# OMB Approval No.: 1840-0762

#  Expiration Date: 07/31/2011

######### 

#  

**Upward Bound (UB), Upward Bound Math-Science (UBMS),**

**and Veterans Upward Bound (VUB) Programs**

### General Instructions for Completing the Annual Performance Report

**For Program Year 2007-08**

**1. WHAT IS THIS PACKAGE?**

This package contains the forms and instructions needed to prepare the
annual performance report (APR) for the Upward Bound (UB), Upward Bound
Math-Science (UBMS), and Veterans Upward Bound (VUB) programs. The
Department of Education uses the information conveyed in the performance
report to assess a grantee's progress in meeting its approved goals and
objectives and to evaluate a grantee's prior experience in accordance
with the program regulations in 34 CFR 645.32. Grantees' annual
performance reports also provide information on the outcomes of
projects' work and help allow the Department to respond to the
requirements of the *Government Performance and Results Act*.

**2. WHAT ARE THE LEGISLATIVE AND REGULATORY AUTHORITIES TO COLLECT THIS
INFORMATION?**

-   Title IV, Part A, Subpart 2, Chapter 1, Section 402A(c)(2) and
    Section 402C, of the *Higher Education Act of 1965*, as amended;

-   The program regulations in 34 CFR Part 645; and

-   Sections 75.590 and 75.720 of the *Education Department General
    Administrative Regulations* (EDGAR).

**3. WHO MUST FILE THIS REPORT?**

All grantees funded under the Upward Bound, Upward Bound Math-Science,
and Veterans Upward Bound programs must submit annual performance
reports as a condition of the grant award.

**4. WHAT PERIOD OF TIME IS COVERED IN THE REPORT? FOR WHICH STUDENTS
SHOULD THE GRANTEE PROVIDE DATA?**

> The report covers the 12-month grant (budget) period for which the
> grant has been made. This information can be found in Block 6 of the
> Grant Award Notification.

For the 2007-08 performance report, a grantee should report on all
participants served by the project in program year 2007--08. A project
should also provide updated information annually on the academic
progress of all prior-year participants on the data file, regardless of
their length of participation in the project. In general and to the
extent possible, a grantee should report on all participants (current
year and prior-year) served beginning with the 1999-2000 reporting year.
A grantee should use the regulatory definition of a participant in 34
CFR 645.6 to determine which participant records should be included.

So that the Department can determine the extent to which your project
met its approved objectives for project year 2007-08, you must include
in your participant data file a record for each participant whose
expected high school graduation cohort year (field #23) was 2008 (i.e.,
the student was expected to graduate from high school in the spring or
summer of 2008). For purposes of calculating the extent to which
projects met their objectives, participants are counted in the cohort
even if they have left the project. In addition, although not required
for the standard project objectives, grantees should continue to follow
up on each prior participant enrolled in postsecondary education until
he or she completes an undergraduate degree. If a grantee reported in a
previous APR that a participant completed his or her undergraduate
degree (two-year or four-year), the grantee may drop that participant\'s
record from this and subsequent APR data files. If, however, a student
who earned a two-year degree is continuing his or her postsecondary
education so as to earn a four-year degree, the project should continue
to track that student\'s effort.

If a prior participant in UB or UBMS has not enrolled in postsecondary
education by the fall semester of the second year after high school
graduation, or if a VUB participant has not enrolled two years after
leaving the VUB program, the project may drop that participant from the
file.

**Participants whom the grantee cannot locate:** The Department
recognizes that projects may not be able to locate all prior-year
participants. If a UB or UBMS project could not locate a prior
participant in the previous year\'s follow-up, the project may drop the
student from the data file in the reporting year following the
student\'s expected high school graduation cohort year (see field #23).
For example, if such a student\'s cohort year was 2008 (i.e., the
participant was expected to graduate in spring/summer 2008), the
student\'s record could be dropped from the 2008--09 APR.

If a VUB project could not locate a prior participant in the previous
year\'s follow-up, the project may drop the student from the data file
in the reporting year following the scheduled completion of his or her
prescribed VUB educational program (see fields #19 and 20). For example,
if the scheduled completion date or revised completion date was in July
2008, the participant\'s record could be dropped from the 2008--09 APR.
Since the data field for scheduled completion is new to the APR, and
since many VUB projects may not have a scheduled completion date for
participants who left the project prior to the 2007--08 reporting year,
such prior VUB participants whom the project has been unable to locate
may be dropped from the file in the reporting year following the year in
which the project was unable to track them.

5.  **WHAT INFORMATION MUST BE SUBMITTED?**

The report consists of two sections.

\--Section I requests project-identifying information; and

\--Section II contains detailed instructions for preparing a data file
of information on individual participants.

6.  **WHEN SHOULD THE REPORT BE FILED?**

> The annual report is normally submitted electronically within 90 days
> after the end of each 12-month grant (budget) period, which is
> November 30 for most regular UB and VUB projects and December 31 for
> most UBMS projects. For the regular UB projects with twelve-month
> project periods that begin June, July, or August, the Department
> normally extends the report due date to November 30, so that all UB
> projects can report on the postsecondary enrollment status for the
> fall term following the budget period. **For reporting on 2007--08,
> however, the Department has set a later deadline**: **most regular UB
> projects and all VUB and UBMS projects must submit their APRs by
> January 16, 2009; regular UB projects with start dates of December 1,
> 2007, must submit their APRs by February 27, 2009.**

**7. HOW MAY THE REPORT BE SUBMITTED?**

> All UB, UBMS, and VUB grantees must complete the APR online using the
> new on-line Web application. *In addition, a grantee must fax a signed
> copy of Section I of the report form that certifies that the
> information submitted electronically is readily verifiable and the
> information reported is accurate and complete.*

Because the APR requests personal and confidential information on
project participants, the secured Web site meets the Department of
Education's data security standards for sensitive data, including
improved password and site access procedures. Further, to ensure that
the data is accessible only to authorized individuals and protected from
unauthorized uses, a grantee must submit the participant level data via
the Web application; under no circumstances should a grantee transmit
the data to the Department or the APR Help Desk via e-mail.

> The Web application and instructions for completing and submitting the
> report online will be available on or before December 1, 2008, at the
> following Web address:

<http://www.ed.gov/programs/trioupbound/report.html> (Upward Bound and
Veterans Upward Bound)

<http://www.ed.gov/programs/triomathsci/report.html> (UBMS)

> The new Web application that UB grantees must use to submit the annual
> performance report has the following features:

-   A Web form for completing Sections I and II on-line.

-   Access to the grantee's previous year's APR data reordered and
    revised to comply with the revised participant data fields. A
    grantee may choose to download from the secured Web site its prior
    year's APR data, without the participants' social security numbers,
    as a comma-delimited file (CSV) or as an Excel (XLS) spreadsheet.

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-   Functionality to upload a file with the individual participant
    records (Section II) to the Web application using a CSV or XLS file
    format.

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-   Functionality to view/delete/add participant data online.

-   Online data field validations and error checks. In order for a
    grantee to be able to submit the APR, all sections of the APR must
    pass the first level of data field validations. Following the
    initial submission of the participant data, additional data quality
    checks will be run. If any errors or data inconsistencies are found,
    the grantee will be informed of needed corrections and the due date
    for resubmitting the Section II data.

-   A print button to make a hard copy of the information entered online
    for Section I.

-   Functionality to download an electronic file with the individual
    participant records (Section II).

-   A submit button to send the entire report to the Department of
    Education.

-   An e-mail confirmation that the report has been submitted (a valid
    e-mail address must be provided in Section I).

A project may receive confirmation that the report has been successfully
submitted. When completing Section I of the report on the Web, the
person entering the performance report data will be asked to provide an
e-mail address. After you have completed the report and clicked on the
"Submit" button, a message will indicate that your performance report
has been successfully submitted. A confirmation will also be
automatically e-mailed to the e-mail address provided. If for any
reason, and *prior to the deadline date*, you need to revise your
performance report data after it has been submitted, please contact the
APR Help Desk.

> Except for Section I, the Department of Education only requires an
> electronic version of the performance report information. As noted
> above, a grantee must submit, via fax, a signed copy of Section I of
> the report form that certifies that the information submitted
> electronically is accurate, complete, and readily verifiable. The
> signed copy of Section I *only* of the report should be faxed
> to\_\_\_\_\_\_\_\_\_\_\_\_\_\_. *Please do not fax in a copy of the
> entire report.*

**8. WHO MAY BE CONTACTED FOR ADDITIONAL INFORMATION CONCERNING THE
SUBMISSION OF THE PERFORMANCE REPORT?**

Please contact your assigned program specialist directly if you have
questions regarding the performance report requirements.

> If you have technical problems accessing the Web site or using the Web
> application, please contact the Help Desk (telephone number and e-mail
> address to be provided later).

