1

 

OMB Approval No.: 1840-NEW

Expiration Date: [TBD] 

 

ANNUAL PERFORMANCE REPORT (2012–13)

SECTION II-A -- RECORD STRUCTURE FOR PARTICIPANT LIST

FOR UPWARD BOUND AND UPWARD BOUND MATH-SCIENCE PROJECTS

Grantees must submit student files in Excel or CSV format. ASCII files will no longer be accepted; thus grantees need not identify field lengths, position 

start and end, and field type. Column names must still match the "Database Column Names" provided in column three below, and grantees must follow 

instructions in the "Valid Field Content" column. For additional information on how to submit data, please see "How May the Report be Submitted?" in the 

instructions for the APR.

Field 

no.

Field name Database 

column name

Valid field content Data for field 

must not 

change from

reporting year 

to reporting 

year

Grantee must 

check field each 

reporting year to 

see if update is 

needed

Project identifiers (pre-populated)

1 PR/Award Number PR Number in Block 5 of the project’s Grant Award Notification.

Include only the eleven character PR/Award Number that begins as 

follows:

Upward Bound: P047A _ _ _ _ _ _

Upward Bound Math-Science: P047M _ _ _ _ _ _

2 Batch Year BatchAY 2012 for project year 2012–13

3 Program Type Type 1 = Upward Bound

2 = Upward Bound Math-Science

Participants’ demographic information

4 Social Security Number SSN 001010001 to 999999998

000000000 = Unknown

Please format the SSN in nine digits greater than 0 without using any 

characters (letters, hyphens) in the number (e.g., 123456789). Do not 

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2

include any other forms of ID in this field and do not use SSNs of 

parents or siblings.

So as to allow participants' records to match across years, this 

data must match your 2011–12 APR (except for students new in 

2012–13).

5 Student’s Last Name LastNM 0 to 9

Uppercase A to Z

. (period)

’(apostrophe)

- (hyphen)

Last name will be justified with an uppercase A-Z in first position. 

Please do not use commas or quotation marks in this field.

So as to allow participants' records to match across years, this 

data must match your 2011–12 APR (except for students new in 

2012–13).

✔

6 Student’s First Name FirstNM 0 to 9

Uppercase A to Z

. (period)

’(apostrophe)

- (hyphen)

Blank = Unknown

If non-blank, will be justified with an uppercase A-Z in first position. 

Please do not use commas or quotation marks in this field.

So as to allow participants' records to match across years, this 

data must match your 2011–12 APR (except for students new in 

2012–13).

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7 Student’s Middle Initial MI Uppercase A to Z; only one character

Blank = Unknown

So as to allow participants' records to match across years, this 

data must match your 2010–11 APR (except for students new in 

2012–13).

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8 Student’s Date of Birth DOB Format is MM/DD/CCYY, e.g., 01/01/1990

MM = 01 - 12

DD = 01 - 31

CC = 19-20

YY = 00-99

00/00/0000 = Unknown

Please make every effort to identify the student’s precise date of birth. 

So as to allow participants' records to match across years, this 

data must match your 2011–12 APR (except for students new in 

2012–13).

✔

9 Gender GenderCD 1 = Male

2 = Female

0 = Unknown

10 Ethnicity – Hispanic Ethnic Participant is identified as Hispanic/Latino.

1 = Yes

2 = No

Please see instructions for additional detail on this field.

11 Race – American 

Indian/Alaskan Native

Race1 Participant is identified as American Indian/Alaskan Native.

1 = Yes

2 = No

Please see instructions for additional detail on this field.

12 Race – Asian Race2 Participant is identified as Asian.

1 = Yes

2 = No

Please see instructions for additional detail on this field.

13 Race – Black or African 

American

Race3 Participant is identified as Black or African American.

1 = Yes

2 = No

Please see instructions for additional detail on this field.
4

14 Race – White Race4 Participant is identified as White.

1 = Yes

2 = No

Please see instructions for additional detail on this field.

15 Race – Native Hawaiian or 

Other Pacific Islander

Race5 Participant is identified as Native Hawaiian or Other Pacific Islander.

1 = Yes 

2 = No

Please see instructions for additional detail on this field.

Eligibility information and other fields related to participant’s initial selection

16 Eligibility (at time of initial 

selection)

EligibilityCD 1 = Low-income only

2 = First-generation only

3 = At high risk for academic failure only

4 = Low-income and first-generation

5 = Low-income and at high risk for academic failure

6 = First generation and at high risk for academic failure

7 = Low-income, first-generation, and at high risk for academic failure

0 = Unknown

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17 Reading/Language 

Arts or Math 

Proficiency Not 

Achieved (at time of 

initial selection)

AtRiskStdTest 1 = Student did not achieve at the proficient level on State 

assessments in reading/language arts and/or in math

2 = Student achieved at the proficient level on State assessments 

in both reading/language arts and math

9 = Not applicable, student has not taken the State assessment to 

determine whether he or she met standard; or student took 

assessment but results are not yet available

0 =Unknown

If a project indicated in the eligibility field (#16) that a participant 

met the criterion of being at high risk for academic failure, the 

project must have ascertained that the student met at least one 

criterion in the program regulations’ definition of an individual at 

such risk. In this field, for any participant coded 3, 5, 6, or 7 in the 

eligibility field, indicate whether the criterion regarding State 

assessments was met. Projects must use only assessments that 

specifically indicate whether the student achieved at the proficient 

level.

