The Impact of TRIO Upward Bound Program Participation on ...

The Impact of TRIO Upward Bound Program Participation on Student Outcomes

TRIO Upward Bound Case Study

A dissertation submitted to the

Graduate School

of the University of Cincinnati

in partial fulfillment of the

requirements for the degree of

Doctor of Philosophy

in the Department of Educational Studies

of the College of Education, Criminal Justice, and Human Services

by

Cynthia E. Partridge

M. S. W. The Ohio State University

June 1984

THE IMPACT OF TRIO UPWARD BOUND

ii

Abstract

TRIO Upward Bound is the flagship U.S. Department of Education pre-college program

designed to assist potential future college students who are low-income, first-generation, or at

high risk for academic failure in pursuing and completing postsecondary education. The word

TRIO was used by the federal government in the late 1960s for the three original educational

opportunity programs: Upward Bound; Student Support Services; and Educational Talent

Search. Six additional programs were added by 1998, totaling nine TRIO programs.

This qualitative research study examined the impact of TRIO Upward Bound

participation length and level on participants’ high school completion, college enrollment and

success, civic participation, and citizenship practices. The study results revealed that former

students found TRIO Upward Bound to be an effective program that not only helped them with

the academic and social skills necessary to graduate from high school and complete

postsecondary education, but also led to civic engagement and good citizenship practices, such

as voting, paying taxes, abiding by the law, postponing parenthood, employment, and

community service. In addition, I found that students who remained in the program the longest,

completed the Bridge Program (the second level and final phase of the program), and officially

graduated from TRIO Upward Bound obtained their Bachelor and Associate degrees at much

higher rates than those with less program participation length and level. They also received the

highest level of program benefits, which included the bachelor’s degree and full time

employment.


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Copyright 2016

Cynthia Elaine Partridge


iv

UNIVERSITY OF CINCINNATI

Date: February 5, 2016

I, Cynthia Elaine Partridge, hereby submit this original work as part of the

requirements for the degree of Doctor of Philosophy in Educational Studies.

It is entitled:

The Impact of TRIO Upward Bound Program Participation on Student Outcomes:

TRIO Upward Bound Case Study

Student Signature: Cynthia Elaine Partridge

This work and its defense approved by:

Committee Chair: Samuel Stringfield, Ph.D.

Vanessa Allen-Brown, Ph.D.

Roger Collins, Ph.D.

Approval of the electronic document:

I have reviewed the Thesis/Dissertation in its final electronic format and certify that it is an

accurate copy of the document reviewed and approved by the committee.

Committee Chair Signature: Samuel Stringfield


v

Acknowledgements

“For I know the plans I have for you," declares the LORD, "plans to prosper you and

notto harm you, plans to give you hope and a future” (Jeremiah 29:11-13).

“Being confident of this, that he who began a good work in you will carry it on to

completion until the day of Christ Jesus” (Philippians 1:6).

“I can do everything through him who gives me strength” (Philippians 4:13).

The above scriptures from the Bible (NIV) were significant in carrying me through the

process of starting and completing my doctorate classes, comprehensive exam, research

proposal, and dissertation. It’s hard to believe that I have finally reached the end of this ten-year

journey! This was definitely a labor of joy (and a little pain). Thank you to all my family,

friends, co-workers, professors, colleagues, Ph.D. cohort group, and the TRIO students, parents,

and staff for your love, prayers, and encouraging words in completing this dissertation.

A special “thank you” goes out to the former TRIO Upward Bound students who agreed

to participate in this study or provide comments. Thanks to Dr. Vanessa Allen-Brown for the

great talks and her continued support throughout the years, Dr. Roger Collins for his suggestions

and encouragement to study TRIO Upward Bound, and Dr. Sam Stringfield for agreeing to step

in as chair during my final year and for his suggestions. Finally, thank you to my editor, Dr.

Chante Recasner, for the many, many hours of reading, suggesting, and editing the various

versions of this dissertation.

My hope is that the results of this study will lead to more qualitative and mixed methods

research that will tell the unique stories of TRIO students and will highlight how important TRIO

Programs are to our communities and the future of our country.


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Dedication

This dissertation is dedicated to my husband, Brian C. Partridge, whose love and support

was instrumental in my completing this task; my daughters, Danielle L. Partridge and Paige A.

Partridge, who walked with me and encouraged me along the way; my TRIO Upward Bound

mentors and directors, Myron D. Hughes and Philip M. Cathey, who educated me about TRIO

Programs and provided tremendous support throughout this process; my co-workers, Dr.

Eleanor Bolar, Brinson Terry, Joel Santos, Vicky Dula, Paul Davis, and Wilbert (Ricky)

Pleasant, who talked me through the process and pushed me across the finish line; former TRIO

Upward Bound parents, Pamela Mackey Comer and Murlean Robinson, who encouraged and

cheered for me from the very beginning; my extended family, the Bone, Crutcher, Smith, King

and Partridge families of Alabama, Alaska, California, Florida, Illinois, Indiana, Kentucky, Ohio,

Tennessee, and Texas (love all of you); and all the students, parents, teachers, staff, advocates,

and supporters of TRIO Programs.

To everyone involved in this journey—thank you.


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Table of Contents

Abstract ii

Copyright Notice iii

Approval of Document iv

Acknowledgements v

Dedication vi

Table of Contents vii

List of Tables xiv

Chapter 1: Introduction 1

TRIO Defined 1

Critiques of TRIO Upward Bound 3

Table 1: TRIO Upward Bound Appropriations by Fiscal Year 5

(in dollars)


(in dollars) for a Midwest TRIO Upward Bound Program

Research Questions 8

Theoretical Framework 9

Lewis’ theoretical contributions 9

Harrington and Cloward and Ohlin 9

Moynihan 10

Tinto 11

Chapter 2: Literature Review 13

Introduction 13

Background of TRIO Upward Bound 13

Juvenile Delinquency and Poverty 13


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The Theory of Opportunity and Theories of Poverty 16

Table 3: Merton’s Theory of Anomie: Five Types of Adaptations 17

To Societal Strain

Policy and Programmatic Solutions 20

Legislative Solutions 23

The Higher Education Act of 1965 27

National Evaluations of TRIO Upward Bound’s Impact 30

Table 4: Evaluation Study of the Upward Bound Program 31

(Research Triangle Institute [RTI], 1972-1979)

Table 5: Reanalysis of High School and Beyond Data to Estimate 32

the Impact of Upward Bound (High School and Beyond, 1984)

Table 6: The Impacts of Regular Upward Bound on Postsecondary 34

Outcomes 7-9 Years After Scheduled High School Graduation

(Mathematica Policy Research [MPR], 1992-2004)

Mathematica Policy Research, Inc. Report and the Absolute Priority 35

Table 7: 2003-2006 Fiscal Year (FY) Funding Levels of a Midwest 37

TRIO Upward Bound Program (UB) With Upward Bound Initiative

Funding (UBI)

Table 8: Mathematica Policy Research (MPR) National Evaluation 39

of Upward Bound: Eight Major Flaws Identified in the Reports

The Brookings Institute Response to the Mathematical Policy Research, 41

Inc. Final Report

Comparing the National Evaluations Results with the Current Study 45

Table 9: TRIO Upward Bound National Evaluations: Singular 46

Conclusions from High School and Beyond (HSB), Mathematica

Policy Research, Inc. (MPR) Evaluations, and Dissertation Study


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Table 10: TRIO Upward Bound National Evaluations: Conflicting 47

Conclusions from the Research Triangle Institute (RTI), High School

and Beyond (HSB), Mathematica Policy Research, Inc. (MPR),

Cahalan-Goodwin MPR Review (CG), and Dissertation Study (D)

Table 11: TRIO Upward Bound National Evaluations: Similar 51


and Beyond (HSB), Mathematica Policy Research, Inc. (MPR), and

Dissertation Study

Conclusion 52

College Entry and Completion 53

College entry 53

Table 12: External and Internal Forces Influencing the Decision 54

to Attend College

Table 13: Forces Working Against Achievement and Persistence 55

in College

High school curriculum and bachelor degree completion 56

Patterns of college access, persistence, and graduation 57

Support 60

Social and cultural capital 61

Transferring from two to four-year colleges 62

Grit and college success 63

Time is the enemy 65

Cultural beliefs 66

Qualitative and Mixed Methods TRIO Upward Bound Studies 66

Best practices of TRIO Upward Bound programs 66

Areas of strength 71

Second family environment 73


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Collecting student feedback 74

Academic, personal, and social preparation for college 76

Academic advantages 78

Motivation and support 80

Conclusion 84

Chapter 3: Methodology 85

Introduction 85

Rationale of the Study 85

Research Questions 86

Design 87

Participants 88

Data Collection 90

Data Analysis 91

Chapter 4: Results 94

Participant Characteristics 95

Table 14: General Description of Program Participants for Three 96

Groups and Sample

Why Do Students Enroll in TRIO Upward Bound? 96

TRIO Upward Bound program enrollment 97

TRIO Upward Bound program retention and attrition 98

TRIO Upward Bound Program Participation and High School Graduation 100

TRIO Upward Bound Participation, College Enrollment, and Success 103

Academic preparation for college 103


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Table 15: Services Provided to TRIO Upward Bound Students 105

Social preparation for college 109

College Awareness Class 115

SAT/ACT test and college application assistance 116

SAT/ACT test and college application fee waivers 117

Financial Aid 119

Types of financial aid received 122

Employment assistance 125

Other pre-college program preparation 126

Table 16: Pre-College Services Provided by TRIO Upward 128

Bound and Other Pre-College Programs

Postsecondary enrollment 132

Table 17: Postsecondary Enrollment (PSE) and Credential 133

Received By 24 Students in Sample

College and postsecondary training program selection 134

Table 18: College and Postsecondary Training Program 134

Selection

Postsecondary institution type 135

Table 19: Six Carnegie Foundation Categories Comprised of 136

the 12 Colleges/Universities Attended by 21 Sample Participants

Table 20: Three Carnegie Foundation Categories Comprised of 137

the Four Colleges/Universities Attended by Six Bachelor Degree

Recipients (BDRs) in Study Sample

Table 21: TRIO Upward Bound Student Enrollment in 138

College Postsecondary Education

Table 22: National Higher Education Enrollment Percentage 139

Rates by Race of Students and Type of Institution. vs. the

Study Sample and Sample Bachelor Degree Recipients (BDRs)


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College admission selectivity 140

Table 23: College Admissions Selectivity of Institutions 141

Attended by All Students vs. 21 Sample Participants and

Six Sample Bachelor Degree Recipients (BDRs)

Postsecondary success 143

Institutional persistence 143

Table 24: Persisting at the Original Institutions and Training 144

Programs

Persistence in major of study 145

Campus activity involvement 146

Table 25: Campus Activities 147

Postsecondary completion 147

Table 26: Postsecondary Education Graduates (15) 148

Participation in TRIO Upward Bound and Citizenship Practices 150

Voting 150

Table 27: Voting Characteristics for the November 2008 U.S. 151

Presidential Election

Abiding by the law 152

Table 28: 2010 Juvenile Arrest Rates Per 100,000 Population 152

of Youth Ages 10-17 in the United States

Postponing parenthood 153

Table 29: Former TRIO Upward Bound Students’ Marital 154

Status and Children before Age 20

Employment, education, and salaries 154

Table 30: Former TRIO Upward Bound Student Employment 155

Table 31: Former TRIO Upward Bound Types of Student 156

Employment


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Table 32: Former TRIO Upward Bound Student Salaries 158

Table 33: Salaries, Postsecondary Training Completion, and 158

Employment

Military service 160

Community service 161

Table 34: Former TRIO Upward Bound Students and Their 162

Community Service Beliefs

Table 35: Former TRIO Upward Bound Community Service 162

Giving back to TRIO Upward Bound and similar students 164

Improving TRIO Upward Bound 167

Summary 167

Chapter 5: Discussion 169

Summary of Findings 171

Students’ decisions to participate in a TRIO Upward Bound program 171

TRIO Upward Bound program participation impact on high school 172

graduation

TRIO Upward Bound program participation, college enrollment, 174

and success

TRIO Upward Bound program participation impact on citizenship 180

practices

Limitations 181

Interpretations 181

Conclusions and Recommendations 184

Educational accountability 185

Bearing the financial accountability burden 188


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Determining TRIO Upward Bound effectiveness 188

Educating disadvantaged students 189

Increasing the funding of TRIO Upward Bound programs 190

Funding from other organizations 192

TRIO Upward Bound future research 193

Grit research 194

Mentoring 195

Final reflections from Jerry, a former TRIO Upward Bound student 196

December 196

February 196

References 198

Appendices 215

Appendix A: The Original 18 TRIO Upward Bound Pilot Programs 215

Appendix B: Why Disadvantaged Students Leave College Before 216

Completion

Appendix C: College Commuters, Fulltime and Part-Time College 218

Attendance, and Time Taken to Obtain Bachelor and

Associate Degrees

Appendix D: Forces Militating Against Achievement and Persistence 220

in College

Appendix E: General Description of Program Participants 223

Appendix F: Postsecondary Attendance 226

Appendix G: Definitions of College Admission Selectivity 227


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Appendix H: Selectivity of Postsecondary Institutions Attended 228

by Study Population (408) and Sample (24)

Appendix I: Selectivity of Postsecondary Institutions Attended by Study 231

Population (408) and Sample (24): Bachelor Degree

Recipients (BDRs)

Appendix J: Carnegie Classification of Higher Education Institutions 233

Attended by Study Population (408) and Sample (24):

Type and Size

Appendix K: Carnegie Classification of Higher Education Institutions 239

Attended by Bachelor Recipients in Study Population (90)

and Sample (6): Type and Size

Appendix L: National Higher Education Enrollment by Race of Students 242

and Type of Institution

Appendix M: National Higher Education Enrollment by Race of Students 243

and Type of Institution vs. Study Population, Bachelor Degree

Recipients (BDRs), and Sample

Appendix N: U.S. News and World Report 2012 Best College Rankings 244 of Institutions Attended By Study Population (408) and Sample (24)

Appendix O: U.S. News and World Report 2012 Best College Rankings 247

of Institutions Attended by Bachelor Recipients in Study

Population (408) and Sample (24)

Appendix P: Former TRIO Upward Bound Student Suggestions for 249

Program Improvement

Appendix Q: Study Instruments 251

Instrument A: Recruitment Script 252

Instrument B: Adult Consent Form for Research 253

Instrument C: Statement for Release of High School 256

Transcript and Standardized Test Scores

Instrument D: Statement for Release of College Transcript 257

Instrument E: Statement for Release of College Enrollment 258


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Instrument F: Former TRIO Upward Bound Demographic 259

Information

Instrument G: Former TRIO Upward Bound Student 260

Questionnaire

Instrument H: Former TRIO Upward Bound Student Interview 263

List of Tables



(in dollars) for a Midwest TRIO Upward Bound Program

Table 3: Merton’s Theory of Anomie: Five Types of Adaptation 17

To Societal Strain

Table 4: Evaluation Study of the Upward Bound Program 31

(Research Triangle Institute [RTI], 1972-1979

Table 5: Reanalysis of High School and Beyond Data to Estimate 32

the Impact of Upward Bound (High School and Beyond, 1984)

Table 6: The Impacts of Regular Upward Bound on Postsecondary 34

Outcomes 7-9 Years After Scheduled High School Graduation

(Mathematica Policy Research [MPR], 1992-2004)

Table 7: 2003-2006 Fiscal Year (FY) Funding Levels of a Midwest 37

TRIO Upward Bound Program (UB) With Upward Bound Initiative

Funding (UBI)

Table 8: Mathematica Policy Research (MPR) National Evaluation 39

of Upward Bound: Eight Major Flaws Identified in the Reports

Table 9: TRIO Upward Bound National Evaluations: Singular 46

Conclusions from High School and Beyond (HSB), Mathematica

Policy Research, Inc. (MPR) Evaluations, and Dissertation Study

Table 10: TRIO Upward Bound National Evaluations: Conflicting 47


and Beyond (HSB), Mathematica Policy Research, Inc. (MPR),

Cahalan-Goodwin MPR Review (CG), and Dissertation Study (D)


xvii

Table 11: TRIO Upward Bound National Evaluations: Similar Conclusions 51

from the Research Triangle Institute (RTI), High School and Beyond

(HSB), Mathematica Policy Research, Inc. (MPR), and Dissertation

Study

Table 12: External and Internal Forces Influencing the Decision to Attend 54

College

Table 13: Forces Working Against Achievement and Persistence in 55

College

Table 14: General Description of Program Participants for Three Groups and 96

Sample

Table 15: Services Provided to TRIO Upward Bound Students 105

Table 16: Pre-College Services Provided by TRIO Upward Bound and Other 128

Pre-College Programs

Table 17: Postsecondary Enrollment (PSE) and Credentials Received By 24 133

Students in Sample

Table 18: College and Postsecondary Training Program Selection 134

Table 19: Six Carnegie Foundation Categories Comprised of the 136

12 Colleges/Universities Attended by 21 Sample Participants

Table 20: Three Carnegie Foundation Categories Comprised of the Four 137

Colleges/Universities Attended by Six Bachelor Degree

Recipients (BDRs) in Study Sample

Table 21: TRIO Upward Bound Student Enrollment in College Postsecondary 138

Education

Table 22: National Higher Education Enrollment Percentage Rates by Race of 139

Students and Type of Institution vs. the Study Sample and Sample

Bachelor Degree Recipients (BDRs)

Table 23: College Admissions Selectivity of Institutions Attended by All Students 141

vs. 21 Sample Participants and Six Sample Bachelor Degree Recipients

(BDRs)

Table 24: Persisting at the Original Institutions and Training Programs 144

Table 25: Campus Activities 147


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Table 26: Postsecondary Education Graduates (15) 148

Table 27: Voting Characteristics for the November 2008 U.S. Presidential 151

Election

Table 28: 2010 Juvenile Arrest Rates Per 100,000 Population of Youth Ages 152

10-17 in the United States

Table 29: Former TRIO Upward Bound Students’ Marital Status and Children 154

before Age 20

Table 30: Former TRIO Upward Bound Student Employment 155

Table 31: Former TRIO Upward Bound Types of Student Employment 156

Table 32: Former TRIO Upward Bound Student Salaries 158

Table 33: Salaries, Postsecondary Training Completion, and Employment 158

Table 34: Former TRIO Upward Bound Students and Their Community 162

Service Beliefs

Table 35: Former TRIO Upward Bound Community Service 162


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Chapter 1: Introduction

TRIO Defined

TRIO Upward Bound is a national college preparatory program that is considered by

many to be effective in helping low-income, first-generation, and students at academic risk to

attend and complete college. However, as a remnant of the “War on Poverty”, the effectiveness

of the program is unproven according to the results of several large-scale quantitative studies.

Greater evidence of effectiveness is needed to maintain the program and should include

qualitative studies that include the voices of the primary key stakeholders: the current and

former TRIO Upward Bound students. These voices were not a part of the national TRIO

Upward Bound studies of the past. By providing the student voices regarding the benefits or

ineffectiveness of TRIO Upward Bound programming, this study will seek to expand the number

of significant qualitative research studies in the area of college preparatory program evaluation.

“TRIO” was the descriptor used by the U.S. Department of Education for the original

three educational opportunity programs: Upward Bound; Student Support Services; and

Educational Talent Search. Six additional programs were later included under the moniker

TRIO: Veterans Upward Bound; Educational Opportunity Centers; Training Program for Federal

TRIO Programs; Ronald E. McNair Post-Baccalaureate Achievement Program; Upward Bound

Math/Science; and TRIO Dissemination Partnership Program (Groutt, 2003). TRIO Upward

Bound, however, is the first and largest TRIO program established by the Economic Opportunity

Act of 1964. TRIO Upward Bound identifies high school students at targeted schools who are

low-income, first generation, and at high risk of academic failure to assist them in transitioning

to postsecondary education.

TRIO Upward Bound participants live in college residential halls for three to six-weeks


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during the summer while they attend academic classes, prepare for SAT and ACT tests, and

participate in cultural, career, and social events. After high school graduation, students

participate in a summer TRIO Upward Bound Bridge Program (a “dress rehearsal” for college),

which involves enrolling in one or two college classes for academic credit and living in the

dormitory as actual college students for seven weeks. College text books and supplies are

provided by the program, and computer labs are available for email communication, Blackboard

usage, and completion of homework assignments. Program staff conversations with college

faculty and dormitory staff occur on occasion to assist Bridge students in adapting to their

college workloads and other expectations (U. S. Dept. of Ed., 2011; ODSA, 2011).

The goal of TRIO Upward Bound is to support and advocate for eligible students—

assisting them in graduating from high school, enrolling in college, and graduating from college

or other postsecondary education. The program is designed to empower youth by providing

them with a variety of academic, educational, career, employment, social, and cultural

enrichment opportunities. These activities include intensive academic instruction and

enrichment, individual and group tutoring, intrusive guidance and counseling, mentoring by

college students and program staff, college entry test preparation and workshops, college

admission and financial aid assistance, and providing SAT/ACT and college application fee

waivers. All of the services are free-of-charge (U.S. Dept. of Ed., 2011; ODSA, 2011). As one

former participant explained:

The Upward Bound program really changed my life when I was a young man growing up

downtown. I was able to come to the program in the summer and learn valuable

academic skills. I was also able to learn how to transition into the college

world. Basically, the Upward Bound program saved my life! This city has a lot of traps


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and turmoil for a young person to fall into, but the Upward Bound Program was a ray of

sunshine definitely in my life. Because of the Upward Bound program, I am now a

public school teacher, trying to turn young African American, Latino, and all ethnic

students' minds towards college. [Antonio, September 15, 2013].

TRIO Upward Bound is the flagship U.S. Department of Education college preparatory

program, and in 2014 it celebrated 50 years of operation since the passing of the Economic

Opportunity Act of 1964 on August 20, 1964.

Over the years, however, many educational, community, and legislative stakeholders

have questioned the effectiveness of TRIO Upward Bound.

Critiques of TRIO Upward Bound

Unfortunately, the well-known TRIO Upward Bound national studies—Research

Triangle Institute’s Evaluation Study of the Upward Bound Program (1979), Applied Systems

Institute’s High School and Beyond Senior Survey (1984), and Mathematica Policy Research’s

National Evaluation of Upward Bound (2009) —have been used to defend TRIO Upward Bound

program elimination (U.S. Department of Education, 2009a; Cahalan, 2009; Seftor, et al., 2009).

Furthermore, the Office of Management and Budget’s (OMB) 2006 Program Assessment Rating

Tool (PART) report revealed that participation in TRIO Upward Bound “increases 4-year

college enrollment by 22% for all students with lower expectations and 5% for all students, but

the overall college enrollment rate is not improved” (Expect More, 2006, p. 1). These findings

led the Bush administration to call for TRIO Upward Bound’s elimination for fiscal years 2006

and 2007.

The Bush administration considered TRIO Upward Bound an ineffective, unproven, and

expensive social program. Federal legislators and other TRIO adversaries opposed to its level of


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funding question the expense of $4,300 to $4,800/year per student for an intensive, pre-collegiate

preparation and summer residential program such as TRIO Upward Bound, when other

educational opportunity programs (e.g., TRIO Educational Talent Search and GEAR UP) spend

only a few hundred per year on each student for tutoring and other supplemental services. In the

eyes of many, some or all of the expenditure allotted to TRIO Upward Bound would be better

spent towards federal educational improvement mandates, such as a high school component of

No Child Left Behind (U. S. Dept. of Ed., 2013a; COE, 2007; Expect More, 2006).

TRIO Upward Bound’s struggle continues in the Obama administration. On April 14,

2011, despite promises by President Barack Obama and U.S. Senate Democrats to increase or at

least maintain TRIO and several similar programs important to low-income communities, TRIO

Programs received a $26.6 million decrease through the newly approved HR 1473 compromise

bill, also known as the Full-Year Continuing Appropriations Act of 2011, which decreased the

federal budget by $38.5 billion for Fiscal Year 2011 (Basken, 2013; COE, 2013a).

In Fiscal Year 2013, TRIO funding was decreased by another $44 million and served

41,000 fewer students as a result of the Budget Control Act of 2011 sequestration spending cuts,

which became effective on March 1, 2013. At the time, it was estimated that sequestration will

lead to an approximately $1 trillion across-the-board federal budgetary cuts over the next decade.

The Council for Opportunity in Education (COE) estimates that approximately 215,000 low-

income and potential first-generation college students will be unable to participate in TRIO

programs as a result of sequestration and other policies and legislation created during the Bush

and Obama years (Basken, 2013; COE, 2013a).

However, as the U.S. economy improved, Fiscal Year 2014 TRIO funding was restored

from 796 million (Fiscal Year 2013) to 838.3 million. In addition, President Obama requested


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another 838.3 million for Fiscal Year 2015 and 839.7 for Fiscal Year 2016 (White House, 2015).

As indicated in Table 1, TRIO Upward Bound federal appropriations decreased from

2008 to 2013. It began to rebound in 2014 and then decreased in 2015.

Table 1:

TRIO Upward Bound Appropriations by Fiscal Year (in dollars)

Category

FY

2008

FY

2013

Loss/Gain

from 2008

to 2013

FY

2014

FY

2015

Total in

Appropriations

(in dollars)

313,093,939

250,117,297

-62,976,642

264,578,959

263,412,436

# of Programs

Funded

964 816 -148 814

813

Average Grant

Amount Per

Program

(in dollars)

324,786 306,516 -18,270 325,036 324,001

Total # of

Students

Served

65,179 59,097 -6082 61,458 61,361

Amount Per

Student Per

Year

(in dollars)

4804 4232 -572 4305 4293

# of Students

Served Per

Program

50-166 47-180 -3 -14 50-190 50-190

U.S. Department of Education, 2015

TRIO Upward Bound programs funded from 2008 to 2013 were awarded an average of 11.9%


6

less per student (-$572). The range of students served per program, however, increased from 50-

166 (2008) to 47-180 (2013) (FY, 2013), which meant that programs were asked to serve up to

14 more students per program at approximately $572 less per student. Fiscal Year 2013 included

the five to six percent sequestration funding cuts for each program and the subsequent five to six

percent reduction in the number of students each program was required to serve because of the

decreased funding amount per student. Table 2 demonstrates the fluctuation of funding received

by the U.S. Department of Education from Fiscal Year 1999 to Fiscal Year 2015 of one Midwest

TRIO Upward Bound Program:

Table 2:

TRIO Upward Bound Appropriations by Fiscal Year (in dollars) for a Midwest TRIO Upward

Bound Program

Fiscal

Year

Total in

Appropriations

(in dollars)

# of

Participants

Served

Fiscal

Year

Total in

Appropriations

(in dollars)

# of

Participants

Served

1999 429,089 100 2008 556,830 110

2000 537,882 120 2009 556,830 110

2001 546,492 120 2010 556,830 110

2002 571,085 120 2011 539,568 110

2003 552,362 * 120 2012 556,830 124

2004 590,612 * 120 2013 527,708 118

2005 590,612 * 120 2014 490,617 124

2006 590,612 * 120 2015 556,830 124

2007 556,830 110

*Includes Upward Bound Initiative Funding (see Table 6)


Many TRIO Upward Bound advocates believe this type of sequestration funding model


7

or process is the problem, not the education or social program. According to the COE, “nearly

three-quarters of all deficit reduction has come from spending cuts on education programs like

TRIO; yet education accounts for less than 5% of all federal spending” (Jones, 2013, p.1). This

suggests federal budgets are balanced at the expense of education and other social programs

affecting the poor. COE maintains that “TRIO is not an ‘expense’ but an ‘investment’ that must

be increased if we are to build strong communities of middle class, taxpaying citizens”

(Valentine, 2013, p. 3). As COE (2013a) noted:

[I]n 2005, 77.3% of all students who participated in Upward Bound programs

immediately went to college in the fall following their high school graduations. This rate

is even higher by persistence in the program. 91.2% of Upward Bound students who

participated in the program for three years or longer and 93% who participated through

high school graduation enrolled in a postsecondary program immediately following high

school (p. 1).

