This book made available by the Internet Archive.

Science Museums and Research Centers

National Museum of Natural History 95

National Zoological Park 101

Smithsonian Astrophysical Observatory 106

Smithsonian Center for Materials Research and Education ..112

Smithsonian Environmental Research Center 1 1 6

Smithsonian Tropical Research Institute 1 21

PROGRAM SUPPORT AND OUTREACH

Outreach 125

Communications 1 32

Institution-wide Programs 1 35

Office of Exhibits Central 139

Major Scientific Instrumentation 142

Museum Support Center 144

Smithsonian Institution Archives 147

Smithsonian Institution Libraries 1 50

ADMINISTRATION 155

FACILITIES SERVICES

Facilities Maintenance 162

Facilities Operations, Security and Support 166

FACILITIES CAPITAL

Overview 1 73

Summary 1 80

Individual Projects 181

APPENDIX

Smithsonian Institution Organizational Chart 201

Visits to the Smithsonian, FY 1998-FY2002 202

Trust Funds 203

Appropriations Language and Citations 205

Adjustments to FY 2003 Funding 214

As the guardian of our nation's greatest historic, artistic, and scientific treasures, the Smithsonian takes its task of serving the American public very seriously. For more than 156 years, this Institution has worked hard to fulfill its mission, "the increase and diffusion of knowledge." Over the decades, commitment to that mission has raised new challenges. Today, chronic funding problems that have developed over many years and fallout from the aftereffects of September 1 1 th have combined to create a severe financial situation at the Smithsonian that may require drastic actions, including substantial personnel reductions. Nonetheless, we are more determined than ever to meet these challenges and transform the Smithsonian into a modern 21 $, -century institution.

As the largest museum and research complex in the world, the Smithsonian's reputation rests on a strong foundation. Unfortunately, it is also an institution contending with a severely deteriorated infrastructure, outdated technology, many aged, outmoded exhibitions, and staffing levels that can barely meet the current workload. The July 2001 report from the National Academy of Public Administration documented that a total of $1.5 billion would be required over the next ten years to bring the Institution's facilities up to an acceptable level. The tragedy of September 11 th has led to a drop in visitors with a resulting loss in revenues needed to supplement federal funding. Moreover, the Institution must open two major museums approved by Congress, the National Air and Space Museum's Udvar-Hazy Center and the National Museum of the American Indian on the Mall. Today's challenge is to build on the Smithsonian's reputation, rebuild the physical plant, open the new museums, bring visitors back, and thereby expand the reach of a great and trusted institution.

The Institution is also determined to revitalize science at the Smithsonian with the help of The Report of the Smithsonian institution Science Commission released in January 2003. The report, which has been endorsed by the Smithsonian Board of Regents, is the result of a 15-month study in which the Commission looked at all science activities at the Institution. Among other things, the report noted that science programs have eroded over time because of a long-term trend of declining support for mandatory annual salary increases. The report will be an invaluable guide in the months ahead.

The Smithsonian agenda is ambitious, but it must be as efficient as it is aggressive, as focused as it is far-reaching. Given budget realities, Smithsonian priorities fall into five categories: First, funding to keep

Institution museums in operation, collections safe, and research programs intact —in other words, what can be referred to as mandatory costs. These include what is necessary to meet current requirements in staff salaries and benefits, legislated pay raises, utilities, postage, communications, and rent.

The Smithsonian's second priority is funding for security-related items. This includes all programs and activities to provide adequate security to the Institution's staff, visitors, collections, and facilities, and to protect against terrorist actions.

The Smithsonian's third priority is to secure funding increases for activities recommended by the National Academy of Public Administration (NAPA), such as addressing the Institution's crucial facilities revitalization and information technology needs. This budget includes the Institution's plans to continue to repair and renovate some of our oldest and most heavily visited museums and to begin to address the Institution's maintenance needs at levels recommended by NAPA. The Smithsonian is also continuing its information technology initiatives, including the Enterprise Resource Planning project and the infrastructure modernization effort, as well as addressing newly identified information technology security requirements.

The Institution's fourth priority is the financial resources needed to fulfill the Smithsonian's mandate to open and operate two new museums: the National Museum of the American Indian on the National Mall, and the National Air and Space Museum's new Steven F. Udvar-Hazy Center, adjacent to Dulles Airport in Northern Virginia.

Lastly, the request includes several initiatives to address priorities for scientific research, reaching new audiences, and improving our contracting efforts.

The Smithsonian plays a vital role in our country's civic and cultural life. Using art, artifacts, history, and science, the Smithsonian tells a comprehensive story —America's story, and the story of its relationship to the world. Now more than ever, this is an important service to maintain. To reach more Americans with such seminal stories, the Smithsonian needs to transform itself into a true 21 st -century institution. It won't be easy. The Smithsonian Institution faces significant challenges if it is to continue to serve the public in an exemplary manner with both engaging, modern exhibitions backed by authoritative scholarship, and groundbreaking scientific research and exploration. What follows is our plan to meet these challenges head-on.

SMITHSONIAN INSTITUTION FY 2004 BUDGET REQUEST SUMMARY

FY 2003 columns adjusted to show comparable figures to FY 2004 request in new budget structure.

2 Includes rescission of $14,100,000 in'prior year funds, unallocated reduction of $12,795,000, and, for illustration only, transfer in of $11,430,000 from Facilities Capital account for minor repairs and maintenance.

3 Includes $12,349,000 in new unallocated reductions.

For FY 2004, the Smithsonian's request for all operating and capital accounts totals $566.5 million, an increase of $38.5 million above the FY 2003 request.

The Institution's FY 2004 request includes $476.6 million for Salaries and Expenses and $90 million for Facilities Capital. The latter account is a new account proposed in this budget to incorporate the former Repair, Restoration and Alteration of Facilities and Construction accounts. As part of this restructuring, requests formerly included in the RR&A account for minor repairs and maintenance activities are now included with other maintenance activities under the new Facilities Maintenance line item in the S&E account. This change results in an increase to S&E of $11,430,000 and 33 FTEs, for Reliability Centered Maintenance ($2,100,000) and funds and staffing for minor repairs and maintenance ($9,330,000). A detailed summary of the FY 2004 request is provided in the table at the end of this section.

SALARIES AND EXPENSES— The Salaries and Expenses (S&E) request includes $13 million in mandatory increases to sustain daily operations of the Institution. These increases are beyond the Institution's control and include additional costs associated with necessary pay, utilities, rent, and communications. In addition, the Smithsonian has identified priority program requirements for FY 2004 as follows (specific details are included under each line item):

Security (+$4,085,000) - to provide additional security staff and support costs resulting from the increased security and anti-terrorism requirements following the September 1 1, 2001 attacks and to address recently identified information technology security requirements.

Facilities and Information Technology Improvements (+ $7,115,000) -

to support improvements to the Smithsonian's information technology infrastructure and its facilities programs, as recommended by the National Academy of Public Administration in its July 2001 report. Included are staff to provide support for the Institution's expanded facilities renovation and repair program and to develop and implement a structured facilities maintenance program. Funds are also included to replace obsolete desktop workstations with modern systems, to provide the foundation for the Institution's newly implemented Enterprise Resource Planning system.

National Air and Space Museum ( + $7,769,000) - to continue preparing for the December 2003 opening of the Udvar-Hazy Center at Dulles, including preparing collections for the move, installing artifacts, and providing for outsourced facilities and security services.

National Museum of the American Indian (+$13,658,000) - to

continue preparing for the opening of the National Museum of the American Indian Mall Museum in September 2004. The requested funds will be used for completing exhibitions, providing education programs and visitor services, completing the move of the collections, developing the Mall Museum infrastructure, and providing facilities and security services.

Other Institutional Priorities ( + $1,525,000) - to address initiatives designed to pursue scientific innovation and discovery, to enlarge the Smithsonian's audiences, and to provide increased management support. Included are funds to manage the VERITAS (Very Energetic Radiation Imaging Telescope Array System) program at the Smithsonian Astrophysical Observatory, and to allow implementation of the Science Commission's recommendation to strengthen the Institution's fellowships and scholarly research award programs. Also included are funds to provide critical staff support in the Center for Latino Initiatives for expanded programming aimed at reaching the Latino community, increases for Smithsonian Institution Libraries journals and books purchases, funds to address the requirements of the Presidential Advisory Commission on Holocaust Assets in the United States, and additional resources for contracting support across the Institution.

Unallocated Reductions (-$12,349,000) - The Institution's FY 2004 request includes $12,349,000 in new unallocated reductions. This is additive to any portion of the FY 2003 unallocated reduction of $12,795,000 that is not solved by permanent reductions in FY 2003. The Institution expects to achieve a portion of these reductions by instituting a hiring freeze for all of FY 2004. In order to keep museums open and provide required levels of facilities maintenance, security, and care of collections, particularly the living

collections at the National Zoo, certain essential positions will need to be exempted from the freeze. As a result, a hiring freeze alone will not be sufficient to meet the required level of reductions. Additional actions will be necessary. The Institution will also look at using buy-out authority, and may also have to use involuntary reductions-in-force to meet the level of reductions included in the FY 2004 request.

CAPITAL PROGRAM - The request for the Facilities Capital program ($90 million) will help correct the deteriorating condition of some of the oldest buildings at the Smithsonian and maintain the current condition of other Institutional facilities through systematic renewal and repair. For FY 2004, this request includes renovations for the Patent Office Building ($48 million), National Zoological Park ($9 million), National Museum of American History ($3.5 million), and the National Museum of Natural History ($3 million), and as well as revitalization of other facilities. The request also includes funds to initiate construction of a new storage facility known as Pod 5 at the Museum Support Center in Suitland, MD, and funds for planning and design of future projects.

Specific details of each requirement are provided in the Facilities Capital section of this request.

SMITHSONIAN INSTITUTION FY 2004 BUDGET REQUEST BY APPROPRIATION ACCOUNT

'Includes an unallocated reduction of $12,795,000 2 The reduction may total more than

combined with any portion of the FY 2003 reduction of $1 2,795,000 that is not solved by a

$12,349,000 when permanent solution.

SMITHSONIAN INSTITUTION

FEDERAL BUDGET BY FUNCTION

Salaries & Expenses

(Dollars in Thousands)

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FACILITIES BUDGET STRUCTURE

The Institution is proposing in this budget to realign its facilities budget structure based on recommendations of the National Association of Public Administration (NAPA) and in line with industry standards and definitions. The definitions used to create this structure are consistent with those endorsed by NAPA, the National Research Council, and federal facility definitions and guidelines. The restructuring involves the following:

• Consolidating facilities Salaries & Expenses (S&E) resources formerly included under the Office of Physical Plant, Office of Protection Services, the Office of Safety and Environmental Management, and the Office of Facilities Engineering and Operations (the latter two from within the Administration line item) into two new S&E line items: Facilities Maintenance and Facilities Operations, Security and Support. A portion of the funds formerly included under the Repair, Restoration and Alteration of Facilities (RR&A) account, for maintenance and minor repairs, have also been included in the new line items.

• Combining the former RR&A and Construction accounts into a new Facilities Capital account.

In the S&E account, the Facilities Maintenance line item will encompass routine maintenance and minor repairs, including the upkeep of property and equipment or work necessary to realize the originally anticipated useful life of a fixed asset. Maintenance includes work such as periodic or occasional testing and inspection, adjustment, lubrication, and cleaning of equipment. This category also includes the funds for Reliability Centered Maintenance, utility systems maintenance, skilled trades, and facilities assessment programs. The Facilities Operations, Security and Support line item includes resources that are required to keep systems and processes running. Operational activities include security operations, utilities, rent, mail service, fire protection, environmental operations, grounds care, snow removal, central utility plant operations, and refuse collection and disposal. The support activities include the staff responsible for administration of the facilities program.

The Institution is also proposing to include museum maintenance and operations staff included under the individual unit line items in the Facilities Maintenance and Facilities Operations, Security and Support line items. Following the recommendation in the July 2001 NAPA report to "centralize its facilities management functions, including the National Zoo, under a single facilities organization," 12 line items include reductions totaling $18,605,000 and 361 FTEs that reflect the transfer of facilities

management services to the Office of Facilities Engineering and Operations. The goal is to ensure rapid response to facility needs, more efficient utilization of staff resources, and to eliminate acquisition of redundant equipment. The integration will improve the quality of facility maintenance by increasing efficiencies in operations and improving maintenance technologies.

The Facilities Capital line item includes facilities revitalization, new construction, and facilities planning and design.

The outline below lists the components of the new structure; the table following details the FY 2003 base funds by program and presents a crosswalk to the new structure. In this budget, the FY 2003 column has been adjusted to reflect the new structure for illustrative purposes, although funds will actually be allocated and executed under the old structure during FY 2003.

New Structure Outline Salaries & Expenses:

Facilities Maintenance:

Physical Plant Maintenance Staff

Protection Services Maintenance Staff

Reliability Centered Maintenance

Minor Repairs

Museums and NZP Facilities Maintenance Staff

Facilities Operations, Security and Support: Physical Plant Operations Staff Protection Services Operations Staff Protection Services Anti-terrorism funding * Protection Services Security Systems Renewal/Upgrade Utilities, Postage, and Rent Safety and Environmental Management Facilities Engineering and Operations Museums and NZP Facilities Operations Staff

Facilities Capital:

Revitalization:

Repair, Restoration and Alterations Construction:

Projects Facilities Planning and Design:

Repair, Restoration and Alterations Planning and Design

Construction Planning and Design

* For comparative purposes, this budget structure outline agrees with the chart on the following page, but in future years the Smithsonian will seek anti-terrorism funding within the Revitalization portion of the Facilities Capital budget.

Facilities Budget Structure Crosswalk - FY 2003 Base

I SI Unit Base Adjustments and Transfers

Congressional Requested Increases and Decreases

SI Activities

unty is Amount

FTEs Amount

Finance/ General Admn.' 01 FTEs Amount

Necessary

Pay

F < 2004 Request

FTEs Amoi

FY 2002 Actual FY 2003 Request FY 2004 Request

57.571

153 37.854

545 62.663

5.007 476.552

)

MUSEUMS AND RESEARCH INSTITUTES American Museums

Anacostia Museum/Center for African American History and Culture

"Adjustment to Base to Reflect FY 2004 Plan

" 'Transfer of Facilities Management FTEs and Resources to Faciliti^) Archives of American Art Center for Folklife and Cultural Heritage National Air and Space Museum

• •

■ "

• "Adjustment to Base to Reflect FY 2004 Plan

* 'Transfer of Facilities Management FTEs and Resources to Facility National Museum of American History

"Transfer of Facilities Management FTEs and Resources to Faolitid) National Postal Museum

" "Adjustment to Base to Reflect FY 2004 Plan National Museum of the American Indian

"Exhi

' ' ommunications Cabling

■ ' MAI Mali Museum

* "Adjustment to Base to Reflect FY 2004 Plan " "Transfer of Facilities Management FTEs and Resources to Facilmt

National Portrait Gallery -NPG -1/2 SAAM/NPG Bldg. Mgr.

"Transfer of Facilities Management FTEs and Resources to Facility Smithsonian American Art Museum SAAM

" "Adiustment to Base to Reflect FY 2004 Plan 1/2 SAAM/NPG Bldg. Mgr

" "Transfer of Facilities Management FTEs and Resources to Facilitit )

International Art Museums

Arthur M Sackler Gallery/Freer Gallery of Art

' "Adjustment to Base to Reflect FY 2004 Plan

" "Transfer of Facilities Management FTEs and Resources to Facilitit i Cooper-Hewitt. National Design Museum Hirshhorn Museum & Sculpture Garden

" "Transfer of Facilities Management FTEs and Resources to Facilitit► National Museum of African Art

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Definitions:

la) Facilities Services - Housekeeping, physical plant and gr<

1°) Security - Protection and safeguarding of staff, visitors,

10 Information Technology - Information technology infrastr (defining metadata and capturing and maintaining data in and computer-based applications (designing, acquiring oi and software specifications and capabilities)

Id) Finance/General Admn. - This includes Finance, Human I activities

Footnotes:

(11 For comparison purposes, the FY 2002 Actual and FY 2(

SMITHSONIAN INSTITUTION SALARIES AND EXPENSES

Summary of FY 2004 Change

FY 2003 Request: FY 2004 Change:

Restore one-time rescission

Transfer from Facilities Capital account

Non-Recurring Costs—

Office of Protection Services

Security System Modernization Program

National Zoological Park

National Air and Space Museum, Udvar-Hazy Center

National Museum of the American Indian, Mall Museum

Enterprise Resource Planning System

Total Non-Recurring Costs

Mandatory Increases —

Salary and Related Costs

Utilities, Postage, and Communications

Rent

Total Mandatory Costs

1 $434,660,000

14,100,000 11,430,000

(10,825,000) (550,000) (175,000) (520,000) (5,703,000) (645,000) ($18,418,000)

$9,511,000

2,997,000

470,000

$12,978,000

Program Changes

National Air and Space Museum Udvar-Hazy Center

National Museum of the American Indian, Mall Museum

Smithsonian Astrophysical Observatory - VERITAS

Science Fellowships and Scholarly Studies

Latino Initiatives

Smithsonian Institution Libraries Serials Inflation

Managed Information Technology Infrastructure

Information Technology Security

Information Technology - Holocaust Website

Office of Contracting

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Facilities Maintenance Facilities Staff Support Security

Total Program Changes

Una/located Reduction 2

7,769,000

13,658,000

172,000

828,000

250,000

100,000

1,070,000

1,085,000

100,000

75,000

5,444,000

601,000

3,000,000

$34,152,0000

(12,349,000)

FY 2004 Request

$476,553,000

includes unallocated reduction of $12,795,000. 2 The reduction may total more than $12,349,000 because it will combine with any portion of the FY 2003 reduction of $12,795,000 that is not solved by a permanent solution.

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SALARIES AND EXPENSES

1 FY 2002 includes the $392,000 rescission, P.L.107-206. 2 FY 2003 includes rescission of $14,100,000 in prior year Salaries & Expenses funds.

This section provides specific details about the Institution's Salaries and Expenses budget request for FY 2004. Within the total increases requested, approximately 28 percent is attributable to mandatory costs for sustaining base operations and the remainder is for priority program requirements for critical ongoing projects within the Institution. These increases are offset by non-recurring costs of $18,418,000, and unallocated reductions of $12,349,000 plus any portion of the FY 2003 unallocated reduction of $12,795,000 that is not solved by a permanent reduction in FY 2003.

NON-RECURRING COSTS - Fiscal year 2004 non-recurring costs of $18,418,000 include the following:

Office of Protection Services (-$10,825,000) to reduce one-time funding for security improvements.

System Security Modernization Program ($550,000) to reduce base funding as initial replacement of the outdated security system is completed.

National Zoological Park ($175,000) to reduce one-time funding for security improvements.

National Air and Space Museum ($520,000) to reduce one-time funding for contractual services to move and install artifacts at the Udvar-Hazy Center ($470,000) and for supporting equipment ($50,000).

National Museum of the American Indian ($5,703,000) to reduce base funding for exhibition preparation and installation (-$4,903,000) and one-time communications cabling costs (-$800,000) for the Mall Museum.

Enterprise Resource Planning System (-$645,000) to reduce one-time funding used for the development of the general ledger, accounts payable, and purchasing modules that will be deployed by the end of FY 2003.

SALARY AND RELATED COSTS - The Institution requests an increase of $9,51 1,000 for higher projected salary and benefits costs in FY 2004 for staff. A line item display of the increased pay costs, including FY 2003 pay annualization and the proposed FY 2004 pay raise, is also provided. The components of the requested increase are as follows:

Salary and Related Cost Increases:

Annualization of FY 2003 Pay Raises $3,474,000

Proposed FY 2004 Pay Raises 5,893,000

Workers' Compensation 144,000

Total, Salary and Related Costs Increases $9,511,000

• Annualization of FY 2003 Pay Raises (+ $3,474,000) - to annualize funding of the January 2003 pay raise for one-quarter of a year. In addition, this request supports the portion of the January 2003 pay raise that is not funded in the FY 2003 Request to Congress, which includes funding for a 2.6 percent pay raise for three-quarters of the year. The pay raise for FY 2003 is 3.1 percent.

• Proposed FY 2004 Pay Raises (+ $5,893,000) - to fund the anticipated 2.0 percent January 2004 pay raise for three-quarters of a year.

• Workers' Compensation (+$144,000) - to support the provisions of Section 8147(b) of Title 5, United States Code, as amended April 21, 1976 by Public Law 94-273. Workers' Compensation is based on actual costs of $2,800,000 incurred from July 1, 2001 through June 30, 2002, as provided by the Department of Labor. With an amount of $2,656,000 in its FY 2003 Request to Congress for workers' compensation, the Institution requests an increase of $144,000 in FY 2004.

FY 2004 Increased Pay Costs

(Dollars in Thousands)

UTILITIES, POSTAGE, AND COMMUNICATIONS ( + $2,997,000) - For

FY 2004, the Institution requests an increase of $2,997,000 for utilities, postage, and communications to cover additional costs attributable to increased consumption, projected rate and inflationary increases, and project needs. The following table displays costs from FY 2002 through FY 2004. Detailed explanations of each line item follow.

Federal Utilities, Postage and Communication Costs FY 2002 - FY 2004

Electricity (+$2,112,000) - Electricity is used to operate large air conditioning equipment that cools Smithsonian facilities. Equipment in most of the facilities on the south side of the Mall is now old and in need of replacement. The Smithsonian has contracted with the General Services Administration (GSA) to supply chilled water from their central plant to all Smithsonian facilities on the south side of the Mall. This $38 million project has been implemented through an Energy Saving Agreement under a GSA Area-Wide Contract. The net cost of this project is being funded from the utility account over fifteen years. For FY 2004, an additional $500,000 is requested to cover the difference between the initial GSA agreement and the actual GSA agreement, which was revised to reflect increases in project costs.

The electricity estimate also includes increases for the Smithsonian Astrophysical Observatory's Hilo telescope operations ($625,000), Patent Office Building (POB) usage during construction ($350,000), National Museum of the American Indian Mall Museum operations ($200,000), National Museum of Natural History's HVAC upgrade ($51,000), and the Smithsonian Environmental Research Center research trailers and scientist dormitories ($10,000). The request includes inflationary increases at 2.5 percent ($400,000), offset by anticipated additional reimbursements ($-24,000).

Steam ( + $714,000) - The Smithsonian uses steam for heating and humidification and to produce domestic hot water in facilities on the Mall and in New York City. This request includes a 2.5 percent inflation factor ($132,000), offset by a net decrease for costs at the National Air and Space Museum's restaurant that will be paid directly by the vendors (-$18,000).

Natural Gas (+ $546,000) - The estimate includes increases for the National Museum of the American Indian ($350,000) and Patent Office Building operations ($125,000), and an inflationary increase of 2.5 percent over the base ($72,000). The estimates also reflect a net decrease for costs at the National Air and Space Museum's restaurant that will be paid directly by the vendors, offset by anticipated reimbursements (-$1,000).

D.C. Water and Sewer (-$524,000) - The FY 2004 net estimate for water and sewer costs is based on cost projections by the District of Columbia Water and Sewer Authority in April 2002.

Other Water and Fuel (+$116,000) - Water consumption at satellite facilities in Maryland and Virginia should remain constant. The FY 2004 estimate includes water and fuel costs for the new Udvar-Hazy Center ($100,000) and an inflationary increase of 2.5 percent ($16,000). Postage (-$234,000) - The FY 2004 estimate includes an additional $12,000 for the Udvar-Hazy Center and an inflationary increase of 2.5 percent ($54,000). The request also includes a reduction of $300,000 for FY 2003 non-recurring equipment costs. Anticipated U.S. Postal Service rate increases in FY 2004 are offset by a decline in the Institution's postage costs as a result of decreased usage.

Communications/Networks (+$867,000) - The FY 2004 estimate for communications includes an increase of $867,000 to support efforts of the Office of the Chief Information Officer to modernize the Smithsonian's telecommunications infrastructure. The requested resources will enable the Smithsonian to replace aged and outdated telephone systems at the Arthur M. Sackler Gallery/Freer Gallery of Art, Quadrangle, African Art Museum, Hirshhorn Museum, and Renwick Gallery. More than 50 percent of the Institution's telephone systems cannot be supported by the vendor and therefore are no longer maintained under the GSA/WITS2001 contract.

RENTAL SPACE ( + $470,000) - The Institution requests $470,000 to pay annual increases agreed to as part of lease terms in current contracts. In addition, justified here but included in the Smithsonian Astrophysical Observatory (SAO) line item is an increase of $100,000 to cover rental increases at the Cambridge, Massachusetts facilities. The increase will support the federal portion of SAO's costs for additional leased space required for expanded research projects.

The following table reflects projected costs for federal central rental space for FY 2002 through FY 2004.

Federal Central Rental Costs FY 2002 - FY 2004

1 Other includes National Museum of the American Indian GSA lease in New York City and leased greenhouses.

SUMMARY OF PROGRAM CHANGES - The Institution requires funding for the following programs in FY 2004. Details are provided in the line item narratives for each respective program.

Security (+68 FTEs and + $4,085,000) - The increase requested for FY 2004 will provide 68 FTEs and $3,000,000 for the Smithsonian to provide additional security staff and support costs resulting from the increased security and anti-terrorism requirements following the September 11, 2001 attacks. The requested resources will allow the Institution to respond to recently completed threat assessments, and will provide staff to operate magnetometers at the largest museums on the Mall. Also included is an increase of $1,085,000 to allow the Chief Information Officer to develop and implement a redesigned firewall and Virtual Private Network gateway, and to implement an intrusion detection system to protect the Institution's information technology security infrastructure.

Facilities and Information Technology Improvements (+25 FTEs and + $7,115,000) - The Institution requests this increase to support improvements to the Smithsonian's information technology infrastructure and its facilities programs, as recommended by the National Academy of

Public Administration in its July 2001 report. Included are 6 FTEs and $601,000 to provide support for the Institution's expanded facilities renovation and repair program, and 19 FTEs and $5,444,000 to develop and implement a structured maintenance program that includes preventive maintenance, periodic testing and inspection, and programmed maintenance. This effort will improve reliability of mechanical equipment, reduce maintenance and energy costs, and ensure safer facilities for visitors and staff. Also included is an increase of $1,070,000 to provide funds to replace obsolete desktop workstations with modern systems. These new systems will provide the foundation that is necessary to complement the Institution's newly implemented Enterprise Resource Planning system.

National Air and Space Museum, Udvar-Hazy Center ( + 8 FTEs and + $7,769,000) - The increase requested for FY 2004 provides funds to continue preparing for the December 2003 opening of the Udvar-Hazy Center at Dulles. These funds will be used for the preparation of the collections for transport from the Garber Facility in Suitland, Maryland, installation of the artifacts at the Center for public display, and the development of a new, regional education outreach program. The funds will also provide outsourced services for security, building and grounds upkeep, and information technology.

National Museum of the American Indian, Mall Museum (+103 FTEs and + $13,658,000) - The requested increase includes 44 FTEs and $11,800,000 for the National Museum of the American Indian (NMAI) to continue preparing for the opening of the NMAI Mall Museum in September 2004. The requested funds will be used to complete the development of three long-term exhibitions, provide education and cultural art programs and visitor services, complete the move of the collections from New York, and develop the Mall Museum infrastructure. The request also includes 59 FTEs and $1,858,000 for facilities maintenance and operations, including security, to protect and maintain the buildings and grounds of the new Museum.

Other Institutional Priorities (+4 FTEs and + $ 1,525,000) - The

Institution requests an increase of 4 FTEs and $1,525,000 to keep key areas in scientific research and public programming viable. The infusion of new resources in these areas will stimulate initiatives designed to pursue scientific innovation and discovery and to enlarge the Smithsonian's audiences. Included are an increase of 1 FTE and $1 72,000 to manage the VERITAS (Very Energetic Radiation Imaging Telescope Array System) program at the Smithsonian Astrophysical Observatory, and an increase of $828,000 to implement the Science Commission's recommendations to strengthen the Institution's fellowships and scholarly research award programs. Also included is 1 FTE and $61,000 to provide critical staff support in the Center

for Latino Initiatives for expanded programming aimed at reaching the Latino community, and $189,000 for the Latino pool to enhance support for research, exhibitions, collections, and educational programs that recognize Latino contributions to the United States' heritage and culture.

An increase of $100,000 is included to allow the Smithsonian Institution Libraries to purchase electronic journals and databases, and to help cover the annual inflation need for purchasing scientific books and journals. An additional $100,000 is requested to implement a Web application that will satisfy requirements defined by the Presidential Advisory Commission on Holocaust Assets in the United States. Finally, the request includes 2 FTEs and $75,000 for the Office of Contracting to oversee initiatives in competitive sourcing, performance-based service contracting, and e-commerce in contracting, as well as to respond to increased workload associated with the Institution's purchase card program.

NO-YEAR FUNDING-The following table provides the details of the FY 2004 request for no-year funding.

Smithsonian Institution FY 2004 S&E No-Year Funding Request to Congress

(Dollars in Thousands)

TWO-YEAR FUNDING-The Institution is also requesting that the funds requested for fellowships and scholarly studies awards ($828,000) be included as two-year funds, due to the multi-year funding cycle associated with these programs.

UNALLOCATED REDUCTIONS - The Smithsonian is facing severe financial challenges, which have been reviewed and verified by outside experts. For example, the Smithsonian's facilities are in disrepair. The National Academy of Public Administration, in its July 2001 report on the Institution's facilities needs, noted the dilapidated state of the Institution's infrastructure and indicated that a total of $1.5 billion would be required over the next ten years in order to bring the Institution's facilities up to an acceptable state.

The Science Commission, appointed in 2001 by the Board of Regents, recently issued its report, which documented the understaffing for science and called upon the Institution to renew its dedication to science by improving leadership, communications, and funding. The Commission's report noted the erosion in Smithsonian funding for science, brought about at least in part by insufficient increases to cover the cost of annual mandated pay raises. The Commission urged the Smithsonian to seek funding to cover these costs and to seek funding for science fellowships, as included in this budget.

A workforce analysis recently completed by outside consultants determined that the Smithsonian lacks the staff necessary to carry out its mission. The Institution is developing a workforce strategic plan to address its future human capital needs. The Smithsonian budget is also stressed by the opening of two major new museums in FY 2004, the National Air and Space Museum Udvar-Hazy Center and the National Museum of the American Indian on the Mall, in accordance with Congressional direction.

As a result, the Institution is committed to finding $1 2,349,000 in unallocated reductions in FY 2004 in order to provide the priority increases requested in the FY 2004 budget.

Plan for Meeting FY 2004 Reduction of $12,349,000 - The FY 2003 budget request includes an unallocated reduction of $12,795,000. Because some of the FY 2003 reductions may be of a one-time nature and not recur in FY 2004, the Institution may have to identify additional reductions above the $12,349,000 assumed in FY 2004. The Smithsonian will address this reduction by continuing or expanding, as necessary, personnel actions begun in FY 2003 and by implementing new personnel cost saving actions that could include a hiring freeze, buyouts, reductions in force, and/or furloughs. If taken only through personnel actions, this reduction could affect as much as 10% of the Smithsonian workforce. In order to lower this percentage, the Smithsonian may reduce the programmatic increases requested in this budget.

FEDERAL RESOURCE SUMMARY BY PERFORMANCE OBJECTIVES

In accordance with the President's Management Agenda initiative on budget and performance integration, the Smithsonian has developed its FY 2004 budget request by reviewing all resources, both base amounts and identified increases or decreases, in relation to the Institution's performance plan. In the sections that follow, detailed justifications are provided for all funding and FTEs by Institutional strategic goal and by performance objective under each goal, and specific annual performance goals are provided for each objective for which funding is requested.

The following table provides a summary of the Institution's FY 2003 and FY 2004 estimates, and the proposed changes, by strategic goal and performance objective.

Federal Resource Summary by Performance Objective ($ in Thousands)

' FY 2003 total does not include offsetting reduction of $12,795,000 and rescission of prior year funds of $14,100,000; FY 2004 does not include offsetting reduction of $12,349,000 and remaining portion of FY 2003 reduction that is not permanently resolved.

ANACOSTIA MUSEUM AND CENTER FOR AFRICAN AMERICAN

HISTORY AND CULTURE

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Anacostia Museum and Center for African American History and Culture is dedicated to enhancing the quality of the nation's educational and cultural life through increasing understanding of the historical and social experiences and creative expressions of people of African heritage living in the Americas. The Museum serves as a leading advocate for the collection, preservation, documentation, and care of materials that reflect African American family and community history and traditions.

To achieve the Institution's goal of Public Impact, the Anacostia Museum is focusing its resources on presenting original exhibitions that explore unique aspects of the African American experience, using historic artifacts that record the lived experience of African American citizens and document exceptional and everyday events. Learning opportunities through church-based partnerships will be expanded to reach more young people in the after-school hours. Online public access to scholars in African American history and to the Museum's collections will be enhanced. To support the goal of Management Excellence, resources will be dedicated to increasing capacities in human resources, technology, financial management, and facilities management, and to supporting the care of national collections.

For FY 2004, the estimate includes an increase of $44,000 for necessary pay for existing staff funded under this line item and a decrease of 1 FTE and $118,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the goal of Public Impact, the Museum uses scholarship, research, exhibitions, publications, and educational and public programs to reach a wide and diverse audience. The Museum also takes national leadership in examining and presenting contemporary African American popular culture with particular emphasis on film, television, and the performing arts.

The Museum plans to increase both African American and non-African American visitation to its facility in southeast Washington by offering unique and compelling exhibitions, expanding its program of learning opportunities for families and students, and enhancing the diversity of its audience through offering unique commemorative performances and film-based programs. The Anacostia Museum will expand its unique presence on the Web by expanding the Online Academy, a first-of-its-kind offering on an African American museum website. As part of its national outreach efforts, the Museum will

continue providing website visitors with unique perspectives on collecting and preserving African American material culture using some of the nation's most well-known scholars.

In FY 2004, the Museum will present three major exhibitions based on Smithsonian scholarship. The first, New Visions: Emerging Trends in African American Art, will introduce audiences to new artists who are impacting African American aesthetics. The second exhibition. Peep This: Hip Hop and Visual Culture will examine photography and visual arts associated with the musical genre called hip hop. /, Too Sing America: The African Narrative in American History will examine the use of individual accounts as gateways to understanding large historical themes. Work will continue on Come Sunday: Adornment and Dress Among the Enslaved, the first major exhibition to explore dress and adornment traditions within the context of slavery. These exhibitions and their companion programs are expected to significantly increase Museum visitation, and increase awareness of the Museum's scholarship in history and contemporary culture.

