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Smithsonian Institution

Board of Regents

August 1, 1996

SMITHSONIAN INSTITUTION FY 1998 Budget Request

Account

FY 97 Request ToOMtt

FY 97 Request To Congress

FY 98 Request TnOMR

Salaries and Expenses

(Excluding NMAI Increases) Construction (Excluding NMAI) Zoo Construction Repair and Restoration

Subtotal

NMAI Requirements: Salaries and Expenses Increase Construction Request

Subtotal

GRAND TOTAL

$345,446,000

12,000,000

5,000,000

50,000,000

$412,446,000

$ 600,000 4,000,000

$4,600,000

$328,116,000

9,000,000

4,000,000

38,000,000

$ 600,000 4,000,000

$4,600,000

$347,446,000

7,500,000

7,500,000

50,000,000

$379,116,000 $412,446,000

$10,050,000 58,000,000

$68,050,000

$417,046,000 $383,716,000 $480,496,000

Introduction

The Smithsonian Institution is dedicated to the "increase and diffusion of knowledge." Created by Congress on August 10, 1846 as a trust instrumentality of the United States, the Smithsonian has long been recognized for its pre-eminence in astrophysics, tropical and environmental biology, the history of science, aeronautics and space science, art history, natural history, anthropological studies, and the conservation of materials. The world's largest museum, education, and research complex, the Institution includes 16 museums and galleries and the National Zoological Park. Annual visitation is approximately 29 million. The total number of objects, works of art, and specimens at the Smithsonian is estimated at 139 million, of which 122 million are in the National Museum of Natural History. As one of the world's leading scientific research centers, the Institution has facilities in eight states and the Republic of Panama. It also conducts research in the museums and at other sites all over the world.

The current fiscal year marks the 150th anniversary of the Institution. To celebrate that occasion, the Smithsonian has generated a lively series of public programs that has included exhibitions such as America's Smithsonian, which will travel to twelve cities across the Nation

this year and next, and 1846: Portrait of a Nation at the National Portrait Gallery. In addition, on August 10-11, 1996, the Smithsonian welcomed more than half a million people to its birthday party on the National Mall.

Management Improvements

Public commemoration has been paralleled in this anniversary year by internal consolidations consistent with strategic initiatives that are designed to reengineer operating processes, rationalize relationships between programmatic units and administrative functions, and extend electronic access to the Smithsonian's extraordinary information resources. The report of the Commission on the Future of the Smithsonian Institution, which was presented to the Board of Regents in May 1995, has had significant influence with respect to these initiatives, and its recommendations have helped to shape the Institution's planning and to provide dynamic guidance for Smithsonian activities.

In its response last summer to the Office of Management and Budget about Phase II of the National Performance Review, the Institution outlined a series of structural changes that had been—and continue to be—implemented in order to achieve savings and improve management processes, and identified several proposals for extending the reach of the Smithsonian and increasing its non-Federal resources. In addition, the Institution made specific commitments on personnel policy, partnerships with other organizations, and its collections. With respect to those commitments:

• internal staff working groups are being established to develop a human resources management system for all Smithsonian employees that will be more rational, equitable, and appropriate for the kinds of activities in which the Institution is engaged

• the Board of Regents is considering policy guidelines for prospective affiliations with other museums and related organizations

• units within and external to the Institution are analyzing various issues surrounding collections, such as management policies, acquisition and growth, storage, and conservation.

While all of these matters are substantial concerns of the Congress, as well as of the Institution, that of collections is paramount because of its impact on operational processes and on human, capital, and information resources.

The organizational restructuring initiated by the Secretary in 1995 has continued. The office of another assistant secretary has been eliminated, and its functions reorganized into four units—finance, administration, facilities, and information—under the Under Secretary, who also oversees business advancement, the central revenue-generating operations of the Institution. In

addition, buyout authority has enabled the Institution to reduce staff since FY 1994 without resorting to reductions in force, and will, most likely, lead to further consolidation of functions.

The Smithsonian is rapidly applying the fruits of current and prospective information technology to its internal activities, as well as using that technology to reach people far beyond the Mall. Systems that will ease and refine the procurement process are being put in place, as is a new accounting system. Together, these will give Smithsonian management financial information in a timely manner and facilitate additional decentralization of administrative functions that will improve overall accountability and resource application. Related development and acquisition of personnel, policy, and program databases will offer additional opportunities for improvement. Accelerated development of research and collections databases will enhance Institutional capabilities in those areas, and also provide other scholars and the public much greater accessibility to and information about the collections and research resources of the Smithsonian.

FY 1998 Request

The budget request for FY 1998 has been developed assuming receipt of the full FY 1997 Congressional request. When Congress completes action on the FY 1997 appropriation, the Smithsonian will make necessary adjustments in its FY 1998 budget estimates. The total requested for all operating and capital accounts for FY 1998 is $480 million.

For FY 1998, the Institution has maintained its request, excluding the special needs of the National Museum of the American Indian (NMAI), at the level of the FY 1997 request to OMB. The Smithsonian is grateful for the continuous dialogue that has existed between the Office of Management and Budget and the Institution on the requirements related to the NMAI since the Museum's enabling legislation in 1989. It especially appreciates the sensitivity of OMB to the requirements essential to establishing this museum.

Salaries and Expenses

The Salaries and Expenses (S&E) request includes mandatory increases for sustaining base operations of the Institution. These increases are for necessary pay requirements; extraordinary inflation; utilities, communications, and postage costs; and space rental. These increases are beyond the Institution's control and account for approximately 30% of the total S&E increase requested for FY 1998.

The Institution's most pressing S&E requirement in FY 1998 is funding the relocation of NMAI collections from the Bronx, New York, to the Cultural Resources Center in Suitland, Maryland and initial operations of that Center. In addition, the Smithsonian has identified priority program requirements for FY 1998 in three major areas: the Smithsonian

Astrophysical Observatory Submillimeter Array operations, new facilities support, and collections information systems. The Institution requests 97 FTE and $20,042,000 for these requirements, some of which are one-time funds that will not be needed after FY 1998.

Specific details are provided within the Salaries and Expenses section of this request.

