Form990
Click to see attachment
Department of the Treasury
Internal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations)
MediumBullet Do not enter Social Security numbers on this form as it may be made public. By law, the IRS
generally cannot redact the information on the form.
MediumBullet Information about Form 990 and its instructions is at www.IRS.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
A For the 2013 calendar year, or tax year beginning 10-01-2013 , 2013, and ending 09-30-2014
BCheck if applicable:
CName of organization
Smithsonian Institution
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
1000 Jefferson Drive S W
 
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
Washington, DC20560
D Employer identification number

53-0206027
E Telephone number

G Gross receipts $ 1,642,484,221
F Name and address of principal officer:
Dr David J Skorton
1000 Jefferson Dr SW
Washington,DC20560
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
www.si.edu
H(a)
Is this a group return for
subordinates?
H(b)
Are all subordinates
included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
Sch O
L Year of formation: 1846
M State of legal domicile:
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: "Increase and diffusion of knowledge" is the mission set forth by James Smithson.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 17
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 17
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 6,736
6 Total number of volunteers (estimate if necessary) ............. 6 5,451
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 14,525,079
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b -2,008,036
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 1,120,530,769 1,190,256,002
9 Program service revenue (Part VIII, line 2g) ......... 97,940,513 100,635,585
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 92,511,140 98,427,515
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 60,604,609 63,091,363
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 1,371,587,031 1,452,410,465
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 16,574,449 17,165,104
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 605,995,552 614,452,414
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 7,065,864 5,934,928
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet39,855,892    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 532,694,000 535,528,876
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 1,162,329,865 1,173,081,322
19 Revenue less expenses. Subtract line 18 from line 12....... 209,257,166 279,329,143
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 4,046,308,079 4,399,539,233
21 Total liabilities (Part X, line 26)............. 805,065,458 811,435,593
22 Net assets or fund balances. Subtract line 21 from line 20..... 3,241,242,621 3,588,103,640
Part II
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 complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title
Paid Preparer Use Only
Print/Type preparer's name
Preparer's signature
Date
PTIN
Firm's name MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ............
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2013)
Form 990 (2013)
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: "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.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ......................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................
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.
4a (Code:   ) (Expenses $ 411,866,682 including grants of $ 16,035,241 ) (Revenue $ 35,566,056 )
4A Research and Collections (See Schedule O)Research and Collections - The Smithsonian collections of nearly 137 million objects (art, artifacts and scientific specimens) are the heart of the Institution. Research, public programs and exhibitions are based on the collections as is much of our online material. Care of the collections involves the work of registrars, conservators, museum specialists, designers, curators and editors. About 126 million objects and specimens are part of the National Museum of Natural History collections and primarily used for research by both Smithsonian scientists and researchers from around the world. In some cases, the museum has the definitive, irreplaceable collection of a certain species which is essential for comparative studies.Among the major scientific discoveries this year was the announcement that toxic algae caused the death of 6-9 million-year-old marine vertebrate skeletons found at a large fossil site in northern Chile. Smithsonian and Chilean paleontologists found four separate layers of skeletons indicating four distinct strandings over time. The ancient whale graveyard research solved a mystery about the mass death of whales that has intrigued scientists for centuries.In more fossil news, the Smithsonian acquired a nearly-complete Tyrannosaurus rex (T.-rex) fossil skeleton from Montana that will become the centerpiece of the new dinosaur hall. The skeleton will be conserved and recorded using the latest 3-D technology. The most popular living animal at the Smithsonian is BaoBao, the giant panda born at the National Zoo, who made her public debut January 18, 2014.
4b (Code:   ) (Expenses $ 424,205,656 including grants of $ 1,129,863 ) (Revenue $ 48,175,629 )
4B Education, Public Programs and Exhibitions (See Schedule O)Education, Public Programs and Exhibitions - The National Museum of American History celebrated the 200th anniversary of the Star Spangled Banner in June with concerts, exhibition tours, a naturalization ceremony, a national sing-along on Flag Day, June 14, and a Smithsonian Channel documentary, "A Star-Spangled Story: Battle for America." At the Sackler Gallery, the first major exhibition devoted to American artist James McNeill Whistler, "An American in London: Whistler and the Thames" opened in spring with 80 works from major museums in the United States and Britain.The National Museum of the American Indian's exhibition, "Nation to Nation," presents the history of the United States and Indian nations through their treaties and more than 125 historical objects from the museum's vast collection. The first original treaty to be exhibited (on loan from the National Archives) was the 1794 treaty signed by President George Washington and leaders of the Six Nations or Iroquois Confederacy. The Smithsonian's Asian-Pacific American Center presented its first exhibition, "Beyond Bollywood" focusing on the contributions of Indian immigrants in the United States. The display included a dress worn by First Lady Michelle Obama designed by Indian American Naeem Khan. A traveling version of the exhibition also began circulating this year.
4c (Code:   ) (Expenses $ 80,110,623 including grants of $   ) (Revenue $ 66,127,653 )
4C Membership (See Schedule O)Membership - The National Associate program is our largest and most basic membership program. The program provides members with "Smithsonian" magazine which is published 11 times a year.The print and online publication provides in-depth coverage of history, science, nature, the arts, and world cultures. "Smithsonian" magazine also hosts the annual Ingenuity Awards, honoring the best and the brightest innovators who are making a difference in the world in a variety of fields. "Friends of the Smithsonian" is a higher level membership program for people interested in a deeper philanthropic connection to the Smithsonian. Friends receive "Smithsonian" magazine, plus they are invited to various events and are given the opportunity to learn about and support through donations to 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 museum-based educational program in the world, The 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 80 educationally focused summer camps are among the programs that foster the joys of learning for young people and their families. In FY 2014, notable guests included Justice Sonia Sotomayor, General Colin Powell, jazz legend Quincy Jones, filmmaker Ken Burns, and author Bill Nye.
(Code:   ) (Expenses $ 0 including grants of $ 0 ) (Revenue $ 0 )
4d Other program services (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet916,182,961
Form 990 (2013)
Form 990 (2013)
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 AClick to see attachment........................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? ...
2
 
No
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 IClick to see attachment..........
3
 
No
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 IIClick to see attachment........
4
Yes
 
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 IIIClick to see attachment............................
5
 
No
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 IClick to see attachment........................
6
 
No
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 IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," complete Schedule D, Part III Click to see attachment....................
8
Yes
 
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 IVClick to see attachment..............
9
 
No
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 VClick to see attachment......
10
Yes
 
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.Click to see attachment...................
11a
Yes
 
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 VIIClick to see attachment.......
11b
Yes
 
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 VIIIClick to see attachment.......
11c
 
No
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 IXClick to see attachment............
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part XClick to see attachment
11e
Yes
 
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 XClick to see attachment.........................
11f
Yes
 
12a
Did the organization obtain separate, independent audited financial statements for the tax year?
If "Yes," complete Schedule D, Parts XI and XII Click to see attachment.................
12a
Yes
 
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 Click to see attachment
12b
 
No
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E....
13
 
No
14a
Did the organization maintain an office, employees, or agents outside of the United States?.....
14a
Yes
 
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......... Click to see attachment
14b
Yes
 
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 IVClick to see attachment
15
Yes
 
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... Click to see attachment
16
Yes
 
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).... Click to see attachment
17
Yes
 
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............ Click to see attachment
18
Yes
 
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................... Click to see attachment
19
 
No
20a
Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H....
20a
 
No
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
Form 990 (2013)
Form 990 (2013)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II... Click to see attachment
21
Yes
 
22
Did the organization report more than $5,000 of grants or other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........ Click to see attachment
22
Yes
 
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....................... Click to see attachment
23
Yes
 
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................ Click to see attachment
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
No
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
 
No
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) 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
 
No
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
 
No
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 so, complete Schedule L, Part II....................
26
 
No
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
 
No
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
 
No
b
A family member of a current or former officer, director, trustee, or key employee? If "Yes,"
complete Schedule L, Part IV.....................
28b
 
No
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
 
No
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..Click to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M............. Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
Part I...........................
31
 
No
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
 
No
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........ Click to see attachment
33
 
No
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........................ Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
 
No
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............. Click to see attachment
36
 
No
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 VIClick to see attachment
37
 