The challenge to TRIO Upward Bound is that it is considered a remnant of the “War on

Poverty” that does not measure up when quantitative measures are used to determine program

impact. The effectiveness of the program is thus considered by many to be unproven, partly

because overall participation does not significantly increase the standardized test scores and

grade point averages of its participants (Corsi, 2006; Lemann, 1988; Mitchem, 2005; COE, 2007;

“White House,” 2006). Thus, in order to save TRIO Upward Bound programs from being axed

by Congress or the President greater evidence of effectiveness is needed.

This evidence, however, should include the voices of the most key stakeholders: the

current and former TRIO Upward Bound students. Participants (past and present) should have

the opportunity to express in their own words program benefits or ineffectiveness which, for the


8

most part, cannot be measured quantitatively due to the nature of the program. The voices of the

students were not included in the national TRIO Upward Bound studies of the past (Myers,

Olsen, & Patton, 2002; Seftor, et al., 2009; U.S. Department of Education, 2009a). This study

will seek to expand the number of significant qualitative research studies in the area of pre-

college program evaluation that feature the voices of the participants.

Research Questions

Qualitative data adds depth, detail, and distinction to quantitative findings because it

provides insight through case studies and explores personalized outcomes and issues of worth or

merit. Quantitative approaches use standardized measures that allow comparison and statistical

aggregation, leading to rigor and generalizable findings (Patton, 2002). Nonetheless, if

researchers want to find out about what TRIO Upward Bound means to current and former

participants and their parents—what they think about it, how it affected them, and what their

program recommendations are—researchers would need to ask recipients carefully designed

questions to find out about their program stories and experiences (Patton, 2002). This study,

therefore, seeks answers to the following questions:

What informs students’ decisions to participate in a TRIO Upward Bound program?

How does TRIO Upward Bound program participation length and level impact high

school graduation?

How does TRIO Upward Bound program participation length and level impact

college enrollment and success?

How does TRIO Upward Bound program participation length and level impact civic

engagement and citizenship practices, such as voting, paying taxes, abiding by the

law, postponing parenthood, employment, military service, and community service?


9

Program Participation Length is the number of months or years that former students participated

in TRIO Upward Bound. Program Participation Level refers to two participation conditions:

students participated in the program, but left before entering the Bridge Program (Participation

Level One); or, students participated in the program and officially graduated from TRIO Upward

Bound upon successful completion of the Bridge Program (Participation Level Two). The TRIO

Upward Bound Bridge Program, a “dress rehearsal” for college, occurs the summer after high

school graduation and involves enrolling in one or two college classes for academic credit and

living in the dormitory as actual college students for seven weeks.

Theoretical Framework

Lewis’ theoretical contributions. Anthropologist Oscar Lewis (1958) developed the

culture of poverty theory to explain how it was possible for poverty to continue in a country that

was in the midst of prosperity. According to Lewis, “the subculture [of the poor] develops

mechanisms that tend to perpetuate it [poverty], especially because of what happens to the world

view, aspirations, and character of the children who grow up in it” (Lewis, 1968, p. 20).

Harrington and Cloward and Ohlin. Lewis’ theory was later supported by

socialist/political scientist Michael Harrington. In The Other America, Harrington (1962)

theorized after studying the various poverty subcultures in the United States that “the

impoverished American tends to see life as fate, an endless cycle from which there is no

deliverance” (Harrington, 1962, p. 161). This theory inspired President Lyndon Johnson’s “War

on Poverty” and the subsequent development of programs to mitigate challenges caused by

poverty. Among these programs was TRIO Upward Bound and Head Start (Andrew, 1998;

Harrison, 1962; Lewis, 1958; Moynihan, 1969).

In addition to bettering the strains of poverty, TRIO Upward Bound has as a goal to


10

increase participants’ civic engagement and citizenship, thus decreasing the likeliness of

deviance. The theory of differential opportunity systems or theory of opportunity (Cloward &

Ohlin, 1960) is a criminological theory that provides the basis for the understanding the civic

mission of TRIO Upward Bound. It suggests that “pressures towards the formation of

delinquency originate in obvious inconsistencies between culturally-induced aspirations among

lower-class youth and the possibilities of achieving financial and other desired goals by other

than legitimate means. Adolescents feel pressures for deviant behavior when they experience

marked discrepancies between their aspirations and opportunities for achievement” (Cloward &

Ohlin, 1960, p. 86-87). TRIO Upward Bound is then a notable bridge between student

aspirations and said opportunities.

Moynihan. These two theories, however, cannot be discussed without acknowledging

sociologist/politician Daniel Patrick Moynihan’s pathological family structure theory. In his

landmark study, “The Negro Family: The Case for National Action” (1965) (also known as “The

Moynihan Report”), he states that

at the center of the tangle of pathology is the weakness of the [Negro] family structure.

Once or twice removed, it will be found to be the principal source of most of the aberrant,

inadequate, or anti-social behavior that did not establish, but now serves to perpetuate the

cycle of poverty and deprivation…Negro children without fathers flounder and fail. Not

always, to be sure…The common run of young people in a group facing serious obstacles

to success do not succeed… American society, however, impairs the Negro potential…

[Therefore,] a national effort towards the problems of Negro Americans must be directed

towards that question of family structure. The object should be to strengthen the Negro

family… (Moynihan, 1965, pp. 30-47).


11

Although there was a sense of finality to Moynahan's findings that the structure of the family

must be improved in order for African Americans youth to fully benefit from educational and

employment opportunities, TRIO Upward Bound was created in part to help poor youth to

escape the negative cultural influences and trappings of unstable households and neighborhoods

by exposing them to middle-income experiences, environments, and values.

According to the results of the Mathematica evaluation and this dissertation study, “TRIO

Upward Bound students received an extensive set of services over the period of their enrollment”

(Seftor, et al., 2009 pp. xiii-xix). For most students, the services provided by TRIO Upward

Bound served as a significant intervention to counteract the problematic cultural and structural

family strains that the students experience in life. The results of this involvement contradicts the

theories of Lewis, Harrington, and Moynahan—that the effects of a disadvantaged culture,

family structure, and pressures of American society impairs the potential of poor and deprived

youth to the point that it can be not improved. The results of this study, however, indicate that

TRIO Upward Bound participation improves the lives of students who face serious obstacles to

success. The services act as buffers for the strains of poverty by allowing participants to take part

in academic and social activities normally reserved for middle income students, creating

opportunities for youth to change their economic and social circumstances.

Tinto. Regarding college student retention, Dr. Vincent Tinto, Distinguished University

Professor at Syracuse University and Senior Scholar of The Pell Institute, is considered one of

the pioneering theorists. Tinto’s college retention theory was initially published in 1975 and

applies to both community and four-year colleges. According to Tinto, individuals possess

attributes, such as family background, skills, abilities, and prior education that influence their

choices of goals and commitments. When these goals and commitments interact with college


12

experiences in ways that do not facilitate students becoming academically and socially

connected, they are not likely to persist. Faculty must create learning opportunities that enable

students to make those connections (Tinto, 2002).


13

Chapter 2: Literature Review

Introduction

The evaluation of TRIO Upward Bound has been controversial and consists of a variety

of frameworks, methodologies, and outcomes from national evaluations, independent studies,

dissertations, and theses. The goal of the program is “to increase the rate at which participants

complete secondary education and enroll in and graduate from institutions of postsecondary

education” (U.S. Department of Education OPE, 2015, p. 1). However, a standing disagreement

between the U.S. Department of Education and program advocates exist as to the best way to

evaluate the many components involved in this goal (Kalikow-Pluck, 2011).

The questions are: What are the best practices in helping students to complete secondary

education, enroll in, and complete college? Should rigorous analysis and evidence-based

interventions alone (i.e., quantitative methods) be the standard for evaluating TRIO Upward

Bound, or should qualitative methods also be considered that allow student feedback to help in

establishing best practices for program improvement (Kalikow-Pluck, 2011)? “Access to college

remains complex for first-generation, low social-economic status (SES) college-seekers.

Continued research on the effectiveness of college preparation programs is vital” (Kalikow-

Pluck, 2011, p. 99).

Background of TRIO Upward Bound

Juvenile Delinquency and Poverty. By 1950, the United States was known to have

some of the worst juvenile crime statistics in the Western world. Juvenile delinquency in the

1950s was viewed as a psychological problem that required psychological intervention and

treatment. Parents were unable to instill their value systems in their children because the children


14

were influenced by a new peer culture consisting of violent comic books, radio, movies, and

television (Gilbert, 1986).

Experts in the criminal justice and social work fields thought that juvenile delinquency

was encouraged by a breakdown of generational communication and control. However,

psychologists and other mental health professionals believed that science fiction, school

segregation, and disorganization of urban life (immigration, infant mortality, tuberculosis, adult

crime, truancy, and mental disorders) were also a part of the increased delinquency among youth

(Gilbert, 1986). There were many conflicting theories established in the 1950s about the causes

and solutions of juvenile delinquency and youth crime, but the “predominant opinion in the

1950s was that delinquency and youth crime were youthful examples of adult crime best

addressed through specialized institutions like reform schools and juvenile detention centers”

(Salett, 2011, p. 71).

From the mid-1950s to the early 1960s, gang-related violence continued to increase. It

involved gangsters from all racial groups and from all ages and contributed to the decay of

society on all levels. Eunice Kennedy Shriver, the former executive secretary to the National

Conference on Juvenile Delinquency, was concerned about this trend and brought juvenile

delinquency to the attention of her brother, President John F. Kennedy (Salett, 2011),.

President Kennedy and the federal government responded to the nation’s gang problem

by appointing a federal committee to study the nature, causes, and treatment of crime. On May

11, 1961, Kennedy issued Executive Order 10940 that established the President’s Committee on

Juvenile Delinquency and Youth Crime. He also sent draft legislation to the U.S. House and

Senate to permit the Federal Government to undertake projects designed to establish and


15

evaluate the most effective ways of using the country’s resources to combat juvenile delinquency

(“Executive Order,” 1961; Miller, 2001; Salett, 2011; “White House,” 2001).

Robert Kennedy, U.S. Attorney General, was asked by the President to oversee the

committee, and in turn, assigned one of his best childhood friends, David L. Hackett, to the role

of Executive Director of the President’s Committee on Juvenile Delinquency and Youth Crime

in 1961. He enlisted leaders in the fields of social work, education, psychology, mental health,

and labor fields. Among the leaders were social work experts Lloyd Ohlin, Kenneth Clark, and

Michael Harrington (Hevesi, 2011; Myers, 2002; Lloyd, 2008; Salett, 2011).

Ohlin was considered the “best thinker” concerning juvenile delinquency and argued that

“youth turned to crime and rebellion when poor communities did not offer legitimate

opportunities to pursue the middle-class aspirations that society promoted” (Myers, 2002, p. 1).

This connected delinquency to poverty. Cloward and Ohlin (1960) argued inner city juvenile

delinquency was a rational response to the lack of economic potential available to poor urban

youth. They also claim that every culture provides its people with appropriate beliefs, values,

and norms to carry out required activities (Cloward & Ohlin, 1960; Salett, 2011).

Michael B. Katz, historian and social scientist, describes six major issues surrounding the

debates on urban poverty:

the extent to which individuals are responsible for their poverty (individual agency vs.

structural forces); the role of culture on perpetuating poverty and dependence (attitudes,

values, and group behaviors); the contribution of family structure, organization, and

modes of child rearing to developing and reproducing social pathologies; the influence of

ecology or environment on behavior (how neighborhood characteristics contribute to

crime, welfare dependence, low school attendance, and premarital pregnancy); the


16

capacity of institutions to counteract the influence of family and neighborhood, and why

institutions often fail to fulfil their missions; and why poverty persists despite public

policy and whether policy has, in fact, made matters worse (Katz, 1993, p. 5).

During his campaign for President in 1960, John F. Kennedy saw firsthand the hardships

of poverty for people in Kentucky and West Virginia. Once elected, he remained concerned

about this issue. Thus, in 1961 he appointed a populist economist, Walter Heller, to head his

Council of Economic Advisors committee, which was charged with studying poverty in the U.S.

The goal of the committee was to recommend a course of action to address the issue of poverty

and determine how current efforts to mitigate the impact of poverty could be expanded across the

county (Groutt, 2003; Salett, 2011). However, in 1962 the book by socialist/political scientist

Michael Harrington, The Other America: Poverty in the United States (1962) and a New Yorker

article entitled, “Our Invisible Poor” by Dwight MacDonald (1963) revealed poverty remained

an issue that affected at least one-third of the U.S. population. These writings contradicted the

America as portrayed in The Affluent Society, a widely read book written by economist John

Kenneth Galbraith (1958). Therefore, size and degree of the poverty problem in the country

could no longer be put aside (Groutt, 2003; Harrington, 1962; MacDonald, 1963; Salett, 2011).

The Theory of Opportunity and Theories of Poverty. In the late 1950s, Richard

Clowen and Lloyd Ohlin, social work professors at Columbia University, argued that opportunity

would decrease delinquency among poor children (Cloward & Ohlin, 1960; Columbia News,

2002; Evans, 2011; Gale, 2004; Groutt, 2003; Lloyd, 2008; Richard, 2008).

Cloward and Ohlin’s theory of opportunity was influenced by the work of 19th

century

sociologist Emile Durkheim, a functionalist theorist who developed the concept of anomie,

which means “lawlessness or normlessness—a state in which social norms no longer control


17

men’s actions” (Cloward & Ohlin, 1960, p. 78). Durkheim believed that limitless desires create

a continuous pressure for deviant conduct. He distinguished between two kinds of needs:

physical and social. Physical needs can be met, while social needs such as desires for wealth,

power, and prestige are insatiable (Evans, 2011; Gale, 2004).

Additionally, the theory of opportunity is also an expanded revision of sociologist and

functionalist Robert K. Merton’s theory of anomie, also derived from Durkheim (Akers, 1997;

Cloward & Ohlin, 1960; Evans, 2011). Merton (1938) argues:

[T]his version of anomie theory looks at American society, and what happens when an

individual realizes that not everyone can achieve the American dream of equal

opportunity for economic success. The anomic condition produces strain or pressure on

disadvantaged minority groups and the lower class who do not have equal access to such

legitimate opportunities (as cited in Akers, 1997, p. 119)

When this strain occurs, individuals take on one of five identities: the conformist, the innovator,

the rebel, the retreatist, or the ritualist (Akers, 1997). Table 3 offers profiles of the identities.

Table 3

Merton’s Theory of Anomie: Five Types of Adaptations to Societal Strain

Type Definition

The Conformist

Accepts the goals of society and the means for achieving them.

Example: The College Student.

The Innovator Accepts the goals of society, but rejects the means of achieving

them. Example: The Drug Dealer.

The Rebel Rejects both the goals and means of society and wants to replace

them with new goals and means. Example: The Militia Member.

The Retreatist Gives up on both the goals and means. Withdraws from society.

Example: The Alcoholic.

The Ritualist Rejects the goals, and accepts the means. This person has given up

on the promotion and the nice car and simply punches the time

clock to keep what they have.


18

Cloward and Ohlin’s theory of opportunity suggested that for poor youth, the

development of aspirations that seem impossible because of financial disadvantages, creates

delinquency. They further contended:

Adolescents, [therefore,] feel pressures for deviant behavior when they experience

marked discrepancies between their aspirations and opportunities for achievement.

Delinquent subcultures arise primarily among lower-class adolescent males in large cities

because these youngsters are exposed to greater discrepancies between aspirations and

opportunities than are persons located elsewhere in the social structure (Cloward &

Ohlin, 1960, p. 87).

As opposed to considering lack of opportunity as cause for delinquency, Oscar Lewis

theorized that poverty and affiliated challenges were transmitted from one generation to the next.

Thus, he argued poverty was cultural. His perspective was reinforced by Daniel Moynihan,

whose pathological family structure theory had a lasting impact on perceptions of the poor and

minorities. In his landmark study, “The Negro Family: The Case for National Action (1965)”

(also known as “The Moynihan Report”), Moynihan notes, “[C]hildren who grew up without a

stable, two-parent family were likely to live a life of poverty. Moynihan insisted this deviancy

bred a social pathology that was particularly virulent among African Americans” (Andrew, 1998,

p. 58).

Moynihan’s and Lewis’s culturalist perspectives were accepted by Martin Luther King Jr.

and sociologist Orlando Patterson, but criticized by structuralists, who highlighted the

significance of institutional racism and economic disparities. Although Moynihan emphasized

the devastating effect of American slavery on the Negro family in his analysis more so than in

W.E.B. DuBois’ sociological study, The Philadelphia Negro (1899), the report was challenged


19

by other civil rights activists, sociologists, and psychologists, such as Jessie Jackson, James

Farmer, Andrew Billingsly, and William Ryan (Dubois, 1899; Sanneh, 2015).

In 1970, Ryan, a psychologist, claimed that Moynihan’s pathological family structure

theory “justify inequality by finding defects in the victims of inequality” (Ryan, 2010, p. 4).

Ryan (2010) states in his book, Blaming the Victim:

[R]ather than structural changes to society…the formula for action becomes to change the

victim by first identifying a social problem, second, study those affected by the problem

and discover in what ways they are different from the rest of us as a consequence of

deprivation and injustice, third, define the differences as the cause of the social problem

itself; finally, of course, assign a government bureaucrat to invent a humanitarian action

program to correct the differences. (pp. 16-17)

Despite all of the theoretical disagreements, the theory of differential opportunity

systems, or theory of opportunity, provided an explanation of the causes of juvenile delinquency

that proved remediable. Cloward and Ohlin (1960) argue that some youth become involved with

illegal activities instead of concentrating on academic achievement. They discover too late the

relationship between school adjustment and increased social mobility, even though they have

average or above academic and intellectual ability. Educational achievement, however, is not

just about positive attitudes, but also about opportunities for those who are interested in

educational achievement (Cloward & Ohlin, 1960).

Thus, in 1962 Cloward and Ohlin established Mobilization for Youth, a non-profit

organization created to reduce juvenile delinquency in New York. “Mobilization for Youth

organized local neighborhood councils, which then helped plan and shape a set of coordinated

social services and linked them to city and school agencies” (Salett, 2011, p. 72). The


20

organization was initially funded by the first grant established by the President’s Committee on

Juvenile Delinquency (PCJD). A year later, 16 similar programs were funded by PCJD across

the county in primarily urban areas. Mobilization for Youth was one of the largest delinquency

prevention programs in the history of the United States and is the theoretical model for the War

on Poverty educational programs, such as TRIO Upward Bound and Head Start (Cloward &

Ohlin, 1960; Columbia University, 2013; Evans, 2011; Mobilization, 1965; Richard, 2008;

Salett, 2011).

Policy and Programmatic Solutions. In addition to exposing the role that poverty

played in lives of juvenile delinquents, the Civil Rights Movement of the 1950s and 1960s

brought to light the issue of educational inequality and lack of opportunity for African

Americans and other minority groups. The students and faculty who volunteered on college

campuses in the South noticed that very few poor and disadvantaged high school students

attended college. Minimum numbers of minorities were prepared to enter top colleges and

universities. Princeton, for example, had twenty African American students from a population of

3,166 undergraduates in 1964, and only one to three African American students graduated from a

yearly graduation class of approximately 775 (Groutt, 2002, 2003; James, 1986).

Civil rights advocates believed that this climate of exclusion was doomed to continue

until the schools in America made major changes in the structure of all levels of education.

Philanthropic foundations, such as the National Science Foundation and the Ford, Carnegie, and

Rockefeller Foundations began to receive requests from higher education institutions and

community organizations to help finance experimental programs designed to resolve these

problems. TRIO Upward Bound was created as a result of these requests (Groutt, 2002; James,

1986).


21

President Kennedy’s Committee on Juvenile Delinquency and Youth Crime received a

three-year, $30 million dollar appropriation from the U.S. Congress and developed pilot projects

that were aimed at moving youth towards jobs and educational opportunities. These projects

along with Head Start and TRIO Upward Bound were all examples of a national poverty effort

that emphasized local planning and decentralization. The effort provided a lasting impact on

poverty programs and how the federal government would treat its poor in the future. It also

shaped how youth service organizations in the nation would be developed and structured (Groutt,

2003; Myers, 2002; “Background on Youth,” 2008).

David Hackett was replaced by Sargent Shriver, Robert Kennedy’s brother-in-law. The

Committee lasted for three years and was replaced by the Office of Economic Opportunity

(OEO) created by the Economic Opportunity Act of 1964 (EOA) where Shriver was also the

National Director (Myers, 2002). The EOA created a Demonstration and Research Office in the

OEO for the funding of experimental programs. Head Start and Upward Bound were two of the

national anti-poverty programs that were created (Groutt, 2003; Myers, 2002).

These programs were critical because, as S.M. Lipset and Reinhard Bendix claim,

“education has become the principal avenue for upward mobility in most industrial nations,

particularly in the United States” (as cited in Cloward & Ohlin, 1960, p. 97). The occupational

structure in the United States and other parts of the world is becoming more technical and

specialized; therefore, the number of non-manual jobs that can be entered without an extensive

education is decreasing. However, the disadvantages of lower-class origins are not necessarily

overcome by education due to an inability of a person’s family to give him or her a start in

business by providing start up monies or contacts. But without education, one has little chances

of improving his/her economic situation (Cloward & Ohlin, 1960).


22

Beginning in the mid-1960s, the Rockefeller Foundation funded over 20 experimental

programs using various methods to increase the numbers and improve academic achievement of

disadvantaged and minority youth applying to colleges and universities. According to Groutt

(2002):

The Rockefeller Foundation awarded its first grants for this new effort to Princeton

University, Oberlin College, and Dartmouth College. The institutions received $150,000

three-year grants for residential summer programs offering intensive academic and

cultural opportunities for selected middle and secondary school students, both black and

white. Each program was designed to test the effectiveness of a different design. (p. 6)

The Princeton and Oberlin experimental projects were similar, providing six to eight-week

summer residential campus stays, academic classes, college student mentors, social activities,

college visits and cultural trips. These programs along with six other Carnegie-funded programs

were the models for the Upward Bound Program (Groutt, 2002).

The Dartmouth program was of a different design and included the participation of 30

highly selective private preparatory schools in New England. The eight-week summer program

provided remedial classes and cultural enrichment to disadvantaged, but talented ninth and tenth

grade boys (Groutt, 2002). Upon a successful completion of the summer session, the student

continued his or her high school years and college preparation in a highly selective residential

preparatory school. Administered by the Independent School Talent Search Program (ISTSP),

this experimental program continued to receive generous financial assistance from the

Rockefeller Foundation and the corporate community. It eventually became known as “A Better

Chance Program (ABC Program),” which placed a high percentage of its graduates in highly

selective colleges and universities.


23

None of these programs would prove to have the impact of TRIO Upward Bound.

Legislative Solutions. Before his presidency, Lyndon B. Johnson, as a southern

congressional leader, voted against civil rights legislation while in the U.S. House and Senate.

However, shortly after becoming president, he

used his 1964 mandate to bring his vision for a “Great Society” to fruition in 1965,

pushing forward a sweeping legislative agenda that would become one of the most

ambitious and far-reaching in the nation’s history….As a result his administration passed

more than 60 education bills [and] initiated a wide-scale fight against poverty…(LBJ

Presidential Library, 2015, p. 1).

Johnson became known for his relationship with Congress and his ability to push forward his

legislative agenda. This ability to connect with Congress and sway the votes of anti-Civil Rights

southerners strengthened his presidency because he was able to pass historic social legislation.

Johnson passed approximately 200 pieces of Great Society and War on Poverty legislation after

eighteen months in office. As President, he was determined to take up the civil rights mantles

left by Presidents Abraham Lincoln, Harry S. Truman, John F. Kennedy and Franklin D.

Roosevelt (LBJ Presidential Library, 2015; Lyndon, 2008).

In his quest to improve American society in regards to poverty and education, Johnson

and Adam Clayton Powell, Jr., the first elected African American Congressman to represent New

York and the Chairman of the House Education and Labor (HEL) Committee from 1961-1967,

passed 60 major pieces of New Frontier and Great Society legislation including the Juvenile

Delinquency and Youth Offenses Control Act of 1961 (87-274), The War on Poverty (1964)(88-

452), and the Higher Education Act of 1966 (89-752). The War on Poverty Program was also

established during the Johnson years (Kilberg, 1989; “Lyndon B. Johnson,” 2008; Powell, 1971).


24

Prior to the Johnson administration, federal concern for the higher education of youth at

in the United States was insignificant. Most viewed education as the responsibility of the state

and local governments. Noted exceptions of federal government intervention in higher education

were the Morrill Land Grant Acts of 1862 and 1890 and the Serviceman’s Readjustment Act of

1945 (GI Bill). Eventually, however, the federal government became involved with education

due to the widespread national problem of poverty (Groutt, 2003).

In November 1963, President Lyndon Johnson inquired about the Heller committee’s

plans to attack poverty. Approximately one month later, Johnson declared “an unconditional war

on poverty” in his first State of the Union speech that outlined his plans for a “Great Society”.

Johnson appointed Sargent Shriver, brother-in-law of President Kennedy, to serve as chairman of

a Task Force Committee on Poverty in late January, 1964 (Groutt, 2003).

