High School Equivalency Program Annual Performance Report

High School Equivalency Program

U.S. Department of Education

Annual Performance Report and

Final Performance Report

Instructions

Table of Contents

Organization..…………………………………………………………………………2

Introduction..…………………………………………………………………………3

General Instructions for HEP Performance Reporting....………………………..6

Instructions for the Cover Sheet Form..…………………………………………....8

Instructions for the Performance Report Form .………………………………….12

Instructions for the HEP GPRA 1 Documentation Form .…………………..........33

Appendix 1 The Cover Sheet Form

Appendix 2 The Performance Report Form

Appendix 3 The HEP GPRA 1 Documentation Form

Organization

The Annual Performance Report (APR) is organized into four (4) reporting mediums (files):

1. The Cover Sheet,

2. Performance Report Form: Blocks A-C and E2 (Microsoft (MS) Excel format),

3. Performance Report Form: Blocks D, E1 and F (MS Word format), and

4. The HEP GPRA 1 Documentation Form (MS Word Format, separate file).

The Office of Migrant Education (OME) has divided the report into these sections due to the two types of content: text and numerical. The following table summarizes the sections (blocks) and the type of mediums (files) being reported. Ultimately, all sections of the APR will be submitted through the G5 system.

Sections of Annual Performance Report
Sections	Reporting Format	Type
Cover Sheet	G5 (online)	Text/Online
Block A	MS Excel	Numerical
Block B	MS Excel	Numerical
Block C	MS Excel	Numerical
Block D	MS Word	Text
Block E	E1 in MS Word	Text
	E2 in MS Excel	Numerical
Block F	MS Word	Text
HEP GPRA 1 Doc. form	MS Word (separate file)	Text/Signature

The Cover Sheet is to be submitted online through the G5 system. Performance Report Form: Block A, Block B, Block C and Block E2 is to be reported in the MS Excel format file and then uploaded into the G5 system. Performance Report Form: Block D, Block E1 and BLOCK F is to be reported in MS Word format ultimately converted into a Portable Document Format (.PDF) file and then uploaded into the G5 system. HEP GPRA 1 Documentation Form will also be a MS Word format file MS Word file converted into a .PDF and then uploaded into the G5 system.

For your convenience, the Performance Report Form: Block A, Block B, Block C and Block E2 (MS Excel format file) has a color coding system to clearly show the type of information you must provide.

Performance Report Form: Block A, Block B, Block C and Block E2 (MS Excel File) Color Coding
Highlighted Color	Information to be entered
Blue	Enter Numerical
Yellow	Check Box
Green	Enter Text

Introduction

The High School Equivalency Program (HEP) is intended to assist migrant and seasonal farmworker students in obtaining the equivalent of a high school diploma and, subsequently, to begin postsecondary education, enter military service, or obtain employment. The legislation that authorizes the HEP program¹ and the Education Department General Administrative Regulations (EDGAR)² require each of the funded projects to submit an annual performance report demonstrating that substantial progress has been made towards meeting the approved objectives of the project. In addition, the Department requires grantees to report annually on their progress toward meeting the performance measures established for the ED grant programs under the Government Performance and Results Act (GPRA). The performance reporting forms included here are the tools designated by the Department for grantee reporting.

The HEP GPRA measures are listed below:

Objective 1 of 2: An increasing percentage of HEP participants will receive their High School Equivalency (HSE) credential.

Measure 1.1 of 1: The percentage of HEP program exiters receiving an HSE credential. (Desired direction: increase³)

Calculation: This measure is calculated by dividing the number of HSE attainers (the number of HEP HSE eligible students who received an HSE credential by the end of the reporting period) by the total number funded, as per the approved application by the Office of Migrant Education (OME), or the number actually served (whichever is greater), MINUS the number of persisters. The MS Excel Form has been formulated to perform this operation.

For example:

1. For grantees that actually serve LESS than the number funded to be served or serve

exactly the total number funded to be served:

GPRA Measure 1= total number of HSE attainers

[total no. funded to be served minus total number of persisters]

For grantees that actually serve MORE than the number funded to be served.

GPRA Measure 1= total number of HSE attainers

[total no. actually served minus total number of persisters]

Example:

Grant Year	Incoming Students			Outgoing Students				GPRA 1.1 (Percent attaining a HSE)
	Total Funded	New	Returning from Previous Year	Total Funded	HSE Attainers	Withdrawals	Persisters (coming back in subsequent year)
Year 1	100	100	0	100	65	30	5	68%
Year 2	100	95	5	100	70	25	5	74%

In this example, for grant Year 1, the denominator equals 95 (100 total funded minus 5 persisters). The numerator equals 65 ( HSE attainers), for a “success rate” of 65/95 or 68 percent. For grant year 2, the denominator equals 95 (100 total funded minus 5 persisters). The numerator equals 70 ( HSE attainers), for a success rate of 70/95 or 74 percent.

Objective 2 of 2: An increasing percentage of HEP recipients of an HSE credential will enter postsecondary education or training programs, upgraded employment, or the military.

Measure 2.1 of 1: The percentage of HEP HSE recipients who enter postsecondary education or training programs, upgraded employment, or the military. (Desired direction: increase)

Calculation: This measure is calculated by dividing the number of HSE attainers from the current reporting period who entered postsecondary education or training programs, upgraded employment, or the military by the total number of HSE attainers. The MS Excel Form is formulated to perform the calculation.

Example:

Grant Year	Total HSE Attainers	Entered Postsecondary Education or Training Programs or Upgraded Employment or Entered the Military	GPRA 2.1 (Percent achieving placement)
Year 1	65	60	92%
Year 2	70	50	71%

In this example, for grant Year 1, data collected in the first quarter of grant Year 2 indicates that, of the 65 HSE attainers, 60 entered postsecondary education or upgraded their employment or entered the military (this is an unduplicated count). The numerator is 60, the number of HSE attainers who entered postsecondary education or training programs, upgraded employment, or the military. The denominator is 65, the number of HSE attainers, for a placement of 60/65, or 92 percent. For grant Year 2, in which there were 70 HSE attainers, the numerator equals 50, for a success rate of 50/70 or 71 percent.

Note: The program office believes that “upgraded employment” is consistent with the intention of funding, which is to improve the employment prospects of individuals through attainment of the HSE credential. For some individuals, attaining an HSE credential may be a requirement of continued employment; this also is consistent with the intention of funding.

The program office also will calculate an efficiency measures for each project. Grantees do not calculate or report on these measures. Rather, data that grantees report will be used to calculate the measures, which are provided below.

Efficiency Measure: Project success efficiency ratios are calculated as the total budget awarded for that reporting period divided by the number of HSE attainers (as reported on the APR) for that period. The MS Excel Form is formulated to perform the calculation.

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 32 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit (Public Law 103-62-418A ). Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 1810-0684.

General Instructions for HEP Performance Reporting

Each HEP grantee must complete and submit an Annual Performance Report (APR) for project Years 1 through 4. For project Year 5, each grantee must submit a Final Performance Report, which will report information on Year 5 and cumulative information for all project years. (The MS Excel Form is formulated to perform the calculation.)

Grantees will use the same Performance Report form for both the APR and the Final Performance Report. (A sample of this form is found in Appendix 2.) If you are reporting on Year 5, then you should indicate, at the top of the Cover Sheet, that you are submitting a Final Performance Report. The reporting period for an APR is the budget period stated in section 6 of your Grant Award Notification (GAN). The reporting period for the Final Performance Report is both the Year 5 budget period and the performance period stated in Section 6 of your (GAN). The performance period covers all five years, cumulative.

These instructions guide grantees in filling out the Performance Report form for either an APR or a Final Performance Report. Where applicable, separate instructions are provided depending on whether a grantee is submitting an APR or a Final Performance Report. Grantees should follow these instructions carefully.

These instructions also provide guidance on completing the Cover Sheet (a sample of which is found in Appendix 1) and the documentation form (a sample of which is found in Appendix 3). Grantees will submit: 1) the Cover Sheet, 2) the HEP Performance Report, and 3) the HEP GPRA 1 Documentation form as three separate uploads in G5.

If you have questions about how to complete one or more of these three documents, please contact your assigned program officer.

Organization and Date Utilization

The HEP performance report is divided into a Cover Sheet and the following seven sections:

Section A – HEP Project Statistics and Reporting for GPRA (MS Excel File)

Section B – HEP Project Student Participant Information (MS Excel File)

Section C – HEP Project Services Information (MS Excel File)

Section D – HEP Project Goals and Objectives (MS Word File)

Section E – HEP Project Budget Information (E1: MS Word File; E2: MS Excel File)

Section F –Additional Information (MS Word File)

The HEP GPRA 1 Documentation Form (MS Word File)

All MS Word Forms must be converted to the Portable Document Format (.PDF) for submitting in the G5 system.