To broaden national outreach and make Smithsonian scholarship and resources available to wider audiences, the Museum will develop a traveling exhibition {Jubilee: African American Family and Community Celebrations) and two publications, one specifically for youth, focusing on African American celebrations and holiday traditions. These activities will begin in the fall of 2004. The Museum will launch another unique national outreach initiative through a series of programs and activities focusing on African American literature for children and youth, and will develop an after-school program focusing on the collection and care of family and community history materials.

The reopening of its renovated facility in FY 2002 has provided the Museum with the opportunity to focus on the unique role information technology plays in efforts to preserve and interpret African American history and culture, specifically the use of collections information systems and digitization of collections. The expanded focus on advocacy for the collection of family and community history has created the need to focus on staff development and training, ensuring that the staff is capable of leadership in this arena.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first class exhibitions and other public programs (3 FTEs and $212,000)

• Achieve 10% increase in visitation to the Anacostia Museum

• Install and present three major new exhibitions: New Visions, Peep This, and /, Too Sing America

• Install two exhibitions in the Kinard Gallery focusing on collections acquisitions

Maintain the high caliber of Smithsonian research (1 FTE and $137,000)

• Increase scholarly peer review of Museum products by 10% Expand a national outreach effort (1 FTE and $109,000)

• Develop the traveling exhibition, Jubilee: African American Family and Community Celebrations

• Develop two publications on African American family and community celebrations, including one specifically for children and youth

Provide diverse national audiences with high-quality education resources (7 FTEs and $435,000)

• Continue to offer the Summer Academy for elementary school students and increase participation by 10%

• Offer an initial After-School Academy with services to approximately 125 students

• Continue presentation of Martin Luther King Commemorative Program and film screenings, with a goal of increasing attendance by 10%

• Expand the Online Academy by adding 5 presentations, and achieving a 5-10% increase in website visits, including a 5% increase in length of visit

• Create internal capacity to manage collections information systems and create public access to these systems through the hiring of an information technology specialist

Judiciously build, refine, care for, and manage the national collections (4 FTEs and $309,000)

• Add one additional major collection in one of the following categories: archives, art, and family or community history

• Complete installation of Collections Information System

• Digitize and make 30% of the Museum's collection electronically accessible

Management Excellence

Strengthen an Institutional culture that is customer-centered and results oriented (1 FTE and $204,000)

• Increase constituent satisfaction by 10% through completing the Museum's organizational alignment

Modernize the Institution's financial management systems and functions (3 FTEs and $257,000)

*

• Implement detailed project and financial tracking to insure optimal management of the Museum's gifts and grants.

Strengthen human capital resources (2 FTEs and $190,000)

• Provide for expanded human resources development for career development, information management, and training 50% of staff to enhance focus on family and community history collection

Maintain mutually beneficial relations with the news media and with federal, state, and local governments (0 FTEs and $54,000)

• Increase press/media coverage by 10%

NONAPPROPRIATED RESOURCES-General trust funds provide support for salaries and benefits of administrative personnel and development activities. An aggressive public relations and fundraising campaign in FY 2004 is planned to significantly increase donor or sponsor designated funds to support costs related to specific exhibitions, programs, or publications.

ARCHIVES OF AMERICAN ART

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Archives of American Art (AAA) is to collect, preserve, and make available primary sources that document the history of the visual arts in the United States, to foster research, and to connect the public to a uniquely American cultural heritage. The AAA has the largest collection of primary source materials documenting the history of the visual arts in the United States from the eighteenth century to the present.

To achieve the Institution's goal of Public Impact, AAA is focusing on making more of its collections and resources available to researchers, and completing small, compelling exhibits. Resources will also be used for redesigning AAA's website, and for improving systems and processes for collections management. The goal of Management Excellence will be met by implementing state-of-the-art technology methods and techniques, and continuing to improve fund-control processes and staff training.

For FY 2004, the estimate includes an increase of $47,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the Institution's goal of Public Impact, AAA is directing its resources to activities that will expand availability of collections and resources via the World Wide Web, attract new and larger audiences, and foster art-historical and humanities research. In FY 2004, AAA will increase the number of digitized documents, photographs, and oral histories in its growing digital repository, concentrating on increasing online access to AAA's vast holdings of photographs of artists and providing an online order system. AAA will also increase the number of online finding aids on its website by devoting resources to fully processing and creating finding aids for several large collections. AAA will also improve the design and structure of its website as well as its Web-based online catalog to support varied means of searching and exploring AAA's collections. Efforts to assess collections management procedures and workflow, and maintain trained staff as a result of system upgrades, will be ongoing during FY 2004.

AAA will continue to produce small, compelling exhibitions that reflect the richness and cultural diversity of its collections and make tangible the firsthand accounts of America's artists, dealers, collectors, and critics, for both the general public and the scholarly community. Through strategies such as collaboration with other institutions, developing special exhibitions, securing multiple venues for exhibitions, and promoting loans of significant documents, AAA will increase its audience and strengthen its alliances with affiliate museums and other institutions. Exhibitions for FY 2004 include The National Academy of Design: Bearing Witness; selections from the papers of metalsmiths, the third in a series of small exhibitions about the history of American craft; and Getting the Picture: The Art of the Illustrated Letter, Part II. Resources will also be devoted to presenting online versions of exhibitions to reach an even wider audience. AAA will continue to lend documents to exhibitions in museums and other institutions around the world. During FY 2004, AAA will also build on its Web-based, dynamic online system for delivering subject-focused guides to its collections.

The goal of Management Excellence will be addressed in part by devoting resources to technology-based solutions to collections management systems and processes. Achieving this goal requires active participation in Smithsonian-wide IT planning related to website and online catalog management systems, as well as ongoing refinement and enhancement internally of AAA's Web-based Digital Collections Database. In addition, FY 2004 will be a pivotal year for realizing the benefits of AAA's multi-year barcoding initiative for collections tracking and inventory control. Management Excellence will also be achieved through initiating detailed spending plans for each individual fund and/or project within AAA and performing internal audits on various administrative processes and procedures. AAA will also address mission-critical training needs after completion of assessments.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Expand a national outreach effort (7 FTEs and $456,000)

• Target 50% of exhibitions to appeal to multiple interests and new audiences

• Increase by one the number of subject-focused online guides

• Add approximately 200 documents, photographs, and oral histories to AAA's digital repository

• Increase by 4-5 the number of online finding aids

• Complete redesign of AAA's website to provide increased national and international access to AAA's collections and resources

Judiciously build, refine, care for, and manage the national collections (8 FTEs and $675,000)

• Implement Phase 2 of AAA's plan for assessment of collections management procedures and workflow

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (4 FTEs and $595,000)

• Implement controlled spending plans for 100% of each fund source and/or designated code

Modernize the Institution's information technology systems and

functions (2 FTE's and $86,000)

Complete Phase 1 of the development of Web-based, database-driven IT infrastructure for digital projects

Implement barcoding of all storage containers, microfilm, and video and motion picture collections

•

•

Strengthen human capital resources (1 FTE and $37,000)

• Implement training plans after assessment of changes in functions to determine mission-critical training needs

NONAPPROPRIATED RESOURCES-AAA is focusing on launching its 50 th Anniversary Campaign by planning special events around the country intended to expand AAA's visibility and broaden our sponsorship. Funds raised will be used to fund staff and programs such as publication of the Archives' Journal; processing and preservation of selected papers; documenting through oral interviews selected collections, such as the Nanette L. Laitman Documentation Project for Craft and Decorative Arts in America; and establishment of a digital imaging center.

CENTER FOR FOLKLIFE AND CULTURAL HERITAGE

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Center for Folklife and Cultural Heritage produces research-based public programs that promote the understanding and continuity of traditional grass-roots regional, ethnic, tribal, and occupational heritage in the United States and abroad. The Center maintains the Ralph Rinzler Folklife Archives and Collections, a repository of documentary sound recordings, photographic images, and reports deemed a national treasure through the Save America's Treasures program. The Center produces the annual Smithsonian Folklife Festival on the National Mall every summer —long recognized as the premier event of its kind. The Center produces Smithsonian Folkways Recordings, which among more than 2,000 published titles includes several Grammy

award winners. The Center also produces educational materials —websites, kits for schools, documentary films, publications, traveling exhibitions, conferences, and training programs examining cultural traditions and the means of conserving them for the good of communities and the broader society. The Center cooperates with federal, state, and international agencies to advance the nation's interest in cultural matters.

For FY 2004, the estimate includes an increase of $43,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the Smithsonian's goal of Public Impact, the Center will continue its annual production of the Smithsonian Folklife Festival on the National Mall. This museum of living cultural heritage is very popular with the public and the media. In 2002, the Silk Road Festival drew a record number of visits —over 1.3 million. The 2004 Festival will feature a variety of American and international musical, artistic, culinary, and occupational traditions from a diversity of cultural groups. In 2004, the Center will also take on the added responsibility of working with the WWII Memorial Commission to organize a high-quality public event involving hundreds of thousands of veterans and their families to mark the Memorial's dedication. To apply Smithsonian research to its work and collections, the Center will continue to study its documentary sound, photographic, and ethnographic collections as well as generate new materials through the organization of research projects necessary to produce the Festival and Smithsonian Folkways Recordings. In order to bring Smithsonian education resources to the nation, the Center will publish its recordings and disseminate them across the country. It will also continue to shift resources toward the Web-based distribution of materials and lesson plans to increase efficiency. To better serve the needs of its Festival visitors, the Center will use the increase requested to provide better services and improve security.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public impact

Offer compelling, first-class exhibitions and other public programs (9 FTEs and $7,020,000)

• Achieve visitation of 1 million visits to the Smithsonian Folklife Festival

• Feature more than 300 musicians and artists from cultural communities important to Americans

• Generate 400 media stories about the Festival

• Generate 90% approval ratings of the festival by the public and by participants

• Produce with the WWII Memorial Commission a high-quality public event on the Mall to celebrate the dedication of the new Memorial

Provide diverse national audiences with high-quality education resources (5 FTEs and $613,000)

• Generate 400 audio recordings, 200 video tapes, 5,000 images, and at least 100 narrative reports documenting contemporary community-based cultural traditions for preparation of the Festival, Smithsonian Folkways Recordings, and other Center projects

• Generate more than 1 2 million hits on Center webpages

• Produce at least 1 8 documentary recordings through Smithsonian Folkways Recordings distributed nationwide

• Travel at least two exhibitions generated from the Festival and other projects throughout the United States

Deliver the highest quality visitors' services (0 FTEs and $158,000)

• Provide services for the disabled at the Festival by contracting for eight sign language interpreters

• Provide four audio loops at all music stages to provide cassette copies of all the programs for people with limited vision

• Provide two golf carts and five wheel chairs for people with disabilities

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (4 FTEs and $163,000)

• Coordinate with the central Smithsonian system and modernize the current tracking system used for Festival planning

NONAPPROPRIATED RESOURCES —General trust funds provide support for salaries and benefits of personnel, fundraising, and general program support. Donor/sponsor designated funds provide support for costs related to specific Festival programs and educational projects. Income from sales of Smithsonian Folkways Recordings pays staff salaries, direct, and indirect costs for its operation.

NATIONAL AIR AND SPACE MUSEUM

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the National Air and Space Museum (NASM) is to preserve and display aeronautical and space flight equipment and data of historical significance to the progress of aviation and space flight; to develop educational materials and conduct programs to increase the public's understanding of, and involvement in, the development of aviation and space flight; and to conduct and disseminate new research in the study of aviation and space flight and related technologies.

To achieve the Institution's goal of Public Impact, NASM is focusing its resources on installing the first exhibits, preliminary educational programs, and visitor support services for the new Steven F. Udvar-Hazy Center (Dulles Center) in Virginia. The Udvar-Hazy Center will house the Museum's collection and restoration facilities, enabling the Museum to exhibit over 2,600 artifacts, including its largest aircraft and spacecraft. NASM will also continue to dedicate resources to high-quality research programs through its Aeronautics, Space History, and Center for Earth and Planetary Studies to meet the goal of Focused, First-Class Science. Resources will also be dedicated to providing building management and security for the new facility to meet the goal of Management Excellence.

For FY 2004, the estimate includes a program increase of 8 FTEs and $5,130,000 to continue preparing for the opening of the Udvar-Hazy Center, an increase of $387,000 for necessary pay for existing staff funded under this line item, a decrease of $520,000 for one-time costs to move and install artifacts at the Udvar-Hazy Center as discussed under the Non-recurring Costs section of this justification, and a decrease of 65 FTEs and $3,901,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations. Also justified here but included under the Facilities Maintenance and Operations line items is $2,639,000 for contractual services for facilities management.

MEANS AND STRATEGY

To achieve the goal of Public Impact, NASM is directing its resources to activities that will result in increased visitation to both its Mall Museum and the new Udvar-Hazy Center. December 1 7, 2003, is the centennial of powered flight, and NASM will be engaged in presenting new programs in connection with this event. NASM is strengthening its collection management programs, including its collections documentation, collections preservation, and online management services to support the move to the new Udvar-Hazy Center. NASM also is developing new Web-based interactive and education programs that broaden the public's understanding

of the historical significance of America's role in aviation and in space exploration. At the Udvar-Hazy Center, NASM plans to install up to 71 major aircraft, the first of which will be those in the World War II section (including a completely restored Enola Gay), the SR-71 Blackbird, and selected WWI and commercial aircraft. Many of the smaller aircraft will be hung from the 10-story-high arched beams in the Aviation Hangar and have never before been seen by the general public. Achieving these activities in FY 2004 will provide new attractions aimed at increasing the number of visitors to the new Center, and by using new exhibition techniques, will also allow enhanced understanding of aviation and space history, and stir additional interest in these areas among new audiences.

Education at the Udvar-Hazy Center will include non-traditional educational programs as well as the more traditional student programs and teacher training. The non-traditional programs will include hands-on family science programs, and artifact-related historical lectures. Many of these may be broadcast on the Web to classrooms around the nation.

Visitor services programs will also be expanded at the Udvar-Hazy Center. As a national facility and regional destination, the Udvar-Hazy Center has a unique opportunity to work with the region and the Commonwealth of Virginia to support educational and cultural programs. NASM will be implementing many of these new programs in FY 2004. NASM is also working with local and state authorities on transportation issues associated with the Center.

To meet the goal of Focused, First-Class Science, NASM will continue its research programs and will present historical and scientific programs to the nation. With the centennial of powered flight occurring during FY 2004, NASM will be uniquely able to provide curatorial expertise in the areas of air and space flight. During this period, special programs, books, and seminars will be offered to the public. NASM will continue to devote resources to its Center for Earth and Planetary Studies, the unit that performs original research and outreach on remote sensing of environmental change, planetary science, and terrestrial geophysics. The Center is uniquely situated to contribute to research in these areas because of the collaborative programs developed with other agencies such as NASA, including an active research program in planetary and terrestrial geology and geophysics using remote sensing data from Earth-orbiting satellites and space missions.

The goal of Management Excellence will be addressed in part by developing the infrastructure needed to support the Udvar-Hazy Center, a facility 3 72 times the size of the existing Mall location. To meet these needs, and in line with the President's Management Agenda item on competitive

outsourcing of federally funded activities, NASM and the Smithsonian Institution have competitively bid the infrastructure support operations. The facilities bid was the first time the Smithsonian Institution had used its online Web capabilities to provide immediate access to proposal documents and to answer contractor questions as quickly as possible.

The Udvar-Hazy Center will be 30 miles from central Smithsonian support services. To maintain the facility in a cost-effective manner, a contracted workforce that can draw on the necessary short-term specialized maintenance skills will free NASM from maintaining that skill base for a single facility. NASM has conducted studies that show that a contracted workforce with specific performance requirements and an on-call staff for major maintenance will reduce operating costs. Competitive outsourcing options at the Udvar-Hazy Center include building cleaning and maintenance, guard services, horticulture, and information technology.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (51 FTEs and $4,973,000)

• Open the Steven F. Udvar-Hazy Center in December 2003, the centennial of powered flight, including the first three exhibit stations, kiosks, and labels

• Open the new exhibit The Wright Brothers and the Invention of the Aerial Age in the fall of 2003

• Prepare for the first major upgrade to the Air Transportation Hall since 1978

• Plan for programs and exhibits through FY 2008 Provide diverse national audiences with high-quality education resources (4 FTEs and $671,000)

• Implement the first educational programs at the Udvar-Hazy Center

• Expand current Web broadcast educational programs to new audiences

• Develop two educational programs to support the new Wright Brothers exhibit

Judiciously build, refine, care for, and manage the national collections (53 FTEs and $7,713,000)

• Continue collections preparation and move up to 29 major space and 29 major aeronautical artifacts to the Udvar-Hazy Center

Deliver the highest quality visitors' services (7 FTEs and $598,000)

• Develop and implement the new visitor services programs for the Udvar-Hazy Center, including visitor guides and similar programs

• Build a relationship between the Udvar-Hazy Center and other regional cultural and educational services by evaluating options for joint programming and information sharing

• Expand current visitor services programs at the Mall Museum to include a new visitor services desk and a clearer wayfinding program

Focused, First-Class Science

Strengthen capacity and establish preeminence in science research (2 FTEs and $242,000)

• Provide geophysical expertise to the European Space Agency and the NASA Mars Mission

• Provide scientific support and content to the Planets Gallery Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (6 FTEs and $402,000)

• Utilize spacecraft data to understand planetary climate change on Mars and publish at least two peer-reviewed scientific papers

• Continue membership on two Mars FY 2005 missions

• Continue peer-reviewed proposals to support three research personnel

• Participate in educational and professional symposia, including hosting one major symposium on shared concerns of air and space museums, and contribute to four other international committee meetings throughout the year

• Support future Mars missions by contributing expertise to Mars landing sites selection, instrument development, and analysis of surface characteristics related to past climate

Develop the intellectual component of the collections by conducting collections-based studies (23 FTEs and $2,450,000)

• Provide curatorial support for upcoming exhibits including the Air Transportation Gallery, and the Wright Brothers exhibit

• Continue research into new areas of aeronautics and space history

• Continue documentation and management of the national collection, including 30 enhanced records for major objects in the collection

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (19 FTEs and $3,651,000)

• Manage facilities integration including prime and subsidiary contractors and security outsourcing contracts for the Udvar-Hazy Center facilities operations and security programs

• Maintain an excellent working relationship with NASM stakeholders including federal, state, local, and business constituencies through annual briefings

Modernize the Institution's information technology systems and functions (9 FTEs and $798,000)

• Ensure that Udvar-Hazy Center new IT installations are operational

• Manage and upgrade the collection information system as NASM continues its move to the Udvar-Hazy Center

FY 2004 REQUEST-EXPLANATION OF CHANGE

The FY 2004 budget estimate includes a net increase of $1,096,000, and a net decrease of 57 FTEs. Included are an increase of $387,000 for necessary pay for existing staff and a decrease of $520,000 for one-time costs, both of which are justified in the Non-discretionary Costs section of this budget. Also included is a decrease of 65 FTEs and $3,901,000 for transfer of facilities management services to the Office of Facilities Engineering and Operations. NASM is seeking a program increase of 8 FTEs and $5,130,000 to support operations during the first full operational year at the Udvar-Hazy Center at Dulles. In addition, a justification for $2,639,000 for facilities management contractual services at the Udvar-Hazy Center is included here, but funding is included in the Facilities Maintenance and Operations line items. The increases are as follows:

• ( + $3,785,000) This increase is one-time funding to continue preparing, moving, and installing the collection at the Udvar-Hazy Center. This includes preparing the collection for transport from the Garber Facility to the Udvar-Hazy Center, and the transportation and installation of the artifacts.

• ( + $792,000, +3 FTEs) NASM will continue the purchase of rails, kiosks, and barriers for the Udvar-Hazy Center. Of the increase, $494,000 is onetime funding for the rails, kiosks, and barriers to be installed around the collections as they are delivered and installed by the collections management department, and for additional exhibit cases purchased to display smaller artifacts as they arrive. The balance of the increase is for three new on-site exhibit production staff, who will be assigned to install and maintain the new exhibits. In addition, 6 FTEs responsible for cleaning exhibits have been transferred to exhibit production from facilities management.

• (+ $98,000, + 1 FTE) An increase is requested to support new educational outreach programs for the facility. This position will be directed toward working with regional educational programs including new teacher-in-residence opportunities.

• ( + $287,000, + 2 FTEs) To support Udvar-Hazy operations including contractor support for ongoing activities, museum management, and related programs.

• ■ (+ $103,000, + 1 FTE) This increase is to support full operations at the

Udvar-Hazy Center including oversight of information technology contractor performance; the Center's technology support will be outsourced. A limited number of NASM staff will be assigned to oversee and direct contractor performance.

• ( + $65,000, + 1 FTE) The greater emphasis on visitor services in a regional location necessitates another full-time on-site staff member to support visitor requirements.

• In addition to the above items, the FY 2004 budget estimate includes an increase of $2,639,000 for facility management support for the Udvar-Hazy Center. These funds will provide contractual services for cleaning, maintenance and facilities operations for the Center. Funding for these services is included under the Facilities Maintenance and Facilities Operations line items.

If the FY 2004 request is not allowed, NASM will not be able to open the new Udvar-Hazy Center as planned. A delayed opening, with fewer exhibits and education programs in place, will mean lower visitation than projected. This in turn will affect the Museum's ability to achieve the objective of providing the public with a broader understanding of the significance of America's role in aviation and space history. Management Excellence will be compromised if the required funds for outsourcing and supervising the building maintenance and security functions are not provided. Finally, resources may need to be shifted from research in order to move forward with priority needs in relation to opening the new Center, which will affect the quality and sustainability of ongoing collaborative research efforts.

NONAPPROPRIATED RESOURCES-General trust funds provide support for research, education, exhibitions, and fund raising, including salaries and benefits. Donor/sponsor designated funds provide support for costs related to specific programs and projects. The Udvar-Hazy Center capital campaign is raising the funds to build the museum extension, and has raised $220 million towards the project's goal, including $66 million from the principal sponsor, Steven F. Udvar-Hazy, and $10 million from the James S. McDonnell Foundation for the Space Hangar. The Commonwealth of Virginia is supporting the Center with site preparation and road infrastructure valued at $34 million, with an additional $9.6 million in financial support from state and local governments. An additional $1.5 million grant from the Commonwealth of Virginia for a point-to-point bus service linking the Mall Museum and the Udvar-Hazy Center is also being finalized. Government grants and contracts support research and other scientific activities.

NATIONAL MUSEUM OF AMERICAN HISTORY

NATIONAL MUSEUM OF AMERICAN HISTORY, BEHRING CENTER

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The National Museum of American History, Behring Center (NMAH) dedicates its collections and scholarship to inspiring a broader understanding of our nation and its many peoples. It creates learning opportunities, stimulates imaginations, and presents challenging ideas about the country's past. This mission statement serves as a guide to staff as they develop education and public programs, open new and update existing exhibitions, conduct research, and enrich the collections.

To achieve the Institution's goal of Public Impact, NMAH is developing and presenting a wide range of compelling, innovative exhibitions both on site and across the nation; seeking strategic collaborations to bring its scholarship, collections, and programs to a national audience; continuing to develop education and public programs specifically to attract new and underserved audiences; and proceeding with a new strategic planning effort to ensure that NMAH meets the stated mission, building on previous plans and in particular the recommendations of the Blue Ribbon Commission that reported to the Regents in the spring of 2002.

To achieve the Institution's goal of Management Excellence, the Museum will continue to emphasize diversity and equal opportunity in all of its staffing, recruiting, and training programs. Additionally, NMAH will review its overall staffing with the objective of eliminating constraints on its ability to accomplish established goals and objectives.

For FY 2004, the estimate includes an increase of $546,000 for necessary pay for existing staff funded under this line item and a decrease of 36 FTEs and $1,729,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the Institution's goal of Public Impact, NMAH will present a wide range of exhibitions. Opening in FY 2004 is America on the Move, a 27,000-square-foot exhibition about transportation and how it has shaped American history, our country, and our lives. Also, NMAH will host a traveling exhibition on The Tumultuous 50s and hopes to mount two temporary exhibitions —on the impact of Brown v. Board of Education and the history of voting. During FY 2003 and FY 2004, several major exhibitions will also be in preparation, including Price of Freedom, the history of America's armed forces, and For Which It Stands, the story of the American flag in American life, which will feature the preserved Star-Spangled Banner. The Museum is working on several important traveling

exhibitions in partnership with the Smithsonian Institution Traveling Exhibition Service (SITES). Foremost among these are the First Ladies exhibition and the Sports exhibition both of which will debut in FY 2004 and travel throughout the country. All these exhibitions present original research by curators and museum specialists and showcase objects from our collections. Finally, NMAH launched this past year the first of what is expected to be a new series of collections-based websites; this site presents the surveying instruments collection and will serve as the prototype for future sites that provide public access to research stored in NMAH systems.

The Museum will continue to develop exhibitions and public programs —such as the exhibit Through My Father's Eyes and showcases of special objects from the collections for both Hispanic Heritage Month and Asian Pacific American Month —designed to attract new and underserved audiences.

NMAH will continue to produce a full schedule of education and public programs, including OurStory programs, family festivals, and exhibition related programming. A variety of educational programming and products — from curriculum materials and electronic fieldtrips to interactive Web experiences and Hands On History activities —will be developed to complement the America On the Move exhibition and will be made available to visitors, schools, and audiences around the country in FY 2004. Audience research and educational planning will continue for future exhibitions.

The Museum has made significant progress in maintaining Multi MIMSY, its automated collections information system. Work continues to be focused in three major areas: conversion of collections data from legacy systems, manual entry of new data for acquisitions and loans and updated collections information, and digitizing images of collections objects for linking to records.

The $80,000,000 gift from Kenneth Behring in FY 2001 has allowed the Museum to begin planning for the renovation of its public spaces, starting with the development of a preliminary concept study that integrates the recommendations of the Blue Ribbon Commission. The concept study will become part of a larger effort to implement improved visitor experiences and changes to the infrastructure of NMAH. In FY 2003, building on the transformation planning effort, NMAH will develop a new set of exhibition goals, outreach objectives, and collecting plans, along with the design of a dramatic new public space plan. Funded construction will begin in FY 2004.

To achieve the Institution's goal of Management Excellence, NMAH will continue recruiting visits to minority universities and those that have a

significant minority student population. Additionally, the Museum will continue advertising in professional publications and other media that will ensure that our opportunities are widely known and provide us with a diverse population of candidates. NMAH will analyze the staffing structure to identify shortages and skill deficits and undertake actions to remedy those identified.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (64 FTEs and $5,377,000)

• Open the America on the Move permanent exhibition

• Open the traveling exhibition, The Tumultuous 50's

• Open temporary exhibitions on Brown v. Board of Education and the history of voting

• Complete demolition and construction and begin installation of the Price of Freedom permanent exhibition

Maintain a high caliber of Smithsonian research (59 FTEs and $4,280,000)

Complete research on two future exhibitions

Establish websites for all major exhibitions opening in FY 2004 Provide diverse national audiences with high-quality education resources (44 FTEs and $4,129,000)

Complete work on all educational programming and products

related to the exhibition America on The Move

Complete all educational planning related to the new Welcome and

Education service centers

Open traveling exhibitions: First Ladies and Sports

Initiate five new affiliations as part of the Smithsonian Affiliations

program

Execute plans for Latino programming during Hispanic Heritage

Month

Hold continuing programs for Black History Month

Conduct several film programs sponsored by the Asian Pacific

American Initiatives Committee Judiciously build, refine, care for, and manage the national collections (28 FTEs and $2,303,000)

• Convert 90,000 records, migrate 20,000 records, and manually enter 10,000 records into the Museum's Multi MIMSY System

Deliver the highest quality visitors' services (12 FTEs and $1 ,043,000)

• Begin the funded construction portion of the Public Space Plan

• Maintain industry standards relating to maintenance, cleanliness, and quality

Management Excellence

Strengthen human capital resources (17 FTEs and $1,691,000)

• Complete analysis of staffing structure and skill deficits

• Begin implementation of recommendations to improve staffing structure and eliminate skill deficits

Recruit, hire, and maintain a diverse workforce and promote equal opportunity (11 FTEs and $950,000)

• Complete three recruiting trips

• Advertise 75% of staff positions above the grade of GS-1 3 in media that will normally guarantee a widely diverse population of candidates

NATIONAL POSTAL MUSEUM

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The National Postal Museum (NPM), through its collection and library, is dedicated to the preservation, study, and presentation of postal history and philately. The Museum uses research, exhibitions, education, and public programs to make this rich history available to a wide and diverse audience.

To achieve the Institution's goal of Public Impact, NPM is focusing a portion of its resources on completing new exhibitions, renovating galleries, and providing Web access to the national philatelic collection. Resources will also be dedicated to the enhancement of its automated collections information systems to meet the goal of Management Excellence.

For FY 2004, the estimate includes an increase of $1 3,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, NPM will aim for increased visitation to both the Museum and its website. In FY 2004, NPM will renovate its former Stamps and Stories Gallery to become the premier venue for philatelic collections, and renovate the Duck Stamp Gallery with additional support from private donations. NPM will also continue to update exhibition hardware that is becoming obsolete and costly to repair. NPM will increase its U.S. stamp display, and acquire additional issues under a new collecting plan. NPM is also expanding its outreach effort to attract larger audiences, and will develop a consortium of international postal museums to exchange and showcase traveling stamp exhibitions. Additional records of the collection will migrate to eMuseum, making Web access to the national philatelic collection available to the public for the first time.

To achieve the Institution's goal of Management Excellence, NPM will focus on enhancing its automated collections information systems by adding additional records and digital images to its collections database.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (1 FTE and $113,000)

• Redesign, renovate, and install inaugural exhibit in the Philatelic Gallery

• Redesign and install new exhibition in the Duck Stamp Gallery

• Exhibit 500 new U.S. and international stamps Expand a national outreach effort (0 FTEs and $74,000)

• Develop and circulate two traveling exhibitions

• Increase presence at two philatelic stamps shows

• Implement results of comprehensive marketing plan to attract new audiences

• Provide Web access to the national philatelic collection by adding 5,000 records to eMuseum

Judiciously build, refine, care for, and manage the national collections (4 FTEs and $349,000)

• Create a new collecting plan

• Acquire 50 stamp issues missing from the national collection

• Add 7,500 records to The Museum System (TMS) collections database

• Add 10,000 digital images to TMS database

• Remove duplicate revenue stamps from philatelic collection

Management Excellence

Modernize the Institution's information technology systems and functions (1 FTE and $131,000)

• Complete the reconciliation of the legacy inventory records

• Replace exhibition hardware and related computer systems

NONAPPROPRIATED RESOURCES - NMAH trust funds provide substantial support for core museum functions such as research, conservation, publications, exhibitions, fundraising, and acquisitions. In addition, major projects and programs significantly depend on trust fund support. In FY 2004, supported in large part by a $10,000,000 gift from General Motors, the Museum will open a new 27,000-square-foot exhibition entitled America On The Move. Additionally demolition, construction and fabrication work will be completed on a permanent 20,000-square-foot exhibition entitled Price of Freedom that will replace the existing Hall of Military History and will open in FY 2005.

The United States Postal Service provides NPM an annual grant, which supports nearly seventy-five percent of its operational costs. These costs include salary and benefits for 37 FTEs, utilities, facility maintenance, security services, exhibitions, research, conservation, and educational programs. In FY 2004, the Museum intends to open an automation exhibit that depicts how mail moves, entitled More Than Magic, which is fully funded by private donations. NPM will also continue its annual philatelic lecture series, which is an endowed program organized to attract the philatelic community. Several new research projects sponsored by the Winton Blount Center Endowment are also scheduled for completion in FY 2004.

NATIONAL MUSEUM OF THE AMERICAN INDIAN

STRATEGIC GOALS: PUBLIC IMPACT, MANAGEMENT EXCELLENCE, AND

FINANCIAL STRENGTH

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of NMAI is to protect, support, and enhance the development, maintenance, and perpetuation of Native American cultures and communities through innovative public programming, research, and collections.

To achieve the goal of Public Impact, NMAI is focusing on "completing exhibitions and educational programs for the new Museum on the national Mall. This last Museum on the Mall represents the fulfillment of a commitment made to the indigenous peoples of this hemisphere and is a fitting monument to the living cultures of our lands. Through an innovative approach to the exhibitions, involving input from representatives of the cultures presented in them, and public programming that presents the contemporary voice of Native peoples, the Museum will educate and inform the public while countering widespread stereotypes.

For FY 2004, the estimate includes increases of 44 FTEs and $10,817,000 to support the Mall Museum opening and $552,000 for necessary pay for existing staff funded under this line item; and decreases of $5,703,000 to reduce one-time funding for exhibition preparation and installation ($4,903,000) and for communications cabling costs ($800,000) for the Mall Museum, and 1 3 FTEs and $672,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations. Also justified here but included in the Facilities Operations and Facilities Maintenance line items is an increase of 59 FTEs and $2,841,000 for central support in the areas of security, utilities maintenance, and related building engineering monitoring (33 FTEs and $1,858,000) and building maintenance services, supplies, and equipment (26 FTEs and $983,000).

MEANS AND STRATEGY

To achieve the goal of Public Impact, NMAI will focus on completing three major long term exhibitions: Our Universes, on Native cosmologies and philosophies; Our Peoples, on Native histories; and Our Lives, on Native identities; and a temporary exhibition featuring contemporary works of art by two prominent Native American artists, George Morrison and Alan Houser. To orient visitors to the exhibition, the Preparation Theater will present an 8-10 minute multi-media film. In addition, NMAI will produce a permanent Study Collection area featuring rotating and in-depth presentations revealing the breadth and scope of the NMAI collection, and an exhibition that honors local Native communities, Return to a Native Place. NMAI will also continue to direct resources to the changing exhibition program at the Heye Center in New York, celebrating its tenth anniversary in 2004.

Outreach efforts will bring the Museum and its resources to audiences through media such as the radio and the Web, and innovative outreach and training programs. These contacts will link external communities to audiences at the Mall Museum through technology and involvement in planning and programming. A Film and Video center will present the variety and excellence of Native productions.

In education, funding will allow for planning and development of programs seven days a week, including interpretative activities, cultural arts performances, demonstrations, and resource materials about Native American history and cultural heritage. Print, audio, and electronic materials will be produced to reach an audience of more than three million visitors, and inform those who are unable to visit. The Resource Center will provide daily information about Native peoples of the western hemisphere, including Hawaii, providing opportunities to correct stereotyping. A variety of tribal educational resources will be prepared in FY 2004, including curricula to be made available to local teachers before and after the opening of the Museum. Native boat building will be demonstrated and exhibited in the Potomac area, along with a variety of other activities.