Approximately six weeks later, Shriver and his committee prepared the legislation

necessary that would “forever eliminate poverty from the richest nation on earth” (Groutt, 2003,

p. 1). John Gardner, president of the Carnegie Corporation and Carnegie Foundation for the

Advancement of Teaching, was appointed Secretary of Health, Education, and Welfare in July

1965. In this role, he would become known as the “Engineer of the Great Society... to end

poverty, promote equality, improve education, rejuvenate cities, and protect the environment

(PBS, 2001, p. 1). He was responsible for a multi-billion dollar budget, 150 new programs, and

100,000+ federal employees (Groutt, 2003; PBS, 2001).

Sargent Shriver, who previously chaired the President’s Committee on Juvenile

Delinquency and Youth Crime, was assigned to the post of National Director of the new Office

of Economic Opportunity (OEO) that was established by the Economic Opportunity Act of 1964

(EOA). This act created a Demonstration and Research Office (DRO) for the funding of


25

experimental programs. According to the EOA, 80% of the Community Action Program (CAP)

funds were appropriated to the states, and 20% were to be distributed by Shriver (Foster, 2012;

Groutt, 2002, 2003; James, 1986; “ODSA,” 2008; Salett, 2011).

To increase the visibility of the DRO, Shriver created programs with a national emphasis,

which included Project Head Start and Project Upward Bound. Upward Bound received CAP

funds from Shriver’s 20% and was directed from Washington instead of the states. Foster (2012)

notes:

Both programs became immediately controversial, because there were Senators and

Congress members who believed the programs were illegally promoting civil and voting

rights. Educational program leaders were accused of inciting racial agitation or

participating in civil rights protests. In order to reinstate funding for Head Start in the

state of Mississippi, several buses of five-year old children had to go to Washington,

D. C. to plead for services (p. 2).

Dr. Robert T. Frost was the first national director of Upward Bound and CAP, and

scholar and activist Stanley Salett was one of the designers of Head Start and the originator of

Upward Bound. Salett was primarily responsible for the Upward Bound design. As Groutt

(2002) mentions, “[H]e brought together all of the ideas from the first experimental pre-college

programs that were funded by the colleges, The National Science Foundation, and the

Rockerfeller, Ford, Carnegie, and other foundations” (p. 2). Innovative educational ideas and

teaching methods were used with the projects, along with students, teachers, and administrators

at the local and national levels who believed in the idea of eliminating poverty through new

educational ideas and challenging the status quo (Groutt, 2002, 2003).


26

The summer of 1965 marked the beginning of 18 new pilot Upward Bound projects

involving 2,061 students (see Appendix A). Dillard University, Fisk University, Texas Southern

University, Morehouse College, and Webster University were funded as part of Educational

Services Incorporated (ESI) of Watertown, Massachusetts and had a specific curriculum. Of the

initial 2,061 students enrolled, 1,200 received follow-up services during the academic school

year of 1965-1966. Eighty-percent of the participants were admitted to a college or university in

the fall of 1965. Sixty-nine percent of the college freshmen who entered a higher education

institution in 1965 stayed in college and graduated (Groutt, 2002, 2003; James, 1986; “ODSA,”

2008).

Following the success of the initial projects, Upward Bound became national as a part of

the Title IV-A of the EOA, which allowed the OEO to expand Upward Bound in its second year

(1966) to 220 programs that served 20,233 students at the colleges and universities across the

nation. It was considered one of the most successful and recognized programs of the OEO

(Groutt, 2002, 2003; James, 1986; “ODSA,” 2008).

Three of the OEO Upward Bound pilot programs were originally Rockefeller-funded

projects. OEO also supported 100 students initially in the Rockefeller Foundation ABC

Program, eventually supporting 300 additional students the next year. The ABC Upward Bound

Program was one of the original 1965 pilot projects (Independent Schools Talent Search) and

cost $5,000/student per year in comparison to the less than $1500/student per year for the regular

Upward Bound Program. OEO withdrew their support for this Upward Bound ABC Program in

1968. Later, it agreed to support the students remaining in the program, but would not provide

funding for additional students (James, 1986; “ODSA,” 2008).


27

Initially, Upward Bound operated on two levels from the OEO. One level involved a

staff of two federal employees who set policy; the second level involved the contracted

administrative agency that processed applications and monitored the programs from afar and

through site visits (Groutt, 2003).

The Higher Education Act of 1965. From 1926-1930, Lyndon B. Johnson attended and

graduated from Southwest Texas State Teachers' College (now Texas State University San

Marcos). He taught primarily Mexican children at the Welhausen School in Cotulla, Texas

(1927); in Pearsall High School located in Pearsall, Texas (1930); and later at Sam Houston High

School in Houston, Texas. Returning to Texas State University in 1965, he reminisced about his

years at Welhausen School:

I shall never forget the faces of the boys and the girls in that little Welhausen Mexican

School, and I remember even yet the pain of realizing and knowing then that college was

closed to practically every one of those children because they were too poor. And I think

it was then that I made up my mind that this nation could never rest while the door to

knowledge remained closed to any American (Johnson, 1965).

Thus, in 1965, Johnson had this to say:

In a very few moments, I will put my signature on the Higher Education Act of 1965. The

President's signature upon this legislation passed by this Congress will swing open a new

door for the young people of America. For them, and for this entire land of ours, it is the

most important door that will ever open—the door to education.

And this legislation is the key which unlocks it.

To thousands of young men and women, this act means the path of knowledge is open to

all that have the determination to walk it.


28

It means a way to deeper personal fulfillment, greater personal productivity, and

increased personal reward. This bill, which I will make law, is an incentive to stay in

school.

It means that a high school senior anywhere in this great land of ours can apply to any

college or any university in any of the 50 States and not be turned away because his

family is poor. (as cited in Johnson, 1965, p. 1)

Much of the money of the Act was appropriated to low-income students through the new

Educational Opportunity Grants (EOG), which was the first instance in the history of the federal

government that federal educational grant money was given to students on the basis of low-

income status. Since very few low-income students attended college in the 1960s, James Moore

and Samuel Halperin, employees of the U.S. Office of Education and instrumental in the

development of the Higher Education Act of 1965, knew that these students would need to be

identified by the high school counselors and colleges and that money would need to be available

for them to enter and remain in college (Groutt, 2003).

Although the Higher Education Act of 1965 was revolutionary—radically written to

include a segment of the population previously excluded from American higher education—it

only included a few lines (seventeen) to describe the new higher education marketing program

that was to serve as a guide for the Educational Opportunity Grants (EOG). Section 408 of the

Higher Education Act was revised to add a new program named Contracts to Encourage the Full

Utilization of Educational Talent (CEFUET):

This program was later called Educational Talent Search, or Talent Search. Its purpose at

the time was to make sure that low income students knew about the new money for


29

college and how to get to it. The administrators of the new Talent Search grants were the

OE’s Office of Student Financial Aid (Groutt, 2003).

Initially, it appeared that the Upward Bound, Talent Search, and EOG directors and

administrators were unconvinced that the money was actually meant to help low-income students

to prepare for and pay for college. As a result, site visitors found that much of the money was

spent on the well-to-do children of college professors, administrators, and professional families.

These children were enrolled in the programs and were receiving the grants and pre-college

services that were meant for the disadvantaged youth. In other cases, some of the EOC money

remained unused at the colleges because the schools were hesitant to enroll and work with

disadvantaged youth. Eventually these problems were corrected by professional development

activities and intense program monitoring (Groutt, 2003).

Poor, academically high-risk, and disadvantaged students began to enter college in the

late 1960s at a much higher rate as a result of the Higher Education Act of 1965, its first

amendment (1968), and the Civil Rights movement. The participating EOG institutions were

required to seek out and enroll students who were in financial need. However, the majority of

the colleges and universities were ill-equipped to support and improve the academic deficiencies

of these students once they arrived on campus. Therefore, Special Services for Disadvantaged

Students (SSDS—later named Student Support Services) was created and written in the 1968

Higher Education Amendment. The program was necessary to “fill the gap between inadequately

prepared students and the expectations of college outcomes” (Groutt, 2003, p. 4). It included a

“set-aside” provision requiring that at least 10% of program monies be used to serve physically

disabled students, which was the first time disabled students were considered in education


30

legislation. Thus in 1970, the Student Support Services program began serving college students

with 121 programs (Groutt, 2003).

After four years of operating in the OEO, the Higher Education Amendments of 1968 led

to the eventual transfer of “Upward Bound from the Office of Economic Opportunity (OEO) to

the new Office of Education (OE) in the Department of Health, Education, and Welfare where it

joined Talent Search and Student Support Services” (Groutt, 2003, p. 4). This transfer was at the

request of Congresswoman Edith Green of Oregon (Groutt, 2003).

Thus, “the first ‘TRIO’ of educational programs to help disadvantaged students attend

college was in place” (Groutt, 2003, p. 4).

National Evaluations of TRIO Upward Bound’s Impact

In the past 50 years since the establishment of TRIO Upward Bound, there have been

several attempts by the federal government and other organizations, such as The Applied

Systems Institute, to address program impact and student selection. Two large-scale federally-

sponsored national evaluations of Upward Bound recently have been completed in addition to

several TRIO-related studies. The first federally-sponsored evaluation, Evaluation Study of the

Upward Bound Program, was conducted by the Research Triangle Institute (RTI) between 1973

and 1979 and is considered to be the most comprehensive evaluation to date. It sampled

approximately 3,700 TRIO Upward Bound participants from 54 programs and 2,300 non-

participating students as a comparison group. The chief findings of the RTI study can be found

in Table 4:


31

Table 4

Evaluation Study of the Upward Bound Program (Research Triangle Institute [RTI], 1972-1979)

Impact Outcome

Higher

Education

Expectations

Upward Bound participants had substantially higher education expectations

than non-participants (expectations that they would enter postsecondary

education), and these differences increased with the length of Upward Bound

participation.

High School

Graduation

Rates and

College

Enrollment,

Selectivity,

and Type

Upward Bound had no effect on high school graduation rates, but significantly

more participants entered postsecondary education. Those who enrolled in

college were more likely to attend a four-year institution than non-participants.

They were also more likely to attend colleges with high minority enrollment

and that hosted an Upward Bound or Student Support Services project.

Disadvantaged

And At-Risk

Students

Minorities, economically disadvantaged students and students classified as

academic risks were particularly more likely to enter college from among

Upward Bound participants than from the comparison group.

Financial Aid Upward Bound participants were more likely to apply for financial aid, and

although the probability of receiving aid did not differ from non-participants,

aid packages for Upward Bound participants were more likely to include large

grants.

Length of

Program

Participation

The duration of program participation was associated with an increased

likelihood of postsecondary entry. Those in Upward Bound for two or more

years were significantly more likely to enter college than those with a single

year of program participation.

Postsecondary

Persistence

and

Educational

Performance

No systematic differences were observed between former Upward Bound

participants and non-participants on measures of postsecondary persistence.

Similarly, there were few differences on measures of educational performance,

although Upward Bound participants had lower grade point averages.

U.S. Department of Education, 2009a, p.4


32

Jung (1984) and the Applied Systems Institute examined the High School and Beyond

(HSB) Senior survey, a study involving national TRIO Upward Bound-related data, and arrived

at conclusions similar to RTI. These conclusions are located in Table 5:

Table 5

Reanalysis of High School and Beyond Data to Estimate the Impact of Upward Bound (High

School and Beyond, 1984)

Impact Outcome

College Entry

and Persistence

Upward Bound participants were more likely to enter college (postsecondary

education) and earned more credits than non-participants, but within 18

months after high school graduation, differences in postsecondary

persistence were no longer significant., but two or three years after high

school graduation, differences in postsecondary persistence had largely

disappeared. There were no systematic differences in rates of

college graduation or credits earned.

High School

Credits, GPAs,

Achievement

Test Scores,

Educational

Aspirations, and

Postsecondary

Persistence

When matched on the basis of type of high school attended,

race/ethnicity, and family socioeconomic status:

▪ Upward Bound participants, prior to (postsecondary) program

entry, earned more math credits and had higher educational

aspirations than non-participants. Although the differences were

not statistically significant, program participants also had slightly

higher grade point averages, more science credits, and higher

achievement test scores prior to program entry.

▪ Upward Bound enrollment increases the educational aspirations of

students and reading achievement scores.

U.S. Department of Education, 2009a, pp.4-5

The National Evaluation of Upward Bound 1992-2004, the second federally-sponsored

national evaluation, was initiated by the U.S. Department of Education (DOE) in 1991 and was

conducted from 1992 to 2007 by Mathematica Policy Research, Inc. (MPR) under three DOE


33

contracts. Although most of the national studies regarding TRIO Upward Bound’s success or

failure do not meet the highest evidence standards, according to the Institute of Education

Sciences, the study by MPR is considered to be the best of the national studies, meeting

“evidence standards without reservations” (Haskins & Rouse, 2013, p. 3) because it studied

students who were randomly assigned to a TRIO Upward Bound program or a control group.

MPR’s goal was “to evaluate the impact of a flagship federal pre-college academic support and

supplemental service program for disadvantaged high school students” (Cahalan, 2009, p. 1).

During the evaluation, researchers employed a random assignment technique that combined with

a national probability sample of programs (U.S. Department of Education, 2009a; Cahalan,

2009).

MPR conducted several studies of approximately 3,000 participants from 67 of 475

randomly selected Upward Bound programs from across the country from 1992-2004. It

followed a multi-grade cohort from the program fiscal years of 1992-93 to 2003-04. The original

sample included 70 programs, but only 67 participated. Four follow-up reports were written in

1996, 1999, 2004, and 2009. However, despite the high level of resources, significant

program/participant response rates, and careful attention given to minute details, the validity of

the methods used, the accuracy of data collection, and political pressures regarding funding

arouse suspicion about the studies (Seftor et al., 2009). The conclusions of the MPR fourth and

final report are listed below in Table 6 (Cahalan, 2009; Seftor et al., 2009).


34

Table 6

The Impacts of Regular Upward Bound on Postsecondary Outcomes 7-9 Years After Scheduled

High School Graduation (Mathematica Policy Research [MPR], 1992-2004)

Impact Outcome

Postsecondary

Enrollment, Type, and

Selectivity

Upward Bound had no detectable effect on the rate of overall

postsecondary enrollment or the type or selectivity of

postsecondary institution attended for the

average eligible applicant.

Financial Aid Upward Bound had no detectable effect on the likelihood of

applying for financial aid or the likelihood of receiving a Pell

Grant.

Likelihood of Earning a

Postsecondary Certificate

or License, Associate

Degree, or Bachelor

Degree

Upward Bound increased the likelihood of earning a postsecondary

certificate or license from a vocational school. It had no detectable

effect on the likelihood of earning a Bachelor’s degree or the

likelihood of earning an Associate’s degree.

Postsecondary

Enrollment

and Completion

Upward Bound increased postsecondary enrollment or completion

rates for some subgroups of students.

Length of Program

Participation

Longer participation in Upward Bound was associated with higher

rates of postsecondary enrollment and completion.

Upward Bound Allure Upward Bound attracts mostly students who are sufficiently able

and motivated to pursue postsecondary education.

Pre-College Services and

Educational Outcomes

Participants in Upward Bound receive an intensive set of

pre-college services and have positive educational outcomes.

Availability of Other

Pre-College Services

Upward Bound operates in an environment where other pre-college

services are also available to students.

Seftor et al., 2009, pp. xiii-xix

The final MPR report was released in January 2009 during the last week of the Bush

Administration at the request of the political appointee staff. According to Cahalan & Goodwin


35

(2014), the report

was published over the objections of the Policy and Program Studies Services (PPSS)

U.S. Department of Education (ED) career technical staff who were assigned to monitor

the final Mathematical contract. The report was also published after a “disapproval to

publish” rating in the formal review process from the Office of Postsecondary Education

(OPE), out of whose program allocation the evaluation was funded (Cahalan & Goodwin,

2014a, p. 1).

Mathematica Policy Research, Inc. Report and the Absolute Priority. The dismal

conclusions of the fourth and final report of Mathematica Policy Research, Inc. (MPR, Seftor,

Mamun, & Schirm, 2009) generated a flurry of debate in the Department of Education (DOE)

and TRIO communities. The initial response to the MPR reports by the U.S. Office of

Management and Budget (OMB) was to urge the DOE to assist TRIO Upward Bound directors

in enhancing their programs by targeting students who were at more academic risk. According to

Cahalan (2009):

These reports indicated that Upward Bound participation showed a lack of overall effects,

but significant effects with sub-groups of students determined to be at a higher academic

risk and reporting lower baseline college expectation. DOE developed the Upward Bound

Initiative, designed to provide additional funding to projects to serve students deemed to

be more at academic risk. The MPR study took on the characteristics of a high-stakes

evaluation with clear consequences for the program in terms of the new Program

Assessment and Rating Tool (PART) labeling, reform policy decisions, and funding

recommendations. (pp. 1-9)

As a result of an “ineffective” rating received by the Office of Management and Budget


36

PART in 2005 and 2006, the Bush Administration recommended zero funding of TRIO Upward

Bound in the FY2006 and FY2007 federal budgets (Cahalan, 2009; COE, 2007). The goal of the

Bush administration “was to either eliminate Upward Bound, or, failing that, to re-make Upward

Bound into an extension of its elementary and secondary education agenda, possibly replacing

Upward Bound with a new high school component of No Child Left Behind” (COE, 2007, p. 1).

The thought of terminating the funding was met with national protests of current and former

students, parents, and advocates. When the recommendation

to eliminate Upward Bound was decisively rejected by Congress, the Administration took

a different tactic: attempting to achieve its goals outside the normal legislative and

regulatory process by simply imposing new requirements on Upward Bound via an

‘Absolute Priority’ published in the Federal Register. This Absolute Priority was

opposed by all of the major higher education associations” (COE, 2007, p. 1).

The Absolute Priority for the Upward Bound Program Participant Selection and

Evaluation (AP) appeared in the Federal Register on September 22, 2006 in response to a

favorable trial of the Upward Bound Initiative. In the trial, a number of TRIO Upward Bound

programs were offered and given incentive money ($100,000 in many instances) for four fiscal

years to work with academically high-risk students. Table 7 demonstrates the 2003-2006 fiscal

year funding levels of a Midwest TRIO Upward Bound program who received funding through

the Upward Bound Initiative:


37

Table 7

2003-2006 Fiscal Year (FY) Funding Levels of a Midwest TRIO Upward Bound Program (UB)

With Upward Bound Initiative Funding (UBI)

Fiscal

Year

(FY)

FY UB

Funding

(in dollars)

FY UB

Initiative

Funding

(in dollars)

Total FY

UB

Funding

(in dollars)

# of

Participants

in UB

Initiative

# of

Participants

in Regular

UB

Total # of

UB

Participants

2003 490,612 61,750 552,362 20 100 120

2004 490,612 100,000 590,612 20 100 120

2005 490,612 100,000 590,612 20 100 120

2006 490,620 100,000 590,612 20 100 120

FY = Fiscal Year

UB = Upward Bound

UBI = Upward Bound Initiative

218 of 773 TRIO Upward Bound programs received UBI funding in FY 2003




U. S. Department of Education, 2015, p. 1

The TRIO Upward Bound initiative students were identified and closely monitored on the

Annual Performance Report for the next three to four years. Under AP, one-third of TRIO

Upward Bound students would have to be identified as academically high-risk if they had less

than a 2.5 grade point average and/or performed less than the national average in reading and

mathematics on standardized tests (Cahalan, 2009).

As a part of AP, a third national comprehensive evaluation using a similar random

assignment methodology as before was planned to evaluate the program priorities indicated by

MRI. The study required that programs “deliberately recruit more students than usual, knowing

that half would not be allowed to enter treatment and would be blocked from ever getting the


38

treatment by the grade-related entrance requirements that were also planned as part of the

priority (AP)” (Cahalan, 2009, p. 9). Only ninth and tenth graders would be allowed to enroll in

the program (Cahalan, 2009).

Alarmed, TRIO Upward Bound advocates contacted DOE and members of Congress

immediately to discuss their concerns about the ethics of the study. As a result of these issues,

the study was cancelled in February 2008 after Congress eliminated funding for it in 2007.

According to Cahalan (2009):

The 2008 Higher Education Opportunity Act (HEOA: HR4137) was written to contain

language prohibiting DOE from requiring projects to participate in evaluations when the

study required the eligible entity to recruit additional students beyond those the program

or project would normally recruit; or results in denial of services for an eligible student

under the program or project. The HEOA language, while specifically requiring rigorous

evaluations of Upward Bound, also strengthens the focus of evaluations designed to

identify those practices most useful to achieving program goals and identifying those

students who can most benefit from services. (p. 9)

The Absolute Priority for the Upward Bound Program Participant Selection and

Evaluation (AP) was cancelled mid-stream; however, the MPR reports continued to have a

tremendous influence on educational policy development since the first report was released in

2004. Although Cahalan and Goodwin were the original and final Contracting Officers

Technical Representatives (COTRs) for the U.S. Department of Education and provided

technical monitoring the evaluation, they objected to the publishing of the report because of

apparent violations. Once concerns about the results were made by TRIO advocates, Cahalan

and Goodwin decided to formally conduct a Quality Assurance Review of all the data files from


39

the study. They concluded that the impact estimations as reported by MPR were critically

flawed to the point that the effectiveness of Upward Bound was hindered. Table 8 describes the

major flaws identified in the reports.

Table 8

Mathematica Policy Research (MPR) National Evaluation of Upward Bound: Eight Major

Flaws Identified in the Reports

Violation Description

Sample Design

A flawed sample design with severe unequal weighting in which

the highest weighted students had weights 40 times those of the

lowest weighted students and one single project of 67 carried 26

percent of the weight.

Representational Errors Serious representational errors with one single atypical former 2-

year college with an historical focus on certificates selected to

represent the largest 4-year and above degree granting stratum.

Unequal Groups

Severe non-equivalency of the treatment and control group on

academic risk, grade at entrance, and educational expectations

leading to uncontrolled bias in favor of the control group in all of

the impact estimates upon which conclusions were made.

Outcome Measures

Failure to use a common standardized outcome measures for a

sample that spanned 5 years of expected high school graduation

year.

Improper Use of Data Improper use of National Student Clearinghouse (NSC) data to

impute survey non-responders’ enrollment and degree attainment

status when coverage was far too low and non-existent for 2-year

and below degrees, with bias clearly evident.

False Attribution of

Impacts

False attribution of large negative impacts in the project (67) with

extreme weights to “poor performance” ignoring the extreme bias

in favor of the control-group in this project’s sample.

Lack of Addressing

Issues

Lack of addressing issues of control group receipt of alternative but

less intensive federal pre-college services received by the majority

(60 percent) of the control group members.

Lack of Reporting Lack of reporting transparency and failure to acknowledge strong

positive impacts of Upward Bound on key program goals that are

found when these errors are addressed using standards-based

statistical and evaluation research methods.

Cahalan & Goodwin, 2014a, pp. 2-3


40

The Quality Assurance Review conducted by Cahalan and Goodwin was reexamined and

replicated by external statistical specialists, who not only arrived at the same conclusions, but

also found “statistically significant and educationally meaningful positive impacts on the key

legislative goals of the Upward Bound program…when the study error were addressed using

standards based statistical methods” (Cahalan & Goodwin, 2014a, p. 2).

These positive impacts were not mentioned in the MPR reports, but involved

postsecondary entrance, application for and award of financial aid, and degree attainment—all of

which are major legislatively-mandated goals of the Upward Bound program (Cahalan &

Goodwin, 2014). Specifically, TRIO Upward Bound students were “50% more likely to attain a

bachelor’s degree (21.1% vs. 14.1%), 19% more likely to attain any postsecondary degree or

credential (49.3% vs. 41.5%), and 22% more likely to apply for student financial aid (75% vs.

61.7%)” (The Pell Institute, 2009, p. 4).

In response to the review, The Council for Opportunity in Education (COE), the national

association for TRIO Program professionals, submitted a Request for Correction for the MPR

Fifth Follow-Up Report, The Impacts of Regular Upward Bound on Postsecondary Outcomes 7-

9 Years After Scheduled High School Graduation on January 2012, requesting that the “report be

removed from the U.S. Department of Education websites until such time as it can be corrected

to meet ED’s Information Quality Guidelines” (Council, 2012, p. 1). To their dismay, the report

remained on the DOE website, and today is still available for viewing and downloading.

In April 2014, Cahalan & Goodwin wrote the following paragraph in a letter to the

National Center for Education Evaluation and Regional Assistance, What Works Clearinghouse

(WWC) Quality Review Team to reconsider a positive rating given by WWC to the MPR


41

Upward Bound study:

We are writing to requesting that the WWC reconsider a rating of “meets evidence

standards without qualification” that it has given to Mathematica’s evaluation of the

Upward Bound program…[We] believe there are major flaws in the evaluation design

and analysis that the evaluator failed to acknowledge, resulting in incorrect impact

estimates for the program’s major outcomes…Since this evaluation has had a particularly

large role in shaping policy debates and proposals, we believe that it is appropriate for

WWC to reexamine its earlier rating in light of the evidence we present (Cahalan &

Goodwin, 2014b, p. 1).

The Brookings Institute Response to the Mathematica Policy Research, Inc. Final

Report. Based upon the findings of the 2009 Mathematica Policy Research, Inc. (MPR) Final

(TRIO Upward Bound) report, despite its controversial results, Haskins and Rouse (2013) of the

Brookings Institute proposed in The Future of Children policy brief that since TRIO Upward

Bound, Gaining Early Awareness and Readiness for Undergraduate Program (GEAR UP), and

other War on Poverty college preparation programs for low-income, first-generation students

were only moderately successful, the billion federal dollars spent each year to prepare

disadvantaged students for college should be reformed to “weave together a new kind of

intervention program that would include the threads that could make a difference, such as

summer programs, mentoring, tutoring, parent involvement, and similar activities associated with

higher college enrollment” (Haskins & Rouse, 2013, p. 4).

Haskins & Rouse propose a five-step federal funding reform that will involve intense

evidence-based solutions involving rigorous analysis (quantitative methodology) to help prepare

disadvantaged students for and graduate from college, for “accountability for results should


42

infuse the nation’s social policy” (Haskins & Rouse, 2013, p. 5). First, the billion dollars spent

annually by the federal government on college-preparation programs should be consolidated in a

single (block) grant program. Those organizations who receive college-preparation federal

grants will be able to keep their grants provided that they show rigorous analysis (quantitative

research) that they are helping disadvantaged students to enroll and complete college (Haskins &

Rouse, 2013).

Second, any local authority, whether it be a two-year or four-year college, non-profit or

for-profit agency, with a history of conducting educational intervention should be qualified to

complete for one of the grants. Existing programs can apply with everyone else on a competitive

basis, but prior experience points (bonus proposal points given for successfully accomplishing

program goals) will not considered.

Third, organizations must demonstrate that they are using rigorous and evidence-based

interventions (quantitative)—that they have a record of operating programs that improve high

school achievement scores, ACT and SAT scores, and college enrollment and completion

(Haskins & Rouse, 2013).