####### Upward Bound (UB), Upward Bound Math-Science (UBMS), 

####### and Veterans Upward Bound (VUB) Programs

**Specific Instructions for Completing the Performance Report**

**SECTION I: PROJECT IDENTIFICATION, CERTIFICATION, AND WARNING**

**A. Identification**

1.  To begin completing this report online, from the Department's Web
    page you will need to click on https://trio.ed.gov/ub, a Web site
    hosted by our contractor to support submittal of annual performance
    reports.

2.  Once at the contractor\'s Web site (entitled \"Upward Bound Online
    Annual Performance Report for Program Year 2007--08\"), you will
    need to register to receive a user ID and temporary password.
    Registration requires entry of the project director\'s first and
    last names and e-mail address and the project\'s PR award number
    (found on the Grant Award Notification). If this information matches
    the data that the Department currently has on file, a user ID and
    temporary password will be sent to the e-mail address on file. If
    discrepancies exist, you will be directed to a \"Registration
    Failed\" page; if necessary, your program specialist and the Help
    Desk will be sent an e-mail message requesting verification of data
    on the project. Verification will occur within 24 hours if the
    program specialist can readily confirm a change in project director
    or e-mail address, or up to three days if the program specialist has
    no prior knowledge of the change. You will be notified if
    confirmation cannot occur in short order, and you should contact
    your program specialist (who will also be attempting to reach you).
    Once the Help Desk has received verification from the program
    specialist, the grantee will be notified that he or she can continue
    with registration.

3.  Once you have your user ID and temporary password, you may enter
    those on the site and click \"Log in.\" You will be guided to select
    a new password, then to log in again.

4.  You will be asked to confirm that the PR/Award number and associated
    grantee name are correct; you will then see the page for Section I.
    Your PR/Award number will be automatically inserted into line 1 of
    Section I of the report form.

5.  The system will also pre-populate most of the other data fields in
    Section I. Please review the pre-populated fields, including the
    project director's e-mail address, and update these fields as
    needed. You may change the data in all fields except for the
    project's PR/Award Number, the Grantee Name, and the Report Period.

6.  Please provide information for any fields that are not
    pre-populated.

7.  In item 8 of Section I, part A, Upward Bound Math-Science grantees
    are asked to indicate whether their projects are regional or
    non-regional. Regional projects are those that serve more than one
    state; non-regional projects operate within a state or locality. An
    exception to this definition occurs when a project serves students
    from two or more states, yet serves only a compact and cohesive
    area; for example, a UBMS grant working exclusively in Kansas City,
    Missouri, and Kansas City, Kansas, would be a non-regional project,
    despite its service to students from two states.

**B. Certification**

> The project director is the person responsible for administering the
> project in accordance with the terms and conditions of the grant.
>
> The certifying official is the individual (successor or designee) who
> signed the grant application on behalf of the institution.

**C. Warnings**

Any person who knowingly makes a false statement or misrepresentation on
this report is subject to penalties, which may include fines,
imprisonment, or both, under the United States Criminal Code and 20
U.S.C. 1097.

> Further federal funds or other benefits may be withheld under these
> programs unless this report is completed and filed as required by
> existing law (20 U.S.C. 1231a) and regulations (34 CFR 75.590 and
> 75.720).

You will be asked to verify the information in Section I and will need
to place a checkmark next to the statement, \"I have verified the
information in this section,\" before you will be allowed to proceed to
Section II of the APR.

# 

####### SECTION II -- A: RECORD STRUCTURE FOR PARTICIPANT LIST

####### (Regular Upward Bound and Upward Bound Math-Science Projects)

####### Instructions for Completing Section II -- A

#### General Instructions for the Participant List

**(1) Who should be included on the annual data file?**

Please see pages 2--3 of these instructions for information on
participants for whom the grantee should provide data. A project should
also use the regulatory definition of a project participant in 34 CFR
645.6 to determine which participants should be included in the data
file:

**Participant** means an individual who --

(1) Is determined to be eligible to participate in the project under 34
    CFR 645.3;

(2) Resides in the target area, or is enrolled in a target school, at
    the time of acceptance into the project; and

(3) Has been determined by the project director to be committed to the
    project as evidenced by being allowed to continue in the project for
    at least --

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(i) Ten days in a summer component if the individual first enrolled in
    an Upward Bound project's summer component; or

(ii) Sixty days if the individual first enrolled in an Upward Bound
     project's academic year component.

Be sure to include each participant---whether new, continuing, re-entry,
transfer, or prior-year---**only once** in the file the project submits
for the reporting period.

**(2) What are the data fields?**

The new, revised UB/UBMS APR contains 52 data fields. Three of the
fields are file identifiers. The remaining fields are of two types:
those data fields that, except in unusual situations, will not need to
be updated annually; and those data fields that must be reviewed
annually and updated, as needed.

**File Identifiers:**

#1 PR/Award Number

#2 Batch Year

#3 Program Type

######## Fields that do not need to be updated annually:

#4 Social Security Number

#5 Student's Last Name

#6 Student's First Name

#7 Student's Middle Initial

#8 Student's Date of Birth

#9 Gender

#10 Ethnicity

#11--#15 Race

#16 Limited English Proficiency

#17 Eligibility, at first entry into project

#18 Academic Need

#19 Target School Identification Number

#20 UBMS Participant

#21 Date of First Project Service

#22 Grade Level at First Service

#23 Expected High School Graduation Cohort Year

#28 High School Cumulative GPA, at date of first service

**Fields that need to be reviewed and updated annually, as needed:**

The asterisk (\*) indicates fields for which a grantee may select the
option "Not applicable for participants still in high school.\"

#24 Participant Status

#25 Participation Level

#26 Grade Level, beginning of academic year

#27 Secondary Grade Level or Postsecondary Status, beginning of
following academic year

#29 High School Cumulative GPA, beginning of academic year

#30 High School Cumulative GPA, at end of academic year

#31 High School Graduation Status

#32 Date of High School Graduation

#33 Participant Retention in Project

#34 State High School Achievement Standard, reading/language arts

#35 State High School Achievement Standard, math

#36 Date of Last Project Service

#37 Reasons for Leaving Project

#38 Work Study Position (current year participants only)

#39 Employment (current year participants only)

#40 Cultural Activities (current-year participants only)

#41 Community Service (complete for current year participants only)

#42 Instruction for LEP students (current year participants only)

#43 Mathematics Instruction (current year participants only)

#44 Source of Postsecondary Education Information \*

#45 Date of First Postsecondary Enrollment \*

#46 School Code for Postsecondary Institution last attended \*

#47 College Status, beginning of academic year\*

#48 Undergraduate Degree/Certificate Completed \*

#49 Date of Undergraduate Degree \*

#50 Postsecondary enrollment objective\*

#51 Postsecondary persistence objective\--denominator\*

#52 Postsecondary persistence objective\--numerator \*

\(3\) How should the date fields be formatted (fields #8, #21, #32, #36,
#45, and #49)?

Please review carefully the **Valid Field Content** column to ensure
that the data submitted are in the correct format. All date fields
should be eight digits and formatted as follows: two digits for month;
two digits for day; two digits for century; and two digits for year. For
the student's date of birth (field #8), you are required to provide the
full, precise date (month, day, and complete year). For the other date
fields accuracy is important only for the month and year. If the day is
unknown, use 15. For example, a participant's data of first project
service of September 2007 would be formatted as follows: 09/15/2007. If
the exact month or year is uncertain, use an estimate. If there is no
basis for estimating the month, but the year is known or can be
estimated, use 01 for the month (e.g., 01/15/2007). If there is no basis
for estimating the year, use 00/00/0000 (\"Unknown\").

To ensure that the date is properly imported, always use the zero before
one-digit months and days and insert slashes between the month and day,
and between the day and year.

\(4\) How should "Not Applicable" and "Unknown" be reported?

### With the exception of fields #6 and \# 7 and #10--#15, leaving a field blank is *not* an option. In general, the format for the data fields uses "0" or a series of "0s" to allow a project to indicate "Unknown"; "9" or a series of "9s" indicates "Not Applicable." Since some exceptions to this practice were unavoidable, please observe the specific options stated for each field.

### 

### (5) Where are the objectives found?

### 

### The objectives for the programs are found in the \"Definitions That Apply\" pages at the end of the UB/UBMS and VUB sections of this document. 

### [Supplemental Instructions for Specific Fields]{.smallcaps}

**Field #2 Batch Year**

Use the four-digit year provided on the form. This number will change
with each year's submission. The Batch Year designates the fiscal year
funding for the project period reported. TRIO grants are forward-funded.
Therefore, as an example, fiscal year 2007 funds would be used to
support project activities in the 2007--08 program year. Thus, the data
file for Batch Year 2007 would include information on project
participants served or tracked during program year 2007--08.

