2022-08-12T10:36:35-05:00 2021-09-30 135565207 KPMG LLP 8350 BROAD STREET SUITE 900 MCLEAN VA 22102 990 2020-10-01 530206027 SMITHSONIAN INSTITUTION SMIT 2026331000 1000 JEFFERSON DRIVE SW WASHINGTON DC 20560 JANICE LAMBERT CHIEF FINANCIAL OFFICER 2026331000 2022-08-11 1 JANICE LAMBERT 999009999 ANDREW ROE P01876391 7032868000 2022-08-10 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z LONNIE G BUNCH III 1000 JEFFERSON DRIVE SW WASHINGTON DC 20560 2200967631 0 X WWW.SI.EDU X 1846 "INCREASE AND DIFFUSION OF KNOWLEDGE" IS THE MISSION SET FORTH BY JAMES SMITHSON. 17 17 6829 1711 8759246 0 1308610079 1527783787 70900273 72854595 138930823 173911340 43158810 30214261 1561599985 1804763983 15999050 15009433 0 0 740009927 735501143 2351761 1928096 60704432 635654155 663681466 1394014893 1416120138 167585092 388643845 6053364633 7059162886 1416385130 1563199727 4636979503 5495963159 X "INCREASE AND DIFFUSION OF KNOWLEDGE" IS THE MISSION SET FORTH BY JAMES SMITHSON. THE SMITHSONIAN ENDEAVORS TO SHAPE THE FUTURE BY PRESERVING OUR HERITAGE, DISCOVERING NEW KNOWLEDGE, AND SHARING OUR RESOURCES WITH THE WORLD. 0 0 344149517 3283361 38832807 EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS (SEE SCHEDULE O) 558341782 11726072 35691873 RESEARCH AND COLLECTIONS (SEE SCHEDULE O) 63709805 9023742 MEMBERSHIP (SEE SCHEDULE O) 966201104 1 1 0 0 0 0 1 1 0 1 1 1 0 0 1 1 1 1 0 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 1 1 0 0 0 1 3155 0 6829 1 1 1 1 AM GB PM 0 0 0 1 1 0 0 0 0 0 0 X 17 17 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X X OFFICE OF FINANCE & ACCOUNTING 2026337167 PO BOX 37012 WASHINGTON DC 200137012 HONORABLE JOHN G ROBERTS JR REGENT 2.00 0.00 X 0 0 0 HONORABLE MICHAEL R PENCE REGENT (CONCLUDED JAN 2021) 2.00 0.00 X 0 0 0 HONORABLE KAMALA D HARRIS REGENT (COMMENCE JAN 2021) 2.00 0.00 X 0 0 0 HONORABLE JOHN BOOZMAN REGENT 2.00 0.00 X 0 0 0 HONORABLE CATHERINE CORTEZ MASTO REGENT (COMMENCE FEB 2021) 2.00 0.00 X 0 0 0 HONORABLE PATRICK J LEAHY REGENT 2.00 0.00 X 0 0 0 HONORABLE DAVID PERDUE REGENT (CONCLUDED JAN 2021) 2.00 0.00 X 0 0 0 HONORABLE DORIS MATSUI REGENT 2.00 0.00 X 0 0 0 HONORABLE LUCILLE ROYBAL-ALLARD REGENT 2.00 0.00 X 0 0 0 HONORABLE JOHN SHIMKUS REGENT (CONCLUDED JAN 2021) 2.00 0.00 X 0 0 0 HONORABLE ADRIAN SMITH REGENT (COMMENCE APR 2021) 2.00 0.00 X 0 0 0 HONORABLE BARBARA M BARRETT REGENT (COMMENCE JUNE 2021) 3.00 0.00 X 0 0 0 MR STEVE CASE REGENT 10.00 0.00 X 0 0 0 MR JOHN FAHEY REGENT 3.00 0.00 X 0 0 0 MR ROGER W FERGUSON JR REGENT 3.00 0.00 X 0 0 0 MR MICHAEL GOVAN REGENT 3.00 0.00 X 0 0 0 DR RISA J LAVIZZO-MOUREY REGENT 3.00 0.00 X 0 0 0 MR MICHAEL M LYNTON REGENT 3.00 0.00 X 0 0 0 MS DENISE M O'LEARY REGENT 2.00 0.00 X 0 0 0 MR FRANKLIN D RAINES REGENT (CONCLUDED JAN 2021) 2.00 0.00 X 0 0 0 MR DAVID M RUBENSTEIN REGENT 7.00 0.00 X 0 0 0 MR LONNIE G BUNCH III SECRETARY OF THE SMITHSONIAN 50.00 0.00 X 726156 0 64311 MICHAEL MCCARTHY UNDER SECRETARY FOR ADMINISTRATION 50.00 0.00 X 357033 0 75192 JUDITH LEONARD GENERAL COUNSEL 50.00 0.00 X 250021 0 45957 CATHY HELM INSPECTOR GENERAL 50.00 0.00 X 223061 0 23368 MEROE PARK DEPUTY SECRETARY & COO 50.00 0.00 X 448911 0 41426 PORTER WILKINSON CHIEF OF STAFF - REGENTS 50.00 0.00 X 221143 0 30276 DOUGLAS HALL ACTING UNDER SECRETARY FOR ADMINISTRATION 50.00 0.00 X 200916 0 31213 AMY CHEN CHIEF INVESTMENT OFFICER 50.00 0.00 X 673679 0 40712 ROBERT SPILLER ASSISTANT SECRETARY FOR ADVANCEMENT 50.00 0.00 X 392559 0 76830 ELLEN STOFAN DIRECTOR, NATIONAL AIR AND SPACE MUSEUM 50.00 0.00 X 288132 0 74793 KEVIN GOVER ACTING UNDER SECRETARY FOR MUSEUMS & CULTURE 50.00 0.00 X 301673 0 66038 JULISSA MARENCO ASST. SECRETARY FOR COMMUNICATIONS AND EXTERNAL AF 50.00 0.00 X 239927 0 58889 ROGER BRISSENDEN ACTING UNDER SECRETARY FOR SCIENCE & RESEARCH 50.00 0.00 X 241512 0 31217 NANCY BECHTOL DIRECTOR, SMITHSONIAN FACILITIES 50.00 0.00 X 198366 0 27577 CHARLES ALCOCK DIRECTOR, SMITHSONIAN ASTROPHYSICAL OBSERVATORY 50.00 0.00 X 158371 0 20656 CAROL LEBLANC PRESIDENT, SMITHSONIAN ENTERPRISES 50.00 0.00 X 501299 0 63489 JEFFREY SMITH INVESTMENT OFFICER 50.00 0.00 X 615259 0 60442 MICHAEL GIOVENCO INVESTMENT OFFICER 50.00 0.00 X 530390 0 32656 RYAN DOTSON INVESTMENT OFFICER 50.00 0.00 X 472123 0 55032 JOHN DAVIS INTERIM DIRECTOR, COOPER HEWITT 50.00 0.00 X 417958 0 62325 MELISSA CHIU DIRECTOR, HIRSHHORN MUSEUM & SCULPTURE GARDEN 50.00 0.00 X 405663 0 75376 RICHARD KURIN SR. SCHOLAR AND AMBASSADOR-AT-LARGE 50.00 0.00 X 335295 0 63463 ERA MARSHALL DIRECTOR OF EQUAL EMPLOYMENT & SUPPLIER DIVERSITY 50.00 0.00 X 225054 0 20031 ZULLY DORR DEPUTY ASSISTANT SECRETARY FOR ADVANCEMENT 50.00 0.00 X 211155 0 51649 DERON