Fourth, the U.S. Dept. of Education will decided how to divide the funds among different

approaches to help disadvantaged students prepare for college, having the flexibility to use part

of the funds for college support programs (20% for a TRIO Student Support Services-type

approach, for example).

Fifth, the U.S. Department of Education will use a certain percent of the fund (two

percent) to coordinate a program of research and demonstration, large-scale random-assignment

studies that will determine whether these specific interventions or activities actually do increase

college enrollment and graduation (Haskins & Rouse, 2013).


43

In support of their proposal, Haskins & Rouse emphasize that programs receiving federal

funding should be held accountable for preparing disadvantaged students academically to

graduate from college and, if they do not graduate from college, the programs should be held

responsible for their failure to academically prepare students. However, they do not address the

concern that academic issues are only 20-30% of the reasons given why students leave college

early.

TRIO Upward Bound and other educational programs for disadvantaged students will be

held fully responsible, per the Haskins & Rouse proposal, for counteracting the poor educational

preparation that students receive from their elementary and high schools, many of which are

dropout factories (‘dropout factories’ are problematic high schools where 40% or more of the

students of a graduation class drop out between the ninth and 12th

grade years) (Associated Press,

2007. p. 1). SAT and ACT scores are also correlated with the educational backgrounds of the

parents, the quality of schools attended, and the ability of students to pay for expensive test

preparation services (Kahlenberg, 2006). TRIO Upward Bound and other federal-sponsored

preparation programs have no control or say so regarding these issues. In addition, there was no

mention in the report regarding the need for on-campus living experiences, which has been an

important factor in helping TRIO Upward Bound and other disadvantaged students adjust to

college life.

Secondly, in their proposal to revise federal monetary support of college preparation

programs of disadvantaged students due to the lack of accountability, Haskins & Rouse do not

acknowledge how college costs and federal and state financial aid policies (which allowed Pell

Grants to decrease in value as tuition increased partly due to the reduction of state higher

education commitments) play an important role as to whether students graduate from college.


44

Although some are academically prepared for colleges, low-income students still have a very

difficult time raising the thousands of dollars in unmet need, which is the amount of college

expense dollars that is beyond the family contribution amount from the FAFSA. According to

Kahlenberg (2006):

Inequality in education in higher education is more complicated than the issue of

preparation alone, and colleges and policymakers have crucial roles to play in providing a

leg up to low-income students in admissions and ensuring sufficient financial aid. The

inadequacy of financial aid is the result of conscious decisions by policymakers not

keeping up with the rising costs of college (p. 3).

The Pell Grant currently covers 15% or less of the costs of the average four-year private

college for needy students, when previously it covered 40% of the total expenses. Colleges are

also a part of the financial aid problem because they are more likely to give their money to

students who could afford to pay for college, just to improve their rankings. Although many

high-achieving low income students receive scholarships based upon academic talent and ability,

most merit scholarships often go to well-off students who were able to pay for SAT and ACT

test preparation services. These types of awards have grown five times the amount (508%) of

need-based scholarships (110%) (Mettler, 2014).

Finally, according to Campbell & Voight (2015), although college enrollment rates have

improved, the college access problem for low-income, first generation, and students of color has

not been solved, for only 50% of low income high school students actually enroll in college.

These students also tend to enroll in less selective colleges with scarcer resources and lower rates

of graduation. Enrolling in a selective college instead of a nonselective or open enrollment

college offers the high-achieving, low income student the best chance of college graduation, for


45

selectivity matters to low income students, providing a 34% increase in graduation rates. Helping

low income, first-generation students to graduate from college will require

setting high expectations in our elementary and secondary schools and supporting

students and teachers to meet those expectations. It will require stable public investment

at the state and federal level. It will demand innovation and excellence from our nation’s

colleges and universities. And it will rely on access and success for the very students our

postsecondary system has too often left behind—low-income students, students of color,

and first-generation college-goers (p. 1).

The five-point proposal by Haskins and Rouse concerning TRIO Upward Bound and

other federally-funded compensatory college preparation programs is one of many recent

proposals demanding program outcome accountability. One difficulty associated with this

proposal type is that only quantitative approaches are mentioned as ways to effectively evaluate

the services of these programs. There are no indications of qualitative measures that involve the

key stakeholders, which are the program participants. Many observers ask for prior experience

points to be eliminated, which can cause a lack of continuity and humanity in providing services.

It is assumed from the report that quantitative researchers with no TRIO experience will be used

widely, which is unfortunate, because researchers lacking TRIO or experience working with

disadvantaged students will be unable to formulate the appropriate questions to get the answers

that will make a difference in research results.

Comparing the National Evaluations Results with the Current Study

When analyzing selective results of the RTI, HSB, and MPR national studies, the

Cahalan-Goodwin MPR Review, and the results of this dissertation, singular, conflicting, and

similar conclusions are noted. The three levels of conclusions are listed in Tables 9, 10, and 11


46

(Cahalan & Goodwin, 2014b; Cahalan & Goodwin, 2014c; U.S. Department of Education,

2009a; Seftor et al., 2009).

Table 9

TRIO Upward Bound National Evaluations: Singular Conclusions from High School and

Beyond (HSB), Mathematica Policy Research, Inc. (MPR) Evaluations, and Dissertation Study

Impact Outcome

Educational Aspirations HSB: TRIO Upward Bound enrollment increases the

educational aspirations of students. Program participants had

higher educational aspirations than similar non-participants.

Availability of Other


MPR: TRIO Upward Bound operates in an environment where

other pre-college services are also available to students.

Pre-College Services and

Educational Outcomes

MPR: Participants in TRIO Upward Bound receive an intensive

set of pre-college services and have positive educational

outcomes.

TRIO Upward Bound

Program Enrollment

Dissertation: Though seemingly coerced, TRIO Upward Bound

students typically agree to participate once encouraged by

parents, counselors, teachers, relatives, friends, and mentors.

TRIO Upward Bound

Program Retention

Dissertation: TRIO Upward Bound participants completed the

program because they liked the program and the people

involved, they valued the educational benefits, they wanted a

break from home, they believed that the program was helping

them to get ready for and graduate from high school and college,

they liked that the program kept them busy during the summer,

and they wanted to finish what they started.

TRIO Upward Bound

Program Attrition

Dissertation: TRIO Upward Bound participants discontinued

the program due to immaturity, family issues, participation in

school activities, working, participation in another educational

program, joining the military, and study abroad.

Employment Assistance Dissertation: 58.3% of TRIO Upward Bound participants

stated that they received assistance from TRIO Upward Bound

with job placement, job readiness skills and counseling, resume

preparation, work history development, networking, and

employment references.

Citizenship Practices Dissertation: TRIO Upward Bound participants were excellent

citizens in the areas of voting, paying taxes, abiding by the law,

postponing parenthood until after age 20, employment, and

education. However, as a group they did not join the military in

large numbers and were not especially active in the area of

community service.

Seftor et al., 2009; U.S. Department of Education, 2009a


47

Table 10

TRIO Upward Bound National Evaluations: Conflicting Conclusions from the Research

Triangle Institute (RTI), High School and Beyond (HSB), Mathematica Policy Research, Inc.

(MPR), Cahalan-Goodwin MPR Review (CG), and Dissertation Study (D)

Impact Outcome

High School Graduation

Rates

RTI: TRIO Upward Bound had no effect on high school

graduation rates.

Dissertation: 95.8% of participants interviewed believe that

TRIO Upward Bound assisted them in graduating from high

school because of the academic assistance provided, the

encouragement provided by the staff, the support provided by

fellow students, the confidence developed in their abilities, and

the values instilled regarding the importance of education in

general.

Postsecondary Enrollment HSB: TRIO Upward Bound participants were more likely to

enter postsecondary education.

MPR: TRIO Upward Bound participation increased

postsecondary enrollment or completion rates for the subgroup

of students with lower educational expectations (those who did

not expect to complete a bachelor’s degree). However, TRIO

Upward Bound participation had no detectable effect on the rate

of overall postsecondary enrollment of postsecondary

institutions attended for the average eligible student.

Dissertation: 95.8% of TRIO Upward Bound participants

enrolled in a variety of postsecondary educational training

(college, vocational, and on-the-job). 83.3% enrolled in college

postsecondary education.

Postsecondary Institutional

Type and Selectivity

*RTI: TRIO Upward Bound students who enrolled in college

were more likely to attend a four-year institution than non-

participants. They were also more likely to attend colleges with

high minority enrollment and that hosted a TRIO Upward Bound

or TRIO Student Support Services project.

*MPR: TRIO Upward Bound participation had no detectable

effect on the rate of overall type or selectivity of postsecondary

institution attended for the average eligible student.


48

Table 10 (continued)




Impact Outcome

Postsecondary Institutional

Type and Selectivity

(continued)

Dissertation: 81% of TRIO Upward Bound students who

enrolled in college matriculated at four-year postsecondary

institutions. 100% of TRIO Upward Bound Bachelor’s Degree

Recipients who enrolled in college matriculated in four-year

postsecondary institutions.

TRIO Upward Bound participants attended selective colleges at

a slightly higher rate (67%) than all students nationally (63%).

Bachelor’s Degree Recipients (BDRs) attended selective

colleges at a significantly higher rate (100%).

Only 16.7% of the colleges and universities attended by

participants were at institutions with high minority enrollments

(Historically Black and open enrollment institutions). 83.3% of

colleges and universities attended by TRIO Upward Bound

students hosted a TRIO Upward Bound or TRIO Student

Support Services program.

Postsecondary Persistence RTI: There were no systematic differences observed between

former TRIO Upward Bound participants and non-participants

on measures of postsecondary persistence.

HSB: Within 18 months after high school graduation,

differences in postsecondary persistence of TRIO Upward

Bound participants were no longer significant. Two or three

years after high school graduation, differences in postsecondary

persistence had largely disappeared.

Dissertation: 68.2% of TRIO Upward Bound participants

persisted in their original postsecondary program of choice and

did not transfer to other institutions or programs. 66.7%

persisted in their original postsecondary training majors. 60% of

TRIO Upward Bound participants who enrolled in college

participated in an average of one to three extracurricular

activities, which helped them to persist at their programs.


49





Impact Outcome

Financial Aid

RTI: TRIO Upward Bound participants were more likely to

apply for financial aid. Although the probability of receiving aid

did not differ from non-participants, aid packages for TRIO

Upward Bound participants were more likely to include large

grants.

**MPR: TRIO Upward Bound participation had no detectable

effect on the likelihood of applying for financial aid or the

likelihood of receiving a Pell Grant.

CG: TRIO Upward Bound students are 22% more likely to

apply for student financial aid.

Dissertation: 66.7% of participants stated that TRIO Upward

Bound helped them to apply for financial aid. 70.8% of TRIO

Upward Bound students had multiple sources of postsecondary

training aid as a part of their financial aid packages, such as

grants, scholarships, loans, work study, tuition remission, and

employment.

Earning a Postsecondary

Certificate, License,

Associate Degree, or

Bachelor Degree

HSB: There were no systematic differences in rates of college

graduation among TRIO Upward Bound students.

MPR: TRIO Upward Bound participation increased the

likelihood of earning a postsecondary certificate or license from

a vocational school. It had no detectable effect on the likelihood

of earning a Bachelor or Associate degree.

CG: TRIO Upward Bound students were 50% more likely to

attain a Bachelor Degree and 19% more likely to attain any

postsecondary degree or credential.

Dissertation: 40% of TRIO Upward Bound students received

Bachelor Degrees, in comparison to 25% of low income students

nationally. 13.3% received Associate Degrees and 46.7%

received vocational certificates. 62.5% of TRIO Upward Bound

participants in total graduated from a postsecondary training

program.


50





Differences in the RTI and MPR study results may have been due to RTI’s larger sample and

due to the eight flaws found in MPR’s evaluation design and study analysis (see Table 8).

*RTI: “This study followed a sample of approximately 3,700 Upward Bound participants from

54 sampled projects and 2,300 non-participating matched comparison group students (U.S.

Department of Education, 2009b, p. 4).”

*MPR: 1500 students from 67 Upward Bound projects were randomly assigned to the

treatment group and 1300 were randomly assigned to the control group. However, it was found

that “no impact results were sensitive to only one of the 67 sampled projects…This one project,

known as project 69, carried 26 percent of the total student weights, which meant that students

from project 69 had weights that were 40 times those of the lowest project weighted sample

members (Cahalan & Goodwin, 2014c, p. 1). Therefore, the inclusion of project 69, according

to Cahalan and Goodwin (CG), introduces bias and is considered to be a major flaw in the

evaluation design and analysis of the study, causing incorrect impact estimates (Cahalan &

Goodwin, 2014b).

**MRI: “The 1 and 2 percentage point increases in the rates of financial aid application and

Pell Grant receipt (effect sizes = 3 and 5 percent) are not statistically significant” (Seftor et

al,,2009, p. xv). Also the inclusion of project 69 may have caused bias in the results, according

to Cahalan & Goodwin (CG). “An independent analysis of the same data that attempts to address

these flaws shows positive program impacts on college enrollment, application for financial aid

and BA attainment” (Cahalan & Goodwin, 2014b, p. 1).

Cahalan & Goodwin, 2014b; Cahalan & Goodwin, 2014c; Dynarski, 2015; Seftor et al., 2009;

U.S. Department of Education, 2009a.


51

Table 11

TRIO Upward Bound National Evaluations: Similar Conclusions from the Research Triangle

Institute (RTI), High School and Beyond (HSB), Mathematica Policy Research, Inc. (MPR), and

Dissertation Study

Impact Outcome

Postsecondary Expectations,

Postsecondary Entry,

and Length of Participation

RTI: TRIO Upward Bound participants had substantially higher

education expectations than non-participants that they would

enter postsecondary education, and these differences increased

with the length of TRIO Upward Bound participation.

The length of TRIO Upward Bound participation was also

associated with an increased likelihood of postsecondary entry.

Those in TRIO Upward Bound for two or more years were

significantly more likely to enter college than those with a single

year of program participation. Significantly more TRIO Upward

Bound participants entered postsecondary education.

HSB: TRIO Upward Bound participants were more likely to

enter college.

Dissertation: TRIO Upward Bound students attended a variety

of postsecondary institutional, vocational, and on-the-job

training programs directly after high school graduation.

TRIO Upward Bound students who had longer participation and

graduated from the Bridge Program (the second level and final

phase of the program) obtained their Bachelor and Associate

degrees at much higher rates than those with less program

participation length and level. The participants with Bachelor

and Associate degrees were also more likely to be employed in

full time positions related to their college major area with

sufficient salaries.

Pre-College Services MPR: Participants in TRIO Upward Bound receive an intensive

set of pre-college services and have positive educational

outcomes.

Dissertation: TRIO Upward Bound students receive an

intensive set of pre-college services (20+) and have positive

educational outcomes. 87.5% of participants believe that TRIO

Upward Bound definitely prepared them academically and

socially for college and other postsecondary opportunities. They

also received support with logistical matters, such as SAT/ACT

testing and college application completion. 50% of TRIO

Upward Bound participants indicated that they also participated

in other pre-college programs similar to TRIO Upward Bound

provided by area high schools, universities, local industries, and

community agencies.

U.S. Department of Education, 2009a; Seftor et al., 2009


52

Tables 9, 10, and 11 demonstrates that when analyzing the TRIO Upward Bound

program outcomes of the national TRIO Upward Bound evaluations, Cahalan-Goodwin MPR

Review, and the dissertation study results, there are agreements in the areas of length of

participation, postsecondary expectations, postsecondary entry, and pre-college services. The

consensus is that TRIO Upward Bound students receive an intensive set of pre-college services

that lead to positive educational outcomes. The longer students participate in the program, the

higher their postsecondary expectations and entry rates.

Conclusion

Because of pressure from the federal government, conservative groups, and other

concerned tax payers, TRIO Upward Bound and other federally-funded college access programs

are now expected more than ever to prove through rigorous analysis and evidence-based

interventions (i.e., quantitative methods) that services provided through federal grants are

actually helping disadvantaged students to enroll and complete college at high rates. Otherwise,

grants may be taken away from college access programs who cannot demonstrate their claims

and given to those programs who can provide evidence of their assertions. Despite the fact that

the budgets of federal college access programs have fluctuated from year to year, individuals and

organizations from the right and left are expecting the programs to provide more students with

increasing levels of educational services.

According to the language in the 2008 Higher Education Opportunity ACT (HEOA:

HR4137), rigorous evaluations of TRIO Upward Bound are required. However, HEOA also

“strengthens the focus on evaluations designed to identify those [institutional, community, and

program or project] practices most useful to achieving program goals (rather than overall black

box evaluations of program effectiveness) and identifying [the characteristics of] those students


53

who can most benefit from services” (Cahalan, 2009, p. 9). The program goals are to “enhance

the access of low-income individuals and first-generation college students to postsecondary

education; to prepare such individuals and students for postsecondary education; and to foster the

success of the individuals and students in postsecondary education” (Cahalan, 2009, p. 53).

The past national TRIO Upward Bound studies evaluated the program based upon a

“black box approach” (Cahalan, 2009, p. 9). Black box program evaluations identify

relationships between program inputs and outputs, but do not provide a clear understanding of

the internal structure or workings of the program. In contrast, a “white box qualitative program

evaluation” (WebFinance, 2015, p. 1) can provide a clear understanding about the total workings

of TRIO Upward Bound—the inputs of the services provided, the outputs of college entry,

persistence, and completion, and the relationships between the program components and the

internal structure or processing of student input. The student voices will provide an

understanding of the benefits or ineffectiveness of TRIO Upward Bound, which have not been

provided in past national studies, and for the most part, cannot be measured quantitatively due to

the nature of the program. Qualitative studies, not quantitative, can provide the answers to

certain important questions (such as, specific and detailed reasons why students leave

postsecondary education).

College Entry and Completion

College entry. According to Anderson (1985), the decision to attend college involves a

combination of external and internal forces. The influencing forces are described in Table 12:


54

Table 12

External and Internal Forces Influencing the Decision to Attend College

External Forces Internal Forces

Parents who value a college education and

stress its importance

Academic skills that make college admission

and achievement possible

Peers from similar socioeconomic groups

who have aspirations toward college and

value a college education

Motivation to succeed and persist in

academic undertakings

Cultural values that emphasize learning,

intellectual achievement, and higher

education

Enjoyment of learning that allows a student

to derive satisfaction from satisfying

personal intellectual curiosity

Information on college opportunities that

explains how to gain admission and

discusses financial aid, programs of study,

and opportunities for intellectual and

personal development at college in general

and at specific colleges

Career aspirations for which a college

education is necessary

Interest in gaining a college education for

personal and intellectual development

Teachers and counselors who have

expressed confidence in a student’s

potential to succeed in college

Self-confidence enough to accept the

challenge of learning at the college level and

adjusting to the college experience

Information on the benefits of college that

examines the ways a college education will

help a student clarify and reach personal

goals.

Value that recognize the importance of a

college education

Identification with college educated people

who have functioned as positive role models

Exposure to college educated people who

have benefited from college and who

provide role models.

Anderson, 1985, pp. 45-46

Anderson states that the decision to attend college and a desired change in student achievement

and persistence can be accomplished when the driving forces of these external and internal forces

are developed and the negative external and internal restraining forces are decreased that hinder


55

persistence in obtaining a college degree. These negative forces are mentioned in Table 13 and

described in Appendix D (Anderson, 1985).

Table 13

Forces Working Against Achievement and Persistence in College

Obstacles and Requirements Negative External Forces Negative Internal Forces

Completing institutional

procedures

Lack of Money

Procrastination and other self-

management problems

Selecting appropriate courses

Housing Problems Loneliness

Reading and analyzing

college-level texts

Roommate Problems Inability to Assert Needs and

Seek Help for Problems

Achieving on tests Transportation Problems Self-Doubt

Completing library research

and written assignments

Work Demands and Conflicts Fear of Failure

Fear of Success

Performing in labs and

studios and completing other

out-of-class assignments

Social Demands

Fear of Rejection

Rejection by Loved Ones

Value Conflicts

Discrimination

Career Indecision

Family Obligations

Boredom

Anderson, 1985, pp. 46-50.

The types of program activities provided by TRIO Upward Bound helped students to

increase in social, cultural, economic, and human capital and help them to avoid the negative

external and internal forces that work against college persistence and graduation.

High school curriculum and bachelor degree completion. In Answers in the Tool Box,


56

Adelman (1999) found that students who completed secondary school curriculums of high

academic intensity and quality are more likely to complete bachelor degrees in four to five years

(4.72 calendar years or five full academic years). He explains:

High school curriculum reflects 41% (r = .54) of the academic resources students bring to

higher education; test scores, 30% (r= .48); and class rank/academic GPA, 29% (r= .44).

The impact of a high school curriculum of high academic intensity and quality on degree

completion is far more pronounced and positively for African American and Latino

students than any other pre-college indicator of academic resources. The impact for

African American and Latino students is also much greater than it is for white students

(Adelman, 1999, p. 2).

The national bachelor degree completion rate by age 30 for all students who attend four-

year colleges is 63%; for those students who earn more than 30 college credits, the completion

rate is more than 70%; and for those students who start in highly selective colleges, the

completion rate is more than 90%. Only 18% of postsecondary students had alternating

/simultaneous enrollment patterns and completed bachelor degrees. 70% of these students

attended three or more colleges. However, degree completion is unrelated to number of

institutions attended. Students who start at a community college, but never attend a four-year

college “have a lower socio-economic status profile and a considerably lower academic

resources profile than students with the same expectations of a bachelor degree and starting

point” (Adelman, 1999, p. 3).

Earning at least a semester or more of community college credits before transferring to a

four-year college greatly increases the likelihood of completing a bachelor’s degree; however,

only 26% of students transfer from community colleges to four-year schools, and 70% of these


57

students complete their bachelor degrees, which is, according to Adelman, 18.2% of the original

student group. Students who earn fewer than 20 credits in their first year at a four-year college

greatly decrease their chances of obtaining bachelor’s degrees. College work-study and campus

employment for the purposes of meeting educational costs is related to degree completion after a

student’s first year of college attendance for those students who attend four-year colleges at some

time in their college career (Adelman, 1999).

Patterns of college access, persistence, and graduation. Tinto (2002) established in his

college student retention research that patterns of college access play a very important role in

shaping college persistence and graduation. It is not only important for students to have access

to college, but finishing college is just as important. “The likelihood that individuals will

complete a bachelor’s degree is influenced by where in the higher education system they enter.

The best path to the completion of a bachelor’s degree is the direct one [through a four-year

college]” (p. 2).

Therefore, if a student starts their postsecondary career at a selective four-year college or

university instead of a two-year college or another open enrollment institution, it is estimated

that he or she has a greater chance of finishing the bachelor degree (Jenkins & Fink, 2016).

According to Tinto, 65% of students who attend four-year institutions for a bachelor degree

eventually earn the bachelor degree, compared to 27% who start a two-year institution with the

intent of transferring to a four-year institution for a bachelor degree (Tinto, 2002).

Tinto further states that working while attending college (off-campus employment)

decreases part-time students’ chances of obtaining a bachelor’s degree. Seventy percent of

students who attend bachelor degree programs fulltime earn their degrees, in comparison to 50%

of those who attend part-time. The same conclusion has been reached for the 75% of those


58

students who graduate with bachelor degrees without working in college, in comparison to the

40% who graduate with a bachelor degree while working fulltime (Tinto, 2002).

With work-study jobs being the exception, working while enrolled in college or attending

college part-time interferes with students’ educational participation of the student and the

chances of completing a bachelor degree Therefore, attending a four-year postsecondary

institution on a fulltime basis without working tends to increase the chances of obtaining a

bachelor degree. Many low-income students, however, do not have the financial resources to do

this. Only 18% of all college students are financially able to live on campus without working.

As a result, “a new approach to financial aid policies is needed to promote access with a

reasonable chance of success” (Tinto, 2002, p. 3).

Academic preparation, according to Tinto, is the companion to college access and

completion. Put simply, “providing access without academic preparation does not provide real

opportunity” (Tinto, 2002, p. 3). The degree of academic preparation informs college selection,

attendance, and graduation. Cabrera, LaNasa, and Burkum (2001) found that “nearly 62 of every

100 well-prepared high school graduates who entered a four or two-year college after high

school earned a four-year college degree, but only three of every 100 poorly prepared student did

so” (Adelman, 1999, p. 3).

Approximately 60% of high-income students are academically well-prepared for four-

year institutions by the time they graduate from high school, and over 75% of them attend a four-

year institution. In comparison, approximately 25% of low-income students are academically

well-prepared for college by the time they graduate from high school; however, only 50% of

these low-income students are granted entry into a bachelor degree program as a result of their

high school records and college entry test scores (Adelman, 1999; Cabrera, LaNasa, and


59

Burkum, 2001).

According to Tinto, although a student enters a four-year college, there is only a 51%

chance that he or she will graduate from this institution with a bachelor’s degree within a six-

year period. Even though students may be academically prepared for a four-year institution with

a B+ or A- high school grade point average, persistence to the bachelor degree continues to be a

problem, especially for low-income students (Tinto, 2002).

Tinto theorized that five conditions are needed to increase college persistence and

graduation: high student expectations; clear and consistent information about institutional

requirements and effective program and career advising; academic, social, and personal; frequent

involvement and quality contact with faculty, staff, and other students; and active involvement

with learning. The classrooms on campus are ideal places for students to get involved with

faculty and other students and engage in learning. “Student persistence is primarily an

institutional event and therefore, primarily the responsibility of the institution” (Tinto, 2002, p.

7).

Academic reasons for leaving college are only 20-30% of the reasons given why students

leave college, according to Tinto. “The more intensely students are engaged and involved in

their own education, the more likely they are to do well, be satisfied with their educational

experience, and stay in school” (Saret, 2013, p. 3-4).

Tinto and other college retention researchers have identified at least ten major

explanations of why low income, first generation, and at-risk students in particular leave college

before completion: academic issues, family problems and lack of family support and

encouragement, difficulty adjusting to college, lack of institutional and student fit to the college,

college enrollment concerns, commitment issues, emotional and personal problems, finances and


60

financial aid, difficulty in deciding what career path to take, and other issues, such as

transportation problems or lacking grit (see Appendix B) (Adelman, 1999; Engle et al., 2006;

Cabrera et al., 2001; Driscoll, 2007; Hanford, 2013; Saret, 2013; “Time is the Enemy,” 2011;

Tinto, 2002; Tym et al., 2004).

Regarding the federal government, Tinto suggests that the federal government limit its

involvement in educational accountability and improve its current financial aid policies to

increase the types of college access that promote college graduation. Educational accountability

should be given to state governments and to the many associations and accreditation

organizations that already exist (Tinto, 2002).