Field #4 Social Security Number (SSN)

SSNs are very important as they allow the Department to match
participant lists with the federal financial aid files for purposes of
tracking participant outcomes. If a project does not know the SSN for a
student, please enter "0s" rather than enter other forms of
identification numbers.

### Fields #5 - #9 Student's Identifying Information

These fields are self-explanatory.

### Fields #10--15 Race and Ethnicity

On October 19, 2007, ED released new, Department-wide guidance on how
institutions should collect and maintain data on race and ethnicity and
on how they should report such data in the aggregate:

> <http://www.ed.gov/legislation/FedRegister/other/2007-4/101907c.pdf> ;
> or
> <http://www.ed.gov/legislation/FedRegister/other/2007-4/101907c.html>

*Because Upward Bound grantees report individual data, they should not
follow the portions of the guidance that cover aggregate reporting; they
must, however, collect and maintain data as indicated in the guidance*.
The new guidance must be implemented by the fall of 2010 for the
2010--11 school year, but grantees are encouraged to implement earlier,
if possible. (Note that projects may leave the race and ethnicity fields
blank for prior participants.)

Collection procedures in the guidance require grantees to collect data
on race and ethnicity on all participants using a two-part question:
first, the grantee asks the respondent\--typically a parent or guardian
if the participant is at the secondary level, or the participant himself
or herself if older\--whether the participant is Hispanic/Latino;
second, the grantee asks the respondent to select one or more races from
the five racial groups listed. The grantee reports the responses in
fields 10--15 of the APR. If, for example, a UB participant\'s parent
identifies the student as Hispanic, Asian, and White, entries for the
fields would appear thus:

Field 10: 1, Yes, participant is identified as Hispanic/Latino

Field 11: 2, No, participant is not identified as American
Indian/Alaskan Native

Field 12: 1, Yes, participant is identified as Asian

Field 13: 2, No, participant is not identified as Black or African
American

Field 14: 1, Yes, participant is identified as White.

Field 15: 2, No, participant is not identified as Native Hawaiian or
Other Pacific Islander.

If the participant or parent declines to answer questions about race and
ethnicity, the grantee should use observation, as discussed in the
guidance. While grantees should make a good effort to collect data on
race and ethnicity for all participants, if for some highly unusual
reason the race and/or ethnicity of a particular student is unknown, as
a last resort the grantee may leave the race and/or ethnicity fields
blank. For further details on the guidance for collecting data, please
see the full *Federal Register* notice. Grantees are responsible for
implementing all relevant aspects of the guidance. Note that the
Department encourages institutions to allow all current students to
re-identify their race and ethnicity using OMB\'s 1997 standards (see
page 59276 of the notice), but does not require institutions to do so.

For definitions of the ethnicity and race categories, refer to the
"Definitions That Apply" section of these instructions.

**Field #16 Limited English Proficiency**

##### Refer to the section on "Definitions that Apply" to determine if the participant, at time of initial selection into the project, was of "limited English proficiency."

### Field #17 Eligibility

The statute and regulations governing the Upward Bound program require
that an individual, at the time of initial selection for the project,
must be a "low-income individual" or a "potential first-generation
college student." (These terms are defined in the section on
"Definitions that Apply.") Two-thirds of project participants each year
must be both low-income and potential first-generation college students;
the remaining one-third can be either low-income or potential
first-generation college student.

**Field #18 Academic Need**

In accordance with 34 CFR 645.3 (c), a project, in selecting individuals
to participate in an Upward Bound program, must determine that an
individual needs academic support if he or she is to pursue successfully
a program of education beyond high school. Field #18 lists criteria
commonly used by projects to determine an individual's need for
services; please choose whichever criterion was primary for the student.

**Field #19 Target School Identification Numbers**

Provide the 12-digit NCES school identification number for the secondary
school the Upward Bound student attended at time of entry into the
project. For "rising" ninth-graders (those first served the summer
between completing eighth grade and starting ninth grade), provide the
NCES school identification number for the school the student attended
(or will attend) as a ninth-grader.

The number can be obtained from the following Web site:

<http://nces.ed.gov/ccd/schoolsearch>

F**ield #21 Date of First Project Service**

For new students, use the date the student first received service from
the Upward Bound project that is submitting this report. Do not use date
of *acceptance* into project unless that is the same as the date of
*first service.* So as to ensure their proper placement in an expected
high school graduation cohort year (field #23), students first served in
the summer program should have a date of first project service no
earlier than June 1.

Use the original month and year of service at this project even if the
student subsequently left and reentered. If the students transferred
from another UB project, in this field give the month and year of first
service at the project submitting the report.

For continuing and prior participants, use the date entered in the
earlier APR, even if it was a date of entry that differed from the date
of first service. (Note that field #17, regarding eligibility, refers to
date of entry because eligibility should be ascertained at that time.)

**Field #22 Grade Level at First Service**

For new participants, enter the student's grade at the time he or she
first received UB services from the project that is submitting the
report. For students served first during the summer component, select
"rising" ninth-grader for those students who had completed eighth grade
and would be entering ninth grade in the fall term; ninth grade itself
is not a valid option for students first receiving service in the summer
program. Select "rising" 12^th^grader for those students who had
completed 11^th^ grade and would be entering 12th grade in the fall
term. For all other students first served during the summer component,
enter the grade the student would enter for the fall academic term
(i.e., for students first served in the summer between ninth and 10th
grades, the correct code is 10; for those first served in the summer
between 10th and 11th grades, the correct code is 11). If a student
transferred from another UB project, in this field give the grade level
at first service in the project submitting the report.

For continuing and prior participants, use data entered in the earlier
APR.

**Field #23 Expected High School Graduation Cohort Year**

For all individuals who participated in UB for the first time in this
reporting period (new and transfer), please select the year in which the
student was expected to graduate in spring or summer (e.g., June 2011).
The year should be chosen assuming that the student would progress
without delay from year to year and indeed graduate. The year should be
chosen when the student originally entered the program and should not be
adjusted in later years. A transfer\'s cohort year should agree with the
expected high school graduation date established by his or her project
of origin.

For continuing, reentry, and prior participants, earlier years\'
expected high school graduation dates will need to be converted to
cohort years (e.g., 06/15/2008 will be converted to option 8). The
downloadable file that TRIO\'s data processing contractor will produce
from last year\'s APR will include cohort years derived from previously
entered dates; grantees that decide not to use the downloadable file
will need to do the conversion themselves. Do not change or update the
year except to correct previously entered erroneous data.

(Note that, for purposes of calculating the extent to which projects met
their objectives for academic improvement on standardized tests and
postsecondary enrollment, all participants originally established in a
cohort will remain in that cohort, even if they leave the project.)

**Field #24 Participant Status**

Please note that, for the 2007-08 reporting year, a new option has been
added for "transfer participants." (Please refer to the form for
definitions of all of the participant status options.)

For each participant record, the grantee must review the options
available and select or update this field as appropriate. The
participant status options include:

-   New participant

-   Continuing participant

-   Reentry participant, previously served by project submitting report

-   Prior-year participant

-   Prior-year participant, deceased or permanently incapacitated

-   Transfer participant

-   New participant served for the first time after the beginning of the
    2008--09 academic year (only for projects with December 1, 2007,
    start dates)

Note: Please refer to field #21, Date of First Project Service, on
establishing the date of first service for new participants served
initially in the summer program.

**Field #25 Participation Level**

Self-explanatory

Fields #26 and #27 Grade Levels

Field #26 requests the participant's grade level at the beginning of the
academic year coincident with the reporting period (i.e., 2007--08);
field #27 asks for the student's grade level or postsecondary status at
the beginning of the academic year *following* the reporting period
(i.e., 2008--09). These fields are used to determine if the participant
had progressed to the next grade or graduated. Field #26 includes an
option for eighth-graders so as to allow reporting of students who
joined the project as rising ninth-graders in the summer of 2008. For
field #27 (secondary grade level or postsecondary status at the
beginning of the academic year *following* the reporting period), please
classify a student within a given secondary grade if that student has
met the requirements for progression to that grade. For example, a
student should be classified as an 11^th^-grader if he or she
successfully completed 10^th^ grade in 2007--08 (or if he or she met
requirements for 11^th^ grade by doing extra work in the summer of
2008).

In some cases, a student may be enrolled both in high school and in some
postsecondary classes. If the student has not yet graduated from high
school, select the appropriate high school grade level for the student.

