5,000 405 27,941 22,310 243,540 0

0 0 0 0 0 0 0

AMY CHEN 258,716 375,900 1,087 36,968 1,431 674,102 0

0 0 0 0 0 0 0

VIRGINIA CLARK 349,332 8,000 4,697 39,710 17,338 419,077 0

0 0 0 0 0 0 0

BRUCE DAUER 210,161 66,693 2,436 30,256 3,995 313,541 0

0 0 0 0 0 0 0

JAMES DOUGLAS 186,889 2,500 2,172 27,140 4,213 222,914 0

0 0 0 0 0 0 0

JEAN GARVIN 183,936 5,000 1,114 26,942 16,952 233,944 0

0 0 0 0 0 0 0

RICHARD KURIN 325,292 7,500 4,292 44,660 9,393 391,137 0

0 0 0 0 0 0 0

JOHN LAPIANA 191,875 2,000 746 27,619 8,827 231,067 0

0 0 0 0 0 0 0

UNDER SECRETARY FINANCE & ADMINISTRATION/CFO INSPECTOR GENERAL GENERAL COUNSEL CHIEF OF STAFF - REGENTS ACTING ASST. SECRETARY, EDUCATION & ACCESS DIRECTOR - FACILITIES CHIEF INFORMATION OFFICER CHIEF INVESTMENT OFFICER ASSISTANT SECRETARY FOR ADVANCEMENT VICE PRESIDENT FINANCE/ADM - SMITHSONIAN

ENTERPRISES

DIRECTOR - OFFICE OF HUMAN RESOURCES DIRECTOR - FINANCE & ACCOUNTING ACTING PROVOST ACTING ASST. SECRETARY, COMMUNICATION &

EXTERNAL AFFAIRS SECRETARY DAVID SKORTON ALBERT HORVATH (SEE STATEMENT)

PUBLIC DISCLOSURE COPY
Part II Officers, Directors, Trustees, Key Employees and Highest Compensated Employees (continued)

(a)

Name

(b)

Breakdown of W-2 and/or 1099-MISC compensation

(c)

Retirement and

other deferred

compensation

(d)

Nontaxable

benefits

(e)

Total of columns

(b)(i)-(d)

(f)

Compensation

reported in prior

Form 990 or Form

990-EZ

(i) Base

Compensation

(ii) Bonus &

incentive

compensation

(iii) Other

reportable

compensation

(16) CHRISTOPHER LIEDEL

PRESIDENT - SMITHSONIAN ENTERPRISES

(i) 433,788 141,755 2,048 39,125 29,919 646,635 0

(ii) 0 0 0 0 0 0 0

(17) ERA MARSHALL

DIRECTOR - EQUAL EMPLOYMENT & MINORITY

AFFAIRS

(i) 174,019 5,000 0 0 17,786 196,805 0

(ii) 0 0 0 0 0 0 0

(18) MARY PAYNE

DIRECTOR - OFFICE OF GOVERNMENT RELATIONS

(i) 189,794 2,500 756 27,944 11,381 232,375 0

(ii) 0 0 0 0 0 0 0

(19) DAVID VOYLES

DIRECTOR - PLANNING, MANAGEMENT & BUDGET

(i) 176,162 5,000 0 7,008 8,465 196,635 0

(ii) 0 0 0 0 0 0 0

(20) MICHAEL CARUSO

EDITOR IN CHIEF - SMITHSONIAN MAGAZINE

(i) 301,470 86,099 1,364 39,125 28,699 456,757 0

(ii) 0 0 0 0 0 0 0

(21) MELISSA CHIU

DIRECTOR - HIRSHHORN MUSEUM

(i) 394,585 3,000 426 39,710 26,756 464,477 0

(ii) 0 0 0 0 0 0 0

(22) RYAN DOTSON

INVESTMENT OFFICER

(i) 139,462 243,903 109 20,199 26,166 429,839 0

(ii) 0 0 0 0 0 0 0

(23) MICHAEL GIOVENCO

INVESTMENT OFFICER

(i) 163,003 269,135 206 22,711 8,763 463,818 0

(ii) 0 0 0 0 0 0 0

(24) JEFFREY SMITH

INVESTMENT OFFICER

(i) 181,365 322,877 169 26,807 22,147 553,365 0

(ii) 0 0 0 0 0 0 0

(25) KENNETH JOHNSON

FORMER ACTING DIRECTOR - PLANNING,

MANAGEMENT & BUDGET

(i) 177,877 5,000 0 8,894 352 192,123 0

(ii) 0 0 0 0 0 0 0

(26) JOHN KRESS

FORMER INTERIM UNDER SECRETARY - SCIENCE

(i) 161,395 13,000 0 8,377 19,099 201,871 0

(ii) 0 0 0 0 0 0 0

(27) ANDREW ZINO

FORMER COMPTROLLER

(i) 194,846 1,500 0 7,613 16,671 220,630 0

(ii) 0 0 0 0 0 0 0

PUBLIC DISCLOSURE COPY
Part III Supplemental Information. 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.

Return Reference - Identifier Explanation

SCHEDULE J, 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.