Data Utilization

Together, these sections will be used by the program office to answer the following evaluation questions decided upon by the program office:

1. To what extent have program goals been accomplished? (Section A; GPRA reporting)

2. What service models had the most positive outcomes? (Sections B and C)

3. What service models had the best efficiency ratios? (Sections C and E)

4. What percentage of project goals was achieved (i.e., met or exceeded)? (Section D)

The MS Excel File has tabs labeled Block A through Block F which correspond to Sections A through F in the APR form.

Findings from aggregated grantee reports, as they pertain to the above stated evaluation questions, will be published for public record and for program and grantee use in better understanding effective service models and strategies.

Instructions for the Cover Sheet Form

Instructions for items 1, 3, and 4 are included on the Cover Sheet itself. Instructions for items 2 and 5 through 12 are included below.

Item 2. Grantee NCES ID Number/Item 2

-- Annual (for Years 1-4) and Final Performance Reports (for Year 5 and Cumulative):

Item 2 only applies to HEP grantees that are Institutions of Higher Education (IHE). Grantees that are nonprofit organizations should leave Item 2 blank.

A grantee that is an IHE should write its IPEDS identification number rather than an NCES ID number. This number can be found at the following link: http://nces.ed.gov/globallocator

Item 5. Grantee Address

Instructions for Submitting Address Changes

-- Annual (for Years 1-4) and Final Performance Reports (for Year 5 and Cumulative):

If the grantee address that is listed in Block 1 of your GAN has changed, submit the new address information to your program officer immediately.

Item 6. Project Director

-- Annual (for Years 1-4) and Final Performance Reports (for Year 5 and Cumulative):

Please enter the name, title, phone number, fax number and email address of your approved Project Director listed in Block 3 of your GAN.

Note: Changing the approved Project Director requires prior approval from ED and may only be requested for a grant whose performance period has not ended. If you wish to change your Project Director, notify your program officer immediately.

Item 7. Reporting Period

-- Annual Performance Reports (for Years 1-4):

Due Date: Your APR must be submitted by November 15th of each project year.

The reporting period is aligned with the current budget period. Please enter the start date and end date of your current budget period, which may be found in Block 6 of the GAN. Complete data on all measures are due with this performance report.

-- Final Performance Reports (for Year 5 and Cumulative):

Due Date: Final Performance Reports must be submitted by November 15th of the final project year. If you receive a no-cost time extension from ED for the fifth year of this grant, the Final Performance Report is due 90 days after the revised project period end date.

There are two reporting periods for the Final Performance Report:

The first reporting period is the budget period for Year 5 of your project. Please enter the start and end dates for the Year 5 budget period from Block 6 of the GAN.

The second reporting period covers the entire performance period (five years), which is also found in Block 6 of the GAN. Due to space limitations, you will not enter these dates on the Cover Sheet. However, you will enter data from this reporting period (covering all five years, cumulative) in those sections of the performance report that ask for “Final” project data. Complete data on all performance measures are due with the Final Performance Report.

Item 8. Budget Expenditures [Also See Section E]

The budget expenditure information requested in items 8a – 8c must be completed by your Business Office.

Note: For the purposes of this report, the term “budget expenditures” means allowable grant obligations incurred during the periods specified below. (See EDGAR, 34 CFR 74.2; 75.703; 75.707; and 80.3, as applicable.)

For budget expenditures made with Federal grant funds, you must provide an explanation in Section E (Budget Information) if you have not drawn down funds from the G5 System to pay for these budget expenditures.

--Annual Performance Reports (For Years 1-4):

• Report your actual budget expenditures for the entire previous budget period in item 8a. If you are reporting on the first budget period of the project, leave item 8a blank. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire previous budget period.

• Report your actual budget expenditures for the current reporting period in item 8b. Some expenditures that were encumbered during the current reporting period may have cleared after the close of the reporting period. Those expenditures should be included in 8b as well. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the current reporting period.

--Final Performance Reports (for Year 5 and Cumulative):

• Report your actual budget expenditures for the entire previous budget period in item 8a. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire previous budget period.

• Report your actual budget expenditures for the final budget period (Year 5) in item 8b. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the final budget period.

• Report your actual budget expenditures for the entire project period (i.e., the performance period) in item 8c. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire project period. Your project period (performance period) start and end dates are found in Block 6 of the GAN.

Item 9. Indirect Costs

The indirect cost information requested in Items 9a – 9d must be completed by your Business Office.

--Annual (for Years 1-4) and Final Performance Reports (for Year 5 and Cumulative):

• Item 9a -- Please check “yes” or “no” in item 9a to indicate whether or not you are claiming indirect costs under this grant.

• Item 9b -- If you checked “yes” in item 9a, please indicate in item 9b whether or not your organization has an Indirect Cost Rate Agreement that was approved by the Federal government.

• Item 9c -- If you checked “yes” in item 9b, please indicate in item 9c the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, please indicate whether ED or another Federal agency (Other) issued the approved agreement. If you check “Other,” please specify the name of the Federal agency that issued the approved agreement. For Final Performance Reports only, check the appropriate box to indicate the type of indirect cost rate that you have – Provisional, Final, or Other. If you check “Other,” please specify the type of indirect cost rate.

• Item 9d – For grants under Restricted Rate Programs (EDGAR, 34 CFR 75.563), please indicate whether you are using a restricted indirect cost rate that is included on your approved Indirect Cost Rate Agreement or whether you are using a restricted indirect cost rate that complies with 34 CFR 76.564(c)(2). Note: State or Local government agencies may not use the provision for a restricted indirect cost rate specified in EDGAR, 34 CFR 76.564(c)(2). Check only one response. Enter “N/A” if this item is not applicable.

Item 10. Annual Institutional Review Board (IRB) Certification

--Annual (for Years 1 – 4) and Final Performance Reports (for Year 5 and Cumulative):

Annual certification is required if Attachment HS1, Continuing IRB Reviews, was attached to the GAN. If this is the case, grantees must attach the IRB certification to the performance report.

Check “yes” if annual IRB certification is required by Attachment HS1 and attached to the performance report. Check “no” if annual IRB certification is required by Attachment HS1 but is not attached to the performance report. Check “N/A” if annual IRB certification does not apply to your grant.

Item 11. Performance Measures Status

--Annual (for Years 1 – 4) and Final Performance Reports (for Year 5 and Cumulative):

You must check “yes” in item 11a. Complete data on performance measures for the current reporting period must be submitted with your APR, and complete data on performance measures for your final budget period and the entire performance period must be submitted with your Final Performance Report. Leave item 11b blank.

Item 12. Certification

-- Annual (for Years 1 – 4) and Final Performance Reports (for Year 5 and Cumulative):

The authorized representative is the person who signed the grant application or has been officially designated to sign the performance report. The signature of the grantee’s authorized representative is not required. However, by submitting the performance report through G5, each grantee is certifying that the authorized representative has approved the report.

If the person who serves as the authorized representative for your grant has changed, submit the name and contact information for this new authorized representative to your program officer immediately.

Note: Grantees are only required to complete the Cover Sheet form up to the signature lines.

If the grantee has any known internal control weaknesses concerning data quality (as disclosed through audits or other reviews), this information must be disclosed under Section F (Additional Information), as well as the remedies taken to ensure the accuracy, reliability, and completeness of the data.

Instructions for the Performance Report Form

Instructions for Sections A, B, and C

• If the value to be reported is zero, then enter a “0” in the cell; do not leave the cell blank.

• If the data prompt to be reported is not applicable to your project, then enter “N/A” in the cell; do not leave the cell blank.

Instructions for Sections A and B

Sections A and B contain columns for Years 1 through 5 of the project. Fill in the column that corresponds to the project year that is being reported. In Year 1, this would be column Y1. In Year 2, this would be Y2, etc.

Fill in the Y5 and Final columns with the Final Performance Report. Fill in the “Final” column with the sum of the numbers entered for each of the five project years. (The MS Excel Form is formulated to perform this calculation.)

Example:

In year one of a project funded to serve 100 total students per year, data entry would look like:

Example	Y1	Y2	Y3	Y4	Y5	Final
a. Number funded to be served	100

In year two, the APR should take the following format:

Example	Y1	Y2	Y3	Y4	Y5	Final
a. Number funded to be served	100	100

The Final Performance Report (Year 5) should take the following format:

Example	Y1	Y2	Y3	Y4	Y5	Final
a. Number funded to be served	100	100	100	100	100	500

Instructions for Section A – HEP Project Statistics and Reporting for GPRA (Completed in MS Excel file.)