Capital Accounts

The request for the Institution's capital accounts includes funding for Repair and Restoration of Buildings ($50 million) to achieve a balance between correcting the unacceptable condition of four older buildings and maintaining the current condition of other facilities through systematic renewal and repair. The Smithsonian's Construction request ($65.5 million) addresses requirements to construct the National Museum of the American Indian Mall Museum and to complete the design of the National Air and Space Museum Dulles Center, as well as to design and construct modest physical plant expansion and modification to support program needs, particularly in the area of collections storage and care. The FY 1998 request also includes funds for the Zoo's Construction and Improvements account to address portions of the National Zoological Park's Rock Creek Master Plan and for renovations, repairs, and improvements at Rock Creek and at the Conservation Research Center near Front Royal, Virginia ($7.5 million). Specific details of the capital accounts are provided within the applicable sections of this request.

Smithsonian Institution FY 1998 Budget Request by Appropriation Account

SMITHSONIAN INSTITUTION SALARIES AND EXPENSES

Summary of FY 1998 Change

FY 1997 Request to Congress $328,716,000

FY 1998 Increases:

Mandatory Costs Increases 8,738,000

Program Increases-National Museum of American Indian 10,050,000 Priority Program Requirements 9,992,000

FY 1998 Request $357,496,000

SALARIES AND EXPENSES

This section provides specific details about the Institution's Salaries and Expenses budget request for FY 1998. Of the total amount of increases requested, approximately 30% is attributable to mandatory costs for pay; extraordinary inflation; utilities, communications and postage; and rent. The remainder is for priority program requirements to continue critical on-going projects within the Institution and necessary requirements of the National Museum of the American Indian.

Mandatory Increases for Sustaining Base Operations

The Smithsonian Institution seeks additional funds for costs that are beyond its control to manage. These costs result from legislatively-mandated pay increases; escalating costs of library materials; utilities, communications and postage; and rent. The Institution requests an increase of $8,738,000 for the mandatory costs shown below.

Salary and Related Costs:

Annualization of FY 1997 Pay Raises Proposed FY 1998 Pay Raises Federal Employees' Retirement System

$1,600,000

5,024,000

100,000

Subtotal, Salary and Related Costs

$6,724,000

Extraordinary Inflation for Library Materials Utilities, Communications, and Postage Rental of Space

$334,000

1,470,000

210,000

Total

$8,738,000

Salary and Related Costs

The Institution requests $6,724,000 for the projected higher salary and benefits costs in FY 1998 for FY 1997 staff as described below.

• Annualization of FY 1997 Pay Raises: $1,600,000 to annualize the costs of the

proposed 3.0 percent January 1997 pay raise.

Proposed FY 1998 Pay Raises: $5,024,000 to fully fund the anticipated 3.1 percent January 1998 pay raise for three-quarters of a year.

Federal Employees' Retirement System (FERS): $100,000 to cover the increased benefit costs of FERS participants in the Federal workforce. For FY 1998, the projected cost of former Civil Service Retirement System (CSRS) positions now in the FERS system amounts to $9,447,000. The Institution has in its base $9,347,000 to fund this shift, leaving a shortfall of $100,000. Additional funds may be required in the future as the composition of the Institution's Federal workforce continues to shift from CSRS to FERS participation.

Extraordinary Inflation for Library Materials

For FY 1998, the Institution requires $334,000 to combat the effects of continuing inflationary increases on book and journal purchasing. Lack of funding to combat this extraordinary inflation, combined with chronically unfavorable foreign exchange rates, has seriously jeopardized the vitality of the Institution's library research holdings. In FY 1997, a 10 percent increase in the cost of journals and books is expected. This follows an average inflation rate of 5.9% and 11.4% over the past 10 years for books and journals, respectively. The Institution has purged and cancelled many major journals, books and subscriptions to offset the effects of this inflation, but further continued cutbacks will negatively impact research throughout the Smithsonian.

Utilities, Communications, and Postage

The Institution requests $1,470,000 in FY 1998 to cover anticipated costs. The FY 1998 increases are attributable to projected rate increases from Potomac Electric and Power Company (PEPCO), General Services Administration (GSA) in Washington, D.C. and Consolidated Edison in New York City; continued upgrading of exhibit halls; operational costs associated with the new construction of the National Museum of Natural History's East Court Infill; and continued increased usage of linked computer systems and the expansion of data networks throughout the Institution.

The following table shows utilities, communications and postage estimates from FY 1996 to FY 1998; detailed explanations of each line-item follow.

Federal Utilities, Communications and Postage Costs FY 1996 - FY 1998

Electricity - The major component of the Utilities account is electricity. As a result of an aggressive energy management program, the consumption levels for FY 1996 remained stable when compared to prior years; however, costs continued to rise as utility rates increased. The FY 1998 estimate reflects a projected annual rate increase of 3 percent for all utility accounts. The FY 1998 estimate also reflects consumption increases associated with the occupancy of the National Museum of Natural History's East Court Infill in Washington, D.C. The continued installation of additional personal computers and upgrading of exhibit halls in most Smithsonian museums also necessitates general increases. Requirements for the National Museum of the American Indian's Cultural Resources Center are being requested in the National Museum of the American Indian section of this request.

Steam - Steam is used primarily for heating Smithsonian facilities, year-round humidification, and hot water production. The large consumption of steam is a direct result of maintaining an interior environment conducive to the preservation of artifacts. The estimate for FY 1998 reflects the consumption increases associated with the occupancy of the National Museum of Natural History's East Court Infill in Washington, D.C. The increase also reflects a projected 3 percent annual increase in

costs from both GSA in Washington, D.C. and Consolidated Edison in New York City.

Gas - A projected rate increase of 3 percent is reflected in the FY 1998 estimate. Requirements for the National Museum of the American Indian's Cultural Resources Center are being requested in the National Museum of the American Indian section of this request.

Fuel Oil/Water - The FY 1998 estimate reflects a 4 percent historical rate increase in fuel oil.

D.C. Government Water/Sewer - The FY 1998 estimate for the District of Columbia government's water and sewer costs are based on cost projections provided by the District government in FY 1996.