SCHEDULE J, PART I, LINE

1A - TRAVEL FOR

COMPANIONS

TRAVEL WAS AUTHORIZED FOR THE SPOUSE OF A PERSON LISTED IN PART VII, SECTION A WHEN THE

CIRCUMSTANCES OF THAT TRAVEL MET THE REQUIREMENTS OF THE SMITHSONIAN'S POLICY

FOR SUCH TRAVEL. THE SMITHSONIAN'S POLICY FOR PAYMENT OF SPOUSAL OR DEPENDENT FAMILY

MEMBER TRAVEL PERMITS SUCH PAYMENT ONLY IN LIMITED, EXCEPTIONAL CASES, WHEN THERE IS A

DEMONSTRATED BONA FIDE BUSINESS PURPOSE FOR THE TRAVEL AND THE TRAVEL FURTHERS THE

MISSION OF THE SMITHSONIAN, BEYOND MERE ATTENDANCE AT AN EVENT OR THE PERFORMANCE OF

INCIDENTAL SERVICES. SUCH TRAVEL IS AUTHORIZED ONLY IF APPROVED BY THE OFFICE OF GENERAL

COUNSEL AND THE OFFICE OF THE UNDER SECRETARY FOR FINANCE AND ADMINISTRATION/CHIEF

FINANCIAL OFFICER IN ADVANCE.

IN THE CALENDAR YEAR 2016, FOUR (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.

PUBLIC DISCLOSURE COPY
SCHEDULE K 

(Form 990)

Department of the Treasury 

Internal Revenue Service 

Supplemental Information on Tax-Exempt Bonds

▶ Complete if the organization answered “Yes” on Form 990, Part IV, line 24a. Provide descriptions,

explanations, and any additional information in Part VI. 

▶ Attach to Form 990. 

▶ Information about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I Bond Issues

(a) Issuer name (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On

behalf of

issuer

(i) Pooled

financing

Yes No Yes No Yes No

 

A

B

C

D

Part II Proceeds

A B C D

1 Amount of bonds retired . . . . . . . . . . . . . . . . . .

 2 Amount of bonds legally defeased . . . . . . . . . . . . . .

3 Total proceeds of issue . . . . . . . . . . . . . . . . . .

 4 Gross proceeds in reserve funds . . . . . . . . . . . . . . .

5 Capitalized interest from proceeds . . . . . . . . . . . . . .

 6 Proceeds in refunding escrows . . . . . . . . . . . . . . . .

 7 Issuance costs from proceeds . . . . . . . . . . . . . . . .

8 Credit enhancement from proceeds . . . . . . . . . . . . . .

9 Working capital expenditures from proceeds . . . . . . . . . . . 

 10 Capital expenditures from proceeds . . . . . . . . . . . . . .

11 Other spent proceeds . . . . . . . . . . . . . . . . . . .

12 Other unspent proceeds . . . . . . . . . . . . . . . . . . 

13 Year of substantial completion . . . . . . . . . . . . . . . .

Yes No Yes No Yes No Yes No

14 Were the bonds issued as part of a current refunding issue? . . . . . . 

15 Were the bonds issued as part of an advance refunding issue? . . . . .

 16 Has the final allocation of proceeds been made? . . . . . . . . . .

17 Does the organization maintain adequate books and records to support the 

final allocation of proceeds? . . . . . . . . . . . . . . . .

Part III Private Business Use

A B C D

Yes No Yes No Yes No Yes No

 

1 Was the organization a partner in a partnership, or a member of an LLC, 

which owned property financed by tax-exempt bonds? . . . . . . . . 

2 Are there any lease arrangements that may result in private business use of 

bond-financed property? . . . . . . . . . . . . . . . . . .

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50193E Schedule K (Form 990) 2016

SMITHSONIAN INSTITUTION 53-0206027 54-0787833 30382ECZ5 12/03/2003 77,545,000

TO CONSTRUCT A MUSEUM

✔ ✔ ✔

53-6001131 2548397S6 04/29/2010 33,825,749

REFUNDING OF 1997 BONDS

✔ ✔ ✔

0 9,470,000 0 0

77,545,000 33,825,749 0 0

0 0

0 0

530,475 612,994 6,161 0

0 0

77,008,364 0

0 33,212,755 0 0

2003 2010 ✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

FAIRFAX COUNTY ECONOMIC

DEVELOPMENT AUTHORITY

DISTRICT OF COLUMBIA

PUBLIC DISCLOSURE COPY
Schedule K (Form 990) 2016 Page 2 

Part III Private Business Use (Continued)

 A B C D

3a Are there any management or service contracts that may result in private 

business use of bond-financed property? . . . . . . . . . . . .

Yes No Yes No Yes No Yes No

b 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? 

c Are there any research agreements that may result in private business use of 

bond-financed property? . . . . . . . . . . . . . . . . . .

d 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? 

4 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 . . . ▶ % % % %

5 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 . . . ▶ % % % %

6 Total of lines 4 and 5 . . . . . . . . . . . . . . . . . . . % % % %

 7 Does the bond issue meet the private security or payment test? . . . . .

8a 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? 

b If “Yes” to line 8a, enter the percentage of bond-financed property sold or 

disposed of . . . . . . . . . . . . . . . . . . . . . . % % % %

c If “Yes” to line 8a, was any remedial action taken pursuant to Regulations 

sections 1.141-12 and 1.145-2? . . . . . . . . . . . . . . .

