OMB Approval No: 1840-0762

Expiration Date: [TBD]

General Instructions for the Upward Bound and Upward Bound Math-Science Programs’

Annual Performance Report 2012–13

A. What does this package contain?

This package contains the forms and instructions

needed to prepare the annual performance report 

(APR) for the Upward Bound (UB) and Upward 

Bound Math-Science (UBMS) 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 of the UB and UBMS programs as a whole. APR 

data also allows the Department to respond to the 

reporting requirements of the Government 

Performance and Results Act and the Higher 

Education Opportunity Act of 2008 (HEOA).

B. 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).

C. Who must submit this data report? 

All grantees funded under the Upward Bound and

Upward Bound Math-Science programs must submit 

annual performance reports as a condition of the grant 

award.

D. What period of time is covered in the report? 

For which students should the grantee provide 

data? 

The report covers the 12-month project year for which 

the grant has been made. This information can be 

found in block 6 of the Grant Award Notification.

In determining which participant records to include, a 

grantee must use the regulatory definition of a 

participant in 34 CFR 645.6, which includes a 

minimum period that a student must be served before 

he or she may be counted in the APR as a participant.

Please note that, in a departure from the 2007–12 

APR, for the 2012–17 cycle the Department is no 

longer using expected high school graduation cohorts 

as an organizing principle for UB data. The objectives 

in “Definitions That Apply” at the end of this 

document do not refer to expected high school 

graduation cohorts. 

E. How long must prior-year participants be 

tracked and included on the APR data file?

Need for data: As noted at the outset of these 

instructions, the Department needs grantees’ data not

only to calculate prior experience (PE) points, but also 

to meet program-level reporting requirements 

mandated by law and to perform other data analyses 

for these large and important programs.

PE calculations and data collection: Three of the 

PE objectives in particular affect the number of 

project years over which grantees are required to 

report on participants. For these objectives (all of 

which are found in the “Definitions That Apply” at the 

end of this document), grantees will be reporting on 

groups of current and prior-year participants. You 

will thus continue to include in your data file 

individuals whom you haven’t served for some time. 

To the extent possible, you are to “track” the prioryear participants, i.e., you must try to get updated 

information about them. We recognize that some 
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prior-year participants may be very hard to track, but 

it is to your advantage and the advantage of TRIO that 

you make a good attempt. 

How long to track participants and include them 

on the data file: You must keep all participants on 

your data file from their recruitment and acceptance 

into your project through high school graduation, and 

for six years after enrollment in postsecondary 

education; for example, a participant who graduates 

from high school in June 2013 and enrolls in 

postsecondary education in fall 2013 must be tracked 

and kept on the project’s data file through August 31, 

2019. The six-year period aligns with the PE objective 

on postsecondary completion. If for a prolonged 

period a former participant shows no sign of enrolling 

in postsecondary education, you may drop him or her 

from the file six years after high school graduation. 

You are to update the data file each year for all of 

your participants; if you have been unable to obtain 

information about a given participant for a year, you 

may stop tracking him or her, but you must leave the 

participant’s record on your data file. For such former 

participants whom you have been unable to track, you 

may choose the option “Unknown” wherever 

appropriate in updating the file.

Note on the postsecondary completion objective 

(see full content in “Definitions That Apply”): This 

objective measures the percentage of participants who 

enrolled in a program of postsecondary education 

within a certain timeframe and who attained either an 

associate or bachelor’s degree within six years 

following graduation from high school. For purposes 

of demonstrating that a given student contributed to 

the project’s meeting the postsecondary completion 

objective, a grantee need only show that the former 

participant earned one degree. For fuller 

understanding of the UB and UBMS programs, 

however, the Department wishes to have data on the 

extent to which UB and UBMS participants who 

earned an associate degree went on to pursue a

bachelor’s degree within the six-year period; we also 

believe that this information will be valuable for 

grantees. We therefore strongly urge grantees to 

continue to track diligently and report over the full six 

years the academic progress of former participants 

who earn an associate degree prior to the end of the 

six-year period.

Grantees funded in the 2007–12 cycle were directed 

during that period to maintain indefinitely on their 

APR data files all participants with an expected high 

school graduation cohort of 2008 or later. These 

grantees should thus have reliable records (to the 

extent possible) of each participant’s high school 

graduation and subsequent postsecondary enrollment 

(or lack thereof), and thus will be able to provide the 

data the Department needs to calculate the PE 

objective on postsecondary completion starting in 

reporting year 2013–14. (The online APR application 

will allow the Department to check a grantee’s data on 

PSE enrollment against the project’s earlier APRs.) 

Six years after the relevant postsecondary education 

enrollment cohort year (field #55), grantees may drop 

these students from the project’s data file. For 

example, a participant who graduated from high 

school in May 2008 and enrolled in postsecondary 

education in fall 2008 may be dropped from the 

grantee’s data file after August 31, 2014.

F. What years will be used to calculate prior 

experience points?

The Department will calculate PE points using data 

submitted in the 2013–14, 2014–15, and 2015–16 

APRs. Further information on PE calculations may be 

found in these instructions and in the appendix that 

will be available on the UB and UBMS Web pages 

devoted to performance and the APRs.

G. What information must be submitted?

The report consists of two sections, both of which all 

grantees must complete:

--Section I requests project-identifying data 

and information on the way in which the 

project has addressed the Competitive 

Preference Priorities announced for the 2012 

grant competition.

--Section II contains detailed instructions for 

preparing a data file of information on individual 

participants. 

H. When must 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 projects and December 31 for most UBMS 

projects. For the regular UB projects with twelvemonth 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 postsecondary enrollment status for the fall 

term following the budget period. 
3

I. How may the report be submitted?

All UB and UBMS grantees must complete the APR online 

using our contractor’s Web application. In addition, a 

grantee must fax a signed copy of Section I, Part 1 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 use, 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 November 

1, 2013, at the following Web addresses: 

http://www.ed.gov/programs/trioupbound/report.html

(Upward Bound)

http://www.ed.gov/programs/triomathscience/report.html

(UBMS)

The 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,

online. 

 Functionality to upload a file with the individual 

participant records (Section II) to the Web 

application using a CSV or XLS file format. 

 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.

 An e-mail confirmation that the report has been 

submitted (a valid e-mail address must be 

provided in Section I).