### Fields #28--#30 Grade Point Averages (GPAs)

A student's grade point average (GPA) is an indicator of a student's
need for Upward Bound services and can provide a measure of improvement
in academic skills and of success in high school education. Projects are
encouraged to report data on GPA carefully. If information is not
available for any of these fields, it is best to enter 0.000
("Unknown"), rather than to copy the previous period's information,
giving the impression that GPA did not change. The cumulative grade
point averages provided should be calculated on all courses taken.
Because middle school GPAs and high school GPAs are generally not
comparable, middle school grades should not be used in calculating any
of the high school GPA fields.

A high school GPA presumably would not be available till the end of the
first term of the first year in high school (usually ninth grade), at
the earliest. For participants who entered prior to the availability of
a high school GPA, for fields #28 and 29 choose 9.999, \"Not
applicable.\" Depending on starting and ending dates of the reporting
period, in field #30 projects may or may not need to use 9.999 for
rising ninth-graders. For example, in the case of a project with an
August 31, 2008, ending date, if a student joins in summer 2008 as a
rising ninth-grader, he should be reported as 9.999 in field #30 since
academic year 2007--08 ended prior to his completing ninth grade. On the
other hand, for a student who joined a project with a May 31, 2008,
ending date in summer 2007 as a rising ninth-grader, in field #30 the
project should report a ninth-grade GPA at the end of academic year
2007--08.

Please report the GPA based on a four-point scale. If the participant\'s
school used a four-point scale, enter the GPA provided by the school; if
not, convert other scales to four-point to the extent possible. If a
student\'s GPA on a four-point scale exceeded 4.000 for such a reason as
completing honors or Advanced Placement courses, the project may enter a
score that exceeds 4.000; the allowable scale, however, remains
four-point. For schools that do not use a convertible scale, please
enter "8.888" to indicate that the grading scale could not be converted
to a four-point scale. Use 0.000 for unknown GPA or for prior-year
participants who have completed high school.

**Field #31 High School Graduation Status**

Use 5, \"Other,\" for students who completed the twelfth grade but
failed to meet state or local requirements for graduation (e.g., passing
an exit exam).

### Field #32 Actual Date of High School Graduation

Report only high school graduation dates that have already occurred by
the time the APR is submitted. For those participants completing a high
school equivalency certificate, please provide the completion date. If a
student completed the twelfth grade but did not meet state or local
requirements for graduation, use 99/99/9999, \"Not Applicable.\" Should
the student subsequently meet the state or local requirement, update
this field in a subsequent year\'s APR.

### Field #33 Participant Retention in Project

This field provides the data needed to determine, on an annual basis,
the extent to which the grantee has meet its approved project retention
objective for the reporting period. Thus, it is necessary to know if the
ninth-, 10th-, and 11th-grade participants served during the reporting
year (2007-08) continued to participate in the UB (or UBMS) project
during the subsequent reporting year (2008-09). The data reported in
field 33 should reflect information available to the project as of the
date on which the APR is submitted (fall 2008). Option 8, \"Not
applicable, participant served for the first time after the beginning of
the 2008--09 academic year,\" should be used only by projects with
December 1, 2007, start dates.

### Fields #34 and #35 State High School Achievement Standards

Fields #34 and #35 provide data needed to determine the extent to which
the grantee has met its approved academic improvement objective for the
current and prior project participants in the 2008 high school
graduation cohort, i.e., those with an expected graduation date during
spring/summer 2008. To be counted toward meeting this objective, a
participant must achieve at the proficient level on state high school
assessments. Projects must use only assessments that specifically
indicate whether the student achieved at the proficient level.
(Assessments designed for *No Child Left Behind* accountability are
examples of such tests.) If a student did not originally meet the
standard, but then subsequently did so prior to the end of his or her
expected high school graduation cohort year, the project should choose
option 1, "Yes, met standard." Because fields #34 and #35 concern
attainment, all UB and UBMS grantees should respond to these fields for
all current students, updating each year as necessary. So as to allow
accurate calculation of the extent to which grantees met their targets
for the objective on academic improvement, grantees should also attempt
to provide information for these fields on all prior participants with
an expected high school graduation cohort year of 2007--08.

**Important note**: In the 2007 and earlier data collections, the APR\'s
field for state academic achievement standards did not refer to meeting
the standard *at the proficient level*. If a student with an expected
high school graduation cohort year of 2008 was entered in the 2007 or
earlier data collection as having met the standard, he or she will be
counted as a success for the standardized test objective and for
corresponding prior experience (PE) points only if the project now
reenters the student as having met the standard *at the proficient
level* (assuming the student did indeed achieve at that level)*.*

A few grantees have reported experiencing difficulty in getting reliable
data for students\' results on state achievement tests. If a grantee
does not think that test data are reliable for a student, the grantee
should choose \"Unknown\" for field #34 and/or #35 for that student. It
is of course in the project\'s interest to make every effort to collect
reliable test data so as to be able to demonstrate the extent to which
the project has met its targets for the academic achievement objective.

**Field #36 Date of Last Project Service**

If a student is still a participant in the Upward Bound project, enter
"9s" ("Not applicable; participant is still in program"). Report a date
of last service only for those students who the project believes will
not return, e.g., those who have graduated or moved out of the project's
target area. When reporting a date of last service, please do so
regardless of the amount of time the student spent in the program.
Providing these dates will allow the Department to obtain an accurate
measure of the length of time in the program for each cohort of
participants. If a project omitted in last year's report a "Date of Last
Project Service" for a given student who subsequently did not
participate in the year on which the project is now reporting, please
include that student in this year's report as a prior participant and
record a date of last project service for him or her, even if the date
occurred in the prior reporting period.

For those Upward Bound participants who dropped out of the program, it
would be best to use the date the participant last attended an Upward
Bound activity or received any kind of help from the project. This could
include contacting a student regarding attendance in project activities,
providing advice, counseling, etc. If that information is not available,
you may use the date the project dropped the student from its list of
active participants.

For those students who stay in the program until high school graduation,
the date of last program service would be either the high school
graduation date or, for those participants in the summer bridge program,
the end of the summer program.

**Field #37 Reason for Leaving Project**

Please select the code that best describes the reason the participant
withdrew from the project.

**Fields #38--#43 Select Project Services/Activities**

Complete these fields only for those project participants who
participated in these activities during the reporting period. **Use 9s,
Not applicable, for prior participants.**

Since all UB and UBMS projects must and do provide the academic
instruction and services required or permitted by the authorizing
statute and implementing regulations, the Department has dropped almost
all of the services data fields included in the prior years' APRs. Thus,
the revised APR only includes six services/activities of special
interest to the Department and for which evaluation data and other
analyses have shown to be informative.

Report only on those services/activities the Upward Bound participant
received during the reporting period. If the project did not offer the
service, choose "8."

Please refer to the section on "Definitions that Apply" for definitions
of the services/activities.

### Fields #44--52 Postsecondary Information

For these fields, please note that the Department wants to know about
students' postsecondary status (both for recent high school graduates
and prior participants) at the first opportunity. If you gather data
about a student's postsecondary status after the end of the reporting
period, but before the due date for the report, please include those
data in your report. (Note: In addition, for projects with a reporting
period of June 1 through May 31, please report on summer bridge
participants' postsecondary status at the first opportunity, i.e., in
the fall after summer bridge, even though the summer bridge students
will be included in the next year's data file as "continuing
participants" \[field #24\]. For example, for a project with a reporting
period of June 1, 2007, to May 31, 2008, the grantee should report data
on the postsecondary status of summer 2008 bridge participants in fall
2008, even though the grantee will include the bridge students as
continuing participants in the data file for 2008--09.)

Please enter \"7\" or a series of \"7s,\" where requested, for students
who have left a program of postsecondary education without completing
it; enter "8" or a series of "8s" as specified for participants who have
not yet completed high school. Students in dual enrollment programs
should not be reported as enrolled in postsecondary education until
after their high school graduation. Please enter "9" or a series of "9s"
for high school graduates who were not enrolled in a program of
postsecondary education during or prior to the reporting period.
\"Students who have left a program of postsecondary education without
completing it\" is an umbrella category including, among others,
students on leave of absence, those away from postsecondary education
for a humanitarian or religious purpose or for military duty, and those
who have dropped out and may eventually return.

A participant is considered enrolled if he or she has completed
registration requirements (excluding payment of tuition and fees) at the
institution he or she is attending.

Fields #44--#45

Self-explanatory

Field #46 School Code for Postsecondary Institution

Provide the Title IV School Code/OPE ID Number (Office of Postsecondary
Education Institutional Number) for the postsecondary institution the
Upward Bound participant attended during the reporting year. If the
participant attended more than one institution during the reporting
year, provide the school code for the institution last attended. This is
a six-digit number that is required on all federal financial aid
documents. Information regarding this number is included in Title IV
School Code Directory and can be accessed on the World Wide Web:

[http://www.fafsa.ed.gov/FOTWWebApp/FSLookupServlet](http://www.fafsa.ed.gov/fotw0506/fslookup.htm)

### Since the Department does not request school names, these codes are particularly important, as they are the means by which the Department is able to identify the institutions that UB students attend. Use \"555555\" only in unusual cases in which the project is sure that the institution is not in the Title IV School Code Directory.