No
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
Yes
 
Form 990 (2013)
Form 990 (2013)
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
4,279
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable .
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
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
6,736
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
Yes
 
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
Yes
 
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
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletPM , GB
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
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
 
No
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
Yes
 
b
If "Yes," did the organization notify the donor of the value of the goods or services provided?.....
7b
Yes
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
 
No
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
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
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 and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?............
8
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?..........
9a
 
 
b
Did the 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?
Note. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
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
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
 
Form 990 (2013)
Form 990 (2013)
Page 6
Part VI
Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to lines 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
17
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
17
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
 
No
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
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
 
No
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
Yes
 
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
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
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
 
No
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
 
No
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
Yes
 
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
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
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
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
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
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
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
Yes
 
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
Yes
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
18
Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you made these available. Check all that apply.
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, physical address, and telephone number of the person who possesses the books and records of the organization:
MediumBulletJean Garvin2011 Crystal DrArlingtonVA22202 (202) 633-7218
Form 990 (2013)
Form 990 (2013)
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.
RoundBullet 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.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet 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.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet 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) 		(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 Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) Honorable John Roberts Jr........................................................................
Regent
 .50
.......................   		X           0 0 0
(2) Honorable Joseph Biden........................................................................
Regent
 .50
.......................   		X           0 0 0
(3) Honorable Xavier Becerra........................................................................
Regent
 2.00
.......................   		X           0 0 0
(4) Honorable Thad Cochran........................................................................
Regent
 2.00
.......................   		X           0 0 0
(5) Honorable Thomas Cole........................................................................
Regent
 2.00
.......................   		X           0 0 0
(6) Honorable Sam Johnson........................................................................
Regent
 2.00
.......................   		X           0 0 0
(7) Honorable Patrick Leahy........................................................................
Regent
 2.00
.......................   		X           0 0 0
(8) Honorable Jack Reed........................................................................
Regent
 2.00
.......................   		X           0 0 0
(9) Ms Barbara Barrett........................................................................
Regent
 2.00
.......................   		X           0 0 0
(10) Mr Steve Case........................................................................
Regent
 2.00
.......................   		X           0 0 0
(11) Dr France Cordova........................................................................
Regent (10/1/13-3/13/14)
 16.00
.......................   		X           0 0 0
(12) Mr John Fahey........................................................................
Regent (2/21/14-present)
 2.00
.......................   		X           0 0 0
(13) Dr Shirley Ann Jackson........................................................................
Regent
 4.00
.......................   		X           0 0 0
(14) Mr Robert Kogod........................................................................
Regent
 2.00
.......................   		X           0 0 0
(15) Dr Risa Lavizzo-Mourey........................................................................
Regent (2/21/14-present)
 2.00
.......................   		X           0 0 0
(16) Mr Michael M Lynton........................................................................
Regent (9/29/14-present)
 2.00
.......................   		X           0 0 0
(17) Mr John McCarter........................................................................
Regent
 16.00
.......................   		X           0 0 0
Form 990 (2013)
Form 990 (2013)
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) 		(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 Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) Mr David Rubenstein........................................................................
Regent
 2.00
.......................   		X           0 0 0
(19) Mr Roger Sant........................................................................
Regent (10/1-24/13)
 2.00
.......................   		X           0 0 0
(20) Ms Patricia Stonesifer........................................................................
Regent (10/1-12/21/13)
 4.00
.......................   		X           0 0 0
(21) G Wayne Clough........................................................................
Secretary
 50.00
.......................   		    X       531,231 0 39,324
(22) Epin Christensen11313-7121........................................................................
Acting Inspector General
 50.00
.......................   		    X       93,274 0 18,245
(23) Scott Dahl thru 11213........................................................................
Inspector General
 50.00
.......................   		    X       175,738 0 24,542
(24) Cathy Helm 71314-present........................................................................
Inspector General
 50.00
.......................   		    X       0 0 0
(25) Albert Horvath........................................................................
Under Sec - Fin & Adm/CFO
 50.00
.......................   		    X       367,162 0 54,505
(26) John Lapiana thru 12113........................................................................
Chief of Staff - Regents
 50.00
.......................   		    X       180,927 0 30,750
(27) Judith Leonard........................................................................
General Counsel
 50.00
.......................   		    X       177,582 0 31,260
(28) Porter Wilkinson 12213-present........................................................................
Chief of Staff - Regents
 50.00
.......................   		    X       6,911 0 0
(29) Sudeep Anand thru 123113........................................................................
Treasurer
 50.00
.......................   		      X     221,710 0 41,892
(30) Nancy Bechtol........................................................................
Director - Facilities
 50.00
.......................   		      X     175,287 0 24,348
(31) Gregory Bokman thru 93013........................................................................
CFO-Smithsonian Enterprises
 50.00
.......................   		      X     329,521 0 35,941
(32) Claudine Brown........................................................................
Asst Sec - Education and Access
 50.00
.......................   		      X     245,134 0 67,242
(33) Deron Burba........................................................................
Chief Information Officer
 50.00
.......................   		      X     184,741 0 39,019
(34) Amy Chen........................................................................
Chief Investment Officer
 50.00
.......................   		      X     430,372 0 34,843
(35) Virginia Clark........................................................................
Director - Advancement & Giving
 50.00
.......................   		      X     331,039 0 54,505
(36) Bruce Dauer........................................................................
VP Finance/Adm - (SE)
 50.00
.......................   		      X     218,180 0 31,489
(37) James Douglas........................................................................
Dir - Office of Human Resourses
 50.00
.......................   		      X     183,309 0 29,364
(38) Richard Kurin........................................................................
Under Sec - History, Art & Culture
 50.00
.......................   		      X     294,033 0 53,280
(39) Christopher Liedel........................................................................
President - Smithsonian Enterprises (SE)
 50.00
.......................   		      X     512,899 0 56,745
(40) Evelyn Lieberman........................................................................
Director - Comm & External Affairs
 50.00
.......................   		      X     196,816 0 26,066
(41) Era Marshall........................................................................
Dir-Equal Emplymt & Minority Affairs
 50.00
.......................   		      X     164,004 0 15,320
(42) Mary Payne........................................................................
Director - Office of Govt Relations
 50.00
.......................   		      X     183,980 0 31,796
(43) Eva Pell thru 32214........................................................................
Under Secretary - Science
 50.00
.......................   		      X     318,940 0 39,910
(44) David Voyles........................................................................
Director - OPMB
 50.00
.......................   		      X     169,344 0 13,868
(45) Michael Caruso........................................................................
Editor in Chief - (SE)
 50.00
.......................   		        X   342,107 0 58,330
(46) John Dailey........................................................................
Director - NASM
 50.00
.......................   		        X   295,042 0 36,145
(47) Edward Howell........................................................................
SVP Retail-Smithsonian Enterprises
 50.00
.......................   		        X   312,708 0 55,860
(48) Kirk Johnson........................................................................
Director - NMNH
 50.00
.......................   		        X   303,636 0 49,995
(49) Carol LeBlanc........................................................................
SVP Consumer & Educ Products - (SE)
 50.00
.......................   		        X   303,700 0 41,875
(50) Michael Pickett........................................................................
Former Acting Inspector General
 50.00
.......................   		          X 135,761 0 8,015
(51) Marsha Shaines........................................................................
Former Acting General Counsel
 50.00
.......................   		          X 165,063 0 8,185
(52) Charles R Alcock........................................................................
Former Acting Under Sec - Science
 50.00
.......................   		          X 149,214 0 20,367
(53) Kenneth Johnson........................................................................
Former Acting Director - OPMB
 50.00
.......................   		          X 174,736 0 8,237
(54) Scott Miller........................................................................
Former Acting Under Sec - Science
 50.00
.......................   		          X 163,596 0 25,198
(55) Andrew Zino thru 61513........................................................................
Former Comptroller
 50.00
.......................   		          X 159,319 0 24,465
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 8,197,016 0 1,130,926
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet1,285
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
Yes
 