In a new feature, the online application will provide on 

an annual basis a report of PE points to be awarded 

once a grantee has successfully submitted an APR for 

one of the three years used for PE calculations (2013–

14, 2014–15, and 2015–16). 

A project will receive confirmation that the report has been 

successfully submitted, if the person entering the 

performance report data provided a valid e-mail address in 

Section I. If you do not receive an e-mail confirmation, 

contact the APR Help Desk.

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 as soon as 

possible, but prior to the deadline date.

Except for Section I, Part 1, the Department requires only 

an electronic version of the performance report. As noted 

above, a grantee must submit, via fax, a signed copy of 

Section I, Part 1 of the report form that certifies that the 

information submitted electronically is accurate, complete, 

and readily verifiable. The signed copy of Section I, Part 1

only of the report should be faxed to 703-832-1360. Please 

do not fax a copy of the entire report.

J. Who may be contacted for additional information 

concerning the submission of the performance 

report?

Please contact your program specialist directly if you have 

questions regarding the performance report requirements. A 

state listing of program specialists and contact information 

is available at the Web address provided above.

If you have technical problems accessing the Web site or 

using the Web application, please contact the APR Help 

Desk at (703) 846-8248 or via e-mail at: 

UBWEB@cbmiweb.com. 
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GETTING STARTED

Step 1—Access the Web site. 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.

Step 2--Registration. Once at the contractor's Web site 

(entitled "UB Online, Program Year 2012–13"), you will 

need to register to receive a user ID and temporary 

password; you may do so well in advance of actual 

submittal of reports. So as to allow time to resolve any

problems that might occur with registration, we ask you to 

register as early as possible.

To register, click on "First Time User? Register Here";

you will then enter 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). You will also be 

required to select and answer two security questions (to be 

used in the event that you need to use the “Forgot 

Password” function). If the project director’s 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; if the program specialist has no prior knowledge of 

the change, it may take longer. Once the Help Desk has 

received verification from the program specialist, you will 

be notified to continue with registration.

Step 3—Set Password. Once you have your user ID and 

temporary password, you may enter them on the site in the 

top box of the left side of the page; click "Log in." You will 

be guided to select a new password, then to log in again. 

After three failed attempts to access the Web site, you will 

be required to reset your password and will need to contact 

the Help Desk for further assistance.

Step 4—Complete and Submit. Follow the instructions 

for completing and submitting the report via the World 

Wide Web.

Section I

New to the 2012–17 grant cycle, Section I is now divided 

into Parts 1 and 2. The first part covers, as in past years,

the project’s identification and characteristics, along with 

certification and a warning statement. In Part 2, grantees

provide information on how they have implemented the 

competitive preference priorities established for the 2012 

grant competition.

► Section I, Part 1

Your PR award number will be automatically inserted into 

line 1 of Part 1. The system will also pre-populate most of 

the other data fields in Part 1. Please review the prepopulated 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. 

Please provide information for any fields that are not prepopulated.

In item 8 of Part 1, 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 

project working exclusively in Kansas City, Missouri, and 

Kansas City, Kansas, would be a non-regional project, 

despite its service to students from two states.

The entire report should be submitted via the Web. After 

the APR has been successfully submitted, the signatures of 

the project director and the certifying official for the 

grantee institution or agency must be obtained on Section I, 

Part 1 of the printed APR indicating that the information 

submitted electronically is accurate, complete, and readily 

verifiable. Once the form has been signed, it should be 

scanned so that it can be uploaded using the functionality 

on the APR site. If a grantee is unable to upload Section I, 

it may be faxed to 703-832-1360. Only Section I, Part 1 

should be faxed—not any other portion of the report. 

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).

► Section I, Part 2: Competitive Preference Priorities

The 2012 UB and UBMS grant competitions established 

three competitive preference priorities concerning 

persistently lowest-achieving schools, data-based decision-
5

making, and improvements in productivity. The 

Department will derive data on projects’ service to 

persistently low-performing schools from the “Target 

School—NCES Identification Number” field (#24) in 

Section II, which provides identifying information on the 

target school attended by each participant. Section I, Part 

2, asks projects whether they addressed the remaining two 

competitive priorities; for each priority addressed, the 

grantee is to complete the text boxes with concise 

information about implementation.
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Section II: Record Structure for Participant List

Rationale for Fields

The Department will use the data that grantees provide 

in Section II to assess the project’s progress in 

meeting its objectives and to evaluate the grantee’s 

prior experience. The data also allows the Department 

to respond to reporting requirements of the 

Government Performance and Results Act (GPRA) 

and the HEOA, and to assess the UB and UBMS 

programs’ performance in light of the performance 

measures found in the instructions for the 2012 grant 

competition.

The Department added the following fields to the APR 

to respond to specific changes in the HEOA. 

#17–19 Criteria for determining high-risk status

#22 Disconnected Youth

#30 Served by Another Federally Funded 

College Access Program

In addition, the HEOA requires the Department to 

prepare a performance report on the TRIO programs 

and, where feasible, to include comparative data, 

where available, on the national performance of lowincome students, first-generation students, and 

students with disabilities. The data from the following 

fields may help the Department to identify subgroups 

of national datasets that may have greater validity than 

would a broader group for comparison with UB and 

UBMS participants. These fields were chosen after 

examining survey questions used in relevant national 

datasets.

#21 Disability Status

#34 High School Cumulative Unweighted

Grade Point Average

#41 Advanced Placement (AP) or 

International Baccalaureate (IB) Course 

Completed

Four fields were added to allow the Department to 

determine progress towards the performance 

measures:

#44 Advanced Math Courses Completed

#45 FAFSA Completed

#65 Postsecondary Remediation

#67 Postsecondary STEM Degree

And finally, to respond to the performance measures 

that involve attainment of certificates and degrees by 

varying periods of time, fields #58–63 provide a 

breakdown of certificates and degrees and their 

associated dates of accomplishment.

General Instructions for the Participant List

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

Please see page 1 of these instructions for information on 

participants for whom the grantee should provide data. A 

project should use the Upward Bound Program’s regulatory 

definition of a project participant in 34 CFR 645.6 to

determine which project 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--

(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, reentry, or prior-year—only once in the file the 

project submits for the reporting period.

(2) What are the data fields?