9 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? . . . .

Part IV Arbitrage

 A B C D

1 Has the issuer filed Form 8038-T, Arbitrage Rebate, Yield Reduction and 

Penalty in Lieu of Arbitrage Rebate? . . . . . . . . . . . . . .

Yes No Yes No Yes No Yes No

2 If “No” to line 1, did the following apply? . . . . . . . . . . . . 

a Rebate not due yet? . . . . . . . . . . . . . . . . . . .

b Exception to rebate? . . . . . . . . . . . . . . . . . . .

c No rebate due? . . . . . . . . . . . . . . . . . . . . .

If “Yes” to line 2c, provide in Part VI the date the rebate computation was 

performed . . . . . . . . . . . . . . . . . . . . . . 

3 Is the bond issue a variable rate issue? . . . . . . . . . . . . .

4a Has the organization or the governmental issuer entered into a qualified 

hedge with respect to the bond issue? . . . . . . . . . . . . .

b Name of provider . . . . . . . . . . . . . . . . . . . .

c Term of hedge . . . . . . . . . . . . . . . . . . . . .

d Was the hedge superintegrated? . . . . . . . . . . . . . . .

e Was the hedge terminated? . . . . . . . . . . . . . . . . .

Schedule K (Form 990) 2016

✔ ✔

✔

✔ ✔

0.00 0.00 0.00 9.62 0.00 9.62 ✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

✔ ✔

PUBLIC DISCLOSURE COPY
Schedule K (Form 990) 2016 Page 3 

Part IV Arbitrage (Continued)

A B C D

Yes No Yes No Yes No Yes No

 

5a Were gross proceeds invested in a guaranteed investment contract (GIC)? .

b Name of provider . . . . . . . . . . . . . . . . . . . .

c Term of GIC . . . . . . . . . . . . . . . . . . . . . .

d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? 

6 Were any gross proceeds invested beyond an available temporary period? . 

7 Has the organization established written procedures to monitor the 

requirements of section 148? . . . . . . . . . . . . . . . .

Part V Procedures To Undertake Corrective Action

A B C D

Yes No Yes No Yes No Yes No

 

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 isn’t available under 

applicable regulations?

Part VI Supplemental Information. Provide additional information for responses to questions on Schedule K. See instructions

Schedule K (Form 990) 2016

✔ ✔

✔ ✔

✔ ✔

✔ ✔

(SEE STATEMENT)

PUBLIC DISCLOSURE COPY
Part VI Supplemental Information. Supplemental Information Complete this part to provide additional

information for responses to questions on Schedule K (see instructions).

Return Reference - Identifier Explanation

SCHEDULE K, PART I,

COLUMN (F) - BOND

ISSUES, LINE B

THE ISSUE DATE OF THE CURRENT REFUNDED BONDS WAS JANUARY 1, 1998.

SCHEDULE K, PART III,

LINE 5 - PRIVATE

BUSINESS USE, COLUMN

B

THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE AS A RESULT OF UNRELATED

TRADE OR BUSINESS ACTIVITY IS BASED ON THE PERCENTAGE OF UNRELATED REVENUE IN THE GIFT

SHOP AND THEATER WITHIN THE SPACE FINANCED BY THIS BOND ISSUE.

THE PRIVATE BUSINESS USE FOR THE CURRENT YEAR WAS IN EXCESS OF 5%. HOWEVER, THE PRIVATE

BUSINESS USE IS BEING MONITORED AND WILL REMAIN UNDER 5% FOR THE ENTIRE MEASUREMENT

PERIOD (1998-2028).

PUBLIC DISCLOSURE COPY
SCHEDULE M 

(Form 990)

Department of the Treasury 

Internal Revenue Service

Noncash Contributions

 ▶ Complete if the organizations answered “Yes” on Form 990, Part IV, lines 29 or 30.

 ▶ Attach to Form 990.

 ▶ Information about Schedule M (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I Types of Property

(a) 

Check if

applicable

(b) 

Number of contributions or 

items contributed

(c) 

Noncash contribution 

amounts reported on 

Form 990, Part VIII, line 1g

(d) 

Method of determining 

noncash contribution amounts

1 Art—Works of art . . . . .

2 Art—Historical treasures . . .

3 Art—Fractional interests . . .

4 Books and publications . . .

5 Clothing and household 

goods . . . . . . . . .

6 Cars and other vehicles . . .

7 Boats and planes . . . . .

8 Intellectual property . . . .

9 Securities—Publicly traded . .

10 Securities—Closely held stock .

11 Securities—Partnership, LLC, 

or trust interests . . . . .

12 Securities—Miscellaneous . .

13 

 

Qualified conservation 

contribution—Historic 

structures . . . . . . . .

14 Qualified conservation 

contribution—Other . . . .