Section A collects data on the number of students served and the number of students achieving program and project objectives. Items from section A are used by the program office to calculate GPRA and efficiency measures.

Item A1

Item A1 requests information on the number of students served during the reporting period. Item A1a requests data on the number of students that the project was funded to serve. Item A1b requests data on the number of students actually served in HSE instruction, which is further disaggregated in items A1b 1 and 2 into the number of students served in HSE instruction who were new participants and returning participants, respectively.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• Number funded to be served: Number of participants officially funded by the HEP grant to be enrolled in HSE instruction in your HEP project in this reporting period.

• Number served in HEP HSE instruction: The number of HEP HSE eligible students who completed intake and were enrolled and attending HEP HSE instruction for at least 12 hours of instructional services in this reporting period or who were enrolled for the sole purpose of taking the HSE assessment in the reporting period.

• New participant: The number of HEP HSE eligible students who completed intake and were enrolled and attending HEP HSE instruction for at least 12 hours of instructional services in this reporting period who were new to the project (i.e., not enrolled in HEP HSE instruction in the immediately previous budget period).

Note: 1.) Students who participated in HEP services during budget periods other than the immediately previous budget period are considered “New Participants.”

2.) This count would also include any students who participated in HEP services in the immediately previous budget period but were not counted as persisters at the end of that budget period because they did not enroll in the HEP services during the current reporting period until after the APR was submitted on November 15th.

• Returning participant: The number of HEP HSE eligible students who met the following criteria:

  • completed intake in the budget period immediately previous to the one being reported,

  • did not attain a HSE in the budget period immediately previous to the one being reported, but either

• were enrolled and attending HEP HSE instruction for at least 12 hours of instructional services in the current reporting period, or

• were enrolled for the sole purpose of taking the HSE assessment in the current reporting period.

Note: 1) This count should equal the number of persisters (including persisters from the 5^th year of the grant) from the budget period immediately previous to the one being reported. In other words, this count includes students who participated in project services in the current reporting period but did not complete intake in this reporting period.

2) Students from the immediately previous budget period who returned to the project during the current reporting period after the November 15^th due date for the APR must be reported as “New Participants” in the current reporting period.

3) Similarly, students who return to HEP in the current reporting period from any budget period other than the immediately previous budget period are to be reported as “New Participants” in the current reporting period.

Data quality check (The MS Excel Form is formulated to perform the calculation.)

The number of students reported in items A1b1 and A1b2 should sum exactly to the number of students reported in item A1b.

The number of returning students (item A1b2) should equal the number of persisters reported in Item A2c in the previous year’s APR.

Note: Item A1b does not address the total number of participants recruited to be served. Each grantee may have served fewer students than it recruited. Grantees are required to report the number they actually served (not the number they recruited).

Reporting Block, Item A1 (For illustration purposes only; do not report data here)

A1. Number of students served during reporting period.	Y1	Y2	Y3	Y4	Y5	Final
Number funded to be served	60	60	60	60	60	300
Number served in HEP HSE instruction (note: A1b1 + A1b2 should sum to equal A1b)	48	48	60	60	60	276
Number served who were new participants (first year in HEP) (subset of A1b)	48	45	55	57	56	261
Number served who were returning participants (subset of A1b)	0	3	5	3	4	15

Item A2

Item A2 collects data on the status of student participants at the end of the current reporting period. Item A2a requests data on the total number of students who attained their HSE during the current reporting period (GPRA 1) while item A2b requests data on the total number of students who withdrew from the project during the current reporting period. Item A2c requests data on the number of persisters who will be returning for services in the subsequent year. Note that students may be classified into one status group only (i.e., provide an unduplicated count of students).

All HEP projects are also required to submit to OME, as a supplement to their performance report, a list of their students who have obtained a HSE during the one-year reporting period. This documentation supports the information reported in item A2a, which is the basis on which OME will calculate performance under GPRA 1. Instructions for completing this supplementary documentation using the HEP GPRA 1 Documentation form begin on page 32.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• HSE attainers: The number of HEP HSE eligible students who received a HSE certificate by the end of the reporting period. To best capture this data, the grantee should maintain a database of the students enrolled in the project, identifying those students who attain a HSE as well as the date of HSE attainment. This procedure should apply to all counts for which actual (as opposed to projected) attainment or placement data is necessary.

• Withdrawals: The number of HEP HSE eligible students who:

  • completed intake and were enrolled and attending HEP HSE instruction for at least 12 hours of instructional services in the current reporting period,

  • left the HEP project with or without completing coursework, but without attaining a HSE, and

  • did not return for instruction in the subsequent budget period prior to the APR due date of November 15.

This count should include students who took the HSE test battery without passing the test battery. Students who do not complete coursework, but do attain a HSE, should be counted as “HSE attainers.” If a student who is in “withdrawn” status for the current reporting period returns to project services after the APR is submitted on November 15, he/she should complete the intake process again and be counted as a “new” student in that subsequent budget period.

• Persisters: The number of HEP HSE eligible students who:

  • completed intake and were enrolled and attending HEP HSE instruction for at least 12 hours of instructional services in the current reporting period and did not attain a HSE, but either

• re-enrolled for continuing instructional services in support of a HSE in the subsequent budget period prior to the Nov. 15^th APR submission date, or

• re-enrolled for the sole purpose of taking the HSE assessment in the subsequent budget period prior to the Nov. 15^th APR submission due date.

Note: Persisters can be counted in all years of the 5-year grant cycle (i.e., Y1-Y5). Those students who are counted as persisters in the 5^th year’s performance report will be counted as “returning students” in the Year 1 APR of the next grant. Since the students are persisters from the previous grant’s Year 5, you will not need to re-establish eligibility for those students. (See question H3 in the HEP/CAMP Eligibility Guidance.)

• Target number of HSE attainers: The target for total number of HSE attainers served over the entire project period, which was established by each project in its approved application.

Data quality check (The MS Excel Form is formulated to perform the calculation.)

• The sum of items A2a-c should equal the count reported in item A1b (no. served).

• The number of persisters reported here would be equal to the returning participants in the subsequent budget period’s APR.

Reporting Block, Item A2 (For illustration purposes only; do not report data here)

A2. Status at the end of the reporting period. (Note: A2a-c should sum to equal the number reported in A1b(no. served)).	Y1	Y2	Y3	Y4	Y5	Final
Number of HSE attainers (Obj. 1 National Target: 69%) (GPRA 1)
Number of withdrawals
Number of persisters (came back to continue in the subsequent budget period; persisters were enrolled in instructional services in the current reporting period but did not yet complete their first academic year of college and have returned by November 15 of the subsequent budget period to continue instructional services).

Item A3 (GPRA 2)

Item A3 collects data on the post-HSE placement of HSE attainers during this reporting period. The counts reported in items for A3a are subsets of the total number of HSE attainers who received follow-up (reported in Item A4). This count is a subset or equal to the count reported in A2a (no. of HSE attainers). As a subset, the count reported in item A3a should be equal to or less than the count reported in Item A4a (no. of HSE attainers you were able to track for follow-up data) , which should be equal to or less than the count reported in Item A2a. (The MS Excel Form is formulated to perform this calculation.)

The counts reported in Items A3a1-3 are unduplicated subsets of Item A3a. That is, each HSE attainer can only be classified into one placement group, even if they achieved multiple placements. Grantees should determine in which placement group to place attainers who achieve multiple placements.⁴

Completion of Item A3 requires follow-up with HSE attainers; data regarding follow-up is described in Item A4. If grantees used sampling to follow up with HSE attainers, grantees must report unweighted values in Items A3 and A4 and describe the sampling procedures utilized in Section F.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• Placement of HSE attainers: Of those students who attained a HSE in the current reporting period, report the number who entered postsecondary education or training programs, upgraded employment, or the military. In situations where students attained multiple placements, count each student only once for the total in question A3a to report an unduplicated count. Placement status should be captured any time after the HSE is attained but before the performance report is due for that same reporting period, and should be based on actual placement and not on anticipated placement.

• Postsecondary Education or Training Programs: For a student to be considered as placed in a postsecondary education or training program, they must enter at least one of the following programs:

1. A postsecondary education program at an IHE designed to ultimately attain an A.A., B.A., B.S. or other degree. OR

2. An industry-recognized postsecondary vocational or career and technical education program, designed to attain a credential, certificate, or degree that would assist one in obtaining upgraded employment.