### Fields #47--#49 College Status, Undergraduate Degree/Certificate Completed, and Degree Date

For current year and prior-year participants whose postsecondary
education status is known, in field #47 provide information on the
student's college status at the beginning of academic year 2008--09. If
applicable, in fields #48 and #49 provide the highest undergraduate
degree/certificate completed and the degree date. Once the grantee has
reported the completion of the undergraduate degree (either an Associate
or Bachelor's degree) on the APR, the grantee may drop that
participant's record from subsequent APRs. If, however, a student who
earned a two-year degree is continuing his or her postsecondary
education so as to earn a four-year degree, the project should continue
to track that student\'s effort.

**Fields #50--#52 Postsecondary Enrollment and Persistence**

Fields #50, #51, and #52 provide the data needed to determine, on an
annual basis, the extent to which the grantee has met its objectives for
postsecondary enrollment and persistence:

**Postsecondary Enrollment**: X% of all UB participants, who at the time
of entrance into the project had an expected graduation date during the
school year, will enroll in a program of postsecondary education by the
fall term immediately following the expected graduation date from high
school.

**Postsecondary Persistence**: X% of all UB participants who enrolled in
a program of postsecondary education during the fall term immediately
following high school graduation will be enrolled for the fall term of
the second academic year.

Note that the enrollment objective refers to enrollment *by* the fall
term and thus could include enrollment in the summer of the year. The
persistence objective, on the other hand, specifically refers to
enrollment *for* the fall term, since what we want to determine is which
students actually continued their postsecondary education into the next
academic year.

For the **postsecondary enrollment objective** (field #50), we are
considering students whose expected graduation date occurred during the
budget period (generally May or June 2008)\--i.e., the members of the
2008 expected high school graduation cohort. All members of the cohort
should be coded either 1, 2, or 0 in this field. If such a student
enrolled in summer or fall 2008, he or she would have contributed to the
project\'s success in meeting its target for this objective and should
be coded option 1. Other members of the cohort who did not enroll
(whether or not they actually graduated in their expected year) should
be coded option 2. If the project has been unable to determine whether a
student enrolled, use 0 for unknown. As noted in the instructions for
date of first postsecondary enrollment, a student in a dual enrollment
program should not be reported as enrolled in postsecondary education
until after high school graduation. For participants who were not
members of the 2008 expected graduation cohort, use option 8, 10, or 0.

(Field #50 also allows grantees to provide information for the
enrollment objective for students who graduated high school early. If,
for example, a student in the 2008 cohort actually graduated in June
2007 and then enrolled in postsecondary education in fall 2007 and/or
fall 2008, the project should select option 1. This student, however,
will remain in the 2008 cohort for purposes of calculating the extent to
which the project met its postsecondary objective.)

For the **postsecondary persistence objective**, we are considering
students who enrolled in postsecondary education during the fall term of
2007 immediately following high school graduation in spring/summer 2007.
If such a student subsequently enrolled for the fall term of 2008, he or
she would have contributed to the project\'s success in meeting its
target for this objective.

Field #51 reflects the denominator and field #52 the numerator for the
persistence objective. Cohorts do not pertain to these fields because
the language of the objective refers to actual graduation, not expected
graduation. In field #51 grantees will distinguish between those
spring/summer 2007 high school graduates who enrolled in postsecondary
education for the fall 2007 term and those who did not; for
spring/summer 2007 participants whose enrollment status is unknown,
choose 0. Grantees should code all other participants 8, 10, or 0.

In field #52 grantees will distinguish among participants coded 1 in
field #51 (i.e., those participants who graduated high school in
spring/summer 2007 and enrolled in postsecondary education for the fall
term of 2007). Option 1 in field #52 refers to participants who
persisted in postsecondary education from fall 2007 into fall 2008;
option 2 refers to participants who did not persist in postsecondary
education into the fall 2008 term. If a grantee does not know whether
such a participant enrolled or not, chose 0 for Unknown. All other
participants should be coded 3.

Some possible scenarios:

1\. A student in the 2008 expected high school graduation cohort enrolls
in a program of postsecondary education for the summer 2008 term and
continues in postsecondary into the fall 2008 term. For field #50,
choose 1, enrolled; for field #51, choose 8, not completed high school
by spring/summer 2007 term; for #52, choose 3, not applicable,
participant not coded 1 in field 51. This student contributes to the
project\'s success in meeting its target for the enrollment objective.

2\. A student in the 2007 expected high school graduation cohort
graduates in May 2007, enrolls in a program of postsecondary education
for the fall 2007 term, and remains enrolled for the fall 2008 term. For
field #50, choose 10 (not applicable, participant had an expected high
school graduation cohort year prior to 2008); for field #51, choose 1
(enrolled in 2007); for field #52, choose 1 (enrolled in 2008). This
student contributes to the project\'s success in meeting its target for
the persistence objective.

3\. A student in the 2007 expected high school graduation cohort
graduates in May 2007, enrolls in a program of postsecondary education
for the fall 2007 term, remains enrolled for the spring 2008 term, but
then suspends his postsecondary education. For field #50, choose 10
(expected cohort year prior to 2008); for field #51, choose 1 (enrolled
in 2007); for field #52, choose 2 (not enrolled in fall 2008). This
student does not contribute to the project\'s success in meeting its
target for either objective.

Note that, given the wording of the objective on postsecondary
enrollment, if a student enrolls in summer 2008 following her expected
graduation date in May 2008, but then suspends her education (not
enrolling in fall 2008), the grantee may still select option 1
(enrolled) in field #50.

The data reported in fields #50--#52 should reflect information
available to the project as of the date on which the APR is submitted
(fall 2008).

**DEFINITIONS THAT APPLY**

Upward Bound and Upward Bound Math-Science

Upward Bound and Upward Bound Math-Science Standard Objectives from 2007
competition

**Academic improvement on standardized test**: X% of all UB/UBMS
participants who at the time of entrance into project had an expected
high school graduation date during the school year will have achieved at
the proficient level during high school on state assessments in
reading/language arts and math.

**Project retention**: X% of 9^th^, 10^th^, and 11^th^ grade
participants served during each school year will continue to participate
in the UB/UBMS project during the next school year.

**PSE enrollment**: X% of all UB/UBMS participants who at time of
entrance into project had an expected high school graduation date during
the school year will enroll in a program of postsecondary education by
the fall term immediately following the expected high school graduation
date.

**PSE persistence**: X% of all UB/UBMS participants who enrolled in a
program of postsecondary education during the fall term immediately
following high school graduation will be enrolled for the fall term of
the second academic year.

**Ethnicity (field #10)**

**Hispanic or Latino** - A person of Mexican, Puerto Rican, Cuban,
Central or South American, or other Spanish culture or origin,
regardless of race.

**Race categories (fields #11--15)**

**American Indian or Alaska Native** - A person having origins in any of
the original peoples of North and South America (including Central
America), and who maintains a tribal affiliation or community
attachment.

**Asian** - A person having origins in any of the original peoples of
the Far East, Southeast Asia, and the Indian subcontinent. This area
includes, for example, Cambodia, China, India, Japan, Korea, Malaysia,
Pakistan, the Philippine Islands, Thailand, and Vietnam.

**Black or African American** - A person having origins in any of the
Black racial groups of Africa.

**White** - A person having origins in any of the original peoples of
Europe, North Africa, or the Middle East.

**Native Hawaiian or Other Pacific Islander** -- A person having origins
in any of the original peoples of Hawaii or other Pacific islands such
as Samoa and Guam.

**Limited English Proficiency (field #16)**

Limited English proficiency, with reference to an individual, means an
individual whose native language is other than English and who has
sufficient difficulty speaking, reading, writing, or understanding the
English language to deny that individual the opportunity to learn
successfully in classrooms in which English is the language of
instruction.

**Participant Eligibility (field #17)**

**Low-income individual** means an individual whose family taxable
income did not exceed 150 percent of the poverty level amount in the
calendar year preceding the year in which the individual initially
participated in the project. The poverty level amount is determined
using criteria of poverty established by the Bureau of the Census of the
U.S. Department of Commerce.

**First-generation college student** means an individual neither of
whose natural or adoptive parents received a baccalaureate degree; or a
student who, prior to the age of 18, regularly resided with and received
support from only one natural or adoptive parent and whose supporting
parent did not receive a baccalaureate degree.