The UB and UBMS APR contains 67 data fields of which 

three are project identifiers. The remaining 64 fields are 

student data fields and may or may not require updates as 

noted below.
7

Project Identifiers (pre-populated)

Field # Field Name

1 PR/Award Number

2 Batch Year

3 Program Type

IMPORTANT: To avoid mismatches between 2012–13 

APR data and the UB system of records, identifying data 

for each participant in your APR file (except for new 

students) must match the data in your 2011–12 APR, even 

if you have discovered errors or misspellings. Identifying 

data includes SSN (Field #4), Last Name (Field #5), First 

Name (Field #6), and Date of Birth (Field #8). These and 

other fields that must not change from reporting year to 

reporting year are shown in the following table.

#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

#16–19 Eligibility Fields

#25 Date of First Project Service

#26 Grade Level at First Service

For certain date fields and for the Postsecondary Education 

Enrollment Cohort field (#55), a grantee might initially 

enter “Not applicable,” but in a later reporting period enter

a specific date (or cohort in the case of field #55). Once the 

specific date or cohort has been submitted in one year’s 

APR, that data must not change in subsequent years’ 

APRs. These fields are:

#36 Actual Date of HS Graduation

#46 Date of Last Project Service

#54 Date of First Postsecondary Enrollment

#55 Postsecondary Education Enrollment Cohort

#58 Date of Certificate/Diploma

#61 Date of Associate Degree

#63 Date of Bachelor’s Degree

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."

#27 Deceased or Incapacitated

#28 Participant Status

#29 Participation Level

#30 Served By Another Federally Funded Program

#31 Grade Level, Beginning of Academic Year

#32

Secondary Grade Level or Postsecondary Status, 

Beginning of Following Academic Year

#33 High School Cumulative GPA, at End of 

Academic Year

#34 High School Cumulative Unweighted GPA, at

End of Academic Year

#35 High School Graduation Status

#37 Rigorous High School Program of Study 

Completed

#38 Secondary School Retention and Graduation 

Objective

#39 High School State Achievement Standard, 

Reading/Language Arts

#40 High School State Achievement Standard, Math

#41 Advanced Placement or IB Course Completed

#42 Dual Enrollment Participation 

#43 Pre-Diploma Credentials or Coursework 

Completed

#44 Advanced Math Courses Completed

#45 FAFSA Completed

#47 Reason for Leaving Project

#48 Work Study Position 

(Current Year Participants Only)

#49 Employment

(Current Year Participants Only)

#50 Cultural Activities 

(Current-Year Participants Only)

#51 Community Service 

 (Current Year Participants Only)

#52 Instruction for LEP Students 

(Current Year Participants Only)

#53 Source of Postsecondary Education Information 

*

#56 School Code for Postsecondary Institution First 

Attended*

#57 College Status, Beginning of Academic Year*

#58 Certificate/Diploma Completed*

#60 Associate Degree Attained*

#62 Bachelor’s Degree Attained*

#64 Postsecondary Enrollment Objective 

(Numerator)

#65 Postsecondary Remediation

#66 Postsecondary Completion Objective

(Numerator)

#67 Postsecondary STEM Degree

 

(3) How should the date fields be formatted (e.g., 

fields # 8, 25, 36, etc.)?

Please review carefully the Valid Field Content column to 

ensure that the data submitted is in the correct format. All 

date fields should be 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 
8

(month, day, and complete year). For other date fields 

accuracy is important only for the month and year. If the 

day is unknown, use 15. For example, a participant’s date 

of first project service of September 2008 would be 

formatted as follows: 09/14/2008. 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., 01/15/2008). 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.

(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 this 

document. The Department has revised the objectives 

on rigorous secondary program of study and 

postsecondary enrollment in response to comments 

received in the first public comment period.
9

SUPPLEMENTAL INSTRUCTIONS FOR SPECIFIC 

FIELDS

Project Identifiers 

Field #1—PR/Award Number (pre-populated)

Once the grantee has successfully logged in to the UB APR 

Web application, this field will be pre-populated for each 

participant record. 

Field #2—Batch Year (pre-populated)

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 2012 funds are used to support project 

activities in the 2012–13 program year. Thus, the data file 

for Batch Year 2012 will include information on project 

participants served or tracked during program year 2012–

13

Participants’ Demographic Information

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. 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). 

Field #5 - #8—Student Identifying Information

Please pay special attention to the required formatting for 

each 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).

Fields #9 - #14—Gender, Ethnicity (Hispanic) and 

 Race

On October 19, 2007, ED released revised, Departmentwide 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 

Department required the new guidance to be implemented 

by the fall of 2010 for the 2010-11 school year, though 

grantees were encouraged to implement earlier, if possible. 

(Note that projects may leave the race and ethnicity 

fields blank for prior-year participants who left the 

project before the project implemented the guidance.)

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 reidentify their race and ethnicity using

OMB's 1997 standards (see page 59276 of the notice), but 

does not require institutions to do so.
10

For definitions of the ethnicity and race categories, refer 

to the “Definitions That Apply” section of these 

instructions. 

Eligibility Information

Field #16—Eligibility (at time of initial selection)

The statute and regulations governing the Upward 

Bound programs require that an individual, at the time 

of initial selection for the project, must be a “lowincome individual,” a “potential first-generation 

college student,” or “an individual who has a high risk 

for academic failure.” (These terms are defined in the 

section on “Definitions That Apply.”) No less than 

two-thirds of the project’s participants each year must 

be both low-income and potential first-generation 

college students; the remaining one-third must be lowincome individuals, potential first-generation college 

students, or individuals who have a high risk for 

academic failure.

In field #16, please select the appropriate option for 

the criterion or criteria that apply to each participant. 

An individual participant might meet one, two, or all 

three criteria. 

Although a participant need only meet one of three 

criteria (low-income, potential first-generation college 

student, or at high risk for academic failure) to be 

eligible, the Department encourages projects to assess 

a participant’s eligibility using all three criteria and to 

report accordingly. For example, if a participant is 

low-income and potential first-generation, and if he or 

she meets at least one of the criteria for high-risk 

status, the project should select the new option “7” 

(low income, first generation, and high risk).

Because the high-risk eligibility status is new to the 

2012–17 grant cycle, the Department is aware that 

information on high risk would not be available for 

participants first served prior to the 2012–13 project 

year; further, the Department recognizes that projects 

may not have collected this information on all new 

participants first served in the 2012–13 project year. 

Beginning with the 2013–14 project year, however, 

a project is expected to assess a new participant’s 

eligibility using all three criteria and to report 

accordingly.