15 Real estate—Residential . . .

16 Real estate—Commercial . .

17 Real estate—Other . . . . .

18 Collectibles . . . . . . .

19 Food inventory . . . . . .

20 Drugs and medical supplies . .

21 Taxidermy . . . . . . .

22 Historical artifacts . . . . .

23 Scientific specimens . . . .

24 Archeological artifacts . . .

25 Other ▶ ( )

 26 Other ▶ ( )

 27 Other ▶ ( )

 28 Other ▶ ( )

29 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 . . . . . 29 

Yes No

30 a 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 isn't required

to be used for exempt purposes for the entire holding period? . . . . . . . . . . . . . . . 30a

b If “Yes,” describe the arrangement in Part II.

31 Does the organization have a gift acceptance policy that requires the review of any nonstandard

contributions? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

32 a Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash 

contributions? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32a

b If “Yes,” describe in Part II.

33 If the organization didn't report an amount in column (c) for a type of property for which column (a) is checked, 

describe in Part II.

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 51227J Schedule M (Form 990) (2016)

SMITHSONIAN INSTITUTION 53-0206027 ✔ 2,236 NONE ✔ 2 NONE ✔ 289 20,297,070 MARKET VALUE ✔ 7,753 NONE ✔ 2,033 NONE ✔ 109,054 NONE ✔ 37 NONE GOODS ✔ 52 3,167,587 MARKET VALUE ARCHIVAL CF ✔ 1,526 NONE ARCHIVAL LF ✔ 561 NONE ARCHIVAL ITEM ✔ 2,386 NONE 69 ✔

✔

✔

PUBLIC DISCLOSURE COPY
Part II Supplemental Information. 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.

Return Reference - Identifier Explanation

SCHEDULE M, PART I,

LINE 3 - ART

FRACTIONAL INTERESTS. ONE AT 20%, ONE AT 50%.

SCHEDULE M, PART I,

LINE 32B - THIRD PARTIES

USED TO SOLICIT,

PROCESS, OR SELL

NONCASH

CONTRIBUTIONS

ALTHOUGH THE SMITHSONIAN ACQUIRES COLLECTION WITH THE GOOD FAITH INTENTION OF RETAINING

THEM FOR AN INDEFINITE PERIOD OF TIME, PRUDENT COLLECTIONS MANAGEMENT INCLUDE 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, PART I,

LINE 33 -

IN ACCORDANCE WITH PROFESSIONAL PRACTICE, AS ALLOWED BY SFAS 116, THE SMITHSONIAN DOES NOT

ASSIGN VALUE TO COLLECTION ITEMS ACQUIRED BY DONATION.

PUBLIC DISCLOSURE COPY
Schedule O

(Form 990)

Department of Treasury

Internal Revenue Service

Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on

Form 990 or 990-EZ or to provide any additional information.

OMB No. 1545-0047

2016

Open to Public

Inspection

Name of the Organization

SMITHSONIAN INSTITUTION

Employer Identification Number

53-0206027

Return Reference - Identifier Explanation

FORM 990 - PAGE 1, LINE K 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

DESCRIPTION

RESEARCH AND COLLECTIONS:

THE SMITHSONIAN COLLECTIONS OF NEARLY 155 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 MORE

THAN 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 ARE 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.

RESEARCHERS AT THE SMITHSONIAN TROPICAL RESEARCH INSTITUTE DISCOVERED THREE NEW

SPECIES OF PORCUPINE FISH BY COMPARING FOSSIL JAWS AND TOOTH PLATES COLLECTED ON

EXPEDITIONS WITH MUSEUM SPECIMENS AND MODERN PORCUPINE FISH. THE SPECIES WERE

DISCOVERED IN PANAMA'S GATUN FORMATION AND THE SOCORRO FORMATION IN VENEZUELA.

TWO GUAM RAIL CHICKS BORN AT THE SMITHSONIAN CONSERVATION BIOLOGY INSTITUTE WERE

REPATRIATED TO GUAM AND RELEASED TO THE WILD ON THE ISLAND OF ROTA IN SEPTEMBER

2017. THE SPECIES WAS NEARLY DRIVEN TO EXTINCTION BY THE INVASIVE BROWN TREE SNAKE.

THE RELEASE MARKED THE FIRST TIME SINCE 1985 THAT THERE WERE MORE GUAM RAILS LIVING

IN THE WILD THAN LIVING IN HUMAN CARE. THERE ARE NOW APPROXIMATELY 200 GUAM RAILS

LIVING IN THE WILD AND 116 LIVING IN HUMAN CARE.

THE NATIONAL MUSEUM OF AMERICAN HISTORY ADDED BASEBALL EQUIPMENT USED BY

LEGENDARY MAJOR LEAGUE BASEBALL PLAYERS INCLUDING WILLIE MAYS, HANK AARON, TED

WILLIAMS AND YOGI BERRA TO ITS SPORTS COLLECTION.