Funds will be used to complete the collections move in FY 2004 and prepare collections images and text databases for broad access by Mall visitors and external audiences. In addition, staff will make research, film, video, audio, and photographic content developed for Mall exhibitions broadly available both in the Mall Museum and to Native American communities and public audiences, including through the Web.

All projections for NMAI's attendance have forecast extremely high visitation relative to the size of the building. Beyond the 50,000 square feet of public galleries, NMAI will program a theatre, the 10,196 square foot Potomac Center, a 5,726 square foot Resource Center, outdoor performance areas (in season), and numerous educational classrooms and presentation areas. NMAI staff will be used to oversee visitor pass systems, group and school tour programs, and management of volunteers, and to direct presentations in galleries and all public space and program areas to assure maximum use of all the educational resources of the building.

The goal of Management Excellence will be addressed in part by developing the infrastructure needed to support the new Mall Museum and its extensive, specifically designed educational spaces and technologies. Resources at the Cultural Resources Center and New York's Heye Center will be made available to Mall audiences by procuring technology-related equipment and software for the new Museum including a voice-over Internet

protocol, as well as increasing support for information resources and website enhancement. Office equipment not covered in the construction contract will be procured in FY 2004 for staff offices and workrooms. Funds will also be directed towards facility management to care for the new building and grounds and security for staff, collections, and visitors. The goal of Financial Strength will be addressed by continuing to use resources to secure private funds for Mall Museum construction and operations.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling first-class exhibitions (39 FTEs and $4,205,000)

• Ensure that the four opening exhibitions and eight public space installations are coordinated with the Mall building construction schedule and completed on time

• Develop effective exhibition guidelines and processes to ensure that exhibitions and public spaces are created in collaboration with Native communities and other museums, and attain the highest professional standards

• Design education programs linked to exhibitions to serve an estimated 8,000 visitors a day.

Expand a national outreach effort (39 FTEs and $3,483,000)

• Develop a signature film for the Mall Museum

• Provide daily information services about NMAI and Native peoples to the public using technology-based capacity at the Resource Center

• Develop strategies to extend Mall and Heye Center educational products and public programming to national audiences through Smithsonian affiliates and other venues

• Develop and adopt a strategy for using the Web to bring the Smithsonian to the nation and the world

Provide diverse national audiences with high-quality education resources (62 FTEs and $5,393,000)

• Produce and distribute initial publications and media products augmenting Mall opening exhibitions

• Present diversified and ongoing publications and living arts programs that will educate the public about the history and significance of Native cultures, including about 30 cultural arts programs each month once the museum opens, craft demonstrations, storytelling, discussions, music, dance, theater performances, seven books, one recording, and 12-15 printed pieces, including brochures and mailers

• Coordinate five community-based research heritage projects to expand the body of new Native scholarship to be used in developing programs and publications

Judiciously build, refine, care for, and manage the national collections (101 FTEs and $8,304,000)

• Prepare condition reports for and safely pack, track, unpack, and install approximately 6,000 collection objects, exhibit props, and mounts for the opening exhibitions of the Mall Museum

• Purchase equipment to reliably track environmental conditions and implement an integrated pest management program at the Mall Museum

• As part of the move process, create digital images for some 50,000 objects

• Enter CD-ROM location data for about 2,500 ethnographic-historic images

• Complete the collections move, with all 800,000 artifacts, 100,000 photographs, and 2,500 film and video items removed from New York facilities and relocated to CRC

• Complete disposition of all human remains

Deliver the highest quality visitors' services (6 FTEs and $623,000)

• Implement new systems for visitor passes, guidance, information, and services at the Mall Museum

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (48 FTEs and $5,559,000)

• Respond to all internal, OMB, Congressional, and other budgetary requirements accurately and on time

• Meet all NMAI and Smithsonian needs for procurement/travel management and reporting

Modernize the Institution's information technology systems and functions (20 FTEs and $4,435,000)

• Install and test all electronic, technology, and information management systems necessary for the opening of the Mall Museum

• Integrate NMAI collection databases and images representing over 800,000 artifacts and 100,000 photographs for greater public use and access

• Formulate, design, and launch a pilot technology initiative linked to the opening of the Mall museum that demonstrates the application of electronic technologies to fulfill NMAI's "fourth museum" (outreach) commitments

Strengthen human capital resources (5 FTEs and $302,000)

« Recruit highly qualified candidates with an emphasis on reaching out to Native communities to support the opening of the Mall Museum and to fill other vacancies

• Set up a cost-effective and efficient position management structure within the Museum and incorporate strategic goals and objectives into staff performance plans

Execute an aggressive, long-range facilities program (24 FTEs and $5,113,000) "

• Provide maintenance, security, and visitor support services for a seven-day-a-week operation open to the public at the George Gustav Heye Center (GGHC), and meet the facility requirements for the Mall Museum not included in the construction contract.

Financial Strength

Secure the financial resources needed for Institutional operations (16 FTEs and $1,193,000)

Set goals and priorities for substantially increased private donations

to sustain an annual support goal of $15 million

Maintain and manage growth of corporate members from current

level of 18

Fundraise for renovation of GGHC Pavilion and for gala to celebrate

GGHC's 10 th anniversary

Increase membership to 60,000-70,000

Invest 20% of the membership revenues in an acquisitions

program, and launch an aggressive marketing campaign for new

members

FY 2004 REQUEST-EXPLANATION OF CHANGE

The fiscal year 2004 budget estimate includes a net increase of 31 FTEs and $4,994,000. As in previous years, these resources are requested to remain available until expended. Included are an increase of $552,000 for necessary pay, a decrease of $5,703,000 in one-time prior-year funds (as discussed in the Non-recurring Costs section of this budget), and a decrease of $672,000 and 13 FTEs to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations. The request includes increases of 44 FTEs and $10,81 7,000 that are necessary for the opening of the Mall Museum. These funds are required to develop and implement inaugural and continuing exhibitions and related programs; implement a diverse public program of educational resources and activities, cultural arts performances, presentations, and demonstrations; establish an extensive outreach program to expand NMAI's resources throughout the country and the world; ensure that collections are managed and cared for

properly; ensure that comprehensive assistance and services are provided to visitors; and to implement necessary information technology capacity. NMAI's request also includes an increase of $2,841,000 and 59 FTEs for central support in the areas of security, utilities maintenance, and related building engineering monitoring ($1,858,000 and 33 FTEs) and building maintenance services, supplies, and equipment (26 FTEs and $983,000). These resources are included under the Facilities Operations and Facilities Maintenance line items, but are justified here. The increases are as follows:

• ( + $944,000, + 7 FTEs) This increase supports the establishment of the exhibitions operation in the new facility and will permit the continuation of contracting activities to meet the exhibition development and implementation schedule required for the opening of the Mall Museum to the public in September 2004. This will ensure that three major galleries with curatorial input from approximately 30 tribal groups represented by the collection and one gallery devoted to contemporary arts, along with study collections throughout the building, are ready for the opening.

• ( + $2,982,000, +26 FTEs) This increase will support the planning, development, and implementation of interconnected educational and cultural programs, activities, and resources that NMAI will share with on-site visitors and constituents across the country and around the world.

NMAI will provide ongoing and dynamic programming to allow visitors to experience the contemporary arts, lives, and concerns of the indigenous peoples of the western hemisphere through performances, demonstrations, workshops, and oral presentations. In addition, outreach programs for communities throughout the hemisphere will be planned, as well as conferences and symposia that will include electronic links for distance-learning opportunities with Native American colleges and other community organizations and tribes. Necessary staff for these activities includes a program specialist, program secretary, program assistant, and two performance coordinators.

Educational programs will be presented to supplement the exhibits with an emphasis on the contemporary aspects of Native cultures. These activities will include classes, demonstrations, workshops, curricula, and interpretive materials, and will serve an estimated 4,000 ticketed visitors per day and another 4,000 not accommodated in the galleries. Required staff includes an administrative assistant, a lead interpreter, six cultural interpreters, a classes/workshop specialist, a reservations secretary, a reservations supervisor, and a theater program specialist.

Funding is also required for the operation of the Resource Center, which consists of 1 8 interactive multi-media stations and extensive reference areas to supplement the exhibition galleries and respond to visitor needs

for information about Native American experience and culture. This is anticipated to be a very popular, high-traffic area, requiring substantial coverage on a seven-day-a-week basis. Staff will respond to public inquiries, support distance learning opportunities, and keep up-to-date documentation on ongoing NMAI programs. FTEs required to deliver this service include two cultural information specialists, an administrative assistant, and an audio-visual specialist. One-time funds in the amount of $325,000 will be required for the Resource Center, including software and equipment, technological support for classrooms, and a wide range of devices to enhance access to information resources for disabled visitors.

A Web multimedia specialist is requested to develop and release a new NMAI public website, and one-time funds of $40,000 are requested for Web development and Web content management systems.

A Film and Video Center will offer programming in the theater using NMAI's notable and expanding collection of Native American media products, and also will support filming of Native American presentations in Washington so that wider audiences can benefit from one-time programming. The Center will provide special workshops and information to Native media makers and support NMAI's outreach activities. A program manager, screening coordinator, and secretary are required to staff the Center.

The funding will also be used for a position to build on and sustain the extensive community contacts and relationships initiated to develop the Mall exhibitions and help bring the Museum and its resources to constituents through media such as radio and the Web and innovative outreach and training programs. In addition, these funds will provide ongoing print, audio, and electronic materials to support the Museum. ( + $563,000, +6 FTEs) This increase supports a comprehensive visitor services and support function. Funding is needed to provide staff to act as the primary interface with the public in order to provide information; direct visitors to public space, exhibit gallery, theater, and special programs; oversee volunteer training and coordination; provide crowd-management and on-floor pass systems; and coordinate with Smithsonian security. To manage the array of programs and presentations for 8,000 anticipated daily visitors, visitor services will require a manager, an assistant manager, two floor staff, a volunteer coordinator, and an administrative assistant for seven-day-a-week coverage. ( + $131,000, +1 FTE) This increase includes $131,000 and 1 FTE for the Mall Museum Collections Manager to oversee all aspects of collections receiving, care, and installation in the building's exhibitions.

( + $3,41 9,000, + 1 FTE) $3,042,000 in one-time costs is requested for all facilities requirements not included under the construction contract, including equipment for the loading dock and mailroom, office equipment such as faxes and copiers, and all office and public furniture. Funding of $277,000 is also required for a mail clerk and general administrative support for the new facility and staff, such as equipment maintenance, communications, and general supplies. Also included are one-time funds of $100,000 for the move of staff from rented space to the Museum. ( + $2,778,000, +3 FTEs) This increase is required to implement, manage, and support NMAI's complex technology environment. Of this amount, one-time funds of $2,338,000 are required for opening the new Museum, and $440,000 and 3 FTEs are for ongoing operations.

One-time funds totaling $2,108,000 will be used for technology infrastructure for the new Museum, including a voice-over Internet protocol; desk-top computers, laptops, printers, software, and other peripherals; servers; serve racks; redundant power supply modules; cables; and external communications systems. Other one-time costs of $230,000 are for systems planning and systems design to support the integration of collections, contracts, media asset management and interactive systems in support of NMAI's opening exhibitions.

Support for ongoing operations includes costs for software and hardware maintenance for various systems including collections, contracting, media, and Web content, and three positions—technology coordinator, audio visual specialist, and systems analyst programmer—to support NMAI staff and additional technical activities at the Mall Museum, and also numerous computer applications at all NMAI locations. ( + 983,000, +26 FTEs) This increase is requested for all facilities-related activities, based on the need to provide facilities service for a seven-day-a-week operation with heavy public traffic. It provides $983,000 and 26 FTEs (included under the Facilities Maintenance and Operations line items) for two custodial supervisors, 21 laborers, one maintenance worker, and two foremen in addition to funding for cleaning supplies and equipment to maintain the building for both the public and office staff. ( + 1,858,000, +33 FTEs) The requested level of FTEs and funding will provide the necessary staff and operating dollars required to provide minimum levels of security, operation, and related building engineering monitoring for the new Mall Museum. This amount (included under the Facilities Maintenance and Facilities Operations line items) only allows for the very minimum requirements of providing security, maintenance, and grounds care in time for the opening of the Museum. An additional 32 FTEs (for a total of 65 FTEs) and related funds will be required in

FY 2005 to provide sufficient personnel and funding for full-scale operation of the building security operation and systems.

The FY 2004 request will allow the Institution to hire 45 security employees (1 security manager, 1 lieutenant, 5 sergeants, 3 control room operators, 34 officers, 1 administrative staff) and $185,000 for supplies and equipment; 7 maintenance personnel (1 HVAC supervisor, 2 HVAC leaders, 4 HVAC mechanics) and $60,000 for supplies and materials; and 2 operations personnel (1 supervisory horticulturist, 1 horticulturist) and $69,000 for equipment and supplies. Incumbents for these positions will be hired on a staggered basis during FY 2004 so that maximum use can be made of requested funds and FTEs.

The federal support requested for FY 2004 is the level required to open the new Mall museum in September 2004 as planned. Without the requested increases, NMAI would not have sufficient staff during FY 2004 to prepare or install the approximately 6,000 objects that will be displayed in the four major exhibitions or eight smaller presentations, and would curtail full development of interactive and multi-media visitor experiences. The result would be a phased opening of an unfinished museum rather than making a strong initial impact by presenting a complete and coherent experience for visitors. Reduced education, public programs, and visitor services staff would reduce access to education spaces and programs outside of the exhibition galleries, thus preventing full educational use of the building. NMAI will also not be able to launch new Web products to bring Mall exhibitions content to a vast number of visitors unable to come to Washington. The Institutional goal of Management Excellence would also suffer without adequate staff to provide oversight and carry out technical support, facilities management, and administrative functions. Without the resources for new facilities, the Institution will be unable to provide sufficient security for staff and collections, and for operation and maintenance of installed systems. This inability will lead to increased risk of damage or loss of collections and accelerated deterioration of the building systems and building structure.

NONAPPROPRIATED RESOURCES-General trust funds provide support for salaries and benefits of personnel, and help defray costs of publications, special events for exhibition openings, and other related costs. Donor/ sponsor designated funds provide support for costs related to specific programs and projects, including educational programs, pro-bono advertising, production of fundraising proposals, member- and donor-related special events, exhibition openings, and outreach in cities across the United States.

NATIONAL PORTRAIT GALLERY

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The National Portrait Gallery (NPG) functions as a free public museum for the exhibition and study of portraiture and statuary depicting men and women who have made significant contributions to the history, development, and culture of the people of the United States and the artists who created such portraiture and statuary.

To achieve the goal of Public Impact, NPG will ensure that the Gallery's collections continue to be available to the American public while the Patent Office Building (POB) is closed for renovation. Definitive plans will be made for reinstalling exhibits in POB in time for its reopening on July 4, 2006. In addition, the museum's collections, programs, and research base will be expanded to be inclusive of underrepresented Americans.

For FY 2004, the estimate includes an increase of $132,000 for necessary pay for existing staff funded under this line item and a decrease of 14 FTEs and $777,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

Congress established NPG to represent the pinnacle of national recognition. To achieve this outcome, NPG will undertake a variety of initiatives, including continuing the nationwide tour of the iconic Lansdowne portrait of George Washington by Gilbert Stuart. With a multitude of electronic media such as audioguides, interactives, website, and video to augment it, the exhibition has increased awareness of the importance of this founding father.

A significant focus in FY 2004 will be developing plans for reopening the POB in 2006. An additional 15 percent of the museum's collections will be on view as a result of the expanded space. Portraits, historical themes, and types of technology that can be used within the exhibitions to supplement the visitor's understanding will be selected. NPG will identify target audiences to develop new interpretive strategies.

During FY 2004, three exhibitions will be shown at the Smithsonian's International Gallery: A Brush With History, 75 of the museum's most significant paintings; Portraits in Jazz: Thirty Musicians Who Made A Difference, a new exhibition that will travel to four other venues; and Portraits of the Presidents, a selection of 60 images from the Hall of Presidents, NPG's most popular gallery. A major retrospective of the work of Gilbert Stuart (co-organized with the Metropolitan Museum of Art) will open

in New York during FY 2004. NPG will develop an exhibition that will bring together Latino portraits from collections throughout the Western Hemisphere and a nationwide portrait competition —culminating in an exhibition —allowing artists, both known and unknown, to submit their works. Staff will research and write publications to accompany all exhibitions, including those planned for the POB opening. NPG will continue to make extensive loans to museums throughout the country and the world, and will continue to serve as an active participant in the Smithsonian's Affiliations Program.

The collections continue to grow through strategic acquisitions, and work is progressing to find a permanent home for objects that will not be on continual exhibition when the POB reopens. The Gallery will continue its significant contribution to the visual history of our nation through the distribution of photographic and digital images from its collection for use in books, videos, CDs, and other media. The Gallery's award-winning website will continue to present innovative programs to increase the number of visitors and enhance their experience. New Web exhibitions, educational outreach programs, and collaborative Web presentations such as Civi/War@Smithsonian, Portal to the Presidents, and features on Hispanic and Native American portraits will draw diverse audiences. Significant data and images will be added to the 80,000 collection and research records currently available.

NPG will continue to develop a broad range of regional and national educational programs for school and community audiences. These programs will be designed for varied ages using such media as literature-based arts activities, musical performances, plays, historical actors, touch-screen interactives, and workshops for teachers and museum professionals.

To meet the goal of Management Excellence, NPG will ensure that its computing infrastructure meets Institution-wide standards and staff are trained in new software required by Smithsonian systems. The Gallery's Collections Information System (CIS) contains records for all of its objects, along with more than 13,000 digital images. Two thousand research records will be added in FY 2004, and work will continue to enhance collections data and images. NPG will improve system functionality and the staff's ability to effectively use the system. Also, media opportunities will be aggressively targeted and pursued. Press mailings and events will be planned to accompany openings of touring exhibitions, exhibitions to be on view at the International Gallery, announcement of the Peck Presidential Awards, and public education programs.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (21 FTEs and $1,690,000)

• Continue the nationwide tour of the George Washington portrait at three venues

• Present three exhibitions at the International Gallery to assure public access to collections, and present educational programs to increase visitor attendance

• Present a major retrospective of the work of Gilbert Stuart

• Proceed with the development of two new major exhibitions that include an exhibition on Latino portraits aimed at increasing underserved audiences, and an exhibition based on the NPG portrait competition

• Increase loans to museums throughout the country by 10% over FY 2001 number of loans

• Design seven education programs for 450 presentations to schools and community organizations

Expand a national outreach effort (4 FTEs and $355,000)

• Plan joint ventures with four Smithsonian Affiliate museums

• Launch NPG's first nationwide portrait competition initiative

• Publish four issues of Profile, the Gallery's publication

• Increase the number of records, programs, and images on the NPG website by 2,1 50

• Increase the number of visitors by 250,000 and inquiries by 5,000 to the NPG website

Maintain the high caliber of Smithsonian research (7 FTEs and $579,000)

• Produce two books, 370 wall labels, four brochures, and approximately 18 printed pieces (announcements, activity guides, etc.) for NPG exhibitions and programs

• Research and continue work on one volume for The Selected Papers of Charles Willson Peale and His Family for publication

Provide diverse national audiences with high-quality education resources (7 FTEs and $446,000)

• Develop two online education components for special exhibitions

• Develop new interpretative strategies for incorporating inquiry-driven interactive elements into two exhibitions

Judiciously build, refine, care for, and manage the national collections (9 FTEs and $660,000)

• Acquire portraits of significant Americans when available, particularly from underrepresented populations

• Secure a permanent home for 80% of collection objects currently in temporary storage that will not return to the POB when NPG reopens

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (13 FTEs and $1,013,000)

• Ensure that technology infrastructures are responsive to NPG and Institutional requirements

• Take steps to improve the management of NPG through increased staff communications, training, and reorganizations as appropriate for new initiatives

Modernize the Institution's information technology systems and functions (3 FTEs and $243,000)

• Maintain a state-of-the art and up-to-date Collections Information System (CIS) by implementing one upgrade and adding 2,200 images and records

NONAPPROPRIATED RESOURCES-General Trust funds provide support to help defray costs of publications, public lectures, symposia, special events for exhibition openings, loan exhibition development, fundraising, management, and research. Donor/sponsor designated funds provide support for costs related to specific programs and projects including support of the NPG Director's Circle.

SMITHSONIAN AMERICAN ART MUSEUM

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Smithsonian American Art Museum (SAAM) is the nation's museum dedicated to the arts and artists of the United States from colonial times to the present. The Museum's programs make American art available to national audiences and beyond, as well as to those who visit its two historic landmark buildings in Washington DC: the Patent Office Building (POB) site, closed for major renovation and due to reopen in 2006, and the Renwick Building.

To meet the goal of Public Impact, SAAM is devoting more than half of its federal resources to exhibitions; a national education program; enhancement, presentation, and care of its permanent collection; research resources; a popular website; publications; and services to the public. The remainder is dedicated to effectively managing the Museum's resources and facilities in the pursuit of Management Excellence.

For FY 2004, the estimate includes an increase of $200,000 for necessary pay for existing staff funded under this line item and a decrease of 15 FTEs and $780,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

While the POB is closed for major renovation, SAAM is working to achieve the goal of Public Impact by linking Americans to their heritage through showing how the works of art in SAAM's collection tell the story of this country. This outcome will be accomplished by several means. First, exhibitions, rotations of SAAM's permanent collection, and public programs at the Renwick Gallery are keeping the Museum visible while the POB is closed. To assist in national outreach, the Museum continues to publish the American Art journal three times annually; enhance its website containing extensive information about SAAM's collections, programs, and exhibitions; and extend the reach of its public online reference service— Ask Joan of Art— through a promotional campaign. Since 2000, the Museum has been circulating eight exhibitions of some of its finest art works throughout the U.S. Those tours end in 2003, but will be replaced by Highlights from the Smithsonian American Art Museum, a new series of five exhibitions that will tour from 2003 to 2005. In 2004, the exhibition George Cat/in and His Indian Gallery will also tour.

The Museum continues to strategically broaden its collection of 39,000 objects with significant acquisitions, and to move towards its goal of digitizing every object in the collection. A new national education program,

designed to reach classrooms in all 50 states, will increase public impact by focusing on the effective use of new technology and distance-learning tools.

In addition to actively maintaining a vital presence in Washington and around the country, SAAM will continue significant planning for the renovated POB in FY 2004. The focus will be on revitalized permanent collection galleries, compelling exhibitions, expanded public amenities, a grand year-round courtyard, and the Luce Foundation Center for American Art, which will provide greatly enhanced public access to and enjoyment of the collections. This will be a major undertaking and will involve cooperation among all the Museum's staff, as well as with that of the National Portrait Gallery (NPG).

The Museum will work toward achieving the goal of Management Excellence by improving its business practices and internal capabilities and controls in line with the new Enterprise Resource Planning (ERP) system. By 2004, implementation of the ERP will allow resources currently spent on duplicative methods of managing financial data to be redirected to strengthening general administrative functions. The Museum will make significant progress toward developing a technical infrastructure that will support new technologies, such as hand-held personal computers, in order to allow innovative presentations in the renovated POB. FY 2004 will be a critical time period for the Museum to continue to work effectively with all involved parties to ensure that the POB renovation remains on schedule, the Museum's needs in the building are effectively addressed, and SAAM's plans for shared spaces are compatible with NPG's. The Museums will also be involved in planning a nationwide media campaign to herald the reopening of the Museum and to increase visitation at the reopened facility.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE PLAN

Public Impact

Offer compelling, first-class exhibitions and other public programs (18 FTEs and $1,529,000)

• Increase visitation at the Renwick Gallery through a program of compelling exhibits and public programs

• Complete development of overall conceptual organization for all galleries in the renovated POB, and produce scale models of selected ones

Expand a national outreach effort (6 FTEs and $516,000)

• Continue circulating the George Catlin and Highlights (5 shows) exhibitions to a total of 20 U.S. venues in FY 2004

• Evaluate online visitor comments and usage data and make improvements in the newly redesigned website

Provide diverse national audiences with high-quality education resources (25 FTEs and $2,096,000)

• Publish 3 issues of the journal American Art

• As part of the newly developed National Education Program, implement a pilot program to make professional education opportunities and learning materials accessible to teachers and educators

• Implement a promotional campaign targeted to educators, museum and library professionals, and the general public in order to extend the reach of Ask Joan of Art

Judiciously build, refine, care for, and manage the national collections (29 FTEs and $2,214,000)

• Continue enhancing the Museum's collection of approximately 39,000 objects through accession of key acquisitions

• Photo-digitize an additional 20% of objects in the collection

• Define object, information, and imagery content for the Luce Center at POB by developing a schedule for photographing approximately 5,000 objects

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (8 FTEs and $574,000)

• Provide effective administrative/financial support to all SAAM programs through efficient processes, good internal controls, and high standards of customer service

Modernize the Institution's financial management systems and functions (1 FTE and $72,000)

• Successfully implement Phase II of the new Smithsonian financial system, ensuring that Museum processes are adjusted accordingly and SAAM staff receive appropriate training

Modernize the Institution's information technology systems and functions (5 FTEs and $369,000)

• Research and develop assets for hand-held self-guides for public spaces in the newly renovated POB

• Continue to improve information technology applications at the Museum

Maintain mutually beneficial relations with the news media and with federal, state, and local governments (5 FTEs and $369,000) Continue/complete marketing plan for the Renwick Gallery Plan a national media campaign to promote the grand reopening of POB in 2006

NONAPPROPRIATED RESOURCES —General trust funds provide support for salaries and benefits of personnel, fund-raising, and other related costs. Donor/sponsor designated funds provide support for specific programs and projects. Exhibitions and education programs receive support from individuals, foundations, and corporations, a number of whom have given significant gifts toward SAAM's Capital Campaign.

ARTHUR M. SACKLER/FREER GALLERY OF ART

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Freer Gallery of Art and the Arthur M. Sackler Gallery (FSG) celebrate the artistic traditions of Asia. The museums collect, study, exhibit, and preserve exemplary works of Asian art as well as works by Whistler and other American artists represented in Charles Freer's original gift. The combined resources of the museums are directed toward programs that advance understanding of the arts of Asia and of the museums' collections.

To achieve the goal of Public Impact, FSG will enhance its selection of exhibitions and complementary public programs to engage a broader segment of Smithsonian visitors, as well as expand the number and range of exhibitions and objects offered to other museum sites across the nation and internationally. Associated with these activities will be a continued emphasis on exhibition-related scholarly research and an increased Web presence. To meet the goal of Focused, First-Class Science, FSG will devote resources to maintaining the outstanding conservation programs currently in place for the analysis, study, and conservation of Asian art and objects. To support the goal of Management Excellence, FSG will actively participate in programs designed to improve the Institution's management and financial systems, and continue to evaluate and modernize its internal organization and systems to provide a high level of service to visitors and other customers.

For FY 2004, the estimate includes an increase of $145,000 for necessary pay for existing staff funded under this line item and a decrease of 11 FTEs and $487,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the goal of Public Impact, the exhibition program will be expanded to bring more noted loan exhibitions to the museums. Significant exhibitions anticipated for FY 2004 include: Return of the Buddha, an exhibition of sculptures excavated from Eastern China, and Himalayas, a show organized by the Art Institute of Chicago with a focus on Tibetan art. Accompanying each exhibition will be family-friendly educational programming that will enhance the museum experience. To expand national outreach efforts, FSG is also planning an enhanced program of exhibition loans to other institutions. For example, a large collection of the Sackler's Chinese jades will travel to approximately a dozen venues as part of the SITES exhibition, Magic, Myths, and Minerals.

High caliber research will continue to enhance major exhibitions through publications, educational programs, and lectures. In FY 2004,

curators and researchers will be studying and publishing new research around the Singer gift to the Sackler —a magnificent collection of ancient Chinese jades —and the Freer's incomparable collection of Biblical manuscripts. To provide greater access to high-quality educational resources, the museums will be looking more carefully at state-mandated educational programming to ensure that FSG's programs are curriculum-based. In addition, more effort will be devoted to placing educational resources on the FSG website to make it the premier online resource for information on the arts of Asia in the country.

In the area of collections management, FSG will continue to devote resources to its internationally renowned conservation department and laboratory. Research work in the study and conservation of the materials of Asian art will help guarantee that objects from FSG's collections and many other museums remain accessible to future generations. The staff of this department is very active internationally in symposia, lectures, and publications, as well as in the support and mentoring of numerous fellows and scholars. FSG plans to offer at least one symposium for serious art collectors during FY 2004. At this symposium, curators will offer their expertise in analyzing the nature and provenance of collectors' objects and will hopefully open doors for future donations to enhance the museums' collections.

Improvements in visitor services are expected during FY 2004, primarily as a result of additional surveys and improved signage and wayfinding. FSG expects to survey visitors to determine their interest in the use of increased technology in exhibitions as well as in the use of hand-held self-tour electronic guides. FSG will continue to focus on making its collections accessible to the public at large through its website. The focus of the current website will be redirected to expand the number of objects available for viewing and research by a national and international audience.

To achieve the goal of Management Excellence, FSG expects to play a continuing leadership role in developing sophisticated collections management systems. In addition, as the new Institution-wide financial and human resources systems are implemented, it is anticipated that they will result in improved administrative efficiencies and reporting mechanisms within FSG.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (16 FTEs and $1,326,000)

• Mount at least two exhibitions that attract increased visitation over the same time period in FY 2003

• Ensure that each major exhibition presented is accompanied by family-friendly educational programming

• Complete space alteration study and plans to devote additional space to Sackler exhibitions

Expand a national outreach effort (9 FTEs and $907,000)

• Place FSG objects in at least two non-FSG exhibitions at other institutions in FY 2004

• Develop one new curriculum based on state-mandated guidelines and distribute to schools by the end of FY 2004

• Increase by 10% the number of website visitors

• Increase by 30% the number of FSG objects available on the website over FY 2003

Maintain the high caliber of Smithsonian research in support of public programs (10 FTEs and $1,136,000)

• Use FSG scholarly research to enhance at least 50% of the

FY 2004 exhibitions through publications, educational programs, or lectures

• Increase the number of published books and articles authored by professional staff by 10% over FY 2003

Provide diverse national audiences with high-quality education resources (6 FTEs and $466,000)

• Increase the number of attendees at family programs by 10% over FY 2003

• Develop at least 2 self-guided tours for the permanent collection by the end of FY 2004

Judiciously build, refine, care for, and manage the national collections (8 FTEs and $887,000)

• Organize one symposium for serious art collectors

• Initiate at least one new fellowship or scholarly award in FY 2004

• Increase the number of published books and articles authored by conservation staff over the number published in FY 2003

• Complete conservation on at least 100 FSG objects

Deliver the highest quality visitors' services (2 FTEs and $109,000)

• Use the FY 2003 visitor survey results to implement at least two recommended improvements in visitor services

• Complete a plan to retrofit the Sackler pavilion to include potential cafe service

Management Excellence

Modernize the Institution's financial management systems and functions (5 FTEs and $611,000)

• Use the new PeopleSoft modules to improve monthly tracking of budget vs. actual and to enhance management reports for senior staff and Board members.

• Reduce by 10% the number of purchase orders generated through purchase card improvements and consolidation of orders

Modernize the Institution's information technology systems and functions (4 FTEs and $348,000)

• Install the latest software for The Museum System (TMS) within 90 days of release and train staff within 60 days thereafter

• Complete all Institution-wide system upgrades within authorized time frames

NONAPPROPRIATED RESOURCES —General trust funds are generated from memberships, museum shop sales, special events, unrestricted gifts and grants, and endowment income. As discussed above, the Freer Gallery of Art and the Arthur M. Sackler Gallery are highly dependent upon nonappropriated sources to fund the programs and support necessary to provide the quality of exhibitions, programs, and publications expected by visitors and scholars.

COOPER-HEWITT, NATIONAL DESIGN MUSEUM

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Cooper-Hewitt, National Design Museum (CHM), located in New York City, explores and investigates the impact of design on daily life —from 500 BC textile designs to 21 s, -century architecture. The Museum is interested in all aspects of design, including urban planning, architecture, industrial design, landscaped design, interior design, textiles, advertising, and graphic arts.

As the only museum in America devoted exclusively to historical and contemporary design, CHM pursues its mission through award-winning exhibitions, publications, and educational programs for design professionals, the public, and school children. To achieve the Institution's goal of Public Impact, the Museum will continue its tradition of offering high-caliber exhibitions, as well as expanding the number of objects and museum programs offered in venues outside the New York metropolitan area. In conjunction with these activities will be a continued emphasis on high-quality educational programs and exhibition-related scholarly research. To meet the goal of Management Excellence, CHM will devote resources to upgrade and improve the efficiency of some of its services to visitors.

For FY 2004, the estimate includes an increase of $76,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, Cooper-Hewitt will concentrate its resources on maintaining an exhibition program that features a mixture of important designers, design concepts, and popular culture. This mixture is particularly popular with New York audiences and emphasizes the Museum's unique place in the international museum community. During FY 2004, CHM will stage one major design retrospective, Christopher Dresser, and one exhibition involving popular culture, Television and the Home. The Dresser exhibition will acknowledge the work of the world's first industrial designer in the year of his centenary and is expected to make a significant scholarly contribution to the design field. This exhibition is also expected to be of popular interest in New York City where design considerations for the site of the World Trade Center have heightened the dialogue regarding designed environments. The television exhibition will analyze the influence of domestic interiors shown on television on domestic design in the U.S.

As part of its national outreach effort, Cooper-Hewitt plans to expand its City of Neighborhoods program to five venues outside the New York City area in FY 2004. This innovative program brings architects, educators, and

planners together to extend the classroom into the community and apply design education to a neighborhood concept, enabling teachers to take this model back to the classroom for development of similar programs for K-12 students. The program's goal is to use design to promote community awareness and to involve young people in positive community change. The Museum also will offer an expanded Summer Design Institute program on the West Coast as well as in New York City. This program is also geared to K-12 and design educators, and draws a steadily increasing national audience each year. Outreach will be further enhanced by a continued effort to lend major works to other venues within the United States.

Resources will continue to support exhibition-related scholarly research. The Museum anticipates that important new research will be published in conjunction with each major exhibition presented in FY 2004. Catalogues are anticipated for both the Dresser and the Television and the Home exhibitions, dependent on securing private publication funding.

Cooper-Hewitt hopes to make its educational opportunities available to a broader audience in FY 2004 through greater use of technology. In particular, the Museum plans to devote resources for increasing the accessibility of CHM education programs through video and the Internet. This will include components of the City of Neighborhoods program and the Summer Design Institute program, which educators can then adapt to their classrooms.