Communications - The FY 1998 estimate for communications equals the FY 1997 estimate. Management improvements, including the satellite communications link built in FY 1996 between Washington, D.C. and the Smithsonian Tropical Research Institute in Panama, have stabilized costs to the extent that no increase is requested in FY 1998. Requirements for the National Museum of the American Indian's Cultural Resources Center are being requested in the National Museum of the American Indian section of this request.

Postage - The FY 1998 estimate reflects the historical 5 percent annual growth rate in postage costs.

Rental of Space

The Institution requests $210,000 in FY 1998 for expenses in the central rental account. Leased space at L'Enfant Plaza, 1111 North Capitol Street, Archives of American Art space in New York and Boston, Fullerton storage, and Smithsonian archival storage space provide critical housing and storage for administrative support and some program activities which provide valuable services to the Institution's exhibition, education, research and collection programs. The increase reflects costs specified in a negotiated lease agreement for additional space required at the National Museum of American Art. The Institution is currently reprogramming funds temporarily to support this requirement.

The following table reflects the projected costs for rental space for FY 1996 to FY 1998.

Federal Central Rental Costs FY 1996 - FY 1998

Priority Program Requirements

Three major areas, in addition to the request for the National Museum of the American Indian, require funding in FY 1998. These include:

• the final increment of operating funds needed for the submillimeter array at the Smithsonian Astrophysical Observatory

• operating support for new facilities which are now coming "on line" and

• support for the continued development of major collections information systems throughout the Institution.

Each of these three areas is described below.

Smithsonian Astrophysical Observatory (SAO) Submillimeter Array Operations (0 FTE and $1,225,000)

The submillimeter telescope array will measurably enhance the scientific competitiveness of the United States for ground-based astronomy—observing the skies with telescopes sensitive to submillimeter waves. Submillimeter observations will make fundamental contributions to our understanding of the processes by which stars form and of the mechanisms that generate prodigious amounts of energy in quasars and in active galaxies. SAO scientists will play a major role in unlocking these secrets utilizing the array and its unprecedented combination of wavelength coverage and ability to resolve fine spatial details.

Since FY 1992, SAO has been developing and testing in Massachusetts components for the submillimeter telescope array which will be located on Mauna Kea in Hawaii. Groundbreaking occurred in June 1995, with completion scheduled for FY 1998. The Smithsonian requests an increase of $1,225,000 in FY 1998 to fund full operations for the Hilo, Hawaii field station for the array. This funding will support communications, utilities, equipment, rent, supplies, materials, and other non-salary expenses. This increment is the last required to fully fund the operation of the array.

New Facilities Support (26 FTE and $6,373,000)

This initiative requests funding to support start-up and/or operating costs for new and renovated faculties which will have been completed by the end of FY 1998 at the National Museum of Natural History, the Cooper-Hewitt National Design Museum, the Smithsonian Environmental Research Center, and the Smithsonian Tropical Research Institute. Construction funds have been approved for these facilities but operating funds have not. Funding is critical in order to properly protect and maintain these new facilities.

National Museum of Natural History East Court Project (9 FTE and $5,663,000) - The

National Museum of Natural History East Court Building is to include space for research and collections activities. It will provide relocation swing space for the Major Capital Renewal Project and the mechanical renovation of the entire Natural History Building. The new building is to include educational offices, instructional classrooms, and public restrooms.

The uninterrupted progress of the Major Capital Renewal Project is dependent on the timely occupancy of the East Court Building and related relocations. Specifically, the Museum's Department of Entomology, the East Court's principal occupant, is to be relocated to the new building and to adjacent space in the NMNH East Wing from space scattered in four locations in the existing building. The move of the Molluscs Division from the East Wing to space in the West Wing vacated by Entomology physically unites the Department of Invertebrate Zoology.

Included in this request are 9 FTE and $314,000 to complete the NMNH facility management requirements which are essential to the cleaning and maintenance of the East Court Building. These on-going custodial, labor, and minor maintenance services are basic to the functioning of this new building.

Also, one-time, no-year funding ($5,349,000) is necessary to occupy the building and accomplish the related relocations described above. These relocations require funds for collections compactors and storage cabinets, move costs, communications systems, and furnishings. The purchase and installation of the electronic components and cabling for the data network ($311,000) are vital to the utility of the new building's communications system. Collections compactors and storage cabinets ($2,500,000) will provide the physical storage space necessary to house the specimens being relocated to the new East Court space. Significant move support funding for contracts, supplies, and equipment ($2,239,000) is required for these relocations. Specifically, move funding will be used to inspect specimens for pests and clean them, stabilize them for transport, maintain inventory control, pack and move them, and place them in their final storage locations. A small portion of the move costs into the new building and related relocations will be accomplished using existing in-house resources. Lastly, while funding is needed for the procurement of a limited amount of new furnishings ($299,000), much of the space is to be occupied using existing furnishings.

Cooper-Hewitt, National Design Museum Security and Custodial Support (5 FTE and $205,000) - Renovation of Cooper-Hewitt's Miller/Fox townhouses requires additional security and custodial services to provide a safe and clean environment in the completed space. Increased operational expenses are inherent due to the expansion of the facilities which is scheduled for completion by November 1996 with plans for full occupancy by November 1997. Renovation and care of these buildings will enhance the classroom and offices for the Graduate Program in the History of Decorative Arts, and will provide additional staff offices, library storage, and a conference area, thus improving services to students, scholars, design professionals, and the general public.

This request supports five positions and funding for security (three positions and $99,000) and facilities management (two positions and $66,000), as well as operating support costs for supplies and materials ($40,000), to adequately protect and care for the newly-renovated Miller/Fox facility. Funding for these positions and base operating expenditures associated with the expanded facilities is critical in order to safeguard the collection and to meet health and safety regulations.

