**OM B Approval No:**  **1840 -**  **0 762**  **Expiration Date : [TBD]**  

### General **Instructions for the Upward Bound**  **and Upward Bound Math** **- Science**  **Program s**  **’ Annual Performance Report**  **20 12** 

**– 1**  **3 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 UBM S 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. W** **hat are**  **the legislative**  **and regulatory**  **authorit ies**  **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 De

partment General Administrative Regulations (EDGAR). **C. W** **ho 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 .**  **W hat period of time is covered in the report?**  **For which students should the grantee provide data?**  The report covers the 12

-month grant (budget) period for which the grant has been made. This information can be found in Block 6 of the Grant Award Notification. Indetermining which participant records to include, a grantee must use the regulatory definition of a participant in 34 CFR 645.6. For the 2012

– 13 APR, a grantee must of course report on all participants served in project year 2012

– 13. In addition, so that the Department can determine the extent to which regular UB and UBMS projects met their approved objectives for project year 2012

– 13, these projects **must** include in their participant data files a record for all participants whose expected high school graduation cohort year (field #2 9 ) was 2013 (that is, the student was expected to graduate from high school in the spring or sum

mer of 2013), even for those participants who have left the project. **E. How long must prior participants’ data b**  **e kept ?**  On October 26, 2010, the Department released regulations amending the TRIO regulations in response to the Higher Education Opportunity Act of 2008 (HEOA). The revisions in TRIO's regulations of course applied to the 2012 competition and the resultant grant cycle. B ecause the HEOA’s outcome (PE) criteria included a new objective for postsecondary completion**,** during the 2007

– 12 cycle grantees were required to include indefinitely (that is, for a period that may extend beyond six years) every participant with a graduation cohort of 2008 or later

. Inaddition, to the extent possible, projects were required to provide updated information on these participants' academic progress. This requirement applie d regardless of the participant's course of life after high school graduation or after leaving the project, and regardless of the student's length of participation in the project. If a participant complete d postsecondary education, the project did not need to2 keep tracking the student (that is, needn't keep trying to get updated information about him or her), but needed to keep the student on each year's APR file. **These r** **ules for**  **keeping participants**  **on the**  **AP R**  **file will**  **continue to**  **apply in**  **the 2012** 

**– 17**  **grant cycle** 
. Because the rules were put into effe ct in the earlier cycle, the Department will be able to calculate prior experience (PE) points for the postsecondary completion objective as early as 2013

– 14 for grantees funded in the 2007

– 12 cycle

. Also, when projects submit annually a complete APR file of participants with a cohort of 2008 or later, TRIO will be able to run prior experience calculations from one year's file so as to make the PE process more quick and efficient and to ensure accuracy. Finally, please note that participants with cohort years earlier than 2008 may be dropped from the APR file, since future PE calculations will not include these students (though if projects wish to submit data on such participants, they may do so).
**F. What years will be used to calculate prior**  **experien ce 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 .**  **W hat information must be submitted?**  The report consists of two sections , and all grantee s will be required to complete both sections:

-- 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 .**  **W hen must the rep**  **ort 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 twelve

month project periods that begin June, July, or August, the Department normally extends the report due date to November 30, so that all UB projects can report on postsecondary enrollment status for the fall term following the budget period. **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**  **S ection**  **I ,**  **Part 1**  **of the**  **report form**  **that certifies**  **that the**  **information su** **bmitted 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 address es : 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.  Access to the grantee’s previous year ’s APR data. A grantee may choose to download from the secured Web site its prior year’s APR data, without the participants’ social security numbers, as a comma-delimited file (CSV) or as an Excel (XLS) spreadsheet.  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 mu st pass the first level of3

data field validations. F ollowing 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 fo**  **r one**  **of t** **he 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 rep ort 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 t** **he 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 c ontact the APR Help Desk at (703) 846

- 8248 or via e -mail at: UBWEB@cbmiweb.com

.4 **GETTING STARTED Step 1** 

**— Access the**  **W**

**eb 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 2 01 2

– 1 3 "), 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.**  F ollow 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 im plemented 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 pre populated fields, including the project director’s e-mail address, and update these fields as needed. You may change the data in all fields except for the project’s PR award number, the grantee name, and the report period. Please provide information for any fields that are not pre populated. 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 proj ect, despite its service to students from two states.
Part 1.B, the Certification, directs you to fax a signed copy of Section I, Part 1 of the report form, c ertif ying that the information submitted electronically is accurate, complete, and readily verifiable to the best of your knowledge. Section I, Part 1 must be signed by both the project director and the certifying representative at the grantee institution and faxed to **(703) 832 -**  **1360**