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
Yes
 
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
 
No
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
ClarkSmootRussell A Joint Venture7500 Old Georgetown RoadBethesdaMD20814 Construction 58,304,570
Grunley Construction Company888 17th Street NWWashingtonDC20006 Construction 21,835,527
Hensel Phelps Construction Company4437 Brookefield Corp DrChantillyVA20151 Construction 20,561,679
EW Howell Company245 Newtown Road 600PlainviewNY11803 Construction 14,965,314
Freelon Group 5310 S Alston Ave #3005310 S alston Ave 300DurhamNC277134381 Construction 9,363,479
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet465
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a 57,242
b Membership dues....1b 12,910,983
c Fundraising events....1c 2,170,323
d Related organizations...1d 18,861
e Government grants (contributions)1e 996,826,671
f All other contributions, gifts, grants, and
similar amounts not included above1f 		178,271,922
g Noncash contributions included in lines
1a-1f:$ 		10,850,591
h Total. Add lines 1a-1f.......MediumBullet 1,190,256,002
Program Service RevenueAmt Business Code
2a Visitors/Members/Emplo 900099 42,342,800 26,181,805   16,160,995
b Subscriptions-magazine 511120 37,477,378 37,477,378    
c Tours/Classes 900099 9,365,729 9,352,624 13,105  
d Theater Income 711110 8,404,947 8,281,105 123,842  
e Traveling Exhibitions 900099 2,944,731 2,944,731    
f All other program service revenue . 100,000   100,000  
g Total. Add lines 2a–2f........MediumBullet 100,635,585
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 22,472,173     22,472,173
4 Income from investment of tax-exempt bond proceeds..MediumBullet        
5 Royalties...........MediumBullet 12,841,623     12,841,623
(i) Real (ii) Personal
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss)    
d Net rental income or (loss).......MediumBullet        
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 242,939,961 262,659
b Less: cost or other basis and sales expenses 167,247,278 0
c Gain or (loss) 75,692,683 262,659
d Net gain or (loss)..........MediumBullet 75,955,342 262,659   75,692,683
8a Gross income from fundraising events (not including
$ 2,170,323
of contributions reported on line 1c). See Part IV, line 18 ..
a 358,909
b Less: direct expenses ...b 870,564
c Net income or (loss) from fundraising events..MediumBullet -511,655   -511,655
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...MediumBullet        
10a Gross sales of inventory, less
returns and allowances .
a 58,781,865
b Less: cost of goods sold ..b 21,955,914
c Net income or (loss) from sales of inventory..MediumBullet 36,825,951 34,945,621 1,880,330  
Miscellaneous Revenue Business Code
11a Magazine/Website Adver 541800 12,407,802   12,407,802  
b Restitution (PMI) 900099 1,527,642     1,527,642
c            
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 13,935,444
12 Total revenue. See Instructions......MediumBullet 1,452,410,465 119,445,923 14,525,079 128,183,461
Form 990 (2013)
Form 990 (2013)
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 governments and organizations in the United States. See Part IV, line 21 279,207 279,207
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 11,854,024 11,854,024
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 5,031,873 5,031,873
4 Benefits paid to or for members    
5 Compensation of current officers, directors, trustees, and key employees .... 6,761,603 1,840,510 4,519,525 401,568
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 3,918,134 3,582,421 335,713  
7 Other salaries and wages 464,758,577 338,974,460 107,676,202 18,107,915
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 57,143,242 40,412,252 14,496,506 2,234,484
9 Other employee benefits ....... 50,458,434 38,338,220 10,150,279 1,969,935
10 Payroll taxes ........... 31,412,424 22,489,353 7,706,596 1,216,475
11 Fees for services (non-employees):        
a Management ......        
b Legal ......... 701,849 337,620 354,161 10,068
c Accounting ........... 918,912   918,912  
d Lobbying ...........        
e Professional fundraising services. See Part IV, line 17 5,934,928 5,934,928
f Investment management fees ...... 1,892,569   1,892,569  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 90,278,027 70,882,420 15,308,957 4,086,650
12 Advertising and promotion .... 4,275,618 3,966,268 116,574 192,776
13 Office expenses ....... 44,298,438 35,589,988 7,620,350 1,088,100
14 Information technology ...... 40,911,351 9,183,290 31,649,447 78,614
15 Royalties .. 328,334 348,729 -20,443 48
16 Occupancy ........... 113,443,305 96,587,895 15,354,591 1,500,819
17 Travel ............ 13,670,302 11,001,252 1,735,757 933,293
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ......        
19 Conferences, conventions, and meetings .... 3,832,572 2,625,150 1,049,308 158,114
20 Interest ........... 2,568,115 2,568,115    
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization ..... 126,415,338 108,679,114 17,490,840 245,384
23 Insurance .............. 1,110,119 499,881 610,237 1
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 Periodical Prod Costs 44,515,418 41,989,274 828,014 1,698,130
b Research/Subcontracts 34,365,153 34,364,929   224
c Collections & Equipmnt 12,003,456 11,270,756 734,334 -1,634
d OH Cost Recovery Grants 0 23,485,960 -23,485,960  
e All other expenses        
25 Total functional expenses. Add lines 1 through 24e 1,173,081,322 916,182,961 217,042,469 39,855,892
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 MediumBullet if following SOP 98-2 (ASC 958-720). 10,800,267 5,545,877 0 5,254,390
Form 990 (2013)
Form 990 (2013)
Page 11
Part X Balance Sheet Check if Schedule O contains a response or note to any line in this Part X ..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ............. 498,183,220 1 520,731,243
2 Savings and temporary cash investments ......... 56,691,155 2 22,508,876
3 Pledges and grants receivable, net ........... 256,777,273 3 270,293,495
4 Accounts receivable, net ............. 41,497,121 4 51,557,351
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 .............. 10,218,715 8 12,545,158
9 Prepaid expenses and deferred charges .......... 11,993,467 9 12,126,528
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 3,813,205,763
b Less: accumulated depreciation ..... 10b 1,762,856,953 1,886,245,677 10c 2,050,348,810
11 Investments—publicly traded securities .......... 332,008,630 11 380,090,163
12 Investments—other securities. See Part IV, line 11 ..... 926,210,038 12 1,043,791,503
13 Investments—program-related. See Part IV, line 11 ..... 15,692,679 13 18,050,199
14 Intangible assets ...............   14  
15 Other assets. See Part IV, line 11 ........... 10,790,104 15 17,495,907
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 4,046,308,079 16 4,399,539,233
Liabilities 17 Accounts payable and accrued expenses ......... 287,731,437 17 293,663,307
18 Grants payable .................   18  
19 Deferred revenue ................ 341,886,107 19 267,746,658
20 Tax-exempt bond liabilities ............. 106,297,914 20 104,745,929
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 ....   24 100,000,000
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.................... 69,150,000 25 45,279,699
26 Total liabilities. Add lines 17 through 25......... 805,065,458 26 811,435,593
Net Assets or Fund Balance Organizations that follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets .............. 2,164,167,948 27 2,377,492,874
28 Temporarily restricted net assets ........... 683,991,907 28 769,470,517
29 Permanently restricted net assets ........... 393,082,766 29 441,140,249
Organizations that do not follow SFAS 117 (ASC 958), check here MediumBullet 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 ........... 3,241,242,621 33 3,588,103,640
34 Total liabilities and net assets/fund balances ........ 4,046,308,079 34 4,399,539,233
Form 990 (2013)
Form 990 (2013)
Page 12
Part XI
Reconcilliation 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
1,452,410,465
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
1,173,081,322
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
279,329,143
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
3,241,242,621
5
Net unrealized gains (losses) on investments ...............
5
36,865,812
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
30,666,064
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
3,588,103,640
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:  
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
 
No
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:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
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:
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
Yes
 
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
Yes
 
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
Yes
 
Form 990 (2013)
Form 990, Special Condition Description:
Special Condition Description
Additional Data


Software ID:  
Software Version:  
SCHEDULE A
(Form 990 or 990EZ)

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.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
right arrow Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
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 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
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.)
10
11
e
f
g
(i) A person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the supported organization? ................
11g(i)
 
 
(ii) A family member of a person described in (i) above? ......................
11g(ii)
 