Smithsonian Environmental Research Center Security Support (5 FTE and $170,000) - For

FY 1998, the Smithsonian requests an increase of 5 FTE and $170,000 for security support associated with the new Education and Administration buildings and existing facilities at the Environmental Research Center in Edgewater, Maryland. The Center performs basic scientific research on coastal air-land-water systems and conducts public education and outreach activities. The Center has laboratory, administrative, educational and support facilities which occupy 2,600 acres of land on the Rhode River. The requested funds will ensure security coverage 24-hours a day, 7-days a week by allowing the Office of Protection Services to hire a supervisor and four security officers to provide the center with necessary security coverage.

Smithsonian Tropical Research Institute Facilities Management Support (7 FTE and $335,000) - About 95,000 square feet of new or renovated facilities will have been added at the Tropical Research Institute in Panama between FY 1994 and FY 1997. The requested funds will support seven facilities management positions ($170,000) and related operating costs ($30,000) to support this new space, as well as related contractual security support ($135,000).

Collections Information Systems (6 FTE and $2,394,000)

One of the Secretary's priorities is to develop, across the Institution, the ability to make the Institution's collections and information more widely available to the public. The Institution has made major strides in the continued development of technology in support of electronic outreach, so that virtually every city, town, and household in the nation will have access to the vast resources held by the Institution. The potential benefits of this electronic outreach to the American public are inestimable. For FY 1998, in support of this priority, the Smithsonian requests an increase of 6 FTE and $2,394,000 for the continued development of collections information systems. The areas of increase for FY 1998 are described below.

Collections and Research Information System (CRIS) at the National Museum of Natural History (NMNH) (6 FTE and $1,219,000) - The NMNH Collections and Research Information System is intended to transform the Natural History museum into an electronic national research and education network. The CRIS foundation architecture provides the necessary coherent structure and processes for making the Museum's scientific and educational resources available to the public, thereby supporting the effort to meet the increasing demands for access to the National Collections.

For FY 1998, the Institution requests base funding of 6 FTE and $1,219,000 to continue CRIS foundation architecture development and installation. A portion of these funds ($908,000) is requested as no-year funds. Included in this request are funds to support hardware and software, user and technical training, technical services associated with system development, and maintenance fees. In addition, six museum technicians will support data management and digitization activities. With this increase, the full value and scope of the National Collections of Natural History will be made more accessible.

Art Bureaus Collections Information System (ARTCIS) (0 FTE and $600,000) - The six Smithsonian art museums (Cooper-Hewitt, National Design Museum; Freer/Sackler Galleries; Hirshhom Museum and Sculpture Garden; National Museum of African Art; National Museum of American Art; and National Portrait Gallery) together house over 350,000 works of art and are visited by more than 2.3 million people annually. The Smithsonian art museums have undertaken a joint effort to implement a single, off-the-shelf, automated Collections Information System (CIS) that will answer internal collections management needs, provide access to collections information for scholars and the public, and serve as the essential infrastructure through which widespread public access can be achieved. This collaborative approach among the six museums will result in significant direct cost savings for this initiative through bulk purchase, and indirect savings through one single procurement action. The museums will also achieve operability in as short a time frame as possible through the concentration on existing systems rather than on more lengthy, and costly, custom development.

The requested funding of $600,000 will enable the Smithsonian to complete purchase of CIS software; acquire user licenses for necessary users in the six art museums; procure imaging equipment for interface with the CIS (to tie images of collection objects to their textual data, a key component of public access); and secure dedicated servers to run the CIS.

Collections Information System (CIS) at the National Museum of American History and the National Air and Space Museum (0 FTE and $575,000) - Both the National Museum of American History (NMAH) and the National Air and Space Museum (NASM) seek to share information about their collections to audiences on many levels, from interested browsers to professional researchers and scholars, from families and communities to student groups of varying ages. CIS will support public access goals as well as internal management and research goals. A web interface on the Internet will provide widespread public access to collection information; NMAH plans to construct and equip a permanent reference center for on-site visitors to access electronic information about the Museum and its collections, research, and public programs. NASM intends to use CIS as an essential tool for planning and implementing the anticipated relocation of a significant portion of its collections to the planned NASM Dulles Center.

In FY 1995, NMAH purchased a commercial software package developed specifically for museum collections information. NMAH will influence further development of the

package directly and through partnering with other museums to define common functional requirements. In FY 1997, NASM will evaluate NMAH's CIS system and determine the degree to which it or an adaptation would be appropriate for the NASM CIS. Procurement of a CIS system will then follow in FY 1998.

The requested funding of $575,000 will enable NMAH and NASM to continue development of the necessary collection information system infrastructure for effective access to Smithsonian history collections. For NMAH, the increase ($375,000) will assist the Museum in reaching its goals for both on-line and on-site public reference to its collections. NASM's requested increase ($200,000) will provide for the initial design and implementation of a collections information system.

National Museum of the American Indian Requirements

The National Museum of the American Indian (NMAI), established in 1989 by Public Law 101-185, recognizes and affirms to Native communities and the non-Native public the historical and contemporary cultures and cultural achievements of the Native peoples of the western hemisphere. This is achieved through development and use of its collections and nationwide public programming, research, and exhibitions executed in consultation with Native peoples. The mission of NMAI states that the Museum has a special responsibility, through innovative public programming, research, and collections, to protect, support, and enhance the development, maintenance, and perpetuation of Native American culture and community. NMAI operates planning and administrative offices in Washington, D.C.; the exhibition center in New York City at the George Gustav Heye Center at the Alexander Hamilton U.S. Custom House; and the Research Branch located in the Bronx, New York. The Research Branch houses curatorial offices, a conservation laboratory, and most of the Museum's one million objects. Future facilities include the Cultural Resources Center, a reference, collections, and program support center at Suitland, Maryland, expected for completion in FY 1998, and a museum building on the Mall.

This request (65 FTE and $10,050,000) supports:

• the move of the American Indian collection from the Research Branch in the Bronx, New York City, to the Cultural Resources Center (CRC) in Suitland, Maryland

• beginning operations of the CRC

• centrally-provided Smithsonian support required at the CRC (security, physical plant, utilities and libraries), and

• initial funding for development of the inaugural exhibits at the Mall museum.

Direct Costs to Move Collections to the Cultural Resources Center (12 FTE and $6,636,000)

The following requirements support the direct costs associated with the move of the NMAI collections in New York to the CRC in Suitland, Maryland, which will begin in late FY 1998 and is expected to continue for a five year period.

Move of Collections from New York City to Suitland, Maryland (10 FTE and $3,500,000) This request includes ten positions and associated funds to support preparing, packing and transporting the collections, as well as funds for the move of permanent staff, to the CRC. The FTE request assumes NMAI will contract for the majority of the move staff.

NMAI permanent collections contain one million artifacts stored in cramped and deteriorating quarters in the Research Branch in New York now requiring constant maintenance and upgrades. The collection will be moved to a new facility under construction at the Smithsonian's Museum Support Center in Suitland, Maryland. The construction contract for this major project is in place and work is anticipated to take two years. Plans for the relocation of the collection are based on the current construction schedule.

The plan to move the collection from New York entails a complex set of procedures that include moving part of the collection to temporary storage so space can be cleared to provide a staging area for assembling, cleaning, repairing (if necessary), photographing, and packing the objects. As objects are moved and space permits, teams of packers will work simultaneously to prepare and pack the collection. These teams will consist of staff trained to be sensitive to conservation, registration, collections and photographing needs.

The current, permanent museum staff in the curatorial, repatriation and conservation departments will continue to provide support for the repatriation projects, changing exhibits at George Gustav Heye Center, and exhibit development for the Mall, and be on-call for assistance with the move as needed. This vast undertaking of relocating one of the largest collections of Native American artifacts will be handled in tandem with an on-going, active museum operation. Augmenting this permanent museum staff will be a cadre of leaders who can supervise packers and provide quality control to prevent damage to the collection during the move process.

Throughout the duration of the move, staffing levels will fluctuate at the New York and Maryland sites. At the onset, the majority of staff will be at the Research Branch in New York. At the interim stage, certain functions will occur at both locations. And finally, all of the Cultural Resources staff will be located at the new Resources Center in Suitland.

Research/Logistical Move Support (2 FTE and $148,000) - A conservation technician is requested to focus on "triage" of the collection in preparation for the move. It is essential that items in the collection be professionally reviewed before packing so stabilization can be achieved and damage to the collection precluded during this project. An office manager is requested for logistical and administrative support associated with the move, particularly to support the large number of procurement actions and logistical planning for such a complex undertaking. In addition, liaison with contractors and development of timelines, which will be essential to the project, will be performed by this office manager.

Technical Equipment (0 FTE and $1,988,000) - These funds are requested for technology-related equipment (including communications equipment, telephones and computers) and associated cabling at the Cultural Resources Center to support permanent staff and NMAI's inventory control system. This equipment and cabling is essential to the timely implementation of the five-year move plan and security issues related to registration functions in support of inventory and related safeguards as the collection is relocated. NMAI move

plans call for the fullest utilization of technology to support the move and safeguard the collection, which will also offset the need for substantial numbers of security personnel at the CRC.

Furnishings and Related Equipment (0 FTE and $1,000,000) - Funding is requested to furnish the CRC building, including collections storage equipment; workshop equipment for film and video processing, the conservation lab, and the photo lab; loading dock furnishings; resource center equipment and set-up; library furnishings; and equipment in support of security and physical plant requirements.

Cultural Resources Center Initial Operating Requirements (12 FTE and $762,000)

In order to begin operations at the Cultural Resources Center, the following needs require funding beginning in FY 1998. These requirements are only a portion of the total requirements necessary when the CRC is fully operational in the 21st century.

Administrative Support (4 FTE and $400,000) - This request will fund initial personnel costs for CRC's network control center and administrative support. There will be a network control center at each NMAI site to provide the focal point for all technological support; one position is requested at CRC for a network control manager to oversee the technological activities of the site.

Each of the three physical sites comprising the National Museum of the American Indian require administrative support to address on-site needs and particular points of focus. For CRC, this request includes three positions for an administrator, a technician and a secretary to provide procurement, finance, personnel and other administrative support for the ongoing programs of the CRC.

Public Programs (3 FTE and $177,000) - A resource center is planned for each of the three NMAI locations which will rely heavily on technology for hands-on museum experiences and outreach. The unit at the CRC will be staffed by a coordinator and program assistant and will serve primarily tribal delegations, visiting scholars and researchers. A third position is requested for an editor to design and develop brochures and visitor guides for the Suitland facility and for other related public affairs support for the ongoing and expanding programs encompassing the three NMAI sites.

In-house Facilities Support (5 FTE and $185,000) - Funding is requested for in-house facilities support positions at the CRC including a facility manager, custodial supervisor, custodians and a laborer in line with normal SI facility support for building maintenance and occupancy. This will provide services to specialized areas such as conservation and photo labs, as well as to general office and public space.

Support Provided by Other Smithsonian Offices (37 FTE and $2,251,000)

Significant funds are required from other Smithsonian offices to support operations at the Cultural Resources Center. These include security services administered by the Office of Protection Services, physical plant support provided by the Office of Physical Plant, and library services provided by the Smithsonian Institution Libraries. Funds are also required for projected utility and communications costs at the CRC.

Security and Safety Needs (20 FTE and $800,000) - This request provides funding for Office of Protection Services' requirements to support move needs at the Bronx facility and ultimate staffing at the Suitland, Maryland facility.

Physical Plant Support (16 FTE and $676,000) - Positions and funding are requested to provide full funding for Office of Physical Plant support, to include foremen, air-conditioning equipment mechanics, electrical mechanics, a general crafts worker, gardeners, drivers and mail clerk positions, at the Suitland facility. This in line with normal support provided to other Smithsonian museum facilities.

Libraries (1 FTE and $59,000) - Funds are requested for one branch librarian position to provide the appropriate level of reference service and staff assistance required by NMAI's special Native American collection. In addition, this NMAI branch librarian will prepare the home pages and identify and link appropriate electronic resources from the Internet and internal databases. The librarian will also be responsible for ensuring that policies relating to housing, handling, and securing books and journals in the NMAI collection are carried out, and developing exhibitions and other public programs based on the Smithsonian Institution Libraries' Native American Collections.