SMITHSONIAN GARDENS ADDED MORE THAN 150 BOXES OF HISTORICAL RECORDS GENERATED BY

OR RELATED TO THE W. ATLEE BURPEE & CO. SEED COMPANY TO THE ARCHIVES OF AMERICAN

GARDENS. THE NEWLY ADDED COLLECTION CONSISTS OF THOUSANDS OF RECORDS, INCLUDING

ACCOUNT BOOKS, SEED-TRIAL RECORDS, OFFICE FILES, SEED CATALOGS AND OTHER ITEMS

RELATING TO BURPEE & CO. AND ITS COMPETITORS. BY 1915 BURPEE WAS THE LARGSET MAILORDER SEED COMPANY IN THE WORLD. THE COLLECTIONS SPANS A CENTURY, FROM THE 187OS

TO THE 1970S.

PUBLIC DISCLOSURE COPY
Return Reference - Identifier Explanation

FORM 990, PART III, LINE 4B -

PROGRAM SERVICE

DESCRIPTION

EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS:

THE NATIONAL MUSEUM OF THE AMERICAN INDIAN ANNOUNCED IN AUGUST AN INTERNATIONAL

COMPETITION TO SELECT A DESIGNER FOR THE NATIONAL NATIVE AMERICAN VETERANS

MEMORIAL. THE COMPETITION WAS OPEN TO ALL, AND A JURY OF NATIVE AND NON-NATIVE

ARTISTS, DESIGNERS, SCHOLARS AND VETERANS WILL CHOSE A WINNER TO DESIGN THE

MEMORIAL, WHICH WAS COMMISSIONED BY CONGRESS AND IS SLATED TO OPEN IN 2020.

THE NATIONAL MUSEUM OF AFRICAN AMERICAN HISTORY AND CULTURE CELEBRATED THE FIRST

ANNIVERSARY OF ITS OPENING ON SEPT. 24, 2017 WITH FREE PUBLIC ACTIVITIES AND

PERFORMANCES, EXTENDED HOURS AND A SOCIAL MEDIA CAMPAIGN. IN ITS INAUGURAL YEAR,

THE MUSEUM WELCOMED NEARLY 3 MILLION VISITORS, INCREASED THE NUMBER OF ITEMS IN ITS

PERMANENT COLLECTION TO NEARLY 40,000 AND HOSTED 46 PUBLIC PROGRAMS TO HELP

VISITORS UNDERSTAND HISTORIC AND CONTEMPORARY ISSUES.

THE NATIONAL MUSEUM OF AFRICAN AMERICAN HISTORY AND CULTURE ALSO OPENED "MORE

THAN A PICTURE," A COLLECTION OF PHOTOGRAPHS OF A RANGE OF AMERICAN EXPERIENCES

AND FIGURES ON MAY 5, 2017. THE EXHIBITION ENCOURAGES VISITORS TO EXPLORE THE WAYS

PHOTOGRAPHS REFLECT IMPORTANT MOMENTS IN HISTORY AND SHAPE THE UNDERSTANDING OF

AFRICAN AMERICAN EXPERIENCES. IT IS THE FIRST EXHIBITION TO BE FEATURED IN THE

MUSEUM'S SPECIAL EXHIBITIONS GALLERY.

IN JUNE, 2017 THE NATIONAL MUSEUM OF AMERICAN HISTORY OPENED "THE NATION WE BUILD

TOGETHER," A NEWLY TRANSFORMED SPACE THAT INVITES AUDIENCES TO EXPLORE THE

COMMON VALUES IN AMERICA. IT FEATURES FOUR EXHIBITIONS, "AMERICAN DEMOCRACY: A

GREAT LEAP OF FAITH," "MANY VOICES, ONE NATION," "RELIGION IN EARLY AMERICA" AND "WITHIN

THESE WALLS," AS WELL AS AN INTERACTIVE PROGRAM SPACE WITH HANDS-ON ACTIVITIES,

THEATER PRESENTATIONS AND A SPOTLIGHT ON THE GREENSBORO LUNCH COUNTER.

THE HIRSHHORN MUSEUM AND SCULPTURE GARDEN PRESENTED THE WORLD DEBUT OF "YAYOI

KUSAMA: INFINITY MIRRORS" WITH THE HIGHEST RECORDED SPRING VISITATION SINCE THE

MUSEUM'S OPENING IN 1974. THE EXHIBIT ALLOWED THE VISITOR TO STEP INTO AN ILLUSION OF

INFINITE SPACE. AS PART OF THE HIRSHHORN'S COMMITMENT TO ACCESSIBILITY, VISITORS WITH

MOBILITY CONSTRAINTS WERE ABLE TO USE VIRTUAL REALITY HEADSETS TO EXPERIENCE THE

EXHIBITION.

THE SMITHSONIAN AMERICAN ART MUSEUM PRESENTED "AMERICAN VISIONARY: JOHN F.

KENNEDY'S LIFE AND TIMES," AN EXHIBITION OF IMAGES THAT CAPTURED THE SCOPE OF

PRESIDENT JOHN F. KENNEDY'S LIFE. THE OPENING OF THE EXHIBITION WAS THE PREMIERE

EVENT IN THE YEARLONG CENTENNIAL CELEBRATION OF THE FORMER PRESIDENT.

FORM 990, PART III, LINE 4C -

PROGRAM SERVICE

DESCRIPTION

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 ACROSS A VARIETY OF FIELDS.

