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ObjectId: 201812129349301106 - Submission: 2018-07-31
TIN: 53-0206027
Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
Attach to Form 990.
Information about Schedule J (Form 990) and its instructions is at
www.irs.gov/form990
.
OMB No. 1545-0047
20
16
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 on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Housing allowance or residence for personal use
Travel for companions
Payments for business use of personal residence
Tax idemnification and gross-up payments
Health or social club dues or initiation fees
Discretionary spending account
Personal services (e.g., maid, chauffeur, chef)
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.
Compensation committee
Written employment contract
Independent compensation consultant
Compensation survey or study
Form 990 of other organizations
Approval by the board or compensation committee
4
During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment?
.............
4a
No
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), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization?
....................
5a
No
b
Any related organization?
.......................
5b
No
If "Yes," on line 5a or 5b, describe in Part III.
6
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization?
..................
6a
No
b
Any related organization?
......................
6b
No
If "Yes," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III
............
7
No
8
Were any amounts reported on 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" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)?
.........................
9
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2016
Page 2
Schedule J (Form 990) 2016
Page
2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees.
Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that 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 in column (B) reported as deferred on prior Form 990
(i)
Base
compensation
(ii)
Bonus & incentive
compensation
(iii)
Other
reportable compensation
1
David Skorton
Secretary
(i)
(ii)
782,386
-------------
0
0
-------------
0
5,334
-------------
0
39,710
-------------
0
20,919
-------------
0
848,349
-------------
0
0
-------------
0
2
Albert Horvath
Under Secretary Finance & Administration/CFO
(i)
(ii)
401,018
-------------
0
10,000
-------------
0
1,803
-------------
0
39,710
-------------
0
17,450
-------------
0
469,981
-------------
0
0
-------------
0
3
Cathy Helm
Inspector General
(i)
(ii)
186,833
-------------
0
0
-------------
0
0
-------------
0
0
-------------
0
20,248
-------------
0
207,081
-------------
0
0
-------------
0
4
Judith Leonard
General Counsel
(i)
(ii)
190,954
-------------
0
5,000
-------------
0
2,215
-------------
0
27,724
-------------
0
8,918
-------------
0
234,811
-------------
0
0
-------------
0
5
Porter Wilkinson
Chief of Staff - Regents
(i)
(ii)
144,798
-------------
0
9,000
-------------
0
154
-------------
0
20,302
-------------
0
11,414
-------------
0
185,668
-------------
0
0
-------------
0
6
Patricia Bartlett
Acting Asst. Secretary, Education & Access
(i)
(ii)
184,924
-------------
0
4,000
-------------
0
2,109
-------------
0
26,887
-------------
0
11,466
-------------
0
229,386
-------------
0
0
-------------
0
7
Nancy Bechtol
Director - Facilities
(i)
(ii)
189,479
-------------
0
3,000
-------------
0
725
-------------
0
26,871
-------------
0
800
-------------
0
220,875
-------------
0
0
-------------
0
8
Deron Burba
Chief Information Officer
(i)
(ii)
187,884
-------------
0
5,000
-------------
0
405
-------------
0
27,941
-------------
0
22,310
-------------
0
243,540
-------------
0
0
-------------
0
9
Amy Chen
Chief Investment Officer
(i)
(ii)
258,716
-------------
0
375,900
-------------
0
1,087
-------------
0
36,968
-------------
0
1,431
-------------
0
674,102
-------------
0
0
-------------
0
10
Virginia Clark
Assistant Secretary for advancement
(i)
(ii)
349,332
-------------
0
8,000
-------------
0
4,697
-------------
0
39,710
-------------
0
17,338
-------------
0
419,077
-------------
0
0
-------------
0
11
Bruce Dauer
Vice President Finance/Adm - Smithsonian Enterprises
(i)
(ii)
210,161
-------------
0
66,693
-------------
0
2,436
-------------
0
30,256
-------------
0
3,995
-------------
0
313,541
-------------
0
0
-------------
0
12
James Douglas
Director - Office of Human Resources
(i)
(ii)
186,889
-------------
0
2,500
-------------
0
2,172
-------------
0
27,140
-------------
0
4,213
-------------
0
222,914
-------------
0
0
-------------
0
13
Jean Garvin
Director - Finance & Accounting
(i)
(ii)
183,936
-------------
0
5,000
-------------
0
1,114
-------------
0
26,942
-------------
0
16,952
-------------
0
233,944
-------------
0
0
-------------
0
14
Richard Kurin
Acting Provost
(i)
(ii)
325,292
-------------
0
7,500
-------------
0
4,292
-------------
0
44,660
-------------
0
9,393
-------------
0
391,137
-------------
0
0
-------------
0
15
John Lapiana
Acting Asst. Secretary, Communication & External Affairs
(i)
(ii)
191,875
-------------
0
2,000
-------------
0
746
-------------
0
27,619
-------------
0
8,827
-------------
0
231,067
-------------
0
0
-------------
0
16
Christopher Liedel
President - Smithsonian Enterprises
(i)
(ii)
433,788
-------------
0
141,755
-------------
0
2,048
-------------
0
39,125
-------------
0
29,919
-------------
0
646,635
-------------
0
0
-------------
0
17
Era Marshall
Director - Equal Employment & Minority Affairs
(i)
(ii)
174,019
-------------
0
5,000
-------------
0
0
-------------
0
0
-------------
0
17,786
-------------
0
196,805
-------------
0
0
-------------
0
18
Mary Payne
Director - Office of Government Relations
(i)
(ii)
189,794
-------------
0
2,500
-------------
0
756
-------------
0
27,944
-------------
0
11,381
-------------
0
232,375
-------------
0
0
-------------
0
19
David Voyles
Director - Planning, Management & Budget
(i)
(ii)
176,162
-------------
0
5,000
-------------
0
0
-------------
0
7,008
-------------
0
8,465
-------------
0
196,635
-------------
0
0
-------------
0
20
Michael Caruso
EDITOR IN CHIEF - SMITHSONIAN MAGAZINE
(i)
(ii)
301,470
-------------
0
86,099
-------------
0
1,364
-------------
0
39,125
-------------
0
28,699
-------------
0
456,757
-------------
0
0
-------------
0
21
Melissa Chiu
Director - Hirshhorn Museum
(i)
(ii)
394,585
-------------
0
3,000
-------------
0
426
-------------
0
39,710
-------------
0
26,756
-------------
0
464,477
-------------
0
0
-------------
0
22
Ryan Dotson
Investment Officer
(i)
(ii)
139,462
-------------
0
243,903
-------------
0
109
-------------
0
20,199
-------------
0
26,166
-------------
0
429,839
-------------
0
0
-------------
0
23
Michael Giovenco
Investment Officer
(i)
(ii)
163,003
-------------
0
269,135
-------------
0
206
-------------
0
22,711
-------------
0
8,763
-------------
0
463,818
-------------
0
0
-------------
0
24
Jeffrey Smith
Investment Officer
(i)
(ii)
181,365
-------------
0
322,877
-------------
0
169
-------------
0
26,807
-------------
0
22,147
-------------
0
553,365
-------------
0
0
-------------
0
25
Kenneth Johnson
Former Acting Director - Planning, Management & Budget
(i)
(ii)
177,877
-------------
0
5,000
-------------
0
0
-------------
0
8,894
-------------
0
352
-------------
0
192,123
-------------
0
0
-------------
0
26
John Kress
Former Interim Under Secretary - Science
(i)
(ii)
161,395
-------------
0
13,000
-------------
0
0
-------------
0
8,377
-------------
0
19,099
-------------
0
201,871
-------------
0
0
-------------
0
27
Andrew Zino
Former Comptroller
(i)
(ii)
194,846
-------------
0
1,500
-------------
0
0
-------------
0
7,613
-------------
0
16,671
-------------
0
220,630
-------------
0
0
-------------
0
Schedule J (Form 990) 2016
Page 3
Schedule J (Form 990) 2016
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
Schedule J, Part I, Line 1a First Class Travel
One officer listed in Part VII, Section A was authorized for first class travel for bona-fide business purposes when the circumstances of their travel met the requirements of the Smithsonian's travel policy for such travel and first class travel was approved in each instance by that individual's designated "approving official" for travel. The Smithsonian's travel policy is guided by the Federal Travel Regulations as supplemented by the Smithsonian's Travel handbook. The accountable plan for travel reimbursements maintained by the Smithsonian meets IRS requirements, therefore no portion of this travel was treated as taxable compensation.
Schedule J, Part I, Line 1a Travel for companions
Travel was authorized for the spouse of a person listed in Part VII, Section A when the circumstances of that travel met the requirements of the Smithsonian's policy for such travel. The Smithsonian's policy for payment of spousal or dependent family member travel permits such payment only in limited, exceptional cases, when there is a demonstrated bona fide business purpose for the travel and the travel furthers the mission of the Smithsonian, beyond mere attendance at an event or the performance of incidental services. Such travel is authorized only if approved by the Office of General Counsel and the Office of the Under Secretary for Finance and Administration/Chief Financial Officer in advance. In the calendar year 2016, four (domestic travel) trips were approved for the spouse of an officer. Each trip was authorized consistent with policy. Because it was determined that there was a bona fide business purpose for each trip, the cost of the trips was not treated as taxable income.
Schedule J (Form 990) 2016
Additional Data
Software ID:
16000421
Software Version:
2016v3.0