By adding these new combinations of eligibility, the 

Department is in no way requiring or expecting 

projects to serve more participants that are at high 

risk. As noted above, the statute and regulations 

require that at least two-thirds of the participants an 

UB project serves each year be low-income 

individuals who are potential first-generation college 

students. Those individuals who have all three 

characteristics—that is, those who are low income, 

first generation, and at high risk for academic failure--

would also be included in the two-thirds.

Fields #17–19--Evidence of High-Risk Status for 

Academic Failure (at time of initial selection)

As indicated above, one criterion for eligibility in the 

Upward Bound programs is high risk for academic 

failure. The program regulations define an individual 

at such risk as one who, at the time of initial selection,

(a) has not achieved at the proficient level on State 

assessments in reading/language arts and/or in math; 

(b) has not successfully completed pre-algebra or 

algebra by the beginning of the tenth grade; or (c) has 

a grade point average of 2.5 or less (on a 4.0 scale) for 

the most recent school year for which grade point 

averages are available. Information collected in fields 

#17–19 will indicate whether a student is at high risk 

for academic failure, as so defined, and therefore 

eligible for services on those grounds.

As explained in the discussion of field #16 (above), as 

of the 2013–14 project year the Department expects 

projects to assess all new participants’ eligibility based 

on all three criteria; this will include determining the 

student’s proficiency level, GPA at initial selection, 

and past coursework in algebra or pre-algebra, so as to 

be able to respond to fields #17–19 without extensive 

use of the “Unknown” option. In 2012–13, of course, 

for any student coded in eligibility field #16 as 3 (high 

risk), 5 (low income and high risk), 6 (first generation 

and high risk), or 7 (met all three criteria), the project 

must indicate that the student was at high risk in at 

least one of fields #17, 18, or 19.

Regarding field #17, also note that proficiency on state 

assessments is used for two purposes in the APR: as a 

criterion for high-risk status here, and as measures of 

academic proficiency for one of the PE objectives in 

fields #39 and 40. As explained in the instructions for 

those fields, a project’s response may change over 

several reporting periods (if, for example, a student 

fails to achieve proficiency in tests administered in the 

10th grade, but succeeds in the 11th grade). In field 

#17, however, since the response represents 

proficiency at one single point in time (first entry into 

the project), the response must not change once it is 

submitted.
11

Field #18—Low Grade Point Average (at time of 

initial selection)

Middle school GPAs are permissible for this field to 

establish the level of academic need for participants 

first served as ninth-graders or rising ninth-graders.

Field #19--Pre-Algebra or Algebra Course Not 

Completed by Beginning of 10th Grade (at time of 

initial selection)

Since the criteria for establishing high-risk status for 

academic failure must reflect the time of the student’s 

initial selection for the project, this criterion in some 

cases will not be applicable if the student, when 

selected, has not yet completed ninth grade. For such 

a student, select option 3 (“NA, due to grade at initial 

selection, this information is not yet available”).

Field #20—Limited English Proficiency (at time of 

initial selection)

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 #21—Disability Status (at time of initial selection)

This information is being gathered to allow the TRIO 

programs to respond to §1070a-18 of the HEOA, which 

requires that the performance report on the UB and UBMS 

programs mandated in that section include comparative 

data on national performance of low-income students, firstgeneration students, and students with disabilities. The 

definition of a person with a disability is found in section 

12102 of the Americans with Disabilities Act (42 U.S. C. 

12101 et seq.). The data from this field may help TRIO to 

identify subgroups of national datasets that may have 

greater validity for comparative purposes than would a 

broader group.

Field #22—Disconnected Youth (at time of initial 

selection)

Refer to the section on “Definitions That Apply” to 

determine if the participant, at time of initial selection, met 

the definition of “disconnected youth.”

Field #23—Other Academic Need (at time of initial 

selection)

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 #23 lists criteria 

(other than those listed in fields #17–19) commonly used 

by projects to determine an individual’s need for services; 

please choose whichever criterion was primary for the 

student. If the project has already indicated in fields #17–

19 that a participant has academic need sufficient to 

demonstrate at-risk status for academic failure (as defined 

in the UB program regulations), the project should select 

option 16 in field #23, signifying that the student’s need 

was identified in those fields.

Fields Concerning Participation in UB or 

UBMS and Status in Secondary School

Note for projects serving participants in a fifth year of 

high school due to participation in a dual enrollment 

program: For most of the remaining fields in the APR, 

reporting for these students is straightforward; for example, 

in the GPA fields (#33 and 34), you should provide the 

student’s GPAs for the fifth year of high school as you 

would for any other academic year.

--Since the participant does not graduate from high school 

until the end of the fifth year, report graduation then (fields 

#35 and 36), even though other students in the project may 

be graduating after four years. 

--In the field for the retention and graduation objective 

(#38), for students in a fifth year of high school, persistence 

into the next academic year includes persistence from the 

12th grade to the fifth year of high school.

On the other hand:

--For the fields on state academic achievement standards 

(#39 and 40), report only through the 12th grade, since 

presumably that is when final state tests would be 

administered.

--In the field for the performance measure on advanced 

math courses completed (#44), report as of the end of the 

12th grade (not as of the fifth year).

--Students in dual enrollment programs should not be 

reported as enrolled in postsecondary education (fields #53 

through 67) until after their high school graduation. 

Field #24— 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. 
12

The number can be obtained from the following Web 

site: 

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

Field #25—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 the date of 

acceptance into the project unless that is the same as 

the date of first service. 

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-year 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. Please note that 

accuracy is particularly important for this field.

Field #26—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. For all other students first served 

during the summer component, enter the grade the 

student would enter for the fall academic term (e.g.,

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). In addition, this field provides 

an option for students first served in a fifth year of 

high school, which is to be used only for individuals 

also participating in dual enrollment programs 

entailing a fifth year of high school.

If a 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 grade nine, 

consider that student to have been served in the 

summer before grade 10; thus you would select option 

10 (10th grade) in field #26. 

If a student transferred from another UB project, in this 

field give the grade level at first service in the project 

submitting the report.

Please note that accuracy is particularly important for 

this field.

Field #27—Deceased or Incapacitated

Self-explanatory.

Field #28—Participant Status 

For each participant, the grantee must review the 

options available and select or update this field as 

appropriate. The participant status options for 2012–

13 include: 

 New participant

 Continuing participant

 Reentry participant, previously served by project

submitting report 

 Prior-year participant

 Transfer participant

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. 