"FRIENDS OF THE SMITHSONIAN" IS A HIGHER LEVEL MEMBERSHIP PROGRAM FOR PEOPLE

INTERESTED IN A DEEPER PHILANTHROPIC CONNECTION TO THE SMITHSONIAN. FRIENDS RECEIVE

SMITHSONIAN MAGAZINE, PLUS THEY ARE INVITED TO VARIOUS EVENTS AND ARE GIVEN THE

OPPORTUNITY TO LEARN ABOUT AND SUPPORT THE INSTITUTION'S EXHIBITS AND RESEARCH.

THE SMITHSONIAN ASSOCIATES OFFERS UNPARALLELED ACCESS TO THE SMITHSONIAN'S WORLD

OF KNOWLEDGE THROUGH INNOVATIVE AND ENGAGING PROGRAMMING THAT PROMOTES

LEARNING, ENRICHMENT AND CREATIVITY FOR PEOPLE OF ALL AGES. THE LARGEST MUSEUMBASED 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.

FORM 990, PART IV, LINE 12B -

AUDITED FINANCIAL

STATEMENTS

THE SMITHSONIAN'S OPERATIONS FUNDED THROUGH FEDERAL APPROPRIATIONS ARE INCLUDED

IN THE U.S. GOVERNMENT'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS.

FORM 990, PART VI, LINE 1A -

DELEGATE BROAD AUTHORITY

TO A COMMITTEE

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 DISCLOSURE COPY
Return Reference - Identifier Explanation

FORM 990, PART VI, LINE 7A -

MEMBERS OR STOCKHOLDERS

ELECTING MEMBERS OF

GOVERNING BODY

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, LINE 11B -

REVIEW OF FORM 990 BY

GOVERNING BODY

THE FORM 990 RETURN IS REVIEWED BY THE DIRECTOR OF FINANCE AND ACCOUNTING, THE

OFFICE OF GENERAL COUNSEL, CHIEF FINANCIAL OFFICER AND THE SECRETARY OF THE

SMITHSONIAN. THE RETURN IS ALSO REVIEWED BY AN INDEPENDENT ACCOUNTING FIRM.

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, LINE 12C -

CONFLICT OF INTEREST

POLICY

ALL OFFICERS, KEY EMPLOYEES, AND CERTAIN OTHER EMPLOYEES ARE REQUIRED TO

COMPLETE AND FILE ANNUALLY A CONFIDENTIAL FINANCIAL DISCLOSURE REPORT.

THESE REPORTS - WHICH REQUIRE DISCLOSURE OF CERTAIN ASSETS, EARNED INCOME,

LIABILITIES, OUTSIDE POSITIONS, OUTSIDE CONTRACTS AND AGREEMENTS, GIFTS,

HOSPITALITY, REIMBURSEMENTS, AND OTHER INTERESTS RELATED TO THE EMPLOYEE'S

SMITHSONIAN POSITION - ARE REVIEWED BY THE INSTITUTION'S OFFICE OF GENERAL

COUNSEL FOR COMPLIANCE WITH APPLICABLE CONFLICT OF INTEREST POLICIES AND

LAWS.

IN ADDITION TO THIS REQUIRED REPORTING, ALL KEY EMPLOYEES ARE REQUIRED TO COMPLY

WITH THE INSTITUTION'S STANDARDS OF CONDUCT, WHICH, AMONG OTHER THINGS, REQUIRES

THAT EMPLOYEES NOT ENGAGE IN PRIVATE OR PERSONAL ACTIVITIES THAT MIGHT CONFLICT OR

APPEAR TO CONFLICT WITH SMITHSONIAN INTERESTS, REQUIRES THAT EMPLOYEES OBTAIN

OFFICE OF GENERAL COUNSEL APPROVAL BEFORE ENGAGING IN AN OUTSIDE ACTIVITY FOR

COMPENSATION, AND REQUIRES EMPLOYEES TO CONSULT WITH THE OFFICE OF GENERAL

COUNSEL WHENEVER A DOUBT EXISTS AS TO WHETHER AN ACTIVITY OR PLANNED ACTIVITY

VIOLATES THE STANDARDS.

ALL MEMBERS OF THE SMITHSONIAN'S GOVERNING BODY ARE REQUIRED TO COMPLETE AND FILE

ANNUALLY THE BOARD OF REGENTS ANNUAL DISCLOSURE STATEMENT. THESE STATEMENTS -

WHICH REQUIRE REPORTING BY MEMBERS (INCLUDING ANY REPORTABLE INTERESTS HELD BY

IMMEDIATE FAMILY OF MEMBERS) ON OUTSIDE POSITIONS AND SUBSTANTIAL SHAREHOLDING IN

FOR-PROFIT BUSINESS ENTITIES, OUTSIDE POSITIONS IN NON-PROFIT ENTITIES, AND INTERESTS

AND AFFILIATIONS OF THE MEMBER THAT HAVE OR SOUGHT TO HAVE A RELATIONSHIP TO THE

SMITHSONIAN - ARE REVIEWED BY THE INSTITUTION'S GENERAL COUNSEL FOR COMPLIANCE WITH

APPLICABLE CONFLICT OF INTEREST POLICIES AND LAWS.