Support. Because transitioning to the academic, social, and financial demands of college

is difficult, first generation students require support. Tym, McMillion, Barone, & Webster

(2004) argue that first-generation college students are:

more likely than their non- first-generation counterparts to be less academically prepared

for college, have less knowledge of how to apply for college and for financial assistance,

and have more difficulty in acclimating themselves to college once they enroll. They are

also more at risk for not completing a degree because they are more likely to delay

enrollment after high school, to enroll in postsecondary education part-time, and to work

full-time while enrolled. Targeted intervention efforts that reach out to first-generation

students before and during college can help ease the differences between first-generation

and non-first-generation students and can help colleges reach their goal of recruiting and

retaining all students (p. 1).

Social and cultural capital. Social and cultural capital transmission—having access to

information about college enrollment, how to prepare for and successfully participate in a college


61

search and selection process, etc.—tends to increase student college access, whether it is

transmitted by the students, parents, teachers, or through compensatory pre-college programs

such as Upward Bound (Arias, 2006; Maimer, 2003; Roderick et al., 2008).

One qualitative study of Chicago Public Schools found that the single most consistent

predictor of whether high school seniors take steps towards college admission is whether their

high schools had strong college climates. Only 41% of the Chicago study participants who

expressed an interest in earning a four-year degree took the necessary steps to apply and enroll in

four-year colleges. Also, Chicago students who completed a FAFSA by May of the school year

and had been accepted into a four-year college were more likely to enroll in a four-year college

than students who had not completed a FAFSA by that time (Roderick et al., 2008).

According to Engle, Bermeo & O’Brien (2006), first-generation college students identify

three phenomena as critical to making a successful transition from high school to college: raising

aspirations for college, navigating the college admission process, and easing the initial transition

to college. Additionally, healthy relationships with pre-college program staff are critical to this

transition (Engle et al., 2006).

Many first-generation students have low aspirations for attending college prior to

participating in pre-college programs. The programs raise students’ college-going aspirations by

connecting college to job and career interests, informing students about college and how to pay

for it, helping students to see themselves as college material, helping students to understand that

college is possible, and getting personal and being persistent about college (Engle et al., 2006).

Most first-generation students do not receive help from family members or school

counselors, but rely heavily on pre-college programs and staff to get through the college

admission process. The difference between successfully navigating the college process on a


62

timely basis and struggling to obtain college acceptance and enrollment is starting early and

meeting often, taking it step by step, finding out how to pay, getting the family involved, and

making connections in the community. “Pre-college programs provided information about the

college admissions process to students and their parents through their own activities as well as by

referring students to available resources in the local community, such as the state-supported GO

Centers” (Engle et al., 2006, p. 6.) and other organizations like the NAACP, the Urban League,

the YMCA that sponsor college workshops and college visits (Engle et al., 2006).

Transferring from two to four-year colleges. Driscoll (2007) analyzed the first and

second semesters of students in California community colleges. She reported a dismal picture of

actual transfer from two-year colleges to four-year colleges, stating that the majority of students

who entered two-year California colleges in Fall 1998 initially aspired to transfer to a four-year

college to earn a bachelor’s degree. However, only 40% returned for the second semester and

maintained their educational aspirations to obtain a bachelor degree. Of the 40% of this group

who returned for the second semester, 41.3% eventually transferred to a four-year college or

university, which was 16% of the original group (Driscoll, 2007).

Community college students “are more likely to be minority and to come from

socioeconomically and educationally disadvantaged backgrounds than students who first enter

four-year colleges, and have already surmounted barriers to high aspirations and post-secondary

education access” (Driscoll, 2007, p. 2). Students who took a full course load (four or more) of

transfer-eligible courses (vs. developmental courses) in their first semester and who had high

grade point averages (3.0+) in transfer-eligible courses were more likely to transfer. Asian males

were the highest percentage of transfer aspirants; Latino males were the least likely to aspire to

transfer. Females were more likely than males to aspire to transfer (Driscoll, 2007).


63

Driscoll (2007) further states that one possible reason for the decline in educational

aspirations among the students who continued past the first semester is that they did not fully

appreciate the academic and other challenges they would face. In other words, these students did

not anticipate the time and effort required to progress to the point where they would be eligible

to transfer to a four-year college. They may have overestimated their level of preparedness for

college-level work and performed less well in their classes than they expected, which led them to

become discouraged and to lower their academic sights. Overcoming the obstacles related to

aspirations and access to higher education that many students face—that is, managing to enroll in

college with high aspirations—is necessary but not sufficient for the realization of high

educational goals (Driscoll, 2007, p. 5).

Grit and college success. In 2007, psychology professor Angela Duckworth discussed

in her research study the personality trait grit and how effort, or grit, contributed to the success

of students in college.

Why do some individuals accomplish more than others of equal intelligence? We

suggest that one personal quality is shared by the most prominence leaders in every field:

grit. We define grit as perseverance and passion for long-term goals. Grit entails

working strenuously toward challenges, maintaining effort and interest over years despite

failure, adversity, and plateaus in progress. The gritty individual approaches achievement

as a marathon; his or her advantage is stamina. Whereas disappointment or boredom

signals to others that it is time to change trajectory and cut losses, the gritty individual

stays the course. …Grit may be as essential as IQ to high achievement. In particular, grit,

more than self-control or conscientiousness, may set apart the exceptional individuals

(Duckworth, et al., 2007, pp. 1087-1089).


64

Duckworth found in her study that college students who worked harder and had more

determination than similar students who scored higher on an intelligence test had the highest

grade point averages. At West Point, the U.S. Military Academy, a student’s grit score was the

best predictor of success in a demanding summer training program, in comparison to physical

fitness, intelligence, or leadership ability. The students with the grittiest personalities advanced

the most to the Scripps National Spelling Bee finals because they studied the words and

definitions longer. They were not necessarily the smartest students or the best spellers. In

regards to college completion, Duckworth found in her research that people who complete

college degrees are higher in grit than people who do not complete degrees (Duckworth, et al.,

2007; Hanford, 2007).

As with poor college selection and the lack of financial well-being, there are social-

psychological issues that interfere with students completing degrees. Some students, because of

minority, first-generation, or low income statuses, have more obstacles to overcome due to the

lack of family support or other issues, such as social alienation or awkwardness. As a result,

they have difficulty persisting through college (Hanford, 2007).

College can be a difficult and confusing experience even for people who come from

college-educated families, but for first-generation students, college is like learning a new

language. When college is hard and challenges arise, grit helps students to deal with

things and to persevere through situations that most people would find insurmountable

(Hanford, 2007, p. 3-4).

Time is the enemy. According to Complete College America, a national nonprofit

organization in Washington, D.C., “time is the enemy” of college graduation with certificates

and degrees, especially for African Americans, Hispanic, students over 25, poor students, and


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students who need extensive remediation. Furthermore, if the U.S. wants to improve the number

of students who complete college certificates and degrees, all students attending college must be

accounted for. This includes

part-timers and older students who are struggling to balance jobs and school, the millions

who are trapped in the Bermuda Triangle of remediation [students enter remediation and

then disappear], and the first-generation freshmen who too often are left to fend for

themselves when they arrive on campus. We cannot tackle what’s holding them back

from success if we do not understand their challenges and the complicated natures of

their lives (“Time is the Enemy,” 2011, p. 2).

As shown in Appendix C, Complete College America (CCA) also found in their research

of 33 states that there is a new majority on campus—the 75% of today’s students who attend

college as commuters due to family concerns and jobs with extensive work hours. Only 25% of

students attend residential campuses fulltime and have their parents involved in paying their

college bills. In addition, CCA discovered that less than 28% of part-time students overall and

less than five percent of part-time African American students ever graduate with bachelor

degree, even when given twice as long to complete their programs (“Time is the Enemy,” 2011).

When comparing the 24 TRIO Upward Bound sample participants to these statistics, only 41.7%

attended college as commuters, but more attended residential campuses fulltime (37.5%). 66.7%

of the sample obtained their bachelor degrees in 101-150% of the time (four to six years)

compared to 59.7% overall nationally and 34.4% overall African American (all students in the

sample were African American).

Students are staying in school too long due to taking excessive courses and time to

complete them. Efforts to remediate or “catch students up” are unsuccessful, and very few


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students who require remediation seldom graduate. As a result of little structure and many

choices, students are wandering without direction and wasting time. “The longer it takes, the

more life gets in the way of success. The result is a yawning skills gap caused by too few trained

workers for more high-skill jobs than ever. Incomes shrink. And America falls further behind”

(“Time is the Enemy,” 2011, p. 3).

Cultural beliefs. Saret (2013) found that “how students perceive their learning

environments and other college experiences influences their willingness to persist” (p. 1). This

perception is based on their cultural beliefs, which may be very different from what they

experience in college. Many students are afraid that their success in college will require the

abandonment of their culture, and that they will no longer blend in with their families or friends.

First generation college students tend to be from African-American and Latino cultures,

are more likely to attend community colleges than four-year colleges, and “tend to report lower

educational expectations than their peers as early as the eighth grade. They are likely to be less

prepared academically and receive less support from their families in preparing and planning for

college” (Saret, 2013, p. 2), because their parents and family members do not have knowledge

about the college culture and rules, nor do they understand the academic work and the

expectations required to complete everyday classroom assignments (Saret, 2013).

Qualitative and Mixed Methods TRIO Upward Bound Studies

Best practices of TRIO Upward Bound programs. The Institute for Services to

Education, Inc. (1965) conducted a qualitative study of university-based TRIO Upward Bound

programs, describing the best practices of successful projects. The objectives of the program in

1965 were


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to enable high school students of normal intelligence but of disadvantaged backgrounds

both to enter and succeed in college…which required an educational approach

sufficiently imaginative and dynamic to look past difficulties in their academic

preparation for college. Equip them with the intellectual skills necessary for success,

and most important, to expand their sights and give them new confidence. Avoid

Upward Bound slots going only to the “adapted” or “cooperative” students as a “prize”

for their good behavior. Look for the more “difficult” high school student with whom

some classroom teacher had developed a personal rapport and who were, in the judgment

of such teachers capable of much better performance if truly motivated (page 1).

At the time it was the hope of the U.S. Office of Education that by involving the local public and

private secondary schools to the fullest, the innovations derived from these TRIO Upward Bound

projects would eventually transfer over to the total educational system.

Each TRIO Upward Bound program involved approximately 100 high school students

who met the income guidelines. The emphasis was not on remedial education, but an education

that excited and encouraged abstract ideas and critical thinking. Students were recruited from

schools, recreational centers, youth club advisors, juvenile courts, churches, neighborhood

leaders and organizations, and civil rights groups. The typical Upward Bound program was

well-staffed in quality and quantity, was from the host university, and was near the secondary

schools where students were recruited. The staff consisted of a director, assistant director, head

counselor with psychological training, and eight to ten teachers in academic areas as well as

specialists in the areas speech, reading, art, music, drama and recreation. Fifteen to 20

outstanding undergraduate and graduate students served as tutor-counselors (college mentors).


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Non-professional residents of the target area were employed when possible. The staff was

racially and economically diverse.

Successful Upward Bound programs provided staff orientation as a series of weekend

meetings on the college campus prior to the start of the summer program, or as a one-week

workshop immediately before the program begins. The types of students enrolled in the

program, special situations and problems to be aware of, and how to develop and adjust teaching

methods and materials that will accommodate the needs of the students were the topics of

discussion. Experts experienced in working with the problems of Upward Bound students were

invited in for lectures, and related reading materials were made available as needed.

The successful Upward Bound programs had both summer and academic year

components. The summer program was residential and usually eight weeks in length. The daily

schedule of the successful Upward Bound program consisted of academic work in the morning

and extra-curricular /co-curricular activities in the afternoon and evenings, such as visits to the

museums, historical sites, local businesses, and university facilities. Workshops in arts, crafts,

drama, photography, electronics, journalism, marine life, foreign languages, and city planning

were available to students. Physical recreation was also a part of the afternoon program.

Students studied in the evenings at the dormitory or library. Films related to the program were

shown once or twice a week. Free time was also a part of the schedule. Dormitory life allowed

students to share with each other while developing their identities and sense of responsibility.

Successful programs

had the full and enthusiastic support of the administration and regular teaching faculty of

the sponsoring institution with respect to cooperation both in planning the program and in


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providing office space, good classrooms, and all necessary physical facilities and supplies

without delay (p. 4).

Health care services and follow-up care sponsored by the university were provided to the

students and consisted of treatment, medicine, eyeglasses, and dental work.

During the second summer, students who completed the first summer were encouraged to

develop a sense of responsibility by becoming activity engaged with the problems of the new

students. They also took courses that promoted individual research and more conceptual and

critical thinking through interdisciplinary approaches.

The academic year program was held on the college campus in the afternoons, on

Saturdays, or during the holidays. There was continued student contact with the tutor-counselor

and visits with the family by VISTA and/or Community Action Program personnel (CAP).

Tutoring was provided during the afternoons or on Saturdays by CAP. Conferences between

Upward Bound staff, school counselors, students, and their families were scheduled to discuss

postsecondary plans. Students participated in independent projects, created newsletters, and

published student work, all guided by the high school teachers and/or university faculty.

Today’s TRIO Upward Bound program is quite different from the 1965 program,

primarily due to lower operating budgets, pressure to expand program eligibility, and program

accountability. The program has expanded from working with only low-income students of

normal intelligence to including higher-income, first generation potential college students and

students who are at high-risk for academic failure. The grades and standardized test scores of

these new categories of students are usually below average, or they are involved in

Individualized Educational Programs (IEPs) because of one or more learning disabilities.

Programs are expected to service students with learning disabilities without the benefits of


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supplementary funding to finance the additional services required, such as one-on-one tutoring

and testing.

The type of education received by TRIO Upward Bound students is now remedial to

prepare students for acceptance into selective colleges, as opposed to an education that

encourages abstract and critical thinking. Workshops and courses in arts, crafts, drama,

photography, marine life, city planning and courses that promote individual research are viewed

as extra and are no longer available by most programs because of the time needed to prepare

students academically for selective college admissions, college entry testing, and computer

literacy. Innovations derived from the initial TRIO Upward Bound projects did not fully transfer

over to the total educational system as expected.

TRIO Upward Bound students are no longer recruited from juvenile courts due to

liability issues, but are now recruited from schools, community agencies, and individuals,

including former students and parents. Non-professionals from the targeted area are no longer

recruited to work with the program because of student liability issues and because of the

computer expertise that is now required to perform TRIO work. Staff orientations are as short as

one morning session due to budgetary constraints. The summer program is no longer an eight-

week residential program, but has been shorten to six weeks, with three weeks on campus and

three weeks commuting from home in most cases due to increased room and board expenses.

Having the full and enthusiastic support of the sponsoring institutions varies according to

each campus. Many programs are often given undesirable office space in the basements of old

campus buildings, and many times scientific laboratories are off-limits to students due to the risk

of breaking valuable equipment. Healthcare services in the form of treatment, medicine,


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eyeglasses, and dental work are no longer provided by the sponsoring institutions, but can be

made available if students have their own medical insurance policies.

This qualitative research study demonstrates the amount of information that can obtained

when investigating individual TRIO Upward Bound programs. It provided valuable information

on how each program operated by studying and combining the exemplary practices of each to

improve overall service delivery. The results do not indicate that students were interviewed;

however, student input is a component that could easily be added to gain information about

program impact.

Areas of strength. In 2008, a Northern Kentucky University student affairs unit

qualitative review revealed various areas of strength regarding their TRIO Upward Bound

program. The review found that “the program focused on increasing students’ knowledge,

attitudes, values, and skills” (Baker, 2008, p. 14). Some of the strengths indicated by the students

were that the program boosted academic skills and helped with retention, grade point average,

and obtaining financial aid. The students obtained skills that encouraged lifelong learning and

professional development. They also noted that first generation status was more of a barrier to

college than being low-income (Baker, 2008).

Without TRIO Upward Bound the students believed that they would not have been able

to get through the college admission process. Baker (2008) claims:

The Upward Bound students are like a big family that are supportive of each other,

sustaining relationships during the time that they were in the program and afterwards.

The staff members were enthusiastic, engaged in student learning and had excellent

rapport with the students. A high school faculty survey indicated that when compared to

other students, Upward Bound students were more confident, motivated and mature.


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They were also better communicators, writers, and problem solvers than non-participants.

(p. 14)

Other strengths of TRIO Upward Bound focused on increasing the students’ knowledge

about college options, financial aid, the application process and career options. Student attitudes

concerning motivation, getting along with others, developing positive and trusting relationships

with peers and staff members, taking pride in their accomplishments, and thinking about the

future developed while participating in the program (Baker, 2008).

Personal values, such as celebrating diversity and participating in community service,

proved to be important to students. The development of academic and interpersonal skills, such

as increased study habits and grammar skills, group communication, social skills, decision-

making, and organizational skills were noted as important parts of the participation process. “The

major impact of the supportive services was in giving first-generation students hope and building

their confidence” (Baker, 2008, p. 14).

Baker’s (2008) examination of a single TRIO Upward Bound program contextualizes the

need for more qualitative investigation into the impact of TRIO Upward Bound programs on

student success in high school and college and its impact on promoting civic participation.

Without the voices of TRIO Upward Bound greatest stakeholders (participants), the program’s

impact has been devalued.

The current study arrives at the same conclusions as Baker’s study regarding the impact

of the academic, social, and citizenship development services that students receive from TRIO

Upward Bound that are helpful to them while in college and in preparation of life. Both studies

emphasize the importance of TRIO Upward Bound being a second family to the students,

sustaining many relationships during and after the student graduates from the program. The


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voices of the students were strongly reflected in both studies, which is essential to improving the

program and extremely important to national program evaluators to determine whether the

program should be maintained or eliminated.

Second family environment. According to a qualitative cross-case study by Shipp

Meeks (2009), TRIO Upward Bound students enrolled and persisted in college because

supportive teams of TRIO Upward Bound staff members and college students were created to

help students stay motivated and focused. Students received quality one-on-one tutoring, were

taught study strategies for all subjects, were provided college knowledge workshops, and

participated in college tours.

TRIO Upward Bound provided a second family environment that gave support to the

students and kept them focused and on track regarding their academic work and college entry.

These types of program activities helped students to increase in social, cultural, economic, and

human capital and help them to avoid the negative external and internal forces that hinder

persistence in obtaining a college degree. These forces are mentioned in Table 11 and described

in Appendix D.

Shipp Meeks also found that the TRIO Upward Bound students’ family background was

not the ultimate influence as to whether students enrolled and persisted in college, but that the

students can enroll in college if they receive help through TRIO Upward Bound while in high

school (Shipp Meeks, 2009).

In support of Shipp Meeks’ results, the conclusions of the current study also found that

regardless of the background students came from, the second family support that students

received while in TRIO Upward Bound from administrators, staff and college mentors was

essential in helping them to enroll and persist in college. The academic support, counseling, and


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encouragement received helped students to realize that they can overcome the difficulties that

may arise while in college to reach their goal of graduation.

Collecting student feedback. A design and continuing method of collecting student

feedback regarding the TRIO Upward Bound program is a significant part that has been missing

in TRIO Upward Bound national evaluations. Kalikow-Pluck (2011) conducted a quasi-

experimental survey research design study that explored alumni’s perceptions and attitudes

regarding a TRIO Upward Bound program’s effectiveness. The goal was to produce a tool that

could be used to expand program evaluation that uses student outcomes as a model to improve

the program. The subjects were able to identify the program components that they found to be

effective and gave valuable information on how the TRIO Upward Bound can be developed to

better meet its purposes.

Kalilow-Pluck found a significant relationship between the years students spent in TRIO

Upward Bound and their perceptions of what components made the program successful. Six of

the eight program elements (culture, family, peer group, staff knowledge, academic courses, co-

curricular activities, mentoring, and cost-justified) and the students’ perceptions of these

elements were also found to have a significant relationship. However, 26 of the 28 correlations

among the elements were not significantly significant (culture/cost-justified and family/cost-

justified). She also discovered that there was a negative relationship between the number of

semesters students spent in college and the years spent in TRIO Upward Bound, and also

between the number of semesters spent in college and the students’ perceptions of what elements

made the program successful (Kalikow-Pluck, 2011).

The first conclusion of Kalilow-Pluck’s study was that the relationship between the years

spent in TRIO Upward Bound and the number of semesters spent in college was insignificant


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and demonstrated that the degree completion goal for the TRIO Upward Bound alumni students

was not being accomplished. This finding adds to the debate as to whether longer lengths of

TRIO Upward Bound participation lead to college degrees (Kalikow-Pluck, 2011).

Another conclusion was significant and showed that the longer TRIO Upward Bound

students participate in the program, the more they appreciate the program components. The

participants in the study stated that TRIO Upward Bound was life-changing because students

were supported in their beliefs that they can attend college. They believed that the program

offered individualized attention for students’ personal and academic goals. Furthermore, they

thought that the program provided a safe environment with knowledgeable staff members who

helped students explore and learn about college. Students have an opportunity to take advantage

of four years of program support (Kalikow-Pluck, 2011).

The third conclusion regarding the number of semesters spent in college and student

perception of success elements was insignificant, meaning that although students receive

assistance in entering college, they will have difficulty being successful in college if they do not

receive support similar to TRIO Upward Bound (Kalikow-Pluck, 2011).

The final conclusion of the Kalilow-Pluck study showed that the eight elements (culture,

family involvement, peer group, staff knowledge, academic courses, co-curricular activities,

mentoring, and cost-justified) were significant with the exception of two of 26 element pairs.

Knowledge and understanding of these elements and how they support positive student

perception can assist TRIO Upward Bound directors in tailoring their programs to include those

aspects that will most likely lead to student success (Kalikow-Pluck, 2011).

The results of the current study supported several aspects of Kalilow-Pluck’s conclusions.

It shows the importance of the services and staff support received and how significant student


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feedback was in helping the administrators to design their programs to meet student needs.

However, in regards to college postsecondary completion, Kalilow-Pluck’s study results were

inconclusive and did not demonstrate that longer lengths of TRIO Upward Bound participation

lead to college degrees without the similar academic and social supports that they received while

in TRIO Upward Bound. The current study concluded that students who participate in TRIO

Upward Bound for longer periods of time, enroll in the Bridge program, and officially graduate

from TRIO Upward Bound can expect better postsecondary outcomes in regards to obtaining the

bachelor’s degree and substantial employment.

Academic, personal, and social preparation for college.

Walker (2011) used a mixed methods approach to evaluate TRIO Upward Bound student

academic, personal, and social preparation for college. The survey and interview results showed

that participation in TRIO Upward Bound services benefited students academically, personally,

and socially. However, students had somewhat lower academic preparation than personal/social

preparation. Personal/social preparation was perceived by group of 20 students as having a

slightly higher value than academic preparation. The lack of academic preparation indicated

may have contributed to unsuccessful college assimilation than personal/social preparation with

this group of 20 former TRIO Upward Bound students (Walker, 2011).

The study participants suggested that more academic challenge and rigor, more academic

preparation for the extra courses, such as computers and psychology, and more individualized

assistance should be added to the TRIO Upward Bound academic curriculum to help prepare

students for the academic expectations of college. To improve in the personal/social arena,

students suggested that TRIO Upward Bound should consider adding a leadership component

and a networking focus (Walker, 2011).


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Overall, the students indicated that TRIO Upward Bound provided each student with the

tools necessary to persist in college. “The survival kit consisted of teaching students to be open

minded, maintain focus, have good study habits, manage time, be organized, be self-willed, and

attend class” (Walker, 2011, p. 93). Walker concludes that

in order to validate the effectiveness of the Upward Bound program in preparing students

academically and personally/socially for college, participants in the program should

continually be assessed throughout the program to evaluate and improve the curriculum,

identify other areas that need improvement, and identify the successful components of the

program (p. 99).

According to Walker, many observers still question why first generation and low-income

students enter college unprepared for the academic work presented to them, when TRIO Upward

Bound has been in existence for over 50 years (Walker, 2011). One answer is that TRIO

Upward Bound serves only six percent of the first generation and low-income students eligible

for the program, and many of these students attend low-performing high schools that do not

prepare them academically for college. According to Sparks (2014),

college-access programs in the War on Poverty were never intended to serve a large

majority of students… [TRIO Programs] were intended to solve a real injustice of

students who were academically ready to go to college, but just were low income and

needed information. When this started [in 1964] there was not an expectation that

everybody would go to college… (Sparks, 2014, p. 4).

Tinto (2002) establishes in his college persistence research that academic issues are 20-

30% of the reasons why low income, first generation students leave college early.

Nevertheless, TRIO Upward Bound and other educational programs for disadvantaged students


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still attempt to counteract the poor educational preparation that students receive from their

elementary and high schools, many of which are dropout factories (‘dropout factories’ are

problematic high schools where 40% or more of the students of a graduation class drop out

between the ninth and 12th

grade years) (Associated Press, 2007. p. 1). Ideally, all entities

involved with the education of disadvantaged students (government, schools, colleges, TRIO and

other educational programs for disadvantaged students) should be held responsible for their

college success and should share the same level of accountability.

Walker’s conclusions and the results of the current study are in agreement, demonstrating

that TRIO Upward Bound students receive a wealth of services that help them to enroll and

persist in college. The survival kit that Walker describes is an actual phenomenon within TRIO

Upward Bound and explains how students are able to overcome the many obstacles that could

potentially interfere with their college persistence. The students in both studies also provide a

variety of suggestions that can improve the delivery of TRIO Upward Bound services and help

validate its effectiveness or ineffectiveness, information that would not have be captured in a

quantitative research study.

Academic advantages. In the TRIO Upward Bound qualitative study conducted by

Dansby and Dansby-Giles (2011), TRIO Upward Bound students stated that the educational

services provided by TRIO Upward Bound helped them to improve academically and provided

them with more academic advantages over their high school peers. They felt prepared

academically for college as a result of their participation in the program because the TRIO

Upward Bound professors were engaged and taught their classes rigorously. Students developed

aspirations over time to make the honor roll and graduate with a distinguished diploma. They


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wanted to learn as much as possible academically to meet the admissions requirements for

colleges that have competitive admissions criteria (Dansby & Dansby-Giles,2011). .

After enrolling in TRIO Upward Bound, students did not consider dropping out of school

because they wanted to continue their participation in the program. They also changed self-

defeating habits and behaviors while in the program because they did not want to do anything to

be dismissed from the program. They wanted their high schools to operate like Upward Bound

programs (Dansby & Dansby-Giles,2011).

TRIO Upward Bound students and staff have the opportunity to get to know each other

personally because the educational services take place in a small, comfortable close-knit

community. TRIO Upward Bound students became like family members because they had

similar educational and career aspirations and supported each other at school, especially when

there were family, personal and school problems. Students are engaged by caring staff who truly

want to see students succeed in school and in life. The TRIO Upward Bound Director is in the

role of parent and advocates for students at school (Dansby & Dansby-Giles, 2011).