 
(iii) A 35% controlled entity of a person described in (i) or (ii) above? ................
11g(iii)
 
 
h
Provide the following information about the supported organization(s).
(i) Name of supported organization (ii) EIN (iii) Type of organization (described on lines 1- 9 above or IRC section (see instructions)) (iv) Is the organization in col. (i) listed in your governing document? (v) Did you notify the organization in col. (i) of your support? (vi) Is the organization in col. (i) organized in the U.S.? (vii) Amount of monetary support
Yes No Yes No Yes No
Total  

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
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) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .... 1,032,198,872 1,040,181,349 1,126,869,412 1,120,530,769 1,190,256,002 5,510,036,404
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 1,032,198,872 1,040,181,349 1,126,869,412 1,120,530,769 1,190,256,002 5,510,036,404
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. 5,510,036,404
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
7 Amounts from line 4.. 1,032,198,872 1,040,181,349 1,126,869,412 1,120,530,769 1,190,256,002 5,510,036,404
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 11,201,417 17,547,653 17,395,111 20,622,076 35,313,796 102,080,053
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 IV.)..            
11 Total support (Add lines 7 through 10). 5,612,116,457
12
12
766,566,886
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here.................................................right arrow
Section C. Computation of Public Support Percentage
14
14
98.180 %
15
15
98.490 %
16a
b
17a
b
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 ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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 IV.) ..            
13 Total support. (Add lines 9, 10c, 11, and 12.)..            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2013

Additional Data


Software ID:  
Software Version:  
SCHEDULE C
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527
SchCMd Bullet Complete if the organization is described below.SchCMd Bullet Attach to Form 990 or Form 990-EZ.
SchCMd Bullet See separate instructions.SchCMd Bullet Information about Schedule C (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
If the organization answered "Yes" to Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet Section 527 organizations: Complete Part I-A only.
If the organization answered "Yes" to Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Round Bullet Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B.
Round Bullet Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
If the organization answered "Yes" to Form 990, Part IV, Line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
Part I-A
Complete if the organization is exempt under section 501(c) or is a section 527 organization.

1
Provide a description of the organization’s direct and indirect political campaign activities in Part IV.
2
Political expenditures ....................................SchCMd Bullet
$  
3
Volunteer hours ........................................
 

Part I-B
Complete if the organization is exempt under section 501(c)(3).
1
Enter the amount of any excise tax incurred by the organization under section 4955 .........SchCMd Bullet
$  
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$  
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............
4a
Was a correction made? .........................................
b
If "Yes," describe in Part IV.
Part I-C
Complete if the organization is exempt under section 501(c), except section 501(c)(3).
1
Enter the amount directly expended by the filing organization for section 527 exempt function activities SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities ...................................SchCMd Bullet

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b..SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ..........................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.










For Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2013

Schedule C (Form 990 or 990-EZ) 2013
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group
totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ......    
b Total lobbying expenditures to influence a legislative body (direct lobbying) .......    
c Total lobbying expenditures (add lines 1a and 1b) ...................    
d Other exempt purpose expenditures ........................    
e Total exempt purpose expenditures (add lines 1c and 1d) ...............    
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		    
If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:
Not over $500,00020% of the amount on line 1e.
Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.
Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.
Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.
Over $17,000,000$1,000,000.
g Grassroots nontaxable amount (enter 25% of line 1f) .................    
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
section 4911 tax for this year? ......................................

4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
Calendar year (or fiscal year
beginning in) 		(a) 2010 (b) 2011 (c) 2012 (d) 2013 (e) Total
2a Lobbying nontaxable amount          
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		 
c Total lobbying expenditures          
d Grassroots nontaxable amount          
e Grassroots ceiling amount
(150% of line 2d, column (e))		  
f Grassroots lobbying expenditures          
Schedule C (Form 990 or 990-EZ) 2013


Schedule C (Form 990 or 990-EZ) 2013
Page 3
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
For each "Yes" response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
No
Yes
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? .........................................
 
No
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....
Yes
 
c
Media advertisements? ....................................
 
No
 
d
Mailings to members, legislators, or the public? .........................
 
No
 
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
587
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
 
No
 
j
Total. Add lines 1c through 1i ...............................
587
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 .................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? .......
 
 
Part III-A
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Yes
No
1
Were substantially all (90% or more) dues received nondeductible by members? ................
1
 
 
2
Did the organization make only in-house lobbying expenditures of $2,000 or less? ................
2
 
 
3
Did the organization agree to carry over lobbying and political expenditures from the prior year? ..........
3
 
 
Part III-B
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No" OR (b) Part III-A, line 3, is answered “Yes."
1
Dues, assessments and similar amounts from members .....................
1
 
2
Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political
expenses for which the section 527(f) tax was paid).
a
Current year .........................................
2a
 
b
Carryover from last year ....................................
2b
 
c
Total ............................................
2c
 
3
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .
3
 
4
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ................................
4
 
5
Taxable amount of lobbying and political expenditures (see instructions) ..............
5
 
Part IV
Supplemental Information
Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, line 2; and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
Part II-B, Line 1: The Smithsonian Institution requested support for capital improvements and educational programs for the Cooper-Hewitt National Design Museum in New York City from NYC and the State of New York. Smithsonian staff met with public officials on one occasion, and the value of staff time and direct expenses spent in connection with this meeting was $587.
Schedule C (Form 990 or 990EZ) 2013

Additional Data


Software ID:  
Software Version:  

SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions. SchDMd Bullet Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .........    
2 Aggregate contributions to (during year) ...    
3 Aggregate 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? ............
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? ...................................
Part II
Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
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 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 SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................
6
Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet $  
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)? .......................................
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" to Form 990, Part IV, line 8.
1a
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)
Revenues included in Form 990, Part VIII, line 1 ........................SchDMd Bullet $  
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $  
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
Revenues included in Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
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
d
b
e
 
c
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?........
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990,
Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
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? .....................
b
If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ........
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current year (b)Prior year b (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance .... 1,191,094,313 1,074,356,857 971,279,043 990,868,000 883,509,000
b Contributions ........ 37,894,600 34,861,990 34,505,912 23,507,002 56,665,000
c Net investment earnings, gains, and losses 130,483,529 139,875,394 121,707,182 6,268,193 101,203,000
d Grants or scholarships .....          
e Other expenditures for facilities
and programs ........ 		57,266,941 55,408,994 51,207,144 47,426,653 49,782,000
f Administrative expenses .... 2,997,377 2,590,934 1,928,136 1,937,499 727,000
g End of year balance ...... 1,299,208,124 1,191,094,313 1,074,356,857 971,279,043 990,868,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet48.440 %
b
Permanent endowment SchDMd Bullet28.440 %
c
Temporarily restricted endowment SchDMd Bullet23.120 %
The percentages in lines 2a, 2b, and 2c should equal 100%.
3a
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)
 
No
(ii) related organizations ........................
3a(ii)
 
No
b
If "Yes" to 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' to 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 .................   12,582,149 12,582,149
b Buildings ................   2,766,485,177 1,475,183,658 1,291,301,519
c Leasehold improvements ............   119,729,748 57,887,604 61,842,144
d Equipment ................   309,725,676 229,785,691 79,939,985
e Other .................   604,683,013   604,683,013
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 2,050,348,810
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered 'Yes' to 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) Global & emerging markets 		374,479,126 F

(B) Hedge funds 		344,782,917 F

(C) Private equity & venture capital 		179,694,756 F

(D) Natural Resources 		54,616,560 F

(E) Real Estate 		79,409,192 F

(F) Fixed Income 		10,808,952 F



Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 1,043,791,503
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' to 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








Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value








Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
Federal income taxes  
Environmental remediation obligation 45,279,699








Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 45,279,699
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) 2013