IN ADDITION TO THIS REQUIRED REPORTING, ALL MEMBERS OF THE SMITHSONIAN'S GOVERNING

BODY ARE REQUIRED TO COMPLY WITH THE BOARD OF REGENTS ETHICS GUIDELINES, WHICH,

AMONG OTHER THINGS, DEFINE CONFLICTS OF INTEREST AND ESTABLISH PROCEDURES FOR

DISCLOSING AND REPORTING OF CONFLICTS AND RECUSAL FROM DECISION-MAKING.

FORM 990, PART VI, LINE 15A -

PROCESS TO ESTABLISH

COMPENSATION OF TOP

MANAGEMENT OFFICIAL

THE SMITHSONIAN ENSURES THAT COMPENSATION PAID TO OFFICERS AND OTHER KEY

EMPLOYEES IS REASONABLE AND COMPARABLE TO SIMILAR ORGANIZATIONS. EMPLOYEES OF THE

SMITHSONIAN MAY BE PAID WITH FEDERALLY APPROPRIATED FUNDS OR WITH NONFEDERAL

("TRUST") FUNDS. MOST TRUST FUNDED (NONFEDERAL) OFFICER AND KEY EMPLOYEE POSITIONS

ARE SUBJECT TO MARKET-BASED COMPENSATION, AND THE BOARD OF REGENT'S COMMITTEE

ON COMPENSATION AND HUMAN RESOURCES ENGAGES AN INDEPENDENT CONSULTANT TO

DEVELOP AND ASSEMBLE COMPARABILITY DATA FOR ITS CONSIDERATION AND TO INFORM ITS

DECISIONS.

THE COMMITTEE'S ANNUAL DELIBERATIONS AND DECISIONS ARE DOCUMENTED AS PART OF THE

FINAL RECOMMENDATION MATERIALS SUBMITTED TO THE BOARD OF REGENTS. SALARIES FOR

FEDERAL EMPLOYEES ARE DETERMINED BY STATUTORILY ESTABLISHED PAY RANGES FOR CIVIL

SERVICE EMPLOYEES.

AS A MATTER OF POLICY, THE SMITHSONIAN HAS ESTABLISHED SIMILAR RANGES FOR CERTAIN

TRUST FUNDED OFFICER AND KEY EMPLOYEE POSITIONS AND MAINTAINS THOSE RANGES IN

PROPORTION TO THE APPROPRIATE FEDERAL PAY RANGES.

FORM 990, PART VI, LINE 15B -

PROCESS TO ESTABLISH

COMPENSATION OF OTHER

EMPLOYEES

SEE EXPLANATION FOR PART VI, LINE 15A

FORM 990, PART VI, LINE 19 -

REQUIRED DOCUMENTS

AVAILABLE TO THE PUBLIC

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.

PUBLIC DISCLOSURE COPY
Return Reference - Identifier Explanation

FORM 990, PART XI, LINE 9 -

OTHER CHANGES IN NET

ASSETS OR FUND BALANCES

(a) Description (b) Amount

CHANGE IN RELATED PARTY NET ASSETS - 73,942

DEFERRED GAIN ON BUILDING 3,908,586

CHANGE IN MINORITY INTEREST - SNI-SI NETWORKS LLC 2,231,900

ENVIRONMENTAL REMEDIATION OBLIGATION FASB ASC 410-20 1,397,571

BAD DEBT RECORDED FOR PRIOR YEAR PLEDGE - 26,963,075

PUBLIC DISCLOSURE COPY
SCHEDULE R 

(Form 990)

Department of the Treasury 

Internal Revenue Service 

Related Organizations and Unrelated Partnerships

▶ Complete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.

▶ Attach to Form 990. 

▶ Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2016

Open to Public 

Inspection

Name of the organization Employer identification number

Part I Identification of Disregarded Entities. Complete if the organization answered “Yes” on Form 990, Part IV, line 33.

(a) 

Name, address, and EIN (if applicable) of disregarded entity

(b) 

Primary activity

(c) 

Legal domicile (state

or foreign country)

(d) 

Total income

(e) 

End-of-year assets

(f) 

Direct controlling

entity

(1)

(2)

(3)

(4)

(5)

(6)

Part II Identification of Related Tax-Exempt Organizations. 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.

(a) 

Name, address, and EIN of related organization

(b) 

Primary activity

(c) 

Legal domicile (state

or foreign country)

(d) 

Exempt Code section

(e) 

Public charity status

(if section 501(c)(3))

(f) 

Direct controlling

entity

(g) 

Section 512(b)(13) 

controlled

entity?