. With the exception of Section I, Part 1 of the report, do not fax a paper copy of the performance 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, f ederal 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

making, and improvements in productivity. The Department will derive data on projects’ service to5 persistently low

-performing schools from the “Target School

— NCES Identification Number” field (#26) in Section II, which provides identifying information on the target school attended by each participant. S ection 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.6 **Section II**  **: R** **ecord Struct ure**  **fo r 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 following fields are new to the APR since the 2007

– 12 grant cycle and are not directly connected to PE calculations . These fields were added to respond to specific changes in the HEOA: #18

–21 New eligibility criteria #25 Disconnected Youth #33 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, first

- generation students. 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. #23 Education Expectations #24 Diagnosed Learning Disability #37 High School Cumulative **Unw eighted** 

Grade Point Average #44 Advanced Placement (AP) or

International Baccalaureate (IB) Course Completed Four fields were added to allow the Department to determine progress towards the performance measures: #4 6 Advanced Math Courses Completed #4 7 FAFSA Completed #6 7 Postsecondary Remediation #6 9 Postsecondary STEM Degree And finally, to respond to the performance measures that involve attainment of certificates and degrees by varying periods of time, fields # 59

–6 3 provide a breakdown of certificates and degrees and their associated dates of accomplishment. **General Instru ctions 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 64 5
. 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 64 5 .3; (2) Res ides 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 particip ant

— 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 69 data fields of which three are project identifiers. The remaining 6 6 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 f ields 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 S tudent’s Middle Initial #8 Student’s Date of Birth #16

–21 Eligibility fields #2 7 Date of First Project Service #2 8 Grade Level at First Service #2 9 Expected High School Graduation

Cohort Year For certain date fields and for the Postsecondary Education Cohort field (#66) , a grantee might initially enter “Not applicable,” but in a later reporting period enter a specific date (or cohort in the case of field #66) . Once the specific data has been submitted in one year’s APR, that data **must not**  change in subsequent years’ APRs. These fields are: #39 Actual Date of HS Graduation #4 8 Date of Last Project Service #5 6 Date of First Postsecondary Enrollment # 60 Date of Certificate/Diploma #62 Date of Associate Degree #64 Date of Bachelor’s Degree #66 Po stsecondary Education Cohort

**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." #30 Deceased or Incapacitated # 31 Participant Status # 32 Participation Level #33 Served By Another Federally Funded Program # 34 Grade Level, Beginning of Academic Year # 35 Secondary Grade Level or Postsecondary Status,

Beginning of Following Academic Year # 36 High School Cumulative GPA, at End of

Academic Year # 37 High School Cumulative **Unweighted** GPA, at

End of Academic Year # 38 High School Graduation Status #40 Rigorous High School Program of Study

Com pleted * #41 Secondary School Retention and Graduation

Objective #42 High School State Achievement Standard,

Reading/Language Arts #43 High School State Achievement Standard, Math #44 Advanced Placement or IB Courses Completed #4 5 Dual Enrollment Participation #4 6 Advanced Math Courses Completed #4 7 FAFSA Com pleted #4 9 Reason for Leaving Project # 50 Work Study Position

(Current Year Participants Only) # 5 1 Em

ployment (Current Year Participants Only) # 5 2 Cultural Activities

(Current

- Year Participants Only) # 5 3 Community Service

( Current Year Participants Only) # 5 4 Instruction for LEP Students

(Current Year Participants Only) # 55 Source of Postsecondary Education Information

* #57 School Code for Postsecondary Institution First

Attended* #58 College Status, Beginning of Academic Year* # 59 Certificate/Diploma Com pleted* #61 Associate Degree Attained * #63 Bachelor’s Degree Attained * #65 Postsecondary Enrollment Objective

(Numerator) #67 Postsecondary Remediation #68 Postsecondary Completion Objective

(Numerator) #69 Postsecondary STEM Degree **(3) How should the date fie** **lds be formatted ( e.g.,**  **fields #**  **8, 27, 39 ,**  **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 f

ormatted 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 b** **irth (field**  **#8), you**  **are required**  **to provide**  **the fu** **ll, 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: 0 9/14/2008. 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 prop erly 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.” S ince 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.9 

## S **UPPLEMENTAL** 

## I**NSTRUCTIONS FOR**  

## S **PECIFIC** 

## F**IELDS** 

## Project Identifiers **Field #1**

**— PR** 

**/ Award**  **Number (pre** **-**

**pop ulated)**  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 201 2 funds are used to support proj ect 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 release d revised, Department
wide guidance on how institutions should collect and maintain data on race and ethnicity and on how they should report such data in the aggregate: http:/ /www.ed.gov/legislation/FedRegister/other/2007

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

- 4/101907c.html Because Upward Bound grantees report individual data, they should not follow the portions of the guidance that cover aggregate reporting; they must, however, collect and maintain data as indicated in the guidance

. The Department required the new guidance to be implemented by the fall of 201 0 for the 2010

- 11 school year, though grantees were encouraged to implement earlier, if possible. **(Note that**  **projects may**  **leave the**  **race and**  **e thnicity**  **fields blank**  **for prior**  **year participants**  **who left**  **the project before the project implemented the guidanc** **e.)** 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 eff ort 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. F or further details on the guidance for collecting data, please see the full Federal Register notice. Grantees are responsible for implementing all relevant aspects of the guidance. Note that the Department encourages institutions to allow all current students to re -identify their race and ethnicity using OMB's 1997 standards (see page 59276 of the notice), but does not require institutions to do so.10 For definitions of the ethnicity and race categories, refer to the “Definitions That Apply” section of these instructions

. 

## Eligibility Information **Field s**  **#1 6** 

**– 1**  **8**

**— General Eligibility**  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 “low

income individual , ” a “potential f irst

-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 low

income individuals, potential first

-generation college students, or individuals who have a high risk for academic failure. In fields #16

– 18, please indicate “Yes,” “No,” or “Unknown” for each field. An individual participant mi ght meet one, two, or all three criteria. **Field s**  **#1 8** 

**– 21**  **-- A** **cademic Need** ( a t Initial S

election) 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 #18

–21 will indicate whether a student is at high risk for academic failure , as so defined, and therefore eligible for services. **Note, however,**  **that p**  **rojects must**  **respond to**  **fields 19** 

**– 21**  **for each**  **participant ,**  **whether or**  **not the**  **project based**  **its determination**  **of e** **ligibili ty**  **for that**  **student on**  **grounds of**  **a t** **- risk**  **status.** Regarding f

ield #19, also note that proficiency on state assessments is used for two purposes in the APR: as a criterion for at
-risk status here, and as measures of the academic proficiency PE objective in fields #42 and 43

. As explained in the instructions for fields #42 and 43, a project’s response for those fields may change over several reporting periods (if, for example, a student fails to achieve proficiency in tests administered in the 10 th grade, but succeeds in the 11 th grade). In field #19, 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. 

### Field #20

**— Low**  **Grade Point Average** Middle s chool 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 #21: Pre -** **Algebra or Algebra Course Not Completed By Beginning of 10**  **th Grade**  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 available 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 #22**

**— Limited English Proficiency Eligibility**  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 # 23**

**— Education Expectations**  This field captures information on the participant’s education expectations at first entry into the project. Please report the participant’s response to the following question: “How far in school do you think you will get?” The Department is gathering this information so as to allow the TRIO program 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, first

- generation students. 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 #24**

**— Diagnosed Learning Disability**  This information is being gathered to allow TRIO programs to respond to the requirement in the HEOA to prepare a performance report on the UB and UBMS pro grams to include comparative data on national performance of low

-11 income, first

-generation students. Again, data from this field may help TRIO in identifying subgroups of national datasets with greater validity for comparison purposes than would a broader group. **Field # 25** 

**— Disconnected Youth**  Please indicate whether one of the three groups identified (foster care youth, homeless children and youth, or other disconnected youth) applies to the participant. P lease refer to the “Definitions That Apply” for fur ther information on these groups. 

## Fields **Concerning Participation**  **in UB**  **or UBMS**  **a nd Status in Secondary School** 

**Field #26**

— 

### Target School Identification Numbers Provide the 12

-digit NCES school identification number for the secondary school the Upward Bound student attended at time of entry into the project. For “rising” ninth

-graders (those first served the summer between completing eighth grade and starting ninth grade), provide the NCES school identification number for the school the student attended (or will attend) as a ninth

-grader. The number can be obtained from the following Web site: 

### http://nces.ed.gov/ccd/schoolsearch
**Field #27**

**— 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. So as to ensure their proper placement in an expected high school graduation cohort year (field #29), students first served in the summer program should have a date of first project service no earlier than June 1. Use the original month and year of service at this project even if the student subsequently left and reentered. If the students transferred from another UB project, in this field give the month and year of first service at the project submitting the report. For continuing and prior participants, use the date entered in the earlier APR, even if it was a date of entry that differed from the date of first service. **Please note**  **that accuracy is particularly important for this field.** 
**Field #28**

**— 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. S elect “rising” 12th

- grader for those students who had completed 11th grade and would be entering 12th grade in the fall term. For all other students first served during the summer component, enter the grade the student would enter for the fall academic term (i.e., for students first served in the summer between ninth and 10th grades, the correct code is 10; for those first served in the summer between 10th and 11th grades, the correct code is 11). If a student 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 #28. If a student transfer

red from another UB project, in this field give the grade level at first service in the proj ect submitting the report. **Please note**  **that accuracy**  **is particularly**  **important fo**  **r this field.** 
**Field #29** 

**— Expected**  **High School**  **Graduation Cohort**  **Year** For all individuals who participated in UB or UBMS for the first time in this reporting period (new and transfer), please select the year in which the student was expected to graduate in spring or summer (e.g., Ju ne 2013). The year should be chosen assuming that the student would progress without delay from year to year and indeed graduate. **Once a**  **project has**  **completed final**  **submission of**  **its AP** **R, the**  **expected high**  **school graduation** 12 **cohort year**  **cannot be**  **changed; therefore,**  **project directors**  **should be**  **very certai** **n that**  **the grade**  **and date**  **at first**  **service (fields**  **#27 and**  **28) ,**  **on wh** **ich cohort**  **calculations are**  **based, are**  **accurate.** While the online APR Web application has data validations to check the calculation of new students ’ cohorts , the validations cannot catch errors in grade and date at first service

. For details of how expected high school graduation cohort years are established, please see the Grade

-Date
-Cohort table below

. A transfer's expected high school graduation cohort year must agree with the year established by his or her project of origin. **For continuing,**  **reentry,** 

### prior, **and transfer**  **participants, do**  **not change**  **or update**  **the cohort year previously established.**  Note that, for purposes of calculating the extent to which projects met their obj ectives for rigorous secondary program of study and postsecondary enrollment, all participants originally established in a n expected high school graduation cohort year will remain in that cohort, even if they leave the project.13 **GRADE -** **DATE -**  **COHORT TABLE** 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 UB or UBMS project f

irst served a student on June 3 in the waning days of grade 9, consider that student to have been first served in the summer before grade 10 (lines 9

– 15 of the table), not in grade 9 (lines 1

–8). Moreover, students first served in the summer program must have a date of first project service no earlier than June 1. Line If your student first received services from your

project in the summer before 9 th grade (that is, student was a rising 9 th

- grader in field 22 of the APR) or during 9 th grade in this time period... ...then his or her Expected High School Graduation Cohort Year should be... 1 Ju

ne 1, 2007

–

May 31, 2008 2011 2 Ju

ne 1, 2008

–

May 31, 2009 2012 3 Ju

ne 1, 2009

–

May 31, 2010 2013 4 Ju

ne 1, 2010

–

May 31, 2011 2014 5 Ju

ne 1, 2011

–

May 31, 2012 2015 6 Ju

ne 1, 2012

–

May 31, 2013 2016 7 Ju

ne 1, 2013

–

May 31, 2014 2017 8 Ju

ne 1, 2014

–

May 31, 2015 2018 If your student first received services from your project during 10 th grade or in the summer before 10 th grade in this time period... ...then his or her Expected High School Graduation Cohort Year should be... 9 Ju

ne 1, 2008

–

May 31, 2009 2011 10 Ju

ne 1, 2009

–

May 31, 2010 2012 11 Ju

ne 1, 2010

–

May 31, 2011 2013 12 Ju

ne 1, 2011

–

May 31, 2012 2014 13 Ju

ne 1, 2012

–

May 31, 2013 2015 14 Ju

ne 1, 2013

–

May 31, 2014 2016 15 Ju

ne 1, 2014

–

May 31, 2015 2017 If your student first received services from your project during 11 th grade or in the summer before 11 th grade in this time period... ...then his or her Expected High School Graduation Cohort Year should be... 16 Ju

ne 1, 2009

–

May 31, 2010 2011 17 Ju

ne 1, 2010

–

May 31, 2011 2012 18 Ju

ne 1, 2011

–

May 31, 2012 2013 19 Ju

ne 1, 2012

–

May 31, 2013 2014 20 Ju

ne 1, 2013

–

May 31, 2014 2015 21 Ju

ne 1, 2014

–

May 31, 2015 201614

If your student first received services from your project in the summer before 12 th grade (that is, student was a rising 12 th

- grader in field 22 of the APR) or during 12 th grade in this time period... ...then his or her Expected High School Graduation Cohort Year should be... 22 Ju

ne 1, 2010

–

May 31, 2011 2011 23 Ju

ne 1, 2011

–

May 31, 2012 2012 24 Ju

ne 1, 2012

–

May 31, 2013 2013 25 Ju

ne 1, 2013

–

May 31, 2014 2014 26 Ju

ne 1, 2014

–

May 31, 2015 201515 **Field #30**

**— Deceased or Incapacitated**  Self

-explanatory. **Field #31**

**— Participa** **nt 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 p a rti cip ant C ontinuing p ar

tic ipant Re entry p ar

ti cip a nt, previ ous ly s erve d by pro j e ct submitting report Pri or-year participant Trans f er p ar tic ipant Please refer to field #27 , 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 determine d 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. 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 Ju ne 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 #32**

**— Participation Level**  Self

-explanatory

. **Field #33** 

**— Served**  **By Another**  **Federally Funded**  **Program** Self

-explanatory

. **Fields #34**

**–**

**35 --**  

### Grade Levels Field #34 requests the participant’s grade level at the beginning of the academic year coinciding with the reporting p eriod (i.e., 2012

– 13); field #35 asks for the student’s grade level or postsecondary status at the beginning of the academic year following the reporting period (i.e., 201 3

– 1 4). These fields are used to determine if the participant has progressed to the next grade or graduated. F ield #34 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 #35 (secondary grade level or postsecondary status at the beginning of the academic year following the reporting period), please classify a student within a given secondary grade if that student has met the requirements for progression to that grade. For example, a student should be classified as an 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 ). In some cases, a student may be enrolled both in high school and in some postsecondary classes. If the student has not yet graduated from high school, select the appropriate high school grade level for the student. 

### Fields **# 36** 

**– 37** **-- Grade Point Averages**  Projects are encouraged to report data on GPA carefully. If information is not available for any of these fields, it is best to enter 0.000 (“Unknown”), rather than to copy the previous period’s information, giving the impression that GPA did not change. The cumulative grade point averages provided should be calcul ated 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 #20, Low Grade Point Average at time of initial selection).16 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 #36 and 37 choose 9.999, "Not applicable." Depending on the start and end dates of the reporting period, in fields #36 and 37 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 201 3 as a rising ninth

- grader, he should be reported as 9.999 in fields #36 and 37 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 #36 and 37 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 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 Advance d Placement courses, **in field**  **#36 the**  **project may**  **enter a**  **s core**  **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 #37**  ; 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 comparative purposes TRIO needs GPA data gathered in the same way. **For purposes**  **of calculating**  **the PE**  **objectiv e**  **on academic**  **performance using**  **G PAs,**  **the Department**  **will use the weighted GPAs entered into field #36. Report GPAs with three decimal places; do not round.** 
**Field # 38**

**— High School Graduation**  **Status** Self

-Explanatory

. **Field #39** 

**—**

**Actual Date**  **of High**  **School Graduation**  **( Or**  **C ompletion o** **f H** **igh S**  **chool Equivalency C**  **ertificate)** 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 12 th 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 #4**  **0**

**— Rigorous**  **Secondary School**  **Program of**  **Study Completed** Field #40 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 “De finitions That Apply” for the regulations’ definition of a rigorous secondary school program of study


### . **Field #41** 

**— Secondary**  **School Retention**  **and Graduation**  **Objective**

**— Numerator**  The denominator for calculating the PE obj ective 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 #41 (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 #42**

**– 43** 

**— High School Proficiency Objectives**  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 choose17 "Unknown" for field #42 and/or #43 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 whi ch the project has met its targets for the academic achievement objective. **Field #44** 

**—**

**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, first

generation students. The data from field #44 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 compl eted at least one AP or IB course. D o 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. S imply choose “Yes” if the student **completed at least one AP or IB cou rse.**  Advanced placement (AP) courses offer students the opportunity to study a subj ect 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 Baccalau reate (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 participants, if information for these fields is not readily available, please use 0 = Unknown. **Field #4 5** 

**— Dual**  **E nrollment**  **Participation** Field #4 5 allows grantees to report students’ participation in dual enrollment programs which, for the pur pose 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). Report students who participated in such programs during reporting period 2012

– 13, regardless of whether they actually earned college credit. **Note:** Students in dual enrollment programs should not be reported in fields #5 5

–69 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 (#5 5

–69) in the APR. For prior participants, if information for these fields is not readily available, please use 0 = Unknown.
**F ield #4**  **6 --**  **Advanced Math Courses Completed** 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

. ” If the participant completed two years of mathematics beyond algebra 1 (e.g., geometry, algebra 2, trigonometry, or pre -calculus) by the end o f the 12 th grade, select option 1. For prior participants, if information for these fields is not readily available, please use 0 = Unknown. **Field #4 7** 

**— FA** **FSA Completed**  Please indicate whether the participant 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 participants, if information for these fields is not readily available, please use 0 = Unknown.
**Field #4 8** 

**— 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 the18 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 participant and record a date of last project service for him or her, even if the date occurred in the prior reporting period. For those Upward Bound participants who dropped out of the program, it would be best to use the date the participant last attended an Upward Bound activity or received any kind of help from the project. This could include contacting a student regarding attendance in project activities, providing advice, counseling, etc. If that information is not available, you may use the date the project dropped the student from its list of active participants. For those students who stay in the program until high school graduation, the date of last program service would be either the high school graduation date or, for those participants in the summer bridge program, the end of the summer program. **Field #4 9** 

**— Reason for Leaving Project**  Pl ease select the code that best describes the reason the participant withdrew from the project. **Fields # 50** 

**– 5**  **4**

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

. Of the academic instruction and services required or permitted by the authorizing statute and implementing regulations, t he 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 servic e, 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 know students’ college enrollment status (both for recent high school graduates and prior participants) at the first opportunity

. If you gather data about a student’s postsecondary status after the end of the reporting period, but before the due date for the report, please include 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 #31]. 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. **Field s #5**  **5**

**– 5**  **6** Self

-explanatory

. **Field #5 7** **-- School Code for Postsecondary**  **Institution First Attended** 19 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 co de 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 #5**  **8**

**— College**  **Status at**  **Beginning of**  **A cademic**  **Y ear 2013** 

**– 14**  For current year and prior year participants whose postsecondary education status is known, in field #5 8 provide information on the student’s college status at the beginning of ac ademic year 2013

– 14.

**F ields #** **59**

**– 6** **4 :**  **Postsecondary Credentials Earned**  The information in fields # 59

–64 will allow the Department to report on participants’ attainment of various kinds of credentials over varying lengths of time, as specified in the p erformance 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 #6** **4 --**  **Bachelor’s Degree**  **Attained:** For a student enrolled in a dual degree 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 #6 5** 

**— Postsecondary Enrollment Objective** **-- Numerator**  The denominator for calculating the PE objective on postsecondary enrollment is all current and prior participants in the 2013 expected high school graduation cohort