Schedule D (Form 990) 2013
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total revenue, gains, and other support per audited financial statements ....... 1 1,581,768,490
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a 36,865,812
b Donated services and use of facilities ......... 2b 7,959,643
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d 63,598,661
e Add lines 2a through 2d ..................... 2e 108,424,116
3 Subtract line 2e from line 1..................... 3 1,473,344,374
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 1,892,569
b Other (Describe in Part XIII.) ........... 4b -22,826,478
c Add lines 4a and 4b....................... 4c -20,933,909
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5 1,452,410,465
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1 1,234,907,471
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a 7,959,643
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d 55,759,075
e Add lines 2a through 2d...................... 2e 63,718,718
3 Subtract line 2e from line 1..................... 3 1,171,188,753
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 1,892,569
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c 1,892,569
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5 1,173,081,322
Part XIII
Supplemental Information
Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, 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 Explanation
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 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 approriate net asset class and are generally designated for future collection acquisitions.
Part III, Line 4: The acquisition, preservation, management, and study of collections are fundamental to the Smithsonian's mission to increase and diffuse knowledge and have been the foundation upon which its reputation 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. Assembled over more than 160 years, the collections are central to the core activities and to the vitality and significance of the Smithsonian. 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.
Part V, Line 4: The Endowment includes approximately 500 individual endowment funds. The Endowment provides stable financial support for scholarship, research activities, other programs, acquisitions for 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 and are consistent with the Institution's mission. Classification and reporting of net assets associated with the Endowment reflect Donor-imposed restrictions.
Part X, Line 2: The Smithsonian recognizes the effect of income tax positions only if those positions are more likely than not of being sustained. The Smithsonian does not believe its financial statements include any uncertain tax positions.
Part XI, Line 2d - Other Adjustments: Deferred gain on building 3,908,586. Change in FONZ net assets 529,657. Change in minority interest - SI Networks 2,357,520. Imputed Benefit Revenue 32,932,597. Environmental Remediation liability adjustment 23,870,301.
Part XI, Line 4b - Other Adjustments: Direct expenses - fundraising -870,564. Direct expenses - cost of goods sold -21,955,914.
Part XII, Line 2d - Other Adjustments: Direct expenses - fundraising 870,564. Direct expenses - cost of goods sold 21,955,914. Imputed benefit costs 32,932,597.
Schedule D (Form 990) 2013

Additional Data


Software ID:  
Software Version:  




SCHEDULE F(Form 990)
Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990,Part IV, line 14b, 15, or 16.Right pointing arrow large image Attach to Form 990. Right pointing arrow large image See separate instructions.Right pointing arrow large image Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
Part I
General Information on Activities Outside the United States. Complete if the organization answered "Yes" to 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? ...............................
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
Activites 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 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
Central America and the Caribbean 0 0 Academic appointment stipends to recipients located in the region   1,578,169
Central America and the Caribbean 7 600 Program services Research facilitiesresearch & conferences 24,092,557
East Asia & Pacific 0 0 Academic appointment stipends to recipients located in the region   716,488
Europe 0 0 Academic appointment stipends to recipients located in the region   1,996,824
Middle East & North Africa 0 0 Academic appointment stipends to recipients located in the region   76,906
North America 0 0 Academic appointment stipends to recipients located in the region   170,817
Russia & Neighboring States 0 0 Academic appointment stipends to recipients located in the region   144,296
South America 0 0 Academic appointment stipends to recipients located in the region   300,737
South Asia 0 0 Academic appointment stipends to recipients located in the region   11,596
Sub-Saharan Africa 0 0 Academic appointment stipends to recipients located in the region   36,041
Europe 0 0 Program Services Research/conferences 1,336,757
Sub-Saharan Africa 1 8 Program Services Research/conferences 1,292,817
South America 2 7 Program Services Research/conferences 1,160,829
East Asia & Pacific 0 0 Program Services Research/conferences 1,171,269
Middle East & North Africa 0 0 Program Services Research/conferences 62,142
North America 0 0 Program Services Research/conferences 363,875
Russia & Neighboring States 0 0 Program Services Research/conferences 96,547
South Asia 0 0 Program Services Research/conferences 58,031
Central America and the Caribbean 0 0 Investments   606,337,863
Europe 0 0 InvestmentsInvestments   108,453,893
North America 0 0 Investments   1,401,322
Sub-Saharan Africa 0 0 Investments   4,596,746
East Asia & Pacific 0 0 Investments   24,615,978
3a Sub-total ..... 7 600 29,076,794
b Total from continuation sheets to Part I ... 3 15 750,995,706
c Totals (add lines 3a and 3b) 10 615 780,072,500
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 2
Part II
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to 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 non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
Europe Academic appointment stipend 21,408 EFT      
Europe Academic appointment stipend 3,465 EFT      
North America Academic appointment stipend 10,000 EFT      
North America Academic appointment stipend 13,680 EFT      
             
             
             
             
             
             
             
             
             
             
             
             
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 ....MediumBullet
4
3
Enter total number of other organizations or entities .......................MediumBullet
0
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to 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
non-cash
assistance 		(g) Description
of non-cash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
Academic Appointment Stipends Central America and the Caribbean 195 1,578,169 Direct Deposits & Checks      
Academic Appointment Stipends East Asia and the Pacific 43 716,488 Direct Deposits & Checks      
Academic Appointment Stipends Europe 82 1,971,951 Direct Deposits & Checks      
Academic Appointment Stipends Middle East and North Africa 5 76,906 Direct Deposits & Checks      
Academic Appointment Stipends North America 17 147,137 Direct Deposits & Checks      
Academic Appointment Stipends Russia and Neighboring States 7 144,296 Direct Deposits & Checks      
Academic Appointment Stipends South America 26 300,737 Direct Deposits & Checks      
Academic Appointment Stipends South Asia 3 11,596 Direct Deposits & Checks      
Academic Appointment Stipends Sub-Saharan Africa 4 36,041 Direct Deposits & Checks      
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
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)......................................
2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to 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).......................................
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)..............................
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)...............................................
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)....................................
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 file Form 5713, International Boycott Report (see Instructions for Form 5713)................................................
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
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).
ReturnReference Explanation
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 fellowship, 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, we have 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. Program services for research and conferences include travel related expenditures. Only travel essential to the performance of official SI business, whether by SI employees, research associates, or invitational travelers (i.e., individuals who are not SI employees), and for which travel-related expenses are to be paid by the Smithsonian, can be approved, authorized, and reimbursed. Investments in regions include investments in foreign partnerships and foreign corporations. The foreign region is determined by the country whose laws govern the investment entity. The value reported represents the fair market value of the investment at the end of the fiscal year. Per Form 990 instructions, stipends are reported on Schedule F if the person receiving the stipend is living or residing outside the United States at the time the stipend is paid or distributed. However, many of these stipend recipients later traveled to the Smithsonian in the United States to perform their research.
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2013
Additional Data


Software ID:  
Software Version:  



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" to Form 990, Part IV, lines 17, 18, or 19, or if the organization entered more than $15,000 on Form 990-EZ, line 6a. right arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
right arrowInformation about Schedule G (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
Part I
Fundraising Activities. Complete if the organization answered "Yes" to 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 e
b f
c g
d
2a
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?
b
If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is
to be compensated at least $5,000 by the organization.
(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
 
Odell Simms & Associates
1593 Spring Hill Rd
 
Tysons Corner, VA221822245 		Direct Mail-Acquisition Program/Membership Services   No 0 2,429,419 -2,429,419
 
Epsilon Data Management
1300 N 17th St
 
Arlington, VA22209 		Direct Mail Advisory & Assistance   No 0 887,476 -887,476
 
Avalon Consulting Group
2030 M St NW
 
Washington, DC200364603 		Telemarketing, Direct Mail, Online & Consulting   No 0 594,063 -594,063
 
Community Counselling Service
3349 Highway 138
 
Wall, NJ07719 		Capital Campaign Management Services   No 0 552,500 -552,500
 
Marts & Lundy
1200 Wall St W
 
Lyndhurst, NJ070713680 		Campaign Consultant   No 0 429,751 -429,751
 
21 Sports & Entertainment Mkting
85 Railroad Ave
 
Greenwich, CT06830 		Fundraising Consultant   No 0 257,000 -257,000
 
M & R Strategic Services
2120 L St NW
 
Washington, DC200371538 		Online Advisory   No 0 203,134 -203,134
 
Donor Services Group
1150 Olympic Bvd
 
Los Angeles, CA900641525 		Telemarketing Calling Services   No 0 179,324 -179,324
 
SD&A Teleservices
101 Continental Blvd
 
El Segundo, CA902454515 		Telemarketing Services   No 0 109,261 -109,261
 
General Systems Corp
8306 Old Courthouse Rd
 
Vienna, VA221823882 		Direct Mail Advisory & Assistance   No 0 103,271 -103,271
Total .................right arrow   5,745,199 -5,745,199
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 990or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" to 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.
(a) Event #1