 Yes No

(1)

(2)

(3)

(4)

(5)

(6)

(7)

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50135Y Schedule R (Form 990) 2016

SMITHSONIAN INSTITUTION 53-0206027 10 MEMORIAL BOULEVARD, PROVIDENCE, RI 02903 ✔

SMITHSONIAN UK CHARITABLE TRUST C/O WITHER LLP, 16 OLD BAILEY, LONDON, EC4M 7EG, UK ✔

CLAY FELLOWSHIPS CHARITABLE TRUST (04-3560268)

SUPPORT OF SMITHSONIAN

ASTROPHYSICAL

OBSERVATORY

MA 501(C)(3) 12 TYPE III-O N/A ADVANCE THE WORK OF

THE SMITHSONIAN

INSTITUTION WORLDWIDE

UNITED KINGDOM (ENGLAND,

NORTHERN IRELAND,

SCOTLAND, AND WALES)

501(C)(3) 7 SMITHSONIAN

INSTITUTION

PUBLIC DISCLOSURE COPY
Schedule R (Form 990) 2016 Page 2

Part III Identification of Related Organizations Taxable as a Partnership. 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.

(a) 

Name, address, and EIN of

related organization

(b) 

Primary activity

(c) 

Legal 

domicile

(state or

foreign

country)

(d) 

Direct controlling

entity

(e) 

Predominant

income (related,

unrelated,

excluded from

tax under

sections 512-514)

(f) 

Share of total 

income

(g) 

Share of end-ofyear assets

(h)

Disproportionate

allocations?

(i) 

Code V—UBI

amount in box 20 

of Schedule K-1

(Form 1065)

(j) 

General or

managing

partner?

(k) 

Percentage

ownership

 Yes No Yes No 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

Part IV Identification of Related Organizations Taxable as a Corporation or Trust. 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.

(a) 

Name, address, and EIN of related organization

(b) 

Primary activity

(c) 

Legal domicile

(state or foreign country)

(d) 

Direct controlling

entity

(e) 

Type of entity 

(C corp, S corp, or trust)

(f) 

Share of total 

income

(g) 

Share of

end-of-year assets

(h) 

Percentage

ownership

(i) 

Section 512(b)(13) 

controlled

entity?

 Yes No

(1)

(2)

(3)

(4)

(5)

(6)

(7)

Schedule R (Form 990) 2016

(SEE STATEMENT)

PUBLIC DISCLOSURE COPY
Schedule R (Form 990) 2016 Page 3

Part V Transactions With Related Organizations. Complete if the organization answered “Yes” on Form 990, Part IV, line 34, 35b, or 36.

Note: Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule. Yes No

1 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?

a Receipt of (i) interest, (ii) annuities, (iii) royalties, or (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . . 1a

b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1b

c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1c

d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1d

e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1e

f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1f

g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1g

h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1h

i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1i

j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . 1j

k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . 1k

l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . . 1l

m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . . 1m

n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . 1n

o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1o

p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1p

q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1q

r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1r

s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1s

2 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.

(a) 

Name of related organization

(b) 

Transaction

type (a–s)

(c) 

Amount involved

(d) 

Method of determining amount involved

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

Schedule R (Form 990) 2016

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

✔

SMITHSONIAN UK CHARITABLE TRUST

C 154,633

CASH

PUBLIC DISCLOSURE COPY
Schedule R (Form 990) 2016 Page 4

Part VI Unrelated Organizations Taxable as a Partnership. 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.

(a) 

Name, address, and EIN of entity

(b) 

Primary activity

(c) 

Legal domicile

(state or foreign

country)

(d) 

Predominant 

income (related, 

unrelated, excluded 

from tax under 

sections 512-514) 

(e) 

Are all partners

section

501(c)(3)

organizations?

(f) 

Share of 

total income

(g) 

Share of 

end-of-year

assets

(h) 

Disproportionate

allocations?

(i) 

Code V—UBI

amount in box 20

of Schedule K-1

(Form 1065)

(j) 

General or

managing

partner?

(k) 

Percentage 

ownership

 Yes No Yes No Yes No 

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

Schedule R (Form 990) 2016

PUBLIC DISCLOSURE COPY
Part IV Identification of Related Organizations Taxable as a Corporation or Trust (continued)

(a) Name, address and EIN of related organization (b) Primary

activity

(c) Legal

domicile (state or

foreign country)

(d) Direct

controlling

entity

(e) Type of entity

(C-corp, S-corp or

trust)

(f) Share of

total income

(g) Share of

end-of-year

assets

(h) Percentage

ownership

(i) Section

512(b)(13)

controlled

entity?

Yes No

(1) CHARITABLE REMANDER TRUSTS. (2)

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560

CHARITABLE

REMANIDER

TRUST

WA N/A TRUST N/A N/A N/A

(2) CHARITABLE REMAINDER TRUSTS (2)

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560

CHARITABLE

REMAINDER

TRUST

MA N/A TRUST N/A N/A N/A

(3) CHARITABLE REMIANDER TRUSTS (1)

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560

CHRITABLE

REMAINDER

TRUST

MI N/A TRUST N/A N/A N/A

(4) CHARITABLE REMAINDER TRUSTS (5)

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560

CHARITABLE

REMAINDER

TRUST

NY N/A TRUST N/A N/A N/A

(5) CHARITABLE REMAINDER TRUSTS (4)

1000 JEFFERSON DRIVE, S.W., WASHINGTON, DC 20560

CHARITABLE

REMAINDER

TRUST

VA N/A TRUST N/A N/A N/A

PUBLIC DISCLOSURE COPY
PUBLIC DISCLOSURE COPY