BURBA CHIEF INFORMATION OFFICER 50.00 0.00 X 202284 0 56222 JOHN LAPIANA SENIOR ADVISOR 50.00 0.00 X 199854 0 37675 DAVID VOYLES DIRECTOR OF PLANNING, MGMT AND BUDGET 50.00 0.00 X 196143 0 17338 9233937 0 1304153 1725 1 1 1 CLARKSMOOTCONSIGLI A JOINT VENTURE 7500 OLD GEORGETOWN RD BETHESDA MD 20814 CONSTRUCTION 94129726 UNIVERSAL PROTECTION SERVICE LP 1551 N TUSTIN AVE SANTA ANA CA 927058664 SECURITY 15447446 TC PENNSY DRIVE LLC 444 MADISON AVENUE 18TH FLOOR NEW YORK NY 100226903 REAL ESTATE 8599481 100 DISCOVERY PARK DE LLC 116 HUNTINGTON AVE BOSTON MA 02116 REAL ESTATE 5355337 HUANG-CFM JOINT VENTURE 5601N GENERAL WASHINGTON DRIVE ALEXANDRIA VA 223122403 CONSTRUCTION 4452145 227 41540 26150117 137934 313659 1128227740 372912797 14415001 1527783787 VISITORS/MEMBERS/EMPLO 900099 39058229 39058229 SUBSCRIPTIONS-MAGAZINE 511120 27600665 27600665 TOURS/CLASSES 900099 4446029 4439789 6240 TRAVELING EXHIBITIONS 712110 1121053 1121053 THEATER INCOME 512131 628619 628619 72854595 11187982 137334 11050648 12307816 12307816 6787713 5934087 853626 853626 753257 100369 545745690 1369676 384392008 0 161353682 1369676 162723358 1369676 161353682 29196 137934 169183 -139987 -139987 12429903 5708370 6721533 6721533 MAG/WEBSITE ADVERTISIN 541800 7214096 -443867 7657963 INTERCOMPANY REVENUE 900099 3254889 3050437 204452 MISCELLANEOUS REVENUE 900099 2288 2288 10471273 1804763983 83548422 8759246 184672528 247353 247353 11810520 11810520 2951560 2951560 7699235 2934444 4295402 469389 1616163 1616163 540853399 421418733 90584736 28849930 74093777 31273191 42820586 72622988 26044590 43011959 3566439 38615581 14325857 24254459 35265 347534 213032 129202 5300 1246043 1236815 9228 1928096 1928096 3234653 3234653 120594318 75524834 34457644 10611840 2378654 1511376 291354 575924 42414848 25148140 8864172 8402536 43791018 7851005 34559237 1380776 360282 360282 157695520 117329399 38319047 2047074 3415554 3440335 136818 -161599 2177002 913186 1128318 135498 6911571 6911571 168501285 140277320 27971213 252752 1898731 740271 1158408 52 EQUIPMENT 43400426 22821904 20361078 217444 PROGRAM PRODUCTION 34528193 20839148 11310961 2378084 RESEARCH/SUBCONTRACT 30876378 30874299 1675 404 -90544 438754 -529298 1416120138 966201104 389214602 60704432 886734458 844451216 132486826 63712426 174700566 384207924 35118164 14015641 12284919 10864725 7827545 5422180 5536015262 2767716105 2740772945 2768299157 296159722 14017884 1751236768 2834308164 0 110422301 16042720 9441268 6053364633 7059162886 295826945 272879396 677540432 730285978 94604197 92743241 296744908 419570713 51668648 47720399 1416385130 1563199727 X 2655815646 2805038537 1981163857 2690924622 4636979503 5495963159 6053364633 7059162886 X 388643845 477058901 -6719090 X X 0 1 X 1 1 1 X 1174926626 1192108664 1292933360 1308610079 1527783787 6496362516 1174926626 1192108664 1292933360 1308610079 1527783787 6496362516 66577374 6429785142 36693083 40028926 40511011 33186345 24349424 174768789 6671131305 642871136 0.96380 0.97190 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 1 88.25 0 0 1 0 X X X X 1 1937754681 50779878 626775984 79750157 3047189 2532513197 1713248540 35816167 270503159 76885815 4927370 1937754681 1645269208 36000996 113052434 75789588 5284510 1713248540 1502159340 52445032 167085531 72853244 3567451 1645269208 1368754997 42062815 166875266 71427379 4106359 1502159340 0.41300 0.23430 0.35270 0 0 32818456 32818456 4283965354 2309386140 1974579214 132998684 91097356 41901328 454313772 367232609 87081163 631918996 631918996 2768299157 SECURITIES-ENDOWMENT CONSOLIDATED 2505394087 F SECURITIES-SHORT-TERM 274924929 F SECURITIES-GIFT ANNUITY PROGRAM 27237852 F SECURITIES-ACCRUED ENDOWMENT 25769642 F SECURITIES-ENDOWMENT US TREAS 998750 F ACCRUED INTEREST-CONSOLIDATED -17096 F 2834308164 ESTIMATED REMEDIATION OBLIGATION 46649154 ACCTS. PAY-CANCELLED APPROP. 343537 OTHER LIABILITIES 727708 47720399 X 2394103142 477058901 9232489 100404869 586696259 1807406883 3234653 -5877553 -2642900 1804763983 1535119485 9232489 9232489 1525886996 3234653 -113001511 -109766858 1416120138 PART II, LINE 3: SMITHSONIAN INSTITUTION DID NOT MODIFY, TRANSFER, RELEASE, EXTINGUISH OR TERMINATE ANY CONSERVATION EASEMENTS DURING THE YEAR. PART II, LINE 6: THE SMITHSONIAN ENVIRONMENTAL RESEARCH CENTER (SERC) IS LOCATED ON 2,650 ACRES OF LAND ON THE CHESAPEAKE BAY IN SOUTHERN MARYLAND SPANNING FORESTS, WETLANDS, MARSHES, AND 12 MILES OF PROTECTED SHORELINE. THE SITE SERVES AS A NATURAL LABORATORY FOR LONG-TERM AND CUTTING-EDGE ECOLOGICAL RESEARCH. THE SMITHSONIAN HAS A CONSERVATION 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. PART II, LINE 9: THE SMITHSONIAN