Academic year (field #26, #27, #29, #30, #31, #33, and #47)

For purposes of completing the APR, the academic year runs from
September 1 to August 31. If a given target secondary school starts its
fall term in late August, the project should consider its academic year
to begin on an August date.

**Services and Activities (fields #38--43)**

**Work-study positions** (as the term is used in the *Higher Education
Act of 1965*, as amended in 1998, Section 402C(b)(10)) means internships
and/or employment provided or arranged for by the project for the
purpose of exposing participants to careers requiring a postsecondary
degree. Upward Bound students participating in one of these work-study
positions may be paid a stipend of \$300 per month during June, July,
and August. Include in this field only those work-study positions for
which the Upward Bound participant received a stipend from the project.

**Employment** means jobs of at least 10 hours per week arranged either
by the project or by the Upward Bound participant that are separate from
the Upward Bound program. In contrast to the "work-study" positions,
these jobs are primarily to allow participants to earn some income while
participating in the program.

**Cultural activities** means any project-sponsored activities, such as
field trips, special lectures, and symposiums, that have as their
purpose the improvement of the project participants' academic progress
and personal development.

**Community service** refers to a student's participation, facilitated
by the Upward Bound project, in an activity or activities designed to
serve a community. Under this definition, community service need not be
explicitly integrated into the student's academic work in Upward Bound
or at his or her school.

**Instruction/tutorials** means a formal, structured method for
transmitting facts, information, understanding of the concept, and
skills to students. Instruction usually includes lesson plans and
assignments designed to help students achieve learning objectives.

**Integrated Math** (an option in field #43) means learning in the
context of real-world applications. It synthesizes practical application
with theoretical knowledge to help students learn better from hands-on,
applications-oriented instruction. It emphasizes applications of theory,
problem-solving, and critical thinking to provide students with the
skills in literacy, numeracy, computing, scientific methodology, and
technology that postsecondary institutions recognize as a necessary
foundation for further study in most fields.

Postsecondary fields (#44--52)

For the definition of postsecondary institutions, please see language
concerning Title IV programs in sections 101 and 102 of Title I of the
1998 Amendments to the *Higher Education Act of 1965* (P.L. 105-244)
(<http://www.ed.gov/policy/highered/leg/hea98/sec101.html>).

Undergraduate Degree/Certificate (field #48)

**Equivalent of bachelor's degree (option 06)** is to be used only for
UB participants enrolled in dual degree programs that have completed
four years of undergraduate study and are working towards a graduate
degree.

**Dual degree program** is a program of study that awards an individual
both the bachelor's and a graduate degree upon successful completion of
the program of study.

# SECTION II - B: RECORD STRUCTURE FOR PARTICIPANT LIST

(Veterans Upward Bound Projects)

Instructions for Completing Section II -- B

[General Instructions for the Participant List]{.smallcaps}

\(1\) Who should be included on the annual data file?

Please see pages 2--3 of these instructions for information on
participants for whom the grantee should provide data. For the Veterans
Upward Bound program, a participant is defined as an individual who
enrolled in and participated in the educational programs offered by the
project during the project year being reported. Be sure to include each
participant---whether new, continuing, reentry, or prior-year---**only
once** in the file the project submits for the reporting period.

\(2\) What are the data fields?

The new, revised VUB APR contains 39 data fields. Three of the fields
are file identifiers. The remaining fields are of two types: those data
fields that, except in unusual situations, will not need to be updated
annually; and those that must be reviewed annually and updated, as
needed.

[File Identifiers]{.underline}

#1 PR/Award Number

#2 Batch Year

#3 Program Type

[Fields that do not need to be updated annually]{.underline}

#4 Social Security Number

#5 Student's Last Name

#6 Student's First Name

#7 Student's Middle Initial

#8 Student's Date of Birth

#9 Gender

#10 Ethnicity

#11--#15 Race

#16 Eligibility

#17 Recruitment

#18 Educational Status at date of first project service

#19 Scheduled Completion Year

#20 Revised Scheduled Completion Year

#21 Circumstances of Rescheduling

#22 Reason for Rescheduling

#23 Date of First Project Service

#24 Employment Status at date of first project service

#25 Disability Status

[Fields that need to be reviewed and updated annually, as
needed]{.underline}

#26 Participant Status

#27 Called to Active Duty during reporting period

#28 Improved Test Score on Standardized Test

#29 Date of Last Program Service

#30 Reason for Leaving VUB Program

#31 Source of Postsecondary Education Information

#32 Date of First Postsecondary Enrollment

#33 School Code for Postsecondary Institution last attended

#34 College Status, beginning of academic year 2008--09

#35 Undergraduate Degree or Certificate Completed

#36 Date of Undergraduate Degree

#37 Postsecondary Enrollment Objective for 2007--08

#38 Postsecondary Persistence Objective\--denominator

#39 Postsecondary Persistence Objective\--numerator

\(3\) How should the date fields be formatted (fields #8, #23, #29, #32,
and #36)?

Please review carefully the **Valid Field Content** column to ensure
that the data submitted are in the correct format. All date fields
should be eight digits and formatted as follows: two digits for month;
two digits for day; two digits for century; and two digits for year. For
the student's date of birth (field #8), you are required to provide the
full, precise date (month, day, and complete year). For the other date
fields, accuracy is important only for the month and year. If the day is
unknown, use 15. For example, a participant's data of first project
service of September 2007 would be formatted as follows: 09/15/2007. If
the exact month or year is uncertain, use an estimate. If there is no
basis for estimating the month, but the year is known or can be
estimated, use 01 for the month (e.g., 01/15/2007). If there is no basis
for estimating the year, use 00/00/0000 (\"Unknown\").

To ensure that the date is properly imported, always use the zero before
one-digit months and days and insert slashes between the month and day,
and between the day and year.

\(4\) How should "Not Applicable" and "Unknown" be reported?

With the exception of fields #6--#7 and #10--#15, leaving a field blank
is *not* an option. In general, the format uses "0" or a series of "0s"
to allow a project to indicate "Unknown"; "9" or a series of "9s"
indicates "Not Applicable."

\(5\) Where are the objectives found?

The objectives for the VUB program are found in the \"Definitions That
Apply\" pages at the end of these instructions.

### [Supplemental instructions for specific fields]{.smallcaps}

**Field #2 Batch Year**

Use the four-digit year provided on the form. This number will change
with each year's submission. The Batch Year designates the fiscal year
funding for the project period reported. TRIO grants are forward-funded.
Therefore, as an example, fiscal year 2007 funds would be used to
support project activities in the 2007--08 program year. Thus, the data
file for Batch Year 2007 would include information on project
participants served or tracked during program year 2007--08.

Field #4 Social Security Number (SSN)

SSNs are very important as they allow the Department to match
participant lists with the federal financial aid files for purposes of
tracking participant outcomes. If a project does not know the SSN for a
student, please enter "0s" rather than enter other forms of
identification numbers.

### Fields #5--#9 Student\'s Identifying Information

These fields are self-explanatory.

### Fields #10--#15 Race and Ethnicity

On October 19, 2007, ED released new, Department-wide guidance on how
institutions should collect and maintain data on race and ethnicity and
on how they should report such data in the aggregate:

<http://www.ed.gov/legislation/FedRegister/other/2007-4/101907c.pdf>; or
<http://www.ed.gov/legislation/FedRegister/other/2007-4/101907c.html>

*Because Upward Bound grantees report individual data, they should not
follow the portions of the guidance that cover aggregate reporting; they
must, however, collect and maintain data as indicated in the guidance*.
The new guidance must be implemented by the fall of 2010 for the
2010--11 school year, but grantees are encouraged to implement earlier,
if possible. (Note that projects may leave the race and ethnicity fields
blank for prior participants.)

Collection procedures in the guidance require grantees to collect data
on race and ethnicity on all participants using a two-part question:
first, the grantee asks the respondent whether he or she is
Hispanic/Latino; second, the grantee asks the respondent to select one
or more races from the five racial groups listed. The grantee reports
the responses in fields 10--15 of the APR. If, for example, a VUB
participant identifies himself or herself as Hispanic, Asian, and White,
entries for the fields would appear thus:

Field 10: 1, Yes, participant is identified as Hispanic/Latino

Field 11: 2, No, participant is not identified as American
Indian/Alaskan Native

Field 12: 1, Yes, participant is identified as Asian

Field 13: 2, No, participant is not identified as Black or African
American

Field 14: 1, Yes, participant is identified as White.

Field 15: 2, No, participant is not identified as Native Hawaiian or
Other Pacific Islander.