To achieve the goal of Management Excellence, Cooper-Hewitt anticipates a significant number of financial reporting and budgeting improvements in FY 2004 as the new Institution-wide financial and human resources systems are implemented. It is anticipated that these improvements will result in improved administrative efficiencies within CHM. In addition, improved technological capabilities will allow the Museum to upgrade some internal systems, such as telephones and online ticketing for public education programs.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (7 FTEs and $487,000)

• Mount one major design retrospective

• Mount one exhibition involving items from popular culture Expand a national outreach effort (2 FTEs and $ 126,000)

• Expand the City of Neighborhoods program outside the NYC area to include five new venues in FY 2004

• Expand the Summer Design Institute program to the West Coast Maintain the high caliber of Smithsonian research (8 FTEs and $610,000)

• Publish research catalogues for each of the two major exhibitions presented in FY 2004

Provide diverse national audiences with high-quality education resources (4 FTEs and $319,000)

• Add two new education program components to the Cooper-Hewitt website: City of Neighborhoods and Summer Design Institute

Management Excellence

Modernize the Institution's financial management systems and functions (5 FTEs and $304,000)

• Implement new goals and standards for financial reporting using the new PeopleSoft system

• Present year-end financial information to the Board and senior management within eight weeks of fiscal year closure

Modernize the Institution's information technology systems and functions (1 FTE and $98,000)

• Upgrade telephone systems to meet Institution-wide objectives

• Implement online ticketing for public education programs Execute an aggressive long-range Smithsonian facilities program (13 FTEs and $ 1,182,000)

• Improve public access by opening the 90 th Street Entrance

• Install and maintain new signage around the Museum fencing to heighten Museum visibility

NONAPPROPRIATED RESOURCES - General trust funds are generated from membership, Museum shop sales, admissions, special events, and unrestricted donations. These revenues support exhibitions, publications, and general operating expenses. Donor/sponsored designated funds provide support for specific programs and projects.

HIRSHHORN MUSEUM AND SCULPTURE GARDEN

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Hirshhorn Museum and Sculpture Garden (HMSG) is to collect, preserve, and exhibit the art and artists of our time; to develop educational materials and conduct programs to increase the public's understanding of, and involvement in, the development of modern and contemporary art; and to conduct and disseminate new research in the study of modern and contemporary art.

To achieve the Institution's goal of Public Impact, HMSG is focusing a substantial portion of its resources on producing a compelling exhibition program based on the work of international modern and contemporary artists, as well as providing national outreach through its webpage, catalogues, and traveling exhibitions. Associated with these activities is a continued emphasis on the development of educational materials and exhibition-related scholarly research and refinement, care, and management of the national collections. To support the goal of Management Excellence, HMSG will use the implementation of Institution-wide management and financial systems to manage its resources more effectively, as well as promote and maintain a diverse workforce and culture of equal opportunity.

For FY 2004, the estimate includes an increase of $103,000 for necessary pay for existing staff funded under this line item and a decrease of 16 FTEs and $677,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the goal of Public Impact, HMSG is directing its resources to activities that will enhance public access to its collections. Activities will include exhibitions both at HMSG and on tour, loans to other institutions, publications based on scholarly research, educational resources based on the collections, and an increased Web presence. Significant exhibitions during FY 2004 will include Gyroscope, a Museum-wide installation of the Hirshhorn's permanent collection including many acquisitions from the last five years. Other exhibitions in FY 2004 include exhibitions of work by Scottish artist Douglas Gordon, and large-scale paintings by German artist Anselm Kiefer. These exhibitions, along with the Directions series of solo exhibitions, will provide a wide range of experiences for visitors.

To expand a national outreach effort, the Hirshhorn will open a retrospective of the work of Cuban-born artist Ana Mendieta at The Whitney Museum of American Art in New York City. This traveling exhibition will be

shown at the Hirshhorn in FY 2005 and at one or more other venues. The Museum will also continue its active loan program to other institutions.

Resources will continue to be devoted to scholarly research for the Ana Mendieta exhibition, as well as a number of planned exhibitions in FY 2005 such as Visual Music, Isamu Noguchi, and the Collection in Context series. Development of catalogues and other publications will enhance the Museum's exhibitions and public programs, serving as permanent documentation of the scholarly research performed.

HMSG will make its educational resources available to a larger number of schools and institutions of higher learning in FY 2004 through its new Education Center. The Center will provide flexible space to accommodate up to 50 participants in workshops, small lectures, and training sessions, including school groups who will have a special area to learn about the Museum's collections and create projects of their own. Staff will also continue to develop educational resources, including teaching materials and interactive activities that will be available on site and via the Web.

With regard to the HMSG collections, additions to and refinement of database-stored information and digitization of images will expand the amount of information available to the public via the website. New acquisitions, with an emphasis on works by contemporary artists, will be added to the collection with the support of restricted trust funds.

To achieve the goal of Management Excellence, HMSG will continue to streamline management functions, using the new Institution-wide financial and human resources system to manage resources more efficiently. The anticipated completion of a space study by the end of FY 2003 will enable the Museum to develop a comprehensive long-range plan to accommodate future public and office space needs. Redirection of federal resources to and within the communications, marketing, and public relations functions will continue as new media markets are developed to increase available information to the public about modern and contemporary art.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (19 FTEs and $1,568,000)

• Increase number of visitors by 5% over the FY 2003 level

• Mount two major exhibitions including one originated by the Hirshhorn

Expand a national outreach effort (7 FTEs and $535,000)

• Increase the number of collections objects accessible by the public online by 5% over the FY 2003 level

• Increase the number of website visitor sessions by 10% and the duration of visits by 5% over FY 2003 levels

• Increase by 5% over FY 2003 levels the number of schools and institutions of higher education that include HMSG education resources in their curricula

Maintain the high caliber of Smithsonian research ( 10 FTEs and $723,000)

• Increase by 5% over FY 2003 levels the number of references to HMSG research and programs appearing in popular journals, press, TV, radio, textbooks, and other venues

• Maintain the FY 2003 level of professional and public lectures and presentations, including juried art shows, by HMSG scholars

Judiciously build, refine, care for, and manage the national collections (3 FTEs and $359,000)

• Increase the number of collection objects documented digitally by 10% over FY 2003 level

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (7 FTEs and $732,000)

• Implement controlled spending plans for 100% of all fund sources through use of PeopleSoft.

• Complete all Institution-wide system changes within authorized time frames.

Maintain mutually beneficial relations with the news media and with federal, state, and local governments (2 FTEs and $153,000)

• Increase positive media articles by 10% over the FY 2003 level

• Maintain 100% same-day response rate to media requests for information

Ensure safety and protection of Smithsonian facilities, national collections, staff, visitors, and volunteers (1 FTE and $80,000)

• 20% of staff receives safety, fire, health, and/or environmental management training

• Annual Management Evaluation and Technical Review (METR) does not repeat findings from the previous year in the same location and the findings continue to be minor and minimal (e.g. under five)

NONAPPROPRIATED RESOURCES —General trust funds provide support for salaries and benefits of administrative personnel, development activities, and exhibition-and program-related costs. Donor/sponsor designated funds provide support for specific exhibitions, programs, projects and events.

NATIONAL MUSEUM OF AFRICAN ART

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the National Museum of African Art (NMAfA) is to foster and sustain, through exhibitions, collections, research, and public programs, an interest in and understanding of the diverse cultures in Africa as embodied in aesthetic achievements in the visual arts. The Museum accepts into its collections and exhibitions the arts of all African areas including the ancient and contemporary arts of the entire continent. Museum-sponsored research, publications, and educational programs reflect and are in consonance with the Museum's collection, research, and exhibition goals.

To achieve the goal of Public Impact, NMAfA is focusing a portion of its resources on three major exhibition projects. Associated with these three projects will be exhibition-related publications, public programming, and an increased Web presence. To meet the goal of Management Excellence, NMAfA will continue to dedicate resources to developing stronger media ties and ensuring that appropriate safety and protection measures are in place.

For FY 2004, the estimate includes an increase of $102,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, NMAfA is concentrating on activities that will result in increased visitation to both the Mall Museum and its website. A significant focus in FY 2004 will be the development of three new exhibitions: Inscribing Meaning: African Arts of Communication, in collaboration with the Fowler Museum of Cultural History; All That Glitters: The Splendor of African Jewelry, showcasing the art of jewelry on the African continent from ancient to modern times; and El Anatsui, a retrospective exhibition of some 60 works of this contemporary artist. Each of these exhibitions will present compelling aspects of traditional and contemporary works from a unique perspective. Through these exhibitions, NMAfA will attempt to engage visitors of varied backgrounds, learning styles, and levels of knowledge about African art. All That Glitters, in particular, is anticipated to have broad appeal among a cross-section of Americans due to the universal theme of jewelry as ornamentation.

To expand a national outreach effort, each of these exhibitions will travel to other venues so that audiences outside the Washington metropolitan area may share the experience. Audience outreach will be further enhanced with the publication of three exhibition-related catalogues.

Resources will continue to be devoted to scholarly research, the backbone that supports many of the Museum's activities. Development of exhibitions and catalogues, as well as studying and caring for collections, requires significant collaborative efforts among the NMAfA curatorial staff and other institutions. In FY 2004, numerous lectures and papers derived from scholarly research will target professional audiences.

NMAfA continues to strengthen its collection through purchase, gift, and bequest. Current emphasis is on the acquisition of a greater variety of traditional and contemporary objects and more diverse geographic representation of the African aesthetic traditions. With continued documentation of the collection in The Museum System, NMAfA anticipates that 2,350 collection objects will be fully catalogued by the end of FY 2004. The collection is housed and cared for in a modern facility by highly trained conservation and collections management staff.

The Museum will devote significant resources to making its collection, including the photographic archives, accessible to the public at large through its website. During FY 2004, the Museum anticipates that an additional 2,500 records and images will be made available through the Web, thus allowing visitors from around the world to experience the Museum's exhibitions and collections while gaining a greater insight into the history and aesthetics of African Art.

To meet the goal of Management Excellence, NMAfA will ensure that its newly implemented strategic plan will govern all facets of the Museum's programs and activities. The administrative and technology staffs are actively engaged in the upgrade of the Institution's major management systems for finance, human resources, and information technology. In addition, the Museum will take proactive steps to enhance relations with the media. Planned activities include involving the media in major special events and exhibition openings, and co-hosting special programs with local government and other appropriate organizations. Implementation of the Museum's disaster preparedness plan will ensure that collections, visitors, staff, and volunteers are safe and protected.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (18 FTEs and $1,690,000)

• Generate and present three high-profile exhibitions with popular appeal broadening the range of audiences visiting the Museum

• Create at least one exhibition that explores new directions or interpretations of African art and makes an original contribution to the study of African art

• Develop and present engaging exhibition-related public programming that results in a 15% increase in program attendance over FY 2003

• Include at least two interactive components in each exhibition with visitor survey showing that 65% of respondents agreed that interactive components enhanced their museum experience

Expand a national outreach effort (6 FTEs and $489,000)

• Circulate three traveling exhibitions

• Work with at least four Smithsonian Affiliates to implement loans for exhibitions

• Publish three exhibition-related publications

• Increase by 20% the number of visitors to NMAfA's website over FY 2003

• Add 500 collection records and images electronically to the Web

• Add 2,000 records from photographic archives electronically to the Web

Maintain the high caliber of Smithsonian research (4 FTEs and $301,000)

• Produce at least one exhibition or program resulting from collaboration with American, European, or African museums and collections

• Establish one collaboration/partnership with scholars from other institutions

• Present at least five lectures or papers that target national scholarly audiences

Provide diverse national audiences with high-quality education resources (3 FTEs and $337,000)

• Implement one collaborative program with other Smithsonian units

• Produce at least one exhibition and related programming resulting from research and scholarly interpretation of Smithsonian collections

• Present two programs resulting from scholarly research that target academic and professional communities

Judiciously build, refine, care for, and manage the national collections (6 FTEs and $615,000)

100% of objects acquired through purchase reflect priority areas of

emphasis in the collection

Catalogue 2,350 collection objects in The Museum System

Complete installation of the X-radiography unit

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• Treat for conservation eight objects that require literature research or in-house development of treatment and collections care procedures

Deliver the highest quality visitors' services (2 FTEs and $116,000)

• Increase favorable ratings of visitors' services by 10% over FY 2003

• Visitor assessment shows 85% overall satisfaction with NMAfA's visitor orientation and signage

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (5 FTEs and $600,000)

• Implement controlled spending plans for 100% of fund sources

• 100% of staff performance plans and appraisals are in line with NMAfA's strategic plan

Modernize the Institution's financial management systems and functions (1 FTE and $69,000)

• Budgets of all funding sources are tracked monthly

• All financial reports required by Smithsonian central management are accurate and meet established deadlines

Modernize the Institution's information technology systems and functions (1 FTE and $147,000)

• Automated systems that interface with Institution-wide systems are upgraded within established timeframes

Maintain mutually beneficial relations with the news media and with federal, state, and local governments (1 FTE and 89,000)

• Include members of the press in invitations to major special events

• At least three media interviews are conducted for each exhibition

• Co-host at least three events with local government organizations

• Increase the number of loans of collection pieces to government offices by two over FY 2003

Ensure safety and protection of Smithsonian facilities, national collections, staff, visitors, and volunteers (1 FTE and $113,000)

• Implement NMAfA's disaster preparedness plan

• Achieve a goal of zero safety citations resulting from the annual Management Evaluation and Technical Review (METR)

NONAPPROPRIATED RESOURCES - General trust funds provide support for the director's salary, benefits, and travel. Funds raised from individual and corporate donors will support NMAfA's major exhibition efforts in FY 2004, including exhibition-related publications and educational programs. Corporate and foundation sponsorship provides support for the planning phases of exhibitions, including travel, photography, and curatorial collaboration.

NATIONAL MUSEUM OF NATURAL HISTORY

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the National Museum of Natural History (NMNH) is to investigate, document, and understand the natural world and the role of humans in it. Building on its outstanding team of scientists, curators, fellows, and research associates and its extensive partnerships with universities and federal research agencies, the Museum is a preeminent international center for research on the natural world and the human activities that influence it. The Museum's scientists study natural and cultural diversity by collecting and identifying specimens, establishing relationships among them, and explaining the underlying processes that generate and sustain their diversity.

The Museum's stewardship of its collection of more than 124 million natural science specimens is at the core of its mission. This collection, the largest of its kind, forms an unparalleled information resource on the diversity of life on Earth, including plants, animals, fossils, minerals, and human artifacts. NMNH collections and their attendant information are a dynamic resource utilized by researchers, educators, and policymakers worldwide.

The results of NMNH's first-class research support its exhibitions and educational outreach. As one of the most visited museums in the world, NMNH provides diverse public audiences with exciting and informative presentations on every aspect of life on Earth. Through affiliations and partnerships, the Museum takes its science and public programs beyond the National Mall to other museums and non-traditional exhibition venues, such as libraries, schools, and universities. With a growing network of interactive websites, the Museum is transforming itself into a true electronic classroom, potentially accessible to everyone.

For FY 2004, the estimate includes an increase of $1,094,000 for necessary pay for existing staff funded under this line item and a decrease of 78 FTEs and $2,757,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the goal of Public Impact, federal funding will be used to convert outdated offerings into a stimulating program of integrated, multidisciplinary, and interactive exhibitions on the Mall and in other venues across the country. The first priority in FY 2004 is the continued renovation and maintenance of the Museum's permanent halls, including the opening of the Kenneth E. Behring Family Hall of Mammals, scheduled for October

2003, and the creation of its companion website. NMNH is committed to offering new temporary exhibitions each year. Those planned for FY 2004 include Looking Both Ways, an exhibition based on the Museum's Alaskan ethnographic collections, and Burgess Shale. Federal funding also enables NMNH to make its exhibitions available to other U.S. and international institutions. The excitement and effectiveness of NMNH exhibitions and presentations can be seen in its popularity as a family museum. In FY 2002, NMNH hosted over 6 million visits.

In FY 2004, the Museum's commitment to education will continue through support for ongoing programs, an extensive national/international network that includes traveling exhibitions, interactive electronic classrooms and field trips, and websites. These outreach efforts serve millions of visitors each year, nationally and internationally. In FY 2004, NMNH will develop and broadcast new electronic field trips to 1.5 million students across the nation in cooperation with local school districts and television stations, prepare new curriculum packages for educators and expand its Web presence by launching a revitalized website with improved graphics and navigational software.

The Museum's collections serve as the foundation of NMNH research. Federal funding is the linchpin for maintaining and preserving these priceless collections and their valuable information for future generations while also supporting their use for critical ongoing research. In FY 2004, building on work initiated several years ago, NMNH will complete deployment of the multi-media collections catalogue with millions of biological, anthropological, and geological records. This important milestone will ensure that this invaluable and unique asset is made available to researchers, policymakers, and the public efficiently and effectively.

To meet the goal of Focused, First-Class Science, in FY 2003 NMNH will undertake a research roadmap exercise to refine its areas of emphasis. The areas will be consistent with national research standards and recommendations from the Science Commission, which recently reported its findings, and studies from the National Academy of Sciences and the National Academy of Public Administration. In FY 2004, goals for these areas will be put into place. Biodiversity and the dynamic of life, human dimensions of diversity and change, and evolution of plants are expected to be central in guiding new research directions. A stable, predictive, and accurate classification of life on Earth based on evolutionary relationships is central to the understanding, development, and management of biodiversity. This information will be put to the broadest possible use through NMNH's leadership role in developing an integrated framework of specimen-level, taxonomic-level, and phylogenetic-level data. Through its strengths in

geology and paleontology, NMNH is also poised to take the lead in integrating evolutionary and ecological studies on a global scale. Tying all of these areas together are strengths in anthropology, which integrates biological, archaeological, ethnological, and linguistic approaches to research.

The goal of Management Excellence will be addressed in part by construction of a new facility to rehouse collections preserved in alcohol currently located on the Mall into a state-of-the-art research, conservation, and collection storage facility at the Museum Support Center (MSC). This facility will ensure that the alcohol collection will continue to be available for research in a facility that meets fire and safety codes. Additional focus in FY 2004 for the Natural History Building on the Mall will continue to be the renovation of major building systems, completion of the Behring Family Mammal Hall, and improving security in the building.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (50 FTEs and $5,023,000)

• Open Behring Family Hall of Mammals in October 2003 making 25,000 square feet of newly renovated exhibition space available to the public

• Recapture and renovate 1 5,000 square feet of office space to accommodate additional temporary exhibits

• Open temporary exhibitions Looking Both Ways and Burgess Shale, fulfilling the commitment to change 1 5% of exhibition space annually

Provide diverse national audiences with high-quality education resources (58 FTEs and $5,214,000)

• Develop and broadcast eight new electronic field trips to 1.5 million students across the nation, in cooperation with Kansas City Public Television

• Prepare and distribute 50,000 copies of new curriculum package for each of the new exhibitions and electronic programs opening in FY 2004

• Launch revitalized website for NMNH and serve 5,000 educators quarterly via electronic newsletter

• Work with at least 25 affiliated museums to lend collections and bring Natural History expertise and programs to museums across the nation

Judiciously build, refine, care for, and manage the national collections (758 FTEs and $14,524,000)

• Complete deployment of the multi-media collections catalog enabling access to 3.5 million records for researchers and the public via the Internet

• Implement revised Collections Management Policy

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (144 FTEs and $15,804,000)

• Implement results of research-mapping exercise

• Using a multi-year, multi-organization National Science Foundation award, conduct fieldwork in Africa and eastern Asia to examine the relationship of climate change and human evolution

• Monitor, assess, and report volcanic hazards through the Global Volcanism Program, providing data for research and for government agencies and industry groups

• Classify and publish results of research on meteorites recovered from FY 2003 expedition to Antarctica, as part of a cooperative program with the National Aeronautics and Space Administration and the National Science Foundation

• Identify and analyze 10,000 insects, plants, and animals posing potential danger as invasive species and use the knowledge gained for evolutionary research and for responding to requests from government agencies

• Apply molecular analyses of bird disease vectors and bird diversity in native forest ecosystems in Hawaii as part of multi-year research project

• Conduct third year of testing and modeling in a 5-year, interdisciplinary multi-institutional project on the consequences of greenhouse warming 55 million years ago

• Continue professional training activities to advance the scientific education of undergraduates and graduate/postdoctoral students

• At the Museum Support Center laboratory facilities, improve molecular analysis through use of DNA amplification and sequencing equipment acquired in FY 2002 that currently serves over 50 researchers working on projects such as the study of DNA variability in avian viruses, including the West Nile Virus

• At the MSC laboratory facilities, enable the highest quality imaging and analyses of natural history collections to be made through acquisition of updated analytical equipment

• At the MSC laboratory facilities, develop light stable isotope facilities for environmental research, including migration and global change issues

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (10 FTEs and $1,098,000)

• Train 100% of staff responsible for financial, budget, procurement, and human resources transactions to implement the new Enterprise Resource Planning system (ERP) as it is rolled out in phases

Modernize the Institution's information technology systems and functions (12 FTEs and $1,238,000)

• Ensure that 100% of users of the ERP have compatible hardware and software to support financial and procurement transactions

Execute an aggressive, long-range Smithsonian facilities program (2 FTEs and $200,000)

• Provide scientific/technical support for continuing renovation of the Natural History Building and construction of a new facility to rehouse collections preserved in alcohol

Ensure safety and protection of Smithsonian facilities, collections, staff, visitors, and volunteers (2 FTEs and $218,000)

• Through extensive inspection and training, provide the highest quality safety program to continue to reduce identified safety problems and ensure that new problems do not develop

NONAPPROPRIATED RESOURCES— The Museum raises funds from private sources to support additional program and administrative functions, including special events to promote new exhibitions and educational initiatives, and public outreach through the news media. Donor/sponsor designated funds are critical to supporting exhibition hall renovation, such as the major gift to build the new Kenneth E. Behring Family Hall of Mammals. The Hunterdon endowment provides all operating support for the Smithsonian Marine Station in Fort Pierce, Florida. The endowment also supports research in the biodiversity, life histories, and ecology of marine organisms in the coastal waters of Florida by almost 50 scientists each year, including staff from NMNH and Smithsonian Environmental Research Center and collaborators from universities across the country. Funding from the Rasmuson Foundation will support sharing of the Museum's Alaskan collections through public access, exhibitions, and indigenous partnerships. The Museum was awarded 65 competitive grants and contracts totaling $4.7 million in FY 2002, to support research in a number of areas, many to enrich the information available on the Museum's valuable biological collections for use by other agencies, and to support education and exhibition projects.

NATIONAL ZOOLOGICAL PARK

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the National Zoological Park (NZP) is to celebrate, study, and protect the diversity of animals and their habitats. NZP exhibits living animal and plant collections, conducts research in conservation biology and reproductive sciences, and provides educational and recreational environments for the visiting public. This mission directly reflects the Institution's goals of Public Impact and Focused, First-Class Science.

To achieve the goal of Public Impact, NZP is focusing portions of its resources on the first phase of the Asia Trail—part of a long-term initiative to renovate and modernize the National Zoological Park—and opening preparations for the Kids' Farm exhibit. NZP will also continue to provide state-of-the-art care for all animals. To meet the goal of Focused, First-Class Science, NZP scientists will continue to provide technical expertise to scientifically manage living animal collections; mentor, instruct and train young scientists; and generate knowledge needed to protect and conserve wildlife in captivity and in the wild. To achieve the goal of Management Excellence, NZP will continue to dedicate resources to support security and ensure that appropriate safety and protection measures are in place.

For FY 2004, the estimate includes an increase of $466,000 for necessary pay for existing staff funded under this line item; a decrease of $175,000 for one-time costs for pop-up barriers to meet NZP security requirements as discussed under the Non-recurring Costs section of this justification; and decreases of 88 FTEs and $5,211,000 to reflect the transfer of facilities management services, and 7 FTEs and $645,000 to reflect the transfer of project management services, to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the goal of Public Impact, NZP will devote significant resources to its animal exhibits and the care of the animals in the Zoo. As NZP modernizes the oldest areas and develops new exhibits, many more people will be inspired by what they experience and will leave determined to care about the animals they met. A major portion of the NZP staff and the budget will be used to provide state-of-the-art medical care, nutrition, health, security, and welfare for all NZP animals, as well as safety for staff, visitors, and volunteers.

NZP is also committed to renovating and modernizing the Zoo. The development of the first phase of the Asia Trail will provide homes for animals from the Asian subcontinent, most of which are endangered in their

native habitats. In addition, the opening of the new Kids' Farm and the renovation of other exhibits will enhance the museum experience for visitors. The Kids' Farm exhibit is intended to be a child-oriented experience that will feature contact opportunities with farm animals. As the Zoo's first major exhibit specifically targeted to children, it is expected to be immensely popular.

NZP will continue to incorporate and link science into existing and new exhibits, while increasing the visibility and scope of its conservation efforts. The Amazonia Science Gallery is one focal point for these efforts, where at least one of three science labs will be open for public interaction every day, and five new science displays are planned. In addition, by the end of 2004, the Zoo plans to have the first of 10 new combined programs in place. These programs will integrate exhibition of a species at the Zoo, active scientific research involving the species both at the Zoo and in the wild, and collaborative efforts to conserve the species. Current prime examples are the giant panda and golden lion tamarin programs. Both involve innovative and exciting public presentations at the Zoo, and allow the visitor to actually observe research in progress as well as learn about NZP research and conservation programs in China and Brazil. The Zoo eventually will feature about 15 such programs.

To achieve the goal of Focused, First-Class Science, NZP will devote resources to addressing significant scientific and conservation issues dealing with key species and critical habitats through studies of animals in the field and in captive environments. For example, biologists are discovering the reproductive patterns of many different endangered species such as the Asian elephant and are learning to provide reproductive assistance for endangered animals in captivity and in the wild. Zoo veterinarians are studying viral disease in animals, including a new focus on West Nile Virus. The goal is to provide better protection for Zoo animals, but the results might also be useful in understanding the spread of this disease in humans. Zoologists are learning how to reintroduce zoo-born animals to the wild to reinforce dwindling wild populations. The results of the Zoo's research will be distributed to a wide range of scholars, university researchers, and field biologists. NZP invites research participation and collaboration by students and outside colleagues. Such training contributes to placing the Smithsonian Institution at the center of international scientific advancement.

To achieve the goal of Management Excellence, the Zoo will continue to provide management support for all programs. NZP will aggressively execute its long-range renewal plan and continue its modernization and improvement programs in the areas of administration, budget, and information technology. Infrastructure support to the animal exhibits remains

an around-the-clock operation. Police protection and security are critical and the Zoo is implementing the recommendations of the recently completed security threat and vulnerability assessment.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (143 FTEs and $ 11,174,000)

• Ensure that 100% of animals receive vaccinations and antiparasitic treatments as due and 75% of mammals receive annual exams

• Construct Asia Trail, Phase I and complete relocation of all animals displaced by the exhibit

• Begin design of Asia Trail, Phases II and ///, the new habitat for Asian elephants

• Open the Kids' Farm exhibit

• Design and develop plans for an Asian Heritage Garden to tie in with the Asia Trail project

Maintain the high caliber of Smithsonian research (12 FTEs and $865,000)

• Produce at least five new science displays and have at least one science lab open for public interaction

• Include NZP scientists in the planning of all new exhibits, and highlight research results

• When animal deaths occur, use necropsy findings to establish preliminary cause of death within 72 hours and final cause within 4 weeks

• Publish new necropsy findings in peer-reviewed journals

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (21 FTEs and $1,514,000)

• Teach at least five courses in conservation management at Front Royal or in other countries

• Distribute research results to a wide array of users, including universities and decision makers

• Develop and/or maintain an average of at least two partnerships or collaborations per scientist

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (22 FTEs and $1,977,000)

• Execute long-range renewal plan

• 80% of customer needs in administrative areas are met, as measured by responses to internal surveys

• 95% of users are trained on use of new financial system

• Increase media contacts to 15-25 per week

Ensure optimal safety and protection of Smithsonian facilities, national collections, staff, visitors, and volunteers (41 FTEs and $2,793,000)

• Provide 100% of the increased security patrols recommended in the security threat and vulnerability assessment

• Respond to animal life-support systems and animal containment failures within 20 minutes 95% of the time

NONAPPROPRIATED RESOURCES-General trust funds support salaries and benefits of personnel, general support, outreach, and acquisitions. Donor/sponsor designated funds support costs related to specific programs and projects, such as conservation, research, and training. Beginning in FY 2004, a large percentage of these funds will also supplement federal funding for renovating and modernizing the Zoo. Government grants and contracts support research. NZP education, visitor services, and volunteer programs are funded almost exclusively with nonappropriated funds.

SMITHSONIAN ASTROPHYSICAL OBSERVATORY

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Smithsonian Astrophysical Observatory (SAO) is to conduct research to increase understanding of the origin and evolution of the universe and to communicate this information through publications, teaching, and public presentations. SAO is probably the largest and most diverse astrophysical institution in the world. It has pioneered the development of

orbiting observatories and large ground-based telescopes, the application of computers to astrophysical problems, and the integration of laboratory measurements, theoretical astrophysics, and observations across the electromagnetic spectrum. Observational data are gathered by instruments aboard rockets, balloons, and spacecraft, as well as by ground-based optical, infrared, and gamma-ray telescopes at the Fred Lawrence Whipple Observatory in Arizona, by an optical telescope at the Oak Ridge Observatory in Massachusetts, by a submillimeter array nearing completion in Hawaii, by a small submillimeter telescope at the South Pole, and by a small millimeter-wave telescope in Massachusetts. Headquartered in Cambridge, Massachusetts, SAO is a member of the Harvard-Smithsonian Center for Astrophysics, along with the Harvard College Observatory.

To achieve the goal of Public Impact, SAO will continue to conduct outstanding national programs of science education. SAO will address the goal of Focused, First-Class Science by maintaining its leadership position in astrophysics through the high level of productivity of its permanent scientific staff and by promoting collaborations with visiting scientists and academic research institutions. Management Excellence will be achieved by modernizing SAO's information technology systems and functions, and promoting and maintaining a diverse workforce and culture of equal opportunity in all aspects of SAO's employment.

For FY 2004, the estimate includes an increase of 1 FTE and $172,000 for the VERITAS project and $408,000 for necessary pay for existing staff funded under this line item. Also included in the request is $100,000 for rent increases, justified under the Non-discretionary Costs section of this budget.

MEANS AND STRATEGY

To achieve the goal of Public Impact, SAO will continue to develop curricula and materials that reflect current scientific and educational philosophy; will maintain its leadership in precollege science education by identifying and addressing the needs of science teachers and students in elementary, secondary, and college science, with an emphasis on grades K-12; and will continue teacher professional development in conjunction with the Annenberg/CPB TV Channel to reach channel licensees and schools.

To achieve the goal of Focused, First Class Science, SAO is directing its resources primarily to making substantial progress in answering four fundamental questions (following each is a brief description of one or two examples of progress made in FY 2002):

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How did large-scale structures such as galaxies and clusters of galaxies form and evolve?

SAO scientists found that the brightest x-ray sources in their survey of the Andromeda galaxy come not from within the spiral arms of the galaxy itself, as had been expected, but from the globular clusters of stars that surround the galaxy. In Andromeda, the brightest x-ray star is about ten thousand times more luminous than the sun and is located in a globular cluster. Extreme x-ray sources, like this one, hold clues to the forces that helped to shape these clusters, and hence clues to the processes that shaped the Andromeda galaxy itself and perhaps our own Milky Way galaxy as well.

How do stars—including the sun —and planets form, evolve, and behave? What are the implications for life in the universe in general and on Earth in particular?

SAO scientists —using the Hubble Space Telescope—were leaders in the first-ever detection of the atmosphere of a planet orbiting another star. This is a major milestone in astronomy because it proves that at least some extrasolar planets have atmospheres and shows that it is possible to study their chemistry from Earth, and to search for the chemical markers of life. With colleagues from other institutions, SAO scientists also discovered a planet in a triple-star system, only the second known case of a planet in such a triplet.

SAO scientists and their team have been watching the sun closely. The sun undergoes 11-year cycles of activity, and when it approaches its cycle maximum (last in 2000), active regions with intense magnetic fields increase in number. These regions can erupt, hurling energetic, charged particles towards Earth as part of a solar wind. SAO scientists use the Solar and Heliospheric Observatory satellite and their on-board instrument, the Ultraviolet Coronagraph Spectrometer (UVCS) to make their observations. UVCS is the only instrument able to measure the speeds and temperatures of atomic particles from coronal holes in the extended solar corona. Scientists think that an understanding of these physical processes of the solar wind is essential to the development of a long-range space weather prediction capability.

How do compact objects—black holes and neutron stars —form, evolve, and interact with their surroundings?

Using the Chandra X-ray Observatory, SAO scientists discovered evidence for a fantastic explosion and an outpouring of material from the

vicinity of the black hole at the center of the galaxy NGC 4636 located about 50 million light years from Earth. From the present understanding of how these galactic black holes become so destructive, it does not seem likely that the Milky Way will undergo a similar disruption any time soon, but its center does show evidence for much smaller scale activity.

SAO scientists also discovered an enormous x-ray jet—over a million light years in length —shooting out from the core of a distant quasar. The jet appears to have resulted from an explosion that occurred about 10 billion years ago near the quasar's central supermassive black hole. This discovery will help scientists better understand quasars and how they formed. It may also help clarify the nature and behavior of massive black holes.

SAO scientists observed a suspected neutron star located about 450 light-years away. Neutron stars, the ashes of certain supernovae explosions, contain about as much mass as one and one-half suns, but squeezed into a volume only about ten kilometers in radius. The extreme conditions in neutron stars are unattainable in laboratories, and so these stars divulge properties of fundamental particles, like neutrons, whose behavior in such environments can only be studied from astronomical observations. The SAO-led team discovered that the "neutron star" they observed seemed to be at most eight kilometers in radius and maybe even only half that size. They speculated that since some models of quarks, now thought to be the basic building blocks of all matter, would allow them to condense into a quark star, this object was just such a star and represents a new kind of matter.

• How do the basic properties of matter and light affect the behavior and evolution of the universe and its contents?

SAO scientists completed the most accurate experiments ever done to explore the behavior of matter as its orientation and velocity in the universe are changed. No effect was discerned to a limit of a few parts in ten million trillion trillion and a thousand trillion trillion, respectively. SAO scientists also developed a theoretical model that shows how the ubiquitous cosmic microwave background will exhibit anomalies. These anomalies are relics from early times and will allow us to probe the structure of the universe in its very early stages of evolution. A new analysis of the interaction of electrons with molecules, carried out by SAO scientists, may help explain a current mystery—the origin of the background of x-rays that suffuse the sky and were detected by SAO satellites.