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.

In accordance with 34 CFR 645.3, a participant is 

defined as an individual who—

(1) Is determined to be eligible to participate in 

the project under § 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—

(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.
13

Please keep in mind the time frames indicated in the 

definition; for example, a student was first served on 

May 1, 2013, in a project with a June 1 start date 

cannot be considered a participant in the 2012–13 

reporting period because he or she was not served for 

60 days in that period. Once such a student has been

served an adequate number of days in the 2013–14 

reporting period, he or she would have met this 

criterion of the definition of a participant.

Field #29—Participation Level 

Self-explanatory.

Field #30—Served By Another Federally Funded 

Program 

Self-explanatory.

Fields #31–32-- Grade Levels 

Field #31 requests the participant’s grade level at the 

beginning of the academic year coinciding with the 

project year (i.e., 2012–13); field #32 asks for the 

student’s grade level or postsecondary status at the 

beginning of the academic year following the project 

year (i.e., 2013–14). These fields are used to

determine if the participant has progressed to the next 

grade or graduated. Field #31 includes an option for 

eighth-graders to allow reporting of students who 

joined the project as rising ninth-graders in the 

summer of 2013. For field #32 (secondary grade level 

or postsecondary status at the beginning of the 

academic year following the project year), 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 11th-grader if he or she successfully 

completed 10th grade in 2012–13 (or if he or she met 

requirements for 11th grade by doing extra work in the 

summer of 2013). 

These fields provide an option for students first served 

in a fifth year of high school to be used only for 

individuals also participating in dual enrollment 

programs entailing a fifth year of high school. In any 

situation in which a student is enrolled both in high 

school and in one or more postsecondary classes,

select the appropriate high school grade level for the 

student.

Fields #33-34--Grade Point Averages

Projects are encouraged to report data on GPA 

carefully. If information is not available for one or 

both 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 the two high school 

GPA fields (though they may be used in field #18, 

Low Grade Point Average at time of initial selection).

A high school GPA presumably would not be 

available until 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 #33and 34 choose 9.999, 

"Not applicable." 

Depending on the start and end dates of the reporting 

period, in fields #33and 34 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, 

2013, ending date, if a student joins in summer 2013

as a rising ninth-grader, he should be reported as 9.999 

in fields #33 and 34 since the student had not 

completed the ninth grade by the end of academic year 

2012–13. On the other hand, for a student who joined 

a project with a May 31, 2013, ending date in summer 

2012 as a rising ninth-grader, in fields #33 and 34 the 

project should report a ninth-grade GPA at the end of 

academic year 2012–13, since the student would have 

completed that grade. For projects with September 1 

start dates, be sure to include the GPAs of students 

who began the program during the summer 

months.

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 fourpoint to the extent possible. If a student's GPA on a fourpoint scale exceeded 4.000 for such a reason as completing 

honors or Advanced Placement courses, in field #33 the 

project may enter a score that exceeds 4.000; the 

allowable scale, however, remains four-point. Use 0.000 

for unknown GPA and for cases in which the school did not 

use a scale convertible to four-point.

Note: Provide only unweighted GPAs in field #34; that 

is, make no adaptations for such reasons as completing 

honors or AP courses. As previously noted, in response to

the HEOA the Department must prepare a performance 

report on the UB and UBMS programs, including

comparative data, where available, on national performance 

of low-income, first-generation students. Since national 

datasets generally include data on unweighted GPAs, for 
14

comparative purposes TRIO needs GPA data gathered in 

the same way. 

For purposes of calculating the PE objective on 

academic performance using GPAs, the Department 

will use the weighted GPAs entered into field #33.

Report GPAs with three decimal places; do not round.

Field # 35—High School Graduation Status 

Self-explanatory.

Field #36—Actual Date of High School Graduation (Or 

Completion of High School Equivalency Certificate)

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 12th 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 #37—Rigorous Secondary School Program of 

Study Completed

Field #37 provides data needed to determine the extent to 

which the grantee has met its approved objective regarding 

participants’ successful pursuit of a rigorous secondary 

program of study. See “Definitions That Apply” for the 

regulations’ definition of a rigorous secondary school 

program of study.

Field #38—Secondary School Retention and

Graduation Objective—Numerator

The denominator for calculating the PE objective on 

secondary school retention and graduation is the greater of 

the number of participants the project was funded to serve, 

or the number of participants actually served. Participants 

coded 1 in field #38 (Participant persisted in school during 

the next academic year [2013–14] at next grade level or 

graduated high school with regular diploma) will count 

towards this objective.

See “Definitions That Apply” for the definition of a regular 

secondary school diploma.

Fields #39–40—High School Proficiency 

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 by the end of his or her senior year, the project should 

choose option 1, “Yes.”

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 #39 and/or #40 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 #41—Advanced Placement (AP) or International 

Baccalaureate (IB) Course Completed

This data is being gathered so as to allow TRIO to respond 

with greatest accuracy to the requirement in the HEOA to 

prepare a performance report on the UB and UBMS 

program that is to include comparative data, where 

available, on national performance of low-income, firstgeneration students. The data from field #41 and from

other fields in the APR may help TRIO to identify 

subgroups of national datasets that may have greater 

validity for comparative purposes than would a broader 

group.

This field, which reproduces a query used in national 

datasets, asks very specifically whether the student 

completed at least one AP or IB course in high school 

(even if this happened before being served by UB/UBMS 

or after leaving the program). Do not worry about whether 

the student took an AP exam or passed an AP exam; ignore 

whether the student took an IB exam or completed the IB 

diploma. Simply choose “Yes” if the student completed at 

least one AP or IB course in high school.

Advanced placement (AP) courses offer students the 

opportunity to study a subject area in greater depth 

than is provided in a standard high school course. The 

AP course prepares the student to take a standardized 

AP test. 

The International Baccalaureate (IB) Diploma Program is 

normally offered over the course of two years in high 

school. In order to participate in the IB Diploma Program, 

the participant must have attended a World School 

authorized by the IB organization to offer the Diploma 

Program.