National Design Awards Gala
(event type) 		(b) Event #2

Archives of American Art Benefit
(event type) 		(c) Other events

10
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 1,308,206 596,207 624,819 2,529,232
2 Less: Contributions . . 1,162,246 511,802 496,275 2,170,323
3 Gross income (line 1
minus line 2) . . . 		145,960 84,405 128,544 358,909
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . .        
6 Rent/facility costs . .     11,540 11,540
7 Food and beverages . 167,206 74,780 103,886 345,872
8 Entertainment . . . 7,424   7,756 15,180
9 Other direct expenses . 214,098 53,762 230,112 497,972
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 870,564
11 Net income summary. Subtract line 10 from line 3, column (d)........... right arrow -511,655
Part III
Gaming. Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than $15,000 on Form 990-EZ, line 6a.
VerticalRevenue (a) Bingo (b) Pull tabs/Instant
bingo/progressive bingo 		(c) Other gaming (d) Total gaming (add col.(a) through col.(c))
1 Gross revenue . . . .        
VerticalDirectExpenses 2 Cash prizes . . . .        
3 Non-cash prizes . . .        
4 Rent/facility costs . . .        
5 Other direct expenses . .        
6 Volunteer labor . . .
%
%
%
7 Direct expense summary. Add lines 2 through 5 in column (d) ........... right arrow  
8 Net gaming income summary. Subtract line 7 from line 1, column (d) ......... right arrow  
9
Enter the state(s) in which the organization operates gaming activities:
a
Is the organization licensed to operate gaming activities in each of these states? ............
b
If "No," explain:
 
10a
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? .....
b
If "Yes," explain:
 
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 3
11
Does the organization operate gaming activities with nonmembers? .................
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? ..........................
13
Indicate the percentage of gaming activity operated 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 right arrow
Address right arrow
15a
Does the organization have a contract with a third party from whom the organization receives gaming
revenue? ......................................
b
If "Yes," enter the amount of gaming revenue received by the organization right arrow $   and the
amount of gaming revenue retained by the third party right arrow $   .
c
If "Yes," enter name and address of the third party:
Name right arrow
Address right arrow
 
 
16
Gaming manager information:
Name right arrow
Gaming manager compensation right arrow $  
Description of services provided right arrow
 
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? ............................
b
Enter the amount of distributions required under state law distributed to other exempt organizations or spent
in the organization's own exempt activities during the tax year right arrow$  
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 complete this part to provide any additional information (see instructions).
Return Reference Explanation
Schedule G, Part I, Line 2b Column (iv) and (v): As SI has multiple fundraisers, some who work on the same campaign, it is not possible to accurately report the exact amount of revenue associated with each fundraiser. No fundraiser had control of any contributions; all were paid under the terms of negotiated contracts. Schedule G,Part I,Line 3: SI is a trust instrumentality of the U.S. and as such is exempt from state regulations pursuant to the Supremacy Clause of the U.S. Constitution. All states that have inquired about SI fundraising soliciation registration have acknowledged this exemption.
Schedule G (Form 990 or 990-EZ) 2013
Additional Data


Software ID:  
Software Version:  
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," to Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990
lBullet Information about Schedule I (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number
53-0206027
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? ....................................
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 Governments and Organizations in the United States. Complete if the organization answered "Yes" to
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.
(a) Name and address of organization
or government		 (b) EIN (c) IRC Code section
if applicable		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
non-cash assistance		 (h) Purpose of grant
or assistance
(1) President and Fellows of Harvard College
1033 Massachusetts Ave
Cambridge,MA02138 		04-2103580 501(c)(3) 136,108       Academic Appointment Stipend
(2) Northwestern University
633 Clark Street
Evanston,IL60208 		36-2167817 501(c)(3) 15,000       Academic Appointment Stipend
(3) Regents of the University of Michigan
3014 Fleming
Ann Arbor,MI481091340 		38-6006309 501(c)(3) 24,350       Academic Appointment Stipend
(4) Indiana University
400 E 7th Street Rm 501
Bloomington,IN474053024 		35-6001673 115 12,500       Academic Appointment Stipend
(5) University of Dayton
300 College Park Miriam Hall
Dayton,OH45409 		31-0536715 501(c)(3) 14,212       Academic Appointment Stipend
(6) University of Maryland
2119 Main Administration Bldg
College Park,MD207425035 		52-6002033 115 34,481       Academic Appointment Stipend
(7) University of Illinois
601 E John Street
Champaign,IL61820 		37-6000511 115 15,600       Academic Appointment Stipend
(8)  

 
  		          Academic Appointment Stipend
(9) University of Wisconsin-Madison
21 N Park Street
Madison,WI537151218 		39-6006492 115 24,000       Academic Appointment Stipend






2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
8
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
0
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2013

Schedule I (Form 990) 2013
Page 2
Part III
Grants and Other Assistance to Individuals in the United States. Complete if the organization answered "Yes" to 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
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance
(1) Academic Appointment Stipends 978 11,854,024      












Part IV
Supplemental Information. Provide the information required in Part I, line 2, Part III, column (b), and any other additional information.
Return Reference Explanation
Part I, Line 2: The Office of Fellowships has central management and administrative responsibility for the Smithsonian programs of research fellowships and other academic appointments for undergraduate, graduate students, postdoctoral and senior scholars. The Smithsonian Institution Fellowship Program is a competitive fellowship program for graduate and postdoctoral fellows, who apply to conduct research at the Institution with research staff serving as advisors. The review process is made up of disciplinary committees comprised of the Institution's research staff who evaluate the candidates and then select the fellows. There are other competitive and non-competitive fellowship, visiting scholar and student appointees selected through the Smithsonian units that go through a variety of other selections processes before an award is made. An official letter/agreement is provided to each award recipient identifying the award title, dates of tenure, stipend allowances, and required responsibilities for holding this position. All recipients either will identify a financial institution for receipt of their monetary award or they will receive US Treasury checks. Depending on the tenure of the appointment, payments may be made in a lump sum or in periodic payments. Most fellowship appointments are awarded for one to two years. At the end of tenure, a final report of their research accomplishments is provided for our records. Smithsonian research staff who serve as advisors to these fellows, students and scholars are usually in the field during their tenure. The individual Smithsonian research centers monitor the progress of their fellows, and the funds are managed through the Institution's central administration to ensure accountability. Similiar processes are followed for awards made to organizations whose academic staff perfoms the related research.
Schedule I (Form 990) 2013


Additional Data


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Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
SchJMediumBullet Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in 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
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? ..
2
Yes
 
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.
4
During the year, did any person listed in 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
Yes
 
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
 
No
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in 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
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in 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
Yes
 
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
 
No
8
Were any amounts reported in Form 990, Part VII, paid or accured 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
 