INSTITUTION'S CONSERVATION EASEMENT DOES NOT APPEAR IN THE INSTITUTION'S AUDITED FINANCIAL STATEMENTS. PART III, LINE 1A: IN CONFORMITY WITH THE PRACTICE GENERALLY FOLLOWED BY MUSEUMS, NO VALUE IS ASSIGNED TO THE COLLECTIONS IN THE STATEMENT OF FINANCIAL POSITION. PURCHASES OF COLLECTION ITEMS ARE RECOGNIZED AS REDUCTIONS IN NET ASSETS WITHOUT DONOR RESTRICTION 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, CARE, AND MAINTENANCE. PART III, LINE 4: THE ACQUISITION, PRESERVATION, MANAGEMENT, AND STUDY OF COLLECTIONS ARE FUNDAMENTAL TO THE SMITHSONIAN'S MISSION TO INCREASE AND DIFFUSE KNOWLEDGE AND HAVE BEEN THE FOUNDATION UPON WHICH IT RESTS. SMITHSONIAN COLLECTIONS ARE A NATIONAL AND GLOBAL RESOURCE ACCESSED EACH YEAR BY MILLIONS OF VISITORS AND RESEARCHERS WHO USE TRADITIONAL METHODS AND CUTTING-EDGE TECHNOLOGIES TO EXPLORE SUBJECTS FROM AERONAUTICS TO ZOOLOGY. THROUGH ITS COLLECTIONS, THE SMITHSONIAN PRESENTS THE ASTONISHING RECORD OF AMERICAN AND INTERNATIONAL ARTISTIC, HISTORICAL, CULTURAL, AND SCIENTIFIC ACHIEVEMENT, WITH A SCOPE AND DEPTH NO OTHER INSTITUTION IN THE WORLD CAN MATCH. SMITHSONIAN COLLECTIONS CONTRIBUTE TO POPULATION RECOVERY OF ENDANGERED SPECIES, ADVANCES IN REPRODUCTIVE BIOLOGY, GENOME RESOURCE BANKING, MEDICAL RESEARCH, FORENSIC ANALYSIS, BIO-SECURITY, AND CONSERVATION POLICY WORLDWIDE. ASSEMBLED OVER MORE THAN 175 YEARS, THE COLLECTIONS ARE CENTRAL TO THE CORE ACTIVITIES AND TO THE VITALITY AND SIGNIFICANCE OF THE SMITHSONIAN. PART V, LINE 4: THE ENDOWMENT INCLUDES APPROXIMATELY 700 INDIVIDUAL ENDOWMENT FUNDS. THE ENDOWMENT PROVIDES STABLE FINANCIAL SUPPORT FOR SCHOLARSHIP, RESEARCH ACTIVITIES, OTHER PROGRAMS, ACQUISITIONS OF COLLECTIONS AND OTHER INSTITUTIONAL ACTIVITIES. IT PLAYS A CRITICAL ROLE IN ENABLING THE INSTITUTION TO ACHIEVE ITS MISSION - "THE INCREASE AND DIFFUSION OF KNOWLEDGE." THE ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF REGENTS TO FUNCTION AS ENDOWMENTS. CLASSIFICATION AND REPORTING OF NET ASSETS ASSOCIATED WITH THE ENDOWMENT REFLECT DONOR-IMPOSED RESTRICTIONS. PART X, LINE 2: 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. PART XI, LINE 2D - OTHER ADJUSTMENTS: IMPUTED REVENUE 107,123,958. GAIN ON SALE OF REAL ESTATE 373,807. CHANGES IN NET OTHER ASSET OF RELATED ORG -7,092,896. PART XI, LINE 4B - OTHER ADJUSTMENTS: DIRECT FUNDRAISING EXP -169,183. DIRECT EXPENSES COGS -5,708,370. PART XII, LINE 4B - OTHER ADJUSTMENTS: IMPUTED REVENUE -107,123,958. DIRECT FUNDRAISING EXP -169,183. DIRECT EXPENSES COGS -5,708,370. 1 ASIA 0 0 ACADEMIC APPOINTMENT STIPENDS 491620 SUB-SAHARAN-AFRICA 0 0 ACADEMIC APPOINTMENT STIPENDS 115275 NORTH AMERICA (CANADA & MEXICO ONLY) 0 0 ACADEMIC APPOINTMENT STIPENDS 264615 NORTH AMERICA 0 0 ACADEMIC APPOINTMENT STIPENDS 405477 SOUTH AMERICA 0 0 ACADEMIC APPOINTMENT STIPENDS 887814 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 ACADEMIC APPOINTMENT STIPENDS 671637 RUSSIA AND NEIGHBORING STATES 0 0 ACADEMIC APPOINTMENT STIPENDS 50000 AUSTRALIA 0 0 ACADEMIC APPOINTMENT STIPENDS 65120 ASIA 0 0 PROGRAM SERVICES TRAVEL, RELATED TO RESEARCH, CONFERENCES AND TRAINING 80676 SUB-SAHARAN-AFRICA 0 0 PROGRAM SERVICES TRAVEL, RELATED TO RESEARCH, CONFERENCES AND TRAINING 149963 NORTH AMERICA (CANADA & MEXICO ONLY) 0 0 PROGRAM SERVICES TRAVEL, RELATED TO RESEARCH, CONFERENCES AND TRAINING 5637 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES TRAVEL, RELATED TO RESEARCH, CONFERENCES AND TRAINING 56944 NORTH AMERICA 0 0 PROGRAM SERVICES TRAVEL, RELATED TO RESEARCH, CONFERENCES AND TRAINING 96969 SOUTH AMERICA 0 0 PROGRAM SERVICES TRAVEL, RELATED TO RESEARCH, CONFERENCES AND TRAINING 32223 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 1148427261 NORTH AMERICA 0 0 INVESTMENTS 5512726 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 132592725 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 44497357 0 0 0 0 0 0 2951558 1331452481 1334404039 SUB-SAHARAN-AFRICA ACADEMIC APPOINTMENT STIPENDS 54400 DIRECT DEPOSIT AND CHECKS 1 ACADEMIC APPOINTMENT STIPENDS ASIA 22 491620 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS SUB-SAHARAN-AFRICA 6 60875 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS NORTH AMERICA (CANADA & MEXICO ONLY) 19 264615 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS NORTH AMERICA 54 405477 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS SOUTH AMERICA 53 887814 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS EUROPE (INCLUDING ICELAND AND GREENLAND) 36 671637 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS RUSSIA AND NEIGHBORING STATES 1 50000 DIRECT DEPOSIT AND CHECKS ACCRUAL ACADEMIC APPOINTMENT STIPENDS