### Upward Bound Grantee-level Performance and Efficiency Results: 2005--06

### & Grantee-Level Performance Comparison: 2004-05 and 2005-06

**APPENDIX**

##### [Appendix A. Calculation methodology for postsecondary enrollment rates (table 1)]{.underline} {#appendix-a.-calculation-methodology-for-postsecondary-enrollment-rates-table-1 .unnumbered}

> Each project's 2005--06 postsecondary enrollment rate was calculated
> by dividing the number of participants who were expected to graduate
> from high school during 2004--05 who had evidence of postsecondary
> enrollment by the total number of participants who were expected to
> graduate from high school in 2004--05 and multiplying by 100.
> Similarly, the 2004--05 postsecondary enrollment rate uses the number
> of participants who were expected to graduate from high school during
> 2003--04. Postsecondary enrollment is determined in the fall of the
> year after graduation. That semester is used rather than the fall
> immediately following graduation because projects do not necessarily
> become aware of prior participants' postsecondary enrollments until a
> year or more after the students graduate.
>
> Participants are expected to graduate in 2003--04 or 2004--05 if their
> expected high school graduation date, as reported by projects in their
> annual performance reports (APRs), was during 2003--04 or 2004--05,
> respectively. For cases missing information in this field of the APR,
> expected high school graduation year was derived using project entry
> date and grade level at the time of project entry.
>
> Data from APRs, supplemented by data from the federal financial aid
> database, were used to calculate postsecondary school enrollment
> rates. The following APR fields were used to determine a participant's
> postsecondary enrollment status: postsecondary grade level (field #97,
> values 1 through 11 and 77), enrollment status (field #96, values 1
> through 3 and 7), financial aid (field #95, values 1 through 11),
> transcript code (field #91, values 1 through 4), first enrollment date
> (field #92, valid dates between 1/1/94 and 11/31/06), academic
> standing (field #98, values 1, 2, and 7), degree completion (field
> #99, values 1 through 10 and 77), and institution code (fields #93 and
> #94, values greater than 000000 except 888888 and 999999). If there
> was any evidence of postsecondary enrollment in any of these fields, a
> participant was considered to have enrolled in a postsecondary
> program. Additionally, a participant was classified as having enrolled
> in postsecondary education if financial aid was received (total
> disbursement greater than \$0) according to federal financial aid
> records.
>
> The grantee population consists of projects that were funded in both
> the 1999--03 and the 2003--07 cycles. Projects funded in the first but
> not the second funding cycle were excluded because the projects no
> longer provide performance report data on their participants. Projects
> that were first funded in 2003--04 (i.e., those that were starting a
> new UB or UBMS project and not continuing a previously established
> one) were excluded because the few participants they served who were
> expected to graduate from high school in 2003--04 or 2004--05 would
> have been upperclassmen and therefore more likely to graduate than the
> rest of the cohort, thus distorting the data. Another reason for
> excluding these projects is that they would have had no participants
> represented among another variable of the table---those staying in the
> program for 36 months or more. Consequently, 673 UB and 110 UBMS
> grantees were included in the analyses. Excluded were 56 UB projects
> (7 percent of UB projects) and 11 UBMS (8 percent of UBMS projects) no
> longer funded in the current funding cycle, and 88 UB (11 percent of
> UB projects) and 17 UBMS (12 percent of UBMS projects) projects funded
> only in the second funding cycle.
>
> Postsecondary enrollment rates are disaggregated for those
> participants staying in the program for less than 36 months and those
> staying in the program for 36 months or more. Participants were
> excluded from the disaggregated rates if their project\'s APR did not
> supply data needed to calculate the participant's number of months in
> the program.
>
> Postsecondary enrollment rates for 2004--05 expected graduates are
> disaggregated by the type of first postsecondary institution attended
> (four-year, two-year, and less-than-two-year institutions, or in
> unknown institutions). This was based on the school codes for
> postsecondary institutions (field #93 and #94) from the APR and the
> school codes provided by the federal financial aid records. The level
> of the school was obtained by matching the earliest reported school
> code to the Integrated Postsecondary Education Data System (IPEDS)
> database.

###### Appendix B. Calculation Methodology for Efficiency Measure (table 2)

> For UB and UBMS, the efficiency measure is the difference between the
> annual cost per participant who had a \"successful outcome\" and the
> cost per participant in the project. For the purpose of this measure,
> on an annual basis a participant is considered to have experienced a
> successful outcome if he or she stayed in high school or enrolled in
> postsecondary education. Participants who experienced successful
> outcomes thus constituted a subset of all participants.
>
> Projects funded in the 1999--2003 cycle but not the 2003--07 cycle
> were excluded because the projects no longer exist and therefore no
> longer provide APRs with data on their participants. The 2005--06
> efficiency measure describes persistence in education from 2004--05 to
> 2005--06; therefore, participants served in 2005--06 but not in
> 2004--05 were excluded from the calculation, as were participants
> served in 2004--05 for whom data were lacking in 2005--06. In
> addition, certain *projects* that did not submit any data for 2004--05
> or 2005--06 or both were excluded (and the funding they received was
> excluded from the calculation as well). Finally, 125 projects that had
> data for both years for participants were excluded because significant
> omissions in critical APR fields precluded determining the outcomes of
> 15 percent or more of their participants. A list of all excluded
> projects, their funding amount, and the percentage of missing data can
> be found in the Excluded Projects worksheet (table 3).

## For purposes of the efficiency measure, participants were defined as those who were new, continuing, or reentering during the 2004--05 reporting year. Successful participants were those 2004--05 participants who were either: (1) continuing or reentry participants in 2005--06; or (2) prior-year participants in 2005--06 who were either still in high school or enrolled in postsecondary education. At the grantee level, each project's percent of successful participants was calculated by dividing the number of successful participants by the total number of participants and multiplying by 100. Each project's annual cost per participant was calculated by dividing the project's 2005--06 funding by the total number of participants served that year. The project's annual cost per successful participant was calculated by dividing the project's 2005--06 funding by the number of successful participants served that year. The efficiency gap was calculated by subtracting the project's annual cost per participant from the project's annual cost per successful participant.

> Data from APRs, supplemented by data from the federal financial aid
> database, were used to calculate participation and persistence. The
> participation code (field #19, values 1 through 3) from the 2004--05
> APR was used to determine whether the person was a participant. The
> following APR fields were used to determine a participant's
> persistence: participation code (field #19, values 2 through 4), high
> school graduation status (field #46, value 1), and fields for
> postsecondary enrollment status (field #91, values 1 through 4; field
> #92, valid dates between 1/1/94 and 11/31/06; fields #93 and #94,
> values greater than 000000 except 888888 and 999999; field #95, values
> 1 through 11; field #96, values 1 through 3 and 7; field #97, values 1
> through 11 and 77; field #98, values 1, 2, and 7; and field #99,
> values 1 through 10 and 77). Using federal financial aid records, a
> total disbursement greater than \$0 indicated postsecondary
> enrollment.
>
> 6/26/2008