• Upgraded employment: For a student to have attained upgraded employment, at least one of the following criteria must be met:

1. Move to a job that provides more hours (and, as a result, increased pay) compared to the job immediately prior to and/or during instructional services. This may be a job change with the same employer or a job with a new employer. OR

2. Move to a job with increased benefits, such as healthcare, worker's compensation, unemployment insurance, social security, and vacation and sick leave, compared to job immediately prior to and/or during instructional services. This may be a job change with the same employer or a job with a new employer. OR

3. Position upgrade with same employer, such as a move to a supervisory position, compared to job at that employer immediately prior to and/or during instructional services. OR

4. Move to a new job with predefined career ladder, regardless of wage change (e.g. management trainee, formal apprenticeship), compared to career ladder options at job immediately prior to and/or during instructional services. This may be a job change with the same employer or a job with a new employer. OR

5. Move to a job with higher hourly wages, or a higher salary, compared to the hourly wages, or salary, at the job immediately prior to and/or during instructional services. This may be a job change with the same employer or a job with a new employer. This category also accounts for students who obtain a job where they previously had been unemployed.

• Target number of HSE attainers who entered post-secondary education or training programs: The target for total number of HSE attainers who entered post-secondary education or training programs, upgraded employment, or the military, for the entire program period, which was established by each program in its application.

Data quality check (The MS Excel Form is formulated to perform this calculation. )

• Items A3a 1-3 should sum to the count reported in Item A3a.

• The count reported in Item A3a should be equal to or less than the count reported in Item A4.

• The count reported in Item A3a cannot be greater than the count reported in Item A2a.

Reporting Block, Item A3 (For illustration purposes only; do not report data here)

A3. Placement of HSE attainers (from question A2a above) from the current reporting period by November 15.	Y1	Y2	Y3	Y4	Y5	Final
Unduplicated number of HSE attainers who entered postsecondary education or training programs, upgraded employment, or the military (count each participant only once for this row for an unduplicated count). (This amount should not be greater than the amount in A2a above, and should equal the sum of A3a 1-3) (Obj. 2 National Target: 80%) (GPRA 2)
Number of HSE attainers who entered postsecondary education or training programs
Number of HSE attainers who obtained upgraded employment
Number of HSE attainers who entered the military

Item A4

Item A4 collects data on the number of HSE attainers for whom follow-up data was collected. The count reported in item A4 cannot be greater than the count reported in Item A2a. The count reported in Item A4a is the number of HSE attainers from the current report period with whom follow-up contact was successfully made. Follow- up must be attempted with every HSE attainer. If grantees used sampling to follow up with HSE attainers, grantees must report unweighted values in Items A3 and A4 and describe the sampling procedures utilized in Section F.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

Data quality check (The MS Excel Form is formulated to perform this calculation.)

• The count reported in Item A4a should be less than or equal to the count reported in Item A2a. The MS Excel Form is formulated to comply with this rule and will display a feedback message. “Pls Check” will display in case of an error. “Good Job” will display if the calculation is correct.

Reporting Block, Item A4 (For illustration purposes only; do not report data here)

A4. Follow-up on HSE attainers from the reporting period.	Y1	Y2	Y3	Y4	Y5	Final
Number of HSE attainers you were able to track for follow-up data

Item A5

Item A5 collects data on the amount of time necessary for HSE attainment by successful project participants who attained a HSE in the current reporting period. Items A5a-c request unduplicated counts of the number of HSE attainers who attained their HSE within one year, between one and two years, and after more than two years in the project, respectively. Each HSE attainer will be classified into one group. Note that follow-up with HSE attainers should not be necessary to report these counts. Rather, project documentation should contain the relevant records necessary to complete these items.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

Data quality check (The MS Excel Form is formulated to perform this calculation.)

The counts reported in Items A5a-c should sum to the count reported in Item A2a. The MS Excel Form is formulated to comply with this rule and will display a feedback message. “Pls Check” will display in case of an error. “Good Job” will display if the calculation is correct.

Reporting Block, Item A5 (For illustration purposes only; do not report data here)

A5. Time to completion for HSE attainers from question A2a above. (Note: A5a-c should sum to equal the number reported in A2a.)	Y1	Y2	Y3	Y4	Y5	Final
Number of HSE attainers who got their HSE within one year in your project
Number of HSE attainers who got their HSE after more than one, but within two years in your project
Number of HSE attainers who got their HSE after more than two years in your project

Performance Calculation Table

For your convenience, this table calculates project performance on GPRA Measures 1 and 2, as well as the Efficiency Ratio. See definitions above. To properly calculate the performance and efficiency measures, in Item “Annual Award Amount” enter the amount of the annual grant award for the corresponding year, not including carryover. Please note, these are preliminary performance and efficiency results based on data reported; should data be revised during the course of the APR review process, the results will be affected.

Instructions for Section B – HEP Project Student Participant Information

Item B1

Item B1 collects data on the nature and amount of instruction and services received by students enrolled in project services in the current reporting period. Items B1a-c request data on:

• Total instructional hours received by students,

• Total number of students receiving varied instructional and support services

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• HSE instruction hours: Direct “treatment” services leading toward attainment of a HSE. Calculate the number of hours of instruction each student received during the current reporting period and add those numbers together to obtain the total hours of HSE instruction received by all students (Item B1a) and all HSE attainers (Item B1b).

• Instructional support services: Services provided by HEP staff in support of attainment of a HSE and/or placement in postsecondary education, upgraded employment or a career in the military. These include ancillary services provided in support of direct services, such that the full benefit of direct services might be realized. Examples include coaching, tutoring, etc. This item requires a count of the total number of students who received instructional support services during the current reporting period, not the total number of instructional support services received.

• Other support services: Other project or related non-instructional services, including essential supportive services, provided by HEP staff in support of attainment of a HSE and/or placement in post-secondary education, upgraded employment or a career in the military. This item requires a count of the total number of students who received other support services, not the total number of other support services received.

• Tutoring: Additional instructional services provided by HEP in support of a specific curriculum, course or course of study.

• Mentoring or coaching: Advisory services provided by HEP in support of general academic career and post-HSE placement.

• Counseling or guidance services: Services provided by HEP in support of work-life balance and other psycho-social aspects of HSE attainment and post-HSE placement and persistence in higher education, military, or a vocational/training program.

• Stipend: An allocation of project financial resources made directly to students to offset living or educational expenses.

Data quality checks (The MS Excel Form is formulated to perform the calculation.)

• The count reported in Item B1b should be equal to or less than the count reported in Item B1a. (The MS Excel Form is formulated to perform this calculation. If the number in B1b is greater than the amount in B1a, an error message will display.)

• The counts reported in Item B1c 1-6 and in B1c 7-12 may be duplicated, as some students may receive multiple Instructional or Other Support Services. However, the value of any individual count cannot exceed the count reported in Item A1b (total number served). (The MS Excel Form is formulated to perform this calculation. If the number in B1b is greater than the amount in B1a, an error message will display.)

Reporting Block, Item B1 (For illustration purposes only; do not report data here)

B1. Instruction and services received by HEP HSE enrolled students during the reporting period.	Y1	Y2	Y3	Y4	Y5	Final
a. Total HSE instruction hours received by all HEP HSE enrolled students.5
b. Total HSE instruction hours received by HSE attainers.
c. Total number of students receiving the following types of services:6
Instructional Support Services Please indicate the number of students receiving instructional support services.
1. Tutoring
2. Mentoring or coaching
3. College transition services
4. Work training services
5. Job placement services
6. Counseling or guidance services
Other Support Services Please indicate the number of students receiving other support services.
7. Transportation services/ financial support for transportation
8. Child care
9. Financial support
Tuition
Books and materials
Room and board
Stipends
Other financial support:__________________________
10. Other support services: ______________________________
11. Other: ______________________________

Item B2

Item B2 collects data on the characteristics of students who were enrolled in project services during the current reporting period. Items B2a-g request data on:

• Sex

• Age

• Number of students who are English Learners

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• English Language Learner (ELL): The number of students enrolled and served with at least 12 hours of instructional services during this current reporting period who had need of English as a Second Language as determined by a language assessment test administered by the project or the project’s institution.

Data quality checks

• The sum of counts reported in Items B2a and b must be equal to the total number of students served (Item A1b) for the current reporting period. (In the MS Excel Form, once the number of students who are male has been entered, the remaining number of students who are female will be calculated on its own in the next row.) Similarly, the sum of counts reported in Items B2 c and d cannot exceed the total number of students served (Item A1b) for the current reporting period. (The MS Excel Form has been formulated to perform this calculation. Once the number of students who are 25 years old or younger has been entered, the number of students who are over 25 years old will be calculated automatically in the next row.)