If the participant declines to answer questions about race and
ethnicity, the grantee should use observation, as discussed in the
guidance. While grantees should make a good effort to collect data on
race and ethnicity for all participants, if for some highly unusual
reason the race and/or ethnicity of a particular student is unknown, as
a last resort the grantee may leave the race and/or ethnicity fields
blank. For further details on the guidance for collecting data, please
see the full *Federal Register* notice. Grantees are responsible for
implementing all relevant aspects of the guidance. Note that the
Department encourages institutions to allow all current students to
re-identify their race and ethnicity using OMB\'s 1997 standards (see
page 59276 of the notice), but does not require institutions to do so.

For definitions of the ethnicity and race categories, refer to the
"Definitions that Apply" section of these instructions.

### Field #16 Eligibility

The statute and regulations governing the Upward Bound program require
that an individual, at the time of initial selection for the project,
must be a "low-income individual" or a "potential first-generation
college student." (These terms are defined in the section \"Definitions
that Apply.\") Two-thirds of project participants each year must be both
low-income and potential first-generation college students; the
remaining one-third can be either low-income or potential
first-generation college students.

### Field #17 Recruitment

Please indicate how the participant came to your project.

Field #18 Educational Status (at time of first project service)

Self-explanatory.

## Field #19 Scheduled Completion Year

At the outset of service to a participant, projects must schedule a
completion year for his or her prescribed VUB program. The chosen
completion year must match a budget period (for example, September
2007--August 2008 or September 2008--August 2009) and must be based on
the project\'s assessment of the participant\'s educational needs.
Please provide the scheduled completion year for all participants
(including continuing participants) served during the budget period; for
prior participants, enter 9 for \"Not applicable.\" Even if the project
enters a revised scheduled completion year in field #20, the year in
field #19 should not be changed.

## Field #20 Revised Scheduled Completion Year

Compelling circumstances in the life or educational progress of the
participant may necessitate revising a scheduled completion year. Note
that rescheduling should be considered and should occur only when the
student is either in continuous active participation or when the student
had left and then returned to active participation. Thus, if a student
has left the project, the correct choice for field #20 is option 8,
\"Not applicable, scheduled completion year is unchanged\"; a new
completion year should be established only if the student returns.

**Field #21 Circumstances of Rescheduling**

Note that the completion year is used in the objective for enrollment in
postsecondary education, which reads: \"X % of participants served
during each budget period will enroll in a program of postsecondary
education by the fall term following the scheduled completion of their
prescribed VUB educational program.\" If the originally scheduled
completion year for a participant is 2007--08, the participant would
need to enroll in postsecondary education by fall 2008 to contribute to
the project\'s success in meeting the objective. Only under certain
circumstances will TRIO defer a participant with a revised scheduled
completion date to a subsequent year\'s calculation for this objective.
If a participant has not had a hiatus in participation from one budget
year to the next and if the project reschedules the completion year
while the participant is actively involved in the VUB program, the
Department will include the participant in the subsequent year\'s
calculation, not the 2007--08 calculation. Also, if a participant is
called to active duty and therefore unable to enroll in postsecondary
education, the Department will exclude the individual from the numerator
and denominator for the calculation. If, however, rescheduling a
participant\'s completion into a subsequent year occurs because the
individual suspended his or her participation in the project for a
significant period for reasons other than return to active duty, the
student will be included in the calculation for the original scheduled
completion year. Field #21 reflects these options.

**Field #22 Reason for Rescheduling**

Self-explanatory.

### Field #23 Date of First Project Service

For new students, use the date the student first received service from
the VUB project that is submitting this report. Do not use date of
*acceptance* into project unless that is the same as the date of *first
service.* Use the very first month and year of service at this project
even if the student subsequently left and reentered. If the students
transferred from another VUB project, in this field give the month and
year of first service at the project submitting the report.

For continuing and prior participants, use the date entered in the
earlier APR, even if it was a date of entry that differed from the date
of first service. (Note that field #16, regarding eligibility, refers to
date of entry because eligibility should be ascertained at that time.)

**Fields #24 and 25 Employment Status and Disability Status**

Self-explanatory.

### Field #26 Participant Status

Please refer to the form for definitions of all of the participant
status options.

### Field #27 Called to Active Duty

Please indicate whether the participant was called to active duty during
the reporting period. If a participant was so called, he or she will be
counted neither in the numerator nor the denominator for the project\'s
objectives.

### Field #28 Improved Test Score on Standardized Test

This field refers to the first objective included in the application
package for the fiscal year 2007 competition: applicants were required
to indicate what percentage of participants served during each budget
period would improve their academic skills as measured by a pre and post
standardized test taken by the participant. In field 28, for all
participants served during the 2007--08 budget period, indicate whether
the student so demonstrated improvement in academic skills; this
information should be accurate as of the end of the budget period.
Grantees should keep records of the test each student took, the dates of
administration, and the student\'s scores. Grantees should also document
their rationale for determining whether a change in scores constituted
improvement; such a rationale should presumably be based on the design
and content of the test, on background information the test publisher
provided about the test, and on the experience of the project with
similar students using the test.

### Field #29 Date of Last Project Service in VUB

This field provides more precise data than was offered by the field used
in the previous version of the APR form, which requested length of
participation in months. Please provide information as of the end of the
budget period. If a student was still a participant in the Upward Bound
project as of the end of the budget period, enter "9s" ("Not applicable,
participant was still in program"). Report a date of last service only
for those students who the project believes will not return, e.g., those
who have completed the program or moved out of the project's target
area. When reporting a date of last service, please do so regardless of
the amount of time the student spent in the program.

For VUB participants who dropped out of the program, it would be best to
use the date the participant last attended a VUB activity or received
any kind of help from the project. This could include contacting a
student regarding attendance in project activities, providing advice,
counseling, etc. If that information is not available, you may use the
date the project dropped the student from its list of active
participants.

### Field #30 Reason for Leaving VUB Program

Grantees should be careful to ensure accuracy in completing this field
as it will be used in determining whether the student met the objective
on retention and completion included in the fiscal year 2007 application
package: grantees were required to indicate what percentage of
participants served by the project during each budget period would
remain enrolled or complete their prescribed program. Participants coded
1 (\"Successfully completed program\") and 88 (\"Not applicable,
participant is still in program\") will count towards the project\'s
targeted percentage for the objective. Information should be accurate as
of the end of the budget period.

### Fields #31--36 Postsecondary Information

For these fields, please note that the Department wants to know about
students' postsecondary status (both for participants who have recently
completed the program and for prior participants) at the first
opportunity. If you gather data about a student's postsecondary status
after the end of the reporting period, but before the due date for the
report, please include those data in your report.

Please enter \"7\" or a series of \"7s,\" where requested, for students
who have left a program of postsecondary education without completing
it; "8" or a series of "8s" as specified for participants who have not
yet completed the educational program offered by the project; and "9s"
or a series of "9s" for those participants who have completed the
educational requirements to be eligible for a program of postsecondary
education, but who have not yet enrolled in such a program. Enter \"6\"
or a series of \"6s\" for participants who have died or are permanently
incapacitated. \"Students who have left a program of postsecondary
education without completing it\" is an umbrella category including,
among others, students on leave of absence, students called to active
military duty, and those who have dropped out and may eventually return.

If a participant has begun course work in postsecondary education but is
still participating in VUB (for example, if the student is taking
postsecondary English courses but still completing preparatory work in
other content areas in the VUB program), the student should not be
reported as enrolled in a program of postsecondary education.

A participant is considered enrolled if he or she has completed
registration requirements (excluding payment of tuition and fees) at the
institution he or she is attending.

Fields #31--#32

Self-explanatory

Field #33 School Code for Postsecondary Institutions

Provide the Title IV School Code/OPE ID Number (Office of Postsecondary
Education Institutional Number) for the postsecondary institution the
Upward Bound participant last attended during the reporting year; if the
student attended more than one institution during the academic year,
report the one most recently attended. The six-digit code is required on
all federal financial aid documents. Information regarding this number
is included in Title IV School Code Directory and can be accessed on the
World Wide Web:

[http://www.fafsa.ed.gov/FOTWWebApp/FSLookupServlet](http://www.fafsa.ed.gov/fotw0607/fslookup.htm)

### 

Since the Department does not request school names, these codes are
particularly important, as they are the means by which TRIO is able to
identify the institutions that UB students attend. Use \"555555\" only
in unusual cases in which the project is sure that the institution is
not in the Title IV School Code Directory.

**Fields #34--#36 College Status, Undergraduate Degree or Certificate
Completed, and Degree Date**

For current year and prior-year participants whose postsecondary
education status is known, in field #34 provide information on the
student\'s college status at the beginning of academic year 2008--09. If
applicable, in fields #35 and #36 provide the highest undergraduate
degree or certificate completed and the degree date. Once the grantee
has reported the completion of the undergraduate degree (either
Associate or Bachelor's degree) on the APR, the grantee may drop that
participant's record from subsequent APRs. If, however, a student who
earned a two-year degree is continuing his or her postsecondary
education so as to earn a four-year degree, the project should continue
to track that student\'s effort.