This study supports the findings in the current study that TRIO Upward Bound operates

like a second family. The director and staff are as parents, and the students are as siblings who

support and encourage each other to succeed in school and in life. Students in both studies

wanted their schools to operate like Upward Bound; however, the TRIO Upward Bound way of

helping students to succeed has not been fully transmitted to the school. The TRIO Upward

Bound professors taught rigorous courses, had high expectations of their students, were fully

engaged with the students, and were essential in helping them to prepare academically for

college. Students stated in both of the studies that the academic services received by the

program gave them academic advantages over their peers. The voices of the students that were


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provided in this study provides an example of the type of important information that can

obtained in a research study to enhance TRIO Upward Bound services.

Motivation and support. Pringle-Hornsby (2013) conducted a qualitative study that

focused on the perspective of the student to gain information about college entry, retention, and

graduation. She found that although minority and first generation college students are highly

motivated to attend college, they face the challenges of inadequate social and academic

preparation integration, insufficient academic achievement, lack of family support, lack of access

to opportunities that lead to college entry and limited finances. As a result, these students are

impacted in the areas of college access, entry, retention, and degree attainment. TRIO Upward

Bound program activities provide students with the structured support that they need to achieve

in these areas (Pringle-Hornsby, 2013).

Peer relationships are critical to first generation students because they help students to

normalize their experiences and find support from students who are in similar situations and have

comparable experiences. Study participants stated that TRIO Upward Bound prepared them for

postsecondary education because it gave them the motivation and support to enter and persist in

college. It provided them with exposure to the college-going experience through campus

visitations and by participation in the Bridge program (Pringle-Hornsby, 2013).

Students shared that college campus visitations and the Bridge program were the most

important aspects of TRIO Upward Bound. College campus visitations allowed students to meet

current college students who discussed the college-going experience with them, which was very

important in helping them to prepare for the freshman year of college and understand the

requirements and expectations for both beginning and senior college students. Bridge program

activities consisted of living in the dormitory, attending college classes, completing homework


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assignments, and social activities that allowed them to interact with their peers (Pringle-Hornsby,

2013).

Pringle-Hornsby also found that although students were intrinsically motivated, family

support and involvement was constantly shown among the students. Support from the family

provided encouragement and a sense of accountability, motivating students to continue their

TRIO Upward Bound involvement and pursue college. Students shared that having strong

academic and social support was very important to them and was shown through family

involvement, peer interaction, freshman orientation and integration activities at their enrolled

college (Pringle-Hornsby, 2013).

In conclusion, Pringle-Hornsby discovered that TRIO Upward Bound students believed

that they were prepared for college entry because their exposure and participation in the program

gave them and their parents the information, motivation, and support that were necessary to enter

college. Also, TRIO Upward Bound provided them with the exposure to college through campus

visitations and participation in the Bridge program. These program components, in addition to

attending the TRIO Upward Bound Saturday Academy for academic support and improvement,

enabled student to meet currently enrolled college students and provided information about the

college-going experience (Pringle-Hornsby, 2013).

Pringle-Hornsby found that students and their families gained a greater sense of

awareness of the expectations required for entry-level college students. This awareness was

acquired through college-based activities and college student/peer interactions (Pringle-Hornsby,

2013).

Family support and involvement was important and consistent with the expectations that

students would attend college. Although most families did not know how to help students meet


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their goal of gaining college entry, they learned along with the students about college admission

requirements, financial aid, and required courses by participating in informational sessions

conducted by Upward Bound staff/guest speakers and through special events. The student’s

family provided emotional support and encouraged student to maintain their grades, participate,

and excel in school and TRIO Upward Bound activities. To be successful in college, students

must also have strong academic and social support systems. Participating in college activities

has a positive effect on students’ academic, social, cultural development, and sense of belonging,

which contribute to college persistence (Pringle-Hornsby, 2013).

Pringle-Hornsby recommends that colleges should immediately identify students as being

TRIO Upward Bound participants upon arrival to campus so that they can be provided with the

continued services and supports needed for a smooth entry and transition into college, which

involves a change of culture, expectations, and support systems. Moving from a small, close-

knit family community such as TRIO Upward Bound to a large, college or university setting can

be quite confusing to students if there is little or no support to assist with the transition and

direction of their educational experiences. TRIO Upward Bound staff should provide follow-up

services to recent graduates to make sure that they are connected with transitional services at

their new college or university (Pringle-Hornsby, 2013).

Students can be paired with a TRIO Upward Bound alumnus who is attending the same

institution and can mentor and guide them through their college entry and transition process of

social and academic integration. They can also be connected to a staff or faculty advisor who

can assist the student in their understanding of the structural, cultural, and organizational

characteristics of the college or university, which will also help with social and academic

integration. An early connection with the student will help their sense of belonging and


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connection with the other students and the college or university as they transition to their new

environment (Pringle-Hornsby, 2013).

TRIO Student Support Services, the sister of TRIO Upward Bound, requires that student

self-identify to receive services. TRIO Student Support Services and TRIO Upward Bound, in

most cases, do not provide a formal transition for participants upon their arrival to the college or

university campus. Also, TRIO Upward Bound program administration staff should track their

students every semester to assess and support their needs and to evaluate program effectiveness,

determining whether program goals are being accomplished. Social media, such as Facebook,

Instant Messaging, and Twitter can be alternative ways to track students and maintain contact

throughout the academic year (Pringle-Hornsby, 2013).

College preparation programs such as TRIO Upward Bound should consider maintaining

contact with their students throughout their undergraduate careers on a consistent basis to obtain

information about the benefits of TRIO Upward Bound and how the program elements apply to

and support their college experiences. This connection

would allow for a parallel process to occur. While the [TRIO Upward Bound] program

is learning about the student, the program is also learning how it performed in relation to

the student and their adjustment in college beyond the first year (Pringle-Hornsby, 2013,

p. 115).

The results of the current study support all of the findings of Pringle-Hornsby’s research

regarding the impact of TRIO Upward Bound on low income, first generation students and

college entry, retention, and graduation. Students in both studies described how important the

college visits and Bridge program were to the process of gaining information about college, and

how participation in college activities has a positive effect on students’ academic, social, cultural


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development, and sense of belonging, which contributes to college persistence (Pringle-Hornsby,

2013).

Pringle-Hornsby’s study is another demonstration on how student responses can be used

to strengthen national TRIO Upward Bound evaluations. She and her study participants

provided significant suggestions on how TRIO Upward Bound can be improved and how

program impact could be measured. Ways to improve TRIO Upward Bound were not addressed

by the national studies.

When the students of the current study were asked by the investigator how TRIO Upward

Bound could be improved, they provided a different list of suggestions, such as improving school

awareness about TRIO Upward Bound, providing opportunities for alumni to become involved

with the program, expanding family involvement, encouraging students to engage in TRIO

Upward Bound political action, requiring more student accountability, expanding program

services, increasing special opportunities and experiences, and improving program funding.

Details of the suggestions presented by the students in this study can be found in Appendix P.

Conclusion

The history of TRIO Upward Bound’s development reveals its political and social

significance. Established as one of U.S. President Lyndon B. Johnson’s key War on Poverty

initiatives, advocates of the program believe that TRIO Upward Bound continues to mitigate

current challenges associated with poverty and those relevant to college admission, retention, and

completion. Additional qualitative research that capture student voices are needed to prove its

value—expressions which traditionally have not been a part of the national TRIO Upward Bound

studies.


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Chapter 3: Methodology

Introduction

Upward Bound saved my life! I like to think my experience in Upward Bound helped

me become more clear with what I wanted to do with my future. I knew I HAD to go to

college, but I wasn't too sure why I wanted to go. Upward Bound helped me decide that I

wanted to go to college and major in English and minor in Creative Writing. I am also

applying to graduate school to earn my Masters in Education. I owe a lot of my current

position to Upward Bound. Thank you for the helping hand in my future [Dawn, May 21,

2013].

The above quote reveals the value of TRIO Upward Bound that can be captured in a

study. A qualitative design can be very useful for TRIO Upward Bound program research and

evaluation, encouraging former participants to tell their individual program stories. These stories

reveal the broad scope of impact of the program. These descriptive and detailed former

participant stories are very important to hear because they can illuminate the program’s

processes and outcomes to generate findings for congressional members and U.S. Department of

Education officials, who will make decisions about TRIO Upward Bound’s future.

Rationale of the Study

To make more fully informed decisions about TRIO Upward Bound’s future, qualitative

research and evaluation are needed to determine the educational, societal, and economic impact

of the program and challenge the problematic quantitative studies of the past. Research using

qualitative methodologies will give the actual recipients of Upward Bound services (the current

and former students and their parents) a voice in determining the future of the program. They are

the key stakeholders and should have the opportunity to express their thoughts on program


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benefits or ineffectiveness, which cannot simply be measured quantitatively. The voices of the

students and parents were not included in the national TRIO Upward Bound studies of the past.

However, qualitative research when well-done should be viewed by advocates as equally

valuable as quantitative research, passing the scrutiny of public and private IRB boards (Myers et

al., 2002; Seftor et al., 2009; U.S. Department of Education, 2009a).

This study is an example of the type of studies that are needed for TRIO Upward Bound

programs to be fully researched and evaluated. Qualitative studies must be considered by TRIO

policy makers, advocates, and observers as a way to involve the key informants—the past and

current TRIO Upward Bound students in the process of determining whether TRIO Upward

Bound should be retained for its benefits or eliminated due to ineffectiveness.

Research Questions

Qualitative data adds depth, detail, and distinction to quantitative findings because it

provides insight through case studies and explores personalized outcomes and issues of worth or

merit. Quantitative approaches use standardized measures that allow comparison and statistical

aggregation, leading to rigor and generalizable findings. Nonetheless, if researchers want to find

out about what TRIO Upward Bound means to current and former participants—what they think

about it, how it affected them, and what their program recommendations are—researchers would

need to ask recipients carefully designed questions to find out about their program stories and

experiences (Patton, 2002). This study of a Midwestern TRIO Upward Bound program,

therefore, seeks answers to the following questions:



school graduation?


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Program Participation Length is the number of months or years that former students participated

in TRIO Upward Bound. Program Participation Level refers to two participation conditions:

students participated in the program, but left before entering the Bridge Program (Participation

Level One); or, students participated in the program and officially graduated from TRIO Upward

Bound upon successful completion of the Bridge Program (Participation Level Two). The TRIO

Upward Bound Bridge Program, a “dress rehearsal” for college, occurs the summer after high

school graduation and involves enrolling in one or two college classes for academic credit and

living in the dormitory as actual college students for seven weeks.

Design

In the past, the desire to involve great numbers of TRIO Upward Bound programs and

participants in national studies and to facilitate the comparison of program data with the use of

statistical aggregation has been the dominant research technique. The prearranged categories

normally identified with quantitative methods only require standardized procedures so that the

responses of a large group of people can be fit into a narrow number of response groups, which

leads to broad, succinct and more generalizable conclusions. Qualitative research methodologies

have never been a serious consideration for a TRIO Upward Bound national studies project,

possibly due to the financial support needed and the time required for such studies. However,

qualitative research can be completed in stages to help with the expense and the time required for


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analysis (Patton, 2002).

Descriptive and detailed sets of qualitative data from interviews, focus groups, open

response questionnaires, and documents gathered from former TRIO Upward Bound participants

and other sources are very important to acknowledge because they can be used to illuminate the

program’s processes and outcomes to generate findings for U.S. Department of Education

officials and Congress, who will make decisions about TRIO Upward Bound’s future.

A qualitative design can provide a variety of data types. It will not only provide personal

insights and outcomes, but can contribute to methodological rigor by including triangulation of

data sources, which increase the accuracy and credibility of findings.

Participants

The 24 study participants were randomly selected from a population database of 408 who

participated in a Midwestern program TRIO Upward Bound and were on track to graduate from

high school during the spring of 1999 through 2010. The TRIO Upward Bound program

population was 33.8% males and 66.2% females. Twelve males and 12 females were randomly

selected for the study so that the opinions of both genders could be evenly represented in the

results. The average age of the 24 participants was 23.04 years, which was approximately five

years post high school graduation. The 24 study participants were all over 18 years of age, and

informed written consent was given by each participant to the investigator. As young adults, they

were able to reflect back and provide rich descriptions of their TRIO Upward Bound experience.

Students under the age of 18 were not selected for the study due to the IRB restrictions and

regulations for child research participants, and also due to their limitations in the area of abstract

thinking, as demonstrated in the formal operational stage of Jean Piaget’s theory of cognitive

development. It is the investigator’s experience that the average teenage TRIO Upward Bound


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student at the time of participation does not have the maturity, experiences, or ability to fully

understand why he or she was referred for participation in the TRIO Upward Bound program.

Most under age 18 are unable to articulate in a descriptive manner as to why they were in the

program, what the purpose of Upward Bound is, what Upward Bound means to them (or did not

mean to them) and how they are benefiting or did not benefit from the program (Cherry,

2013).The subjects were divided into three groups according the amount of time they

participated in the program and the level of their participation. They were grouped and given the

letter S (Student) and a number from one to 24. Group One (Level One participation) consisted

of four males and four females who participated in the program for less than two years (S1-S8);

Group Two (Level One participation) consisted of four males and four females who participated

in the program from two to four years (S9-S16); and Group Three (Level Two participation)

consisted of four males and four females who participated in the Bridge Program during the

summer after high school graduation and officially graduated from the TRIO Upward Bound

Program after completing the Bridge Program.

Eighteen students were categorized as Low Income & First Generation Potential College

Student (L-1), two were Low Income Only (L-2), and four were First Generation Only (O-1).

“Low Income means an individual whose family's taxable income for the preceding year did not

exceed 150 percent of the poverty level amount established by the Census Bureau for

determining poverty status. The poverty guidelines are published by the U.S. Department of

Health and Human Services in the Federal Register” (U. S. Census Bureau, 2012, p. 1). First

Generation indicates students from households in which neither parent has a four-year degree. At

the time this study was conducted, the At-Risk of Academic Failure category was not a

classification of program selection.


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Data Collection

The study utilized confidential questionnaires, interviews, and program records of the 24

randomly selected former students. Twelve years of student records, 1999-2010, were available

for the study. The 24 former TRIO Upward Bound students, age eighteen and over (eight per

participation category) were contacted by telephone, mail, email, and Facebook and agreed to

participate in the study. All 24 were past their expected high school graduation dates when

interviewed.

A demographic document, Former Upward Bound Student Demographic Information

(Appendix Q: Instrument F), was completed by the investigator for each participant and

documented the participant’s gender, age, marital status, number of children, dates of TRIO

Upward Bound participation, length of participation, grade level in school (when enrolled in

program). The participants then completed the Former Upward Bound Student Questionnaire

(Appendix Q: Instrument G) directly online, by hand, or through examiner and participant

dictation. The Questionnaire featured basic questions regarding the participants’ family,

neighborhood, education, work, voting practice, military service, and legal backgrounds.

Finally, the Former Upward Bound Student Interview document (Appendix Q: Instrument H)

was used as a guideline to conduct the 24 interviews needed for the study. It followed a semi-

structured interview format and was a vehicle for engaging the participants in deep conversations

about the effects of their TRIO Upward Bound participation. The questions were asked in order.

The investigator asked probing questions for a much deeper level of understanding, and

former TRIO Upward Bound students were asked for clarity when needed. Each interview

ranged from approximately 30 minutes to 120 minutes each and was conducted in person or by

telephone at the convenience of the participant. Participation in the study and answering each


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question was entirely voluntary. Participants were allowed to skip any questions they did not

want to answer. There were no conflicts of interest in terms of the study, and there were no

potential risks or benefits to the human subjects in the data collection.

An attempt was made to utilize electronic questionnaires through the Zoomerang.com

survey website (now Survey Monkey). A former TRIO Upward Bound student who lived out of

town was asked to complete the questionnaire by clicking on an established Zoomerang link. It

was believed initially by the investigator that utilizing this type of technology would be more

convenient to both the investigator and the student. However, the former student hesitated in

completing the form. The investigator re-contacted the student several times to prompt the

student to complete the form. The next participant then came into the office to complete the

questionnaire online. In both cases, the information typed by the students was sketchy, and the

investigator was required to repeat the questions during the interview to get deeper answers. As

a result, the practice of encouraging former students to type the answers directly into the online

questionnaire was abandoned. The investigator asked the questions in person or by telephone

and recorded the answers instead.

Data Analysis

A preliminary qualitative study with three practice pre-study survey interviews was

completed initially to design and refine the final study instruments. In the final qualitative

methods study, the participant interviews were recorded by the investigator and fully transcribed

by an audio typist. The transcripts were checked and re-checked for accuracy. An audio

transcription typist familiar with the program TRIO Upward Bound and its students was

considered to be the best choice in preparing the interview data verbatim to preserve the full

essence of the former participant comments, instead of utilizing speech recognition software or


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interview summaries. Dictation through speech recognition software is only 95% accurate,

according to Gibbs (2012) , and is still not quite good enough to accurately transcribe voices

from recordings (speech recognition software works best with American accents and requires a

great amount of checking and re-checking for accuracy). Interview summaries was not selected

as the method for analyzing data because the true essence of the participant comments is lost and

forgotten through the process of summarizing (Gibbs, 2012; Gibbs & King, 2012).

The data obtained from the program database, interviews, open and closed response

questionnaires, and student records were gathered, combined, and analyzed with the assistance of

Microsoft Office Excel and Access software. Charts were created from the program database

and filed in the appendix section of this report; participant comments were recorded, typed word

for word, and reported in Chapter 4 of this report. Before beginning the coding process, the

transcripts were organized by the three program participation lengths /level of participation

groups (Group One, Group Two, and Group Three respectively). In preparation, each of the 24

transcripts was read two or more time times to become familiar with the content before

beginning the coding process. Various category and subcategory codes were generated and

compared as the responses were read, noting data that were related without considering the range

of responses. Notes were made, ideas, issues, and key words were listed, consistent and

inconsistent relationships were noted, and special vocabulary words were written down.

Repeating ideas by the participants were noted or combined and then coded. While

coding, a thematic analysis was completed—main theme by main theme—in the order of the

questions asked. Common themes from repeated responses were noted, based upon the similar

experiences of the participants. The different experiences were also noted and coded. Data

triangulation was used to verify the findings by comparing the questionnaire and interview


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summaries with the data in the literature reviews and the database summary (Gibbs, 2012; Gibbs

& King, 2012; Patton, 2002).


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Chapter 4: Results

One challenge to TRIO Upward Bound is that it is considered a remnant of the “War on

Poverty” that does not measure up when quantitative measures are used to determine program

impact. Thus the effectiveness of the program remains unproven. In order to fully understand

TRIO Upward Bound programs, greater evidence of TRIO Upward Bound impact is needed.

This evidence, however, should include the voices of the most key stakeholders: the current and

prior participants. Participants (past and present) should have the opportunity to express in their

own words program benefits or ineffectiveness which, for the most part, cannot be measured

quantitatively. The voices of the students and parents were not included in the national TRIO

Upward Bound studies of the past (U.S. Department of Education, 2009a; COE, 2007; Corsi,

2006; Lemann, 1988; Mitchem, 2005; Myers et al., 2002; Seftor et al., 2009; The Whitehouse,

2006).

This study is an example of the type of qualitative studies needed for TRIO Upward

Bound programs to be fully researched and evaluated. It demonstrates how program documents

and survey techniques can be used to evaluate the impact of program participation on students’

high school graduation, college enrollment and success, and citizenship practices.

Participants in this study enrolled in TRIO Upward Bound and either continued on to

successfully complete the Bridge Program or left the program before entering the Bridge

Program. Most students participated in at least one summer program.

Summer program participation, a significant feature of the TRIO Upward Bound

program, was not addressed in the TRIO Upward Bound national studies. However, the Former

Upward Bound Student Demographic Information document in this study indicated that of the 24

sample students, four (S19, S21, S23, and S24) participated in five summer programs, two (S14


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and S18) participated in four summer programs, five (S11, S15, S16, S17, and S22) participated

in three summer programs, five (S6, S10, S12, S13, and S20) participants participated in two

summers, and six (S1, S2, S3, S5, S8, and S9) participated in one summer. Two participants (S4

and S70 did not participate in a summer program.

The Bridge Program, a “dress rehearsal” for college, occurs the summer after high school

graduation and involves enrolling in one or two college classes for academic credit and living in

college housing as actual college students for seven weeks. Eight of the 24 participants (S17-

S24) completed the Bridge Program following their senior year of high school. They believed

that the Bridge Program was very important to their college experience. All eight participants

saw the Bridge program as the highlight and most critical of the TRIO Upward Bound summers.

It was the last step the program. The students wanted to be in the Bridge program with their

friends in a nice, safe environment with people who watch out for them to make sure they are on

the right track—getting out of their neighborhoods where there was danger.

Participant Characteristics

Appendix E provides a general description of the former TRIO Upward Bound program

participants, while Table 14 provides a summary of these characteristics for the sample and three

groups:


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Table 14: General Description of Program Participants for Three Groups and Sample

Participant

Category

Group

One (8)

Group

Two (8)

Group

Three (8)

Sample

(24)

# %

1. Number of Subjects 8 8 8 24 100

2. Gender—Female 4 4 4 12 50

Gender—Male 4 4 4 12 50

3. Race (Black) 8 8 8 24 100

4. English Language Proficiency 8 8 8 24 100

5. Low-Income/First Generation 7 5 6 18 75

6. Low-Income Only 1 0 1 2 8.3

7. First Generation Only 0 3 1 4 16.7

8. Mean Age 22.625 22.25 24.25 23.04

9. Mean Participation (months) 11 36.125 42.25 29.88

10. Mean Participation (range) 3 - 23 24 - 48 17 - 50 3 - 50

11. Program Entry—8th Grade 1 3 4 16.7 %

Program Entry—9th Grade 3 6 4 13 54.2 %

Program Entry—10th Grade 3 1 1 5 20.8 %

Program Entry—11th Grade 1 1 4.2 %

Program Entry—12th Grade 1 1 4.2 %

12. Bridge Program Participation 0 0 8 8 33.3%

13. Learning Disabled With *IEPs 2 1 0 3 12.5

14. Mean Entry GPA 2.602 2.535 2.991 2.709

Mean Exit GPA 2.619 2.387 2.713 2.573

15.. Mean Entry GPA-- *ADRs (2) 2.33

Mean Exit GPA-- *ADRs (2) 1.84

16. Mean Entry GPA-- *BDRs (6) 3.063

Mean Exit GPA-- *BDRs (6) 2.927

*IEPs = Individualized Educational Programs

*ADRs = Associate Degree Recipients

*BDRs = Bachelor Degree Recipients

Why Do Students Enroll in TRIO Upward Bound?

According to the Research Triangle Institute (RTI) national evaluation, the length of

TRIO Upward Bound participation is associated with an increased likelihood of postsecondary


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entry. Those in TRIO Upward Bound for two or more years were significantly more likely to

enter college than those with a single year of program participation. This study also

demonstrated that longer and higher program participation leads to higher postsecondary

outcomes. However, reasons for why students enroll in TRIO Upward Bound and why they stay

or leave the program were not addressed in the national studies (U.S. Department of Education,

2009a).

TRIO Upward Bound program enrollment. According to study participants, TRIO

Upward Bound students’ parents or guardians volunteer them for the program Though

seemingly coerced, TRIO Upward Bound students typically agree to participate once encouraged

by parents, counselors, teachers, relatives, friends, and mentors. Participant S16 explains:

I agreed to participate. It was kind of both…I was placed in it by my aunt, but I also

wanted to be in it. My older brothers and sisters were in it too, so it was like, “You going

to Upward Bound. But do you think you really want to do it?’ It was just like, well,

they’re doing it, so I want to do it too. I seen them away from the house in the summer,

so I wanted to get away also and see what they were doing, so… For a while, I was the

only one at home during the summer.

Specifically, nine of the 24 former TRIO Upward Bound students were referred by their

mothers; six were referred by counselors, teachers, and friends; five were referred by relatives

(aunts, cousins, grandmother); two by mother and father; one by mother and aunt; and one by a

mentor.

Several of the program referral sources worked with the program or worked on the

campus and knew the program and the administrators. Some participants had relatives or friends

who were previously or were currently in the program. Some parents and relatives researched


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the program and decided that it would be a worthwhile activity for the student. One participant

overheard other high school students discussing the program and brought the idea home to her

mother. Several students and their recommenders loved the concept of the program and

mentioned that they wanted students to participate in a positive activity outside of high school.

TRIO Upward Bound program retention and attrition. 16 of the 24 participants did

not complete the TRIO Upward Bound program, which includes participating in the Bridge

Program. Thirteen participants reported leaving for the following reasons: immaturity (S15);

family issues (S2, S6, S7), participation in school activities (S3, S10), working on Saturday

mornings and during the summer (S1, S8, S11), participation in another educational program

(S4, S15); joining the U.S. Army (S14); and studying abroad (S5). Three students did not

respond to the question (S9, S12, S13).

Many of the participants expressed feelings of regret for leaving the TRIO Upward

Bound program before graduation. However, most believed that they were under pressure to

leave because of family situations or to accomplish their career goals. No students reported

leaving the program because they were dissatisfied with the TRIO Upward Bound services they

were receiving. Participant S2 shared, “I left the program because my father got out of jail, and

he still maintained custody of me. My father decided to take me to another state.” Family issues

also challenged Participant S7: “I left UB due to family issues [pregnancy]. I had a son, then a

daughter. Too much was going on for me at once.”

Several students left the program prior to the Bridge Program to pursue other

postsecondary educational opportunities. Participant S4 stated:

I left the program early, however, to participate in an Engineering Bridge Program that

offered more than the UB Bridge Program. The Engineering Bridge Program offered


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field trips to companies, military-type monitoring, several college classes, and

preparation for what it was going to be like being a first-year Engineering student.

However, I did not major in Chemical Engineering once I went to college. After this

experience, I decided that the Engineering field was not for me. I decided to major in

Chemistry instead.

Another student left to work before starting college. Participant S11 reflected on her decision to

leave the program prematurely:

I decided to leave after senior year was over. I did not participate in the Bridge program.

It was before I left for college, obviously, and I just went the route of working instead

of…I felt like having a job was more important. Like, I was able to get my computer and

my books and stuff. So I felt like that was more important than taking college classes

because I was already in the DAPP program at my high school, so I already had, like

incoming credits. So I’d rather work full time, I mean, part time, but I had a lot of hours.

Whereas I wouldn’t have been able to work and take classes and make as much money as

I did.