Reporting Block, Item B2 (For illustration purposes only; do not report data here)

B2. Characteristics of the HEP HSE enrolled students during the reporting period. (note: [B2a + B2b should equal the number reported in A1b] and [B2c + B2d should equal the number reported in A1b]).	Y1	Y2	Y3	Y4	Y5	Final
Number of students who are male
Number of students who are female
Number of students who are 25 years old or younger
Number of students who are over 25 years old
Does your project or institution screen students for English language proficiency? If “No”, skip to question C1. Mark Y for yes, or N for no.	Y N	Y N	Y N	Y N	Y N
1. Number of students who enrolled during the reporting period and had English as a second language needs as determined by a language assessment test (i.e., EL students).

Instructions for Section C– HEP Project Services Information (Completed in MS Excel file.)

Item C1

Item C1 collects data on the project model used during the reporting period. Items C1 a-f request data on the commuter or residential status of the project, the enrollment structure, the academic term, and the language in which project services are provided.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• Open (rolling) enrollment: Projects that have open enrollment allow continuous entry into instructional services (i.e., there is no cut date for student enrollment in order to enter a course).

• Structured enrollment: Projects that have structured enrollment allow enrollment for a defined period of time prior to the start of instructional services. After that defined period of time has expired, students must wait until the next semester or series of instructional services begins to participate in services.

For example, in sites with structured enrollment, students may be allowed to enroll during the first few weeks of classes and for two or three weeks prior to the next semester of classes. In addition, courses begin on a specific date and end on a specific date. Sites with open enrollment allow students to enroll and join classes at any time.

Reporting Block, Item C1 (For illustration purposes only; do not check boxes here)

C1. Project Model Characteristics
Report the number of commuter students. (A commuter student is a student who does not live in IHE-funded housing.)	________
Report the number of residential students. (A residential student is a student who lives in IHE-funded housing.)	________
Does this project provide open enrollment or structured enrollment?	Open Structured
In what languages are project services provided? (Check all that apply.)	English Spanish Other
Is this project in a four-year or two-year institution?	Four-Year Institution Two-Year Institution
Is the project in an institution that uses a semester, quarter, or trimester academic calendar?	Semester Quarter Trimester

Item C2

Item C2 collects data on the personnel associated with project services during the reporting period. Items C2 a-d request data on the number of teaching staff and instructional support staff, both funded and not funded by the HEP grant.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• FTE (full-time equivalent) for teaching staff and instructional support staff: FTE is a measure equal to one staff person working a full-time work schedule for one year.

  • To calculate the total FTE: For each teaching staff person and instructional support person, divide the total number of hours that employee works on your HEP project each year by the number of hours your organization considers full time for one year. When all calculations on individual teachers and support persons are complete, sum across all teaching staff persons for the total teaching staff FTE and sum across all instructional support staff persons for the total instructional support FTE.

  • For example, if your organization considers 1,920 hours annually to be full time, and teaching staff member Jane Smith works 1,440 hours per year, her FTE is .75 (1,440 divided by 1,920). Sum Jane Smith’s FTE with the FTEs from all other teaching staff to calculate the total FTE for teaching staff.

• Number of FTE teaching staff: Count FTE teaching staff who provide instruction to participants. Grantees should report the total number of HEP-funded, FTE teaching staff contributing to the project in Item C2a. Grantees should report the total number of non-HEP-funded, FTE teaching staff contributing to the project in Item C2b.

• Number of FTE instructional support staff: Count FTE support staff who provide ancillary, support services. Grantees should report the total number of HEP-funded, FTE instructional support staff contributing to the project in Item C2c. Grantees should report the total number of non-HEP-funded FTE instructional support staff contributing to the project in Item C2d.

Reporting Block, Item C2 (For illustration purposes only; do not report data here)

C2. Project Personnel Characteristics during the Reporting Period
Number of FTE teaching staff funded by the HEP grant to provide HSE instruction
Number of FTE teaching staff contributing to the project, not funded by the HEP grant
Number of FTE instructional support staff (tutors, coaches, mentors) funded by the HEP grant to provide HSE instruction
Number of FTE instructional support staff contributing to the project, not funded by the HEP grant

Item C3

Item C3 collects data on the instructional services offered through the project during the reporting period. Items C3 a-c request data on the frequency of instructional services and the average length of services per session and semester. Item C3a contains check-boxes for the allowable responses. There should be no other written response to these items.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

Data quality check

• Item C3b requires data reported in hours while Item C3c requires data reported in days. Items C3b and C3c allow written responses.

Reporting Block, Item C3 (For illustration purposes only; do not report data here)

C3. Project HEP HSE Instructional Services Offered during the Reporting Period
How frequently are HSE instructional services provided? Check only one option; check the option that best describes the frequency of instructional services. If your program has both part time and full time options, please check the box that best describes the majority of your program’s students.	Daily Weekly Monthly
Average length of instructional service per individual instructional session, in hours. (Provide the average length of instructional service in which the majority of students participated).	      hours
Average length of instructional service per semester, in days. (Provide the average length of instructional service in which the majority of students participated).	      days

Item C4

Item C4 collects data on student screening to determine enrollment during the reporting period. Item C4a requests data on student assessments used to determine enrollment. Not all grantees may use assessments to determine enrollment. Thus, data only should be reported in Items C4 if they are applicable to the project during the reporting period. If grantees do use assessments to determine enrollment, grantees should only report the scores for students accepted into the project during the reporting period in Item C4a 3-4. (Do not include scores for students who did not screen above proficiency thresholds or who otherwise were not accepted into the project.) Further, if there were two separate assessments for Spanish and English speaking students (Items C4a 3-4), the grantee should report these scores separately. The scores should not be combined.

Item C4a contains a check-box for the allowable response. There should be no other written response to item C4a. Items C4a 1-4 allow written responses, if applicable.

Definitions

• Reporting Period: The 12-month period of time that is equal to the budget period found in Block 6 of the GAN. In the Final Performance Report, the reporting period for purposes of the cumulative data reported in the “Final” row or column is the performance period (covering five years, cumulative) that is also found in Block 6 of the GAN.

• Project proficiency threshold: The minimum scale/standard score proficiency in reading and math at which new participants must perform in order to enroll and participate in instructional services.

• Scale/Standard scores: The expression of student abilities (i.e., scores) in terms of scale/standard score proficiency.

Reporting Block, Item C4 (For illustration purposes only; do not report data here)

C4. Project Student Assessment Information Related to this Reporting Period
Does your project screen students prior to enrollment in HEP HSE instructional services to establish whether they are above or below a proficiency threshold? (Check one.)7 If “No,” skip to Section D.	Yes No
If your project uses a screening or intake assessment to establish a proficiency threshold, what is your project proficiency threshold for accepting students into HEP HSE instructional services? (Only check “no assessment” if proficiency is determined without the use of a formal assessment).	No assessment Scale/Standard Score________
What kind of screening or intake assessment is used? (If not a published assessment, please check “Other,” provide the title and the program office with a copy of the assessment used).	TABE Steck-Vaughn Other:                          
What was the average screening or intake MATH scale/standard score for this reporting period?	English speaking students:_____ Spanish speaking students:_____
What was the average screening or intake READING scale/standard score for this reporting period?	English speaking students:_____ Spanish speaking students:_____

Instructions for Section D – HEP Project Goals and Objectives (Completed in MS Word file.)

In the approved grant application, grantees established project objectives that stated what the grantee hoped to achieve with the funded project. Generally, one or more performance measures also were established for each project objective. These performance measures serve to demonstrate whether grantees met or are making progress towards meeting each project objective.

Grantees must also report on the results to date of their project evaluation as required under EDGAR, 34 CFR 75.590. According to the instructions below, for each project objective included in the approved grant application, grantees must provide quantitative and/or qualitative data for each associated performance measure for this reporting period. You also must explain how the data on your performance measure(s) demonstrates whether you have met or are making progress towards meeting each project objective.

Note: Complete data must be submitted for any project-specific performance measures relevant to the current reporting period that were included in the approved grant application.

Section 1) Project Objective:

Enter each project objective from the approved grant application. Only one project objective should be entered per table. Project objectives should be numbered sequentially (i.e., 1., 2., 3., etc.) Data on GPRA objectives should not be reported in this section. (GPRA data only should be entered in section A of the form.)

Performance Measure:

For each project objective, enter the associated performance measure(s). There may be multiple performance measures associated with each project objective. Enter only one performance measure per row. Each performance measure that is associated with a particular project objective should be labeled using an alpha indicator. Example: The first performance measure associated with project objective “1” should be labeled “1a,” the second performance measure for project objective “1” should be labeled “1b,” etc. For each performance measure use the row that corresponds to your project funding year (Y1, Y2, etc).