For prior-year participants, if information for these fields is 

not readily available, please use 0 = Unknown.
15

Field #42—Dual Enrollment Participation

Field #42 allows grantees to report students’ 

participation in dual enrollment programs which, for 

the purpose of completing the UB APR, the 

Department defines as collaborative efforts between 

high schools and colleges that allow high school 

students to enroll in college-level courses and earn 

credit towards both a high school diploma and a 

college degree (college-credit dual enrollment) or a 

career preparation certificate (career dual enrollment). 

This definition is not limited to programs that lead to 

students’ completing a degree or certificate by the 

time of high school graduation; it also includes those 

that can provide credit towards a later degree or 

certificate. Report students who participated in such 

programs during reporting period 2012–13, regardless 

of whether they actually earned college credit. (If, on 

the other hand, a student takes one or more 

postsecondary courses on her own, outside of a 

program established between high schools and a 

postsecondary institution, the grantee should not

report the student as participating in a dual enrollment 

program; the student’s postsecondary work may in 

some cases be reported in field #43 on pre-diploma 

credentials or coursework completed.)

Note that this field draws a distinction between dual 

enrollment programs that do and do not entail a fifth year 

of high school. Because the Department recognizes that 

five-year dual enrollment programs and other efforts, such 

as online coursework, seek to rethink the American high 

school experience and to improve the transition between 

high school and postsecondary education, TRIO has revised 

the two 2012 standardized objectives that were designed 

around a four-year model of high school. A four-year 

model can work to the disadvantage of projects that work 

with students who quite intentionally will not graduate in 

four years. Thus, TRIO has eliminated the expected high 

school graduation cohort mechanism used in the 2007–12 

cycle to organize certain PE calculations. The revised 

objectives on rigorous secondary school program and 

postsecondary enrollment may be found in the “Definitions 

That Apply.”

Note: Students in dual enrollment programs should not 

be reported in fields #53–67 as enrolled in a program of 

postsecondary education until after high school graduation. 

If a student who earned a certificate/diploma or an 

associate degree in a dual enrollment program upon or 

before high school graduation (for example, in spring 2013) 

subsequently enrolled in a program of postsecondary 

education (for example, in fall 2013 in a program aimed at 

a bachelor’s degree or another associate degree), he or she 

may be counted in appropriate fields (#53–67) in the APR. 

For prior-year participants, if information for these fields is 

not readily available, please use 0 = Unknown.

Field #43—Pre-diploma Credentials or Coursework 

Completed

This field requests information on postsecondary 

credentials completed in dual enrollment programs and on 

postsecondary coursework completed outside of dual 

enrollment programs. While postsecondary credentials 

earned prior to, or simultaneously with, high school 

graduation are not to be entered in fields #53–67, the 

Department wishes to gain a better understanding of the 

extent to which UB participants are completing PSE 

credentials in these programs; thus TRIO has established 

this field. Option 4, concerning postsecondary coursework 

completed outside of dual enrollment programs, will allow 

the Department also to learn more about the extent to which 

UB participants are engaged in such efforts.

Field #44-- Advanced Math Courses Completed 

This information is needed for reporting on one of the 

performance measures described in the 2012 UB and 

UBMS grant application instructions and listed in 

“Definitions That Apply.” If the participant completed two 

years of mathematics beyond algebra 1 (e.g., geometry, 

algebra 2, trigonometry, or pre-calculus) by the end of the 

12th grade, select option 1. 

For prior-year participants, if information for these fields is 

not readily available, please use 0 = Unknown.

Field #45—FAFSA Completed

Please indicate whether current or prior-year participants 

who graduated from high school during the project year 

with a regular secondary school diploma completed the 

FAFSA application. This information is needed for 

reporting on the performance measures described in the 

2012 UB and UBMS grant application instructions and 

listed in “Definitions That Apply.” While the Department 

has databases to help determine whether participants have 

completed the FAFSA, we are requesting this information 

in the APR to have more complete data in cases in which 

students’ identifying information does not match 

unambiguously with those databases. For prior-year

participants, if information for these fields is not readily 

available, please use 0 = Unknown.
16

Field #46—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 average length of time spent in the 

program for each expected high school graduation 

cohort of participants. If a project omitted in last 

year’s report a date of last 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-year 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 reentry participants, use 99/99/9999 (“Not 

applicable, participant is still in the program”) if the 

individual did not complete the program during the 

project year; enter a new date of last service if the 

student has again left the program or completed it.

Field #47—Reason for Leaving Project

Please select the code that best describes the reason the 

participant withdrew from the project.

Fields #48–52—Select Project Services and Activities

Complete these fields only for project participants 

who participated in these activities during the 

reporting period. Use 9s, Not applicable, for prioryear participants. Of the academic instruction and 

services required or permitted by the authorizing 

statute and implementing regulations, the APR 

requests data on five services and 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 and 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 and activities.

INFORMATION ON POSTSECONDARY 

EDUCATION

For the fields that provide data on participants’ 

postsecondary education, please note that the 

Department wants to gather data about students’ 

college enrollment status (both for recent high school 

graduates and prior-year participants) at the first 

opportunity. If you collect data about a student’s 

postsecondary status after the end of the reporting 

period, but before the due date for the report, please 

include that 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 #28]. For 

example, for a project with a reporting period of June 

1, 2012, to May 31, 2013, the grantee should report 

data on the postsecondary status of summer 2013 

bridge participants in fall 2013 even though the 

grantee will include the bridge students as continuing 

participants in the data file for 2013–14.) 

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” where 

requested 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.
17

Fields #53–54

Self-explanatory.

Field #55— Postsecondary Education Enrollment 

Cohort

This field is used to establish the cohort of students 

who will form the denominator for each project’s 

postsecondary completion objective and for relevant 

performance measures described in the 2012 UB and 

UBMS grant application instructions and listed in 

“Definitions That Apply.” Once established, this field 

must not be adjusted in later years. The cohort for 

each year is established retrospectively; it 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 participants who actually 

graduated from high school in academic year 2012–13 

and enrolled in postsecondary education by the fall 

term immediately following the 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. If a participant graduates 

from high school in spring 2013 but first enrolls in fall 

2014, he or she will not be included in a 

postsecondary cohort and instead should be coded as 

9999 in this field. 

Grantees that were funded in the 2007–12 grant 

cycle were directed during that period to maintain 

indefinitely on their APR files all participants with an 

expected high school graduation cohort of 2008 or 

later. These grantees should thus have reliable records 

(to the extent possible) of each participant’s high 

school graduation and subsequent postsecondary 

enrollment (or lack thereof), and thus will generally be 

able to indicate accurate cohorts, or in some cases 

coding of 9999 to indicate that the participant 

completed high school but did not enroll in 

postsecondary education by the fall term immediately 

following graduation, for their prior-year participants.