The decision to leave the program was rarely attributed to personal choice as indicated by

participant S11. Barring uncontrollable factors like those mentioned by participants S2, S7, and

S4, participants saw the value in completing TRIO Upward Bound. The students who completed

the program cited the following as reasons: they liked the program and the people involved, they

valued the educational benefits, they wanted a break from home, they believed that the program

was helping them to get ready for and graduate from high school and college, they liked that the

program kept them busy during the summer, and they wanted to finish what they started.

Participant S19 explained:


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I decided to stay, just because it helped me out a whole lot. Without it, I probably

couldn’t say that I would have attended college or even graduated. I think it was just the

best thing that ever happened, Upward Bound. Taking college courses… it helped you

get ready for it and everything, so that was something you did, seeing other students

finish and everything and go on… That was a big thing, to finish Upward Bound.

Participant S23 also acknowledged the value in completing the program:

I probably continued because of the…definitely, the benefits that I received from the

Upward Bound program, in terms of the tutoring session. They helped me academically,

and you know…getting…having the opportunity to stay on campus, and take classes that

prepared me for next year, and also, mostly graduating where I can take college courses. I

thought that was definitely a plus, so that’s why I wanted to succeed.

TRIO Upward Bound Program Participation and High School Graduation

According to the 1979 Research Triangle Institute (RTI) national report, TRIO Upward

Bound had no effect on high school graduation rates. However, when participants in this study

were asked if TRIO Upward Bound participation assisted them in graduating from high school,

six of the 24 answered “definitely yes”, 13 answered “yes”, and four answered “probably did”,

regardless of program participation length and level. These 23 participants answered

affirmatively because of the academic assistance provided, the encouragement provided by the

staff, the support provided by fellow students, the confidence developed in their abilities, and the

values instilled regarding the importance of education in general. The story of participant S5

captures the impact of TRIO Upward Bound in a remarkable way. This participant credits TRIO

Upward Bound with helping him to complete his GED. He shared the following:


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Did Upward Bound participation help me to get my G.E.D? Oh yeah, definitely… Just

the mere fact that we were given the opportunity to go to school on the week-ends, we

were given the opportunity to come to class after class, after school…and spend time and

get help on our homework. Those things instilled values in me that remain with me and

abide with me to this day. Again, if not for that, I wouldn’t have taken it upon myself to

go down to the library and say; hey, I want to take the G.E.D. test. The fact that I took it

upon myself, and I wasn’t made to go to school on the week-ends and after

school…that’s what I needed again to take the initiative to get my butt up and say, ‘Hey,

get your G.E.D!’ These values were there and remain today.

He continued:

The value of education, the value of being diligent, of really going for what you want in

life… commitment. When I was at the Upward Bound program, I was there all the

time…every weekend that I could make, I was there. You know, and I enjoyed it.

Personalizing your education…your education ain’t for somebody else, it’s for you, you

know what I mean? So, yeah, those values stuck with me. Another thing that stuck with

me was when I did the oratory contest for Black History month back in 2000. Mr. T. had

coached me and helped me, through the contest and I eventually went on to win the

contest. I won because I was given the opportunity to shine. Someone said, ‘Hey, we

want to see you do you! We want to see you shine. We want to see your light. Don’t be

afraid to shine. Don’t be afraid to do your thing. Have confidence in yourself. Commit

to your craft. Commit to what you create.’ And do it.

Despite being enrolled in postsecondary-option, which enabled enrollment in a college

class while still in high school, Participant S4 expressed how helped her to graduate from high


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school and pass her college classes:

Upward Bound definitely contribute into me…helping, by being resources. When I was

in high school, I wasn’t the typical high school student. I was in postsecondary high

school…well, I was a postsecondary student at the University, and so I took classes at the

University. Also, I took classes at school; and one of the things being a post-secondary

student was that if you did not pass your classes in college, you wasn’t going to graduate.

So being a high school student and a college student, like, I really didn’t have much…I

really didn’t know many people because I was in high school still, so being … I was also

a student in the Upward Bound program, so the mentors, and professors and teachers

there helped me with the college work. So I would say that’s how they helped me

graduate from high school…making sure that I was doing all the work in the college-

level classes…making sure I was doing all of that work right, so that I could graduate

from high school.

Only one study participant, S1, said that TRIO Upward Bound helped her a little bit, but

then it didn’t. This student did not graduate from high school because she did not pass the state

graduation test. She stated:

It helped me a little bit, but then it didn’t. It helped me more about the college life, but it

helped me a little bit in high school because it tells you that you gotta be on time for these

and this and that, and you got to get your work done on time. You gotta do everything

you suppose to do…take care of your responsibilities. Then with college, you have to do

everything right. There’s no way, if you fail something, if you come late, a minute late,

you don’t go to that class. So it helped me.


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TRIO Upward Bound Program Participation, College Enrollment, and Success

According to the Mathematica Policy Research, Inc. (MPR) national report, participants

in TRIO Upward Bound receive an intensive set of pre-college services and have positive

educational outcomes. However, the type and quality of services received are not discussed in

any of the national evaluations (Seftor et al., 2009).

To address this finding, the 24 participants in the study were asked questions about the

pre-college services they received as participants in TRIO Upward Bound and whether these

services helped them to prepare academically and socially for college.

Academic preparation for college. According to 21 of the 24 former TRIO Upward

Bound students, TRIO Upward Bound definitely prepared them for college academically,

regardless of program participation length and level. The 21 students stated that they received

valuable information about college directly from college admission staff, mentors, and through

their own personal experience. They acquired information from about the day-to-day navigation

of college, which took the fear out of attending college classes and made college a familiar

experience. Participant S2 explains this:

…on the first day of class, I wasn’t scared to go to my classes. I felt like I had already

done it. I think that other [college] students were kind of afraid [of the first day of

classes]. I woke up out of my dorm and I went to my class, and then I walked over here

and went to another class and went to the cafeteria. It was a familiar experience…the

result of being in Upward Bound. My roommate didn’t know what to do because some

kids don’t, even if it wasn’t a college setting, don’t have an experience of leaving the

house. That’s the first time they ever leave the house for an extended period of time.

They haven’t been away from home for more than a weekend. So I think Upward Bound


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students would definitely have an advantage ‘cause they’ve already left home for a

summer. My experience with Upward Bound helped you with that. Yeah, I think it

helped a little bit. I think if I would have been in the program longer…I think a lot of

things helped a little, but if I was in the program for a longer time or an extended time, it

probably would have had a more drastic impact.

Participants acknowledged being prepared academically to do well in high school classes

such as math, foreign language, science, and English because TRIO Upward Bound teachers

worked hard with students and were concerned about whether they mastered the course content.

TRIO Upward Bound classes complemented what students were studying in high school.

Tutoring services and computers were available to assist students with classes and homework.

Participants reported the development of valuable skills such as time management, punctuality,

diligence, commitment, and responsibility. Participant S1 recalled:

You had to make sure that you went to classes. We stayed on campus in the dorms. We

had to know how to do it… how to get up. If anything happens in the middle of the

night, like a fire alarm, we had to get up and get out the door, as in college life. Then we

went on the college trips, which was fun. We had college people come to us to talk to us

about college and how to do college. It really taught me a lot. The academic part of

college, in terms of math, and reading, Upward Bound prepared me better than high

school in terms of being challenging. The math part was way harder than something I

would do in high school. It was just like I was on campus working in a real college class.

The literature class was also great. The teacher told us what to underline, and stuff that

you should pay attention to and shouldn’t pay attention to. I feel that Upward Bound

classes helped me to prepare academically…to know what to expect in college.


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Participant S18 also shared:

In the Upward Bound program, I learned time management skills. I learned

prioritization, yeah, by being on my own – ‘Okay, I know I have to go to work 8 to 2. I

know I have this class at this time, I have this class at that time. I need to do homework

at that time. The Upward Bound Olympics are coming up. I’m on the basketball team; I

have practice at this time’. So prioritizing one’s schedule, you know…this was

throughout the Upward Bound program, every single year.

One of the greatest assets of TRIO Upward Bound, according to participants, is the

Bridge Program. Table 15 compares the services received by all 24 students in the study and the

additional services received by the eight students in Group 3 who participated in the Bridge

program:

Table 15

Services Provided to TRIO Upward Bound Students

Services to All Students

(Groups One, Two, and Three)

Additional Services to Bridge Program

Participants Only (Group Three)

Pre-college counseling Seven-week on-campus Bridge Program

College academic preparation and social

preparation

University course enrollment, tutoring, and

adjustment counseling

College search, application completion

assistance, and fee waivers

Final college enrollment and financial aid

process counseling

FAFSA application completion and

verification assistance

TRIO Upward Bound graduation ceremony

and diploma

College enrollment counseling and guidance College enrollment and follow-up counseling

Scholarship search and assistance

Leadership training

Letters of recommendation

College visitations/ tours/cultural events

Volunteer experiences

Six-week on-campus summer program(s)

SAT/ACT test assistance and fee waivers

Employment training and assistance

College Awareness Class enrollment


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Participant S18 claimed:

I learned all of that…yeah…all of that…you just get it. You just get it because you had

to register for those English courses (taken in the Bridge Program). Yeah, online…so I

just found that I knew how to do a lot of things. I was able to register for my own classes

(online). Absolutely. You know…where are my academic advisors, where is A&S? I

already knew where A&S was, you know, because I already took a class…two classes…

Again, that real on-campus experience in the college environment, interacting with

current college students, interacting with professors… that’s something you don’t get

anywhere else. Actually moving around campus, getting to class on time, having a

syllabus, doing that homework…but even still the environment…the exposure to the

college environment, you know, dispelling a lot of the myths about college. It definitely

prepared me.

Participant S19 concurred, acknowledging the value of the Bridge Program in this statement:

I think Upward Bound… oh, I know it did, prepare me for college, especially the Bridge

year, just by us taking the college courses already in the summertime. That was a big

help just to let you see what you were getting into as you were about to enter college.

And even in the summer… it helped just by listening to students and watching the older

students talk about their lives and how they were doing in college, it had a…just an

impact on you. And you want to follow in their footsteps with them also.

While in the Bridge Program, students looked forward to being independent. The

decreased level of supervision, i.e. freedom, was very attractive to students. It allowed students

to make their own decisions, such as whether they needed to go to class. It was a weaning out


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process—the separation of the serious student from the non-serious student. Participant S18

explained:

Just learning to live with other people. It’s on you. Bridge is the weaning out process.

See, in high school, you still got a chance where you can mature…you turn 15, 16, and

17 years old, but at 18, it’s either college or the workforce. We were in the dorms with

the honor students and athletes, so there were ample opportunities to get involved in

things that were, you know, had nothing to do with school and why you were there. So to

me, Bridge was the separation of the serious from the non-serious student.

The experience was absolutely helpful—the courses, the dormitory, being responsible,

following the rules of the dormitory residential assistant, learning how to live with

people, and even the drama that took place among students. Staying on campus made a

difference in student grades.

According to the participants, the TRIO Upward Bound Bridge Program is a ticket for

students to get ahead in their studies and helps students to get acclimated to college. The

program increased participants’ confidence in their abilities to handle college work in the fall.

As a result of the program, students progressed through Freshman year in an accelerated manner,

which freed up time for other activities, such as researching and fundraising for internships and

study abroad opportunities. Participant S18 shared her experience as validation of this point. She

revealed:

You see, the Bridge program is really what helps you because you actually get to sit in an

actual college course with actual college students. The English 101-102… Oh my

goodness, to be in an environment, to get a syllabus, and for the professor to say, ‘This is

due on this date’, and you don’t get any reminders or to interact with other colleges


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students who were sophomores and juniors, who were taking English 101-102, and that

whole idea that you can earn credit as a Bridge student and have them transfer. So I just

jumped into 103 in my freshman year, which helped. I missed out on a lot of the extra

work. I didn’t have to take English 101, 102, 103 that sequence. I was already on the

third class of that sequence as a freshman. That’s rare. And so that freed up more time to

start planning for study abroad, more time for fundraising, freed up more time for

research…researching study abroad programs, internships, uh, you know… student

activities. All of those things combined, I mean, they just give you a more confident

attitude when you walk in the classroom.

She continued, revealing the pride she felt as others noticed her accomplishments:

People I met were surprised that I had bypassed or had already taken 101 and 102.

Students… not the professors. The students were like, “Well, how did you do that”? I

explained that Upward Bound was a ticket…to getting it done so you could get right into

some prerequisite courses. And just the fact that you get to stay on a college campus…I

think a lot of students look at that as an opportunity to party. But it didn’t occur to them

that we were in class all day long and some of us had jobs, so we went to class and then

we went to work and we went to work and we went to class. It was a very real

experience, a very real college experience…and one that I am forever grateful for. It

really helped me to get you acclimated to college. I mean, there are students that never

have that experience. I mean, they jump in and are completely new, (but) they’re

vulnerable to all the distractions. You know, they are just, I guess, so excited with the

freedom that they have, you know. I wasn’t so easily corrupted because it wasn’t so new


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to me to have this freedom. It wasn’t so new to me to be parent-free…no parents, no

supervision.

One participant, S24, believed that TRIO Upward Bound only somewhat assisted him in

preparing academically for college. The program assisted with learning how to be responsible as

a high school and college student. However, in comparison to his high school, one of the top

public schools in the state, the program was not a challenge academically. He explained:

Yes and no. Our classes and how our schedule was…basically, we were college students

before we were even high school students (many students start TRIO Upward Bound in

the eighth grade), so I think that prepared us as far as like us getting up by ourselves,

going to class, making sure we eat…just doing stuff, just doing stuff early like, having

that experience of us being college students while we’re still in high school. I think that

prepared me for college.

Another participant, S1, did not graduate from high school on time due to failing the state

competency test and, therefore, did not believe that TRIO Upward Bound participation helped

her to prepare academically for college. In terms of preparation, she noted, “I wouldn’t say

academically--no. I mean, it helped with a bunch of other stuff…financial aid thing, the

application, the fee waivers, and the test waivers too really helped.”

Social preparation for college. As alluded to in the previous comments by former

TRIO Upward Bound participants, the program not only prepared the students for college

academically, but it also prepared them for the social challenges of college. 21 of the 24 study

participants, regardless of program length and level, believed that their participation in Upward

Bound definitely prepared them for college socially because the administrators and tutor advisors

provided the students with dormitory living, social activities, mentoring, and counseling services


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necessary to gain information about college and to be successful.

Twenty of the 24 students reported that they enjoyed the summer program and thought

that it was a very positive experience. They thought that the summer programs were great

because of dormitory life, academic and cultural enrichment classes that prepared them for the

upcoming school term, campus jobs, college visits, and in and out-of-town travel with the hotel

experiences. Comradery with peers who are in the same TRIO Upward Bound program,

developing friendships with peers who participate in other TRIO Upward Bound programs in the

state, the opportunity to meet college students, and developing relationships with TRIO Upward

Bound college mentors, instructors, and college professors was also very important. Participant

S5 shared:

Upward Bound was the thing that served as a catalyst as far as my transition. So

definitely that summer program, being in the dorms. It felt scary! It was frightening at

first. But again, I feel like Upward Bound was like an extended family to me. The

summer program was the bomb. I left the summer program early, but everyone I spoke

with afterwards continued the program and wanted to finish, including my friends. I

liked it because it was freedom and almost like living on my own. That’s why I liked it.

You have more freedom when living on a college campus, and you are respected as a pre-

adult here, whereas in your household, I was still a baby to my mama. I was living on

campus as a college student, getting up in the morning and running down the steps so that

I wouldn’t be late to class. I made it, though.

The family atmosphere TRIO Upward Bound provides and the freedom and

responsibility to live as a college student for six weeks added to their enjoyment of the program.

They also appreciated the opportunity to learn how the college campus operates and learning the


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importance of education, responsibility, time management, and social networking. Further, the

participants reported developing independence and learning how to prioritize, how to budget

their spending money, the importance of a work ethic, and how to use human and academic

resources. Participant S18 confirmed this:

And another thing about Upward Bound, it teaches you to network, learning how to use

human resources, academic resources…just knowing Dr. S and Mr. K., and because we

know Ms. R., we know the people that you know and you know, the art of networking. It

has really been helpful because you have so many friends and with your longevity here

on campus, you know so many people, you establish so many good relationships. They

benefit students in a lot of ways. I have been able to pass that information along. The

campus career director was (became) a mentor of mine, always encouraging me in my

study abroad.

One of the participants did not enjoy the summer program, but believed that it kept him

out of trouble and allowed him to focus on important aspects of his life. Participant S8 said:

I felt like the summer program kept me out of trouble because in the summertime, you

just tend to lose focus because you are out of high school, or during school, you just get

in trouble… so it kept me out of trouble a little bit and kept me focused on other things I

need to be focused on (S8).

Another student believed that the summer programs were not bad at all, although he was

apprehensive about the program initially. Participant S24 stated that once his friends joined the

program, he could make the best of his summers:

First, I was iffy about it, but once I did it and once you get your friends in the summer

program…it’s not bad at all once you get some friends in the program… summers ain’t


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bad at all. You can make the best out your summers. Plus you get to go home, too.

Home on the week-ends, so…

Some students in the Pre-Bridge program (students who will enter the ninth through 12th

grades in the fall) became homesick while living on campus, although they were required to

return home during the weekends. Others did not like some of the Pre-Bridge classes and the

program rules, regulations, and restrictions. However, once in the Bridge program (high school

graduates who will enter college in the fall), students functioned as regular college students,

taking regular college classes (three to six credit hours). They reported feeling like adults during

this time because of the emphasis placed on independence, which meant they were allowed to

enjoy the freedoms experienced by other college students.

Participants claimed TRIO Upward Bound participation helped them to interact

professionally with other students and adults from different parts of the city and from all

backgrounds. This knowledge, according to the participants, is acquired by being in the

dormitory with peers, walking around campus, and talking with college students and adults.

Participant S20 said:

My Bridge year prepared me for the dorm situation in college because it was exactly like

it (dormitory life) once I went to college. Socially, it prepared me how to deal with

problems, with roommates, and what I have to expect. There’s more than one person

living in that same enclosed area. Just stuff like that.

The participants emphasized that living in the dormitory with peers and college students

from different backgrounds prepares and helps students to learn how to get along with and

tolerate other people, creating a brotherhood and preparing students for life. It helps students to

develop a better sense of their surroundings, to understand that there has to be a balance between


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academics and social activities, and helps them to find common interests with other people and

to be open to other life styles. Living on campus in the dormitory takes students out of their

comfort zone, especially in the Bridge program. It gives students an early, first-hand look at

college while on campus and prepares student for the eventual transition from home to the

college campus. Participant S8 shared:

‘Cause it made me grow up as a person. Being a teenager, it made me grow up to be an

adult and how to be professional around adult people due to being in the dormitory,

walking around the campus when we had free time, talking to college students. This

helps you to grow up socially in terms of college.

TRIO Upward Bound also promotes the development of skills in the areas of leadership,

problem-solving, time management skills, and networking, which encourages students to go to

college and take responsibility for their personal business and lives. Participant S1 attests to this:

It helped me in terms of interacting with people. We would get in trouble if we do

something bad, so they tell us don’t do that. You gotta go to class. Don’t be trying to

skip with your friends. Just because they are skipping, you don’t want to skip and miss

out on this class. Or in college, if you don’t go to class, you’re going to fail and you still

going have to pay for the class. So it was like telling us like you gotta be on your own.

You have to be the leader, not the follower and do what you want to do, like don’t worry

about nobody else…trying to go with this other stuff. Make sure your own self is on

time. Make sure your business is done. It helped socially.

Finally, participant S18 acknowledged:

The Bridge summer program was probably the most critical. You’ll either get caught up

in all the drama, and you’ll get completely distracted, or you’ll stay the course. Bridge is


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where you find out what you’re made of. Was it all helpful…going through all of that?

Absolutely…going through it…the courses, actually living in the honor dormitories,

being responsible, following the rules of the Resident Advisor (RA).

One participant (S7) believed that her participation in Upward Bound somewhat prepared

her for college socially. In her own words, “socialization skills were taught, but I did not

participate enough to benefit from the training.” Two participants did not answer the question:

one by choice (S9) and one because she has not experienced college postsecondary training yet

(S22).

Even the students who did not participate in the Bridge Program understood its value.

One student, participant S16, attributed his decision not to participate to immaturity, but still

acknowledged the value of the program. He shared:

No, I didn’t participate in the Bridge Program. The reason was because of my mindset at

the time. I thought I was real immature at the time. I felt as if the Bridge Program

wouldn’t help me at the time. I was more focused on just having fun and not biting down

at the time. I looked at high school as if it was the end of education. You don’t have to go

to college, but if you have big dreams and aspirations you have to go to college.

He continued:

The Bridge Program was still important even if I didn’t attend it. It was still important

because I still came by (to see the other students), so it was still important to me. I

felt…like lame… what am I doing? I guess I had to find myself in a few years, but it still

meant a lot to me. For one, because my brother was in it (previously), so there was a lot

of regret (S16).


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College Awareness Class. The academic and social preparation of the participants was

enhanced by the College Awareness Class. During the senior year of high school, students

participate in College Awareness Class—a course that students are required to take to assist them

with the college process. Fourteen of the 24 former students who participated in TRIO Upward

Bound during their senior year of high school were enrolled in the College Awareness Class (six

of the eight students who participated in TRIO Upward Bound for over two years (S10, S11,

S13, S14, S15, S16) and all eight of the students who participated in the Bridge program).

College Awareness Class is a practical course that helps students to understand the college

essentials. Students discuss general college principles along with available college opportunities

and scholarships. Some students believe that it is the most important class offered by TRIO

Upward Bound.

The participants stated that College Awareness Class should be taken very seriously, and

students should be front and center when it is time for the class to start. Participant S4 said:

It was really important to me because like, even though I was actually in college [was a

high school/college dual enrollment student], it was a lot of things that I did not know. I

can’t name any thing... like, right off the bat per say, but I know that the stuff that I did

not know already, that’s what that class helped me to understand and to use in my

everyday life, and today.

In this course, students ask very good questions and get excellent answers to their concerns about

campus life, professors, professionalism, time management, freedom, preparation, and important

people on campus. They receive many college applications while in class and were also made

aware of fee waivers. They are able to see where other students’ heads lie and are with students


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who have the same goals. Students are able to see how dedicated everyone is in regards to

college. The instructor points them in the direction that they should go.

College Awareness Class was important because some high schools did not provide much

guidance to students regarding college. The class supplemented what students are learning in

high school about college. Participant S19 explained:

At the time, it was everything, because like I said, during high school we didn’t have

much guidance on going to college. High school was all about high school. We had a

career class, but it didn’t go into depth about going to college, filling out your FAFSA,

and college applications in time or whatever. The College Awareness class did

everything…it was information on just knowing everything basically about college…how

to get in…professionalism and how to talk to professors and everything. It was all

helpful.

SAT/ACT test and college application assistance. As participant S19 mentioned, in

addition to academic and social preparation for college, TRIO Upward Bound participants

received support with logistical matters like SAT/ACT testing and college application

completion. Sixteen of the participants regardless of program length and participation

remembered hearing about completing the SAT or ACT and college applications and receiving

assistance from TRIO Upward Bound.

Participant S2 described how he learned about the SAT and ACT tests through TRIO

Upward Bound:

I just know that when I was about to sign up for college, they said you have to

take your ACT. The applications were in the school office, and the college people

came to our school and gave us the college packet, and you had to give your


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transcript and scores. I first heard about the ACT and SAT when I was in Upward

Bound. By the time I needed to take it I didn’t need anybody to explain it to me

at that point in my life. Upward Bound talked about how to use [the test

preparation materials] and explained that you did not just need good grades, but

you need to understand the information because you’ll need to take this test. That

the thing that a lot of people didn’t know either… that you could get all of the

good grades you want, but you still have to take a standardized test. We heard it

from the advisors, the college students, and the teachers. We also had different

workshops.

Seven participants stated that they did not receive any assistance in completing the

SAT/ACT/ college applications from TRIO Upward Bound or through their high schools. They

completed the application by themselves. One participant from is not sure whether she received

assistance in completing the SAT/ACT/college applications from TRIO Upward Bound or from

her high school, but believes that she probably received assistance from TRIO Upward Bound.

SAT/ACT test and college application fee waivers. SAT and college application fee

waivers are provided to TRIO Upward Bound administrators on behalf of their students by The

College Board; ACT fee waivers are provided to the students by ACT, Inc. Each TRIO Upward

Bound student is eligible for two SAT and two ACT fee waivers to use for their 11th

and 12th

grade years, and unlimited college application fee waivers for the 12th

grade year. Students with

longer program participation (two or more years) and Bridge program participation for the most

part received the SAT, ACT, and college application fee waivers because they were in the

program during their 11th

and 12th

grades. One student (S4) participated less than a year, but was

in the 12th

grade during her participation.


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The 24 participants were asked how important SAT/ACT test and college application fee

waivers were to them. The 16 of the 24 participants who had received information regarding the

SAT/ACT and college applications from TRIO Upward Bound stated that the SAT/ACT test fee

and application waivers were very important to them.

Participants S11 and S15 reflected on how important it was to receive SAT/ACT and

college application fee waivers. S11 said:

Yeah, it was really important. I guess I didn’t even realize how expensive taking those

tests were ‘cause I didn’t have to pay for ‘em, but now that I think about it, I would have

had to pay $35 every time I took one of those tests. I would’ve been mad. I took both of

‘em at least twice. I did at least five. I was given application fee waivers from Upward

Bound and my high school. So between Upward Bound and my school, I got the

SAT/ACT and college application fee waivers. I was set.

S15 agreed, saying, “Yes, they were very important. A lot, because a lot of people didn’t have

the money to take them. It was extra money in our pockets.” Participant S24 explained this

reality of financial challenges mentioned by S15:

Getting the fee waivers were very important cause my mama…I won’t say she didn’t

have the money for that, she woulda gave me money for that, but it was like a burden on

my mama’s shoulders, so instead of paying all this money, this program [TRIO Upward

Bound] assisted me with the opportunity to go to college, so it was a good thing…very

important cause half the time, some of these [application fees] were expensive. Like, you

keep adding ‘em up, each application you send out, ‘cause you know you want to send

out various applications...like that’s gonna add up to like a hundred and something dollars

you might not have, so fee waivers come in handy.


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Financial aid. When asked if they applied for postsecondary financial aid, and if their

participation in TRIO Upward Bound provided them with assistance in applying for financial

aid, 16 of the 24 former TRIO Upward Bound students stated that they applied for postsecondary

financial aid and TRIO Upward Bound definitely helped them to apply. One of the participants

stated that, although she did not apply for financial aid because she did not graduate from high

school, TRIO Upward Bound still taught her how to apply.