Quantitative Data:

Target and Actual Performance Data

In the “Target” column(s), grantees must provide the target for this reporting period that was established for each performance measure in the approved grant application. In the “Actual Performance Data” column(s), grantees must provide actual performance data demonstrating progress towards meeting or exceeding this target. Only quantitative (numeric) data should be entered in the Target and Actual Performance Data boxes.

The Target and Actual Performance Data boxes are each divided into three columns: Raw Number; Ratio; and Percentage (%).

For performance measures that are stated in terms of a single number (e.g., the number of workshops that will be conducted or the number of students that will be served), the target and actual performance data should be reported as a single number under the Raw Number column (e.g., 10 workshops or 80 students). Please leave the Ratio and Percentage (%) columns blank. For performance measures that are stated in terms of a percentage (e.g., percentage of students who attain proficiency), complete both the Ratio column and the Percentage (%) column. Please leave the Raw Number column blank.

In the Ratio column (e.g., 80/100), the numerator represents the numerical target (e.g., the number of students who are expected to attain proficiency) or actual performance data (e.g., the number of students who attained proficiency), and the denominator represents the number of students funded to be served, or actually served (whichever is greater) under each objective. Please enter the corresponding percentage (e.g., 80%) in the Percentage (%) column. Note: the denominator may vary across objectives, depending upon the number of students funded to be served (or actually served) for each objective.

If the collection of quantitative data is not appropriate for a particular performance measure, please leave the Target and Actual Performance Data boxes blank and provide an explanation and any relevant qualitative data for the performance measure in the section entitled, Explanation of Progress (Section 2).

Note: If the grantee used a sample of participants to collect performance data, grantees must report unweighted values in Section D and describe the sampling procedures utilized in Section F.

Special instructions for grants in their first reporting period:

If baseline data for a performance measure were not included in your approved application and targets were not set for the first reporting period, then enter either the number 999 under the Raw Number column or the ratio 999/999 under the Ratio column of the Target box. The 999 or 999/999 indicates that baseline data are being collected on the measure during the first reporting period and targets have not yet been set. Unless otherwise instructed by the program office, report baseline data collected during the first reporting period under either the Raw Number column or the Ratio and Percentage (%) columns of the Actual Performance Data box, as appropriate. After baseline data have been collected during the first reporting period, grantees are expected to set targets for the second and any subsequent reporting periods and report actual performance data in their performance reports.

Section D also requests that data from multiple project years be entered, according to the project year reported. Data entry should follow the process described above for sections A and B in that data for each project year are entered separately, in the appropriate reporting year.

Special instructions for grantees submitting a Final Performance Report:

Grantees must provide Year 5 performance data for the one-year reporting period and, in the “Final” row, grantees must provide AVERAGE success rates across each of the project years.

Example:

In Year 1 of a project funded to serve 100 students per year with a target of awarding financial aid to 100 percent of students, only 80% of the students actually receive financial aid. Then your data entry would look like:

1a Performance Measure	Quantitative Data
Award financial aid to 100 percent of students.	Target			Actual Performance Data
	Raw Number	Ratio	%	Raw Number	Ratio	%
		/			/
Y1		100/100	100%		80/100	80%
Y2
Y3
Y4
Y5
Final

In year two, the APR should take the following form:

1a Performance Measure	Quantitative Data
Award financial aid to 100 percent of students.	Target			Actual Performance Data
	Raw Number	Ratio	%	Raw Number	Ratio	%
		/			/
Y1		100/100	100%		80/100	80%
Y2		100/100	100%		85/100	85%
Y3
Y4
Y5
Final

The Final Performance Report should take the following form:

1a Performance Measure	Quantitative Data
Award financial aid to 100 percent of students.	Target			Actual Performance Data
	Raw Number	Ratio	%	Raw Number	Ratio	%
		/			/
Y1		100/100	100%		80/100	80%
Y2		100/100	100%		85/100	85%
Y3		100/100	100%		90/100	90%
Y4		100/100	100%		95/100	95%
Y5		100/100	100%		100/100	100%
Final		500/500	100%		450/500	90%

Section 2) Explanation of Progress (Includes Qualitative Data and Data Collection Information) (maximum 2500 words):

1. For each project objective and associated performance measures, grantees must indicate what data (quantitative and/or qualitative) were collected and when they were collected, the evaluation methods that were used, and how the data were analyzed. Grantees must clearly identify and explain any deviations from their approved evaluation plan, including changes in design or methodology, or the individual or organization conducting the evaluation.

2. Based on the data, grantees must provide a description of preliminary findings or outcomes, including a description of whether grantees are making progress towards meeting each performance measure. Further, grantees must indicate how performance measure data show that they have met or are making progress towards meeting the stated project objective. In the “Explanation of Progress” section, grantees should provide a brief description of project activities and accomplishments for the reporting period that are related to each project objective.

3. Grantees must provide explanations for the following circumstances: a) targets were not attained, b) expected progress was not made toward meeting a performance measure or project objective, or c) a planned activity was not conducted as scheduled. Grantees also must provide a description of the steps and schedules for addressing the problem(s) or issue(s).

4. Grantees must indicate how the data and information from the evaluation were used to monitor the progress of the grant, and if needed, to make improvements to the original project plan (e.g., project activities and milestones). Any changes (e.g., improvements) should be consistent with approved project objectives and scope of work.

Note: Short anecdotes are welcome additions to the “Explanation of Progress” section. Also, grantees should use this section to provide information on any positive or negative impacts of this reporting framework.

Section 3) Final Performance Report ONLY: This information covers the entire project report period (five years).

Grantees must answer each of the questions below (maximum 2500 words):

1. Utilizing the evaluation results, draw conclusions about the success of the project and/or its outcomes. Describe any unanticipated outcomes or benefits from the project and any barriers that may have been encountered.

2. What would you recommend as advice to other educators who are interested in your project? How did the original project ideas change as a result of conducting the project?

3. If applicable, describe your plans for continuing the project (sustainability; capacity building) and/or disseminating the project results.

Instructions for Section E – HEP Project Budget Information

-- Annual Performance Reports (for Years 1 – 4):

1.) Section E – Report the following items 1.a. – 1.d. below. (Completed in MS Word file.)

1.a. For budget expenditures made with Federal grant funds, you must provide an explanation if funds have not been drawn down from G5 to pay for the budget expenditure amounts reported in items 8a. – 8b of the Cover Sheet.

1.b. Provide an explanation if you did not expend funds at the expected rate during the reporting period.

1.c. Describe any changes to your budget that affected your ability to achieve your approved project activities and/or project objectives.

1.d. Describe any significant changes to your budget resulting from modification of project activities.

2.) On the budget table, report in column (a) your previously submitted revised budget amounts for this reporting period, identifying any amount that includes carryover funds from the previous budget period by marking it with an asterisk(*). (Each cell in column (a) should include only one dollar amount that reflects the approved budget amount plus any carryover.) In column (b), report your project’s actual expenditures for this reporting period. Additionally, briefly explain any difference in the total amounts of these two budget columns. (Completed in MS Excel file.)

-- Final Performance Report (for Year 5 and Cumulative)

Follow the above instructions to show Year 5 budget information only. I.e., columns (a) and (b) should reflect Year 5 budget information only.

Note: Remember to keep budget line items consistent.  For example, if you categorized student textbooks in the Stipend line item in your revised budget, payments for student textbooks must be categorized in the Stipend line item in the Actual Expenditures column.

Instructions for Section F –Additional Information (Completed in MS Word file.)

-- Annual and Final Performance Reports:

• If applicable, please provide a list of current partners on your grant and indicate if any partners changed during the reporting period. Please indicate if you anticipate any change in partners during the next budget period. If any of your partners changed during the reporting period, please describe whether this impacted your ability to achieve your approved project objectives and/or project activities.

• Note: Do not submit requests in this report for supplemental funds or any changes that you wish to make in the grant’s activities for the next budget period, or key personnel changes. Requests for these actions must be made separately to the program office for review and approval decisions.

• Provide any other appropriate information about the status of your project including any unanticipated outcomes or benefits from your project.

Instructions for the HEP GPRA 1 Documentation Form

All HEP projects are also required to submit to OME, as a supplement to their performance report, a list of their students who have obtained a HSE during the reporting period. (If you are submitting a Final Performance Report, this supplement should list the students who have obtained a HSE during the Year 5 budget period.) This documentation supports the information reported in item A2a (GPRA 1). The list should include:

• Students' names,

• Student ID numbers (where applicable),

• HSE verification numbers/codes, certificate numbers/codes, or diploma numbers/codes, and

• Date of HSE attainment

Please use the GPRA documentation form entitled “HEP GPRA 1 Documentation” to complete your student list. (A sample of this form can be found in Appendix 3.) OME will send you a Word version of this form by email. A sample of a portion of the form is provided immediately below, but use the full form to complete your GPRA 1 documentation list. This list must be:

1.) Completed as a Word document,

2.) Scanned into PDF format (to capture authorizing signatures), and

3.) Uploaded into the G5 system as a “Narrative.”

Please note that this process is unlike the uploading process for the Performance Report form. Instead of being scanned into a PDF, the Performance Report form must be converted into a PDF using the Adobe feature and then uploaded into G5 as a “Narrative.”

Sample:

	Student Name	HSE Certificate Number	The date of the last sub-test taken and passed that yielded the HSE certificate (MO/DAY/YR)	Did the date of the last sub-test occur during the current reporting period? (Yes/No)
1.	Rosa Flores	999-999-999	XX/XX/XX	Yes
2.
3.

APPENDIX 1

The Cover Sheet Form

U.S. Department of Education

OMB No. 1894-0003

Exp. 04/30/2014

OMB No. 1875-0106

Exp. 06/30/2001

OMB No. 1875-0106

Exp. 06/30/2001

Grant Performance Report Cover Sheet (ED 524B)

Check only one box per Program Office instructions.

[ ] Annual Performance Report [ ] Final Performance Report

General Information

1. PR/Award #: ____________________ 2. Grantee NCES ID#: _______________________

(Block 5 of the Grant Award Notification - 11 characters.) (See instructions. Up to 12 characters.)

3 Project Title: ___________________________________________________________________________

(Enter the same title as on the approved application.)

4. Grantee Name (Block 1 of the Grant Award Notification.):__________________________________

5. Grantee Address (See instructions.)

6. Project Director (See instructions.) Name:___________________________ Title: _______________________________

Ph #: ( ) ________ - __________ Ext: ( ) Fax #: ( ) ________ - __________

Email Address: _________________________________

Reporting Period Information (See instructions.)

7. Reporting Period: From: _____/_____/_______ To: _____/_____/_______ (mm/dd/yyyy)

Budget Expenditures (To be completed by your Business Office. See instructions. Also see Section B.)

8. Budget Expenditures

	Federal Grant Funds	Non-Federal Funds (Match/Cost Share)
a. Previous Budget Period
b. Current Budget Period
c. Entire Project Period (For Final Performance Reports only)

Indirect Cost Information (To be completed by your Business Office. See instructions.)

9. Indirect Costs

a. Are you claiming indirect costs under this grant? ___Yes ___No

b. If yes, do you have an Indirect Cost Rate Agreement approved by the Federal Government? ___Yes ___No

c. If yes, provide the following information:

Period Covered by the Indirect Cost Rate Agreement: From: ___/ ___/____ To: ___/___/____ (mm/dd/yyyy)

Approving Federal agency: ___ED ___Other (Please specify): __________________________________________

Type of Rate (For Final Performance Reports Only): ___ Provisional ___ Final ___ Other (Please specify): _________

d. For Restricted Rate Programs (check one) -- Are you using a restricted indirect cost rate that:

___ Is included in your approved Indirect Cost Rate Agreement?

___ Complies with 34 CFR 76.564(c)(2)?

Human Subjects (Annual Institutional Review Board (IRB) Certification) (See instructions.)

10. Is the annual certification of Institutional Review Board (IRB) approval attached? ­___Yes ___ No ___ N/A

Performance Measures Status and Certification (See instructions.)

11. Performance Measures Status

a. Are complete data on performance measures for the current budget period included in the Project Status Chart? ___Yes ___ No

b. If no, when will the data be available and submitted to the Department? _____/_____/______ (mm/dd/yyyy)

12. To the best of my knowledge and belief, all data in this performance report are true and correct and the report fully discloses all known weaknesses concerning the accuracy, reliability, and completeness of the data.

_______________________________________________ Title: _______________________________________

Name of Authorized Representative:

________________________________________________ Date: _____/_____/_______

Signature:

APPENDIX 2

The Performance Report Form

High School Equivalency Program

U.S. Department of Education

Annual Performance Report and

Final Performance Report Form

A. HEP Project Statistics and Reporting for GPRA (Completed in MS Excel file.)

Reporting Block, Item A1

A1. Number of students served during the reporting period.	Y1	Y2	Y3	Y4	Y5	Final
Number funded to be served
Number served in HEP HSE instruction (note: A1b1 + A1b2 should sum to equal A1b)
Number served who were new participants (first year in HEP) (subset of A1b)
Number served who were returning participants (subset of A1b)

Reporting Block, Item A2

A2. Status at the end of the reporting period. (Note: A2a-c should sum to equal the number reported in A1b(no. served)).	Y1	Y2	Y3	Y4	Y5	Final
Number of HSE attainers (Obj. 1 National Target: 69%) (GPRA 1) *Supporting documentation required. See instructions for Item A2.
Number of withdrawals
Number of persisters (came back to continue in the subsequent budget period; persisters were enrolled in instructional services in the current reporting period but did not yet achieve a HSE and have returned by November 15 of the subsequent budget period to continue instructional services)

Reporting Block, Item A3

A3. Placement of HSE attainers (from question A2a above) from the current reporting period by November 15	Y1	Y2	Y3	Y4	Y5	Final
Unduplicated number of HSE attainers who entered postsecondary education or training programs, upgraded employment, or the military (count each participant only once for this row for an unduplicated count). (This amount should not be greater than the amount in A2a above, and should equal the sum of A3a 1-3) (Obj. 2 National Target: 80%) (GPRA 2)
Number of HSE attainers who entered postsecondary education or training programs
Number of HSE attainers who obtained upgraded employment
Number of HSE attainers who entered the military

Reporting Block, Item A4

A4. Follow-up on HSE attainers from the reporting period.	Y1	Y2	Y3	Y4	Y5	Final
Number of HSE attainers you were able to track for follow-up data

Reporting Block, Item A5

A5. Time to completion for HSE attainers from question A2a above. (Note: A5a-c should sum to equal the number reported in A2a.)	Y1	Y2	Y3	Y4	Y5	Final
Number of HSE attainers who got their HSE within one year in your project
Number of HSE attainers who got their HSE after more than one, but within two years in your project
Number of HSE attainers who got their HSE after more than two years in your project

B. HEP Project Student Participant Information (Completed in MS Excel file.)

Reporting Block, Item B1

B1. Instruction and services received by HEP HSE enrolled students during the reporting period.	Y1	Y2	Y3	Y4	Y5	Final
a. Total HSE instruction hours received by all HEP HSE enrolled students.8
b. Total HSE instruction hours received by HSE attainers.
c. Total number of students receiving the following types of services:9
Instructional Support Services Please indicate the number of students receiving instructional support services.
1. Tutoring
2. Mentoring or coaching
3. College transition services
4. Work training services
5. Job placement services
6. Counseling or guidance services
Other Support Services Please indicate the number of students receiving other support services.
7. Transportation services/ financial support for transportation
8. Child care
9. Financial support
Tuition
Books and materials
Room and board
Stipends
Other financial support:__________________________
10. Other support services: ______________________________
11. Other: ______________________________

Reporting Block, Item B2

B2. Characteristics of the HEP HSE enrolled students during the reporting period. (Note: [B2a + B2b should equal the number reported in A1b] and [B2c + B2d should equal the number reported in A1b]).	Y1	Y2	Y3	Y4	Y5	Final
Number of students who are male
Number of students who are female
Number of students who are 25 years old or younger
Number of students who are over 25 years old
Does your project or institution screen students for English language proficiency? If “No,” skip to question C1. Mark Y for yes, or N for no.	Y N	Y N	Y N	Y N	Y N
1. Number of students who enrolled during the reporting period and had English as a second language needs as determined by a language assessment test.

C. HEP Project Services Information (Completed in MS Excel file.)

Reporting Block, Item C1

C1. Project Model Characteristics during the Reporting Period
Report the number of commuter students. (A commuter student is a student who does not live in IHE-funded housing.)	_____
Report the number of residential students. (A residential student is a student who lives in IHE-funded housing.)	_____
Does this project provide open enrollment or structured enrollment?	Open Structured
In what languages are project services provided? (Check all that apply.)	English Spanish Other
Is this project in a four-year or two-year institution?	Four-Year Institution Two-Year Institution
Is the project in an institution that uses a semester, quarter, or trimester academic calendar?	Semester Quarter Trimester

Reporting Block, Item C2

C2. Project Personnel Characteristics during the Reporting Period
Number of FTE teaching staff funded by the HEP grant to provide HSE instruction	_____
Number of FTE teaching staff contributing to the project, not funded by the HEP grant	_____
Number of FTE instructional support staff (tutors, coaches, mentors) funded by the HEP grant to provide HSE instruction	_____
Number of FTE instructional support staff contributing to the project, not funded by the HEP grant	_____

Reporting Block, Item C3

C3. Project HEP HSE Instructional Services Offered during the Reporting Period
How frequently are HSE instructional services provided? Check only one option; check the option that best describes the frequency of instructional services. If your program has both part time and full time options, please check the box that best describes the majority of your program’s students.	Daily Weekly Monthly
Average length of instructional service per individual instructional session, in hours. (Provide the average length of instructional service that the majority of students participate in).	      hours
Average length of instructional service per semester, in days. (Provide the average length of instructional service that the majority of students participate in).	      days

Reporting Block, Item C4

C4. Project Student Assessment Information Related to this Reporting Period
Does your project screen students prior to enrollment in HEP HSE instructional services to establish whether they are above or below a proficiency threshold? (Check one.)10 If “No,” skip to Section D.	Yes No
If your project uses a screening or intake assessment to establish a proficiency threshold, what is your project proficiency threshold for accepting students into HEP HSE instructional services? (Only check “no assessment” if proficiency is determined without the use of a formal assessment).	No assessment Scale/Standard Score________
What kind of screening or intake assessment is used? (If not a published assessment, please check “Other,” provide the title and the program office with a copy of the assessment used).	TABE Steck-Vaughn Other:                          
What was the average screening or intake MATH scale/standard score for this reporting period?	English speaking students: Spanish speaking students:
What was the average screening or intake READING scale/standard score for this reporting period?	English speaking students: Spanish speaking students:

D. HEP Project Goals and Objectives (Completed in MS Word file.)
Project Performance Objectives Information (Use as many pages as necessary.)	Project Year: (check one: Y1□ Y2□ Y3□ Y4□ Y5□ F□)

Section 1. Project Objective

1.a. Performance Measure	Quantitative Data
	Target			Actual Performance Data
	Raw Number	Ratio	%	Raw Number	Ratio	%
		/			/
Y1
Y2
Y3
Y4
Y5
Final

1.b. Performance Measure	Quantitative Data
	Target			Actual Performance Data
	Raw Number	Ratio	%	Raw Number	Ratio	%
		/			/
Y1
Y2
Y3
Y4
Y5
Final

Section 2: Explanation of Progress (Include Qualitative Data, Data Resulting from Experimental or Quasi-Experimental Design, and Data Collection Information) (maximum 2500 words)

Section 3: FINAL PERFORMANCE REPORT ONLY (This information covers the entire project period, or five years.) (maximum 2500 words).

Grantees must answer each of the questions below: 

1. Utilizing the evaluation results, draw conclusions about the success of the project and/or its impact. Describe any unanticipated outcomes or benefits from the project and any barriers that may have been encountered.

2. What would you recommend as advice to other educators that are interested in your project? How did the original project ideas change as a result of conducting the project?

3. If applicable, describe your plans for continuing the project (sustainability; capacity building) and/or disseminating the project results.

E1. HEP Project Budget Information (see instructions)

1. Section E – Report the following items 1.a. – 1.d. below. (Completed in MS Word file.)

1.a. For budget expenditures made with Federal grant funds, you must provide an explanation if funds have not been drawn down from G5 to pay for the budget expenditure amount reported in item 8b of the Cover Sheet and column (b) of table below.

1.b. Provide an explanation if you did not expend funds at the expected rate during the reporting period.

1.c. Describe any changes to your budget that affected your ability to achieve your approved project activities and/or project objectives.

1.d. Describe any significant changes to your budget resulting from modification of project activities.

2. Using the same budget categories as in Form ED 524, report in column (a) your previously submitted revised budget amounts for this reporting period, identifying any amount that includes carryover funds from the previous budget period by marking it with an asterisk (*). (Each cell in column (a) should include only one dollar amount that reflects the approved budget amount plus any carryover.) In column (b) report your project’s actual expenditures for this performance period. (Completed in MS Excel file.)

Budget Categories	(a) Revised Budget Amounts	(b) Actual Expenditure Amounts
1. Personnel
2. Fringe Benefits
3. Travel
4. Equipment
5. Supplies
6. Contractual
7. Construction
8. Other
9. Total Direct Costs (lines 1-8)
10. Indirect Costs*
11. Training Stipends
12. Total Amounts (lines 9-11)

Note: Mark your category amounts in column (a) with an asterisk if the amount includes any carryover from the prior budget period.

In the space below:

1. Report the amount of carryover that is included in the Total Amounts cell of the Revised Budget column (cell 12(a)).

2. If the Total Amounts in columns (a) and (b) are different, explain this difference.

Note: Remember to keep budget line items consistent.  For example, if you categorized student textbooks in the Stipend line item in your revised budget, payments for student textbooks must be categorized in the Stipend line item in the Actual Expenditures column.

F. Additional Information (see instructions)

Note: Do not include requests for budget revisions, supplemental funding or changes to your application’s activities in this performance report. See Section F of the APR Instructions for details on the type of information you may provide below.

Additional Information:

APPENDIX 3

The HEP GPRA 1 Documentation Form

Directions: Please complete the table below by providing the following information.

For Final Performance Reports, the table should reflect the students who attained a high school equivalency certification during the Year 5 reporting period.

• Student Name. Provide the first name, middle initial, and last name of each student who attained a high school equivalency certification during the current reporting period.

• HSE Certificate Number. Provide the unique number affixed to the HSE attainer’s certificate.

• The date of the last sub-test taken. Provide the exact date that the HSE attainer took the last sub-test in order to pass the HSE. Provide this information in the form of Month/Day/Year (e.g. 3/29/2011).

• Did the date of the last sub-test occur during the current reporting period? Provide a “Yes” or “No” answer to this question. All HSE attainers that you count in this report (all students that are listed on this page) should have taken the last sub-test during the current reporting period.

	Student Name	HSE Certificate Number	The date of the last sub-test taken and passed that yielded the HSE certificate (MO/DAY/YR)	Did the date of the last sub-test occur during the current reporting period? (Yes/No)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
33.
34.
35.
36.
37.
38.
39.
40.
41.
42.
43.
44.
45.
46.
47.
48.
49.
50.

Directions: Provide the appropriate signatures below so that the HEP director and HEP authorized representative attest to the accuracy of the information provided above. Please read the statement below and provide the required signatures.

I have verified and attest to the fact that all students who are listed above were enrolled in the ______________________________ HEP project and attained their HSE during the current reporting period.

________________________________________________________ _________________

(Signature of HEP Director) (Signature Date)

_________________________________________________________ _________________

(Signature of HEP Authorized Representative) (Signature Date)

This list must be: 1.) Completed as a Word document; 2.) Scanned into PDF format (to capture authorizing signatures;, and 3.) Uploaded into the G5 system as a “Narrative.” Please note that this process is unlike the uploading process for the APR. Instead of being scanned into a PDF, the APR must be converted into a PDF using the Adobe feature and then uploaded into G5 as a “Narrative.”

1 The Higher Education Act of 1965, as amended, Title IV, Sec. 418A; 20 U.S.C. 1070d-2.

2 34 CFR 75.253

3 Note: Increasing percentages of HEP participants receiving GEDs and placement in postsecondary education, upgraded employment or military is the goal for the program office at the national level. Projects will be assessed individually, on an annual basis, as to their contribution to these measures.

4 Grantees may report additional information, such as the number of grantees who achieved multiple placements, in Section F of the APR.

5 The program office will take aggregated information and determine mean and median values for instructional hours within and across program models. These data will be used to determine the most positive outcomes of program models. Proficiency level will be established, if it is measured, through item C4a.

6 Item B1c requires grantees to report whether or not a student has received a service in any quantity. The total hours received or total number of visits received, etc. should not be reported here.

7 The program office is asking for intake data if the project currently collects these data; projects that do not collect intake data will not be required to do so.

8 The program office will take aggregated information and determine mean and median values for instructional hours within and across program models. These data will be used to determine the most positive outcomes of program models. Proficiency level will be established, if it is measured, through item C4a.

9 Item B1c requires grantees to report whether or not a student has received a service in any quantity. The total hours received or total number of visits received, etc. should not be reported here.

10 The program office is asking if the project currently collects intake screening data; projects that do not collect intake data will not be required to do so.

HEP Performance Report Instructions