No
9
If "Yes" to 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) 2013

Schedule J (Form 990) 2013
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 in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
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.
(A) Name and Title (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 as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1)G Wayne CloughSecretary (i)
(ii)		 502,579
0 		20,000
0 		8,652
0 		38,010
0 		2,922
0 		572,163
0 		0
0
(2)Scott Dahl thru 11213Inspector General (i)
(ii)		 175,738
0 		0
0 		0
0 		7,580
0 		16,961
0 		200,279
0 		0
0
(3)Albert HorvathUnder Sec - Fin & Adm/CFO (i)
(ii)		 361,279
0 		5,000
0 		883
0 		38,010
0 		17,773
0 		422,945
0 		0
0
(4)John Lapiana thru 12113Chief of Staff - Regents (i)
(ii)		 175,573
0 		5,000
0 		354
0 		24,762
0 		6,804
0 		212,493
0 		0
0
(5)Judith LeonardGeneral Counsel (i)
(ii)		 176,545
0 		0
0 		1,037
0 		25,186
0 		6,889
0 		209,657
0 		0
0
(6)Sudeep Anand thru 123113Treasurer (i)
(ii)		 214,329
0 		4,714
0 		2,667
0 		32,690
0 		10,125
0 		264,525
0 		0
0
(7)Nancy BechtolDirector - Facilities (i)
(ii)		 174,637
0 		0
0 		650
0 		24,348
0 		803
0 		200,438
0 		0
0
(8)Gregory Bokman thru 93013CFO-Smithsonian Enterprises (i)
(ii)		 152,252
0 		57,342
0 		119,927
0 		22,512
0 		14,465
0 		366,498
0 		0
0
(9)Claudine BrownAsst Sec - Education and Access (i)
(ii)		 240,090
0 		3,500
0 		1,544
0 		36,169
0 		32,045
0 		313,348
0 		0
0
(10)Deron BurbaChief Information Officer (i)
(ii)		 174,505
0 		10,000
0 		236
0 		25,186
0 		14,648
0 		224,575
0 		0
0
(11)Amy ChenChief Investment Officer (i)
(ii)		 248,506
0 		180,834
0 		1,032
0 		34,375
0 		1,452
0 		466,199
0 		0
0
(12)Virginia ClarkDirector - Advancement & Giving (i)
(ii)		 321,321
0 		7,500
0 		2,218
0 		38,010
0 		17,675
0 		386,724
0 		0
0
(13)Bruce DauerVP Finance/Adm - (SE) (i)
(ii)		 206,210
0 		10,000
0 		1,970
0 		28,657
0 		3,878
0 		250,715
0 		0
0
(14)James DouglasDir - Office of Human Resourses (i)
(ii)		 178,248
0 		4,000
0 		1,061
0 		25,682
0 		4,497
0 		213,488
0 		0
0
(15)Richard KurinUnder Sec - History, Art & Culture (i)
(ii)		 287,140
0 		5,000
0 		1,893
0 		42,960
0 		11,400
0 		348,393
0 		0
0
(16)Christopher LiedelPresident - Smithsonian Enterprises (i)
(ii)		 419,930
0 		91,920
0 		1,049
0 		37,665
0 		20,461
0 		571,025
0 		0
0
(17)Evelyn LiebermanDirector - Comm & External Affairs (i)
(ii)		 184,741
0 		10,000
0 		2,075
0 		26,066
0 		896
0 		223,778
0 		0
0
(18)Era MarshallDir-Equal Emplymt & Minority Affairs (i)
(ii)		 159,004
0 		5,000
0 		0
0 		0
0 		15,320
0 		179,324
0 		0
0
(19)Mary PayneDirector - Office of Govt Relations (i)
(ii)		 180,285
0 		3,000
0 		695
0 		25,808
0 		6,862
0 		216,650
0 		0
0
(20)Eva Pell thru 32214Under Secretary - Science (i)
(ii)		 317,199
0 		0
0 		1,741
0 		38,010
0 		3,056
0 		360,006
0 		0
0
(21)David VoylesDirector - OPMB (i)
(ii)		 161,844
0 		7,500
0 		0
0 		6,683
0 		7,511
0 		183,538
0 		0
0
(22)Michael CarusoEditor in Chief - (SE) (i)
(ii)		 288,325
0 		53,106
0 		676
0 		41,750
0 		17,789
0 		401,646
0 		0
0
(23)John DaileyDirector - NASM (i)
(ii)		 279,443
0 		9,864
0 		5,735
0 		36,145
0 		1,063
0 		332,250
0 		0
0
(24)Edward HowellSVP Retail-Smithsonian Enterprises (i)
(ii)		 253,955
0 		55,552
0 		3,201
0 		39,365
0 		17,660
0 		369,733
0 		0
0
(25)Kirk JohnsonDirector - NMNH (i)
(ii)		 302,918
0 		0
0 		718
0 		33,500
0 		17,626
0 		354,762
0 		0
0
(26)Carol LeBlancSVP Consumer & Educ Products - (SE) (i)
(ii)		 233,418
0 		69,949
0 		333
0 		35,802
0 		7,206
0 		346,708
0 		0
0
(27)Michael PickettFormer Acting Inspector General (i)
(ii)		 132,011
0 		3,750
0 		0
0 		6,094
0 		2,189
0 		144,044
0 		0
0
(28)Marsha ShainesFormer Acting General Counsel (i)
(ii)		 160,063
0 		5,000
0 		0
0 		0
0 		8,512
0 		173,575
0 		0
0
(29)Charles R AlcockFormer Acting Under Sec - Science (i)
(ii)		 143,974
0 		4,487
0 		753
0 		19,186
0 		1,909
0 		170,309
0 		0
0
(30)Kenneth JohnsonFormer Acting Director - OPMB (i)
(ii)		 164,736
0 		10,000
0 		0
0 		8,237
0 		328
0 		183,301
0 		0
0
(31)Scott MillerFormer Acting Under Sec - Science (i)
(ii)		 158,802
0 		4,794
0 		0
0 		8,237
0 		16,961
0 		188,794
0 		0
0
(32)Andrew Zino thru 61513Former Comptroller (i)
(ii)		 157,501
0 		1,818
0 		0
0 		8,237
0 		16,555
0 		184,111
0 		0
0
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 3
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 Explanation
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 Under Secretary for Finance and Administration/Chief Financial Officer in advance of travel. In the calendar year 2013, one trip was approved for the spouse of a highly compensated employee. The trip was authorized consistent with policy. Because it was determined that there was a bona fide business purpose for the trip, the cost of the trip was not treated as taxable income.
Part I, Line 4a The CFO position for Smithsonian Enterprises was eliminated in March of 2013. Mr. Gregory Bokman was detailed to work for the Undersecretary of Finance and Administration until the effective date of his staff reduction which was September 30, 2013. Mr. Bokman received severance in Calendar Year 2013 of $41,466. Severance is based on years of service and an age adjustment where ten percent of the basic service based computation is added for each year of the employee's age that is beyond 40 years. Additional compensation in column (iii) Other reportable compensation for Mr. Bokman is an annual leave payment of $78,243 and term life insurance of $218. The severance pay and annual leave payment follow the established organizational policies for pay and leave approved by the Board of Regents that mirror pay and leave requirements for Federal employees.
Part I, Line 6 Certain employees of Smithsonian Enterprises (SE) are eligible to participate in the Smithsonian Enterprises Management Incentive Plan. This eligibility is determined on an annual basis. Even if eligible to participate, a performance review rating of "Fully Successful" must be received. The Plan includes both financial and individual (operational) goals, and these goals must be met in order to receive an incentive payment. There are different performance levels, with each successive level giving a higher incentive payment. In addition, the eligible person must be employed by the organization on the last day of the fiscal year in order to receive payment. Approvals for incentive payments are tiered; any payment to a senior executive is reviewed by the Secretary, with the Regents (either the Compensation Committee or the Full Board) approving incentive payments to any disqualified person, any direct report to the Secretary, and any executive with total cash above an annually determined threshold. The Regents have delegated to the Secretary the authority to approve other executive incentive payments. For non-executives, the President of SE approves those payments, except for payments above $10,000 which go to the Secretary for approval.
Schedule J (Form 990) 2013

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Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number
53-0206027
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) Pool
financing
Yes No Yes No Yes No
A Fairfax County Economic Development Authority
  		54-0787833 30382ECZ5 12-03-2003 77,545,000 To construct a museum   X   X   X
B District of Columbia
  		53-6001131 2548397S6 04-29-2010 33,825,749 Refunding of 1997 Bonds   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 5,300,000 5,300,000    
2 Amount of bonds legally defeased . . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . . 77,545,000 33,825,749    
4 Gross proceeds in reserve funds . . . . . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . . .        
6 Proceeds in refunding escrows . . . . . . . . . . . .        
7 Issuance costs from proceeds . . . . . . . . . . . . 530,475 612,994    
8 Credit enhancement from proceeds . . . . . . . . . . . 6,161      
9 Working capital expenditures from proceeds . . . . . . . . .        
10 Capital expenditures from proceeds . . . . . . . . . . . 77,008,364      
11 Other spent proceeds . . . . . . . . . . . . . . 33,212,755 33,212,755    
12 Other unspent proceeds . . . . . . . . . . . . . .        
13 Year of substantial completion . . . . . . . . . . . . 2003 2010
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X X          
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X        
16 Has the final allocation of proceeds been made? . . . . . . . . X     X        
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X          
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? . . . . . . .   X   X        
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . .   X   X        
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? . . . . . . . . . . . .   X X          
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? X   X          
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . .   X   X        
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 . . SchKMediumBullet 0 % 0 %    
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 . . . . . . . SchKMediumBullet 0 % 4.420 %    
6 Total of lines 4 and 5 . . . . . . . . . . . . . 0 % 4.420 %    
7 Does the bond issue meet the private security or payment test? . . . . .   X   X        
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?. . . . . . . . . . . . . . . . .   X   X        
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? . . . . . . . 		X   X          
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . .   X   X        
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .   X   X        
b Exception to rebate? . . . . . . . . X   X          
c No rebate due? . . . . . . . .   X   X        
If you checked "No rebate due" in line 2c, provide in
Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . . X     X        
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?   X   X        
b Name of provider . . . . . . . . .  
  		 