If a project finds that the year of a participant’s 

enrollment (or even the fact of enrollment) was 

reported erroneously in past APRs, the grantee should 

code the student 6666. The Department will verify 

coding of prior-year participants’ enrollment as 

reported in the 2012–13 APR against the Upward 

Bound system of records. 

Because the APR used in the 2007–12 cycle did not 

collect data on whether a participant’s enrollment had 

been deferred to a subsequent term based on a 

decision of an institution of higher education, the 

calculation for participants in the 2008–12 cohorts will 

be based only on enrollment in the fall term 

immediately following high school graduation. The 

first project year in the 2012–17 cycle in which 

postsecondary completion will be calculated in 2013–

14, using the 2008 postsecondary education 

enrollment cohort.

Field #56— School Code for Postsecondary 

Institution First Attended

Provide the Federal School Code/OPE ID Number 

(Office of Postsecondary Education Institutional 

Number) for the postsecondary institution the Upward 

Bound participant first attended. This is a six-digit 

number that is required on all federal financial aid 

documents. Information regarding this number is 

included in Federal School Code Directory and can be 

accessed on the World Wide Web: 

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

en_EN

Please note that, while during the 2007–12 grant cycle 

the APR requested the code for the institution last

attended, we are now requesting the code for the 

institution first attended.

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 Federal School Code 

Directory. 

If the student began attendance in fall 2013 (that is, after 

the end of the 2012–13 reporting period), please do provide 

the code of the institution.

Field #57—College Status at Beginning of 

Academic Year 2013–14

For current year and prior-year year participants 

whose postsecondary education status is known, in 

field #57 provide information on the student’s college 

status at the beginning of academic year 2013–14. 
18

Fields #58–63-- Postsecondary Credentials Earned

The information in fields #58–63 will allow the 

Department to report on participants’ attainment of 

various kinds of credentials over varying lengths of 

time, as specified in the performance measures 

described in the 2012 UB and UBMS grant 

application instructions. Each type of credential is to 

be reported separately, as indicated in the fields.

If a student has received more than one credential of a 

particular kind (e.g., more than one certificate), the 

project should report the date that the first certificate 

was completed. If a student attained more than one 

kind of credential (e.g., an associate degree and a 

bachelor’s degree), each should be shown in the report 

in the respective field.

Field #62-- Bachelor’s Degree Attained: For a 

student enrolled in a dual degree program (not to be 

confused with a dual enrollment program; see 

“Definitions That Apply”) who has completed four 

years of postsecondary instruction, use option 1 (“Yes, 

attained bachelor’s degree”) to indicate that the 

student has accomplished the equivalent of a 

bachelor’s degree, though a degree was not awarded.

Field #64—Postsecondary Enrollment Objective--

Numerator

The denominator for calculating the PE objective on 

postsecondary enrollment is all current and prior-year UB 

and UBMS participants who graduated high school during

school year 2012–13 with a regular secondary school 

diploma. Participants coded 1 or 2 in field #64 (those in 

the denominator who either enrolled in postsecondary 

education by fall term 2013, or received notification by fall 

2013 from an institution of higher education of acceptance 

but deferred enrollment until the next academic semester)

will count towards the postsecondary enrollment objective. 

Field #65--Postsecondary Remediation 

This information is needed for reporting on one of the 

performance measures described in the 2012 UB and 

UBMS grant application instructions and listed in 

“Definitions That Apply.” Please provide data as 

available at the time the APR is submitted on prioryear participants in the 2013 postsecondary education

enrollment cohort (see field #55). For a definition of 

remediation, please see “Definitions That Apply.”

The Department does not require that grantees obtain 

transcripts to document participants’ remedial 

coursework; communication with the participant, or 

other reliable evidence, is sufficient.

Field #66—Postsecondary Completion Objective—

Numerator (To Be Used First for Reporting Year 

2013–14)

In reporting year 2013–14, grantees with awards in the 

2007–12 cycle will report in this field on whether 

participants in the 2008 postsecondary education 

enrollment cohort (the denominator; see field #55) had 

achieved an associate or bachelor’s degree within six 

years of high school graduation (i.e., by the end of 

August 2014). This data will be used to determine 

whether the grantee meets its target for the 

postsecondary completion objective.

Field #67—Postsecondary STEM degree (UBMS 

grantees only) 

In reporting year 2013–14, grantees with awards in the 

2007–12 cycle will report in this field on whether 

UBMS participants in the 2008 postsecondary 

education enrollment cohort (field #55) have achieved 

an associate or bachelor’s degree in a STEM field 

within six years of high school graduation (i.e., by the 

end of August 2014). This information is needed for 

reporting on one of the performance measures 

described in the 2012 UBMS grant application 

package and listed in “Definitions That Apply.” UB 

grantees should choose option 9. 

Choose option 1 if the participant earned a 

postsecondary degree in one of the following fields of 

study:

--Computer and Information Sciences

--Engineering

--Life Sciences, which include agricultural sciences/ 

natural resources, biological/biomedical sciences, and 

health sciences.

--Mathematics

--Physical Sciences, which include astronomy, 

atmospheric science and meteorology, chemistry, 

geological and earth sciences, ocean/marine sciences, 

and physics.

Choose option 2 if the student earned a postsecondary 

degree in psychology or the social sciences.

For a list of majors under each of these fields of study, 

please refer to pages 6 and 7 of the survey instrument 

for the National Science Foundation’s Survey of 

Earned Doctorates (SED) for 2012–13 at: 

http://www.norc.org/PDFs/SED-Findings/SED12-

13_fill.pdf
19

DEFINITIONS THAT APPLY

Upward Bound and Upward Bound Math-Science 

Standard Objectives from 2012 Competition

Academic Performance—Grade Point 

Average (GPA): X% of participants 

served during the project year will have a 

cumulative GPA of 2.5 or better on a fourpoint scale at the end of the school year.

Academic Performance on Standardized 

Test: X % of UB seniors served during the 

project year will have achieved at the 

proficient level on state assessments in 

reading/language arts and math.

Secondary School Retention and 

Graduation: X% of project participants 

served during the project year will continue 

in school for the next academic year, at the 

next grade level, or will have graduated 

from secondary school with a regular 

secondary school diploma.