For prior-year participants, if information for this field is not readily 

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5

available, please use option 0.

For project year 2013–14, grantees are expected to gather data 

and report on all new participants in fields #17–19.

18 Low Grade Point 

Average (at time of 

initial selection)

AtRiskLowGPA 1 = GPA of 2.5 or less

2 = GPA above 2.5

0 = Unknown

If a project indicated in the eligibility field (#16) that a participant 

met the criterion of being at high risk for academic failure, the 

project must have ascertained that the student met at least one 

criterion in the program regulations’ definition of an individual at 

such risk. In this field, for any participant coded 3, 5, 6, or 7 in the 

eligibility field, indicate whether the criterion regarding low GPA 

was met. Select option 1 if participant’s middle school or high 

school GPA for the most recent school year for which grade point 

averages are available was 2.5 or less (on a 4.0 scale). 

For prior-year participants, if information for this field is not readily 

available, please use option 0.

For project year 2013–14, grantees are expected to gather data 

and report on all new participants in fields #17–19.

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19 Pre-Algebra or Algebra 

Course Not Completed 

by Beginning of 10th

Grade (at time of initial 

selection)

AtRiskAlgebra 1 = At the beginning of 10th grade, student had not completed prealgebra or algebra course 

2 = At the beginning of 10th grade, student had completed prealgebra or algebra course 

3 = NA, due to grade at student’s initial selection, this information 

is not yet available

0 = Unknown 

If a project indicated in the eligibility field (#16) that a participant 

met the criterion of being at high risk for academic failure, the 

project must have ascertained that the student met at least 

one criterion in the program regulations’ definition of an 

individual at such risk. In this field, for any participant coded 

3, 5, 6, or 7 in the eligibility field, indicate whether the criterion 

regarding algebra coursework was met. 

For prior-year participants, if information for this field is not readily 

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6

available, please use option 0.

For project year 2013–14, grantees are expected to gather data 

and report on all new participants in fields #17–19.

20 Limited English 

Proficiency (at time of 

initial selection)

NeedLEP 1 = Yes

2 = No

0 = Unknown

Please see “Definitions That Apply” in the General Instructions.

The information in this field should not be changed or updated in 

subsequent data submissions except to correct previously entered 

erroneous data.

For prior-year participants, if information for this field is not readily 

available, please use option 0.

21 Disability Status (at 

time of initial selection) 

Disability Participant met the definition of an individual with a disability at 

time of entry into the project.

1 = Yes

2 = No

0 = Unknown

See “Definitions That Apply” in the General Instructions.

The information in this field should not be changed or updated in 

subsequent data submissions except to correct previously entered 

erroneous data.

For prior-year participants, if information for this field is not readily 

available, please use option 0.

22 Disconnected Youth

(at time of initial 

selection)

Disconnected 1 = Yes, participant meets one or more criteria in definition of 

disconnected youth

2 = No, participant does not meet any criterion in definition of 

disconnected youth 

0 = Unknown

“Disconnected youth” is defined in the Appendix to the FY 2013 
7

Budget of the U.S. Government as individuals between the ages 

of 14 and 24 who are homeless, in foster care, involved in the 

juvenile justice system, or are neither employed nor enrolled in an 

educational institution. For further information, see “Definitions 

That Apply” in the General Instructions.

For prior-year participants, if information for this field is not readily 

available, please use option 0.

The information in this field should not be changed or updated in 

subsequent data submissions except to correct previously entered 

erroneous data.

23 Other Academic Need

(at time of initial 

selection)

OtherNeed 3 = Low educational aspirations

7 = Lack of opportunity, support, and/or guidance to take 

challenging college preparation courses

8 = Lack of career goals and/or need for accurate information on 

careers

10 = Lack of confidence, self-esteem, and/or social skills

11 = Predominantly low-income community

12 = Rural isolation

13 = Interest in careers in math or science

14 = Other

15 = Diagnosed learning disability

16 = Need was identified in one or more of fields #17–19

0 = Unknown

If needed, use 14 – “Other” for categories of academic need used 

by your project but not on the list of options. Please use the 

“Other” field sparingly.

For prior-year participants, if information for this field is not readily 

available, please use option 0.

The information in this field should not be changed or updated in 

subsequent data submissions except to correct previously entered 

erroneous data.
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Fields concerning participation in Upward Bound or Upward Bound Math-Science and status in secondary school

24 Target School –

NCES Identification 

Numbers, at first entry 

into project

NCESSchID 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” 9th graders (those first served the summer 

between completing 8th grade and starting 9th grade), provide the 

NCES school identification number for the school the student attended 

(or will attend) as a 9th grader.

The number can be obtained from the following Web site:

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

666666666666 = Private school, non-parochial

777777777777 = Parochial school

888888888888 = Home school

999999999999 = Not applicable

000000000000 = Unknown

25 Date of First Project 

Service 

ProjEntryDT Format is MM/DD/CCYY, e.g., 09/15/2006

MM = 01 – 12

DD = 01 - 31

CC = 19 - 20

YY = 00 - 99

00/00/0000 = Unknown

Accuracy is particularly important for this field. 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. Students first 

served in the summer program should have a date of first project service 

no earlier than June 1. 

Use the original date of service at this project even if the student 

subsequently left and reentered. If the student transferred from another 

UB project, in this field give the date of first service at the project 

submitting the report.

You do not need to provide the exact day; you may use 15 (midpoint of 

the month). 