AUSTRALIA 2 65120 DIRECT DEPOSIT AND CHECKS ACCRUAL 1 1 1 1 1 1 PART I, LINE 2: THE OFFICE OF FELLOWSHIPS HAS CENTRAL MANAGEMENT AND ADMINISTRATIVE RESPONSIBILITY FOR THE SMITHSONIAN PROGRAMS OF RESEARCH FELLOWSHIPS AND OTHER ACADEMIC APPOINTMENTS FOR UNDERGRADUATE, GRADUATE STUDENTS, POSTDOCTORAL AND SENIOR SCHOLARS. THE SMITHSONIAN INSTITUTION FELLOWSHIP PROGRAM IS A COMPETITIVE FELLOWSHIP PROGRAM FOR GRADUATE AND POSTDOCTORAL FELLOWS, WHO APPLY TO CONDUCT RESEARCH AT THE INSTITUTION WITH RESEARCH STAFF SERVING AS ADVISORS. THE REVIEW PROCESS IS MADE UP OF DISCIPLINARY COMMITTEES COMPRISED OF THE INSTITUTION'S STAFF WHO EVALUATE THE CANDIDATES AND THEN SELECT THE FELLOWS. THERE ARE OTHER COMPETITIVE AND NON-COMPETITIVE FELLOWSHIPS FOR VISITING SCHOLAR AND STUDENT APPOINTEES SELECTED THROUGH THE SMITHSONIAN UNITS THAT GO THROUGH A VARIETY OF OTHER SELECTION PROCESSES BEFORE AN AWARD IS MADE. AN OFFICIAL LETTER/AGREEMENT IS PROVIDED TO EACH AWARD RECIPIENT IDENTIFYING THE AWARD TITLE, DATES OF TENURE, STIPEND ALLOWANCES, AND REQUIRED RESPONSIBILITIES FOR HOLDING THIS POSITION. ALL RECIPIENTS EITHER WILL IDENTIFY A FINANCIAL INSTITUTION FOR RECEIPT OF THEIR MONETARY AWARD OR THEY WILL RECEIVE US TREASURY CHECKS. DEPENDING ON THE TENURE OF THE APPOINTMENT, PAYMENTS CAN RANGE FROM ONE LUMP SUM, BIWEEKLY PAYMENTS OR MONTHLY PAYMENTS. MOST FELLOWSHIP APPOINTMENTS ARE AWARDED FOR ONE TO TWO YEARS. ON OCCASION, THE SMITHSONIAN INSTITUTION HAS VISITING SCHOLARS OR FELLOWS WHO ARE CONDUCTING RESEARCH IN ANOTHER COUNTRY. PAYMENTS ARE USUALLY SUBMITTED AS STATED ABOVE, HOWEVER, ON OCCASION, THERE MAY BE ONE OR TWO WHO REQUEST THAT THEIR PAYMENTS BE SENT TO THE COUNTRY OF THEIR RESEARCH. AT THE END OF TENURE, A FINAL REPORT OF THEIR RESEARCH ACCOMPLISHMENTS IS PROVIDED FOR OUR RECORDS. SMITHSONIAN RESEARCH STAFF WHO SERVE AS ADVISORS TO THESE FELLOWS, STUDENTS AND SCHOLARS ARE USUALLY IN THE FIELD DURING THEIR TENURE. THE EIGHT SMITHSONIAN RESEARCH CENTERS LOCATED IN THE UNITED STATES AND ONE LOCATED IN PANAMA MONITOR THE PROGRESS OF THEIR FELLOWS ESPECIALLY THOSE FELLOWS IN OTHER COUNTRIES, AND THE ADMINISTRATIVE MANAGEMENT OF FUNDS IS MANAGED THROUGH THE INSTITUTION'S CENTRAL ADMINISTRATION FOR ACCOUNTABILITY. PART III ACCOUNTING METHOD: PART I, LINE 2B 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. PART I, LINE 2B(II) LINE 2B COLUMN(II) ACTIVITY 5 MARKETING/FUNDRAISING CONSULTANT 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. FOREIGN TRAVELER PROGRAM SERVICES FOR TRAVEL RELATED TO RESEARCH, CONFERENCES AND TRAINING IS FOR TRAVEL BY SI EMPLOYEES, RESEARCH ASSOCIATES, OR INVITATIONAL TRAVELERS (I.E., INDIVIDUALS WHO ARE NOT SI EMPLOYEES). ONLY TRAVEL ESSENTIAL TO THE PERFORMANCE OF OFFICIAL SMITHSONIAN BUSINESS AND FOR WHICH TRAVEL-RELATED EXPENSES ARE TO BE PAID BY THE SMITHSONIAN, CAN BE APPROVED, AUTHORIZED, AND REIMBURSED. INVESTMENTS 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. 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 X X X X X X X 1 AVALON CONSULTING GROUP INC 805 15TH STREET NW WASHINGTON DC 20005 DIRECT MARKETING CONSULTANT 0 0 597488 -597488 BLACKBAUD INC P O BOX 930256 ATLANTA GA 311930256 FUNDRAISING CONSULTANT 0 0 38543 -38543 COMMUNITY COUNSELLING SERVICE CO LLC 461 5TH AVENUE NEW YORK NY 10017 FUNDRAISING CONSULTANT 0 0 461029 -461029 GRENZEBACH GLIER & ASSOCIATES INC 200 SOUTH MICHIGAN AVE SUITE 2100 CHIGAGO IL 606042473 MARKETING CONSULTANT 0 0 242520 -242520 JOHN BROWN LIMITED INC 4916 CRESTWOOD DRIVE WACO TX 78710 FUNDRAISING CONSULTANT 0 0 13047 -13047 PUBLIC INTEREST COMMUNICATION INC 7700 LEESBURG PIKE FALLS CHURCH VA 22043 FUNDRAISING CONSULTANT 0 0 5918 -5918 SD&A TELESERVICES INC 101 CONTINENTAL BLVD EL SEGUNDO GA 902454515 TELEMARKETING SERVICES 0 0 75827 -75827 1434372 -1434372 NDA AWARD DINNER 100000 ANNUAL FUNDRAISING GALA 56975 5 167130 137934 29196 189 12019 167130 137934 29196 189 168994 169183 -139987 SCHEDULE G, PART I 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. 1 OLD DOMINION UNIVERSITY ROLLINS HALL 2003A NORFOLK VA 235290001 546000884 501(C)(3) 55000 ACADEMIC APPT. STIPENDS QUEENS COLLEGE FOUNDATION INC 65-30 KISSENA BLVD FL 13 STE 1306 FLUSHING NY 113671575 116080521 501(C)(3) 35000 ACADEMIC APPT. STIPENDS OHIO STATE UNIV RESEARCH FDN 1960 KENNY ROAD COLUMBUS OH 432101063 316401599 501(C)(3) 27550 ACADEMIC APPT. STIPENDS UNIVERSITY OF MARYLAND AT COLL 4500 CAMPUS DRIVE COLLEGE PARK MD 207420001 526002033 501(C)(3) 27351 ACADEMIC APPT. STIPENDS CALDWELL COUNTY SCHOOLS 1914 HICKORY BLVD SW LENOIR NC 286456404 566000998 501(C)(3) 20950 ACADEMIC APPT. STIPENDS MARLBORO COUNTY SCHOOL DISTRIC 122 BROAD STREET BENNETTSVILLE SC 295120947 576000387 501(C)(3) 15500 ACADEMIC APPT. STIPENDS BURKE COUNTY PUBLIC SCHOOLS 700 E PARKER ROAD MORGANTON NC 286556762 560935935 501(C)(3) 14450 ACADEMIC APPT. STIPENDS POLK COUNTY BOARD OF EDUCATION 125 E MILLS STREET COLUMBUS NC 287220638 566001098 501(C)(3) 8725 ACADEMIC APPT. STIPENDS REGENTS OF THE UNIVERSITY OF M 106 PLEASANT STREET SE MINNEAPOLIS MN 55455 416007513 501(C)(3) 8320 ACADEMIC APPT. STIPENDS COUNTY OF ALEXANDER 700 LILEDOUN ROAD TAYLORSVILLE NC 286810250 566000984 501(C)(3) 8100 ACADEMIC APPT. STIPENDS ORANGEBURG COUNTY SCHOOL DISTR 102 FOUNDERS CT ORANGEBURG SC 291182087 833861927 501(C)(3) 7625 ACADEMIC APPT. STIPENDS NOVOGENE CORPORATION INC 8801 FOLSOM BLVD SUITE 290 SACRAMENTO CA 958264534 472149437 501(C)(3) 5964 ACADEMIC APPT. STIPENDS 12 0 ACADEMIC APPOINTMENT STIPENDS 969 11810520 PART I, LINE 2: 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. X 0 0 X X X X 0 0 0 0 0 0 0 0 0 MR LONNIE G BUNCH III SECRETARY OF THE SMITHSONIAN 720822 0 0 0 5334 0 41565 0 22746 0 790467 0 0 0 AMY CHEN CHIEF INVESTMENT OFFICER 271816 0 400097 0 1766 0 39345 0 1367 0 714391 0 0 0 JEFFREY SMITH INVESTMENT OFFICER 188862 0 426124 0 273 0 27220 0 33222 0 675701 0 0 0 CAROL LEBLANC PRESIDENT, SMITHSONIAN ENTERPRISES 346335 0 153396 0 1568 0 41565 0 21924 0 564788 0 0 0 MICHAEL GIOVENCO INVESTMENT OFFICER 164604 0 365573 0 213 0 21528 0 11128 0 563046 0 0 0 RYAN DOTSON INVESTMENT OFFICER 137886 0 334113 0 124 0 19082 0 35950 0 527155 0 0 0 MEROE PARK DEPUTY SECRETARY & COO 448019 0 0 0 892 0 39773 0 1653 0 490337 0 0 0 MELISSA CHIU DIRECTOR, HIRSHHORN MUSEUM & SCULPTU 399997 0 5000 0 666 0 41565 0 33811 0 481039 0 0 0 JOHN DAVIS INTERIM DIRECTOR, COOPER HEWITT 406164 0 10000 0 1794 0 41565 0 20760 0 480283 0 0 0 ROBERT SPILLER ASSISTANT SECRETARY FOR ADVANCEMENT 380816 0 10000 0 1743 0 41565 0 35265 0 469389 0 0 0 MICHAEL MCCARTHY UNDER SECRETARY FOR ADMINISTRATION 336207 0 20000 0 826 0 41565 0 33627 0 432225 0 0 0 RICHARD KURIN SR. SCHOLAR AND AMBASSADOR-AT-LARGE 318493 0 10000 0 6802 0 48060 0 15403 0 398758 0 0 0 KEVIN GOVER ACTING UNDER SECRETARY FOR MUSEUMS & 292793 0 5000 0 3880 0 41565 0 24473 0 367711 0 0 0 ELLEN STOFAN DIRECTOR, NATIONAL AIR AND SPACE MUS 281732 0 5000 0 1400 0 41565 0 33228 0 362925 0 0 0 JULISSA MARENCO ASST. SECRETARY FOR COMMUNICATIONS A 232577 0 7000 0 350 0 34559 0 24330 0 298816 0 0 0 JUDITH LEONARD GENERAL COUNSEL 240210 0 5000 0 4811 0 34559 0 11398 0 295978 0 0 0 ROGER BRISSENDEN ACTING UNDER SECRETARY FOR SCIENCE & 216512 0 25000 0 0 0 9721 0 21496 0 272729 0 0 0 ZULLY DORR DEPUTY ASSISTANT SECRETARY FOR ADVAN 210405 0 750 0 0 0 30271 0 21378 0 262804 0 0 0 DERON BURBA CHIEF INFORMATION OFFICER 196474 0 5000 0 810 0 28079 0 28143 0 258506 0 0 0 PORTER WILKINSON CHIEF OF STAFF - REGENTS 210946 0 10000 0 197 0 29093 0 1183 0 251419 0 0 0 CATHY HELM INSPECTOR GENERAL 223061 0 0 0 0 0 0 0 23368 0 246429 0 0 0 ERA MARSHALL DIRECTOR OF EQUAL EMPLOYMENT & SUPPL 215054 0 10000 0 0 0 0 0 20031 0 245085 0 0 0 JOHN LAPIANA SENIOR ADVISOR 193686 0 5000 0 1168 0 26472 0 11203 0 237529 0 0 0 DOUGLAS HALL ACTING UNDER SECRETARY FOR ADMINISTR 188416 0 12500 0 0 0 9823 0 21390 0 232129 0 0 0 NANCY BECHTOL DIRECTOR, SMITHSONIAN FACILITIES 196446 0 749 0 1171 0 26511 0 1066 0 225943 0 0 0 DAVID VOYLES DIRECTOR OF PLANNING, MGMT AND BUDGE 191076 0 5067 0 0 0 7625 0 9713 0 213481 0 0 0 CHARLES ALCOCK DIRECTOR, SMITHSONIAN ASTROPHYSICAL 156729 0 0 0 1642 0 19759 0 897 0 179027 0 0 0 PART I, LINE 1A CHARTERED TRAVEL FOR BONA-FIDE BUSINESS PURPOSES WAS AUTHORIZED FOR TWO KEY EMPLOYEES WHEN THE CIRCUMSTANCES OF THEIR TRAVEL MET THE REQUIREMENTS OF THE SMITHSONIAN'S POLICY FOR SUCH TRAVEL. CHARTERED 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. PART II: COMPENSATION FROM AN UNRELATED ORGANIZATION OR INDIVIDUAL NAME: CHARLES ALCOCK COMPENSATION FROM UNRELATED ORGANIZATION: $171,320 NAME OF UNRELATED ORGANIZATION: HARVARD UNIVERSITY A FAIRFAX COUNTY ECONOMIC DEVELOPMENT AUTHORITY 540787833 30382ECZ5 2003-12-03 77545000 NEW CONSTRUCTION 0 0 0 B DISTRICT OF COLUMBIA 536001131 2548397S6 2010-04-29 33825749 REFUNDING OF 1997 BONDS 0 0 0 A 77545000 530475 6161 77008364 2003 0 0 1 1 B 19180749 33825749 612994 33212755 2010 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0 0 1 B 0 0 1 1 0 0.01940 0.01940 0 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 1 0 0 0 1 A 1 B 1 SCHEDULE K, PART III, LINE 5 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 WITHIN THE SPACE FINANCED BY THIS BOND ISSUE. THE PRIVATE BUSINESS USE FOR THE CURRENT WAS LESS THAN 5%. THE PRIVATE BUSINESS IS BEING MONITORED AND WILL REMAIN UNDER 5% FOR THE ENTIRE MEASUREMENT PERIOD (1998-2028). MARIA MARABLE-BUNCH WIFE OF L. BUNCH SECRETARY OF THE SMITHSONIAN INSTITUTION 165105 ANNUAL COMPENSATION 0 X 1843 X 306 13292940 MARKET VALUE X 545 X 1967 X 5306 X GOODS 22 977471 MARKET VALUE X ARCHIVAL ITEMS 2026 0 X ARCHIVAL LINEAR FT 478 0 X ARCHIVAL GB 3713 0 56 0 1 1 PART I, LINE 32B: ITEMS ARE SOLD THROUGH COMMERCIAL GALLERIES AND AUCTIONS HOUSES. INDIVIDUALS AND FIRMS ARE HIRED ON A CONTRACTUAL BASIS TO PROCESS ACQUISITIONS. ALTHOUGH THE SMITHSONIAN ACQUIRES COLLECTION ITEMS AND OBJECTS WITH THE GOOD FAITH INTENTION OF RETAINING THEM FOR AN INDEFINITE PERIOD OF TIME, PRUDENT COLLECTIONS MANAGEMENT INCLUDES JUDICIOUS CONSIDERATION OF APPROPRIATE DEACCESSIONING AND DISPOSAL TO REFINE AND IMPROVE THE QUALITY AND RELEVANCE OF THE COLLECTIONS WITH RESPECT TO THE SMITHSONIAN'S MISSION AND PURPOSE. WHEN OBJECTS ARE DEACCESSIONED FOR DISPOSAL BY SALE, THE SMITHSONIAN CONTRACTS WITH COMMERCIAL GALLERIES OR AUCTION HOUSES TO SELL THE OBJECTS IN ORDER TO ASSURE THE BEST RETURN FROM THE SALE. PART I, LINE 33: IN ACCORDANCE WITH PROFESSIONAL PRACTICE, AS ALLOWED BY SFAS 116, THE SMITHSONIAN DOES NOT ASSIGN VALUE TO COLLECTION ITEMS ACQUIRED BY DONATION. FORM 990, 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 ACCOMPLISHMENTS: EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS: AFTER THE SMITHSONIAN CLOSED ITS MUSEUMS DUE TO THE COVID-19 PANDEMIC IN MARCH 2020, ALL 19 MUSEUMS RE-OPENED TO THE PUBLIC ON ADJUSTED SCHEDULES STARTING IN MAY 2021. IN CONJUNCTION WITH LOCAL AND NATIONAL GUIDELINES, THE MUSEUMS ADHERED TO NEW HEALTH AND SAFETY PROTOCOLS TO PROTECT AGAINST THE SPREAD OF COVID-19. IN RESPONSE TO THE GLOBAL PANDEMIC, THE SMITHSONIAN PRIORITIZED DIGITAL APPROACHES TO EDUCATION, PUBLIC PROGRAMS AND EXHIBITIONS. THE SMITHSONIAN DEVELOPED AND CURATED THE EDUCATIONAL RESOURCES STUDENTS, TEACHERS AND CAREGIVERS NEEDED TO SUPPORT DISTANCE LEARNING. AS PART OF THOSE EFFORTS, THE SMITHSONIAN PARTNERED WITH PBS LEARNINGMEDIA TO BRING LEARNING-READY CONTENT TO PRE-K12 EDUCATORS NATIONWIDE. THE SMITHSONIAN PROVIDED EDUCATIONAL INTERACTIVES, DOCUMENTS AND IN-DEPTH LESSON PLANS THAT ALIGNED WITH COMMON CORE AND NATIONAL AND STATE STANDARDS. AT THE END OF 2020, THE SMITHSONIAN HOSTED "24 HOURS IN A TIME OF CHANGE," A DAY-LONG VIRTUAL PROGRAM CENTERED AROUND CONTEMPORARY ISSUES SUCH AS RACIAL INJUSTICE AND THE COVID-19 PANDEMIC. THE PROGRAM ENCOURAGED A NATIONAL DIALOGUE BY INVITING THE PUBLIC TO REFLECT ON AND SHARE THEIR PERSONAL EXPERIENCES OF 2020. IN ADDITION TO DIGITAL CONVERSATIONS, TEN SMITHSONIAN MUSEUMS AND CENTERS HOSTED A SERIES OF VIRTUAL RECORDED AND LIVE PROGRAMS. TO EXPAND PUBLIC UNDERSTANDING OF AND APPRECIATION FOR PORTRAITURE, THE NATIONAL PORTRAIT GALLERY COMMENCED A NATIONWIDE TOUR OF THE ICONIC OBAMA PORTRAITS BY ARTISTS AMY SHERALD AND KEHINDE WILEY. THE TOUR, WHICH BEGAN IN JUNE 2021, INCLUDES STOPS IN BROOKLYN, LOS ANGELES, ATLANTA, AND HOUSTON. DURING ITS STOP IN ILLINOIS, THE TOUR CONSISTENTLY BROKE DAILY ATTENDANCE RECORDS FOR THE ART INSTITUTE OF CHICAGO. THE SMITHSONIAN LAUNCHED A NEW RACE INITIATIVE, "OUR SHARED FUTURE: RECKONING WITH OUR RACIAL PAST" WITH A VIRTUAL FORUM IN AUG. 2021. THE VIRTUAL EVENT BROUGHT TOGETHER NATIONAL THOUGHT LEADERS AND SMITHSONIAN EXPERTS TO ENCOURAGE A PUBLIC DIALOGUE ABOUT HOW AMERICANS UNDERSTAND, EXPERIENCE AND CONFRONT RACISM. THE EVENT TOUCHED ON SIX MAIN THEMES: RACE AND WELLNESS; RACE AND WEALTH; RACE AND PLACE; RACE, POLICY AND ETHICS; RACE BEYOND THE U.S.; AND RACE, ARTS AND AESTHETICS. IN SEPT. 2021, THE NATIONAL MUSEUM OF AFRICAN AMERICAN HISTORY AND CULTURE OPENED THE EXHIBIT, "MAKE GOOD THE PROMISES: RECONSTRUCTION AND ITS LEGACIES." THE LANDMARK EXHIBITION EXAMINES WHAT HISTORIANS CONSIDER TO BE THE LEAST STUDIED PERIOD IN AMERICAN HISTORY. "MAKE GOOD THE PROMISES" FEATURES MORE THAN 175 OBJECTS, 300 IMAGES AND 14 MEDIA PROGRAMS EXPLORING THE PERIOD AND ITS ONGOING IMPACT ON AMERICA TODAY. FORM 990, PART III, LINE 4B, PROGRAM SERVICE ACCOMPLISHMENTS: RESEARCH AND COLLECTIONS: THE SMITHSONIAN'S COLLECTIONS OF NEARLY 156 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 33 MILLION DIGITAL RECORDS OF ONLINE MATERIAL. CARE OF THE COLLECTIONS INVOLVES THE WORK OF REGISTRARS, CONSERVATORS, MUSEUM SPECIALISTS, DESIGNERS, CURATORS AND EDITORS. APPROXIMATELY 146 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. AS PART OF THE SMITHSONIAN'S COLLECTION EFFORTS SURROUNDING THE HISTORIC EVENTS OF 2020, THE NATIONAL MUSEUM OF AMERICAN HISTORY ANNOUNCED THE ACQUISITION OF MATERIALS CONNECTED WITH THE FIRST-KNOWN DOSES OF FDA-APPROVED COVID-19 