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 grant (budget) period 

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. 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 #29) was 2013 (that is, the student 

was expected to graduate from high school in the 

spring or summer of 2013), even for those participants 

who have left the project. 

E. How long must prior participants’ data be 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. Because 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. 

In addition, to the extent possible, projects were 

required to provide updated information on these 

participants' academic progress. This requirement 

applied 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 completed

postsecondary education, the project did not need to 
2

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 rules for keeping participants on the APR 

file will continue to apply in the 2012–17 grant 

cycle. Because the rules were put into effect 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 

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, and all grantees 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. 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. 

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. 

 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 must pass the first level of 
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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.

Part 1.B, the Certification, directs you to fax a signed copy 

of Section I, Part 1 of the report form, certifying 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, 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 decisionmaking, and improvements in productivity. The 

Department will derive data on projects’ service to 
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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. 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 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 Unweighted

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:

#46 Advanced Math Courses Completed

#47 FAFSA Completed

#67 Postsecondary Remediation

#69 Postsecondary STEM Degree

And finally, to respond to the performance measures 

that involve attainment of certificates and degrees by 

varying periods of time, fields #59–63 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 69 data fields of which 

three are project identifiers. The remaining 66 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

#16–21 Eligibility fields

#27 Date of First Project Service

#28 Grade Level at First Service

#29 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

#48 Date of Last Project Service

#56 Date of First Postsecondary Enrollment

#60 Date of Certificate/Diploma

#62 Date of Associate Degree

#64 Date of Bachelor’s Degree

#66 Postsecondary 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 

Completed*

#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

#45 Dual Enrollment Participation 

#46 Advanced Math Courses Completed

#47 FAFSA Completed

#49 Reason for Leaving Project

#50 Work Study Position 

(Current Year Participants Only)

#51 Employment

(Current Year Participants Only)

#52 Cultural Activities 

(Current-Year Participants Only)

#53 Community Service 

 (Current Year Participants Only)

#54 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 Completed*

#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 fields 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 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.
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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 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

Fields #16–18—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 “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 fields #16–18, please indicate “Yes,” “No,” or

“Unknown” for each field. An individual participant 

might meet one, two, or all three criteria. 

Fields #18–21--Academic Need (at 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 

#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 projects 

must respond to fields 19–21 for each participant,

whether or not the project based its determination 

of eligibility for that student on grounds of at-risk 

status.

Regarding field #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 10th grade, but succeeds in the 11th

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 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 #21: Pre-Algebra or Algebra Course Not 

Completed By Beginning of 10th 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 programs 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. Please refer 

to the “Definitions That Apply” for further information on 

these groups.

Fields Concerning Participation in UB or 

UBMS and 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. Select “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 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 #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., 

June 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 APR, the expected high school graduation 
12

cohort year cannot be changed; therefore, project 

directors should be very certain that the grade and 

date at first service (fields #27 and 28), on which 

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 objectives for rigorous secondary 

program of study and postsecondary enrollment, all 

participants originally established in an 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 first 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 9th grade (that is, 

student was a rising 9th-grader in field 22 of the 

APR) or during 9th grade in this time period...

...then his or her Expected High 

School Graduation Cohort Year 

should be...

1 June 1, 2007–May 31, 2008 2011

2 June 1, 2008–May 31, 2009 2012

3 June 1, 2009–May 31, 2010 2013

4 June 1, 2010–May 31, 2011 2014

5 June 1, 2011–May 31, 2012 2015

6 June 1, 2012–May 31, 2013 2016

7 June 1, 2013–May 31, 2014 2017

8 June 1, 2014–May 31, 2015 2018

If your student first received services from your 

project during 10th grade or in the summer before 

10th grade in this time period...

...then his or her Expected High 

School Graduation Cohort Year 

should be...

9 June 1, 2008–May 31, 2009 2011

10 June 1, 2009–May 31, 2010 2012

11 June 1, 2010–May 31, 2011 2013

12 June 1, 2011–May 31, 2012 2014

13 June 1, 2012–May 31, 2013 2015

14 June 1, 2013–May 31, 2014 2016

15 June 1, 2014–May 31, 2015 2017

If your student first received services from your 

project during 11th grade or in the summer before 

11th grade in this time period...