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26 Grade Level, at first 

service

EnterGradeLV 8 = Rising 9th-grader (summer between 8th grade and 9th grade)

9 = 9th grader (not a valid option for students first receiving service in 

the summer program)

10 = Rising 10th grader (summer between 9th grade and 10th grade) or 

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9

10th grader

11 = Rising 11th grader (summer between 10th grade and 11th grade) or 

11th grader

12 = Rising 12th-grader (summer between 11th grade and 12th grade)

or 12th-grader

13 = In 5th year of high school (only for students participating in a dual 

enrollment program that entails a 5th year of high school; 

includes “rising” summer period)l

14 = Other

0 = Unknown

Accuracy is particularly important for this field. For new students, 

enter the 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” 9th grader for those students who 

had completed 8th grade and would be entering 9th 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 (for example, for students first served in the summer between ninth and 

10th grades, the correct code is 10). 

If the student was first served on any day in June, consider that student 

to have been first served in the summer before the coming fall grade, 

even if school was still in session on the student’s first day of service. 

For example, if your project first served a student on June 3 in the 

waning days of 9th grade, consider that student to have been first served 

in the summer before 10th grade, not in 9th grade. The code for the 

student would therefore be 10.

If the 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-year participants, use data entered in the earlier 

APR.)

27 Deceased or 

Incapacitated

Deceased 1 = Deceased prior-year participant

2 = Permanently incapacitated prior-year participant

3 = Participant was served during reporting period 2012–13 but is now 

deceased

4 = Participant was served during reporting period 2012–13 but is now 

permanently incapacitated

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10

9 = Not applicable: neither deceased nor permanently incapacitated

0 = Unknown

 

28 Participant Status, for 

reporting year (2012-

13)

PartCD 1 = New participant during reporting period

2 = Continuing participant

3 = Reentry participant, previously served by project submitting report

4 = Prior-year participant 

5 = No longer used

6 = Transfer participant in reporting year (UB participant served by 

another UB project, or UBMS participant served by another UBMS 

project, in a previous reporting year)

0 = Unknown 

For this report, please use the following definitions: 

A new participant is an individual who participated in the Upward 

Bound project for the first time in this reporting period and who meets 

the definition of participant in 34 CFR 645.6 of the program regulations. 

(Please refer to field #25, Date of First Project Service, on establishing 

the date of first service for new participants served initially in the 

summer program.)

For Upward Bound Math-Science, a participant should be considered 

new if the reporting year is the first year the student has participated in 

the Upward Bound Math-Science project, even if the student has 

previously participated in a regular Upward Bound project.

A continuing participant is an individual who participated in the 

program in both the current reporting period and the reporting period 

immediately preceding.

A reentry participant is a former participant of the project submitting 

the APR who did not participate in the program during the previous 12-

month reporting period but who has received services on a continual 

basis during this reporting period.

A prior-year participant is an individual who participated in the Upward 

Bound program in a previous reporting period but who has not received 

services on a continual basis during the current reporting period. 

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11

A transfer participant is a former participant of a UB or UBMS project 

other than that submitting the APR who joined the current project during 

the reporting period, either with or without a hiatus between projects. 

Students who leave a UB project to join a UBMS project, or leave a 

UBMS project to join a UB project, are not considered transfer 

participants.

The sum of the number of new, continuing, reentry, and transfer 

participants should equal the total number of participants the projects 

served during the reporting period.

29 Participation Level, 

for reporting year 

(2012-13)

PartLV 1 = Participated in academic year and summer components 

2 = Participated in academic year and summer bridge

3 = Participated in academic year component only

4 = Participated in summer component only

5 = Participated in summer bridge only

9 = Not applicable, prior-year participant 

0 = Unknown

For students identified as new, continuing, reentry or transfer in field #31 

(Participant Status), select option 1, 2, 3, 4, or 5 in this field. For 

students identified as prior-year in field #31, select option 9.

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30 Served by Another 

Federally Funded 

College Access 

Program, for reporting 

year (2012–13)

FederalServed In addition to participating in UB or UBMS, student received services 

from:

1 = Both UB and UBMS 

2 = Veterans Upward Bound

3= Talent Search

4 = GEAR UP 

5 = EOC

6 = Another federally funded college access program, other than TRIO 

and GEAR UP 

7 = More than one other federally funded college access program

8 = Not applicable, current participant served only by UB or UBMS

9 = Not applicable, prior-year participant

0 = Unknown

✔

31 Grade Level, at the 

beginning of academic 

year being reported 

(2012–13)

StartGrade

LV

8 = 8th grade

9 = 9th grade

10 = 10th grade

11 = 11th grade

12 = 12th grade

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12

13 = In 5th year of high school (only for students participating in a dual 

enrollment program that entails a 5th year of high school)

14 = Other

99 = Not applicable, not enrolled in high school

0 = Unknown

32 Secondary Grade 

Level or Postsecondary 

Status, at the 

beginning of academic 

year following year 

being reported (2013–

14)

EndGradeLV 9 = 9th grade

10 = 10th grade

11 = 11th grade

12 = 12th grade

13 = In 5th year of high school (only for students participating in a dual 

enrollment program that entails a 5th year of high school)

14 = Enrolled in a program of postsecondary education

15 = Other

99 = Not applicable, not enrolled in high school or in a program of 

postsecondary education

0 = Unknown

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33 High School 

Cumulative Grade 

Point Average (GPA), 

at end of academic 

year being reported 

(2012–13)

HSGPA 0.001 to 4.000 (with exceptions noted below)

9.999 = Not applicable, prior-year participant; or the academic year 

ended before the participant had completed the first year of 

high school (for example, student first served as a rising ninthgrader in a project with reporting period beginning in 

September); or summer bridge student in project with summer 

start date who graduated from high school before academic 

year 2012–13 

0.000 = Unknown GPA, or grading scale could not be converted to a 

four-point scale

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. 

Report the score with three decimal places; do not round.

 

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13

34 High School 

Cumulative 

Unweighted Grade 

Point Average (GPA), 

at end of academic 

year being reported 

(2012–13)

HSGPAUnweighted 0.001 to 4.000 (without exceptions)

9.999 = Not applicable, prior-year participant; or the academic year 

ended before the participant had completed the first year of 

high school (for example, student first served as a rising ninthgrader in a project with reporting period beginning in 

September); or summer bridge student in project with summer 

start date who graduated from high school before academic 

year 2012–13

0.000 = Unknown GPA, or grading scale could not be converted to a 

four-point scale 

This field captures information on the participant’s unweighted GPA 

score (0.001 to 4.000); no adaptations may be made for such reasons 

as completing honors or Advanced Placement courses. 

Report the score with three decimal places; do not round.

 

✔

35 High School 

Graduation Status, at 

end of academic year 

being reported (2012–

13)

HsGRAD 1 = Currently enrolled in high school

2 = High school dropout

3 = Received regular secondary school diploma

4 = Received high school equivalency certificate (e.g., GED)

5 = Completed 12th grade but failed to meet state or local requirements 

for graduation 

0 = Unknown 

For definition of regular secondary school diploma, see “Definitions That 

Apply” in the General Instructions.

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36 Actual Date of High 

School Graduation (or 

completion of high 

school equivalency 

certificate) 

HsgradDT Format is MM/DD/CCYY, e.g., 05/15/2013

MM = 01 – 12

DD = 01 – 31

CC = 19 – 20

YY = 00 – 99

99/99/9999 = Not applicable (e.g., high school dropout or still enrolled in 

high school; or student who completed the 12th grade but 

did not meet state or local requirements for graduation) 

00/00/0000 = Unknown

Accuracy is particularly important for this field. Report only 

graduations and awards of GED that have actually occurred. 
14

You do not need to provide the exact day; you may use 15 (midpoint of 

the month). If 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., 01/15/2009). If there is no basis 

for estimating the year, use 00/00/0000 ("Unknown").

Once a high school graduation or GED award date has been 

submitted in one year’s APR, the date must not change in a later 

reporting year.

37 Rigorous Secondary

School Program of 

Study Completed

RigorousStudy 1 = Current or prior-year participant who graduated high school during 

the school year (2012–13) with a regular secondary school diploma,

and completed a rigorous secondary school program of study

2 = Current or prior-year participant who graduated high school during 

the school year (2012–13) with a regular secondary school diploma,

and did not complete a rigorous secondary school program of study

8 = All other participants

0 = Unknown

Please see “Definitions That Apply” in the General Instructions.

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38 Secondary School 

Retention and 

Graduation Objective 

– Numerator, for 

reporting year (2012–

13)

SchoolPersistNum 1 = Participant persisted in school into the next academic year (2013–

14) at next grade level or graduated high school with regular 

diploma 

2 = Participant neither persisted in school into next academic year 

(2013–14) at next grade level nor graduated high school with regular 

diploma. 

9 = Not applicable, prior-year participant 

0 = Unknown

For participants who received services during 2012–13 reporting period, 

select options 1, 2, or 0; otherwise, select option 9 for prior-year 

participants.

Students should be counted as high school graduates only if they 

attained a regular secondary school diploma (see “Definitions That 

Apply”).

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15

39 Met High School State 

Academic Achievement 

Standard at Proficient 

Level – Reading/ 

Language Arts

HSProficientRLA Participant achieved the proficient level on state high school 

reading/language arts assessments.

1 = Yes

2 = No

9 = Not applicable, student has not taken the state assessment to 

determine whether he or she met standard

0 = Unknown

Fields #39 and #40 will be used to calculate the PE objective on 

academic performance as reflected in standardized tests; while this is 

calculated only for seniors, data should be reported and updated as 

necessary in each reporting year. If, for example, an 11th-grader passes 

both assessments at the proficient level in reporting period 2012–13, the 

project will choose option 1 both in 2012–13 and (unchanged) in 2013–

14, reflecting the student’s senior year; the PE calculation for the 

student will occur in 2013–14. 

To be counted toward meeting this objective, a current-year senior 

participant must achieve the proficient level on state high school 

assessments in both reading/language arts and math. 

Projects must only use assessments that specifically indicate whether 

the student achieved at the proficient level. 

✔

40 Met High School State 

Academic Achievement 

Standard at Proficient 

Level – Math

HSProficientMATH Participant achieved the proficient level on state high school math 

assessments.

1 = Yes

2 = No

9 = Not applicable, student has not taken the state assessment to 

determine whether he or she met standard

0 = Unknown

Fields #39 and #40 will be used to calculate the PE objective on 

academic performance as reflected in standardized tests; while this is 

calculated only for seniors, data should be reported and updated as 

necessary in each reporting year. If, for example, an 11th-grader passes 

both assessments at the proficient level in reporting period 2012–13, the 

project will choose option 1 both in 2012–13 and (unchanged) in 2013–

14, reflecting the student’s senior year; the PE calculation for the 

✔
16

student will occur in 2013–14. 