  		 
  		 
 
c Term of hedge . . . . . . . . . .        
d Was the hedge superintegrated? . . . .                
e Was the hedge terminated? . . . . . .                
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
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)? . . . . . . . . .   X   X        
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? . . . . . . . .   X   X        
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X          
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 is not available under applicable regulations? X   X          
Part VI
Supplemental Information. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
Schedule K, Part I, Bond Issues, Column (f), Line B The issue date of the current refunded bonds was January 1, 1998.
Part III Private Business Use, Line 5, Column B The percentage of financed property used in a private business use as a result of unrelated trade or business activity is based on the percentage of unrelated revenue to total revenue in the gift shop and theater within the space financed by this bond issue.
Schedule K (Form 990) 2013

Additional Data


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Software Version:  

SCHEDULE M
(Form 990)

Department of the Treasury
Internal Revenue Service
Noncash Contributions
Right pointing arrow large imageComplete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
Right pointing arrow large imageInformation about Schedule M (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
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 .... X 2,116    
2 Art—Historical treasures .        
3 Art—Fractional interests .. X 1    
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 . X 139 9,876,478 Fair Market Value
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 ..... X 6,722    
19 Food inventory ...        
20 Drugs and medical supplies .        
21 Taxidermy ...... X 4    
22 Historical artifacts .... X 3,591    
23 Scientific specimens .. X 302,587    
24 Archeological artifacts ... X 470    
25 Other Right pointing arrow large image ( Goods ) X 136 974,113 Fair Market Value
26 Other Right pointing arrow large image ( Arch cubic ft ) X 1,293 0  
27 Other Right pointing arrow large image ( Archival misc ) X 2,174 0  
28 Other Right pointing arrow large image ( )
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
69
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 28, that
it must hold for at least three years from the date of the initial contribution, and which is not required to be used
for exempt purposes for the entire holding period? ..................
30a
 
No
b
If "Yes," describe the arrangement in Part II.
31
Does the organization have a gift acceptance policy that requires the review of any non-standard contributions?
31
Yes
 
32a
Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash
contributions? ..........................
32a
Yes
 
b
If "Yes," describe in Part II.
33
If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) (2013)
Schedule M (Form 990) (2013)
Page 2
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 Explanation
Part I, Line 32b: Although the Smithsonian acquires collections with 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.
Schedule M (Form 990) (2013)
Additional Data


Software ID:  
Software Version:  
SCHEDULE O
(Form 990 or 990-EZ)

Department of the 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 to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
MediumBullet Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
Return Reference Explanation
Form 990, Page 1, Line K Form of organization (Other) The Smithsonian Institution is a trust instrumentality of the U.S., created by Congress; organized pursuant to 20 U.S.C. sec. 41 et seq.
Form 990, Page 1, Line F Name of principal officer: Dr. David J. Skorton became Secretary of the Smithsonian effective July 1, 2015.
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 VI, Section A, line 1 The Bylaws of the organization delegate 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 shall elect from its members an Executive Committee consisting of three members. The Executive Committee shall have 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 7a Pursuant to federal statute, the Board of Regents consists of the Vice President of the United States, the Chief Justice of the United States, three members of the U.S. Senate, three members of the U.S. House of Representatives, and nine additional citizen Regents. The three Senators are appointed by the President Pro Tempore of the U.S. Senate, and the three members of the House of Representatives are appointed by the Speaker of the House of Representatives. Their appointment terms coincide with the terms for which they are elected, and they may be reappointed if re-elected. The citizen Regents are nominated by the Board of Regents, and appointed by a Joint Resolution of Congress which is signed by the President of the United States.
Form 990, Part VI, Section B, line 11 The Form 990 return is prepared by staff in the Office of Finance & Accounting (OF&A). It is then reviewed by the Director of OF&A, General Counsel, Chief Financial Officer, an adviser to the Board of Regent's Audit & Review Committee and the Secretary of the Smithsonian, as well as by external tax advisors. After this review process, the 990 is made available to the full Board for its review and comment. The Audit & Review Committee conducts a final review of the return at a regularly scheduled Committee meeting prior to its filing.
Form 990, Part VI, Section B, line 12c All officers, key employees, and certain other employees are required to complete and file annually a Confidential Financial Disclosure Report. These Reports--which require disclosure of certain assets, earned income, liabilities, outside positions, outside contracts and agreements, gifts, hospitality, reimbursements, and other interests related to the employee's 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 a related 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 of outside positions and substantial shareholding in for-profit business entities, outside positions in non-profit entities, and interests and affiliations of the member or the member's immediate family 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 Regent's Committee on Compensation and Human Resources engages an independent consultant to develop and assemble comparability data for its consideration and to inform it 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 these documents available on its public website (www.si.edu). The documents can also be viewed at the Office of Finance & Accounting or mailed.
Form 990, Part XI, line 9: Change in FONZ net assets 529,657. Deferred gain on building 3,908,586. Change in minority interest-SI Network 2,357,520. Environmental remediation obligation FASB ASC 410-20 23,870,301.
Form 990, Part VII and Schedule J-2 The following are abbreviations found in the body of the return: FONZ - Friends of the National Zoo NASM - National Air and Space Musuem NMNH - National Museum of Natural History OPMB - Office of Planning, Management and Budget SE - Smithsonian Enterprises
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2013

Additional Data


Software ID:  
Software Version:  
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.
MediumBullet Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
Smithsonian Institution
 
Employer identification number

53-0206027
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










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) Clay Fellowships Charitable Trust

10 Memorial Boulevard

Providence,RI02903
04-3560268 		Support of Smithsonian Astrophysical Observatory MA 501(c)(3) Line 11d, III-O N/A
 
No
(2) Smithsonian UK Charitable Trust

c/o Withers LLP 16 Old Bailey
London   EC4M 7EG
UK
Advance the work of the Smithsonian Institution worldwide UK 501(c)(3) Line 7 Smithsonian Institution
 
Yes
 










For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
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-of-year
assets



 		(h)
Disproprtionate 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












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) Charitable Remainder Trusts (3)

1000 Jefferson Drive SW
Washington,DC20560
 Charitable Remainder Trust DC N/A
           No
(2) Charitable Remainder Trusts (2)

1000 Jefferson Drive SW
Washington,DC20560
 Charitable Remainder Trust MA N/A
           No
(3) Charitable Remainder Trusts (1)

1000 Jefferson Drive SW
Washington,DC20560
 Charitable Remainder Trust MI N/A
           No
(4) Charitable Remainder Trusts (5)

1000 Jefferson Drive SW
Washington,DC20560
 Charitable Remainder Trust NY N/A
           No
(5) Charitable Remainder Trusts (4)

1000 Jefferson Drive SW
Washington,DC20560
 Charitable Remainder Trust VA N/A
           No
(6) Charitable Lead Trust (1)

1000 Jefferson Drive SW
Washington,DC20560
 Charitable Lead Trust VA N/A
           No


Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
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 orgranization 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
 
No
b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
 
No
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
No
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
 
No
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
 
No
m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1m
 
No
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
No
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
 
No
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
 
No
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
 
No
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
Yes
 
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) Charitable Lead Trust

 S 241,472 Cash
(2)  

S    
(3) Charitable Trust

 S 105,885 Cash



Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
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)
Disproprtionate 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






























Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 5
Part VII
Supplemental Information
Provide additional information for responses to questions on Schedule R (see instructions).
Return Reference Explanation
Schedule R (Form 990) 2013
Additional Data


Software ID:  
Software Version: