The Graduate Assistance in Areas of National Need Program:

Performance Assessment of 2000 and 2001 Fellows

![](media/image1.wmf)

U.S. Department of Education

Office of Postsecondary Education

2006

U.S. Department of Education

Margaret Spellings

*Secretary*

Office of Postsecondary Education

James Manning

*Acting Assistant Secretary*

September 2006

This report is in the public domain. Authorization to reproduce it in
whole or in part is granted. While permission to reprint this
publication is not necessary, the citation should be: U.S. Department of
Education, Office of Postsecondary Education, *The* *Graduate Assistance
in Areas of National Need Program: Performance Assessment of 2000 and
2001 Fellows*, Washington, D.C., 2006.

This report is available on the Department's Web site at:
[**http://www.ed.gov/programs/gaann/performance.html**](http://www.ed.gov/programs/gaann/performance.html).

On request, this publication is available in alternate formats, such as
Braille, large print or computer diskette. For more information, please
contact the Department's Alternate Format Center at 202-260-0852 or
202-260-0818.

Contents

Tables..................................................................................................
iii

Figures...............................................................................................\...
iv

Executive
Summary..................................................................................
1

Introduction............................................................................................
1

GAANN Program
Funding..........................................................................
3

GAANN Program Performance Measures and Target
Values................................. 4

Participants and
Demographics..........................................\............................
6

Evaluation of Program Performance for 111
Grantees........................................\... 7

Conclusion...........................................................................................
18

Tables

1.  Federally appropriated funding and number of grants and fellowships
    awarded for the GAANN Program, by fiscal year:
    2000--05................................................\... 3

2.  Performance target and national average and benchmark values, by
    GAANN performance measures: 2004.....
    .............................................................. 5

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3.  Number of GAANN grants awarded and number and percentage of GAANN
    grants closed as of December 2004, by cohort year:
    2000--01..................................... 6

4.  Number and percentage of females and total enrollment in graduate
    school, by areas of national need:
    2002............................................................................
    8

5.  Percentage of ethnic minorities enrolled in doctorate-granting
    institutions, by areas of national need:
    2002............................................................................\...
    9

6.  Number and percentage of female GAANN fellows, by total number of
    fellows and type of institution: 2000 and 2001
    cohorts................................................\... 10

7.  Academic status of GAANN fellows as of December 2004, by cohort:
    2000 and
    2001..............................................................................................
    14

8.  Median number of years taken by GAANN fellows to earn a Ph.D. as of
    December 2004, by cohort and type of institution: 2000 and 2001
    cohorts......................... 17

Figures

1.  Distribution of GAANN fellows between public and private
    institutions: 2000 and 2001
    cohorts....................................................................................\...
    7

2.  Percentage of female GAANN fellows enrolled in graduate schools in
    areas of national need compared to the *2006 Program Performance
    Plan* target and the national average: 2000 and 2001
    cohorts.................................................\.... 10

3.  Percentage of ethnic minority GAANN fellows enrolled in graduate
    schools in areas of national need compared to the *2006 Program
    Performance Plan* target and the national average: 2000 and 2001
    cohorts..................................................... 11

4.  Percentage of ethnic minority GAANN fellows enrolled in graduate
    schools in the areas of national need compared to the *2006 Program
    Performance Plan* target and the national average: 2000 and 2001
    cohorts..............................................\... 12

5.  Percentage of ethnic minority GAANN fellows in public and private
    institutions, by cohort: 2000 and
    2001.........................................................................
    13

6.  Percentage of GAANN fellows who completed a Ph.D. program or
    advanced to candidacy compared to the *2006 Program Performance
    Plan* target and 2003 performance benchmark: 2000 and 2001
    cohorts.......................................... 14

7.  Academic status of GAANN fellows as of December 2004, by type of
    institution: 2000 and 2001
    cohorts.........................................................................
    15

8.  Percentage of GAANN fellows from underrepresented groups, percentage
    of GAANN fellows who completed a Ph.D. program and the national
    average of students from underrepresented groups who received a
    Ph.D. in 2002: 2000 and 2001
    cohorts............................................................................................
    16

Executive Summary

The Graduate Assistance in Areas of National Need (GAANN)[^1] Program
awards grants to postsecondary institutions to provide fellowships for
graduate students of superior ability and financial need who are
pursuing terminal degrees in areas of national need. As of 2004, the
areas of national need were: biology; chemistry; computer and
information sciences; engineering; geological and related sciences;
mathematics; and physics.

This report describes data provided by GAANN grantees as of December
2004 for the cohorts of grants that first received their awards in
program years 2000 and 2001.[^2] Generally, the data show that the
program has had a positive impact to date:

-   Nearly one half (49 percent) of the fellows advanced to candidacy or
    obtained a Ph.D. as of December 2004, exceeding the U.S. Department
    of Education's (Department's) target.

-   Women received 41 percent of the fellowships, exceeding the
    Department's target. This rate is nearly double the national
    graduate school enrollment rate of women.

-   Ethnic minorities, as a whole, received 24 percent of the
    fellowships, which is well above the nation's doctoral study
    enrollment rate for ethnic minorities and just above the
    Department's cumulative target.

-   Black or African-American fellows were the only ethnic minority that
    did not exceed the Department's target. The proportion of
    African-Americans, 6.6 percent, rounded to the nearest whole
    percentage, just meets the Department's target of 7 percent.

-   The median time to achieve a doctorate (5.8--6.3 years) was shorter
    than both the Department's target and the national average, thereby
    exceeding the Department's goal.

Introduction

This report presents data on performance results reported to the U.S.
Department of Education as of December 2004 by postsecondary
institutions that received new GAANN grants in program years 2000 and
2001. Grantees provide the information required by the *Government
Performance and Results Act of 1993* (*GPRA*) when submitting their
final (closing) performance reports. The performance data includes four
measures that were developed for evaluating the overall effectiveness of
the GAANN Program: 1) the percentage of fellows in the GAANN Program
from traditionally underrepresented populations who enroll in programs
offering a terminal degree in an area of national need, compared to the
national average of enrollment in such programs; 2) the percentage of
fellows in the GAANN Program who obtain a terminal degree in an area of
national need; 3) the median duration of time from entering graduate
school until degree completion, compared to the national average of
comparable doctoral students; and 4) the program cost for each
successful fellow.

Program Background

The GAANN Program began in 1988 with the reauthorization of the *Higher
Education Act of 1965 (HEA)*, as amended. The GAANN Program awards
three-year grants to programs and academic units of postsecondary
institutions to provide fellowships to graduate students[^3] of superior
ability who demonstrate financial need and plan to pursue terminal
degrees in areas of national need*.* The secretary of education
designates areas of national need in a notice published in the *Federal
Register*. The designated areas of national need in 2000 and 2001 were:
biology; chemistry; computer and information sciences; engineering;
geological and related sciences; mathematics; and physics.[^4] The
terminal degree in these disciplines is a doctorate. The GAANN Program
also encourages institutions to perform outreach activities to foster
the enrollment of "talented students from traditionally underrepresented
backgrounds" (Title VII, Part A, Subpart 2, Section 713(b)(3) of the
*HEA*, as amended (20 U.S.C. 1132a et seq.)).

Postgraduate academic units of postsecondary institutions apply for the
GAANN grants to provide a number of student fellowships. A typical GAANN
Grant provides the academic unit or institution with a payment in lieu
of charging fellows for tuition, fees or other expenses. The fellowship
may also provide a stipend to the student based on financial need.

Although GAANN grants are awarded for a three-year period, only about
one-quarter of the grantee institutions use their grants and submit
final reports at the end of the third year. About 75 percent of the
institutions take a one-year, no-cost extension into a fourth year, and
approximately one-third of those in their fourth year apply and are
approved for an additional one-year, no-cost extension into a fifth
year. Thus, for some grants, there can be a waiting period of four or
five years until information on performance outcomes is available.

**GAANN Program Funding**

Table 1 shows the federally appropriated funding levels for the GAANN
Program for fiscal years (FY) 2000--05. The table also shows the numbers
of fellowships supported. For FY 2004, appropriated funding for the
GAANN Program was \$30.6 million. This funding supported 51 new grants
and 94 continuation grants. A total of 736 fellows benefited from the
new and continuing grants. Historically, about every third year there
has not been a GAANN grant competition because all available funds are
used to provide continuation funding to grants awarded in the two
previous years' competitions.

**Table 1. Federally appropriated funding and number of grants and
fellowships awarded for the GAANN Program, by fiscal year:
2000**--**05**

+----------+--------------+-------------+------------+----------------+
|          | Appropriated | New grants  | Co         | Students       |
|          | funding      | awarded     | ntinuation | receiving      |
|          | (millions of |             | grants     |                |
|          | dollars)     |             | awarded    | new and        |
|          |              |             |            | continuing     |
|          |              |             |            | fellowships    |
+----------+--------------+-------------+------------+----------------+
| > Fiscal |              |             |            |                |
| > year   |              |             |            |                |
+----------+--------------+-------------+------------+----------------+
| > 2005   | 30.4         | None        | 145        | 736            |
+----------+--------------+-------------+------------+----------------+
| > 2004   | 30.6         | 51          | 94         | 736            |
+----------+--------------+-------------+------------+----------------+
| > 2003   | 30.8         | 94          | 86         | 937            |
+----------+--------------+-------------+------------+----------------+
| > 2002   | 31.0         | None        | 201        | 1070           |
+----------+--------------+-------------+------------+----------------+
| > 2001   | 31.0         | 86          | 115        | 1070           |
+----------+--------------+-------------+------------+----------------+
| > 2000   | 31.0         | 116         | 106        | 1207           |
+----------+--------------+-------------+------------+----------------+

*Source*: <http://www.ed.gov/programs/gaann/funding.html> (accessed July
21, 2006).

Each grantee institution receives no less than \$100,000 and cannot
receive more than \$750,000 in a single fiscal year from its new and
continuing grants. As an additional requirement, the grantee must match,
from nonfederal sources, at least 25 percent of the amount of the grant.

# 

GAANN Program Performance Measures and Target Values

#### 

#### **Performance Measures**

The U.S. Department of Education's *Fiscal Year (FY) 2006 Program
Performance Plan* (*2006 Program Performance Plan*) [^5] states the
objective of the GAANN Program:

> *To increase the number of students of superior academic ability
> completing a terminal degree in designated areas of national need in
> order to alleviate the need.*

To assess program performance based on this objective, the *2006 Program
Performance Plan* specifies four performance measures:

1.  *Enrollment of underrepresented populations.* The percentage of
    fellows from traditionally underrepresented groups by grantee cohort
    enrolled in a terminal degree program in the designated areas of
    national need will increase.

2.  *Graduate school completion*. The percentage of GAANN fellows who
    obtain a terminal degree in an area of national need will increase.

3.  *Time to degree completion.* The median time from entering graduate
    school until degree completion will be less for GAANN fellows than
    comparable doctoral students, as identified annually in the Survey
    of Earned Doctorates.[^6]

4.  *The cost per successful GAANN* fellow. This measure is calculated
    by taking the total funding for years one, two and three, divided by
    the number of GAANN Ph.D.s and those who pass preliminary exams
    during that period.

#### 

#### **2004 Target Values for the Performance Measures**

In addition to establishing programwide performance measures and
benchmarking program performance against comparable national standards,
the Department establishes goals, or targets, for increasing program
performance. Targets have been set for the first three performance
measures: enrollment rate, completion rate and time to degree
completion. Currently, no target has been established for the cost per
successful GAANN fellow measure.

Table 2 provides the performance targets and national averages and
benchmark values for the first three performance measures for the
reporting year 2004.

**Table 2. Performance target and national average and benchmark values,
by GAANN performance measures: 2004**

+-----------------------------------+--------------+---+----------------+
|                                   | Performance  | N |                |
|                                   | target       | a |                |
|                                   | values       | t |                |
|                                   |              | i |                |
|                                   |              | o |                |
|                                   |              | n |                |
|                                   |              | a |                |
|                                   |              | l |                |
|                                   |              | a |                |
|                                   |              | v |                |
|                                   |              | e |                |
|                                   |              | r |                |
|                                   |              | a |                |
|                                   |              | g |                |
|                                   |              | e |                |
|                                   |              | / |                |
|                                   |              | b |                |
|                                   |              | e |                |
|                                   |              | n |                |
|                                   |              | c |                |
|                                   |              | h |                |
|                                   |              | m |                |
|                                   |              | a |                |
|                                   |              | r |                |
|                                   |              | k |                |
|                                   |              | v |                |
|                                   |              | a |                |
|                                   |              | l |                |
|                                   |              | u |                |
|                                   |              | e |                |
|                                   |              | s |                |
+-----------------------------------+--------------+---+----------------+
| > Performance measures            |              |   |                |
+-----------------------------------+--------------+---+----------------+
|                                   |              |   | Percent        |
+-----------------------------------+--------------+---+----------------+
| Enrollment of underrepresented    |              |   |                |
| populations                       |              |   |                |
+-----------------------------------+--------------+---+----------------+
| > Women                           | 35           | 2 |                |
|                                   |              | 1 |                |
+-----------------------------------+--------------+---+----------------+
| > Asian or Pacific Islander       | 6            | 7 |                |
|                                   |              | . |                |
|                                   |              | 0 |                |
+-----------------------------------+--------------+---+----------------+
| > Black or African-American       | 7            | 2 |                |
|                                   |              | . |                |
|                                   |              | 9 |                |
+-----------------------------------+--------------+---+----------------+
| > Hispanic or Latino              | 2            | 2 |                |
|                                   |              | . |                |
|                                   |              | 9 |                |
+-----------------------------------+--------------+---+----------------+
| > American Indian or Alaska       | 0            | 0 |                |
| > Native                          |              | . |                |
|                                   |              | 2 |                |
+-----------------------------------+--------------+---+----------------+
| > Graduate school completion      | 28           | 4 |                |
|                                   |              | 7 |                |
+-----------------------------------+--------------+---+----------------+
|                                   |              |   | Years          |
+-----------------------------------+--------------+---+----------------+
| > Time to doctorate completion    | 6.45         | 6 |                |
|                                   |              | . |                |
|                                   |              | 7 |                |
|                                   |              | - |                |
|                                   |              | - |                |
|                                   |              | 7 |                |
+-----------------------------------+--------------+---+----------------+

*Source*: *2006 Program Performance Plan*, NSF: 2002;[^7] and 2002
Survey of Earned Doctorates.

This report presents results on three of the four previously mentioned
performance measures as reported by grantees as of December 2004. The
evaluation of the GAANN Program as of December 2004 includes data from
final reports submitted by those institutions first funded in 2000[^8]
that closed their grants within four years and data from final reports
submitted by those institutions first funded in 2001 that closed their
grants at the end of three years.

Participants and Demographics

**Descriptive Statistics of Programs at Postsecondary Institutions**

In 2000 and 2001, 68 postsecondary institutions (46 public and 22
private)[^9] received 202 grants. As of December 2004, 87 grants
originally awarded in 2000 and 24 grants originally awarded in 2001 had
closed. This report presents performance data from those academic
grants. The remaining grants (91) were approved for no-cost extensions
for an additional year into 2005 (table 3).

**Table 3. Number of GAANN grants awarded and number and percentage of
GAANN grants closed as of December 2004, by cohort year: 2000**--**01**

+-----------------+-----------------+-----------------+----------------+
|                 | Number of       | Grants closed   |                |
|                 | grants awarded  | as of December  |                |
|                 |                 | 2004            |                |
+-----------------+-----------------+-----------------+----------------+
|                 |                 | Number          | Percent        |
+-----------------+-----------------+-----------------+----------------+
| > Cohort year   |                 |                 |                |
+-----------------+-----------------+-----------------+----------------+
| > 2000          | 116             | 87              | 75             |
+-----------------+-----------------+-----------------+----------------+
| > 2001          | 86              | 24              | 28             |
+-----------------+-----------------+-----------------+----------------+
| > Total         | 202             | 111             | 55             |
+-----------------+-----------------+-----------------+----------------+

*Source*: GAANN Program data; and GAANN Program Annual Performance
Reports (APRs), 2004.

*Note*: Percent = number of grants closed x 100/number of grants
awarded.

**Descriptive Statistics of GAANN Fellows**

An estimated 592 students were originally projected to receive
fellowships from the 111 grants reported; however, a significantly
larger number of students received the fellowships. The original
projection assumed that institutions would provide fellowships equaling
the maximum allowable stipend and institutional payment. In 2000 and
2001, the maximum allowable stipend and institutional payment for each
student for the year, as determined by the secretary of education
annually in accordance with legislation,[^10] was approximately
\$30,000. Therefore, the three-year fellowship amount for each student
was approximately \$90,000. However, since the stipend cannot exceed the
fellow's financial need as determined each year, many fellows received
less than the maximum annual allowance of \$30,000. Financial need is
determined each year on the basis of the requirements for need analysis
prescribed by Title IV, Part F of *HEA*.

In addition, many institutions far exceed the requirement that they
match at least 25 percent of their grant amounts. Since matching funds
must be used for the same purpose as the GAANN funds, the amount
available for fellowships was larger than originally projected. As a
result, fellowships were awarded to 2.5 times the number of GAANN
fellows---a total of 1,501 for both the 2000 and 2001 cohorts.[^11]

Fellowship recipients were nearly three times more likely to attend
public institutions than private (fig. 1).[^12] A total of 1,112
students (74 percent) attended public institutions, while 389 students
(26 percent) attended private institutions.

**Figure 1. Distribution of GAANN fellows between public and private
institutions: 2000 and 2001 cohorts**

![](media/image2.wmf)*Source*: GAANN Program data; and GAANN Program
APRs, 2004.

Evaluation of Program Performance for 111 Grantees

**Enrollment of Underrepresented Populations**

For the purpose of evaluating the GAANN Program, the *2006 Program
Performance Plan* defines underrepresented populations as women and the
following ethnic groups: Asian or Pacific Islander; Black or
African-American; Hispanic or Latino; and American Indian or Alaska
Native. The *2006 Program Performance Plan* sets the 2004 performance
target for this measure at the actual 2003 performance target. The 2004
targets are: 35 percent for women; 6 percent for Asian or Pacific
Islander; 7 percent for Black or African-American; 2 percent for
Hispanic or Latino; and 0 percent for American Indian or Alaska Native.
The authorizing legislation for the GAANN Program only recommends, but
does not mandate, that institutions seek individuals from traditionally
underrepresented groups when awarding fellowships. The goal of the GAANN
Program is to maintain the 2003 levels of representation of women and
ethnic minorities, while increasing terminal degree completion rates and
reducing the median time to degree completion.

The 2004 performance is benchmarked against the national enrollment of
underrepresented populations in areas of national need. The National
Science Foundation regularly collects statistics on the participation of
women, minorities and persons with disabilities in the science and
engineering fields, including higher education enrollments. The
*Graduate Students and Postdoctorates in Science and Engineering: Fall
2002* Report (NSF: 2002) presents estimates of the total enrollments in
science, engineering and health-related programs in 12,126 graduate
academic units at 594 institutions in the United States and outlying
areas.[^13]

The graduate enrollment of U.S. citizens and alien permanent residents
(those who hold green cards but have not yet been granted U.S.
citizenship) from underrepresented populations in areas of national
need, as reported in the NSF: 2002, is: 21 percent for females (table
4); 7.0 percent for Asians or Pacific Islanders; 2.9 percent for Blacks
or African-Americans; 2.9 percent for Hispanics or Latinos; 0.2 percent
for American Indians or Alaska Natives; and 4.1 percent for other ethnic
minorities (table 5).[^14] The aggregate percentage for ethnic
minorities is 17.1 percent.

> **Table 4. Number and percentage of females and total enrollment in
> graduate school, by areas of national need: 2002**

+------------------------------+---------+---------+------------------+
|                              | Female  |         | Total            |
|                              | enroll  |         | enrollment^b^    |
|                              | ment^a^ |         |                  |
+------------------------------+---------+---------+------------------+
|                              | Number  | Percent | Number           |
+------------------------------+---------+---------+------------------+
| > Areas of national need     |         |         |                  |
+------------------------------+---------+---------+------------------+
| > Biological sciences        | 26,352  | 43      | 61,132           |
+------------------------------+---------+---------+------------------+
| > Chemistry                  | 4,583   | 24      | 19,046           |
+------------------------------+---------+---------+------------------+
| > Computer sciences          | 8,334   | 15      | 55,559           |
+------------------------------+---------+---------+------------------+
| > Engineering                | 13,795  | 12      | 119,608          |
+------------------------------+---------+---------+------------------+
| > Geological sciences        | 5,235   | 37      | 14,240           |
+------------------------------+---------+---------+------------------+
| > Mathematical sciences      | 4,386   | 24      | 18,163           |
+------------------------------+---------+---------+------------------+
| > Physics                    | 1,166   | 10      | 11,701           |
+------------------------------+---------+---------+------------------+
| > Total                      | 63,851  | 21      | 299,449          |
+------------------------------+---------+---------+------------------+

*Source*: NSF: 2002.

^a^ Female enrollment includes U.S. citizens and alien permanent
residents (those who hold green cards but have not yet been granted U.S.
citizenship).

^b^ Total enrollment includes U.S. citizens, permanent residents (those
who hold green cards but have not yet been granted U.S. citizenship),
and students with temporary visas.

**Table 5. Percentage of ethnic minorities enrolled^a^ in
doctorate-granting institutions, by areas of national need: 2002**

+--------------------+---------+---------+---------+---------+---------+
|                    | Asian / | Black   | H       | A       | Other   |
|                    | Pacific | Non-H   | ispanic | merican |         |
|                    | I       | ispanic |         | Indian  |         |
|                    | slander |         |         | /       |         |
|                    |         |         |         | Alaska  |         |
|                    |         |         |         | Native  |         |
+--------------------+---------+---------+---------+---------+---------+
| Areas of national  |         |         |         |         |         |
| need               |         |         |         |         |         |
+--------------------+---------+---------+---------+---------+---------+
| Biological         | 8.1     | 3.8     | 4.1     | 0.3     | 4.0     |
| sciences           |         |         |         |         |         |
+--------------------+---------+---------+---------+---------+---------+
| Chemistry          | 4.7     | 3.1     | 3.4     | 0.3     | 2.8     |
+--------------------+---------+---------+---------+---------+---------+
| Computer sciences  | 10.1    | 3.3     | 1.7     | 0.1     | 5.9     |
+--------------------+---------+---------+---------+---------+---------+
| Engineering        | 6.7     | 2.5     | 2.7     | 0.2     | 3.5     |
+--------------------+---------+---------+---------+---------+---------+
| Geological         | 2.3     | 1.8     | 2.8     | 0.6     | 3.5     |
| sciences           |         |         |         |         |         |
+--------------------+---------+---------+---------+---------+---------+
| Mathematical       | 5.4     | 2.9     | 2.6     | 0.1     | 4.3     |
| sciences           |         |         |         |         |         |
+--------------------+---------+---------+---------+---------+---------+
| Physics            | 3.3     | 1.9     | 2.2     | 0.2     | 4.5     |
+--------------------+---------+---------+---------+---------+---------+
| > Total^b^         | 7.0     | 2.9     | 2.9     | 0.2     | 4.1     |
+--------------------+---------+---------+---------+---------+---------+

*Source*: NSF: 2002.

*Note*: Table categories duplicate those mentioned in the NSF:2002.

^a^ Ethnic minority enrollment includes U.S. citizens and alien
permanent residents (those who hold green cards but have not yet been
granted U.S. citizenship).

^b^ Total is the percentage of the ethnic minorities enrolled in
programs of biological sciences, chemistry, computer sciences,
engineering, geological sciences, mathematical sciences and physics at
doctorate-granting institutions.

######### Enrollment of female GAANN fellows 

Of the 1,501 fellows from the 2000 and 2001 grants closed as of December
2004, 41 percent (618) were women.[^15] This rate was significantly
higher than the rate at which women across the nation enrolled in
graduate schools in the areas of national need. Female U.S. citizens and
alien permanent residents made up only 21 percent of the graduate school
enrollment in areas of national need, as reported in the NSF: 2002.
Further, the enrollment rate of female GAANN fellows also exceeded the
*2006 Program Performance Plan* target of 35 percent (fig. 2).

**Figure 2. Percentage of female GAANN fellows enrolled in graduate
schools in areas of national need compared to the *2006 Program
Performance Plan* target and the national average: 2000 and 2001
cohorts**

![](media/image3.wmf)

*Source*: GAANN Program APRs, 2004; *2006 Program Performance Plan*; and
NSF: 2002.

*Note*: Percentages are the percent of the total number of fellows.

There was no significant difference in the proportion of female fellows
attending public and private institutions. Of the fellows attending
public institutions, 42 percent (469) were female; of the fellows
attending private institutions, 38 percent (149) were female (table 6).

**Table 6. Number and percentage of female GAANN fellows, by total
number of fellows and type of institution: 2000 and 2001 cohorts**

+----------------+------------------+-----------+---------------------+
|                | Female fellows   |           | Total fellows       |
+----------------+------------------+-----------+---------------------+
|                | Number           | Percent   | Number              |
+----------------+------------------+-----------+---------------------+
| Type of        |                  |           |                     |
| institution    |                  |           |                     |
+----------------+------------------+-----------+---------------------+
| Public         | 469              | 42        | 1,112               |
+----------------+------------------+-----------+---------------------+
| Private        | 149              | 38        | 389                 |
+----------------+------------------+-----------+---------------------+
| > Total        | 618              | 41        | 1,501               |
+----------------+------------------+-----------+---------------------+

*Source*: GAANN Program APRs, 2004.

*Note*: Percentages are based on the total number of fellows.

#### *Enrollment of ethnic minority fellows*

Minorities represented 24 percent (360) of the 1,501 GAANN fellows from
the 2000 and 2001 cohorts reporting as of December 2004.[^16] This was a
significantly greater proportion than the national average for ethnic
minority doctoral degree enrollees (17 percent) in areas of national
need, as reported in the NSF: 2002. The proportion of minority GAANN
fellows enrolled also exceeded the *2006 Program Performance Plan*
target of 15 percent (fig. 3).

**Figure 3. Percentage of ethnic minority GAANN fellows enrolled in
graduate schools in areas of national need compared to the *2006 Program
Performance* *Plan* target and the national average: 2000 and 2001
cohorts**

![](media/image4.wmf)*Source*: GAANN Program APRs, 2004; and NSF: 2002.

Although this performance measure was established to evaluate
enrollments of ethnic minorities---Asians or Pacific Islanders; Blacks
or African-Americans; Hispanics or Latinos; and American Indians or
Alaska Natives---actual GAANN performance data was not collected on
American Indians or Alaska Natives. Instead, the category "Others" was
used. This category may have included American Indians or Alaska Natives
and other ethnic minorities. The NSF: 2002 categories included *American
Indian or Alaska Native* and *Others*. Given that people reporting mixed
ethnic backgrounds are placed in the NSF: 2002 *Other* category, the
categories as reported by GAANN grantees do not correspond to those
reported in the NSF: 2002. Therefore, the results for American Indians
or Alaska Natives will not be compared to the national average.

There was a significantly greater proportion of Asian or Pacific
Islander (9.0 percent), Black or African-American (6.6 percent) and
Hispanic or Latino (6.6 percent) GAANN fellows enrolled in graduate
schools in the areas of national need as compared to the national
doctoral study enrollments for each group (7.0 percent, 2.9 percent and
2.9 percent, respectively). The proportion of Asians or Pacific
Islanders and Hispanics or Latinos also exceeded the *2006 Program
Performance Plan* targets of 6 percent and 2 percent. However, the
proportion of Blacks or African-Americans fell short of the 7 percent
*2006 Program Performance Plan* target, if the actual GAANN proportion
is not rounded up (fig. 4).

**Figure 4. Percentage of ethnic minority GAANN fellows enrolled in
graduate schools in the areas of national need compared to the *2006
Program Performance Plan* target and the national average: 2000 and 2001
cohorts**

![](media/image5.wmf)

*Source*: GAANN Program APRs, 2004; and NSF: 2002.

*Note*: Percentages are the percent of the total number of fellows.

Overall, 77 percent (276) of the ethnic minority GAANN fellows attended
public institutions, and 23 percent (84) attended private institutions.
This compares closely with the proportion of all GAANN fellows,
regardless of ethnicity, attending public and private institutions (fig.
1). A larger proportion of fellowships were awarded to ethnic minorities
at public institutions in the 2000 cohort compared to the 2001 cohort
(81 percent versus 65 percent, respectively; fig. 5).

While the proportions of Asians or Pacific Islanders and Blacks or
African-Americans were approximately the same in both the 2000 and 2001
cohorts, the percentage of Hispanic or Latino fellows increased from 6
percent (64) in the 2000 cohort to 10 percent (35) in the 2001
cohort.[^17]

**Figure 5. Percentage of ethnic minority GAANN fellows in public and
private** ![](media/image6.wmf){width="6.020833333333333in"
height="2.2180555555555554in"}**institutions, by cohort: 2000 and 2001**

*Source*: GAANN Program APRs, 2004.

#### **Doctoral Degree Completion and Candidacy**

To be considered qualified for preparing and defending a doctoral
thesis, candidates are required to pass a preliminary examination, thus
advancing to candidacy. The doctoral degree completion measure counts
students who advance to candidacy as well as students who receive a
doctorate. Adding advancement to candidacy as a milestone to degree
completion provides a more realistic assessment of fellows' progress
because the three-year grant award period is shorter than the average
time required to obtain a doctorate.

The *2006 Program Performance Plan* specifies a performance target of 28
percent for Ph.D. program completion or advancement to candidacy. The
2004 performance is also benchmarked against the actual 2003 performance
of 47 percent, as reported in the *2006 Program Performance Plan*.

As of December 2004, 49 percent (731) of GAANN fellows successfully
completed their Ph.D. program or advanced to candidacy.[^18] Therefore,
the actual performances exceeded both the target and the benchmark (fig.
6).

**Figure 6. Percentage of GAANN fellows who completed a Ph.D. program or
advanced to candidacy compared to the *2006 Program Performance Plan*
target and 2003 performance benchmark: 2000 and 2001 cohorts**

![](media/image7.wmf)

*Source*: GAANN Program APRs, 2004.

A higher proportion of fellows (16 percent) in the 2000 cohort have
completed a Ph.D program, compared to fellows in the 2001 cohort (10
percent). The same proportion (34 percent) of fellows had advanced to
candidacy (table 7).

**Table 7. Academic status of GAANN fellows as of December 2004, by
cohort: 2000 and 2001**

+--------+---------+----------+---------+------------------+---------+
|        | A       |          |         |                  | Total   |
|        | cademic |          |         |                  |         |
|        | status  |          |         |                  | fellows |
+--------+---------+----------+---------+------------------+---------+
|        | Co      | Advanced | Still   | Completed        |         |
|        | mpleted | to       | e       |                  |         |
|        | Ph.D.   | c        | nrolled | master's degree  |         |
|        |         | andidacy | as      | or left the      |         |
|        |         |          |         | graduate program |         |
|        |         |          | a       |                  |         |
|        |         |          | student |                  |         |
+--------+---------+----------+---------+------------------+---------+
|        | Percent |          |         |                  |         |
+--------+---------+----------+---------+------------------+---------+
| Cohort |         |          |         |                  |         |
+--------+---------+----------+---------+------------------+---------+
| 2000   | 16      | 34       | 30      | 20               | 1,153   |
+--------+---------+----------+---------+------------------+---------+
| 2001   | 10      | 34       | 45      | 11               | 348     |
+--------+---------+----------+---------+------------------+---------+

*Source*: GAANN Program APRs, 2004.

Private postsecondary institutions that received GAANN grants showed a
significantly higher rate of successful Ph.D. program completion and
advancement to candidacy than did public institutions. A slightly larger
percentage of fellows earned a Ph.D. at private institutions (17
percent) than those attending public institutions (14 percent). In
private institutions, 47 percent (183) of the GAANN fellows advanced to
candidacy. In public institutions, only 30 percent (329) of fellows
advanced to candidacy (fig. 7).

**Figure 7. Academic status of GAANN fellows as of December 2004, by
type of institution: 2000 and 2001 cohorts**

![](media/image8.wmf)

*Source*: GAANN Program APRs, 2004.

*Note*: There were 1,112 fellows in public institutions and 389 in
private institutions.

In an effort to increase the number of Ph.D.s received by students from
traditionally underrepresented groups, the GAANN Program encourages
institutions to perform outreach activities to these groups to increase
minority enrollment rates. Figure 8 illustrates the Ph.D. completion
rates of GAANN fellows from underrepresented groups. It also compares
the percentage of fellows from underrepresented groups who completed a
Ph.D. program as of 2004 with the national percentage of students from
underrepresented groups who received a Ph.D. in 2002. The national
percentage is derived from the report *Science and Engineering Doctorate
Awards: 2002* (*S&E Doctorates: 2002*).[^19]

**Figure 8. Percentage of GAANN fellows from underrepresented groups,
percentage of GAANN fellows who completed a Ph.D. program and the
national average of students from underrepresented groups who received a
Ph.D. in 2002: 2000 and 2001 cohorts**

![](media/image9.wmf)

*Source*: GAANN Program APRs, 2004; and *S&E Doctorates: 2002*.

*Note*: The national average includes only U.S. citizens and alien
permanent residents (those who hold green cards but have not yet been
granted U.S. citizenship) in areas of national need.

The enrollment and completion rates for female GAANN fellows were
approximately the same. Females received 41 percent of GAANN fellowships
and earned 45 percent (98 of 219) of GAANN Ph.D.s.[^20] The GAANN
Program, however, generated a higher proportion of female Ph.D.s than
did the nation's graduate programs (35 percent).

Although ethnic minorities received 24 percent of GAANN fellowships,
they only earned 17 percent (38 of 219) of GAANN Ph.D.s.[^21] This
represents a statistically significant difference at the 0.05 level.
Asians or Pacific Islanders received 9 percent of GAANN fellowships and
earned 8.2 percent of Ph.D.s among GAANN fellows. Blacks or
African-Americans received 6.6 percent of GAANN fellowships and earned
4.6 percent of Ph.D.s among GAANN fellows. Hispanics or Latinos received
6.6 percent of GAANN fellowships and earned 3.7 percent of Ph.D.s among
GAANN fellows.

The proportion of ethnic minorities who earned Ph.D.s as GAANN fellows,
17 percent, was lower than the proportion who earned Ph.D.s in the
nation (21 percent). Although a lower percentage (8.2 percent) of Asians
or Pacific Islanders earned Ph.D.s in the GAANN Program than in the
nation as a whole (14.1 percent), a higher percentage (4.6 percent) of
Blacks or African-Americans earned Ph.D.s in the GAANN Program than in
the nation as a whole (3.3 percent).[^22] Hispanics or Latinos earned
approximately the same percentage of Ph.D.s in the GAANN Program as in
the nation (3.7 percent and 4.0 percent, respectively).[^23]

There is no significant difference in the proportion of ethnic minority
GAANN fellows who earned Ph.D.s in public and private institutions. In
public institutions, 16 percent (25) earned Ph.D.s, and in private
institutions, 20 percent (13) earned Ph.D.s.[^24]

######## **Time to Doctoral Degree Completion**

The third performance measure, time to doctoral degree completion, is
available only for that fraction of fellows completing a Ph.D. program.
The *2006 Program Performance Plan* has a 2005 performance target of
6.45 years. It also identifies the median length of time that fellows
remained in graduate school to complete their Ph.D. program, as reported
in the 2002 Survey of Earned Doctorates, the benchmark for this measure.
Also, according to the 2002 Survey of Earned Doctorates, the median
numbers of years to Ph.D. program completion in the fields that cover
most of the GAANN areas of national need are 6.7 years for engineering,
6.8 years for the physical sciences, and seven years for life sciences.

As of December 2004, the 2000 cohort of GAANN fellows remained in
graduate school to earn a doctorate for a shorter period of time than
the 2001 cohort of fellows. The median length of time for the 2000
cohort of GAANN fellows who earned a doctorate was 5.8 years, and for
the 2001 fellows, it was 6.3 years. There was little difference between
public and private institutions (table 8).

**Table 8. Median number of years taken by GAANN fellows to earn a Ph.D.
as of December 2004, by cohort and type of institution: 2000 and 2001
cohorts**

+-----------------+---------------------+------------+-----------------+
|                 | Median Number of    |            |                 |
|                 | Years               |            |                 |
+-----------------+---------------------+------------+-----------------+
|                 | 2000 cohort         | 2001       | Combined        |
|                 |                     | cohort     | cohorts         |
+-----------------+---------------------+------------+-----------------+
| Type of         |                     |            |                 |
| institution     |                     |            |                 |
+-----------------+---------------------+------------+-----------------+
| Public          | 5.8                 | 6.8        | 5.8             |
+-----------------+---------------------+------------+-----------------+
| Private         | 5.8                 | 6.3        | 6.0             |
+-----------------+---------------------+------------+-----------------+
| > Total         | 5.8                 | 6.3        | 5.8             |
+-----------------+---------------------+------------+-----------------+

*Source*: GAANN Program APRs, 2004.

The median length of time that GAANN fellows in both cohorts stayed in
school to earn a doctorate (5.8 years, 2000 cohort; 6.3 years, 2001
cohort; and 5.8 years, combined cohorts) was shorter than the *2006
Program Performance plan* target of

6.45 years. These results were also shorter than the median numbers of
years taken to earn a doctorate in the areas of national need, as
reported in the 2002 Survey of Earned Doctorates: 6.7 years,
engineering; 6.8 years, physical sciences; and seven years, life
sciences.

It is important to note that the GAANN data were incomplete in two
ways: 1) not all grantees with students in these cohorts have provided
final report data as of the date of this report; and 2) not all the
fellows who can be expected to complete a Ph.D. program have finished
their work. Given that the data to be reported later can be expected to
include fellows who have taken longer to complete their Ph.D.s, the
median lengths of time to a doctorate for these cohorts can be expected
to increase.

##### Cost per Successful GAANN Fellow

The cost-effectiveness measure is calculated by dividing the total
amount of funds provided to one cohort by the number of successful GAANN
fellows who earned a doctorate or advanced to candidacy. The measure is
calculated for a single cohort once all grants in that cohort have
closed. This allows the maximum time for fellows to be successful. Since
a grantee is allowed up to five years to complete the grant, the 2004
cost-effectiveness measure would be based on the 1999 cohort. As there
was no 1999 cohort, the cost-effectiveness measure for 2004 cannot be
calculated.

**Conclusion**

The GAANN Program provides support to Ph.D. program students in areas of
national need: biology; chemistry; computer and information sciences;
engineering; geological and related sciences; mathematics; and physics.
The U.S. Department of Education has compared the 1,501 fellows reported
as of December 2004 from the 2000 and 2001 cohorts that received GAANN
awards with the 276,477 graduate students in NSF: 2002 and the 10,215
doctorate recipients identified in the 2002 Survey of Earned Doctorates.

The GAANN Program's graduate school enrollment of underrepresented
populations exceeded expectations for all but one ethnic group. The
actual program performance for the graduate school completion measure
(49 percent) exceeded the *2006 Program Performance Plan* target of 28
percent and 2003 performance benchmark of 47 percent.

The median length of time that the 2000 and 2001 GAANN fellows who
earned a doctorate stayed in school was 5.8 years and 6.3 years,
respectively. This was a shorter length of time than the performance
target of 6.45 years, and significantly shorter than the national median
in areas of national need (6.7--7.0 years).

In summary, analyses of interim data for the GAANN Program, based on the
2000 and 2001 cohorts, show that the program's performance is, in most
respects, equal to or better than the target levels set in the
Department's *2006 Program Performance Plan*.

[^1]: The GAANN Program is authorized in Title VII, Part A, Subpart 2 of
    the *Higher Education Act of 1965*, as amended (20 U.S.C. 1132a et
    seq.).

[^2]: Some grantees who initially received awards in 2000 and 2001will
    not report final outcomes until

    2005 and 2006, respectively; thus, data on those awards have not
    been included in this report.

[^3]: GAANN fellows must be U.S. citizens, alien permanent residents of
    the United States or persons intending to become permanent residents
    with the proper documentation of their status. (See

    34 CFR 648.40.)

[^4]: *Federal Register* 64, no. 130 (July 1999): 36862--36863; and
    *Federal Register* 65, no. 176 (September 2000): 54844--54845.

[^5]: Section 5 ("Enhance the Quality of and Access to Postsecondary and
    Adult Education"), subsection "*HEA*: Graduate Assistance in Areas
    of National Need (GAANN)", available at
    <http://www.ed.gov/about/reports/annual/2006plan/index.html>
    (accessed July 21, 2006). Hereafter cited as *2006 Program
    Performance Plan*.

[^6]: Hoffer, T.B., S. Sederstrom, L. Selfa, V. Welch, M. Hess, S.
    Brown, S. Reyes, K. Webber, and I. Guzman-Barron. 2003. *Doctorate
    Recipients from United States Universities: Summary Report 2002*.
    Chicago: National Opinion Research Center. This report gives the
    results of data collected by the Survey of Earned Doctorates,
    conducted for six federal agencies---National Science Foundation,
    National Institutes of Health, U.S. Department of Education,
    National Endowment for the Humanities, U.S. Department of
    Agriculture and NASA---by the National Opinion Research Center.
    (Hereafter cited as the 2002 Survey of Earned Doctorates.)

[^7]: National Science Foundation, Division of Science Resources
    Statistics. 2005. *Graduate Students and Postdoctorates in Science
    and Engineering: Fall 2002*. Arlington,Va.: Author. (Hereafter cited
    as NSF: 2002.)

[^8]: Throughout this report, the years mentioned are academic years,
    except where explicitly noted as fiscal, or program, years. The
    reference to 1999, for instance, is for the academic year
    1999--2000.

[^9]: For the 2000 cohort, there were 34 public and 15 private
    institutions. For the 2001 cohort, there were

    12 public and seven private institutions.

[^10]: The GAANN Program is authorized in Title VII, Part A, Subpart 2
    of the *Higher Education Act of 1965*, as amended (20 U.S.C. 1132a
    et seq.).

[^11]: For the 2000 cohort, 1,153 fellowships were awarded instead of
    the 474 originally projected. For the 2001 cohort, 348 fellowships
    were awarded instead of the 118 originally projected.

[^12]: Seventy-five percent (870) and 70 percent (242) of the students
    attended public institutions for the

    2000 and 2001 cohorts, respectively.

[^13]: NSF: 2002

[^14]: While the 2002 Survey of Earned Doctorates provides enrollment
    data by ethnicity at doctorate-granting institutions in areas of
    national need, it only provides data by gender for all graduate
    institutions, including those that offer master's degrees.

[^15]: The percentage of female fellows in both the 2000 and 2001
    cohorts was 41 percent (474 and 144, respectively).

[^16]: Minorities represented 23 percent (265) of the 2000 cohort and 27
    percent (95) of the 2001 cohort: 265 + 95 = 360/1,501 = .2398 (24
    percent, rounded up). This is not a significant difference at the
    0.05 confidence level.

[^17]: Asians or Pacific Islanders and Blacks or African-Americans were
    8.7 percent (100) and 6.9 percent (80) of the 2000 cohort. Asians or
    Pacific Islanders and Blacks or African-Americans were 10.1 percent
    (35) and 5.5 percent (19) of the 2001 cohort.

[^18]: Of the 2000 cohort, 50 percent (578) received a Ph.D. or advanced
    to candidacy, and 44 percent (153) of the 2001 cohort received a
    Ph.D. or advanced to candidacy.

[^19]: National Science Foundation, Division of Science Resources
    Statistics, 2003. *Science and Engineering Doctorate Awards: 2002*.
    Arlington, Va.: Author. (Hereafter cited as *S&E Doctorates: 2002.*)

[^20]: In the 2000 cohort, 47 percent (87) of the fellows who earned a
    doctorate were women, and in the

    2001 cohort, 31 percent (11) were women.

[^21]: In the 2000 cohort, 20 percent (31) of the fellows who earned a
    doctorate were ethnic minorities, and in the 2001 cohort, 25 percent
    (7) were ethnic minorities.

[^22]: In the 2000 cohort, 9 percent (17) and 3 percent (6) of the
    fellows who earned a doctorate were Asian or Pacific Islander and
    Black or African-American, respectively. In the 2001 cohort, 3
    percent (1) and

    11 percent (4) of the fellows who earned a doctorate were Asian or
    Pacific Islander and Black or African-American, respectively.

[^23]: In the 2000 cohort, 4 percent (7) of the fellows who earned a
    doctorate were Hispanic or Latino, and in the 2001 cohort, 3 percent
    (1) were Hispanic or Latino.

[^24]: In public institutions, 8 percent (12), 4 percent (6), and 4
    percent (6) of the fellows who earned a doctorate were Asian or
    Pacific Islander, Black or African-American and Hispanic or Latino,
    respectively. In private institutions, 9 percent (6), 6 percent (4),
    and 3 percent (2) of the fellows who earned a doctorate were Asian
    or Pacific Islander, Black or African-American and Hispanic or
    Latino, respectively.