To be counted toward meeting this objective, a current-year senior 

participant must achieve the proficient level on state high school 

assessments in both reading/language arts and math. 

Projects must use only assessments that specifically indicate whether 

the student achieved at the proficient level. 

41 Advanced Placement 

(AP) or International 

Baccalaureate (IB) 

Course Completed 

APCourse Participant completed an Advanced Placement (AP) or International 

Baccalaureate (IB) course in high school (even if before being served by 

UB/UBMS or after leaving the program).

1 = Yes

2 = No

9 = Not applicable, participant is enrolled at a school that offers neither 

AP nor IB coursework

0 = Unknown

If the participant completed an AP course, select option 1 even if the 

participant did not take the AP exam or if he or she took the exam but 

did not earn college credit from the score. If the student completed an 

IB course, select 1 even if the participant did not take an IB exam or 

earn the IB diploma. Completion of honors courses should not be 

considered when selecting an option for this field. 

For prior-year participants, if information for this field is not readily 

available, please use 0.

✔

42 Dual Enrollment 

Participation during 

reporting year 2012–13

DualEnrollPart Student participated in dual enrollment program during high school in 

reporting year 2012–13

1 = Yes, in a program entailing a 5th year of high school

2 = Yes, in a program not entailing a 5th year of high school

3 = No

0 = Unknown

Please refer to the General Instructions for a discussion of reporting 

students’ participation in dual enrollment programs.

Notes: Students in dual enrollment programs must not be reported in 

fields #53–67 as enrolled in a program of postsecondary education 

unless they enrolled after high school graduation.

Data for this field is required for current participants; for prior-year

participants, it is requested but not required. For prior-year participants, 

if information for this field is not readily available, please use 0.

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17

43 Pre-diploma 

Credentials or 

Coursework Completed

DECredentials 1 = Participant completed a certificate through a dual enrollment 

program in reporting year 2012–13

2 = Participant completed an associate degree through a dual 

enrollment program in reporting year 2012–13

3 =Participant still enrolled in dual enrollment program at end of 

reporting year 2012–13

4 = Participant not enrolled in dual enrollment program in reporting 

period 2012–13, but completed in reporting year at least one course 

undertaken for postsecondary credit.

5 = All other participants

0 = Unknown

Data for this field is required for current participants as of project year 

2013–14. For reporting in 2012–13, provide information as available; 

otherwise use 0. In 2013–14, for prior-year participants, if information for 

this field is not readily available, please use 0.

Students in dual enrollment programs must not be reported in fields 

#53–67 as enrolled in a program of postsecondary education unless 

they enrolled after high school graduation.

✔

44 Advanced Math 

Courses Completed

AdvancedMath Participant completed two years of math beyond algebra1by the end of 

the 12th grade in academic year 2012–13.

1 = Yes

2 = No

3 = Not applicable, participant did not complete the 12th grade in the 

reporting year

0 = Unknown

Use options 1 and 2 only for participants who completed the 12th grade 

in the reporting year. If the student will need to repeat the 12th grade, 

select option 3. 

For prior participants, if information for this field is not readily available, 

please use 0.

Beyond algebra 1 math courses consist of those that are more 

advanced than algebra 1 (e.g., geometry, algebra 2, trigonometry, precalculus).

 ✔

45 Free Application for 

Federal Student Aid 

(FAFSA) completed

FAFSA 1 = Current or prior-year participant who graduated high school during 

the reporting year with a regular secondary school diploma and who 

completed the FAFSA application.

2 = Current or prior-year participant who graduated high school during 

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18

the reporting year with a regular secondary school diploma and who did 

not complete the FAFSA application.

9 = Not applicable, student did not graduate high school during the 

reporting year

0 = Unknown

For prior-year participants, if information for this field is not readily 

available, please use 0.

46 Date of Last Project 

Service 

LastSerDT Format is MM/DD/CCYY, e.g. 03/15/2013

MM = 01 – 12

DD = 01 – 31

CC = 19 – 21

YY = 00 – 99

99/99/9999 = Not applicable, participant is still in the program

00/00/0000 = Unknown

Accuracy is particularly important for this field. Report date of last 

service for all participants no longer being served by submission date of 

APR. You do not need to provide the exact day; you may use 15 

(midpoint of the month). If 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., 01/15/2013). If 

there is no basis for estimating the year, use 00/00/0000 ("Unknown").

Once date of last project service has been submitted in one year’s 

APR, the date must not change in a later reporting year. (See 

General Instructions regarding reentry participants.)

47 Reason for Leaving 

Project

Reason 1 = Need or desire for employment 

2 = Moved out of target area

3 = Dropped out of high school

4 = Other extra-curricular activities

5 = Participating in another academic program (not UB or UBMS)

6 = No longer interested in the program

7 = Family responsibilities

8 = Graduated from high school

9 = No longer used

10 = Obtained high school equivalency credential (GED)

✔
19

11 = Deceased or permanently incapacitated

12 = Dismissed for not meeting program’s academic standards

13 = Dismissed for not meeting program’s conduct standards

14 = Transferred to another UB or UBMS project

20 = Other

99 = Not applicable, participant is still in program

0 = Unknown

48 Work Study Position, 

for reporting year 

(2012-13) 

WorkStd 1 = Yes

2 = No

8 = Not applicable, not offered by project

9 = Not applicable, prior-year participant

0 = Unknown

Work study (as the term is used in the Higher Education Act of 1965) 

means internships and/or employment provided or arranged for by the 

project for the purpose of exposing participants to careers requiring a 

postsecondary degree.