...then his or her Expected High 

School Graduation Cohort Year 

should be...

16 June 1, 2009–May 31, 2010 2011

17 June 1, 2010–May 31, 2011 2012

18 June 1, 2011–May 31, 2012 2013

19 June 1, 2012–May 31, 2013 2014

20 June 1, 2013–May 31, 2014 2015

21 June 1, 2014–May 31, 2015 2016
14

If your student first received services from your 

project in the summer before 12th grade (that is, 

student was a rising 12th-grader in field 22 of the 

APR) or during 12th grade in this time period...

...then his or her Expected High 

School Graduation Cohort Year 

should be...

22 June 1, 2010–May 31, 2011 2011

23 June 1, 2011–May 31, 2012 2012

24 June 1, 2012–May 31, 2013 2013

25 June 1, 2013–May 31, 2014 2014

26 June 1, 2014–May 31, 2015 2015
15

Field #30—Deceased or Incapacitated

Self-explanatory.

Field #31—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 #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 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.

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 #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 period (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., 2013–14). These fields are used to 

determine if the participant has progressed to the next 

grade or graduated. Field #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 

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 #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 2013

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 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 #36 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 #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 objective on 

academic performance using GPAs, 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 

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 #40—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 “Definitions 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 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 #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 choose 
17

"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 which 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, firstgeneration 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 

completed at least one AP or IB course. 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.

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 participants, if information for these fields is not 

readily available, please use 0 = Unknown.

Field #45—Dual Enrollment Participation

Field #45 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). 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 #55–69 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 (#55–69) in the APR. 

For prior participants, if information for these fields is not 

readily available, please use 0 = Unknown.

Field #46-- 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 of the 

12th grade, select option 1. 

For prior participants, if information for these fields is not 

readily available, please use 0 = Unknown.

Field #47—FAFSA 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 #48—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 
18

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 #49—Reason for Leaving Project

Please select the code that best describes the reason the 

participant withdrew from the project.

Fields #50–54—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, 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 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.

Fields #55–56

Self-explanatory.

Field #57-- 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 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 #58—College Status at Beginning of 

Academic Year 2013–14

For current year and prior year participants whose 

postsecondary education status is known, in field #58

provide information on the student’s college status at 

the beginning of academic year 2013–14. 

Fields #59–64: 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 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 #64-- 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 #65—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 #65 (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 #66--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 enrolled 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 #67-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 prior 

participants in the 2013 postsecondary education 

cohort (see field #66). For a definition of remediation, 

please see “Definitions That Apply.”

Field #68—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 

cohort (the denominator; see field #66) 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 #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 information 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.” STEM fields include mathematics, 

natural sciences (including physical, biological, and 

agricultural sciences), engineering and engineering 

technologies, and computer and information sciences. 
21

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 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 

program 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 

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.

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 

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 
22

the reporting year that complete a 

Free Application for Federal Student 

Aid (FAFSA); and

7. The cost per successful 

participant.

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 #16–21)

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 #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 Year (Fields: #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

Rigorous Secondary School Program of

Study (Field #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 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 (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 #50–54) 

Work-study positions (as the term is used 

in the Higher Education Act of 1965, as 

amended in 1998, Section 402C(b)(10)) 

means internships and/or employment 

provided or arranged for by the project for 

the purpose of exposing participants to 

careers requiring a postsecondary degree. 

Upward Bound students participating in one 

of these work-study positions may be paid a 

stipend of $300 per month during June, July, 

and August. Include in this field only those 

work-study positions for which the Upward 

Bound participant received a stipend from 

the project. 

Employment-- Means jobs of at least 10 

hours per week arranged either by the 

project or by the Upward Bound participant 

that are separate from the Upward Bound 

program. In contrast to the “work-study” 

positions, these jobs are primarily to allow 

participants to earn some income while 

participating in the program. 

Cultural Activities-- Means any project

sponsored activities, such as field trips, 

special lectures, and symposiums, that have 

as their purpose the improvement of the 
24

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 

completed 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.

Postsecondary Remediation (Field #67)

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.