Attachment F - Likely Performer and Funder Sources

Attachment F. Likely Performer and Funder Sources

Likely Performer and Funder Sources
A total of 2,361 organizations were identified as likely performers using five auxiliary sources; 1,494
organizations were identified as likely funders using nine sources. Table H-1 and H-2 include the source
of auxiliary data and the count of organizations for likely performers and funders.
Table H-1: Auxiliary Data Sources Identifying Likely Performers
Performer Source

Description

NCSES Federal Support for S&E
Survey (FSS) 2010–2013

Organizations who are listed in the survey of Federal
S&E Support in 2010–2013 as recipients of R&D.
These organizations accepted federal funding for
R&D in the United States.
AIRI members are nonprofit research institutes
whose mission is to enhance the ability of its
members to improve human health and advance
knowledge.
Biomedical organizations who participated in the
2009 NCSES survey of Science and Engineering
Research Facilities. Organizations that participated in
this survey expended at least $1 million in research
and development funds in the prior fiscal year.
Organizations screened in the Former 1996/1997
Nonprofit survey that were indicated as a
“Performer” or “Both” Funder/Performer
organizations.
NSF provided a list of 62 nonprofit organizations with
affiliation agreements at different universities.

Association of Independent
Research Institutes (AIRI)

NCSES Facilities Survey 2009

1996/1997 Nonprofit Survey
Screened Performer

NCSES Higher Education
Research and Development
(HERD) Affiliates

Organizations

Has
EIN

1,831

81



171



233



45



Organizations

Has
EIN

390



99



822



Table H-2: Auxiliary Data Sources Identifying Likely Funders
Funder Source
1996/1997 Nonprofit Survey
Screened Funder
1996/1997 Nonprofit Survey
Responding Funder
Grant Station Funder Database
Consortium of Social Science
Associations (COSSA)
Science Philanthropy Alliance
Health Research Alliance

Description
Organizations screened in the Former 1996/1997
Nonprofit Survey that was indicated as a “Funder” or
“Both” Funder/Performer organizations.
Organizations responding to the Former 1996/1997
Nonprofit Survey and was indicated as a funder
organization.
Grant Station database of funders who indicated
funding of research.
ICF identified organization with a COSSA membership
that indicated they were a private foundations and
funded research.
Organizations listed as members of Science
Philanthropy Alliance.
Organizations listed as members of Health Research
Alliance.

10
6
66

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Funder Source
ICF Cognitive Interview
Exploration
Open Education Database
Article "100+ Places to Find
Funding For Your Research"1
Inside Philanthropy2
R+D investors

Description

Organizations

ICF identified organization that funded research
through preliminary research in the process of
identifying organizations for cognitive interviewing.

19

Article indicating sources of funding for researchers.

51

Organizations identified by Inside Philanthropy that
provided funding for scientific research.
Organizations with Private Investments into Life
Sciences & Medical Research + Public Health

Has
EIN

31
22

Assigning EINs
An Employer Identification Number (EIN) is the unique identifier assigned to a nonprofit organization
when IRS designates it with nonprofit status. Some auxiliary sources did not have an EIN number for the
organization. EIN look-ups were performed for organizations without an EIN. This was accomplished in
stages as additional sources were included.
For performers, the only source requiring EIN look-ups was the FSS. For 1,678 organizations on the
2010–2012 FSS, GuideStar3 algorithmically assigned missing EINs using the organization’s name and
address to find a match in GuideStar’s database. An additional 153 organizations from the 2013 survey
were added after the initial matching. ICF used GuideStar’s Non-Profit Organization searchable database
to look-up EINs for these organizations. The process resulted in 17 organizations from the list that could
not be matched to an active organization in the database and were excluded from the likely performer
list.
For Funders, 207 organizations collected from various sources required EIN look-ups. ICF used
GuideStar’s Non-Profit Organization searchable database. EINs were located for all 207 organizations.
Deduplication
Several organizations were identified from multiple data sources. The lists were unduplicated based on
EIN. This resulted in the removal of 439 organizations from the likely performer list and 280
organizations from the likely funder list. Each list had only one unique EIN entry.
Matching the Likely Performer List with the Exempt Organization Business Master File (EO/BMF)
We matched the likely performer list with the 2013 EO/BMF, as provided by the NCCS.4 The EO/BMF is a
file originally produced by the IRS, which identifies all active nonprofit organizations that are registered
with the IRS. NCCS supplements the file with additional data fields. Merging the likely performers with
1

(OEDb) Open Education Database. 2013. 100 Places to Find Funding For Your Research. Available at
http://oedb.org/ilibrarian/100_places_to_find_funding_your_research/. Accessed on December 7, 2015.

2

Fundraising for Science Research | Grants - Inside Philanthropy. n.d. Available at
http://www.insidephilanthropy.com/grants-for-scientific-research/. Accessed on December 7, 2015.

3

GuideStar develops and maintains a database of nonprofit organizations and provides information and analytic
services related to nonprofits. More information available at http://www.guidestar.org/Home.aspx.
4
NCCS builds and maintains a repository of data on the nonprofit sector in the U.S. More information available at
http://nccs.urban.org/.

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the EO/BMF identified 151 additional organizations with no active listing. They were assumed to be
defunct or no longer operating as a nonprofit organization and were removed.
This step was not conducted when compiling the likely funder list. The funder list was compiled at a later
date than the performer list. At the time when the performer list was developed, the EO/BMF was being
evaluated as a frame source. As discussed, the benefits of the added financial data led to using the NCCS
core files as the source of the frame. Since this was determined prior to the development of the likely
funder list, matching to the EO/BMF was deemed unnecessary.
Matching the Likely Performer and Likely Funder Lists to the NCCS Core Files
Finally, the likely performer and likely funder lists were matched to the NCCS core files. Ninety-nine
likely performers and 105 likely funders did not match to an organization on the NCCS core files because
they did not meet the minimum criteria to file a Form 990, 990-EZ, or 990-PF. These organizations were
removed.
This resulted in a final count of 1,655 likely performer organizations and 1,116 likely funder
organizations. There were 154 organizations that identified as both a likely performer and a likely
funder. Table 5 includes a summary of the creation of the likely performer and likely funder lists.
Updating Likely Performer and Funder Status based on the Pilot Study
We updated the list of likely performers and funders based on the results of the Pilot Study.
Organizations that stated that they performed and/or funded research If an organization was sampled in
the Pilot Study and they stated that they performed and/or funded research, they were added to the
likely performer/funder lists. Similarly, if the organization stated that they did not perform or fund
research, they were removed from the likely funder/performer list.
Table H-3: Summary of Likely Performer and Likely Funder List Creation
Summary of Likely Performer List Creation
Likely
Performers
2,361
-17
-439

Likely
Funders
1,511
-0
-273

No listing on EO/BMF
No listing on NCCS Core Files
"Likely Performers/Funder" Organizations based on Auxiliary Data
Pilot Results
Removed
Added

-151
-99
1,655

n/a
-105
1,133

-48
140

-45
152

"Likely Performers/Funder" Organizations

1,747

1,240

Description
Combined "Likely Performers or Funders" sources
No listing on GuideStar's Nonprofit Organization Database
Duplicate EINs

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