During FY 2003 and FY 2004, SAO scientists will continue to address these questions and make further progress towards answers. In addition, with the increase in funding requested for FY 2004, SAO will embark, with national and international partners, on the VERITAS (Very Energetic Radiation Imaging Telescope Array System) project to develop second-generation instrumentation. The goal of this project is to exploit SAO's pioneering development of the field of very-high-energy gamma-ray astronomy.

To achieve the goal of Management Excellence, SAO will continue in FY 2004 to modernize its information technology systems and functions by participating fully in the implementation of the HR module of the Institution's Enterprise Resource Planning (ERP) system. SAO will also promote and maintain a diverse workforce and culture of equal opportunity in all aspects of its employment by maintaining the widest feasible distribution of recruitment announcements and individual job postings.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Provide diverse national audiences with high-quality education resources (4 FTEs and $399,000)

• Maintain SAO's leadership in precollege science education

• Continue teacher professional development in conjunction with the Annenberg/CPB Channel to reach

• 1000 Channel licensees including PBS stations, cable access stations, schools, and universities

• 80,000 schools

• An average of 48,000 website hits to Channel workshops page per month

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (118 FTEs and $20,932,000)

• Maintain a high number of publications in scholarly books and peer-reviewed journals (at least 300 in FY 2004)

• Continue to make at least 100 presentations at professional meetings

• Secure nearly three non-appropriated dollars for every federal dollar spent to conduct research

• Maintain the scientific computing infrastructure

Management Excellence

Modernize the Institution's information technology systems and functions (1 FTE and $401,000)

• Actively participate in the implementation of the ERP Human Resources module

Recruit, hire, and maintain a diverse workforce and promote equal opportunity (7 FTE and $69,000)

• Maintain the widest feasible distribution of recruitment announcements and individual job postings

FY 2004 REQUEST-EXPLANATION OF CHANGE

The FY 2004 budget estimate includes an increase of $680,000 and 1 FTE. Included in the request is $100,000 for rent increases, justified under the Rental Space section of this budget and $408,000 for necessary pay for existing staff funded in this line item. The request also includes: • (+ $1 72,000, + 1 FTE) to exploit SAO's pioneering development of the field of very-high-energy gamma-ray astronomy.

SAO is the world's pioneer in the field of very-high-energy gamma-ray astronomy, which studies the sources of the highest energies of light ever detected in the universe. To maintain this position and meet the goal of Focused, First-Class Science, SAO is embarking on VERITAS (Very Energetic Radiation Imaging Telescope Array System), with national and international partners to develop second-generation instrumentation. This project is included in Astronomy and Astrophysics in the New Millennium (May 2000), the report of the Astronomy and Astrophysics Committee of the National Research Council, as one of the priorities for ground-based initiatives in astronomy. SAO is taking the lead role in this project, which involves a consortium of 10 U.S. and international research and academic institutions. An additional senior staff member (astrophysicist, GS-1 5) is critical to the success of this large, collaborative program. The VERITAS construction costs of about $26 million are being shared by the U.S. Department of Energy (DOE) and the National Science Foundation (NSF). SAO's planned funding for constructing VERITAS instrumentation is included in the FY 2004 DOE budget request. In addition, the British and Irish equivalents of the National Science Foundation are contributors to this project. The operations and maintenance of the array will be funded almost exclusively by these agencies.

NONAPPROPRIATED RESOURCES —General trust funds provide some of the support for research, fellowships, and business expenses. Overhead from grants and contracts provides partial support for salaries and benefits of personnel and general operations.

SMITHSONIAN CENTER FOR MATERIALS RESEARCH AND

EDUCATION

STRATEGIC GOALS: PUBLIC IMPACT AND FOCUSED, FIRST-CLASS

SCIENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Smithsonian Center for Materials Research and Education (SCMRE) is a specialized center for research and training in the preservation and technical study of museum objects, collections, and related materials of cultural or scientific importance. It also serves as a resource for scientific and technical support to the various museums within the Smithsonian as well as to the museum profession at large. Its education and outreach programs serve a wide audience that includes the general public.

To achieve the goal of Public Impact, SCMRE will continue to provide educational opportunities as well as technical information to the nation's museum community. SCMRE's main focus will continue to be the study of materials and development of conservation strategies, in pursuit of the goal of Focused, First-Class Science.

For FY 2004, the estimate includes an increase of $82,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, SCMRE will support the professional museum community and enhance the nation's capability to preserve its cultural patrimony for future generations. SCMRE will aim its educational program at collections care providers with varying degrees of experience and expertise, and will offer training courses, workshops, internships, and fellowships, as well as distance learning techniques. The laboratory's technical information office will continue to serve both the professional community and the general public, which are increasingly concerned with the preservation of family heirlooms and other artistic and historic objects. This office answers direct inquiries and distributes general guidelines in printed or electronic formats, typically handling over 1,000 information requests annually. SCMRE's website will be maintained and continually updated to increase the impact of these offerings. SCMRE will offer public programs, including small exhibits, in collaboration with other institutions nationwide to highlight findings derived from SCMRE research efforts such as the Northern Spanish Frontier program.

The laboratory will vigorously support the efforts of Smithsonian museums to care for the national collections by increasing analytical services and technical assistance for conservation and curatorial programs. Based on polls of museum conservation departments, special training courses and research projects will be initiated to address the most urgent needs identified.

In pursuit of the goal of Focused, First-Class Science, SCMRE will continue to study the long-term properties of materials and composite objects to improve the understanding of how they deteriorate or are damaged by external factors and to formulate effective conservation strategies, techniques, and materials. Research on the effects of temperature and humidity on traditional artists' materials will be completed, and resources will be shifted towards the priority areas of stability of modern synthetic materials and preservation of natural history collections. Security issues in the face of possible terrorist actions will lead to research on the effects on sensitive collection materials of agents used to decontaminate museum buildings after a biological or chemical weapons attack, so that adequate precautionary measures can be devised. The first project in this area will be completed during FY 2004. Research on the production and distribution of trade goods and supplies across the Northern Spanish American Frontier into what is now the USA will move its focus from the Southwest to the Mid-south and Southeastern regions. This work uses analytical facilities at the National Institute of Standards and Technology in addition to equipment on SCMRE's premises.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Expand a national outreach effort (9 FTEs and $ 1,078,000)

• Provide technical information support through answers to public inquiries (>400) and through conservation-related materials distributed via the Web or in other ways (>500)

• Plan, organize, and carry out educational offerings, including five workshops and three internships/fellowships, on issues relevant to the museum conservation community

• Provide 30 percent new information and revise 20 percent of existing information on SCMRE's website

• Provide information related to the conservation concerns of the general public and target more than 1 50 downloads per year

Maintain the high caliber of Smithsonian research (1 FTE and $64,000)

• Complete more than 400 analyses of Spanish Colonial pottery pertaining to the founding of Texas missions and disseminate the results through participating historical organizations

Judiciously build, refine, care for, and manage the national collections (5 FTEs and $684,000)

• On request, provide analytical services (>500) to Smithsonian units to assist in the care and curation of the collections

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (14 FTEs and $1,716,000)

• Complete research involving the testing of two peroxide reagents used for the mitigation of chemical and biological warfare agents on cultural objects and assess the potential for damage

• Publish one English and one Spanish language e-book on the contextual analysis of archaeological materials to maintain SCMRE's prestigious international standing in this area

• Complete research on the effects of temperature and humidity on the behavior of museum objects and materials and submit one monograph for publication.

NONAPPROPRIATED RESOURCES —General trust funds provide support for research and education activities. Donor/sponsor designated funds and grants provide support for costs related to specific programs and projects in research, education, and outreach. The National Center for Preservation Technology and Training of the National Park Service provided grant support for the research program on biochemical hazards decontamination and the Samuel H. Kress Foundation continued to support the archaeological conservation training program.

SMITHSONIAN ENVIRONMENTAL RESEARCH CENTER

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Smithsonian Environmental Research Center (SERC) is dedicated to meeting the global challenge for improved stewardship of the biosphere through long-term, large-scale analysis of human impact in the coastal zone. SERC research has clear relevance to societal needs and issues of environmental management and human impact because of its integrative, multi-disciplinary approach, further emphasized because 70 percent of the world's population resides in the coastal zone. SERC provides answers to environmental questions through data, analysis, publications, and expert consultation in support of conservation, environmental policy, and management of natural resources.

To achieve the Institution's goal of Public Impact, SERC's public education and outreach program interprets and presents SERC's scientific research to diverse public audiences, which include school children and science teachers, students and visiting scientists developing professional careers in the environmental sciences, and the general public. To achieve the goal of Focused, First-Class Science, SERC utilizes its unique site on the shore of Chesapeake Bay and other sites including the Smithsonian Marine Science Network to investigate the ecological interconnections of aquatic, terrestrial, and atmospheric components of complex landscapes, with comparative studies at regional, continental, and global scales. To accomplish Management Excellence, SERC will improve management of research and education programs, update management systems and functions, advance construction of its long-term Facilities Master Plan, and ensure safety and protection of staff, fellows, volunteers, and visitors.

For FY 2004, the estimate includes an increase of $74,000 for necessary pay for existing staff funded under this line item and a decrease of 7 FTEs and $672,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To achieve the goal of Public Impact, SERC will offer public education and outreach programs to approximately 10,000 school children per year at its Chesapeake Bay site. Most SERC education programs are teacher-led activities that develop science curricula and empower teachers in the environmental sciences. SERC is also actively developing and presenting an array of distance learning capabilities, including electronic field trips for students across the nation, webpages to support science curricula and provide scientific background information on environmental issues, and interactive video conferencing. SERC outreach also includes lecture series,

workshops, and expert consultation for the public, teachers, natural resource managers, and legislators. To train the next generation of environmental scientists and managers, SERC conducts a nationally recognized professional training program for university interns, graduate students, postdoctoral fellows, and visiting scientists, with a particular focus on developing careers of underrepresented minorities.

To meet the goal of Focused, First-Class Science, SERC will use its invaluable 2,700-acre site on the Chesapeake Bay, where its scientists investigate the interconnections of aquatic, terrestrial, and atmospheric components of complex landscapes. SERC develops innovative approaches and instrumentation to measure environmental change in four ecological levels: global change, landscape ecology, ecology of coastal ecosystems, and population and community ecology, and has developed unique long-term and experimental datasets on environmental change. SERC is also a participant in the development of the Smithsonian's unique Marine Science Network of sites along the western Atlantic Ocean for comparative coastal studies, and in the use of Smithsonian long-term field stations to assess ecological patterns and processes. Over its 37-year history, SERC has built a reputation for world-class research, producing many articles that are rich in data and multi-disciplinary and integrative in analysis.

Building on existing strengths and unique programs, SERC seeks to enhance its highly successful ongoing research on the following topics: land-sea linkages of ecosystems, landscape ecology of coastal watersheds, estuarine ecology, invasive species (especially in coastal ecosystems), global change impacts on biotic and chemical interactions, biocomplexity of structure and processes in key ecosystems, and community and population ecology. Over the next five years, SERC research on coastal marine ecology will focus on four key, interrelated areas: the structure and dynamics of marine food webs, the integrity and biodiversity of crucial marine ecosystems, linkages of ecosystems at the land-sea interface, and ecological regulation of marine biodiversity. SERC seeks to expand its expertise in the ecology of microbial processes, which dominate biogeochemical interactions in the environment. To implement these goals SERC will link its research with national and international research networks and enhance the Marine Science Network. SERC is also developing scientific and technological capabilities in analytical chemistry, remote sensing, and instrumentation.

To address the goal of Management Excellence, SERC will link its strategic plans to the elements of the Institution's plan as they emerge from the Smithsonian's Science Commission. SERC is improving its management of research and education programs through operation of a system of committees in administration services, research execution, education programming, information technology, fellowship and internship programs,

and scientific technical services, and close integration with its external Advisory Board. SERC will improve services and infrastructure, focusing on contracting, accounting, and financial projections through training and use of new software systems, and increased coordination and communication with the Institution's central administrative offices. SERC will ensure safety and protection of volunteers, staff, and visitors by sustaining its excellent program of supervised inspections and staff involvement.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Expand a national outreach effort (0 FTEs and $12,000)

• Enhance SERC's webpage to provide greater information to the public

• Maintain participation of minorities and underrepresented communities in training programs, on-site visits, and distance learning programs at current levels or better

Provide diverse national audiences with high-quality education resources (1 FTE and $63,000)

• Sustain current level of on-site visits by schoolchildren, teachers, professional scientists, natural resource managers, and the general public, and also extend programming into schools

• Continue teacher training workshops at the current level

• Continue to develop and implement both regional and national distance learning programs to interpret SERC's environmental research for students, teachers, and the general public

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (25 FTEs and $2,344,000)

• Maintain data acquisition for SERC's unique long-term data sets in seven areas (species composition and population dynamics, estuarine water quality, flow of nutrients, invasive species, atmospheric increase in CO2, ultraviolet radiation, and biocomplexity of mangrove forest ecosystems)

• Enhance highly successful environmental research funded by competitive external grants and contracts on land-sea linkages, landscape ecology, invasive species, global change, biocomplexity, community and population ecology, coastal marine and estuarine ecology, and microbial ecology

• Link and coordinate SERC research with national and international research networks, as well as governmental agencies

• Develop and enhance technological approaches for analytical chemistry, remote sensing, and molecular biology

• Sustain high-quality professional training for the next generation of scientists and natural resource managers, with emphasis on career development for underrepresented minorities

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (5 FTEs and $272,000)

• Update and link SERC's strategic plans to elements of the Institution's plan, as it is updated based on the Smithsonian's Science Commission report.

• Improve SERC management of research and education programs with input from a system of unit committees and external input.

• Sustain and improve management and services for SERC's high level of external grants and contracts

Modernize the Institution's financial management systems and functions (3 FTEs and $22 7,000)

• Train 100% of staff responsible for financial, budget, and procurement transactions to implement the first phase of the Institution's Enterprise Resource Planning System

• Improve coordination with Offices of Sponsored Projects, Development, and Fellowships

• Improve personnel management through timely and improved staff recruitment and performance evaluations

NONAPPROPRIATED RESOURCES-General trust funds provide support for fundraising and intern/fellowship programs. Donor/sponsor designated funds provide critical operating support related to specific programs and projects in research, public education, and professional training. The bulk of SERC's research programs are supported by government grants and contracts.

SMITHSONIAN TROPICAL RESEARCH INSTITUTE

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Smithsonian Tropical Research Institute (STR!) is to increase understanding of the past, present, and future of tropical biodiversity and its relevance to human welfare. Biologists have long recognized that the greatest concentration of biological diversity occurs in the Tropics, and STRI's research seeks to explain the origins of tropical diversity and how it is maintained, including an understanding of how

humans have affected tropical biodiversity throughout time. STRI serves the scientific community by maintaining first-class facilities for tropical studies, mostly in the Republic of Panama where it is the official custodian for the Barro Colorado Nature Monument, which has been continually studied for 80 years. The Institute also provides essential training and research experience for future tropical biologists.

To achieve the goal of Public Impact, STRI will strengthen mechanisms to disseminate the results of its research to lay and professional audiences and will provide content for programs that support science education. STRI will address the goal of Focused, First-Class Science by keeping its leadership position in tropical research through maintaining productivity of its permanent scientific staff, increasing the number of research fellowships, and promoting collaborations with visiting scientists and academic and scientific institutions. Management Excellence will be achieved by streamlining various administrative processes required to maintain a complex institution such as STRI, where employees and visitors work and often live in geographically dispersed and remote tropical locations.

For FY 2004, the estimate includes an increase of $251,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact by effectively communicating research findings and the relevance of its research programs, STRI will increase the number of publications and conferences given by its staff aimed at its lay and professional audiences including policymakers and the general public. In FY 2004, STRI research will provide the content base for a program that uses technological media to further understanding of the role tropical forests play in global systems. The program is aimed at middle school students and teachers and is supported by the Jason Foundation.

To meet its principal goal of maintaining leadership in tropical research, STRI provides basic support for its staff scientists to conduct projects that will increase knowledge about the tropics and their global implications. These projects frequently span several years, involve collaborators from around the world, and result in publications in peer-reviewed journals. In FY 2004, STRI will strengthen its current research program on microorganisms in tropical soils. These organisms play a crucial role in the survival and growth of forest plants and thereby affect the global carbon cycle. This research fills a critical gap in knowledge of tropical forests and their role in the carbon cycle that is of vital importance to life on Earth.

Most projects at STRI have a geographic component, from projects studying forest dynamics in 50-hectare plots to studies of coral reefs, mangroves, and seagrasses on the Caribbean coast of Panama. STRI will complete construction of a research station on the Caribbean coast.

Another strategy for supporting first-class tropical research at STRI consists of providing visiting scientists and students with the necessary infrastructure and support to base their programs, often supported by the National Science Foundation and other federal or private sources. STRI offers visiting researchers access to protected field sites, logistical support, and the only marine program with laboratory and field facilities in both the Atlantic and Pacific oceans. In FY 2004, STRI visiting scientists will track and study wildlife in the tropical forest on Barro Colorado Island using seven radiotelemetry towers installed throughout the 3,700-acre island.

STRI also participates in the training of the next generation of tropical researchers and aims to increase fellowship support to aspiring scientists, junior scientists, and graduate students who have demonstrated potential for careers in its research fields.

To address the goal of Management Excellence, STRI has taken steps to incorporate new technologies to streamline its administrative processes and will continue ongoing efforts to attract and retain the best-qualified workforce to maintain the Institute's leadership position in tropical research. To provide first-class facilities for its scientific staff and visitors will require a continuation of programs to upgrade infrastructure, including the telecommunication network linking STRI sites. A priority in FY 2004 will be to implement STRI's safety and security plans for all facilities.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Maintain the high caliber of Smithsonian research (7 FTEs and $271,000)

• Increase publications and conferences based on research to more than 52 per year

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (124 FTEs and $6,139,000)

• Maintain core of 35 productive scientists at current level, working with fellows and visiting researchers who will publish their results in 75 articles in peer-reviewed journals

• Maintain number of visiting researchers at current level of 500 annually

• Begin soil microorganism studies

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (111 FTEs and $4,870,000)

• Implement new Security and Safety Plan at STRI facilities

NONAPPROPRIATED RESOURCES —General Trust funds provide support for salaries and benefits of personnel. In addition, these funds provide general support for research, fellowships, publications, and fund raising. Donor/Sponsor designated funds provide support for costs related to specific programs and projects, such as research and the purchase of scientific equipment. Government grants and contracts provide support for research, internships, and symposia.

OUTREACH

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

Through a coordinated national outreach program, the Institution expands the presence of the Smithsonian Institution across the nation and exposes the entire country to the rich heritage of the American people. The Smithsonian's outreach activities support community-based cultural and educational organizations around the country; ensure a vital, recurring, and high-impact Smithsonian presence in all 50 states through traveling exhibitions and a network of affiliations; increase connections between the Institution and targeted audiences (African American, Asian American, Latino, Native American, and new American); provide kindergarten through college-age museum education and outreach opportunities; enhance K-12 science education programs; facilitate the Smithsonian's scholarly interactions with students and scholars at universities, museums, and other research institutions; and publish and disseminate books related to the research and collections strengths of the Institution.

This line item includes the programs under the Office of National Programs that provide the critical mass of Smithsonian outreach activity: the Smithsonian Institution Traveling Exhibition Service (SITES), the Smithsonian Center for Education and Museum Studies (SCEMS), and Smithsonian Affiliations. The Smithsonian Associates (TSA), which receives no federal funding, is also part of this national outreach effort. This line item also includes the National Science Resources Center (NSRC), Office of Fellowships (OF), and Smithsonian Institution Press (SIP).

For FY 2004, the estimate includes an increase of $828,000 in two-year funds for the fellowships and scholarly research awards programs, and an increase of $182,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To help achieve the goal of Public Impact, the units under this line item will direct resources to the following activities:

Smithsonian Traveling Exhibition Service - SITES is directing a portion of its resources to complete the production of an alternative-format traveling exhibition that will result in expanded visitor attendance, geographic distribution, and opportunities to serve diverse population groups. Central to meeting these objectives is a mobile museum in which SITES exhibitions travel on board a state-of-the-art gallery van, thus reaching far greater numbers of places and people than museums and other community institutions can accommodate. One mobile museum exhibition will launch a

multi-year national tour in FY 2004. Entitled Smithsonian Across America: A Celebration of National Pride, it will include 40 artifacts representing major historical events, landmark discoveries, and cultural attributes that reflect America's strength and vitality. The exhibit also will include more ordinary objects of everyday life, reaffirming the Smithsonian's role as keeper of the nation's shared cultural heritage: sports pennants, campaign buttons, historic lunch boxes, antique toys, television and movie props, and multi-lingual store-front and street signs, among other artifacts.

The Smithsonian's commitment to public impact and underserved audiences continues to be enhanced by SITES' Museum on Main Street (MoMS) program, which circulates exhibitions to rural communities across the country. In FY 2004, an exhibition about American Indian code talkers will join five MoMS shows already on the road, increasing from 31 to 43 the number of states included in the program and adding 24 small towns to the 380 that have hosted a Museum on Main Street exhibition so far.

The new, more conventional exhibitions in the SITES program for FY 2004 also support the Smithsonian's Public Impact goal and the Institution's objective to respond more fully to America's diverse population groups. Sevruguin and the Persian Image, Mohawk Ironworkers Build, a bilingual (English-Spanish) ecology exhibition entitled The Magic Web, and Remembering Slavery will begin their national tours in FY 2004. Four other exhibitions will begin touring in FY 2004, including First Ladies: Political Role and Public Image, United We Stand: Flying the American Flag, and From Turbines to Tupperware from the National Museum of American History and In Search of Giant Squids from the National Museum of Natural History. Once launched, these exhibitions will join 45 others already on the road.

Smithsonian Affiliations - To achieve the Institution's goal of Public Impact, Smithsonian Affiliations will continue to utilize its staffing resources to reach Americans where they live. Working under the umbrella of the Office of National Programs and with museums and units throughout the Institution, Affiliations will facilitate and increase partner relationships with museums across the country, enabling the negotiation of Smithsonian objects to be shared and encouraging the sharing of memorable stories and educational opportunities connected with our nation's scientific, artistic, and cultural heritage.

Smithsonian Center for Education and Museum Studies - To achieve the Institution's goal of Public Impact, SCEMS will continue to forge partnerships with national and regional associations in order to identify the current needs and interests of educators and museum professionals and to help design Smithsonian programs and resources accordingly.

In 2004, SCEMS will complete a three-year program with Montgomery County Public Schools to train a teaching team from every elementary school in the county. The focus will be on using museum resources to teach American history. SCEMS will increase the use of Smithsonian programs, services, and resources by disseminating them broadly via the Internet and print publications. The SCEMS periodical publication Smithsonian in Your Classroom will be sent to every elementary and middle school library in the country. SCEMS will build larger audiences for its websites by improving their usability, increasing cross traffic, and implementing strategic outreach to potential website visitors.

To achieve the goal of Management Excellence, SCEMS will improve the quality of Smithsonian websites and publications by collaborating with education units to develop standards/guidelines. SCEMS will conduct the annual survey of education at the Smithsonian, using the data to provide ongoing analysis of education programs, offer training to Smithsonian staff in strategic planning for education, and develop and implement a system for evaluating the relevance and effectiveness of the programs. SCEMS will also promote learning and discussion within the Smithsonian community through forums, Institution-wide steering committees, informal exchanges, internship programs, and collaborative projects.

Smithsonian Institution Press - To achieve the goal of Public Impact, SIP will ensure that publications are well written, of exceptional scholarly quality, and accessible to general readers. In addition, SIP will widen the reach of its sales and distribution networks in the United States. To meet the goal of Focused, First-Class Science, SIP will increase the potential for public use of the collections and scientific research done in the Institution by continuing to publish materials in the Contributions and Studies Series Program.

Office of Fellowships - To achieve the goal of Public Impact, OF will focus on publicizing undergraduate and graduate research opportunities and other educational activities at the Smithsonian. To meet the goal of Management Excellence, OF will continue to improve its customer services to the public, Smithsonian research staff, fellows, students, and other visitors interested in the programs of the Institution.

National Science Resources Center - To achieve the goal of Public Impact, NSRC will sustain effective K-12 science programs with school districts representing 12% of the nation's students and enable school districts representing an additional 25% of the nation's students to implement research-based science programs in the next five years.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Expand a national outreach effort (63 FTEs and $6,152,000)

• Complete and launch a multi-year national tour of one mobile museum exhibition, increasing by 1 50 the number of locations to which SITES shows can travel and by 500,000 the number of people who visit the exhibitions

• Complete and launch multi-year tour of new Museum on Main Street exhibition for rural communities, increasing by 24 small towns and 12 states the number of locations that participate in the Mo MS program

• Complete and launch multi-year national tours of four new exhibitions that address culturally diverse audiences

• Complete and launch multi-year national tours of two American history exhibitions, one aviation history exhibition, and one exhibition highlighting the Smithsonian's scientific research

• Continue to extend the Affiliations program into all 50 states (1 6 remaining)

• Build ten new partnerships with targeted cultural and educational organizations

• Publish approximately 50 new titles a year through Smithsonian Institution Press

• Reorganize the sales and distribution network of Smithsonian Institution Press, and distribute more average copies per title published

Maintain the high caliber of Smithsonian research (0 FTEs and $10,000)

• Place advertisements in scientific journals and other newsletters announcing research opportunities at the Institution

• Publish and distribute the publication Smithsonian Opportunities for Research and Study and Smithsonian Fellowship Program posters to universities, colleges, and other research and academic institutions

Provide diverse national audiences with high-quality education resources (9 FTEs and $1,004,000)

• Provide 20,000 educators and museum professionals from all 50 states with access to Smithsonian education resources through professional development workshops and online training

• Provide Smithsonian education resources to 80,000 schools on a regular basis

• Develop and implement a plan for the dissemination of Science and Technology Concepts for Middle Schools curriculum materials to the nation's 16,000 school districts

Deliver the highest quality visitors' services (3 FTEs and $292,000)

• Increase number of SCEMS website visitor sessions to 3 million

Focused, First-Class Science

Strengthen capacity and establish preeminence in four science research areas of emphasis (4 FTEs and $ 1,155,000)

• Continue to publish, in print medium, 10 to 15 publications a year reflecting the results of Smithsonian scientific inquiry in the Contributions and Studies Series program.

• Make available through the Smithsonian Institution Press website all of the scientific abstracts in the Contributions and Studies Series Program.

• Support approximately 25 awards for fellowships and scholarly studies to ensure infusion of new scientists and conduct of highest caliber research.

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (8 FTEs and $591,000)

• Develop education website standards benchmarked against national or industry best practices

• Complete 2003 Smithsonian-wide education survey as part of 5-year Strategic Plan and FY 2003 Performance Plan

• Improve the content, usability, and management of the Office of Fellowships website about current research opportunities

• Attend conferences and career workshops at universities and colleges to share information about programs at the Institution

• Continue to review all fellowship stipend appointments to ensure they are awarded in accordance with all regulations

Strengthen human capital resources (2 FTEs and $189,000)

• Provide training on strategic planning to 25 Smithsonian education units

• Provide six professional development opportunities for Smithsonian staff to meet unit-training and human-capital development goals

FY 2004 REQUEST-EXPLANATION OF CHANGE

The Institution requests an increase of $828,000 in FY 2004 to support an expanded program of research fellowships and scholarly studies

in line with the recently released recommendations of the Science Commission, as follows:

• ( + $828,000) The increase will support national competition for pre-doctoral and post-doctoral fellowships, and will fund research projects of the highest caliber for the best and brightest Smithsonian scientists. The Science Commission that was appointed in 2001 to review the Institution's science programs and make recommendations for any needed improvements recently issued its final report to the Institution's Board of Regents. One of the Commission's recommendations was that the Institution's fellowships and scholarly studies programs be reinstated. The fellowships program infuses the Smithsonian with the new ideas and approaches that new scientists can bring to the Institution. It also provides a means of training the next generation of scientists while maintaining important connections with universities and other research institutes. The scholarly studies program provides competitive awards to the Institution's most productive researchers in science, the arts, and the humanities. The awards are based on external review, and frequently have multiplier effects in obtaining additional funds from outside sources. This program also allows the Institution to take advantage of unexpected opportunities, such as investigating biological and natural events occurring in the field, as well as maintain basic long-term research through essential supplementary support. These funds are requested to remain available for two years.

If the FY 2004 request is not allowed, both the fellowships program and the scholarly studies program, which are at the core of the Institution's scholarly productivity and reputation, will suffer. Alumni of the Smithsonian Fellowship program occupy important posts in academia, government and the private sector. The opportunities for Smithsonian research scientists to influence and learn from the next generation of scholars will be hampered. Without additional resources for scholarly studies, all of the Institution's programs will be affected, since the research efforts of Smithsonian staff contribute to all of the Institution's public programs, including exhibits. Smithsonian scholars will become less competitive without the benefit of the feedback that comes from this externally reviewed program. Finally, without the seed money that this program provides, the ability to compete successfully for outside funds will be lessened.

NONAPPROPRIATED RESOURCES - General trust funds provide support to defray the costs of staff salaries and benefits, fundraising, exhibition design and production, publications, materials, outside specialists, and contractual services. Donor/sponsor designated funds provide support for costs related to specific projects and programs.

COMMUNICATIONS

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Office of Communications includes two offices: the Office of Public Affairs (OPA) and the Visitor Information and Associates' Reception Center (VIARC). OPA coordinates and oversees public relations for the Smithsonian in conjunction with museums, research centers, and offices to help insure a consistent and accurate message. OPA develops programs to advance the Institution's objectives and acquaints the public with research,

exhibitions, public programs, and other activities of the Smithsonian by working with the news media and by issuing informational materials. VIARC seeks both to broaden the public's knowledge, appreciation, and enjoyment of the Smithsonian and to facilitate and promote participation in its programs and activities. VIARC advances the goal of Focused First-Class Science by providing behind-the-scenes volunteers who assist staff in performing their research.

For FY 2004, the estimate includes an increase of $30,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, the Office of Public Affairs is directing its resources to nationwide mass-media publicity and advertising and to expanding relationships with minority communities through targeted radio and print advertising and publication of visitor's brochures and a newsletter devoted to scientific research.

VIARC advances this goal by disseminating information on public programs, exhibitions, events, and collections. This is accomplished through: content responsibility for four segments of the Smithsonian Web site (Visitor Information, Events, Exhibits, and Encyclopedia Smithsonian); seven-day year-round operation of the Smithsonian Information Center; recruitment, training, scheduling, and supervision of volunteer and staff information specialists at museum information desks; operation of public inquiry mail and telephone information services; and outreach to the local, national, and international tour and travel industry.

VIARC advances the goal of Focused, First-Class Science by providing behind-the-scenes volunteers who assist staff in performing their research. Behind-the-scenes volunteer program staff place volunteers throughout the Institution by matching skills, knowledge, interests, and availability with project requirements. Volunteer assignments range from clerical tasks to highly complex research, conservation, and technical work.

To meet the goal of Management Excellence, the Office of Communications responds to all media inquiries in a timely (same-day) manner with accurate, concise information and initiates story ideas to the media about Smithsonian exhibitions, research, and programs.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Expand a national outreach effort (4 FTEs and $427,000)

• Increase contact with new Americans and ethnic groups — especially Latino, African American, Asian American and Native American—through local radio stations, print advertising and brochures

• Contact local ethnic media to reach targeted groups with story ideas related to their communities and about the Smithsonian

• Maintain and update a website for all journalists that contains news releases, media alerts, biographical material, Smithsonian history, and high-resolution photos

Deliver the highest quality visitors' services (5 FTEs and $442,000)

• Continue to provide accurate and timely information on events, activities, and exhibitions through 1 5 information desks in 11 buildings and the telephone information desk in the Castle

• Update visitor information at least once a day

• Recruit up to 110 new volunteers in FY 2004 to accommodate the new visitors' information desk at the Udvar-Hazy Center

• Keep the VIARC sections of the Smithsonian website updated and accurate

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (1 FTE and $45,000)

• Recruit approximately 550 behind-the-scenes volunteers in FY 2004 to assist Smithsonian units in performing research

• Communicate stories about Smithsonian work in research to news media on a regular basis

Management Excellence

Maintain mutually beneficial relations with the news media and with federal, state, and local governments (5 FTEs and $472,000)

• Respond to all media inquiries in a timely manner with accurate, concise information

NONAPPROPRIATED RESOURCES - General trust funds provide support for salaries and benefits of personnel and other related costs. In addition, these funds provide general support for information dissemination, outreach, publications, and general operations. Donor/sponsor designated funds support costs related to specific programs and projects.

INSTITUTION-WIDE PROGRAMS

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

In 1993, Congress approved and permitted the Smithsonian to reallocate funds to create two Institution-wide funding programs: one to support the units' needs for state-of-the-art research equipment, and the other to address information technology needs across the Institution systematically. In FY 1995, the Institution first received funds to support the development of a third Institution-wide program, this one for Latino

initiatives, including research, collections acquisitions, exhibitions, and educational programming.

Institution-wide programs consist of the following pools: Latino Initiatives pool, Research Equipment pool, and Information Resources Management (IRM) pool.

MEANS AND STRATEGY

To achieve the goal of Public Impact, the Latino Initiatives pool provides seed money to support collections, research, exhibitions, and educational programs highlighting U.S. Latino contributions to science, history, art, music, and culture. The funded programs will enhance public understanding of Latino contributions, reflect the diversity of the American people, and reach new or previously underserved audiences. The Institution has $996,000 in its current base for these initiatives. These funds are dispersed annually to Smithsonian units on a competitive basis, with an emphasis on projects with the potential to attract matching and, ultimately, sustaining funds from nonappropriated sources.

The goal of Focused, First-Class Science will be addressed by providing funds from the Research Equipment pool to purchase state-of-the-art equipment to perform cutting-edge scientific research or for equipment required to carry out historical research and conservation projects. The Research Equipment pool continues to be essential for the science units and research departments of the museums to replace outdated research equipment with new technology or to replace standard equipment that is broken or has outlived its usefulness. The current base funding for the research equipment pool is $1,706,000. The federal base is often leveraged with external support, multiplying the funds available.

In FY 2004, the goal of Management Excellence will be addressed by primarily focusing Information Resources Management (IRM) pool resources on upgrades and enhancements to the Smithsonian's information technology infrastructure, enhancements to the applications and data content of Collections Information Systems in the museums, and making the content available to the public via the Web.

The base amount for the IRM pool is $3,304,000. In FY 2004, the Institution proposes to use $1,846,000 of this amount to support the Managed Information Technology Infrastructure initiative, which is justified under the Administration line item. Annual performance goals related to this portion of the IRM pool finds are also included there.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Expand a national outreach effort (0 FTEs and $1,185,000)

• Conduct a formal evaluation process for each program funded from the Latino pool in FY 2004

• Establish baseline data to determine if underserved audiences are being reached in FY 2004 by Latino-pool-funded initiatives

Focused, First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership (0 FTEs and $1,706,000)

• Increase technological capability through securing cutting-edge instrumentation to meet the highest priority needs across the Institution

• Upgrade and centralize molecular biology equipment that serves over 50 researchers in Smithsonian science centers in the Washington DC area

• Increase the capacity to digitize and make available a wide range of archival documents including photographs and increase access to these documents to researchers around the world via the Web

Management Excellence

Modernize the Institution's information technology systems and functions (0 FTEs and $3,304,000)

• Enhance Smithsonian Collection Information Systems and make the data content available to the public through the Web

FY 2004 REQUEST - EXPLANATION OF CHANGE

The FY 2004 budget estimate includes an increase of $189,000 for

the Latino Initiatives pool as follows:

• (+ 189,000) - This increase will allow the Smithsonian to continue and increase support for research, collections, public and educational programs, and exhibitions that will generate and advance knowledge and understanding of the contributions of Latinas and Latinos to U.S. history, culture, arts, music, and science at a national level. A new awareness is evident at the Smithsonian of the need to ensure diversity and equity by the inclusion of Latino perspectives, and of the opportunities inherent in such diversity. Latinos are the nation's fastest-growing minority and, consequently, the Smithsonian's potentially largest new constituency. Latino scholars, writers, scientists, and artists are making extraordinary contributions to our common fund of knowledge and culture. By expanding the funding base, the Latino Initiatives pool will be able to fund

projects that are usually under-funded and also fund additional worthy projects that reach a national audience. Corridos Sin Fronteras produced by SITES, and El Rio produced by the Center for Folklife and Cultural Heritage, are good examples of projects funded by the Latino Initiatives pool that educate Latinos and non-Latinos about the diversity of Latino culture. Expanding the funding base will also allow the production of more virtual and traveling exhibitions and public programs, and offer more opportunities for participants in fellowship programs throughout the United States.

In response to the FY 2002 Call for Proposals, 32 proposals were submitted for consideration with support ranging from $5,000 to $150,000. Of the proposals submitted, only 20 were funded; the amount of funding ranged from $5,000 to $80,000 covering initiatives in the sciences and humanities.

If the FY 2004 request is not allowed, there will be a negative impact on the Institution's ability to fund worthy proposals at sufficient levels to accomplish our goals of enhancing Latino programs. This in turn will impede the Institution's ability to expand its national outreach to underserved audiences.

OFFICE OF EXHIBITS CENTRAL

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Office of Exhibits Central (OEC) is to provide comprehensive exhibition services to the Smithsonian Institution and the larger museum community so they can provide compelling, high quality, cost-effective exhibitions that connect the American people to their history and cultural and scientific heritages.

To achieve the goal of Public Impact, OEC will expand its project management capability to ensure a more coordinated, full-service, and cost-effective approach to exhibit production. OEC will increase the amount of unique work done inhouse, outsource more production-oriented work, and broaden its collaborations with other Smithsonian units. To achieve the goal

of Management Excellence, OEC will ensure that its cost reimbursement process is fair, reasonable, and sound and will measure progress through feedback from customers.

For FY 2004, the estimate includes an increase of $71,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

As the Smithsonian's most comprehensive exhibition producer, OEC is dedicated to providing its Smithsonian clients with first-class exhibition design, editing, production, and installation services, often at significantly lower cost than commercial alternatives. Each year OEC designs and produces over 100 projects, large and small, for almost every office and museum in the Smithsonian. The Smithsonian Institution Traveling Exhibition Service (SITES) continues to be OEC's largest client.

The majority of OEC resources will be focused on accomplishing the goal of Public Impact by improving the quality of exhibition design, production, and installation services; increasing and maintaining staff knowledge and expertise in state-of-the-art technology, techniques, and advances in the exhibit field and upgrading equipment to support emerging trends; and improving the exhibit process.

To accomplish these objectives OEC will outsource more of the routine, repetitive non-exhibit work to private contractors, thus freeing up OEC staff with specialized experience to concentrate on exhibit projects that require unique skills. OEC will also build on well-established, collaborative relationships with other Smithsonian design and production units, and will expand existing relationships and develop new ones with the many private exhibition design and production companies available today. These efforts will be carried out through our new Project Management Office. Additional results will be a more informed and expert staff through increased funding for training, increased digital output from our graphics services by allocating resources to modernize our Graphic production equipment, and an improved object preparation and storage facility.

OEC has two objectives that support the Institutional goal of Management Excellence: providing leadership, technical advice, and guidance to staff and the museum community; and improving administrative management functions in human resources, budget execution and fiscal data management, and procurement.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (31 FTEs and $2,407,000)

• Expand OEC consultation and exhibit planning services by 10% over FY 2001 levels

• Increase percentage of in-house work devoted to comprehensive, expert exhibit services by 10% over FY 2001 levels

• Expand services through insourcing with Smithsonian units and outsourcing with private industry by 10% over FY 2001 levels

• Expand exhibition installation service by 25% over FY 2001 levels

• Increase staff hours devoted to learning new ideas and concepts and professional development by 10% over FY 2002 levels

• Expand and improve project management capability and resources by 10% over FY 2002 levels

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (4 FTEs and $252,000)

• Highlight the strategic plan, annual performance plan, mission, and vision of OEC and the Smithsonian at monthly staff meetings and weekly unit meetings

• Actively support the diversity goals of the Institution, aiming to increase workforce diversity initiatives such as internships by 10% over FY 2001 levels

NONAPPROPRIATED RESOURCES - General trust funds provide support for salaries and benefits of personnel and associated costs and for Smithsonian Community Committee activities.

MAJOR SCIENTIFIC INSTRUMENTATION

STRATEGIC GOAL: FOCUSED, FIRST CLASS SCIENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Smithsonian Astrophysical Observatory (SAO) is to conduct research to increase understanding of the origin and nature of the universe and to communicate this information through publications, teaching, and public presentations.

To maintain the Institution's goal of Focused, First-Class Science, SAO uses its multi-year funding from the Major Scientific Instrumentation line item to develop large-scale instrumentation projects that enable Smithsonian scientists to remain at the forefront of their fields. Currently funded through this line item are two SAO projects: the development of an array of submillimeter telescopes (SMA) and its instrumentation on Mauna Kea, Hawaii, and instrumentation for the converted Multiple Mirror Telescope (MMT) at SAO's Fred L. Whipple Observatory on Mt. Hopkins, Arizona.

Because of the magnitude of the costs and the time required to fabricate major new instruments and to reconfigure existing ones, the Institution requests funding for these projects to be available until expended.

MEANS AND STRATEGY

FY 2004 base resources will also be used to continue work on three sets of receivers for the SMA. These receivers are necessary to allow observations at a key frequency at which the SMA will operate and to allow polarization measurements, both of which provide critical information on properties of the low temperature universe.

The SMA currently combines the light from five —out of its final total of eight — submillimeter telescopes, simulating the resolving power of a much larger telescope. One of the first results obtained in FY 2002 was an intricate image of the distribution of carbon monoxide gas throughout the spiral galaxy known as the Whirlpool. While optical images trace the stars in the galaxies, the SMA image highlights the molecular clouds where the next generation of stars is being bom.

FY 2004 base resources will also be used to continue the development and construction of two key instruments for the converted MMT: Binospec and FLAMINGOS. Binospec is a wide field optical spectrograph that will allow scientists to study how galaxies have evolved over 75 percent of the universe's lifetime. FLAMINGOS is a powerful infrared camera and spectrograph that will allow scientists to observe star-forming regions in our own galaxy and distant galaxies.

STRATEGIC GOAL AND FY 2004 ANNUAL PERFORMANCE GOALS

Focused First-Class Science

Conduct focused scientific research programs that are recognized for their quality, relevance, and leadership ($5,000,000)

• Produce 5 publications in scholarly books and journals based on the full SMA of 8 antennas

• Complete the preliminary mechanical, optical, and electronic design of Binospec and, after review, begin the detailed design

• Complete the optical design of MMT's FLAMINGOS and the sophisticated electronics required to operate FLAMINGOS's infrared array

MUSEUM SUPPORT CENTER

STRATEGIC GOAL: PUBLIC IMPACT

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Museum Support Center (MSC) is the principal off-site conservation and collections storage facility for the National Museum of Natural History's irreplaceable national collections and those of the National Museum of American History. Located in Suitland, Maryland, this state-of-the-art facility houses more than 31 million objects. MSC accommodates collections storage for three general types of media: collections storage in cabinets, open shelving for biological specimens in alcohol, and high bay storage for very large objects, such as totem poles, boats, meteorites, and large mounted mammals.

The facility also houses laboratories for molecular systematics, conservation, and other specialized research. The MSC staff provides administrative, shipping, and receiving services; oversees safety and security

operations; and maintains strict environmental and cleaning services required for the proper storage of museum collections. The staff also provides computer support services for administrative, research, and collections management data needs. MSC Move staff technicians inspect objects for pests and conservation problems, clean objects, and stabilize objects prior to their re-storage at MSC.

For FY 2004, the estimate includes an increase of $33,000 for necessary pay for existing staff funded under this line item and a decrease of 17 FTEs and $824,000 to reflect the transfer of facilities management services to the Office of Facilities Engineering and Operations.

MEANS AND STRATEGY

To support the goal of Public Impact, funding will be used to provide more reliable environmental conditions by upgrading environmental control systems; upgrade facilities to meet laboratory requirements for conservation needs; complete the relocation into permanent storage of large mounted mammals and birds currently in leased space; and prepare collections stored in alcohol and other fluids for relocation from the Natural History Building to MSC.

Included in the Smithsonian's FY 2004 Facilities Capital request is $10 million to construct MSC's Pod 5, to safely store the valuable biological collections currently stored in alcohol in the National Museum of Natural History.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Judiciously build, refine, care for, and manage the national collections (28 FTEs and $1,678,000)

• Complete the relocation of large mounted mammals and birds now stored in leased space into permanent storage by January 2004

• Prepare the vertebrate, invertebrate, and botanical collections stored in alcohol and fluids for relocation from the Natural History Building to the Museum Support Center

• Complete the installation of oversized artifacts and specimens into permanent storage at the Museum Support Center, including cleaning, pest inspection, stabilization, and construction of storage containers and supports

• Ensure the safety of staff and collections by addressing all recommendations from annual management evaluation and technical reviews, such as fire safety

Upgrade environmental control systems to provide more reliable

environmental conditions

Install an environmental chamber in the Smithsonian Center for

Materials Research and Education laboratory to meet conservation

needs

Continue to provide improvements to collections care and storage

by cleaning, providing supports, improving accessibility and

providing archival storage containers

SMITHSONIAN INSTITUTION ARCHIVES

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Smithsonian Institution Archives (SIA) is the institutional memory of a unique American cultural resource and a steward of the national collections.

To achieve the goal of Public Impact, SIA will ensure institutional accountability; enhance public appreciation of a great national treasure; and serve the Smithsonian community, scholars, and the general public by appraising, acquiring, and preserving the records of the Institution and related documentary materials; establishing policies and providing guidance for management of the national collections; offering a range of reference,

research, and records services; and creating products that promote understanding of the Smithsonian and its history.

For FY 2004, the estimate includes an increase of $52,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, SIA will intensify efforts to provide online access to research information; to collaborate fully with units —such as The Smithsonian Associates (TSA), the Smithsonian Center for Education and Museum Services (SCEMS), and the Affiliations Program-that serve broad external audiences; and to set standards and provide support for the Smithsonian collections management community.

SIA will also assure full operation of a preservation laboratory to support the conservation needs of the Smithsonian archival community. Resources will also be dedicated to presentations and publications that focus on the Institution's history as well as accelerated efforts to capture and preserve electronic records (such as websites and email) that are key sources of Institutional information today and Smithsonian history tomorrow.

To address the goal of Management Excellence, SIA will have operational a world-class electronic records program for the Smithsonian in FY 2004.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Maintain the high caliber of Smithsonian research (8 FTEs and $570,000)

• Deliver to the Science History Publishers Association Volume 10 (of 11 total) of the Papers of Joseph Henry

• Conduct a minimum of 15 public presentations on Smithsonian history

• Support SCEMS by assisting in the creation of at least one curriculum package for the K-12 community

• Support Affiliations and TSA by giving at least two workshops and 10 lectures

• Increase the Smithsonian Legal History database, initiated in Smithsonian Institution Research and Information System (SIRIS) in 2003, by 12% or 100 records

• Bring online the Legal Documents website, containing 1,000 pages, that links to the SIRIS database

Judiciously build, refine, care for, and manage the national collections (13 FTEs and $857,000)

• Review files maintained by the Office of the Treasurer, the Anthropology Department of the National Museum of Natural History, and the Hirshhorn Museum and Sculpture Garden, and create detailed instructions for their disposition Digitize 1,000 pages of documents, photographs, and finding aids Assist a minimum of five units with revisions of their Collections Management Policy

Establish appraisal and acquisition procedures for all Smithsonian websites

Move the Collections Management System to a new generation of technology

Establish a preservation laboratory for all archival programs of the Smithsonian

Create a cold storage facility for all archival programs of the Smithsonian

Add substantive information to or create 300 new records in SIRIS Increase virtual exhibitions and programs by 25%

Management Excellence

Modernize the Institution's information technology systems and functions (2 FTEs and $237,000)

• Develop standards for description and retention of electronic records having long-term value (including email, collections information systems, word-processed documents, and digital images)

• With the Office of the Chief Information Officer, develop an Institutional standard for electronic records management systems

NONAPPROPRIATED RESOURCES-SIA will support three positions in 2004 using nonappropriated resources. The Joseph Henry Papers Project includes two historians supported by grant funds, which are needed to assure the timely completion of volume 11, the last in the series for this documentary editing project. Donor funds support a paper conservator who is establishing a cooperative conservation treatment and assessment service for all Smithsonian archival repositories. In addition, discretionary funds include reimbursements for copies of records and many small honoraria.

SMITHSONIAN INSTITUTION LIBRARIES

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE;

AND MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Smithsonian Institution Libraries (SIL) was established to support the research, curatorial, and exhibition activities of the Smithsonian by providing and organizing research materials and pertinent information sources. To that end, SIL acquires, structures, and delivers scholarly, scientific, and educational resources and information in all forms, including electronic. SIL anticipates the need for information appropriate to the Institution's program priorities and responds to inquiries from the government, universities, researchers, and the public worldwide. SIL exhibits and interprets its collections and sponsors educational activities for a broad audience through public programs and publications.

To achieve the goal of Public Impact, SIL will provide high quality, timely information services directly to the Smithsonian community and the public from libraries located in museums and research centers and through the Internet. To address the goal of Focused, First-Class Science, SIL will continue to enhance information in science in FY 2004. SIL will also pursue initiatives in information technology and finance and administration to meet the goal of Management Excellence

For FY 2004, the estimate includes increases of $100,000 for purchasing journals and electronic resources, and $205,000 for necessary pay for existing staff funded under this line item.

MEANS AND STRATEGY

To achieve the goal of Public Impact, SIL staff will build and refine collections with special emphasis on service to the National Air and Space Museum (NASM) Udvar-Hazy Center and the National Museum of the American Indian (NMAI) Mall Museum. SIL will continue to maintain exchanges of books and journals with more than 4,000 institutions worldwide and to borrow and lend books augmenting its collection. SIL will continue a vigilant program of collections maintenance through binding, general repair, microfilming, and photocopying.

In FY 2004, SIL will share national treasures with the public through its ongoing program of book exhibitions, lectures, and symposia. In June 2004, SIL will open an exhibition celebrating the first occurrence of the Transit of Venus in over a century. In the 19th century, this scientific event fostered the development of international science programs. SIL will hold a variety of educational events to coincide with the exhibition. Planning has begun for a traveling exhibition that will make a small segment of SIL's trade literature collection better known. Both the Baird and Dibner Resident

Scholar programs will aid SIL in building collaborations with scholarly programs both in the Institution and elsewhere. In FY 2004, SIL will digitize important collections such as scientific instruments trade literature, and add online exhibitions and other information resources to its public website, the Galaxy of Knowledge.

To address the goal of Focused, First-Class Science, SIL has already shifted spending in an attempt to sustain its outstanding collections in support of scientific research. SIL will continue to support science by providing state-of-the-art reference services, administering the Scientific Translations publications program, acquiring new electronic resources, organizing Web resources in the sciences, and training researchers to use electronic resources efficiently and effectively. Two new online tools, the electronic Biologia Centrali-Americana and the electronic United States Exploring Expedition, will give scientists the documentation they have sought for their research and will bring to light underutilized resources for scientific research.

In FY 2004, staff will actively seek to achieve the goal of Management Excellence by increasing diversity of the library workforce, implementing new modules of the online system, expanding capacity for digital production, and developing new benchmarks to measure SIL unit costs and productivity.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (1 FTE and $64,000)

• Complete upgrade of the SIL Gallery in the American History building to encourage more walk-in visitors

• Design, install, and open Transit of Venus exhibition Expand a national outreach effort (2 FTEs and $738,000)

• Plan/implement one traveling exhibition to reach new audiences

• Increase participation in the Smithsonian Affiliations program to reach audiences in three new areas

• Increase usage of SIL website to an average of 1.5 million hits per month

• Design and implement Web user evaluation tool

• Complete digital project on scientific instrument trade catalogs Maintain the high caliber of Smithsonian research (20 FTEs and $1,658,000)

• Establish library services for the Udvar-Hazy Center and the NMAI Mall Museum

• Survey Smithsonian users to measure satisfaction using a standardized library service assessment questionnaire

• Hold and publish annual Dibner public lecture to present research based on SIL collections

Judiciously build, refine, care for, and manage the national collections (65 FTEs and $5,057,000)

• Increase access to SIL collections by adding holdings information for journal backfiles to the online catalog, Smithsonian Institution Research and Information System (SIRIS), for 25% of branch libraries, and by continuing to add records to SIRIS for all newly acquired materials

• Complete installation of HVAC and compact shelving at 1111 N. Capitol to protect the collection for the next 20 years

Focused, First-Class Science

Strengthen capacity and establish preeminence in science research (12 FTEs and $1,032,000)

• Produce electronic Biologia Centrali-Americana

• Complete electronic US Exploring Expedition

• Increase access to electronic science resources by organizing and providing 10% more links to the Internet

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (8 FTEs and $643,000)

• Develop Phase I of a consistent set of statistics, benchmarks, and other data to measure SIL's unit costs and productivity on an annual basis

• Increase capacity for digital production by employing small, disadvantaged, and woman-owned businesses for digitizing contracts

Modernize the Institution's financial management systems and functions (2 FTEs and $146,000)

• Adjust SIL internal procedures and controls to incorporate Smithsonian purchase card and Enterprise Resource Planning systems

Modernize the Institution's information technology systems and functions (1 FTE and $58,000)

Complete Horizon system implementation by putting Serials Control

module into service

Carry out market survey to identify for purchase a new integrated

library system for SIL and Freer/Sackler Library

•

Recruit, hire, and maintain a diverse workforce and promote equal opportunity (0 FTEs and $17,000)

• Improve diversity of staff by participating in job fairs and increasing publicity and advertising for vacancies to actively seek qualified African American and Hispanic applicants

FY 2004 REQUEST - EXPLANATION OF CHANGE

The FY 2004 budget estimate includes an increase of $100,000 to buy journals and electronic resources that support program and research priorities of the Smithsonian, as follows:

• (+ $ 100,000) SIL needs $ 100,000 to increase subscriptions to electronic journals and databases and to maintain its subscriptions for printed journals. Researchers increasingly rely on electronic journals and databases, and SIL is not able to meet their needs within existing budgets. SIL's user survey in FY 2002 identified the researchers' top two priorities as complete runs of journals and a wider array of electronic resources. If the FY 2004 request is not allowed, the Libraries' collections will not support Institutional research and programs. In FY 2003, SIL will cancel core subscriptions, particularly in the sciences, because years of inflation greater than 8% have reduced buying power for books and journals. Other public impact initiatives were severely reduced to achieve the objective of building, refining, and managing collections.

NONAPPROPRIATED RESOURCES-General trust funds help defray costs of providing information services to the trust-funded units and support exhibitions, publications, public programs, and fundraising. Designated funds from donors support specific projects and programs, such as the SIL/Dibner Library Resident Scholar Program, the Baird Society Scholar program, lectures, and publications, both print and electronic. Income from endowment funds supports acquisitions and preservation activities.

ADMINISTRATION

STRATEGIC GOALS: PUBLIC IMPACT; FOCUSED, FIRST-CLASS SCIENCE; MANAGEMENT EXCELLENCE; AND FINANCIAL STRENGTH

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Smithsonian Institution Administration program provides vision, leadership, policy, and oversight associated with managing and operating the museums and research centers. Administration includes executive leadership provided by the Office of the Secretary, the Under Secretaries for American Museums and National Programs and Science, and the Director of the International Art Museums Division; as well as the central administration activities of human resources, diversity, government relations, financial management, information management, contract management, and legal services.

For FY 2004, the estimate includes an increase of $1,082,000 for necessary pay for existing staff funded under this line item (which includes an increase of $144,000 for unemployment compensation); a decrease of $645,000 associated with development of Enterprise Resource Planning System financial modules in FY 2003 as discussed under the Non-recurring Costs section of this justification; an increase of 3 FTEs and $2,391,000 for programmatic increases; and an increase of $867,000 associated with communications, which is justified in the Non-discretionary Costs section of this budget.

MEANS AND STRATEGY

The Institution will employ appropriate management strategies to enhance the "increase and diffusion of knowledge" and achieve the Institution's goals. The following strategies are cross-cutting and are key to performing the Smithsonian's mission of connecting Americans to their history and heritage, and promoting innovation, research, and discovery in science:

• Provide high-quality leadership and oversight for all policies, programs, and activities of the Institution's museums and research centers by attracting, recruiting, and retaining leaders possessing superior talent and by forging partnerships with stakeholders.

• Manage human resources, foster diversity, and align human capital with the Institution's goals and performance objectives. Ensure that the right people are in the right jobs by implementing the recommendations of the Smithsonian's comprehensive workforce analysis study. Modernize human resource management processes and systems to support responsiveness to employee and employer needs.

• Employ state-of-the-art, secure information systems to modernize financial, human resources, collections, and facilities management processes by continuing to implement modules of a commercial Enterprise

Resource Planning (ERP) system, instituting a 3-year replacement cycle for desktop workstations, consolidating application servers, and deploying next generation e-mail systems.

• Maintain and upgrade the Institution's communications infrastructure to provide reliable, cost-efficient, technology-effective voice and data communications systems, thereby enabling accomplishment of the Smithsonian missions.

• Meet federal requirements for timely and accurate financial information and improve the Institution's ability to integrate financial and performance management systems as part of the ERP effort.

• Facilitate accomplishment of the Institution's mission in the most economic, efficient, and effective way by supporting audit, evaluation, investigative, contracting, and other advisory services.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (1 FTE and $73,000)

• Increase collaboration and cooperation within the Institution and with external organizations to improve exhibition planning activities in the Arts and Industries building

Expand a national outreach effort (4 FTEs and $373,000)

• Establish a forum for ongoing dialogue with Smithsonian museums to maximize programmatic impact on a national basis

• Develop a national outreach database to provide current information on Smithsonian activities across America

Judiciously build, refine, care for, and manage the national collections (2 FTEs and $237,000)

• Increase by 25 percent the number of objects accessible for review on the newly created Holocaust website that publicizes the provenance of any institutional collection object transferred in Europe during the Nazi era

• Complete the major collections study to improve collections management across the institution

Deliver the highest quality visitors' services (0 FTEs and $29,000)

• Initiate studies to measure how visitors perceive the Institution's exhibitions based on guidelines established to measure visitor satisfaction.

Focused, First-Class Science

Strengthen capacity and establish preeminence in science research (8 FTEs and $1,169,000)

• Begin implementation of the Science Commission recommendations as endorsed by the Board of Regents

• Expand the Marine Science Network by supporting cross-disciplinary marine research

Management Excellence

Strengthen an Institutional culture that is customer-centered and results-oriented (119 FTEs and $ 12,833,000)

• Improve the quality of the Smithsonian experience for audiences by identifying, for possible adoption, ten best museum and/or research practices

• Incorporate results-based assessments into the Institution's strategic and financial decision-making processes

• Strengthen management services in support of the Institution's mission while addressing the challenges of the President's Management Agenda

• Develop or refine mission statements and comprehensive five-year strategic plans for the American Museums and National Programs

• Implement three collaborative International Arts Museum Division projects involving collections, exhibitions, or education programs

Modernize the Institution's financial management systems and functions (8 FTEs and $839,000)

• Support the deployment of the Enterprise Resource Planning financial modules by identifying requirements and documenting reengineered business practices

Modernize the Institution's information technology systems and functions (124 FTEs and $39,461,000)

• Deploy the Enterprise Resource Planning system human resources, time and labor, and payroll interface modules

• Replace 33 percent of the Institution's desktop workstations

• Consolidate 25 percent of the Institution's applications servers Evaluate next generation email and directory systems Develop and implement a redesigned firewall and Virtual Private Network (VPN) gateway and implement an intrusion detection system

Replace telephone systems at the Arthur M. Sackler Gallery/Freer Gallery of Art, Quadrangle, African Art Museum, Hirshhorn Museum, and Renwick Gallery

•

Strengthen human capital resources (58 FTEs and $8,016,000)

• Improve the timeliness and quality of human resource staffing services through effective recruiting practices and internal staffing processes

• Implement an effective Human Resources Management (HRM) accountability system

• Continue implementing recommendations from the workforce analysis report

Recruit, hire, and maintain a diverse workforce and promote equal opportunity (10 FTEs and $956,000)

• Continue reshaping the Smithsonian workforce so that its diversity mirrors the applicable civilian labor force

• Meet procurement goals negotiated with the Small Business Administration regarding the use of small, minority, and woman-owned businesses

Maintain mutually beneficial relations with the news media and with federal, state, and local governments (5 FTEs and $455,000)

• Increase contacts initiated by the Office of Government Relations by 10 percent

Financial Strength

Secure the financial resources needed for Institutional operations (1 FTE and $246,000)

• Annually present and justify federal budget submissions to the OMB and Congress

FY 2004 REQUEST - EXPLANATION OF CHANGE

The FY 2004 Administration budget estimate includes a net increase of $3,695,000. Increases associated with communications ($867,000) and necessary pay and workers' compensation ($1,082,000) are justified in the Non-discretionary Costs section of this budget. The remaining increases of $2,391,000 are required to provide additional support for Latino initiatives, to improve information technology system security, to implement a three-year replacement cycle for desktop workstations, to develop and maintain a Holocaust website, and to respond to increased contracting workload. These increases are offset by a reduction associated with one-time FY 2003 costs of $645,000 associated with purchase and implementation of initial ERP modules, as discussed in the Non-recurring Costs section of this budget. The increases are described below:

• ( + $61,000, +1 FTE) The request includes 1 additional FTE to support expanded museum programming for Latino initiatives such as Latino music and historical traditions, arts and culture, and research and

educational resources. The Institution's Center for Latino Initiatives provides outreach and programming to the Latino community.

• ( + $1,085,000) This increase is required to protect the Institution's information technology security infrastructure. The funds will be used to develop and implement a redesigned firewall and Virtual Private Network (VPN) gateway, and to implement an intrusion detection system. This will allow the Smithsonian to distribute digital information to the public, researchers, and other customers or partners while minimizing the risk of cyber attacks.

• ( + $1,070,000) This increase is required in FY 2004 to begin a three-year replacement cycle for all of the Institution's desktop workstations.

• ( + $100,000) These resources are required to comply with the Association of Art Museum Directors and American Association of Museums guidelines to address issues concerning restitution of property misappropriated by the Nazis or their collaborators during WWII. The $100,000 is required to develop a Web application to publicize the provenance of any Institutional collection objects transferred in Europe during the Nazi era. The application will run on Smithsonian Enterprise-level software and hardware platforms.

• ( + $75,000, + 2 FTEs) These resources are required to hire two additional contracting/purchasing specialists to implement the President's Management Agenda requirements in competitive sourcing, performance-based contracting, and e-commerce, and to respond to increased workload associated with the Institution's purchase card program.

Without these additional funds, the Institution will be unable to provide expanded and targeted Latino programming to the growing Hispanic community. Additionally, the Smithsonian will be unable to replace a significant number of obsolete desktop workstations resulting in worsened interoperability problems; the Institution's data networks will be vulnerable to attack, its applications systems and databases will be jeopardized, deployment of the Enterprise Resource Planning modules will be delayed, information systems will continue to be non-compliant with Federal information resources and Government Information Security Reform Act policies, and the Smithsonian will not be able to satisfy requirements defined by the Presidential Advisory Commission on Holocaust Assets in the United States. Finally, without these requested resources, risks for fraud and abuse in the purchase card program will increase and implementation of outsourcing programs, performance-based contracting, and e-commerce will be delayed.

In addition to these program increases, an increase of $225,000 and 2 FTEs for contracting specialists to support the Institution's expanded

facilities program is included and justified under the Facilities Operations line item.

NONAPPROPRIATED RESOURCES —General trust funds provide support for salaries and benefits of personnel and other related costs. Central trust funds are used to support administrative activities, including fundraising. Donor/sponsor designated funds provide support for costs related to programs and projects such as scientific research. For example, the Seward Johnson endowment fund is used to improve basic support and strengthen important research efforts carried out at marine stations and for research opportunities in oceanographic research. Government grants and contracts provide support for special initiatives and conferences.

FACILITIES MAINTENANCE

1 For comparative purposes, the FY 2002 and FY 2003 estimates have been adjusted to reflect the restructuring of the Office of Facilities Engineering and Operations line items; this does not include the transfer of facilities management services staff and funds from other units which is reflected in FY 2004.

STRATEGIC GOAL: MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

Facilities Maintenance focuses on facility preservation activities and encompasses the upkeep of property and equipment, or the work necessary to realize the originally anticipated useful life of a fixed asset. To realize the intended design life and full economic value of Smithsonian facilities and the revitalization investment, the Smithsonian must double its day-to-day facility preservation activities. Concurrently, the Smithsonian must shift its maintenance approach to a modern, cost-effective program that is centered on reliability and risk management and reinforced through qualitative standards and cost-effective application of technology.

For FY 2004, the estimate includes an increase of 1 39 FTEs and $23,593,000 This increase includes 33 FTEs and $11,430,000 transferred from the Facilities Capital account, and 24 FTEs and $7,218,000 for programmatic increases; $583,000 for necessary pay for staff funded under this line item; and 82 FTEs and $4,362,000 to reflect the transfer of facilities management services from the museums and research centers.

MEANS AND STRATEGY

To support the Institution's goal of Management Excellence, the Office of Facilities Engineering and Operations will initiate an aggressive long-range Smithsonian facilities maintenance and revitalization program, using a Reliability Centered Maintenance (RCM) approach. RCM is a maintenance philosophy that incorporates the logical and cost-effective mix of predictive, proactive, preventive, and reactive maintenance practices. The elements of the program include the following:

• Predictive maintenance - Vibration analysis, airborne ultrasonic analysis, thermographic scanning, motor-circuit analysis and radiography are a few of the latest technologies that will be implemented to detect impending failure and address causes before failure occurs.

• Proactive approach - This aspect of RCM gets in front of the operating problems by engineering out the problem beforehand. Root Cause Failure analysis is essential to identify and solve long-standing reliability issues. Engineering adjustments driven into the design of equipment for installation in Smithsonian facilities is a critical area that must have focus for lowest life-cycle costs over time.

• Preventive maintenance - Maintenance work in this category is cyclic or time-driven. Examples of this work include lubricating machinery, adjusting equipment tolerance, cleaning and adjusting electrical switchgear contacts, inspecting valves, painting, and sealing roofs.

• Reactive maintenance - Maintenance work is responsive and includes routine repair and replacement of broken parts; spot repairs to roofs, roads, and building exteriors/interiors; repairs to broken water mains; and replacement of broken parts on building systems.

• Maintenance work force - Improving the skills of the Smithsonian maintenance work force is essential to modernizing our maintenance approach. Extensive training and technology familiarization is required. However, because in-house maintenance forces are not adequate to fully care for all maintenance requirements, maintenance work that is infrequently needed, that requires expensive tools, or requires specialized equipment will most often be done by a contractor who does this work on a regular basis.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Management Excellence

Execute an aggressive, long-range Smithsonian facilities program (348 FTEs and $37,060,000)

• Implement 90 percent of FY 2004 maintenance program plan action items on schedule

• Conclude the integration of facilities management staff in FY 2004

• Establish baseline standards for response times and improved performance

Ensure safety and protection of Smithsonian facilities, national collections, staff, visitors, and volunteers (11 FTEs and $3,555,000)

• Secure funding and maintain full operational level of security systems in each museum

FY 2004 REQUEST-EXPLANATION OF CHANGE

The FY 2004 budget estimate includes an increase of $23,593,000 and 139 FTEs. Included are increases of 33 FTEs and $11,430,000, reflecting the transfer of minor repair and maintenance staff and funding from the Facilities Capital account to Salaries and Expenses; 82 FTEs and $4,362,000 to be transferred from museums and research centers to complete the integration of facilities management into a single facilities organization; and $583,000 for necessary pay. The request also includes a program increase of 24 FTEs and $7,218,000. These resources will allow the Smithsonian to develop and implement a structured maintenance program, as recommended by the National Academy of Public Administration (NAPA). The request will provide additional resources to improve reliability of mechanical equipment, reduce maintenance and energy costs, and ensure safer facilities for visitors and staff. The increases are as follows:

• ( + $5,444,000, + 1 9 FTEs) The requested funds will allow the Smithsonian to begin to attain funding levels recommended by NAPA for maintenance of the Institution's facilities, ensuring optimal (lowest) life cycle costs for the current plant. The request provides $1,244,000 and 19 FTEs for 14 HVAC mechanics and 5 maintenance mechanics, and $4,200,000 to support the Institution's facilities maintenance efforts. The $4,200,000 will be used to contract for inspection, testing, and preventive maintenance of automatic/fire/roll-up doors, electrical panels, fire alarm systems and fire sprinklers; testing and cleaning of cooling towers; and thermographic and vibration analysis.

• (+$356,000, +4 FTEs) Included in this line item but justified under the National Museum of the American Indian are resources to support the maintenance and operation of utility systems in the Museum on the Mall.

• (+ $60,000, + 1 FTE) Included in this line item but justified under the National Museum of the American Indian are resources to provide minimum levels of security, operation, and related building engineering monitoring for the new Mall Museum.