 ✔

49 Employment, for 

reporting year (2012-

13)

Employ 1 = Yes, at job arranged by the project

2 = Yes, at job that the student secured without assistance from project

3 = No

8 = Not applicable, not offered by project

9 = Not applicable, prior-year participant

0 = Unknown

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 "work study" positions, these 

jobs are primarily to allow students to earn some income while 

participating in the program.

✔

50 Cultural Activities, for 

reporting year (2012-

13)

CultAct 1 = Yes

2 = No

8 = Not applicable, not offered by project

9 = Not applicable, prior-year participant

0 = Unknown

Please see "Definitions That Apply" in the General Instructions.

✔

51 Community Service, for 

reporting year (2012-

13)

CmtySer 1 = Yes

2 = No

8 = Not applicable, not offered by project

9 = Not applicable, prior-year participant

✔
20

0 = Unknown

Please see "Definitions That Apply" in the General Instructions.

52 Instruction/tutorial for 

Students with Limited 

English Proficiency 

(LEP), for reporting 

year (2012-13)

LEPInstruct 1 = Yes

2 = No

8 = Not applicable, not offered by project

9 = Not applicable, prior-year participant

0 = Unknown

Please see "Definitions That Apply" in the General Instructions.

✔

Information on postsecondary education: In fields #53–67, 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 a program of secondary education. 

Students in dual enrollment programs should not be reported as enrolled in postsecondary education until after their high school graduation. Enter “9” or a 

series of “9s” for high school graduates who have not yet enrolled in a program of postsecondary education. Remember that data in these fields should reflect 

information available to the project as of the date on which the APR is submitted. 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.

53 Source of 

Postsecondary 

Education Information 

SelfTranCD 1 = Official college transcript 

2 = Institutional data other than an official transcript

3 = Self-reported by participant

4 = Other third-party verification (e.g., National Student Clearinghouse)

8 = Not applicable, not yet completed high school 

9 = Not applicable, completed high school but has not yet enrolled in 

program of postsecondary education 

0 = Unknown 

✔

54 Date of First 

Postsecondary School 

Enrollment 

FirstEnrollDT Format is MM/DD/CCYY, e.g., 09/15/2013

MM = 01 –12

DD = 01 – 31

CC = 19 – 20

YY = 00 – 99

88/88/8888 = Not applicable, not yet completed high school

99/99/9999 = Not applicable, completed high school but has not yet 

enrolled in program of postsecondary education 

00/00/0000 = Unknown 

Accuracy is particularly important for this field. You do not need to 

provide the exact day; you may use 15 (midpoint of the month). If 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., 01/15/2013). If there is no basis for estimating the 

year, use 00/00/0000 ("Unknown").
21

Do not use the date of the Summer Bridge program as the first 

postsecondary school enrollment date if the Bridge program is part of 

the services offered by the Upward Bound project. Also, a student in a 

dual enrollment program should not be reported as enrolled in 

postsecondary education until after high school graduation. The date of 

postsecondary enrollment reported in this field should be the date the 

student enrolled in postsecondary education following graduation from 

high school or completion of an alternative secondary education 

program.

Once date of first PSE enrollment has been submitted in one year’s 

APR, the date must not change in a later reporting year.

55 Postsecondary 

Education Enrollment 

Cohort

PSECohort

2008 (graduated high school in academic yr 2007–08 and enrolled in 

postsecondary education by fall 2008)

2009

2010

2011

2012

2013

6666 = Project found that postsecondary enrollment data for participant 

was not reported accurately in APRs for reporting periods 2008–09 

through 2011–12 

7777 = Not applicable, graduated or left high school prior to 2007–08

8888 = Not applicable, not yet completed high school

9999 = Not applicable, completed high school but did not enroll in 

postsecondary education by fall term immediately following high school 

graduation date or by the next academic term (e.g., spring term) as a 

result of acceptance but deferred enrollment 

0000 = Unknown

Accuracy is particularly important for this field, which is used to establish 

the cohort of students who will form the denominator for each project’s 

postsecondary completion objective and for certain performance 

measures. Once established, this field must not be adjusted in later 

years. The cohort for each project year includes current and prior-year 

participants who graduated high school during the academic year and 

enrolled in postsecondary education by the fall term immediately 

following the high school graduation date or by the next academic term 

(e.g., spring term) as a result of acceptance but deferred enrollment. For 

example, choose option 2013 for current and prior-year participants who 
22

actually graduated from high school in academic year 2012–13 and 

enrolled in postsecondary education by fall term immediately following 

high school graduation date (fall 2013) or by the next academic term 

(e.g., spring term 2014) as a result of acceptance but deferred 

enrollment. Please see General Instructions for further information 

on the postsecondary education enrollment cohort, particularly as 

regards 2008–12. 

Once a postsecondary enrollment cohort has been established and 

submitted in an APR, it must not change in a later reporting year.