Utilities (0 FTE and $716,000) - Funding is requested for estimated utility (gas and electric) and communications costs at the Suitland facility.

Mall Museum Exhibition Development (4 FTE and $401,000)

Four positions, to include two exhibit developers, one graphic designer and one secretary, and related funding are requested to support preliminary design of the inaugural exhibits for the Mall museum scheduled to open in 2002. Typical exhibition planning begins three to four years prior to opening of a gallery exhibit. The Mall museum will have just over 50,000 square feet of exhibition space in three major galleries and will utilize almost 30,000 square feet of additional program area space for display of objects from the collections. Development of this space is an extraordinary undertaking for the Smithsonian that requires extensive planning and development efforts and thorough consultation with Native peoples.

CONSTRUCTION AND IMPROVEMENTS NATIONAL ZOOLOGICAL PARK

The National Zoological Park (NZP) complex includes 600,000 square feet of exhibition, animal care, and research facilities spread over 163 acres at Rock Creek Park and over 230,000 square feet of facilities on 3,150 acres at the Conservation and Research Center in Front Royal, Virginia. In keeping with the 1889 charter, the National Zoological Park endeavors to "administer and improve" the Zoo for the "advancement of science and instruction and recreation of the people."

Appropriations to this account provide funding for repairs and renovation of existing exhibits, buildings, utilities, grounds, and infrastructure; alterations and additions to existing exhibits, buildings, utilities, grounds, and infrastructure; and new facilities and exhibits outlined in the Master Plan.

The current focus is maintenance, repair, and safety improvements to existing facilities along with the general renovation of at least one major exhibit each year, to keep NZP a viable and exciting facility to serve the public. The NZP contracts for most design, construction and improvement projects; however, cost effective small maintenance and repair is also performed by in-house staff. The account also funds related expenses, such as relocation of animals, required to accomplish the work.

The FY 1998 request follows:

Rock Creek Master Plan:

Grasslands Phases n & m $1,500,000

Renovation, Repair and Improvements:

Rock Creek 4,500,000

Front Royal 1,500,000

Total

$7,500,000

Rock Creek Master Plan

Grasslands Exhibit Phases II and III ($1,500,000) - The Grasslands exhibit will enhance the visitor's experience at the National Zoo by redeveloping three specific areas of varying topography that span approximately six acres. Phase I of the Grasslands exhibit depicts the American Prairies, Phase n will be a combination of federally-funded landscaping and renovation projects and a trust-funded farm exhibit on Domestication, and Phase III will be the African Savannas. Each phase of this exhibit renovates and improves existing exhibit areas and animal facilities, upgrades graphic educational information, improves utility infrastructure, and upgrades site paving and landscaping.

Facilities are designed for low maintenance cost, energy efficiency, sustainability, and minimal need for additional staffing. Each portion of the Grasslands Exhibit is self-contained and covers a wide range of topics on the central theme of grasslands through time. In addition to the information about animals in each habitat, topics include domestication of grains, human history on grasslands, the living world beneath the surface of grasslands, medicinal and food plants of grasslands, and multiple use of grasslands throughout the world over time. A major element of this experience will be "anticipation areas" that introduce visitors to each of the three exhibits. These areas will also be places to rest and picnic and for children to play.

Funds totaling $2,679 million have been appropriated in FY 1993, FY 1994, and FY 1995 and $0.6 million is anticipated for FY 1997. The conceptual design for the entire project has been completed and construction of the major portion of Phase I will begin in the fall of 1996. The Smithsonian requests $1.5 million for FY 1998 for Phase II construction and to begin final design of the Phase HI area.

Renovation, Repair and Improvements

The National Zoological Park is responsible for the renovation, repair and preventive maintenance of its facilities. The Zoo strives to maintain a safe environment for its visiting public and staff, provide ecologically suitable and comfortable enclosures for the animals, and maintain all buildings in sound condition. The request of $6 million for FY 1998 will support those activities at Rock Creek and Front Royal required to stabilize maintenance of existing facilities. An analysis of the existing building conditions indicates a need for over $26 million of repairs which should be made as quickly as possible to address current safety, accessibility, operations, maintenance, and animal habitat deficiencies at Rock Creek and Front Royal. The long range plan for these corrections and continued maintenance of facilities is under development.

Rock Creek ($4,500,000) - There are approximately 26 major structures at Rock Creek along with approximately 40 additional structures located on the 163 acre site. Among the collection of buildings is one listed on the National Register of Historic Places and several constructed by the Works Progress Administration, which are considered a valued portion of our national heritage.

Facilities and infrastructure on the Rock Creek site were initiated over 105 years ago and were subsequently developed one area at a time. For this reason, much of NZP's physical plant is technologically outdated.

• At least one third of the major exhibit buildings at Rock Creek Park have reached or are approaching the end of their useful life. These facilities require complete renovation of exterior structure (roofs, windows, doors, skylights), animal habitats, mechanical, plumbing, fire alarm, fire protection, and electrical systems, along with updating educational information and accessibility improvements.

• The remaining 4,160 KVA electric distribution service must be upgraded to the more efficient, higher capacity 13,000 KVA electric service, and most building primary and secondary distribution systems must be upgraded to meet current code and safety requirements, exhibit needs and animal requirements.

• Many portions of the existing site utility systems, including gas, steam distribution, water supply, and storm drainage, are technologically obsolete and failing.

• The fire alarm and smoke detection systems are obsolete and require upgrades and central monitoring for the safety of staff and animals.

• Provision for central monitoring of animal life support systems including water treatment, heating, ventilating, and air conditioning, is essential to ensure proper welfare of the animals as the size of the workforce decreases.

• Primary and service roadways are rapidly deteriorating due to the age of materials.

As major components of the building systems age, the risk of operational failure, unscheduled closings, and risk to the animal collections and research efforts is increasing dramatically.

Front Royal ($1,500,000) - The Zoo's Conservation and Research Center (CRC) at Front Royal is devoted to the conservation of endangered wildlife through programs in propagation, research, and international biodiversity training. There are over 100 structures at CRC located on the 3,150 acre site, ranging from animal shelters to research laboratories and residences. The property has more than 2 and one-half miles of roads, 20 miles of jeep trails, and 30 miles of fences. The CRC facilities and infrastructure were constructed over an 85-year time span.