VACCINE ADMINISTERED IN THE U.S. THE ACQUISITION INCLUDED THE VIAL THAT CONTAINED THE FIRST DOSES OF APPROVED VACCINE DISPENSED IN THE U.S., AS WELL AS OBJECTS RELATED TO VACCINE DISTRIBUTION. IN AUGUST 2021, TWO SCIMITAR-HORNED ORYX CALVES WERE BORN AS THE RESULT OF ARTIFICIAL INSEMINATION AT SMITHSONIAN CONSERVATION BIOLOGY INSTITUTE (SCBI). THE SCIMITAR-HORNED ORYX ARE CONSIDERED EXTINCT IN THE WILD. BY DEVELOPING AN ALTERNATE PROTOCOL FOR INSEMINATING SCIMITAR-HORNED ORYX, SCIENTISTS AT SCBI CONTINUE TO PLAY A LEADING ROLE IN THE SMITHSONIAN'S GLOBAL EFFORTS TO SAVE WILDLIFE SPECIES FROM EXTINCTION. RESEARCHERS AT THE SMITHSONIAN TROPICAL RESEARCH CENTER LED A STUDY THAT SHOWS THE ASTEROID IMPACT THAT DECIMATED THE DINOSAURS 66 MILLION YEARS AGO ALSO CAUSED 45% OF PLANTS IN WHAT IS NOW COLOMBIA TO GO EXTINCT. THE TEAM DISCOVERED THAT THE MASSIVE EXTINCTION ALLOWED FOR THE REIGN OF FLOWERING PLANTS IN MODERN TROPICAL RAINFORESTS. THEIR STUDY SHEDS LIGHT ON THE ORIGINS OF MODERN RAINFORESTS AND MAY HELP SCIENTISTS UNDERSTAND HOW RAINFORESTS WILL RESPOND TO A RAPIDLY CHANGING CLIMATE IN THE FUTURE. ASTRONOMERS AT THE CENTER FOR ASTROPHYSICS DETECTED THE FIRST JUPITER-LIKE PLANET WITHOUT CLOUDS OR HAZE IN ITS OBSERVABLE ATMOSPHERE. THE EXCEEDINGLY RARE DISCOVERY MARKS THE SECOND TIME ASTRONOMERS HAVE OBSERVED A CLOUD-FREE EXOPLANET. THE DISCOVERY OF PLANETS WITH CLEAR ATMOSPHERES WILL ALLOW SCIENTISTS TO BETTER STUDY THE CHEMICAL COMPOSITION OF PLANETS. SCIENTISTS AT THE NATIONAL MUSEUM OF NATURAL HISTORY DISPROVED THE IDEA THAT EELS ARE EXCLUSIVELY SOLITARY PREDATORS BY DISCOVERING ELECTRIC EELS HUNTING IN A GROUP. DESPITE HOW COMMON GROUP HUNTING IS IN MAMMALS, ONLY NINE SPECIES OF FISH ARE KNOWN TO HUNT IN GROUPS. THE RESEARCH IS A SUBSTANTIAL CONTRIBUTION TO EEL LITERATURE CONSIDERING HOW LITTLE IS KNOWN ABOUT THE SPECIES. FORM 990, PART III, LINE 4C, PROGRAM SERVICE ACCOMPLISHMENTS: MEMBERSHIP: THE NATIONAL ASSOCIATE PROGRAM IS THE INSTITUTION'S LARGEST AND MOST BASIC MEMBERSHIP PROGRAM. THE PROGRAM PROVIDES MEMBERS WITH SMITHSONIAN MAGAZINE, WHICH IS PUBLISHED 11 TIMES A YEAR. THE PRINT AND ONLINE PUBLICATION PROVIDES IN-DEPTH COVERAGE OF HISTORY, SCIENCE, NATURE, ART AND WORLD CULTURES. "FRIENDS OF THE SMITHSONIAN" IS A HIGHER-LEVEL MEMBERSHIP PROGRAM FOR PEOPLE INTERESTED IN A DEEP 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 EXHIBITIONS AND RESEARCH. THE SMITHSONIAN ASSOCIATES IS A SELF-SUPPORTING MEMBERSHIP PROGRAM WHICH PRODUCES INFORMATIVE, ENLIGHTENING, ENTERTAINING, AND INSIGHTFUL PROGRAMS INSPIRED BY AND GOING BEYOND SMITHSONIAN RESEARCH, COLLECTIONS AND EXHIBITIONS. PROGRAMS ENGAGE AUDIENCES FROM PRE-K TO POST-RETIREMENT WHO HAVE KEEN INTEREST IN FURTHERING THEIR UNDERSTANDING OF THE ARTS AND SCIENCES, THE PAST, PRESENT, AND FUTURE OF WORLD CULTURES. THE LARGEST MUSEUM-BASED EDUCATIONAL PROGRAM IN THE WORLD, SMITHSONIAN ASSOCIATES ANNUALLY OFFERS MORE THAN 750 VIRTUAL SEMINARS AND LECTURES, IN-PERSON AND ONLINE STUDIO ART CLASSES, PERFORMANCES, AND LOCAL AND REGIONAL STUDY TOURS. PERFORMANCES AT DISCOVERY THEATER AND MORE THAN 100 EDUCATIONALLY FOCUSED ONLINE AND IN-PERSON SUMMER CAMPS ARE AMONG THE PROGRAMS THAT FOSTER THE JOYS OF LEARNING FOR YOUNG PEOPLE AND THEIR FAMILIES. SMITHSONIAN ASSOCIATES STREAMING LAUNCHED DURING THE PANDEMIC AND CONTINUES TO INCREASE ENGAGEMENT WITH NATIONAL AND INTERNATIONAL AUDIENCES. NOTABLE GUESTS IN 2021 INCLUDED JUSTICE STEPHEN BREYER, DR. ANTHONY FAUCI, ELIZABETH WARREN, AUTHOR JODI PICOULT, AND ACTORS MARTIN SHEEN AND STANLEY TUCCI. FORM 990, PART IV, LINE 12B THE SMITHSONIAN'S AUDITED FINANCIAL STATEMENTS ARE INCLUDED IN THE UNITED STATES GOVERNMENT'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS. FORM 990, PART VI, SECTION A, LINE 1 THE BYLAWS OF THE ORGANIZATION DELEGATE AUTHORITY TO THE EXECUTIVE COMMITTEE TO ACT ON BEHALF OF THE BOARD OF REGENTS WHEN THE BOARD OF REGENTS IS NOT IN SESSION. THE BOARD OF REGENTS ELECTS FROM ITS MEMBERS AN EXECUTIVE COMMITTEE CONSISTING OF THREE MEMBERS. THE EXECUTIVE COMMITTEE HAS AND MAY EXERCISE ALL POWERS OF THE BOARD OF REGENTS WHEN THE BOARD OF REGENTS IS NOT IN SESSION, EXCEPT THOSE EXPRESSLY RESERVED TO ITSELF BY THE BOARD OF REGENTS, PROVIDED THAT ALL SUCH PROCEEDINGS ARE REPORTED TO THE GOVERNANCE AND NOMINATING COMMITTEE AND THE BOARD OF REGENTS ON A REGULAR BASIS. THE CHAIR OF THE BOARD SERVES AS CHAIR OF THE EXECUTIVE COMMITTEE. THE VICE CHAIR OF THE BOARD SERVES AS A MEMBER OF THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION A, LINE 2 STEVE CASE - BUSINESS RELATIONSHIP DAVID RUBENSTEIN - BUSINESS RELATIONSHIP FRANKLIN RAINES - BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION A, LINE 7A PURSUANT TO FEDERAL STATUTE, THE BOARD OF REGENTS CONSISTS OF THE VICE PRESIDENT OF THE UNITED STATES, THE CHIEF JUSTICE OF THE UNITED STATES, THREE MEMBERS OF THE U.S. SENATE, THREE MEMBERS OF THE U.S. HOUSE OF REPRESENTATIVES, AND NINE ADDITIONAL CITIZEN REGENTS. THE THREE SENATORS ARE APPOINTED BY THE PRESIDENT PRO TEMPORE OF THE U.S. SENATE, AND THE THREE MEMBERS OF THE HOUSE OF REPRESENTATIVES ARE APPOINTED BY THE SPEAKER OF THE HOUSE OF REPRESENTATIVES. THEIR APPOINTMENT TERMS COINCIDE WITH THE TERMS FOR WHICH THEY ARE ELECTED, AND THEY MAY BE REAPPOINTED IF RE-ELECTED. THE CITIZEN REGENTS ARE NOMINATED BY THE BOARD OF REGENTS, AND APPOINTED BY A JOINT RESOLUTION OF CONGRESS WHICH IS SIGNED BY THE PRESIDENT OF THE UNITED STATES. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 RETURN IS REVIEWED BY THE DIRECTOR OF FINANCE AND ACCOUNTING, THE OFFICE OF GENERAL COUNSEL, CHIEF OPERATING 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, SECTION B, LINE 12C ALL OFFICERS, KEY EMPLOYEES, AND CERTAIN OTHER EMPLOYEES ARE REQUIRED TO COMPLETE AND FILE ANNUALLY A CONFIDENTIAL FINANCIAL DISCLOSURE REPORT. THESE REPORTS - WHICH REQUIRE DISCLOSURE OF CERTAIN ASSETS, EARNED INCOME, LIABILITIES, OUTSIDE POSITIONS, OUTSIDE CONTRACTS AND AGREEMENTS, GIFTS, HOSPITALITY, REIMBURSEMENTS, AND OTHER INTERESTS RELATED TO THE EMPLOYEE'S SMITHSONIAN POSITION - ARE REVIEWED BY THE INSTITUTION'S OFFICE OF GENERAL COUNSEL FOR COMPLIANCE WITH APPLICABLE CONFLICT OF INTEREST POLICIES AND LAWS. IN ADDITION TO THIS REQUIRED REPORTING, ALL KEY EMPLOYEES ARE REQUIRED TO COMPLY WITH THE INSTITUTION'S STANDARDS OF CONDUCT, WHICH, AMONG OTHER THINGS, REQUIRES THAT EMPLOYEES NOT ENGAGE IN PRIVATE OR PERSONAL ACTIVITIES THAT MIGHT CONFLICT OR APPEAR TO CONFLICT WITH SMITHSONIAN INTERESTS, REQUIRES THAT EMPLOYEES OBTAIN OFFICE OF GENERAL COUNSEL APPROVAL BEFORE ENGAGING IN AN OUTSIDE ACTIVITY FOR COMPENSATION, AND REQUIRES EMPLOYEES TO CONSULT WITH THE OFFICE OF GENERAL COUNSEL WHENEVER A DOUBT EXISTS AS TO WHETHER AN ACTIVITY OR PLANNED ACTIVITY VIOLATES THE STANDARDS. ALL MEMBERS OF THE SMITHSONIAN'S GOVERNING BODY ARE REQUIRED TO COMPLETE AND FILE ANNUALLY THE BOARD OF REGENTS ANNUAL DISCLOSURE STATEMENT. THESE STATEMENTS - WHICH REQUIRE REPORTING BY MEMBERS (INCLUDING ANY REPORTABLE INTERESTS HELD BY IMMEDIATE FAMILY OF MEMBERS) ON OUTSIDE POSITIONS AND SUBSTANTIAL SHAREHOLDING IN FOR-PROFIT BUSINESS ENTITIES, OUTSIDE POSITIONS IN NON-PROFIT ENTITIES, AND INTERESTS AND AFFILIATIONS OF THE MEMBER THAT HAVE OR SOUGHT TO HAVE A RELATIONSHIP TO THE SMITHSONIAN - ARE REVIEWED BY THE INSTITUTION'S GENERAL COUNSEL FOR COMPLIANCE WITH APPLICABLE CONFLICT OF INTEREST POLICIES AND LAWS. IN ADDITION TO THIS REQUIRED REPORTING, ALL MEMBERS OF THE SMITHSONIAN'S GOVERNING BODY ARE REQUIRED TO COMPLY WITH THE BOARD OF REGENTS ETHICS GUIDELINES, WHICH, AMONG OTHER THINGS, DEFINE CONFLICTS OF INTEREST AND ESTABLISH PROCEDURES FOR DISCLOSING AND REPORTING OF CONFLICTS AND RECUSAL FROM DECISION-MAKING. FORM 990, PART VI, SECTION B, LINE 15 THE SMITHSONIAN ENSURES THAT COMPENSATION PAID TO OFFICERS AND OTHER KEY EMPLOYEES IS REASONABLE AND COMPARABLE TO SIMILAR ORGANIZATIONS. EMPLOYEES 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 REGENTS' COMMITTEE ON COMPENSATION AND HUMAN RESOURCES ENGAGES AN INDEPENDENT CONSULTANT TO DEVELOP AND ASSEMBLE COMPARABILITY DATA FOR ITS CONSIDERATION AND TO INFORM ITS DECISIONS. THE COMMITTEE'S ANNUAL DELIBERATIONS AND DECISIONS ARE DOCUMENTED AS PART OF THE FINAL RECOMMENDATION MATERIALS SUBMITTED TO THE BOARD OF REGENTS'. SALARIES FOR FEDERAL EMPLOYEES ARE DETERMINED BY STATUTORILY ESTABLISHED PAY RANGES FOR CIVIL SERVICE EMPLOYEES. AS A MATTER OF POLICY, THE SMITHSONIAN HAS ESTABLISHED SIMILAR RANGES FOR CERTAIN TRUST FUNDED OFFICER AND KEY EMPLOYEE POSITIONS AND MAINTAINS THOSE RANGES IN PROPORTION TO THE APPROPRIATE FEDERAL PAY RANGES. FORM 990, PART VI, SECTION C, LINE 19 THE SMITHSONIAN MAKES ITS GOVERNING DOCUMENTS, STATEMENT OF VALUES AND CODE OF ETHICS, AND AUDITED FINANCIAL STATEMENTS AVAILABLE ON ITS PUBLIC WEBSITE (WWW.SI.EDU). DOCUMENTS MAY ALSO BE VIEWED AT THE OFFICE OF FINANCE AND ACCOUNTING OR MAILED. FORM 990, PART XI, LINE 9: CHANGE IN NET ASSETS RELATED ORG -7,092,897. GAIN ON SALE OF REAL ESTATE 373,807. FORM 990, PART XII, LINE 2B THE SMITHSONIAN INSTITUTION IS SEPARATELY AUDITED. THE SMITHSONIAN INSTITUTION'S AUDITED FINANCIAL STATEMENTS ARE INCLUDED IN THE UNITED STATES GOVERNMENT'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS. 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