56 School Code for 

Postsecondary 

Institution First 

Attended 

PSECDFE B00000 – B999999

E00000 – E99999

G00000 – G99999

000000 – 999999

555555 = Enrolled in a postsecondary institution not found in the 

Federal School Code Directory

888888 = Not applicable, not yet completed high school

999999 = Not applicable, completed high school but has not yet enrolled 

in program of postsecondary education 

000000 = Unknown 

Provide the six-digit school code for the postsecondary institution the 

Upward Bound participant first attended. Even if the student began 

attendance in fall 2013 (i.e., after the end of the 2012–13 reporting 

period), please provide the code of the institution. The six-digit codes 

can be obtained from the following Web site:

https://fafsa.ed.gov/FAFSA/app/schoolSearch?locale=en_EN

✔

57 College Status, at 

beginning of academic 

year (2013–14)

PSEGradeLV 1 = Accepted into postsecondary education program but not yet enrolled

2 = First year student in postsecondary education following completion 

of high school

3 = Postsecondary student continuing beyond first year

4 = Enrolled, completed a program of postsecondary education but 

continuing in postsecondary 

5 = Not enrolled, completed a program of postsecondary education prior 

to beginning of academic year reported 

7 = Prior to beginning of academic year reported, left program of 

postsecondary education without completing it

8 = Other

9 = Not applicable, not yet completed high school

✔
23

 10 = Not applicable, completed high school but has not enrolled in a 

program of postsecondary education

0 = Unknown 

A student in a dual enrollment program should not be reported as 

enrolled in a program of postsecondary education until after high school 

graduation. If you select option 4 or 5, both of which indicate that the 

participant completed a program of postsecondary education, you must 

also complete fields #58 and #59 (for Certificate/diploma completion), 

fields #60 and #61 (for Associate degree completion), and/or fields #62

and #63 (for Bachelor’s degree completion).

58 Certificate/ Diploma 

Completed

CertificateCD 1 = Yes, completed certificate/diploma for occupational/educational 

program

6 = Enrolled in, but not completed certificate/diploma program

7 = Left a certificate/diploma program without completing it

8 = Not applicable, not yet completed high school

9 = Not applicable, completed high school but has not yet enrolled in a 

program of postsecondary education

11 = Not applicable, student pursued another kind of postsecondary 

credential (not associated with a certificate/diploma program)

0 = Unknown

If student has been in a certificate program, choose 1, 6, 7, or 0.

✔

59 Date of Certificate/ 

Diploma 

CertificateDT Format is MM/DD/CCYY, e.g., 06/15/2013

MM = 01 –12

DD = 01 – 31

CC = 19 – 20

YY = 00 – 99

66/66/6666 = Not applicable, still enrolled in certificate/diploma program

77/77/7777 = Not applicable, left certificate/diploma program without 

completing it

88/88/8888 = Not applicable, not yet completed high school

99/99/9999 = Not applicable, completed high school but has not yet 

enrolled in program of postsecondary education

11/11/1111 = Not applicable, student pursued another kind of 

postsecondary credential (not associated with a 

certificate/diploma program)

00/00/0000 = Unknown 

Accuracy is particularly important for this field. If participant has 
24

earned more than one certificate or diploma, report the date that the first 

certificate or diploma was completed. You do not need to provide the 

exact day; you may use 15 (midpoint of the month). If 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., 01/15/2013). If there is no basis for estimating the year, use 

00/00/0000 ("Unknown").

Once date of certificate/diploma has been submitted in one year’s 

APR, the date must not change in a later reporting year.

60 Associate Degree 

Attained

AssocDegreeCD 1 = Yes, attained associate degree

6 = Enrolled in, but not completed associate degree program

7 = Left associate degree program without completing it

8 = Not applicable, not yet completed high school

9 = Not applicable, completed high school but has not yet enrolled in a 

program of postsecondary education

11 = Not applicable, student pursued another kind of postsecondary 

credential (not associated with an associate degree program)

0 = Unknown

If student has been in an associate degree program, choose 1, 6, 7, or 

0.

✔

61 Date of Associate 

Degree 

AssocDegreeDT Format is MM/DD/CCYY, e.g., 06/15/2013

MM = 01 –12

DD = 01 – 31

CC = 19 – 20

YY = 00 – 99

66/66/6666 = Not applicable, still enrolled in associate degree program

77/77/7777 = Not applicable, left associate degree program without 

completing it

88/88/8888 = Not applicable, not yet completed high school

99/99/9999 = Not applicable, completed high school but has not yet 

enrolled in program of postsecondary education

11/11/1111 = Not applicable, student pursued another kind of 

postsecondary credential (not associated with an associate degree 

program)

00/00/0000 = Unknown 

Accuracy is particularly important for this field. If participant has 
25

earned more than one associate degree, report the date that the 

first associate degree was completed. You do not need to 

provide the exact day; you may use 15 (midpoint of the month). 

If 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., 01/15/2013). If there is 

no basis for estimating the year, use 00/00/0000 ("Unknown").

Once date of associate degree has been submitted in one year’s 

APR, the date must not change in a later reporting year.

62 Bachelor’s Degree 

Attained

BachDegreeCD 1 = Yes, attained bachelor’s degree

6 = Enrolled in, but not completed bachelor’s degree program

7 = Left bachelor’s degree program without completing it

8 = Not applicable, not yet completed high school

9 = Not applicable, completed high school but has not yet enrolled in a 

program of postsecondary education

11 = Not applicable, student pursued another kind of postsecondary 

credential (not associated with bachelor’s degree program)

0 = Unknown

If student has been in a bachelor’s degree program, choose 1, 6, 7, or 0. 

See “Definitions That Apply” regarding dual degree programs.

✔

63 Date of Bachelor’s 

Degree 

BachDegreeDT Format is MM/DD/CCYY, e.g., 06/15/2013

MM = 01 –12

DD = 01 – 31

CC = 19 – 20

YY = 00 – 99

66/66/6666 = Not applicable, still enrolled in bachelor’s degree program

77/77/7777 = Not applicable, left bachelor’s degree program without 

completing it

88/88/8888 = Not applicable, not yet completed high school

99/99/9999 = Not applicable, completed high school but has not yet 

enrolled in program of postsecondary education

11/11/1111 = Not applicable, student pursued another kind of 

postsecondary credential (not associated with bachelor’s 

degree program)

00/00/0000 = Unknown 
26

Accuracy is particularly important for this field. If participant has 

earned more than one bachelor’s degree, report the date that the first 

bachelor’s degree was completed. You do not need to provide the exact 

day; you may use 15 (midpoint of the month). If 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., 

01/15/2013). If there is no basis for estimating the year, use 00/00/0000 

("Unknown").

Once date of bachelor’s degree has been submitted in one year’s 

APR, the date must not change in a later reporting year.

Please read the instructions carefully before completing fields #64–67.

64 Postsecondary

Enrollment Objective--

Numerator, for 

reporting year (2012-

13)

PSEEnrollObjNum 1 = Current or prior-year participant who graduated high school during 

school year 2012–13 with a regular secondary school diploma and 

who enrolled in postsecondary education by fall term 2013

2 = Current or prior-year participant who graduated high school during 

school year 2012–13 with a regular secondary school diploma and 

who received notification by fall 2013 from IHE of acceptance but 

deferred enrollment until next academic semester

3 = All other current or prior-year participants who graduated high school 

with a regular secondary school diploma during school year 2012–

13

8 = Not applicable, participant did not graduate high school with a 

regular secondary school diploma during reporting period 2012–13

0 = Unknown

Note: For participants who graduated high school during school year 

2012–13 with a regular secondary school diploma, select option 1, 2, 3, 

or 0; for all other participants (that is, those not graduating with a regular 

high school diploma in school year 2012–13), select 8 or 0.

 ✔

65 Postsecondary 

Remediation

PSRemediation 1 = In 2013 postsecondary education enrollment cohort (see field #55) 

and neither received college-level math or English remediation in fall 

2013 semester of postsecondary education nor was required to receive

it in academic year 2013–14

2 = In 2013 postsecondary education enrollment cohort (see field #55) 

and received college-level math or English remediation in fall 2013 

 ✔
27

semester of postsecondary education, or was required to receive it in 

academic year 2013–14

3 = Not applicable, participant not in 2013 postsecondary education

enrollment cohort

0 = Unknown

Regarding the term “remediation,” please see “Definitions That Apply” in 

the General Instructions.

66 Postsecondary 

Completion Objective –

Numerator, for 

reporting year (2013–

14) 

PSCompleteNum Note: Grantees will not be able to respond to this field until 

reporting year 2013–14.

1 = In 2008 postsecondary education enrollment cohort (see field #55)

and attained either associate or bachelor’s degree within six years 

following high school graduation (i.e., by August 31, 2014).

2 = In 2008 postsecondary education enrollment cohort (see field #55) 

and attained neither associate nor bachelor’s degree within six 

years following high school graduation (i.e., by August 31, 2014).

3 = Not applicable, participant not in 2008 postsecondary education

enrollment cohort

0 = Unknown

For participants in the 2008 PSE enrollment cohort, select option 1 if the 

participant completed either an associate or bachelor’s degree by the 

end of the 2013–14 academic year; otherwise, select option 2 (did not 

meet objective) or 0 (unknown).

 ✔

67 Postsecondary STEM 

Degree

STEMDegree Note: Grantees will not be able to respond to this field until 

reporting year 2013–14.

UBMS participant in postsecondary education enrollment cohort 2008 

(see field #55) who earned a postsecondary degree in a STEM field by 

August 31, 2014.

1 = Yes, in a field in the “hard” sciences

2 = Yes, in psychology or social sciences

3 = No, UBMS participant in 2008 cohort who did not earn a 

postsecondary degree in a STEM field by 8/31/2014

9 = Not applicable, UBMS participant not in 2008 cohort; or any UB 

participant

0 = Unknown

For UBMS participants in the 2008 postsecondary education enrollment 

cohort who have earned a postsecondary degree, select option 1 or 2 if 

student’s degree is in one of the STEM fields as listed in the General 

Instructions.

✔
28

(Note to Data Collector: When you collect this information from students or parents, please make sure that you inform them why they are being 

asked to provide Social Security numbers. Please see Privacy Act statement below.)

Privacy Act

In accordance with the Privacy Act of 1974 (Public Law No. 93-579, 5 U. S.C. 552A), you are hereby notified that the Department of Education is 

authorized to collect information to implement the Upward Bound program under Title IV of the Higher Education Act of 1965, as amended (Pub. Law 102-

325, sec. 402C). In accordance with this authority, the Department receives and maintains personal information on participants in the Upward Bound 

program. The principle purpose for collecting this information is to administer the program, including tracking and evaluating participants’ academic 

progress. Providing the information on this form, including a Social Security number (SSN), is voluntary; failure to disclosure a SSN will not result in denial 

of any right, benefit, or privilege to which the participant is entitled. The information that is collected on this form will be retained in the program files and 

may be released to other Department officials in the performance of official duties.