Secondary School Graduation (Rigorous 

Secondary School Program of Study): 

X% of all current and prior-year UB 

participants who graduated from high school 

during the school year with a regular 

secondary school diploma will complete a 

rigorous secondary school program of study.

Postsecondary Enrollment: X% of all 

current and prior-year UB participants who 

graduated from high school during the 

school year with a regular secondary school 

diploma will enroll in a program of 

postsecondary education by the fall term 

immediately following high school

graduation, or will have received 

notification by the fall term immediately 

following high school from an institution of 

higher education of acceptance but deferred 

enrollment until the next academic semester 

(e.g., spring semester).

Postsecondary Completion: X% of 

participants who enrolled in a program of 

postsecondary education, by the fall term 

immediately following high school 

graduation or by the next academic term 

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

but deferred enrollment, will attain either an

 associate or bachelor’s degree within six years 

 following graduation from high school. (Note that the 

denominator of this objective is the same as the 

numerator of the postsecondary enrollment objective.)

Upward Bound and Upward Bound Math-Science 

Performance Measures from 2012 Competition

The following performance measures have 

been developed to track progress toward 

achieving program success:

1. The percentage of UB students 

who take two years of mathematics 

beyond Algebra I by the 12th grade;

2. The percentage of UB students 

that enrolled in postsecondary 

education;

3. The percentage of UB students 

who enrolled in a program of 

postsecondary education by the fall 

term following graduation from high 

school who in the first year of 

postsecondary education placed into 

college-level math and English 

without need for remediation;

4. The percentage of UB students 

who enrolled in a program of 

postsecondary education and 

graduate on time within four years 

for the bachelor’s degree and within 

two years for the associate degree;

5. The percentage of UB 

participants who enrolled in a 
20

program of postsecondary education 

and attained either an associate 

degree within three years or a 

bachelor’s degree within six years;

6. The percentage of UB students 

expected to graduate high school in 

the reporting year that complete a 

Free Application for Federal Student 

Aid (FAFSA); and

7. The cost per successful 

participant.

An additional performance measure was 

established for UBMS projects only:

The percentage of former UBMS 

students who earned a 

postsecondary degree in a STEM 

field (i.e., science, technology, 

engineering, or mathematics).

Ethnicity and Race Categories (Fields #10–15)

Hispanic or Latino- A person of Mexican, Puerto 

Rican, Cuban, Central or South American or other 

Spanish culture or origin, regardless of race. 

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 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 (Fields #16–19)

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 established by the Bureau of the Census of the 

U.S. Department of Commerce.

Potential 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.

Individual who has a high risk for academic 

failure means an individual who has not achieved 

at the proficient level on State assessments in 

reading or language arts; has not achieved at the 

proficient level on State assessments in math; has 

not successfully completed pre-algebra or algebra 

by the beginning of the tenth grade; or has a grade 

point average of 2.5 or less (on a 4.0 scale) for the 

most recent school year for which grade point 

averages are available.

Limited English Proficiency (Field #20) 

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.

Disability Status (Field #21)

“Individual with a disability” means a person who 

has a disability, as that term is defined in section 

12102 of the Americans with Disabilities Act (42 

U.S.C. 12101 et seq.).

Disconnected Youth (Field #22)

“Disconnected youth” is defined in the Appendix 

to the FY 2013 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. 
21

Foster care youth means youth who are in foster 

care or are aging out of the foster care system.

Homeless children and youth means persons 

defined in section 725 of the McKinney-Vento 

Homeless Assistance Act (42 U.S.C. 11434a).

Academic Year (Fields: #31, #32, # 33,

#34, #35 and #57)

For purposes of completing these fields of 

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. 

(Note that June 1 is the beginning date for 

grade at first entry; see instructions for Field 

#26.)

Rigorous Secondary School Program of

Study (Field #37)

According to the definition in the Upward 

Bound program regulations, “rigorous 

secondary school program of study” means a 

program of study that is--

(1) Established by a State educational 

agency (SEA) or local educational agency 

(LEA) and recognized as a rigorous 

secondary school program of study by the 

Secretary through the process described in 

34 CFR 691.16(a) through (c) for the 

Academic Competitiveness Grant (ACG) 

Program;

(2) An advanced or honors secondary school 

program established by States and in 

existence for the 2004–2005 school year or 

later school years;

(3) Any secondary school program in which 

a student successfully completes at a 

minimum the following courses:

(i) Four years of English.

(ii) Three years of mathematics, including 

algebra I and a higher-level class such as 

algebra II, geometry, or data analysis and 

statistics.

(iii) Three years of science, including one 

year each of at least two of the following 

courses: biology, chemistry, and physics.

(iv) Three years of social studies.

(v) One year of a language other than 

English;

(4) A secondary school program identified 

by a State-level partnership that is 

recognized by the State Scholars Initiative of 

the Western Interstate Commission for 

Higher Education (WICHE), Boulder, 

Colorado;

(5) Any secondary school program for a 

student who completes at least two courses 

from an International Baccalaureate 

Diploma Program sponsored by the 

International Baccalaureate Organization, 

Geneva, Switzerland, and receives a score of 

a “4” or higher on the examinations for at 

least two of those courses; or

(6) Any secondary school program for a 

student who completes at least two 

Advanced Placement courses and receives a 

score of “3” or higher on the College 

Board's Advanced Placement Program 

Exams for at least two of those courses.

Regular Secondary School Diploma 

(Fields #37 and 64)

Regular secondary school diploma means a 

diploma attained by individuals who meet or 

exceed the coursework and performance 

standards for high school completion 

established by the individual’s state.

Services and Activities (Fields #48-52)

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, 
22

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. 

Bachelor’s Degree Attained (Field #62)

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. For a 

student enrolled in such a program who has 

completed four years of postsecondary 

instruction, in field #62 grantees may use 

option 1 (“Yes, attained bachelor’s degree”) 

to indicate that the student has accomplished 

the equivalent of a bachelor’s degree, 

though a degree was not yet awarded.

Postsecondary Enrollment Objective—

Numerator (Field #64)

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. 

Postsecondary Remediation (Field #65)

For the purpose of APR reporting, remedial 

education courses are defined as courses in 

reading, writing, or mathematics for collegelevel students lacking those skills necessary 

to perform college-level work at the level 

required by the institution.