The renovation, repair and improvement program at Front Royal for FY 1998 includes renovating, repairing and upgrading the physical, environmental, and operating systems that impact the security for the facility and improve the efficiency of energy use and scientific operations.

The following chart details future needs for programs in this request.

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REPAIR AND RESTORATION OF BUILDINGS

The Institution is steward of the valuable and visible buildings entrusted to it by the nation. These facilities form a vital infrastructure for accomplishment of many programs and activities, provide safe haven to irreplaceable collections in the Institution's care, and allow public access to the collections and programs by millions of visitors and scholars. Many of the buildings are themselves important icons of the nation's cultural heritage, part of the nation's "face" to the world, and must be preserved with the intent of occupying them indefinitely. Funding for repair and renewal of the Institution's facilities has not kept pace with the need and this has resulted in accelerating deterioration of the Smithsonian's physical plant. The current estimate of unfunded facilities renewal requirements is in the $250 million range. In May 1995, the Commission on the Future of the Smithsonian Institution expressed concern about the magnitude and continuing growth of the deferred maintenance problem, and recommended an immediate investment in renovation and restoration of the Institution's facilities. "Otherwise, the Smithsonian will no longer convey to our citizens, or to the world, the image of a nation rich in cultural experience, in natural resources, and in its vision for the future." 1

Assessment of Facility Conditions

Major building systems and components have limited life expectancies. Despite planned preventive maintenance and repair efforts, the heavy and constant use of the buildings exacerbates the natural aging process of components. As building systems age, the risk of operational failure, unscheduled building closings, and damage to collections increases dramatically.

The model in Chart l 2 illustrates the predicted performance curve throughout a building system or component's average life. According to the Association of Higher

1 E Pluribus Unum: This Divine Paradox, Report of the Commission on the Future of the Smithsonian Institution, May 1995, Washington, DC.

2 Building Research Board of the National Research Council, "The Fourth Dimension in Building: Strategies for Minimizing Obsolescence," 1993.

Education Facilities Officers 3 , a nationally recognized facilities management organization, optimal performance decreases by 40% three-quarters of the way through a system's useful life, reaching the minimum acceptable performance level, labeled "Fair" on the chart. From that point on, performance declines steeply, decreasing another 40% in the next 12% of the system's life expectancy. Past this point is the "breakdown" mode of operation. Once a system has reached this stage, it can no longer reliably support programs housed in the building. In the case of museum mechanical systems (heating, ventilating and air conditioning systems) or roofs, this usually means that the continuous close control of environmental conditions and refuge from the elements required to preserve collections cannot be guaranteed. In addition, it costs as much as five times more to achieve this minimally acceptable performance through "breakdown" maintenance — that is, repairing or replacing system components on an emergency basis when they fail. Resources spent to patch existing systems are essentially wasted when the systems later require full replacement. More importantly, with high public visibility and 29 million annual visits, the potential for irreparable damage to the collections and unplanned system failures carries major implications for the Institution. When a system has deteriorated to the breakdown point, major renewal or replacement is the only way to regain acceptable performance.

Excellent

Fair

Failures

Life-Cycle Time in Years

Chart 1: System Life Progression

Current Smithsonian Facilities Conditions

Chart 2 plots the current position of the Smithsonian's major facilities on a curve in relation to their overall expected life. The curve represents a composite rate of deterioration

1 "Understanding the Life Cycle of Buildings and Structures," by Chris Hodges, President, Facilitiy Engineering Associates, P.C., published in Proceedings of the 1994 Educational Conference and 81st Annual Meeting of APPA: The Association of Higher Education Facilities Officers, July 10-12, 1994, San Antonio, Texas.

for all building systems over an estimated 40 year life span. The Institution's buildings were placed on the curve based on the estimated remaining useful life. The specific parameters used to assess existing conditions were: watertight enclosure; heating, ventilating, air conditioning (HVAC) and electrical systems' age and condition; and compliance with current codes, and industry operating standards.

Life-Cycle Time in Years

Chart 2: Smithsonian Facilities Conditions in 1996

It is clear from Chart 2 that the National Museum of Natural History (built in 1910 with wings added in 1960-1964, the Smithsonian's largest building at 1.1 million square feet) and the American Art and Portrait Gallery Building (built between 1836-1860) are already in seriously deteriorated condition. Two more buildings, the Smithsonian Castle (1846) and the Arts and Industries Building (1879), are rapidly approaching the state where the increasing risk of building system or component failure threatens the closing of significant portions of the building to public and staff activities, and exposes the collections to unacceptable risk. Together, these four buildings represent 30% of the Institution's usable area. All four buildings contain significant amounts of public space. The cost to renew these four facilities is estimated to be approximately $200 million.

Although other major Smithsonian buildings are not yet below the "Good" range in overall condition, periodic repair and upgrade of the individual systems and components in these facilities is necessary to prevent further deterioration. Failure to renovate and renew in a timely manner hastens decline of the overall building condition.

Planned Renewal of Smithsonian Facilities

The Institution seeks to achieve a balance between correcting the unacceptable condition of its four older buildings, and maintaining the current condition of its other facilities

through systematic renewal and repair. The Commission on the Future of the Smithsonian Institution concluded that, "a total of $50 million dollars each year for the next decade would assure that present facilities are restored to the point of being safe and appropriate for people and for collections." 4 Chart 3 illustrates projected facilities conditions by FY 2001 at the $50 million level.

Excellent

Good

ro Fair E o ■fc Poor

Very Poor Failures

Life-Cycle Time in Years

Chart 3: Projected Smithsonian Facilities Conditions in FY 2001

at $50 million annually

FY 1998 Request

The Institution's goal is annual funding at the $50 million level, as recommended by the Commission on the Future of the Smithsonian Institution. The FY 1998 request for this amount represents a $12 million incremental increase over the $38 million expected for FY 1997, and will move the Smithsonian in the direction of responsible stewardship of its physical assets.

The following chart provides a summary of projected expenditures by category of work for FY 1998-FY 2002.