**Fields #37--39 Postsecondary Enrollment Status and Postsecondary
Persistence**

Fields #37, 38, and 39 provide the data needed to determine, on an
annual basis, the extent to which the grantee has met its objectives for
postsecondary enrollment and persistence:

**Postsecondary Enrollment**: X% of participants served during each
budget period will enroll in a program of postsecondary education by the
fall term following the scheduled completion of their prescribed VUB
educational program.

**Postsecondary Persistence**: X% of all participants who enroll in
postsecondary education during each budget period will be enrolled for
the fall term of the second academic year.

Note that the enrollment objective refers to enrollment *by* the fall
term and thus could include enrollment in the summer of the year. The
persistence objective, on the other hand, specifically refers to
enrollment *for* the fall term, since what we want to determine is which
students actually continued their postsecondary education into the next
academic year.

For the **postsecondary enrollment objective** (field #37), we are
considering students served during budget period 2007--08 whose
completion was originally scheduled for that year (field #19, option 1);
all of these participants should be coded 1, 2, 3, or 0 in field #37.

\--If such a student enrolled by fall 2008, he or she would have
contributed to the project\'s success in meeting this objective;
**option 1 in field 37** allows grantees to show that such a student had
enrolled within this timeframe.

\--If such a student *did not* enroll by fall 2008 **(option 2 in field
#37)**, he or she would not contribute to success in meeting the
objective.

\--If a participant\'s original completion date of 2007--08 was
rescheduled (as reflected in field #20), and if the circumstances of
rescheduling were shown as option 1 or 2 in field #21, then the grantee
should choose **option 3 in field #37.** For such a participant, the
Department will defer calculation of the postsecondary enrollment
objective to the year shown in field #20.

\--If a participant\'s original completion date of 2007--08 was
rescheduled (field #20) but neither option 1 nor 2 was chosen in field
#21, then the participant will be included in the calculation for
2007--08 and should be coded 1 or 2 in field #37.

\--Current participants who were called to active duty during the
reporting period (field #37, option 11; field #27, option 1) will not be
included in the calculation for the 2007--08 success rate.

Note that a participant did not have to complete his or her program
within the scheduled completion year, or even complete the program at
all, to contribute to the project\'s success in meeting the objective
*if* the student fulfilled the objective as stated. Example: a 2007--08
participant was scheduled to complete the program in that year, but
dropped out of the VUB program in April 2008; nevertheless he still
enrolled in postsecondary education by fall 2008. The participant would
contribute to the program\'s success in meeting the enrollment objective
because he fulfilled the objective as written.

As indicated in the discussion of postsecondary information (fields
#31--36), if a participant has begun course work in postsecondary
education but is still participating in VUB (for example, if the student
is taking postsecondary English courses but still completing preparatory
work in other content areas in the VUB program), the student should not
be reported as enrolled in a program of postsecondary education.

For the **postsecondary persistence objective**, we are considering
students who enrolled in postsecondary education for at least some part
of budget period 2007--08 for the first time since participating in VUB
(option 1 in field #38). If such a student subsequently enrolled for the
fall term of 2008, he or she would have contributed to the project\'s
success in meeting this objective. Option 1 in field #39 allows grantees
to show that such a student enrolled for his or her second academic
year, beginning in fall 2008; option 2 shows that such a student did not
enroll. Prior participants who were called to active duty during the
reporting period (field #27, option 2) will not be included in the
calculation for the 2007--08 success rate for persistence. All students
in option 1, field #38 should be shown in field #39, option 1, 2, or 0.

Note that some students will contribute to the project\'s success in
meeting *both* objectives.

Some possible scenarios:

1\. A student served in 2007--08 with scheduled completion in that year
enrolls in a program of postsecondary education for the summer 2008 term
and continues into the fall 2008 term. For fields #37--39, choose 1
(enrolled) in each field. This student will contribute to the project\'s
success in meeting both objectives.

2\. A student completes his VUB program in summer 2007 and enrolls in a
program of postsecondary education for the fall 2007 term. He continues
throughout academic year 2007--08 and is enrolled again for fall 2008.
For field #37, choose 9 (prior year participant during 2007--08); for
field 38, choose 1 (enrolled for at least part of 2007--08); for field
39, choose 1 (enrolled in fall 2008). This student will contribute to
the project\'s success in meeting the objective on postsecondary
persistence; he will not contribute to meeting the objective on
postsecondary enrollment because, for that objective, we are considering
only participants with a scheduled completion year of 2007--08.

3\. A student served in 2007--08 with scheduled completion in that year
enrolls in a program of postsecondary education for the summer 2008 term
but discontinues her postsecondary enrollment after that term. For field
37, choose 1 (enrolled); for field 38, choose 1 (enrolled); for field
#39, choose 2 (not enrolled). This student will contribute to the
project\'s success in meeting the enrollment objective; she will not
contribute to success in meeting the persistence objective because,
though enrolled in the 2007--08 budget period, she did not enroll for
the fall term of the second academic year.

4\. A project realizes that a student with an original scheduled
completion year of 2007--08 will need significant additional help with
mathematics to help ensure the student\'s success in the postsecondary
nursing program he wishes to undertake. The student is continuously
active in the VUB program; the project reschedules his completion date
to 2008--09 and chooses option 1 in field #21 (circumstances of
rescheduling). As indicated in the instructions for field #21, TRIO will
defer the student to budget year 2008--09\'s calculation for the
enrollment objective. He enrolls in postsecondary education in summer
2009 and continues into fall 2009. For field #37, choose 3, participant
with original 2007--08 scheduled completion year (field 19) whom the
project rescheduled to a later year (field #20) AND for whom option 1 or
2 was chosen for field #21; for field #38, choose 2, not applicable; for
field #39, choose 3, not applicable. The student does not contribute to
the project\'s success in meeting the enrollment or persistence
objectives in 2007--08 but could do so in the next year.

**DEFINITIONS THAT APPLY**

Veterans Upward Bound

**Veterans Upward Bound Standard Objectives from the 2007 competition**

**Academic improvement on standardized test**: X% of participants served
during each budget period will improve their academic skills as measured
by a pre and post standardized test taken by the participant.

**Education program retention and completion**: X% of participants
served during each budget period will remain enrolled or complete their
prescribed VUB educational program.

**PSE enrollment**: X% of participants served during each budget period
will enroll in a program of PSE by the fall term following the scheduled
completion of their prescribed VUB educational program

**PSE persistence**: X% of participants who enroll in PSE during each
budget period will be enrolled for the fall term of the second academic
year.

**Ethnicity categories (field #10)**

**Hispanic or Latino** - A person of Mexican, Puerto Rican, Cuban,
Central or South American, or other Spanish culture or origin,
regardless of race.

**Race categories (fields #11--15)**

**American Indian or Alaska Native** - A person having origins in any of
the original peoples of North and South America (including Central
America), and who maintains a tribal affiliation or community
attachment.

**Asian** - A person having origins in any of the original peoples of
the Far East, Southeast Asia, and the Indian subcontinent. This area
includes, for example, Cambodia, China, India, Japan, Korea, Malaysia,
Pakistan, the Philippine Islands, Thailand, and Vietnam.

**Black or African American** - A person having origins in any of the
Black racial groups of Africa.

**White** - A person having origins in any of the original peoples of
Europe, North Africa, or the Middle East.

**Native Hawaiian or Other Pacific Islander** -- A person having origins
in any of the original peoples of Hawaii or other Pacific islands such
as Samoa and Guam.

**Participant Eligibility (field #16)**

**Low-income individual** means an individual whose family taxable
income did not exceed 150 percent of the poverty level amount in the
calendar year preceding the year in which the individual initially
participated in the project. The poverty level amount is determined
using criteria of poverty established by the Bureau of the Census of the
U.S. Department of Commerce.

**First-generation college student** means an individual neither of
whose natural or adoptive parents received a baccalaureate degree; or a
student who, prior to the age of 18, regularly resided with and received
support from only one natural or adoptive parent and whose supporting
parent did not receive a baccalaureate degree.

Postsecondary fields (#31--39)

For the definition of postsecondary institutions, please see language
concerning Title IV programs in sections 101 and 102 of Title I of the
1998 Amendments to the *Higher Education Act of 1965* (P.L. 105-244)
(<http://www.ed.gov/policy/highered/leg/hea98/sec101.html>).

**Undergraduate Degree or Certificate (field #35)**

**Equivalent of bachelor's degree (option 06)** is to be used only for
UB participants enrolled in dual degree programs that have completed
four years of undergraduate study and are working towards a graduate
degree.

**Dual degree program** is a program of study that awards an individual
both the bachelor's and a graduate degree upon successful completion of
the program of study.