• ( + $528,000) Included in this line item but justified under the National Air and Space Museum are resources to support facilities management services at the Udvar-Hazy Center.

• ( + $830,000) By FY 2004, warranties on equipment and construction purchases made in FY 2002 with Anti-terrorism Emergency Supplemental funds will expire. The requested funds will allow the Smithsonian to continue maintenance of magnetometers and x-ray equipment, concrete planters and plantings, pop-up barriers, and permanent vehicle barriers.

If the FY 2004 request is not allowed, the Smithsonian will not be able to develop and implement a structured maintenance program, nor provide adequate maintenance services. Collections will be at risk, as failures to steam traps will continue, resulting in increases to humidity levels. Lack of automated preventive testing and inspection processes will worsen inefficient maintenance practices and force higher lifetime costs. Annual maintenance required for special equipment will not be performed. Maintenance of mechanical spaces will either not occur or be performed inadequately. Risks of mold and microbe proliferation, indoor air quality problems and sick building syndrome, and loss of energy will increase. The Institution will have to commit an increasing amount of revitalization funds for repair of existing equipment and emergency measures for sudden failures, reducing the funds available for long-term repair and renovation of facilities. The fewer long-term systems replacements accomplished, the more short-term repairs will be required to failing equipment. The entire revitalization investment will be degraded prematurely, demanding early replacement of new components and systems. In addition, the Smithsonian will be unable to maintain magnetometers and x-ray equipment. Failure rates for equipment will increase, putting visitors at risk and forcing the closure of museum entrances.

NONAPPROPRIATED RESOURCES —General trust funds provide support for salaries and benefits of personnel and related maintenance costs associated with the upkeep of Smithsonian buildings. Donor/sponsor designated funds provide additional support for maintenance costs.

FACILITIES OPERATIONS, SECURITY AND SUPPORT

' For comparative purposes, the FY 2002 actual and FY 2003 estimate have been adjusted to reflect the restructuring of the Office of Facilities Engineering and Operations line items; this does not include the transfer of facilities management services staff and funds from other units which is reflected in FY 2004.

STRATEGIC GOALS: PUBLIC IMPACT AND MANAGEMENT EXCELLENCE Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The mission of the Facilities Operations, Security and Support program is to operate and maintain the Smithsonian's physical plant, ensuring world-class facility management services; provide optimal security for the Smithsonian's collections and facilities; and provide a secure environment for staff and visitors.

Facilities Operations, Security and Support is the integration of all operational activities not directly related to maintaining the physical plant of the Smithsonian. Resources within this line item support facilities operations, including activities such as custodial work, snow removal, pest control, refuse collection and disposal, grounds care and landscaping, environmental operations and record keeping, fire protection, security services, and central utility plant operations. Also included are facilities planning, architectural/engineering design plans and specification services, except for the National Zoological Park, as well as related support services such as mail, transportation, and the payment of utilities and central rent. The uniform management and provision of these services assures cost savings and consistency throughout the Smithsonian, and contributes to achieving Management Excellence.

For FY 2004, the estimate includes a net increase of 414 FTEs and $15,828,000. This amount includes 128 FTEs and $7,307,000 for programmatic increases; a decrease of $11,375,000 related to FY 2003 one-time security costs as discussed under the Non-recurring Costs section of this budget; $2,508,000 for necessary pay for staff funded under this line item; $2,500,000 for utilities and rent increases as discussed under the Non-discretionary Costs section of this budget; a net increase of 279 FTEs and $14,243,000 to reflect the transfer of facilities management services from the museums and research centers; and an increase of 7 FTEs and $645,000 for the transfer of project management staff from the National Zoological Park.

MEANS AND STRATEGY

FY 2004 resources will enhance the ability of the Office of Facilities Engineering and Operations (OFEO) to better meet its stewardship responsibilities by focusing efforts and resources on facilities operations and security. To achieve the Institution's goal of Public Impact, resources are used to develop exhibits and other public programs related to horticulture, architectural history, and historic preservation.

To achieve the goal of Management Excellence, resources are focused on meeting the ongoing operational requirements of Smithsonian facilities to ensure that they continue meeting programmatic requirements. Additional staff support will enhance the Institution's ability to execute the capital program, which will allow the Smithsonian to revitalize its facilities over the next decade. OFEO will continue to devote resources to implement and upgrade security measures at Smithsonian facilities. The requested resources will address the heightened security measures precipitated by the September 11, 2001 terrorist attacks and identified in the May 2002 Composite Risk

Assessment report by the Office of Protection Services. One major effort underway to improve service to the Institution is the establishment of management zones in facilities, which will ensure rapid response to facility needs, and the streamlining of administrative activities to provide optimum efficiency and effectiveness. The zone concept will offer staff a sense of ownership of a given facility and with staff on site, the response times will be greatly reduced.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Public Impact

Offer compelling, first-class exhibitions and other public programs (8 FTEs and $687,000)

• Present the biennial Orchid Show in concert with the U. S. Botanic Garden, the National Museum of Natural History, and the National Zoological Park

• Present the exhibition Adolf Kluss: From Germany to America, Shaping a Capital City Worthy of a Republic in conjunction with the City Museum of Washington, Goethe Institute, Heilbronn Archives, Sumner School Museum and Archives, and the National Building Museum

• Present four academic lectures and tours relating to the history of the oldest Smithsonian facilities

Management Excellence

Execute an aggressive, long-range Smithsonian facilities program (592 FTEs and $87,881,000)

• Conclude the integration of all Smithsonian facilities management activities under OFEO

• Establish baseline standards for response times and improved service performance and meet or exceed those standards during FY 2004

Ensure safety and protection of Smithsonian facilities, national collections, staff, visitors, and volunteers. (1,108 FTEs and $53,253,000)

• Hire five administrative support staff to ensure that background investigations are conducted on all Smithsonian contract employees and to develop policies, procedures, anti-terrorism training and staff security awareness training programs by September 2004

• Increase gallery patrols, visitor bag searches, and vehicle inspections

• Investigate bomb threats, suspicious packages, and increase property searches

• Provide safety, fire, health, and environmental management training to 20 percent of Smithsonian staff

• Reduce by 6 percent the base year (FY 1 997) total case rate of 6.18 injuries/illnesses per 100 employees

FY 2004 REQUEST-EXPLANATION OF CHANGE

The FY 2004 budget estimate includes a net increase of $15,828,000 and 414 FTEs. Included are a decrease of $11,375,000 for one-time security costs discussed under the Non-recurring Costs section of this budget; and increases of 2,508,000 for necessary pay, $2,500,000 for utilities and rent, and 286 FTEs and $14,888,000 for transfer of facilities and project management staff from museums and research centers. Also included is a program increase of 128 FTEs and $7,307,000 as follows:

• ( + $3,758,000, + 32 FTEs) This increase is requested to provide necessary staff support to the expanded facilities program, including

• $281,000 and 3 FTEs to support three program/financial analysts to ensure that the management of resources in OFEO is fully staffed and overseen consistent with the complexity of the program and the new budget structure.

• $95,000 and 1 FTE to perform computer-aided design and computer-aided facilities management to support the design and construction processes.

• $225,000 and 2 FTEs to support the Institution's capital program. The request will provide two contract specialists for the Office of Contracting which are required to support the expanded workload related to the Institution's facilities revitalization and construction project activity.

• $123,000 and 1 FTE included here but justified under the National Museum of the American Indian to support the horticultural requirements necessary to open and begin operation of the new Museum on the Mall.

• $923,000 and 25 FTEs included here but justified under the National Museum of the American Indian to support the facilities services requirements at the new Museum on the Mall.

• $2,111,000 included here but justified under the National Air and Space Museum for facilities management support at the Udvar-Hazy Center.

• ( + $3,549,000, + 96 FTEs) This increase is requested in order to meet the Institution's needs for additional security staff, including guards and support staff. These resources will allow the Institution to respond to recently completed assessments of security needs, and be better positioned to respond in the case of security threats. The request includes

$1,711,000 and 61 FTEs to ensure that NMAH and NASM are fully staffed for the efficient operation of magnetometers and x-ray equipment as well as to perform increased gallery patrols, bag searches, and vehicle inspections at the smaller Mall museums.

$88,000 and 2 FTEs for two canine teams (2 dogs and 2 handlers) to perform routine vehicle inspections, investigate bomb threats and suspicious packages, inspect oversized packages/deliveries that cannot be x-rayed, and perform searches and inspections of Smithsonian property on a 24-hour basis.

$73,000 and 1 FTE to hire one security specialist who will adjudicate background checks as required by the Office of Personnel Management (OPM) for Smithsonian contract employees. This will ensure that background checks are conducted on each contract employee and that contract employees deemed not suitable are not allowed to work in Smithsonian facilities.

$45,000 for OPM to conduct background investigations for contract employees. These investigations will include criminal history and employment checks for the past five years and be identical to those investigations conducted for most Smithsonian employees. $73,000 and 1 FTE to hire a training specialist to develop security training programs and lesson plans for formal security staff training. Additionally, this position will provide initial and ongoing training for officers in the operation of magnetometers and x-ray equipment and develop a security awareness program for all Smithsonian staff. $49,000 and 1 FTE for a security assistant to support managers in the processing of new hires by facilitating the scheduling of interviews, arranging interview panels and processing applications. This position will also assist with the development of continuing training programs for security officers.

$44,000 and 1 FTE is required for a supply/materials specialist who will ensure that officers are properly uniformed and provided with the necessary equipment to perform critical duties (e.g. firearms, ammunition, mace, etc.) as well as assist with ordering supplies. $87,000 and 1 FTE is required for a management analyst who will ensure that all security policies and procedures are researched, written, coordinated for approval, and implemented across the Smithsonian. This position will also assist senior management with the creation and review of reports and briefing papers relating to Smithsonian security initiatives.

$1,379,000 and 28 FTEs are included here but justified under the National Museum of the American Indian line item. These resources will support the security requirements necessary to operate the NMAI Mall Museum when it opens in late FY 2004.

If the FY 2004 request is not allowed, the Institution places itself at considerable risk by delaying many recommended security improvements as well as operational recommendations outlined in the February 2002 Facilities Management Integration Task Force Findings and Recommendations. The Smithsonian will not be able to follow through with recommended measures to reduce the impact of security threats or terrorist activity. Without additional staff for capital program execution, delays in correcting the substantial backlog of revitalization requirements would result in more system failures and increased future costs.

NONAPPROPRIATED RESOURCES —General trust funds provide support for salaries and benefits of personnel and other related costs. Donor/sponsor designated funds provide support for costs related to programs and projects such as horticulture research. Government grants and contracts provide support for special initiatives and conferences.

FACILITIES CAPITAL

The FY 2002 estimate combines the former RR&A and Construction accounts. 2 For illustration only, the FY 2003 estimate has been adjusted to include resources originally requested in RR&A (less $11,430,000 for minor repairs and maintenance to be transferred to the S&E account in FY 2004), plus $12,000,000 from Construction.

STRATEGIC GOAL: MANAGEMENT EXCELLENCE

Federal Resource Summary by Performance Objective

BACKGROUND AND CONTEXT

The Facilities Capital program supports the Institution's exhibition, research, conservation, collections storage, and education programs by providing safe and appropriate space. In order to accomplish its mission, the Office of Facilities Engineering and Operations must reverse the deterioration of aging Smithsonian facilities, revitalize buildings that require more than repairs, and ensure that construction and alteration of facilities conform with modern building, life safety, and environmental codes, with minimal disruption to Smithsonian programs, staff, and visitors.

The professional engineering study Smithsonian Institution Museums and Facilities: Critical Assessment and Improvement Objectives outlines the urgent requirement to invest $1.5 billion in revitalization of Smithsonian facilities over the next decade. The National Academy of Public Administration (NAPA) study of July 2001 confirmed the magnitude of the problem. Without an aggressive and sustained program of revitalization, the

Institution cannot continue to provide for the safety of its visitors and staff and honor its commitment to stewardship of the artifacts and facilities with which it has been entrusted. Through this approach, the Smithsonian can move beyond today's never-ending crises of breakdown maintenance and emergency repairs to embrace a more comprehensive and long-term stewardship of its facilities.

MEANS AND STRATEGY

The FY 2004 request for the capital program represents a significant investment in the goal of Management Excellence. With funding in the capital program, the Institution will focus on improving the safety and security of visitors, staff, volunteers, and collections and make incremental progress toward returning Smithsonian facilities to full functionality within the decade.

Since the Commission on the Future of the Smithsonian Institution made its recommendations in 1995, $260 million in repair and restoration funds have been appropriated for revitalization of facilities. Although the investment was significant and unquestionably needed, its impact was lessened due to the size and scale of the Institution's nearly eight million square feet of facilities located in six states, the District of Columbia, and Panama. Today, the Smithsonian's facilities need extensive reinvestment if the Institution is to continue to fulfill its missions as preserver of the nation's cultural heritage and a pioneer in the sciences. This investment will arrest the decline in facilities performance and backstop necessarily higher costs of ownership from:

• Block obsolescence. More than half of the Smithsonian's building systems are between 25 and 40 years old, effectively obsolete, and no longer economically maintained or repaired.

• Age of buildings. The buildings range in age from new to over 1 60 years old, and many are subject to the higher costs and constraints associated with historic preservation.

• High traffic. The Smithsonian receives over 30 million visits per year.

• Architectural variety. Addressing the repairs of these buildings requires expertise in everything from stone masonry to stained glass and from slate roofs to subterranean vaults.

• Functional diversity. Virtually every kind of artistic, cultural, and scientific activity conceivable takes place in the laboratories, classrooms, galleries, studios, and gathering places.

• Track record of understated need. Until recently, the scope of the repair and restoration needs of the Institution has not been fully quantified or completely communicated; the result is an extensive backlog of repairs.

• Doing more with less. Since the buyouts of 1 994 and 1 996, the

maintenance and facilities areas of the Institution have lost 51 staff at a time when systems are increasingly in need of repair.

As the "principal repository of our nation's collective memory and the nation's largest public cultural space," 1 the Smithsonian must ensure that the country's most valued artifacts are maintained through preservation, research, and educational programs. However, the combined challenges listed above and the compelling urgency for a solution results in an enormous budgetary problem for the Smithsonian. Nonetheless, the challenge remains for the Institution "to face the problem and transform the physical environment of the Smithsonian during the coming decade." 2 That duty demands that the Institution define its facility stewardship requirements and secure the means for honoring this commitment to its museums, research units, and the National Zoo.

The Critical Assessment study, dated September 28, 2001, records the full breadth of the commitment that must be made to preserve the Smithsonian and position it for the 21 st century. It is a compilation of scores of architect-engineer consultant investigations and hundreds of internal condition assessments. The total repair and restoration requirements known at this time fall into three major areas:

Revitalization. To address the causes of advanced deterioration and resulting decline in the Institution's facilities and avoid crippling failures in building systems that can result in lost data and damage to collections or hazardous conditions for visitors and staff, the Smithsonian must spend more than $1.4 billion (uninflated) by 2010 for restoration, renovation, and modernization of its facilities.

Routine Maintenance and Repair. To realize the intended design life and full economic value of its facilities and the above revitalization investment, the Smithsonian must double its day-to-day facility preservation activities to $45 million annually. Concurrently, the method of maintenance will evolve into a modern, cost-effective program centered on reliability and risk management reinforced through qualitative standards and cost-effective application of technology.

E Pluribus Unum: This Divine Paradox, Report of the Commission on the Future of the Smithsonian Institution, May 1995, p. iv.

2

Lawrence M. Small, "America's Icons Deserve a Good Home," The Washington Post, June 26, 2000, p. A19.

Construction. Fulfilling the Smithsonian's mission will require new facilities off the Mall, mainly to meet collections needs at the Institution's Suitland, Maryland, site.

The Facilities Capital request includes funding for Revitalization and Construction, and the Planning and Design needed to support these efforts. Resources are requested in the Salaries and Expenses section of this budget to improve facilities maintenance. Together, these resources, over the next decade, will arrest the downward spiral of deterioration and result in much improved quality of facilities to support Smithsonian programs.

STRATEGIC GOALS AND FY 2004 ANNUAL PERFORMANCE GOALS

Management Excellence

Complete major capital facilities projects now underway (10 FTEs and $10,000,000)

• Complete design and initiate construction of Pod 5 at the Museum Support Center

• Complete the construction of the Udvar-Hazy Center

• Complete the construction of the National Museum of the American Indian Mall Museum

Execute an aggressive, long-range Smithsonian facilities program (32 FTEs and $79,970,000)

• Complete 40% of the revitalization of the Patent Office Building

• Initiate construction of Asia II project at the National Zoological Park

• Initiate core space revitalization at the National Museum of American History, Behring Center

• Complete 30% of the total revitalization of the National Museum of Natural History

FY 2004 REQUEST

The Institution requests $89,970,000 and 42 FTEs for the capital program in FY 2004, an increase of $8.1 million and 10 FTEs over the FY 2003 estimate. The major components include the following. Additional details of specific projects are presented below.

• Revitalization (5 FTEs and $71,670,000) These resources will continue major revitalization projects at the Patent Office Building ($48,000,000), the Asia Trail Phase II project at the National Zoological Park to provide new housing for the elephants ($9,000,000), and the National Museum of Natural History ($3,000,000); begin revitalization of the public areas of the National Museum of American History, Behring Center ($3,500,000);

and make other capital repairs throughout the Institutions facilities ($8,170,000). The request represents an increase of $10.1 million and 5 FTEs over the FY 2003 funding level. The five new positions will allow the permanent hire of contract specialists to write planning, design, and construction contracts, and manage the procurement process to acquire the necessary services to execute the revitalization program.

• Construction (5 FTEs and $10,000,000) This amount will allow the Institution to begin construction of Pod 5 at the Museum Support Center. The new storage space will provide safe and secure housing for important systematic biology specimens preserved in alcohol. Removal of these collections from the National Museum of Natural History will correct a potentially dangerous condition in the Mall building. Pod 5 is the Smithsonian's highest priority safety and security project. The request includes a decrease of $2 million from and an increase of 5 FTEs over the FY 2003 estimate. The FTEs will permit the Institution to hire architects/engineers to work on site to ensure that the construction contractor meets contract requirements for cost, schedule, quality, and safety. They will manage A-E and procurement support and design reviews, resolve conflicts, evaluate change orders and contractor invoices, and make decisions affecting the progress of the project. The owner functions must be performed by professionally trained Smithsonian employees in order to diminish the risk of owner-caused delays and related cost increases, and to ensure that the completed building meets the requirements of the future occupants.

• Facilities Planning and Design ($8,300,000) This level of funding will provide the capacity to conduct master-planning studies and to complete design of many projects in the FY 2005 capital program to at least the 35% stage, providing firm baselines and allowing timely award of construction contracts upon receipt of future year funding. The Institution will begin design of the National Museum of American History public space revitalization project ($4,000,000) and complete design of a number of smaller projects ($4,300,000). The request will allow the Institution to maintain momentum in modernizing its facilities over the next decade.

Without these resources, the Institution will fall far behind in meeting several key components of its goal to achieve management excellence. Further delay in revitalizing the Smithsonian's physical infrastructure and providing appropriate storage for alcohol-preserved specimens will exacerbate an already dire situation that places the Institution at risk of defaulting on its stewardship responsibilities for the artifacts and facilities with which it has been entrusted.

FACILITIES CAPITAL DETAIL AND OUTYEAR REQUIREMENTS

The chart that follows summarizes the Institution's request for the highest priority projects for FY 2004, and the future approved program level through FY 2008. The highest priority projects typically include:

• Work needed to correct hazardous conditions that pose a serious threat to public or employee safety or health, or are required to meet mandated life-safety or health codes

• Repair or replacement of building shell or utility components or systems experiencing active failures, such as roof or facade leaks or HVAC or electrical equipment breakdowns that pose an immediate risk of damage to the collections or major disruption of program activities

• Fire and life-safety, accessibility, and security modifications that are required to meet life-safety or health codes within an established timeframe

• Repair or replacement of building shell or utility components or systems that are in imminent danger of failure, such as minor roof leaks or electrical equipment that require more frequent than normal maintenance, or HVAC systems whose components are failing at an increasing rate

• Predicted renewal requirements, based on normal life span and observable condition of building shells and systems

In applying the priorities and scheduling, the staff considers other factors that influence how and when projects might be accomplished, including the potential for disrupting the visiting public and the extent to which work of differing priorities should be undertaken at the same time in a particular building in order to take advantage of better pricing. The availability of space in which to relocate staff and collections that would be at risk while the work is performed also affects the timing of projects.

The project summaries that follow the chart describe the currently planned components of FY 2004 requests and are organized in two formats. Large projects—those exceeding $5 million —are presented in greater detail including narratives on project description, justification, and impact of delay. Smaller projects —in the range of $500,000 to $5 million —are presented with a succinct project description only. Projects under $500,000 are consolidated under a Minor Projects heading.

The Smithsonian will use the funds requested in FY 2004 to perform work formerly requested in the Repair, Restoration and Alteration of Facilities account as well as the Construction account. Consolidation of these activities into a single account will allow the Institution more flexibility in executing a coherent capital program to support the Smithsonian's mission.

The Institution contracts for most capital program projects unless it is more cost-effective to use existing employees or to hire temporary staff to accomplish the work. The FY 2003 request proposed bill language to authorize the use of capital program project funds for payment of salaries of construction management staff. As part of that request, 30 FTEs will be shifted from the Salaries & Expenses account to this account for the necessary staff, including 6 for the National Zoo, 19 for revitalization projects, and 5 for construction projects. The Facilities Capital account funds additional expenses required to accomplish the proposed projects, such as security requirements or relocation of staff and collections that might be placed at risk during construction.

Smithsonian Institution

Facilities Capital Program

FY 2004 - FY 2008

"Final increment of the HVAC replacement project completed in the late 1990s.

21 FY 2003 estimate has been adjusted for comparison purposes with the budget and outyear estimates under the restructured Facilities Capital account. Revitalization includes resources requested in RR&A less $11.4 M for maintenance and minor repair projects to be requested in the S&E account in FY 2004. The FY 2003 request, as it appears before Congress, seeks S81.3M for Repair. Restoration and Alteration of Facilities, S10M in Construction for the National Museum of the American Indian, Mall Museum and S2M in Construction for Museum Support Center Pod 5 design.

1 The outyear program is based on the approved FY 2004 budget level and does not reflect the requirements as described in Smithsonian Institution Museums and Facilities: Chtical Assessment, based on NAPA's 2001 report which recommended funding in the range of S200 - 250 million annually throughout the planning period in order to complete the required work within a decade.

SUMMARY TABLES AND PROJECT SHEETS REVITALIZATION

Major Projects

This category provides funds for the cyclical replacement of major building systems and equipment and major renovation projects required for the preservation of the buildings. It primarily addresses the major replacement requirements for HVAC, electrical, and other utility systems at the older buildings where systems are nearing the end of their service lives. Work also encompasses modifications to ensure compliance with life safety and ADA codes, restore historic features, and modernize the buildings to support current program requirements.

Facility Project $(000)s

Patent Office Building Restore Patent Office Building 48,000

National Zoological Park Asia Trail, Phase II: New Elephant

Yards and Holding Space 9,000

National Museum of

American History, Behring

Center Revitalize NMAH-BC Public Space 3,500

National Museum of Natural

History Ongoing Revitalization 3,000

TOTAL 63,500

PROJECT TITLE: Restore Patent Office Building INSTALLATION: Patent Office Building LOCATION: Washington DC

FY 2004 COST ESTIMATE (Thousands of Dollars): 48,000

PRIOR YEAR FUNDING:

Construction 49,468

Facility Planning and Design 14,741

Relocation Expenses 9,440

73,649 73,649

FUTURE YEAR FUNDING

(FY 2005):

Fit out all floors and move back into building 44,400

Total 166,049

BUILDING BACKGROUND:

Originally designed to exhibit models of inventions patented in the United States, this stone neoclassical structure is a National Historic Landmark designed by architects Robert Mills and Thomas U. Walter. Begun in 1836 to house the U.S. Patent Office and completed in 1867, the building was converted to museum use in 1964.

Located within this 332,000-square-foot building are the Smithsonian American Art Museum and the National Portrait Gallery. The Smithsonian American Art Museum is dedicated to the arts and artists of the United States from colonial times to the present and houses paintings, sculpture, graphic art, photography, and folk art. The National Portrait gallery exhibits portraits of major figures in American history and culture. Average annual visitation for both museums is 430,000.

PROJECT JUSTIFICATION:

The building's mechanical and electrical systems are more than 30 years old and break down frequently. The inefficient two-pipe heating, ventilation, and air conditioning system cannot meet the current heating and cooling loads in the building. Air circulation is insufficient, humidity control is limited, and condensation is a major problem. The cooling tower leaks and the chiller plant contains chlorofluorocarbons (CFCs), which must be phased out to meet environmental laws.

The electrical distribution system is overloaded, inadequate, and unsafe. Clearances around transformers do not meet current code

requirements. Switchgear, panel boards, and distribution networks are deteriorated and obsolete. Replacement parts are no longer available.

Other utility systems that are seriously deteriorated include fire protection, plumbing, steam distribution, and communications systems. Some of the fire alarm system wiring is original to the building and contributes to system malfunctions. The building's elevators break down frequently, thereby reducing public access. The building's facade has been damaged by acid rain and air pollution, the window frames are deteriorated and failing, and several interior surfaces have been severely damaged by leaks and condensation. The building's main entrances and most restrooms are not accessible to persons with disabilities and do not meet current codes and standards. Asbestos, present throughout the building, must be abated before repairs can be accomplished.

PROJECT DESCRIPTION:

Create an accessible main entrance and improve accessibility throughout the building. Replace mechanical and electrical equipment, including boilers, pipes, air handling units, chillers, pumps, electrical transformers and substations, and fire pumps with new energy-efficient equipment. Install a new air distribution and control system, supply and return air grilles, and temperature and humidity controls by zone. Replace the cooling tower and change the location and mounting configuration to eliminate leaks. Repair exterior masonry, replace windows, restore elevators, and improve functionality of the building by providing accessible restrooms adjacent to each lobby and in event spaces. Remove or abate hazardous materials such as asbestos and CFCs. Convert administrative space to public space. Relocate some mechanical and electrical equipment to new space beneath the courtyard so that the adjacent space can be used for public programming, including a 346-seat auditorium. Restore interior finishes after installation of new systems and other construction.

The Institution also plans to construct a glass enclosure over the building's courtyard and install a food servery and restaurant and other visitor amenities. This work will occur concurrently, but will be funded from private sources.

In FY 2003, the Institution will request contractor proposals for base bid for courtyard excavation, basement and 4 th -floor mechanical equipment, system rough-in of all floors, and elevator installation. The full cost of the contract and associated supervision and contingencies is $117.4 million. However, this work does not allow for segmentation or phasing, as all systems must be installed to return the building to full operability. Since the funds available in FY 2003 and requested in FY 2004 will not be sufficient to

complete identifiable segments of the work, the Institution plans to use a continuing contract mechanism in order to complete the project on schedule. This mechanism is used by the Department of Defense and the Department of Energy for similar large projects for which full funding is not available at the inception of the contract, but is expected in increments in the following years. In a continuing contract, the total contract is awarded at one time, with a commitment to the current year's funding. The contract contains language limiting the extent of Government liability contingent on future funding. Without this authority, full, up-front funding would be required for the entire $117 million remaining cost. This amount would consume a disproportionate share of Smithsonian resources, and would cripple other programs. With a continuing contract, the Institution can complete construction 36 months from the time of contract award, to meet the current schedule.

PROGRESS TO DATE:

Facility assessment and planning phases have been completed and the roof and gutters have been replaced. Design for the renewal is complete and contract documents are currently out for bid. The $9.4 million gross demolition package in support of the physical plant renewal of the Patent Office Building is almost complete. An $8.6 million contract was awarded for the exterior stone and window renovation portion of the project and is currently 45 percent complete. Additionally, the $4 million contract for the packing, crating, relocation, and storage of SAAM and NPG collections material is complete.

Current funding and 5 FTEs transferred from Salaries and Expenses in FY 2003 will be used to hire construction management staff to supervise the construction contracts, including those currently in progress.

IMPACT OF DELAY:

The building is closed to the public, including school groups, educators, and scholars, for renovation and will remain so until sufficient funding is received to complete the entire renovation. This diminishes access to the museums' collections and reduces the Smithsonian's visibility and consequently its ability to attract donors. Also, the separation of staff from their collections causes inefficiency and inconvenience in collections management and research.

PROJECT TITLE: Asia Trail, Phases II & III: New Elephant Yards and Holding

Space INSTALLATION: National Zoological Park LOCATION: Washington DC

FY 2004 COST ESTIMATE (Thousands of Dollars):

Asia Trail, Phase II 9,000

PRIOR YEAR FUNDING:

Facility Planning and Design 2,500

FUTURE YEAR FUNDING

Asia Trail, Phase II: Elephant Yards 13,000

Asia Trail, Phase III: Elephant House 49,000

62,000 62.000

Total 73,500

BUILDING/SITE BACKGROUND:

The National Zoological Park in Washington DC, a National Historic District, was designed in the 1890s by the firm of renowned landscape architect Frederick Law Olmsted and architect Williams Ralph Emerson. The Byzantine-style Reptile House and Renaissance-style Elephant House exemplify the tradition of architect-designed buildings at the Zoo. Visitors to the Zoo in Washington can find more than 4,000 animals of nearly 480 species on exhibit in naturalistic settings. The Zoo's purpose is to promote the conservation of life on Earth through inspiration, recreation, informal and formal education, research, and animal health programs that use its unique collection of living animals and plants. Plans for Asia Trail, Phase I, are to convert the old deer and tapir area to house the sloth bears. Asia Trail, Phases II and III will modify the space for the elephants.

The Zoo's elephants are a very popular attraction, especially since the birth of the male Asian elephant Kandula in November 2001. The Elephant House is a stone structure in the heart of the Zoo's 167-acre site, and was designed to house and exhibit African mammals. The Zoo's long-range plan includes constructing new elephant yards and interior holding space adjacent to the building, then converting the Elephant House into more appropriate space for the remaining large mammals—giraffes, rhinos and hippos.

PROJECT JUSTIFICATION :

Asia Trail, Phase II will begin the design and development of new elephant yards. The new yards will provide the elephants with living areas more in tune with their behavior and needs. The larger and more complex yards will support a small herd in the social environment they require. With the birth of the male

more in tune with their behavior and needs. The larger and more complex yards will support a small herd in the social environment they require. With the birth of the male elephant this year, NZP is moving towards its goal of housing and exhibiting elephants as recommended by current zoological standards. With the introduction of a male elephant into the collection, the housing requirements have changed dramatically. More space, stronger housing, and the ability to separate the keeper and the elephant at all times are now required. The current building and yards do not meet any of these requirements. Additionally, the building's mechanical and electrical systems are more than 50 years old and break down frequently. It is not possible to maintain acceptable water quality due the limitations of the pools and plumbing systems. The roof and skylights leak, causing deterioration and unsafe conditions for the public, staff, and the animals.

PROJECT DESCRIPTION :

Asia Trail Phase II, new elephant yards, will re-grade and landscape a number of existing yards and connect them to the existing elephant building. A pool in the elephant yard along with areas to run, climb, and engage in behaviors one would observe in their natural habitat will be created. Accessible areas for the public to observe the elephants and keeper demonstrations will also be included. Phase III will construct new holding space for the elephants. The total estimated cost for Asia Trail, Phases II & III is $73.5 million, of which $2.5 million has been funded to date. The Institution is requesting $9 million in FY 2004 for Asia Trail Phase II, to design and begin construction of the elephant yards.

PROGRESS TO DATE :

Program requirements have been developed in-house, and design of the new yards will begin with funding anticipated in FY 2003.

IMPACT OF DELAY :

A delay would undermine the Zoo's ability to improve the quality of life for the Asian elephants, and place the elephant program at risk. Deferral of this phase will ultimately ripple into detrimental delays in subsequent phases of this project and future related projects intended to bring the housing of large mammals into compliance with American Zoological Association standards.

PROJECT TITLE: Revitalize NMAH, Behring Center Public Space INSTALLATION: National Museum of American History, Behring Center LOCATION: Washington DC

FY 2004 COST ESTIMATE (Thousands of Dollars):

Replace fire detection system 2,500

Relocate and improve core area rest rooms 1,000

3,500* 3,500

* Does not include $4 million included in FY 2004 request for Facilities Planning & Design to begin design of public space revitalization project

PRIOR YEAR FUNDING:

FUTURE YEAR FUNDING (FY 2005 - FY 2007):

Complete relocation and improvement of 2,000

public area rest rooms

Upgrade chiller plant 7,500

Renew public space 32,000

41,500** 41,500

Total 45,000

**Does not include $1 million for FY 2005 to complete design.

BUILDING BACKGROUND:

The National Museum of American History, Behring Center is a modern classical building designed by Walker 0. Cain of McKim, Mead, and White, and built in 1964 as the Museum of History and Technology. The 752,000-square-foot building houses exhibitions that explore America's technological, scientific, cultural, and political history. The collections include the Star-Spangled Banner that inspired Francis Scott Key, and exhibitions on the American presidency and the First Ladies' gowns. The annual visitation is typically six million.

PROJECT JUSTIFICATION:

The fire detection and alarm system is over 20 years old. It requires excessive maintenance and is difficult to modify to respond to the museum's changing needs. The public rest rooms are outdated, do not meet code in fixture quantity, and are not fully accessible. In some areas, notably the second floor, the rest rooms are difficult for visitors to locate. Public circulation areas, amenities, lobbies, seating, telephones, and secure coat check facilities are worn and in disrepair. The elevators are not fully accessible and are not all on emergency power. Paths of emergency egress are blocked by offices, exhibits, and the day-care center, creating life-safety hazards for the public and staff. Fire separation doors are a life-safety hazard

and require excessive maintenance. Areas of rescue assistance are needed for persons with disabilities. The fifth-floor roof terrace, used for many public events, is not fully accessible. The exterior window walls are deteriorated. Site landscaping, hardscape, and special features, such as the Constitution Avenue fountain and west reflecting pool, are in disrepair, are safety hazards, and need renewal. The chilled water system, including chillers, pumps, and cooling towers, has required significant repairs and needs total replacement. The chillers contain CFC refrigerants that must be phased out to comply with environmental laws. Steam condensate piping and pressure reducing valve stations are in poor condition, and transformer vaults are not air conditioned, threatening power failures due to heat.