. Participants coded 1 or 2 in field #6 5 (those in the denominator who received a regular secondary school diploma and 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 #6 6** **- -** **Postsecondary Education 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 includes students 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.20 **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 be able to indicate accurate cohorts, or coding of 9999 if appropriate, for their prior participants. The Department will verify these grantees’ coding of prior participants against the Upward Bound system of records. All grantees should note that, while the **expected high**  **school graduation**  **cohort year**  (field #29) is established prospectively in the year the student is first served (when high school graduation might be as much as four years in the future), the **postsecondary education**  **cohort** is established retrospectively: It can be set for a student only when he or she has both graduated from high school (whether or not in the year of the expected high school graduation cohort ) and then enrolle d in a postsecondary education program by the fall term immediately following high school graduation or by the next academic term as a result of acceptance but deferred enrollment.
**Field # 6**  **7 -** **Postsecondary Remediation**  This information is needed for rep orting on one of the performance measures described in the 201 2 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 prior participants in the 2013 postsecondary education cohort (see field #66). For a definition of remediation, please see “Definitions That Apply .”
**Field #6** **8**

**— Postsecondary**  **Completion Objective** 

**— Numerator**  **( T**  **o B**  **e U** **sed F** **irst f**  **or R** **eporting Y** **ear 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 cohort (the denominator; see field #6 6) 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 me ets its target for the postsecondary completion objective. **Field #69**

**— Postsecondary STEM degree**  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 cohort (field #66) 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 inf ormation is needed for reporting on one of the performance measures described in the 2012 UB and UBMS grant applications and listed in “Definitions That Apply .” UB grantees should choose option 9, “Not applicable, student was a participant in regular UB program only, not UBMS.” S TEM fields include mathematics, natural sciences (including physical , biological, and agricultural sciences), engineering and engineering technologies, and computer and information sciences.21 

### DEFINITIONS THAT APPLY **Upw ard 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 four

point 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**  **Grad uation**  **: 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**  **Graduat ion**  **(Rigorous Secondary School Program of Study)**  **: X**  **%** of all current and prior year UB participants, who at the time of entrance into the project had an expected high school graduation date in the school year, will complete a rigorous secondary school pro gram of study and graduate in that school year with a regular secondary school diploma. **Postsecondary Enrollment**  : X% of all current and prior UB participants, who at the time of entrance into the project had an expected high school graduation date in the school year, 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 grad uation 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. **Upw ard**  **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 12 th 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 a nd within two years for the associate degree; 5. The percentage of UB participants who enrolled in a 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 in22

the reporting year that complete a Free Application for Federal Student Aid (FAFSA); and 7. The cost per successful participant. **Ethnicity and Race**  **C ategories (F** **ield s**  **# 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 Europ e, 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

**– 2**  **1 )**  **Low -** **income ind** **ividual** 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 f** 

**irst -**  **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**  **fo r**  **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 #22)** 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

. **Disconnected Youth (Field #25) 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). **Other disconnected**  **youth** includes youth (excluding those in the two preceding groups) involved in the juvenile justice system or those who are neither employed nor enrolled in an education institution

. **Academic Y ear (** **F ield** **s: #34, #35,**  **#36, #37,**  **#38, and**  **#58)** 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, for purposes of determining a student’s expected high school graduation cohort year, June 1 is the beginning date for grade at first entry; see instructions for Field #28 .)23

**R i** **g orous**  **Secondary Scho**  **ol Program**  **of Study (Fie** **ld #40)** 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 State s 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 studi es. (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 f or at least two of those courses. **Regular Secondary School Diploma (Field #41)**  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 # 50** 

**– 5**  **4 )**  **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 proj ect for the purpose of exposing participants to careers requiring a postsecondary degree. Upward Bound students participating in one of these work

- study positions may be paid a stipend of $300 per month during June, July, and August. Include in this field only those work

- study positions for which the Upward Bound participant received a stipend from the project. **Employment --**  Means jobs of at least 10 hours per week arranged either by the project or by the Upward Bound participant that are separate from the Upward Bound program. In contrast to the “work

- study” positions, these jobs are primarily to allow participants to earn some income while participating in the program. **Cultural A** **ctivities --**  Means any project sponsored activities, such as field trips, sp ecial lectures, and symposiums, that have as their purpose the improvement of the24

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 #63) 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 com pleted four years of postsecondary instruction, in field #63 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. **Postsecond ary Remediation (Field #67** **)** For the purpose of APR reporting, remedial education courses are defined as courses in reading, writing, or mathematics for college

level students lacking those skills necessary to perform college

-level work at the level required by the institution.