4 E Pluribus Unum: This Divine Paradox.

CONSTRUCTION

The Smithsonian needs expanded and modified facilities to support program requirements, particularly in the area of collections storage and care. Plans for facility development in the coming year represent a major investment in the continuing vitality of existing programs, including collections management, research, public exhibitions, and education. The Institution requests $65.5 million in FY 1998 to carry out these plans. The five-year program is summarized on the chart that follows this narrative.

This year's Construction request includes:

Major Construction:

National Museum of the American Indian, Mall Museum National Air and Space Museum Dulles Center Design

Minor Construction:

Alterations and Modifications

Planning:

Total

$58,000,000 2,000,000

5,000,000

500,000

$65,500,000

Major Construction

The collections held by the Smithsonian are estimated to number 139 million objects and specimens. Providing adequate and appropriate space for these collections emerges repeatedly as the most critical collections management priority. Because of inadequate space, objects are stored in potentially dangerous conditions. Causes of damage to collections range from environmental and biological factors to theft, vandalism, neglect, carelessness, and natural disasters.

Many of the museum buildings are not adequately constructed to provide the quality of space needed to protect the collections. Building constraints include inadequate building closures and antiquated mechanical, plumbing, and electrical systems. To compensate for these inadequacies, many museum buildings require additional environmental monitoring equipment.

Placing collections in space not intended for their storage, even temporarily and out of necessity, has both harmed the collections and limited their accessibility to staff and researchers. Because storage areas are so crowded, objects are often placed wherever space can be made. Overcrowding also makes it difficult for staff to perform routine cleaning and conservation needed to protect objects from deterioration. Lack of adequate storage has forced museums to restrict acquisition of new collections, even to the point of declining worthy bequests.

The highest priority in the Institution's long-range capital expansion program is to meet the requirement for space to house, care for, and study the collections. The Institution has developed a comprehensive plan to satisfy space needs for the care of its diverse collections for the next 20 years. Components of this program include the Cultural Resources Center of the National Museum of the American Indian and the Dulles Center of the National Air and Space Museum. Another priority of the capital expansion program is space for exhibitions and public activities associated with display of current collections. The Smithsonian request for FY 1998 addresses both of these priorities.

National Museum of the American Indian, Mall Museum ($58,000,000) - Public Law 101-185 that created the National Museum of the American Indian requires the Institution to construct a museum building on the Mall near the foot of Capitol Hill. The location, adjacent to the world's most-visited museums, will provide excellent exposure for Native American artifacts and related activities reflecting Native American culture. The building will house permanent and changing exhibitions, reference and resource areas, an auditorium and conference center, integrated performance and retail areas, and space for other public programs.

The Smithsonian has completed overall programming and planning for the new building, as well as its conceptual design, which shows the architectural character of the exterior and site together with spatial relationships in the interior. Both the planning and conceptual design processes incorporated considerations identified by Native American groups in a series of consultations to define the programs of the new Museum and to generate ideas about the physical characteristics of the building. The Institution plans to complete design and have detailed documents ready for bid in 1998, and requests funding for construction in FY 1998. The preliminary schedule calls for completion of the building and the public opening of the Museum in the year 2002.

The Smithsonian projects that the total cost of construction of the Mall building will be approximately $110 million, assuming a construction start in FY 1998. Consistent with P.L. 101-185, the Institution anticipates funding two-thirds of the cost from Federal sources and the balance through a national fund-raising campaign. As of September 1996, $34.8 million has been raised for construction. A total of $5.3 million was appropriated for design of the Mall Museum building between FY 1990 and FY 1996, and this request assumes $4 million will be appropriated in FY 1997 to complete design. Approximately $3.7 million in nonappropriated (donated) funds will be applied for the same purpose. The Institution requests funding in the amount of $58 million for construction of the building. Together with donated funds, this amount will allow the project to remain on its current schedule. Funds to equip the building will be requested in FY 2000.

National Air and Space Museum Dulles Center ($2,000,000) - Public Law 103-57 authorized the Institution to plan and design an extension of the National Air and Space Museum at Washington Dulles International Airport and authorized appropriations of $8 million for this purpose. The Center will permit most of the collections currently stored at the Museum's Garber Facility, as well as all of the large aircraft and spacecraft already at Dulles to be safely housed in a structure built to museum standards. It also will provide visitor services and an artifact restoration facility capable of handling the largest artifacts in the collection in full view of visitors.

The Commonwealth of Virginia affirmed its support of a combination of financial resources to build the Dulles Center. This commitment is dependent, however, on a continued Federal commitment to the project. This partnership ultimately will include not only the Federal government, Virginia, and the Smithsonian, but also the regional business community and private sponsors from around the nation.

In keeping with its commitment to the Commonwealth of Virginia, the Smithsonian is completing planning of the Dulles Center with previously-appropriated Construction Planning funds. The Institution will use the $1 million appropriated in FY 1996, the $5 million anticipated in its FY 1997 appropriation, and funds from Virginia to begin design of the Center. The Smithsonian requests $2 million in FY 1998 to complete design.

Minor Construction, Alterations and Modifications

The Smithsonian requests $5 million in FY 1998 to continue the program of Minor Construction, Alterations and Modifications. These funds will allow the Institution to make building modifications needed to provide adequate and appropriate space in which its programs can operate. The individual projects are all under $1 million and entail changes or improvements to existing space or minor additions to space with little impact on facility operating costs. Funding for the Alterations and Modifications program will enable the Institution to maintain the vitality and operating effectiveness of its many and varied programmatic activities.

Construction Planning

The Institution requests $500,000 in FY 1998 to continue planning for future construction requirements in conjunction with programmatic goals. The planning process will provide well defined plans and cost estimates for construction and operations prior to seeking funding or authorization of projects. With this funding the Institution will produce well thought out proposals that compare existing space to needs, and assess alternatives to meeting these needs.

Realization of the projects in the current program will support the Institution's mandate to maintain responsible custody of the artifacts of history, culture, and natural and physical environments held in trust; conduct cutting edge research; and contribute to the educational and cultural foundation of our society.

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