PROJECT DESCRIPTION:

Replace the building's fire alarm system with a new, addressable fire detection and alarm system with expansion capacity. An addressable system relays the exact location of the fire. Relocate and expand the public rest rooms to meet code requirements for accessibility and fixture count and the actual needs of visitors and special events. Restore public circulation and orientation areas. Replace elevators and escalators so they are safe, accessible, and in coordination with planned security improvements and the public space renewal. Provide capability for each elevator to operate on emergency power, access ramps to the roof terrace, and an accessible public elevator to the basement. Restore public paths of egress to emergency stairs and provide areas of rescue assistance. Re-engineer the life-safety strategy to eliminate deficient fire separation doors. Refurbish the exterior window walls. Repair and refurbish site landscaping, paving, and original fountains. Replace the three chillers and cooling towers with modern units and replace associated pumps and piping. Replace the steam piping in the basement, including the pressure-reducing valve stations, and add air conditioning to the transformer vaults.

All of the major repair work must be performed in conjunction with the public space renewal plan. Implementation of core elements such as restrooms and the fire detection system is critical in FY 2004, as they are predecessors of donor-funded activities. The donor-funded Price of Freedom exhibition is scheduled to open in November 2004, and the Star-Spangled Banner reinstallation and For Which It Stands exhibition are scheduled to open in November 2005. Both of these initiatives will be impacted without the timely construction of core visitor area amenities and support systems planned for FY 2004.

In FY 2004, the Institution will design most of the components of the public space revitalization project (with $4 million included in the Facilities Planning and Design section of the Facilities Capital request) and request

contractor proposals to replace the fire detection and alarm system and relocate the restrooms on the second floor central core area. After reviewing the proposals, the Institution will award the project for construction. Design will be ongoing for phased projects to be funded in future years.

PROGRESS TO DATE:

Concept planning is in progress, funded by the gift of Kenneth Behring. Once a concept has been finalized, collaborative planning and design can move forward on both the facility (federal) and program (trust) aspects of the project.

IMPACT OF DELAY:

Equipment and systems at the end of their useful life will continue to fail at increasing rates, be more expensive to fix later, and demand excessive amounts of maintenance staff time. Because the existing fire detection/alarm system is not addressable, labor for testing and maintenance is higher than the newer generation of systems in use elsewhere in the Institution. Public restrooms are not fully accessible, and are inadequate for peak visitation and special events. Elevators will remain inaccessible and some areas of the Museum will remain unavailable to persons with disabilities. Deficiencies in circulation and life safety create poor conditions for the public and staff. Areas of public orientation and amenities will remain in confusing and shabby condition. Existing fire separation doors require frequent testing and maintenance and parts are difficult to find. Deteriorated window walls will continue to present a poor image to our visitors and the empty fountain is a safety hazard and an eyesore. Periodic chilled water failures have caused the building humidity to spike and leaks from the steam condensate lines require maintenance and threaten collections. Delaying the planning of the facility revitalization would reduce the synergy of working with the Museum staff on a joint programmatic, facility-driven renewal of the exhibits and other public spaces. In addition to failures of various systems, such as elevators and escalators, and weak public safety and egress provisions, a delay would cause the loss of collaborative edge of joining public safety and design as the Museum proceeds with planning several new major exhibitions.

PROJECT TITLE: Ongoing Revitalization INSTALLATION: National Museum of Natural History LOCATION: Washington DC

FY 2004 COST ESTIMATE (Thousands of Dollars):

Complete renovation of first floor halls 3,000

PRIOR YEAR FUNDING:

Construction 86,089

Facility Planning and Design 10,968

Move 350

Interim Repair 1,000

98,407 98,407

FUTURE YEAR FUNDING (FY 2005 - FY 2011):

Mall accessible entrance 8,000

Ongoing HVAC replacement and code

Improvements 162,600

170,600 170,600

Total 272,007

BUILDING BACKGROUND:

The Natural History Building opened to the public in 1910. The East and West Wings were added in the early 1 960s. Two infill buildings were constructed in the original building's East and West courtyards in the late 1 990s. The gross interior square footage of the building is 1.3 million square feet. The building includes 300,000 square feet of public museum space, and collections, laboratory, office, and building services space constitute the remaining 1 million square feet. The Museum typically has hosted nine million visitors annually, making it one of the most visited museums in the world.

PROJECT JUSTIFICATION :

The building's mechanical and electrical systems installed in the early 1960s are almost 40 years old and are in need of major renovation. Breakdowns of the mechanical system are frequent, repair parts are often difficult to procure, and the system does not provide the environmental quality necessary for the display and curation of Museum collections.

PROJECT DESCRIPTION :

This project continues the ongoing Major Capital Revitalization of the Natural History Building, including the renovation of the building's

mechanical and electrical systems and associated work. The particular focus of the current project is the renovation of the 6th floor of the building's West Wing. A new air conditioning and heating distribution system is to be installed; the electrical system upgraded, including a new lighting system; and space modifications made to provide a more flexible and serviceable working environment.

PROGRESS TO DATE :

Renovation of the building and replacement of the mechanical, electrical and other systems continues. Replacement of the roof and repair of the facade and skylights is approximately 75% complete and on schedule for a summer 2003 completion. Installation of mechanical and electrical systems for the East and West wings and renovation of the East Wing 4 th and 5 th floors is substantially complete. Phase VI of the renovation and emergency power modification work is about 40% complete. Design is underway for the renovation of Halls 8, 9 and 10.

A schematic design is nearing completion for the revitalization of the 6 th floor of the building's West Wing.

IMPACT OF DELAY :

If funding were delayed, building systems would continue to deteriorate and fail. The environmental conditions required for the Museum's collections and the visiting public could not be maintained.

Projects in this category correct extensive and serious facilities deficiencies to materially extend the service life of systems. Unlike the major revitalization projects, however, these projects are smaller in scale, and usually involve capital repair or replacement of individual systems or components. The capital repair projects formerly included in Code Compliance and Security, and Infrastructure Repair are now included here. Descriptions of the major projects follow the summary below.

Facility Major Projects $(000)s

Multiple Locations Mall-Wide Signage 575

Multiple Locations Personnel 3,000

Multiple Locations Miscellaneous projects under $500,000 4,595

TOTAL 8,170

PROJECT TITLE: Mall-Wide Signage

INSTALLATION: Exterior of Smithsonian Mall Buildings

LOCATION: Washington, DC

FY 2004 COST ESTIMATE (Thousands of Dollars):

Begin Phase II Implementation 575

PRIOR YEAR FUNDING:

Concept and design 175

Phase I implementation 1,000

1,175 1,175

FUTURE YEAR FUNDING (FY 2005):

Complete Phase II 425

Total 2,175

PROJECT DESCRIPTION:

This is the second phase of the two-phased fabrication and installation of Mall-wide signs to replace and upgrade existing signage to provide information on Smithsonian museums, assist visitor way-finding, and announce program offerings in a consistent manner throughout the Mall. The Mall-wide signage project will improve recognition of all Smithsonian Mall facilities and the programs they offer by replacing the ad hoc clutter of existing signs with elegant kiosks uniformly bearing the Smithsonian identity.

192

Phase I, which will be completed in FY 2003, includes the prototypes of all three sign types and the program signs for all Mall museums. Phase II includes Smithsonian information signs and building identification signs. Both phases have been designed together as a Mall-wide signage master plan.

PROJECT JUSTIFICATION:

The current hodgepodge of signs on the Mall does not provide our visitors with comprehensive information about the Smithsonian. The varied and inconsistent styles and format of the existing signs assault our visitors with visual incongruity, presenting a fractured, amateurish image of the Smithsonian. The Mall-wide signage project will replace the existing signs with an attractive, coordinated information system. The signs will assist our visitors in planning their visits by introducing them to all the Smithsonian museums, programs, and amenities, including food service and retail, in a visually accessible way.

IMPACT OF DELAY:

Deferral of the Mall-wide signage project will leave a variety of uncoordinated and visually disparate Smithsonian signage on the Mall. Comprehensive information about all the Smithsonian museums and programs will not be available for our visitors, potentially affecting the overall experience of visitors to the Smithsonian and the nation's Capital.

PROJECT TITLE: Personnel INSTALLATION: Multiple Locations LOCATION: Sl-wide

FY 2004 COST ESTIMATE (Thousands of Dollars): 3,000

PRIOR YEAR FUNDING: 3,000

FUTURE YEAR FUNDING (FY 2005): 3,000

Total 9,000

PROJECT DESCRIPTION:

This request includes staff costs for permanent construction management staff required to supervise and administer construction contracts as well as term and temporary staff required to perform specialized work associated with revitalization projects. A total of 27 FTEs will be funded from this request. The permanent staff of 22 construction management engineers will cost approximately $2.4 million in FY 2004.

Additional construction management staff are budgeted for the Patent Office Building renovation project, the National Museum of American Indian Mall Museum project, and the Pod 5 project, and are included in the descriptions of those projects. The engineers directly supervise construction contractors on site performing revitalization work in Smithsonian buildings to be sure that quality work is performed safely. In addition, they resolve issues that arise during construction, negotiate change orders, approve payments, and perform other administrative functions as Contracting Officer's Technical Representatives. The total cost of this permanent corps of construction managers amounts to approximately 3-4 percent of the revitalization work expected to be in progress each year, and this arrangement will allow the Institution to charge these costs directly to the project/program in a way comparable to the practices of other agencies such as NASA and the Army Corps of Engineers. This request also funds five contract specialists providing support to all aspects of the procurement process for acquiring the necessary contract services to execute the capital program. These contract specialist positions are currently filled with term appointments, which makes it difficult to retain staff that have become fully versed in the Institution's capital program. The Smithsonian therefore requests an additional 5 FTEs to allow conversion of these positions to permanent. These five positions will cost approximately $600,000 in FY 2004.

PROJECT JUSTIFICATION:

The Institution must have an appropriate level of construction management staff to perform essential owner functions to supervise construction activities, in order to ensure that quality work is completed safely, on time, and within budget. A professional trained staff will diminish the risk of owner-caused delays and related costs increases, and ensure that the work is appropriately coordinated with building occupants. Contracting support is essential to ensure the timely award of planning, design, and construction contracts to execute the capital program.

IMPACT OF DELAY:

A delay would leave the Institution without the staff and support required to execute the capital program, causing delays in awarding contracts and increasing the risk of poor workmanship, cost increases, schedule delays and occupant disruption during construction.

CONSTRUCTION

Projects in this category represent an investment in the continuing vitality of all Smithsonian programs. The creation of the Air and Space Museum's new Steven F. Udvar-Hazy Center at Dulles Airport and the National Museum of the American Indian on the Mall testify to the vigorous spirit of public outreach that will bring more visitors in touch with their national collections. Furthermore, advances in science demand new locations for research and plant expansion to sustain increasingly complex research requirements. The Institution is also committed to providing appropriate, safe, and secure storage and care facilities for its extensive and valuable collections.

Location Project $(000)s

Museum Support Center Construct Pod 5 10,000

TOTAL 10,000

PROJECT TITLE: Construct Pod 5 INSTALLATION: Museum Support Center LOCATION: Suitland, MD

FY 2004 COST ESTIMATE (Thousands of Dollars):

Site work and construction 10,000

PRIOR YEAR FUNDING (FY 2003):

Facility Planning and Design 2,000

FUTURE YEAR FUNDING (FY 2005):

Complete construction 12,000

Furnish and install equipment 6,000

18,000 18,000

Total 30,000

BUILDING BACKGROUND:

Built in 1983 as designed by architectural firms Keyes, Condon, Florance and Metcalf and Toby, the modern, precast concrete center is a state-of-the-art research, conservation, and collection storage facility providing optimum environments for the storage, preservation and study of Smithsonian collections. The 524,000-square-foot facility houses no public exhibits. Rather, it has four large collections storage bays, referred to as pods, and an office-laboratory complex. The building is not open to the public, except for scholars and researchers.

The third bay, Pod 3, was originally intended for the storage of natural history specimens preserved in alcohol. These collections are highly flammable and require safe, secure and fire-code-compliant storage. The Natural History Museum engaged in a lengthy design process to complete the installation of a steel collections storage structure in Pod 3. As this effort progressed, it became apparent that modification of Pod 3 would not provide code-compliant storage at a reasonable cost. The design estimated that it would cost over $13 million to upgrade Pod 3, and it still would not meet these needs. The need remains for a code-compliant alcohol collections storage facility off the National Mall that will permanently house the Museum's alcohol collections, including those still in the NMNH building on the Mall. The proposed Pod 5 will provide a safe code-compliant environment for these collections, while freeing up valuable space at the NMNH Mall building and making Pod 3 available for other Institutional uses.

PROJECT JUSTIFICATION:

The design and construction of Pod 5 is the Smithsonian's highest priority safety and security project. The Smithsonian has the world's largest collection of animal and botanical specimens preserved in alcohol. This irreplaceable collection is at risk of total loss because it is stored in space at the NMNH building on the Mall that does not meet numerous fire code standards. In addition, the events of September 11 have put a higher level of emphasis and increased necessity on proceeding with this project.

Current storage conditions violate the National Fire Codes in the following ways:

1. Maximum allowable size for an inside alcohol storage room is 500 square feet. Alcohol is stored in a 14,600-square-foot room, a 1 5,300-square-foot room, an 11,800-square-foot room, and three smaller rooms totaling 6,500 square feet.

2. Wall, floors, and ceilings must be rated for 2-hour fire resistance. Only two of the smaller rooms meet this requirement.

3. Maximum allowable alcohol to be stored in one room is 1,800 gallons. All rooms exceed this limit.

4. Alcohol storage rooms must have sprinkler systems in compliance with Extra Hazard Group II. Only two of the smaller rooms have this extra sprinkler capacity.

5. Alcohol rooms must have liquid-tight floors and spill-proof containment or drainage to prevent burning liquid from leaking through floors, walls, or under doors to non-protected spaces. Only one of the small rooms meets these requirements.

6. All wiring within alcohol storage rooms must be explosion-proof to prevent sparks from lights or switches from igniting alcohol vapors if a spill or leak occurs. Only two of the smaller rooms meet these requirements.

7. Alcohol storage rooms must be continuously exhausted to the outside and alarmed if mechanical ventilation fails. Only two of the smaller rooms meet these requirements.

Renovating the existing space in the Mall Museum to become code-compliant can only be achieved through extraordinarily disruptive and costly means. The resultant space would only house a fraction of the collections now located on the Mall due to the 500 square foot maximum for each storage room.

The safest solution is the construction of a fifth pod at the Museum Support Center in Suitland, where security inside the perimeter fencing

provides the lowest risk. The fifth pod would effectively isolate the alcohol collections from vulnerable, less volatile collections in nearby existing pods.

Since the funds requested in FY 2003 for planning and design ($2 million) and in FY 2004 for site work and construction ($10 million) will not be sufficient to complete construction, the Institution plans to use a continuing contract mechanism in order to complete the project on schedule.

PROJECT DESCRIPTION:

The preliminary scope of the project is to construct a 1 20,000-gross-square-foot addition to the Museum Support Center to house the alcohol collections now in Pod 3 and the Natural History Museum on the Mall. The new pod will contain three levels for storage. The height of the pod will be determined based upon the requirement to provide appropriate space above and around the containers to provide adequate ventilation. The design of Pod 5 will accommodate existing shelving systems utilized by the Museum, as well as new shelving and compactor systems that are suitable for use with this kind of collection. Purchasing new equipment and relocating existing shelving are included in the project. A utility and access "street" will connect the pod to the rest of the existing building. Laboratory/research space of approximately 42,000 gross square feet, and a new loading dock, will provide support to activities related to the alcohol collections. The new pod is in accordance with the approved master plan for the Suitland campus. The estimated $28 million cost to construct and equip the building will be further refined and a baseline (scope, schedule, and budget) established once the building has been designed to the 35% stage.

Resources requested for FY 2004 include 5 FTEs and support costs for construction management staff to supervise the construction contract.

PROGRESS TO DATE:

The staff has completed the scope of work for design of Pod 5, and is negotiating a term contract to finalize the scope and establish the design fee. The estimated cost of the A/E fee is $2,000,000. This amount is included in the FY 2003 request. It is anticipated that all preliminary work will be completed so that the award for the design can be made as soon as funding becomes available. The preliminary milestone schedule is to award the design contract in FY 2003, complete the design and award the construction contract in late FY 2004, and complete construction by FY 2006.

IMPACT OF DELAY:

In order to improve safety for staff, visitors, and the collections themselves, it is essential to provide code-compliant, secure storage for the collections preserved in alcohol as soon as possible. The National Museum of

Natural History and its staff, visiting public, and collections remain at risk with the alcohol collections inadequately protected within the building on the Mall.

FACILITIES PLANNING AND DESIGN

Feasibility studies, needs assessment, and design for capital projects are required before work can take place. Resources in this category include all costs for contract facility master planning, preliminary and final design for all revitalization and construction projects, special studies, and a small amount for facility engineering capital leveraging and research activities, similar to Department of Defense and NASA. The funding will allow development of project baselines, including costs, scope, and schedule, prior to receiving funding to perform the work.

In order to plan and design ahead of capital program execution, funding of about 10% of the following year's program is required each year. The funding requested for FY 2004 will provide necessary planning and design to at least the 35% stage for projects included in the planned FY 2005 program. This will allow establishment of firm baselines and enable timely award of construction contracts upon receipt of future-year funding. Funding at this level will allow the Institution to maintain momentum in modernizing its facilities over the next decade.

The specific components of the request for FY 2004 include the following:

Location Project $(000)s

National Museum of Design Public Space Revitalization 4,000

American History,

Behring Center Multiple Locations Miscellaneous Facilities Planning and Design 4,300

TOTAL 8,300

If resources are not provided, the Institution will be unable to proceed with vital planning and design activities to ensure the successful execution of the long-range capital program. The result will be a significant delay in meeting the Institution's goals to return Smithsonian facilities to full functionality over the next decade.

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VISITS TO THE SMITHSONIAN FY 1998-FY 2002

TOTAL

31,640,238 31,071,830 33,511,401 33,663,190 25,007,252

Closed to the public January 2000 through present.

2

Closed to the public December 1996 through January 1998, September 1998, and December 1999

through February, 2002. 'includes the George Gustav Heye Center, which opened in 1994, and the Cultural Resources Center, which opened in April 2000.

TRUST FUNDS

In addition to support provided by federal appropriations, the Institution receives trust funds to expand and enrich its programs. The following provides an overview of all sources of funding.

The Institution's trust funds include general trust funds with limited or no restrictions on their use, designated funds restricted by the donor or sponsor, and government grants and contracts. Projections are subject to the uncertainty of the size of donations, grants, and contracts; to fluctuations in visitor attendance; and to the volatility of the economy, which directly affects the return on the endowment and donor giving, as well as restaurant, mail order, and museum shop revenues, memberships, and other business activities. The Institution's gross operating revenue, less the expenses of the auxiliary activities, represents the net operating revenue available for programmatic and related purposes. The following table provides a summary of the sources of trust operating funds.

SOURCE AND APPLICATION OF TRUST FUNDS - The following sections describe the sources of each category of trust funds as well as a general description of their application.

General Trust Funds - The sources of general trust funds are investment income; earnings from unrestricted endowments; net proceeds from the museum shops, mail order, and food service concessions; sales of Smithsonian books, records, and other products based on designs and objects in the collections; theater/planetarium operations at the National Air and Space Museum and the Samuel C. Johnson IMAX Theater in the National Museum of Natural History; rental of exhibitions of the Smithsonian Institution Traveling Exhibition Service; membership programs (including Smithsonian and Air and Space magazines); the sale of posters, exhibition brochures, catalogs, and other publications; and admission fees. Projected sources of FY 2003 general trust funds total $77,000,000. These funds are used to support administrative programs such as central management, legal counsel, accounting, personnel, contracting, and budget, as well as education, research and public programs, scholarly studies, and exhibitions.

Donor/Sponsor Designated Funds - Designated trust funds include gifts, grants, and earnings on endowments from individuals, foundations, organizations, and corporations that specify the purpose of the funds. Designated funds in FY 2003 are projected to total $63,000,000. Generally, these funds support a particular exhibition or program, are used to manage the Smithsonian collections, and/or support research projects.

Government Grants and Contracts - Various government agencies and departments provide grants and contracts for projects that only the Smithsonian can conduct because of its expertise in a particular area of science, history, art, or education and because of its ability to respond quickly to certain needs. For FY 2003, government grants and contracts are projected to be $87,000 000. Of this amount, $72,000,000 is provided for astrophysical research and development carried out by the Smithsonian Astrophysical Observatory.

APPROPRIATION LANGUAGE AND CITATIONS

The Act of August 10, 1846, 9 Stat. 102-106, 20 U.S.C.§§ 41-70, established the Smithsonian Institution "for the increase and diffusion of knowledge," and provided the organizational structure for the Institution's administration. The mission of the Smithsonian Institution has remained unchanged throughout its 156-year history, although additional authority for many of the Institution's programs and operations has been enacted over the years. Those statutes, along with the Smithsonian charter, are cited below as the authority for the Smithsonian Institution FY 2002 appropriation language, except where specific authorizing language has been included in the wording of the appropriation itself. FY 2003 appropriation language and citations will be submitted to the Appropriations Subcommittees when available.

Appropriation: Salaries and Expenses

1. For necessary expenses of the Smithsonian Institution, as authorized by law, including research in the fields of art, science, and history;

20 U.S.C.§§ 50, 53a, 69, 75b(b), 76bb(c), 77a, 78, 80a(a), 80m, 80q-1 (b)(1), (3) provide that (1) "...all objects of art and of foreign and curious research, and all objects of natural history, plants, and geological and mineralogical specimens...shall be so arranged and classified...as best to facilitate the examination and study of them..." (2) "Appropriations are authorized for...the making of solar observations at high altitudes..." (3) "The Secretary of the Smithsonian Institution is hereby authorized...to continue independently or in cooperation anthropological researches among the American Indians and the natives of lands under the jurisdiction or protection of the United States..." (4) "The Gallery [National Portrait Gallery] shall function as a free public museum for the exhibition and study of portraiture and statuary depicting men and women who have made significant contributions to the history, development, and culture of the people of the United States and of the artists who created such portraiture and statuary." (5) "The Joseph H. Hirshhorn Museum and Sculpture Garden...shall be used for the storage, exhibition, and study of works of art..." (6) "The national air and space museum shall...provide educational material for the historical study of aviation and space flight." (7) "The Secretary of the Smithsonian Institution is authorized to cooperate with any State, educational institution, or scientific organization in the United States for continuing paleontological investigations..." (8) "It shall be equipped with a study center

for scholarly research into the meaning of war, its effect on civilization, and the role of the armed forces..." (9) "...the Board may...conduct programs of research and education (in the Museum of African Art)..."(10) The purposes of the National Museum [of the American Indian] are to (1) advance the study of Native Americans, including the study of language, literature, history, art, anthropology, and life...(3) provide for Native American research and study programs.

development, preservation, and documentation of the National Collections;

20 U.S.C.§§ 50, 50a, 59, 69, 75e, 76c, 76cc(a), 77a, 80a, 80m, 80q-1 (b)(2), 81 provide that (1) "...all objects of art and of foreign and curious research, and all objects of natural history, plants, and geological and mineralogical specimens...shall be delivered to such persons as may be authorized by the Board of Regents to receive them, and shall be so arranged and classified...as best to facilitate the examination and study of them..." (2) "The Smithsonian Institution is authorized to include in its estimates of appropriations such sums as may be needful for the preservation and maintenance of the John Gellatly art collection." (3) "All collections of rocks, minerals, soils, fossils, and objects of natural history, archaeology, and ethnology...when no longer needed for investigations in progress shall be deposited in the National Museum." (4) "The Secretary of the Smithsonian Institution is hereby authorized...to continue independently or in cooperation...the excavation and preservation of archaeological remains." (5) "...the Board may - (1) purchase, accept, borrow, or otherwise acquire portraiture, statuary, and other items for preservation, exhibition, or study." (6) "...the Regents are authorized...to acquire (by purchase or otherwise) and sell contemporary works of art or copies thereof..." (7) "There is established in the Smithsonian Institution a Board of Trustees...which shall have the sole authority (i) to purchase or otherwise acquire...works of art for the Joseph H. Hirshhorn Museum and Sculpture Garden..." (8) "The national air and space museum shall...collect, preserve, and display aeronautical and space flight equipment of historical interest and significance..." (9) "...the Smithsonian Institution shall collect, preserve, and exhibit military objects of historical interest and significance." (10) "...the Board may purchase, accept, borrow or otherwise acquire additional works of art or any other real or

personal property for the Museum (of African Art); preserve, maintain, restore...or otherwise hold any property of whatsoever nature acquired..." (1 1) "The purposes of the National Museum [of the American Indian] are to...(2) collect, preserve, and exhibit Native American objects of artistic, historical, literary, anthropological, and scientific interest..." (12) "The National Zoological Park is placed under the direction of the Regents of the Smithsonian Institution, who are authorized to transfer to it any living specimens, whether of animals or plants, in their charge, to accept gifts for the park...to make exchanges of specimens..."

3. presentation of public exhibits and performances;

20 U.S.C.§§ 75b(b), 76c(b), 76bb(c), 77a, 80a(a), 80m(a), 80q-1(b) provide that (1) "The Gallery [National Portrait Gallery] shall function as a free public museum for the exhibition and study of portraiture and statuary..." (2) "In order to encourage the development of contemporary art and to effect the widest distribution and cultivation in matters of such art, the Regents are authorized to...conduct exhibitions..." (3) "The Joseph H. Hirshhorn Museum and Sculpture Garden...shall be used for the storage, exhibition, and study of works of art..." (4) "The national air and space museum shall...collect, preserve, and display aeronautical and space flight equipment of historical interest and significance..." (5) "...the Smithsonian Institution shall collect, preserve, and exhibit military objects of historical interest and significance." (6) "...the Board may...display...any property of whatsoever nature acquired (for the Museum of African Art)..." (7) "The purposes of the National Museum [of the American Indian] are to...(2) collect, preserve, and exhibit Native American objects of artistic, historical, literary, anthropological, and scientific interest..."

4. collection, preparation, dissemination, and exchange of information and publications;

20 U.S.C.§ 53a provides that "Appropriations are authorized for the...preparation of manuscripts, drawings, and illustrations for publication."

5. conduct of education, training, and museum assistance programs;

20 U.S.C.§ 65a provides "The Director of the National Museum under the direction of the Secretary of the Smithsonian Institution shall - (1) cooperate with museums and their professional organizations in a continuing study of museum problems and opportunities, both in the United States and abroad;... (3) prepare and distribute significant museum publications; (4) perform research on, and otherwise contribute to, the development of museum techniques...."

20 U.S.C.§ 77a provides that "The national air and space museum shall...provide educational material for the historical study of aviation and space flight."

20 U.S.C.§ 79a provides that "The purpose of setting aside such an area [Barro Colorado Island] is to preserve and conserve its natural features...thus providing a place where duly qualified students can make observations and scientific investigations for increase of knowledge, under such conditions and regulations as may be prescribed by the Smithsonian Institution."

20 U.S.C. § 79e provides that "There are authorized to be appropriated annually...such sums as are necessary for the administration of [the Canal Zone Biological Area] for the maintenance of laboratory or other facilities..."

The Panama Canal Treaty and ancillary agreements vest in the Smithsonian Tropical Research Institute responsibility to serve as custodian of the Barro Colorado Nature Monument. The Panama Canal Act of 1979, Public Law 96-70, as amended, implements the provisions of the Panama Canal Treaty.

20 U.S.C.§ 80m(a) provides that "...the Board [of Regents] may... (3) conduct programs of research and education (in the Museum of African Art)...."

maintenance, alteration, operation, lease (for terms not to exceed thirty years), and protection of buildings, facilities, and approaches;

20 U.S.C.§§ 53a, 76g, 76ee, 79b, 80m, 81 provide that respectively, (1) "Appropriations are authorized for the maintenance of the Astrophysical Observatory and...for repairs and alterations of buildings and grounds occupied by the Smithsonian Institution in the District of Columbia and elsewhere..." (2) "There are authorized to be appropriated

annually such sums as may be necessary to maintain and administer the Gallery [National Portrait Gallery]..." (3) "There is authorized to be appropriated...such additional sums as may be necessary for the maintenance and operation of such [Hirshhorn] [M]useum and [S]culpture [G]arden." (4) "The Smithsonian Institution shall...be responsible for the construction and maintenance of laboratory and other facilities on the area provided for the use of students authorized to carry on studies within the confines of the area..." (5) "...the Board may...preserve, maintain...any property of whatsoever nature acquired (for the Museum of African Art)..." (6)"The National Zoological Park is placed under the direction of the Regents of the Smithsonian Institution, who are authorized...to administer and improve the said Zoological Park for the advancement of science and the instruction and recreation of the people." Public Law 101-512 making appropriations for the Department of the Interior and Related Agencies for the fiscal year 1991 extended the maximum term for leases from ten years to thirty years.

7. not to exceed $ for services as authorized by 5 U.S.C. 3109;

5 U.S.C.§ 3109 provides that "When authorized by an appropriation or other statute, the head of an agency may procure by contract the temporary (not in excess of 1 year) or intermittent services of experts or consultants or an organization thereof, including stenographic reporting services."

8. up to 5 replacement passenger vehicles;

31 U.S.C.§ 1343 provides that "(b) An appropriation may be expended to buy or lease passenger motor vehicles only-- (1) for the use of--...or, (2) as specifically provided by law."

9. purchase, rental, repair, and cleaning of uniforms for employees,

5 U.S.C.§ 5901 provides that "(a) There is authorized to be appropriated annually to each agency of the Government of the United States,...on a showing of necessity or desirability, such sums as may be necessary to carry out this subchapter. The head of the agency concerned...shall— (1) furnish to each of these employees a uniform at a cost not to exceed $400 a year...or (2) pay to each of these employees a allowance for a uniform not to exceed $400 a year..."

40 U.S.C.§ 193t provides that "The special police provided for in section 1 93n of this title [Smithsonian Institution]...may be furnished, without charge, with uniforms and such other equipment as may be necessary for the proper performance of their duties..."

10. of which not to exceed $ for the instrumentation program,

collections acquisition, exhibition reinstallation, the National Museum of the American Indian, and the repatriation of skeletal remains program shall remain available until expended,

Wording added by the Congress in Public Law 100-446 making appropriations for the Department of the Interior and related agencies for the fiscal year 1 989 to permit the Institution to establish no-year funding within the Salaries and Expenses account for the development of major scientific instrumentation. Public Law 101-512 making appropriations for the Department of the Interior and Related Agencies for the fiscal year 1991 also allowed no-year funding to be used for purchases for museum collections; the design, production, and reinstallation of museum exhibitions; the operating costs associated with the new National Museum of the American Indian; and the repatriation of skeletal remains.

31 U.S.C.§ 1301(c) provides "An appropriation in a regular, annual appropriation law may be construed to be permanent or available continuously only if the appropriation ... (2) expressly provides that it is available after the fiscal year covered by the law in which it appears."

11. and including such funds as may be necessary to support American

overseas research centers and a total of $ for the Council of

American Overseas Research Centers:

Wording added by the Congress in Public Law 99-190 making appropriations for the Department of Interior and Related Agencies in 1986. Public Law 100-446 making appropriations for the Department of the Interior and Related Agencies for the fiscal year 1 989 modified reference to add specific dollar sum to be provided to the Council of American Overseas Research Centers.

12. Provided, That funds appropriated herein are available for advance payments to independent contractors performing research services or participating in official Smithsonian presentations:

31 U.S.C.§ 3324 provides that "(b) An advance of public money may be made only if it is authorized by-- (1) a specific appropriation or other law..."

13. Provided further, That the Smithsonian Institution may expend Federal appropriations designated in this Act for lease or rent payments for long term and swing space, as rent payable to the Smithsonian Institution, and such rent payments may be deposited into the general trust funds of the Institution to the extent that federally supported activities are housed in the 900 H Street, N.W. building in the District of Columbia: Provided further, That this use of Federal appropriations shall not be construed as debt service, a Federal guarantee of, a transfer of risk to, or an obligation of, the Federal Government; Provided further, That no appropriated funds may be used to service debt which is incurred to finance the costs of acquiring the 900 H Street building or of planning, designing, and constructing improvements to such building.

Wording added by the Congress in Department of the Interior and Related Agencies Appropriations Act, 2000, as enacted by section 1000(a)(3), Division B of the Consolidated Appropriations Act, 2000 (Public Law 106-113, approved November 29, 1999).

Appropriation: Repair, Restoration and Alteration of Facilities

1 . For necessary expenses of maintenance, repair, restoration, and alteration of facilities owned or occupied by the Smithsonian Institution, by contract or otherwise, as authorized by section 2 of the Act of August 22, 1949 (63 Stat. 623),

Act of August 22, 1949 (63 Stat. 623), 20 U.S.C.§ 53a, provides that "Appropriations are authorized...for repairs and alterations of buildings and grounds occupied by the Smithsonian Institution in the District of Columbia and elsewhere..."

20 U.S.C.i 81 provides that "The National Zoological Park is placed under the direction of the Regents of the Smithsonian Institution, who are authorized...to administer and improve the

said Zoological Park for the advancement of science and the instruction and recreation of the people."

2. including not to exceed $ for services as authorized by 5 U.S.C.

3109,

5 U.S.C.§ 3109 provides that "When authorized by an appropriation or other statute, the head of an agency may procure by contract the temporary (not in excess of 1 year) or intermittent services of experts or consultants or an organization thereof, including stenographic reporting services."

3. to remain available until expended,

31 U.S.C.§ 1301 provides "An appropriation in a regular, annual appropriation law may be construed to be permanent or available continuously only if the appropriation—... expressly provides that it is available after the fiscal year covered by the law in which it appears."

4. of which $ is provided for maintenance, repair, rehabilitation

and alteration of facilities at the National Zoological Park:

Wording added by the Congress in Department of the Interior and Related Agencies Appropriations Act, 2000, as enacted by section 1000(a)(3), Division B of the Consolidated Appropriations Act, 2000 (Public Law 106-113, approved November 29, 1999) for clarification.

5. Provided, That contracts awarded for environmental systems, protection systems, and repair or restoration of facilities of the Smithsonian Institution may be negotiated with selected contractors and awarded on the basis of contractor qualifications as well as price.

Wording added in fiscal year 1 984 to allow for negotiations with the most competent firms for restoration and renovation work where it can be certified that such work must be performed to meet the special needs of historic structures, the protection of collections, or public safety.

Appropriation: Construction

1. For necessary expenses for construction,

20 U.S.C.§ 53a provides that "Appropriations are authorized...for repairs and alterations of buildings and grounds occupied by the Smithsonian Institution in the District of Columbia and elsewhere..."

2. to remain available until expended.

31 U.S.C.i 1301(c) provides "An appropriation in a regular, annual appropriation law may be construed to be permanent or available continuously only if the appropriation... (2) expressly provides that it is available after the fiscal year covered by the law in which it appears."

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