Sixteen participants believe that TRIO Upward Bound definitely helped them to apply for

financial aid. Several described their experiences:

Yes. Actually I feel like, if it had not been for Upward Bound, I would have not gotten

the nice financial aid package that I did receive. An Upward Bound staff member

actually helped me to get a lot of my financial aid and all the resources, the financial

resources that was needed. I felt like if it had not been for that staff member, I wouldn’t

have probably gotten it, so I appreciate that (S4).

Yes. My participation in Upward Bound provided me with assistance in applying for

financial aid. We went over a lot of information about the process…applying, the

deadlines and stuff like that…what we needed to do to complete the application. I felt

like I was pretty much an expert when it came to the FAFSA after being in UB. I could

answer questions that my friends had, that they didn’t even know that I knew. It was

definitely because of UB (S11).

Yes. Mrs. G.’s college awareness class that she had for the seniors definitely helped me

in terms of filling out the FASFA and also any type of college offers, Mrs. G. and Mr. K.

were always making me aware of that. They also brought out the representative of the


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College of Nursing, Ms. L., who Mrs. G. had introduced me to…that’s who helped me,

and I ended up getting a full ride (S23).

Four of the eight participants who participated in the program for less than two years or

with lower participation level stated that they do not believe that TRIO Upward Bound

participation assisted them with financial aid. One student attended a State-Tested Nursing

Assistant vocational program (STNA) and did not apply for financial aid because the program

did not accept traditional financial aid. Participant S7 said: “No, I did not have financial aid for

nursing assistant training program. I paid cash for it ($400-$500). My participation in Upward

Bound did not provide me with assistance in applying for financial aid.” Two other students

who with higher participation length and level stated that TRIO Upward Bound did not help

them to apply for financial aid because their mothers worked at the university, and therefore,

they were eligible for tuition remission. One (S21) used tuition remission and cash only, and the

other (S18) used tuition remission along with other sources of aid:

No, I don’t think so. I didn’t need much assistance just to do the FAFSA and with my

mom working here, it was a pretty straight forward process. I don’t remember any

assistance with the FAFSA from Upward Bound. I think my parents helped me with that.

My mother worked at the university, and therefore, I received tuition remission (S18).

Regarding specific assistance in completing the Free Application for Federal Student Aid

(FAFSA), understanding the financial aid award letter, applying for scholarships, etc., 11 of the

24 former TRIO Upward Bound students reported that they received financial aid assistance

primarily from TRIO Upward Bound and TRIO Student Support Services staff. Four

participants who received financial aid assistance primarily from TRIO Upward Bound and


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TRIO Student Support Services provided detailed responses. Participant S1 acknowledged the

help received from a tutor advisor:

I received help from J.H. We would go to our study areas and she would teach us how to

fill them out. Or, if we needed help with anything, she would help us. Or, we would go

to another teacher’s section. I don’t remember her name, but she would help us. Both

helped us mainly to complete the FAFSA. They talked about financial aid award letters

and scholarships just a little bit.

Participant S19 noted the help received from the College Awareness Class:

Yes, specifically Upward Bound, with the College Awareness Class…and basically going

line by line understanding what each line is saying about the financial aid package and

just trying to get the most out of it.. It was most beneficial. I just remember the deadlines

and making sure you have everything in on time and everything…doing these classes and

everything…I think that was the most that stuck in my head about it, at least.

Finally, participants S15 and S23 recognized TRIO Upward Bound as the source of their

support:

Yeah…Almost every Saturday I received information from Upward Bound about grants

and scholarships you could apply for. I didn’t know that there was so much out there you

could apply for, even with your low g.p.a (grade point average) (S15).

I would say just from the Upward Bound program. That was it, because the school…I

mean they helped us in terms of like, if there were scholarships available but they never

really sat down with us and went over the FAFSA, so I learned everything at Upward

Bound (S23).


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Three former TRIO Upward Bound students received financial aid assistance from

multiple sources. Participant S22 explained support from multiple sources:

A university student who was actually a mentor of our robotics competition helped with

the FAFSA. Upward Bound helped me to understand my first financial award letter and

UB really gave me a lot of scholarships to apply for. I did a lot of that. I had a lot of help

applying for scholarships. Upward Bound gave me a nice little packet. Upward Bound

gave us way more help than the school did in applying for scholarships. I don’t even

think they had us applying for scholarships. No, they didn’t. They didn’t (S22).

Seven former TRIO Upward Bound students reported that they did not receive financial

aid from anyone, but they also did not attend traditional postsecondary training. One of the

participants went to the Army directly after high school and received military educational

benefits after he left the Army: “No. I went to the Army after high school. I received military

educational benefits after I left the Army, so applying for federal and state financial aid was not

necessary (S14).” Another participant, S12, did not attend formal postsecondary education and,

therefore, did not receive financial aid. She participated in a management on-the-job training

program, which was sponsored by her employer.

Types of financial aid received. Seventeen of the 24 TRIO Upward Bound had multiple

sources of postsecondary training aid as a part of their financial aid packages.

Two participants (S15 and S16) attended vocational training for automotive training and

broadcasting respectively and received parent and student subsidized /unsubsidized federal loans

only, since they were not considered low income and Pell-eligible. S16 discussed his

postsecondary financial aid in detail:


123

Yes, I think I have a Stafford Loan and a Great Lakes loan. It is two different loans.

Because of my age, my parents would have to take out a loan for me and I could get a

smaller loan that I would have to pay back six months after I graduate. Mine was kind of

cheaper.

One participant (S14) received a medical discharge from the Army and was eligible for

military educational benefits through the 911 GI Bill, which was available to veterans starting in

August 2009. It covered tuition and books, and provided an allowance that was not required to

be repaid.

Four students with various program participation lengths and levels did not apply for

financial aid: one student (S21) received tuition remission only and did not apply for financial

aid; another (S7) paid $400-$500 in cash for a two-week, state-tested nursing assistant training

program (STNA); a third (S12) participated in an on-the-job training program only after high

school graduation and did not apply for postsecondary financial aid; and a fourth student (S1) did

not graduate from high school due to not passing the state graduation test, and therefore, has not

applied for postsecondary financial aid.

Two of the 17 former TRIO Upward Bound students who received multiple sources of

aid discussed their financial aid packages in detail:

I received $5,000 a semester from a state tuition lottery scholarship. I also received a Pell

grant and loans subsidized and unsubsidized. My room and board was provided by

student government due to holding president and vice president offices (S2).

I received a full Pell Grant, loans, and an Engineering scholarship (S3).”


124

When I stayed on campus, I got $22,000 my first two years. That covered my entire cost

at State U1. My sophomore year I had to take out loans. My mom got a Parent Plus loan.

Then I moved off campus this year and I’m receiving about $5,000. This year I have a

Parent Plus loan as well. Probably next year I’ll take out a loan on my own. My

scholarships--I’m still receiving…yes, I received them also for the 2nd and 3rd year. I

also got outside scholarships from home. I got the Pell Grant and the Ohio Instructional

Grant. I also received a freshman scholarship, the FSG, which I believe stands for

Freshmen First-Generation Students (S11).

Two students attended vocational school for auto mechanics and broadcasting and

received subsidized and unsubsidized loans only.

Another participant, S21, did not apply for financial aid, but paid for college with his

mother’s tuition remission benefit and money saved from part-time employment:

I didn’t know if I was going to leave the state or not. Once I found out that I was going

to stay home, then obviously I didn’t need financial aid. My mom was working there,

and I was just working and paying the taxes, books, and the general costs.

According to RTI, participants were more likely to apply for financial aid. Although the

probability of receiving aid do not differ from non-participants, aid packages for TRIO Upward

Bound participants were more likely to include large grants. The MPR evaluation reported that

TRIO Upward Bound participation had no detectable effect on the likelihood of applying for

financial aid or the likelihood of receiving a Pell Grant. However, this study shows that with

financial aid assistance from TRIO Upward Bound, TRIO Student Support Services, high school

staff, and parents, 66% of TRIO Upward Bound students, regardless of program participation

1 Pseudonym.


125

length and level, have successfully obtained multiple sources of postsecondary training aid as a

part of their financial aid packages (U.S. Department of Education, 2009a; Seftor et. al., 2009).

Employment assistance. Another logistical issue for TRIO Upward Bound students is

obtaining employment. Fourteen participants, regardless of program participation length and

level, stated that they received assistance from TRIO Upward Bound with job placement, job

readiness skills and counseling, resume preparation, work history development, networking, and

employment references. One participant, S16, stated that he was hired as a result of TRIO

Upward Bound program participation.

Three students shared their thoughts about the employment assistance received by TRIO

Upward Bound. S1 described the value of resume assistance:

Upward Bound helped me to complete a resume. I really used it when I applied at

Krogers. I printed it out and took it to the lady at Krogers and she was like, ‘I didn’t

have this in years…you’re the first person who ever brought me a resume’. I thought I

was supposed to. Because that’s what you want to do…you’re supposed to tell them that

you really looking for this job...tell them about your background. They ain’t gonna know

too much about your background, so they’ll really want to know. The lady was

impressed. The resume was important in helping me to get the job.

Participant S15 acknowledged the program’s assistance with interview skills development:

Yes, because you go on mock interviews…it really helped. A lot of the time, the places

that I try for a job, they say that I was one of the best they had in a while. Most people

say that I did a good job. It’s pretty much trying to sell yourself to get that job that you

want. That’s what you have to do to make it to the next step.


126

Requiring the resumes for Upward Bound students during the summer program was

significant because I used my resume to get jobs when I was out of state for automotive

vocational training. I was hired at Hallmark while I was in school and I refined my

resumes. It was the basis for my getting the job I have now and jobs I’ve had in the past.

Finally, participant S18 noted the impact of learning responsibility and time management as a

TRIO Upward Bound student on her ability to gain employment. She shared:

I did receive assistance from Upward Bound in gaining employment. I was in the YYY

summer youth employment program. That’s how I got the job with the athletic

department. I was there for three summers…three or four summers. I worked mostly in

the office. I helped the athletes file papers, make copies, and you know, clerical

duties…yeah…tutoring services that they needed, ordering supplies and stuff for them. I

met the coaches, the athletic director. It was a really cool experience. It’s something the

average high school student wouldn’t get a chance to do. They don’t know what it’s like

to have that much responsibility…And I learned another important lesson. I remember

one day I decided I wasn’t gonna show up for work, I was gonna sleep in. And Ms. M

said, ‘In the real world, they’ll fire you.’ I thank Ms. M. for that correction because I

thought it was all right because I had worked four days, so I could miss one. Yeah…to

have people to care enough to pick up the phone and train you and correct you when

you’ve made a mistake…You know, it’s a privilege.

Other pre-college program preparation. Twelve of the 24 former TRIO Upward

Bound students, of various program participation lengths and levels, indicated that they

participated in other pre-college programs similar to TRIO Upward Bound. The sponsors

provided a variety of pre-college services to students at area high schools, universities, local


127

industries, and community agencies.

Four former TRIO Upward Bound participants described their participation in other pre-

college programs. Participant S2 noted participating in another program was the outcome of

TRIO Upward Bound being unavailable:

When I moved out of town, I tried to find out about Upward Bound. They had Upward

Bound, but for some reason, I couldn’t get into it. I wasn’t happy about that because I

wanted to be a part of it. I went to the Black programs at N State. They had invited me

for a couple of workshops when I was in high school to come and take a tour of the

university, and they had a thing (program) they facilitated for the weekend. I went to that

and it was nice because they had college students who were actually doing it.

Other participants described alternative programs:

I participated in the BESS program, which was through one of the utility companies. It

was over the summer I think it was…into ninth grade and…that was it. The other

programs I participated in was during the school year, kinda like an after school class,

after school program. Also, N-Squared SB and NSAAE (math and science programs)

(S17).

I was in the T Scholarship Foundation, but we really didn’t do activities or anything. It

was just a benefit for us if we keep our grades up, they would give us a stipend. I believe

twice a quarter something like $40 or $50…and also a scholarship after high

school…about $1000, I believe. I also had a mentor in high school through the CY

Youth Program (S19).

I was in the SU Math program that was associated with one of the nearby universities. I

participated one summer. I also participated in a program where I built the robots. That


128

was a part of my high school. It was in the mathematics, science and engineering

program. We held the competition at the university one year. I was the electrical leader

of the robot. I taught it to move, identify colors, talk, pick up boxes and

bottles…programmed the whole…put the whole electrical engineering together for the

robot to do all of that. And I was real good at it. I was really interested. It was fun for

me. I wanted to do bio-medical as a result. But the program was cancelled due to

funding (S22).

The 12 participants who participated in pre-college program activities other than were asked

about the differences between the services received by and the other pre-college programs.

Table 16 compares the pre-college services provided by TRIO Upward Bound in comparison to

other pre-college programs:

Table 16:

Pre-College Services Provided by TRIO Upward Bound and Other Pre-College Programs


TRIO

Upward Bound

Other Pre-College Programs

College Tours √ √

On-Campus Experiences √ √

Bridge Programs √ √

Community Service Opportunities √ √

Networking /Mentoring Opportunities √ √

Leadership Conferences and Seminars √ √

Financial Literary √ √

Foreign Language Classes √ √

Stipends for Academic Achievement

and Participation

√ √

Postsecondary Option Courses for

Credit While in High School

√ √

On-Campus Academic Classes—

College Credit/Non-Credit

√ √


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Table 16 (continued):

Pre-College Services Provided by TRIO Upward Bound and Other Pre-College Programs


TRIO

Upward Bound

Other Pre-College Programs

Pre-College Seminar Classes /

Workshops

√ √

College Application and Financial Aid

Assistance

√ √

Technology-Related Programming

(Hands-On Robotic / Computer/

Electronics Activities)

√ √

Overnight Dormitory / College

Visitations

√ √

Cultural Enrichment / Ethnic Pride-

Based Programs

√ √

Presentation / Public Speaking

Opportunities

√ √

Study Abroad / International Study

Opportunities

√

Entrepreneurial Opportunities √

Scholarships (large) √

Teen Councils √

TRIO Upward Bound does not provide services in the areas of study abroad /international study,

entrepreneurial experiences, large scholarships, or teen councils.

According to the 12 participants, in comparison to other pre-college programs, TRIO

Upward Bound alone is more comprehensive than the other individual pre-college programs

because of the number of services provided and because it is an all year around program,

meeting every week or several times a month throughout the students’ high school careers. As a

result of this comprehensive experience, students are not intimidated by the college campus once

they arrive because they have been on campus for several years.


130

The students state that there are, in fact, slight differences between the services received

in TRIO Upward Bound and the other pre-college programs. Although all of the programs have

the same goal as TRIO Upward Bound—to help high school students enter and graduate from

college, the goal is approached in different ways.

According to the participants, there were different levels of cost, commitment,

responsibility, independence, disciplinary practices, and program structure for TRIO Upward

Bound and other Bridge programs. Some Bridge programs cost money, were more structured

with a military style of discipline, and provided students with less independence. There were no

decision-making opportunities for the students; students did what they were told, or they were

dismissed from the program. Parents had to sign students in and out to take them off campus, and

students were not allowed to participate in other programs or work.

In contrast, the TRIO Upward Bound Bridge Program is free and provides students with

an actual presentation of college and a realistic college schedule and atmosphere. Students made

their own day-to-day decisions about what they did, and the consequences for what they did were

based upon the decisions that they made. If students did not do their homework, they faced the

consequences for not doing it. Students are allowed to work and participate in activities on and

off campus.

Here are the responses of three participants who participated in Bridge programs other

than the TRIO Upward Bound Bridge Program:

The B University College of Engineering Program and the Upward Bound program both

have summer Bridge, but the difference is that with Upward Bound, you make your own

schedule. I think you get two classes, six credit hours, make your own classes and you

make your own schedule. You determine when you get up, when you don’t get up. With


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the Engineering program, your schedule is already made for you the day you walk into

orientation (S4).

The Upward Bound Program… you didn’t have to pay to be in it. You were an Upward

Bound student and you could do the summer Bridge and you did it. With the

Engineering program, you pay like $175, $150…I think it covered the cost of your field

trips that you’ve taken. But we got books in the Engineering program. We also received

scholarships for those that were eligible. We got a nice group of people we could

network with in corporate world or corporate offices. And they really prepared us for our

first year. We got one English credit, but that’s about it. But that didn’t help me too

much because I had already had my English credit. But other than that, I would say that

was the difference between the two. Oh, and the biggest thing is, the Engineering

program, like I said, is military style. You get up at the crack of dawn and you are back

in your room no later than 10 o’clock. So your day started at eight and by ten o’clock,

you better be back in your room (S4).

I didn’t participate with Upward Bound (Bridge) last year, but in talking with some of the

Bridge students, with Upward Bound Bridge Program, you basically live as an actual

college student. I think it was good that the B University College of Engineering

Program was ran like military style, but it gives you like a false representation of what

it’s like to be a college student. Upward Bound Bridge program gives you the

actual…like, you do your homework, or you don’t do it, and the consequences are based

upon yourself. With the Engineering program, there was no decision-making. The

decision was already made for you. And if you did not abide by the rules, you were

kicked out of the program. It was that simple (S4).


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We just enrolled in one college class. It was like, we went in, took our class and left.

There wasn’t any other type of education tool. They didn’t tell us anything other than

what was in the class. We just kinda rolled with the punches (S20).”

Upward Bound…we had more freedom, I’d say (S24 participated in two Bridge

programs, three and one-half weeks each). The SP program (a pre-college residential

summer program for upcoming college freshmen)…we had, like, lock down at a certain

time…a curfew. We had a certain time for free time and a certain time for study. It was

more of a schedule-based type of thing. It was a little bit more stricter than Pre-Bridge as

well, too. We had like…at a certain time…we had something scheduled. At this certain

time, we had to do this, at this certain time, we had to do that. At this certain time, we

had to be here. It was just more of an ongoing schedule. It didn’t matter; they want you

inside this room. Most people didn’t do that, but…hey…those kids did whatever they

wanted to do…going out getting tattoos. They come back with a fresh new tattoo on, like

it wasn’t nothing. ‘I went up to the tattoo shop up there’. They was kicking people out

left and right in the SP program…and some of the staff (S24).

Postsecondary enrollment. According to High School and Beyond (HSB) data, TRIO

Upward Bound participants are more likely to enter postsecondary education than non-

participants. Most participants in this study graduated from high school and attended a variety of

postsecondary institutional, vocational, and on-the-job training programs directly after high

school graduation. Appendix F describes the postsecondary enrollment of the study population.

Table 17 summarizes the postsecondary enrollment and credentials received by the sample:


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Table 17:

Postsecondary Enrollment (PSE) and Credentials Received By 24 Students in Sample

High School Graduation Enrollment Type Credential Received #

Yes College/University Bachelor Degree 6

Yes College/University Associate Degree 2

Yes College/University None 7

Yes Coll./Univ. (deferred) None 1

Yes Vocational Training Certificate/Diploma 6

Yes On-The-Job Training Certificate 1

No None None 1

Of the 24 participants in the sample, only one (S1) did not graduate from high school or

enroll in a postsecondary education program (PSE); another (S22) deferred college PSE until the

second term after high school graduation (Spring semester). Fifteen of the 22 PSE students

enrolled in the fall term immediately following high school graduation.

According to the results of the High School and Beyond (HSB), the Research Triangle

Institute (RTI) national report, and the Mathematica Policy Research, Inc. (MPR) national TRIO

Upward Bound evaluation note that TRIO Upward Bound participants are more likely to enter

postsecondary education than non-participants. This study’s participants (20) were indeed more

likely to enter college postsecondary education (83.3%). Twenty-three study participants

(95.8%) entered college, vocational, and on-the-job training postsecondary education.


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College and postsecondary training program selection. The 23 former TRIO Upward

Bound students who participated in postsecondary education selected their college and

postsecondary training programs based on the reasons listed in Table 18.

Table 18:

College and Postsecondary Training Program Selection

Reasons for Selection

Proximity from home and convenience

Familiarity with the college faculty

Familiarity with the campus Ability to accommodate work schedule

Cost of college and living expenses Tuition Remission availability

Size of college Quality of college cafeteria food

Quality of major or program Study abroad opportunities

Basic skills training program available Quality of science labs and programs

Ability or desire to refresh academic skills High passage of licensing exams

Desire to attend the same college as significant

others or friends

Employment and higher salary for program

graduates

Received scholarship(s)

Twenty-two of the 24 students graduated from high school on time and 15 enrolled in

college the fall term after high school graduation. Eight are still in school or are planning to re-

enroll to complete a Bachelor degree. Three students described how they selected their

postsecondary training programs:

I selected a large for-profit college because I wanted a job where I would be full time, but

also wanted to attend college, but so much that it would not impede on me to be able to

work and achieve my goals, making it up in positions or what have you. I attended every

Monday from 6-10 PM. I will graduate on time. It’s so accelerated that you will graduate


135

in the 4-year time frame. I am carrying 20+ hours. I am considered to be a full-time

student and will end up with a Bachelor Degree in 4 years (S14).

After high school, just being on this campus through Upward Bound for five years, I

always thought that this would be the place to go. I was here, but I always wanted to

eventually leave this campus and graduate from this campus, so I knew about the

programs and the credibility of the school already had. So, I knew it would be a good fit

straight from high school. When I was inquiring about going back to college, I wanted to

come back to the same university, so I applied again, but my grade point average wasn’t

significant to get back accepted again. So, I went to the local community college. At the

community college, talked to the people, found it to be cheaper, classes much smaller,

and I was recommended that it would probably be a better fit than a bigger university like

this campus (S19).

To be honest with you, it was more of a financial thing. You know, my dad was telling

me…I had accepted to go to school in another part of the state, but it came down to

finances, period. My dad was like, ‘Do you want to get these loans or do you want to

stay here at this university, which my mother had a job there right after my high school

graduation. It was kind of right on time where, you know, she was able to compensate

for my finances. I was able to go to school for very little to nothing because she had a

tuition remission (S21).

Postsecondary institution type. Conflicting conclusions were reached by Research

Triangle Institute (RTI) and Mathematical Policy Research (MPR) regarding type and selectivity

of postsecondary institutions attended by former TRIO Upward Bound participants. According

to RTI, students who enroll in college were more likely to attend a four-year institution than non-


136

participants. They were also more likely to attend colleges with high minority enrollment and

that hosted a TRIO Upward Bound or TRIO Student Support Services project. MPR determined

that TRIO Upward Bound participation had no detectable effect on the rate of overall type or

selectivity of postsecondary institution attended for the average eligible student (Archieve, 2009;

Seftor, et. al, 2009).

In 2010, the Carnegie Foundation for the Advancement of Teaching classified 4635

colleges and universities located in the United States into 33 classification categories (college

types) for the purpose of research and policy analysis. Appendix J lists the 72 college and

university institutions attended by 363 former TRIO Upward Bound students. It also indicates

the 12 college /university institutions attended by 21 sample participants. The 12 college

/university institutions for the 21 participant sample are classified in six Carnegie Foundation

categories and are summarized in Table 19 (“Carnegie,” 2012).

Table 19:

Six Carnegie Foundation Categories Comprised of the 12 Colleges/Universities Attended by 21

Sample Participants

Category # of Colleges # in Sample and %

Large Public Research Universities with Very

High Activities

3

8 (38%)

Medium to Large Public/Private Research

Universities with High Activities

3 3 (14%)

Small to Large Doctoral and Masters

Public/Private/For-Profit Universities

3 3 (14%)

Very Small to Medium, Arts & Science,

Private/Non-Profit Baccalaureate College

1 1 ( 5%)

Special Focus, Private Non- and For-Profit

Institution

1 2 (10%)

Very Small to Very Large, Public/Private/Rural

/Suburban, Public/Private For-Profit Associate /

Community College

1 4 (19%)


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Appendix K lists four college and university institutions classified in three Carnegie Foundation

categories, attended by the six Bachelor Degree Recipients (BDRs) in the study. These

categories are summarized in Table 20 (“Carnegie,” 2012).

Table 20:

Three Carnegie Foundation Categories Comprised of the Four Colleges/Universities Attended

by Six Bachelor Degree Recipients (BDRs) in Study Sample

Category # of Colleges # of BDRs in Sample and %

Large Public Research Universities with Very

High Activities

1

3 (50%)

Medium to Large Public and Private Research

Universities with High Activities (includes one

Historically Black University)

1 1 (16.7%)

Small to Large Doctoral and Masters

Public/Private/For-Profit Universities

1 1 (16.7%)

Very Small to Medium, Arts & Science, Private

/Non-Profit Baccalaureate College

1 1 (16.7%)

Eighty-one percent of the TRIO Upward Bound students in the sample and 100% of the

six Bachelor Degree Recipients (BDRs) who enrolled in college matriculated in four-year

postsecondary institutions. Eighty-three percent of the four-year postsecondary institutions

attended by the 21 college enrollees and 100% of the four-year postsecondary institutions

attended by the BDRs hosted a TRIO Upward Bound or TRIO Student Support Services project.

The two institutions that did not host TRIO Upward Bound or TRIO Student Support Services

programs were for-profit universities and, therefore, ineligible for TRIO funding. This affirms

the Research Triangle Institute’s (RTI) conclusion that students who enroll in college were more

likely to attend a four-year institution that hosted a TRIO Upward Bound or TRIO Student


138

Support Services project than non-participants, especially the Bachelor Degree Recipients

(BDRs).

RTI results also indicated that TRIO Upward Bound students are more likely to attend

colleges with high minority enrollments. Appendices E, H, I and Table 21 indicate the number

of students in the study population, sample, and BDRs who attended Historically Black Colleges

and Universities and community colleges, institutional types that are known to have high

minority enrollments:

Table 21:

TRIO Upward Bound Student Enrollment in College Postsecondary Education

Enrollment Population (408)

Sample (24) BDRs (90)

*71

Institutions

**365

Students

Enrolled

12

Institutions

***21

Students

Enrolled

33

Institutions

90

Students

Enrolled

Historically

Black Colleges

and Universities

15

53

1

1

13

26

Community

Colleges

10 98 1 4 0 0

Other Colleges

and Universities

46 214 10 16 20 64

*1 of the 72 training programs attended by the population was a 2-week State-Tested Nurse

Assistant vocational program (STNA).

**43 of the 408 students in the population did not enroll in college postsecondary education.

***3 of the 24 students in the sample did not enroll in college postsecondary education.

41.4% of the study population and 23.8% of the sample attended Historically Black Colleges and

Universities or community colleges. 28.9% of BDRs attended Historically Black Colleges.


139

None of the BDRs attended a community college. Thus it seems TRIO Upward Bound students

were no more likely to attend colleges with high minority enrollments (Historically Black

Colleges and Universities and community colleges) than non-participants, which contradicts

RTI’s conclusion about TRIO Upward Bound students attending colleges with high minority

enrollments .

Appendix L illustrates the national higher education enrollment percentage rates by race

of students and type of institution. Appendix M compares these national rates to the study

population, the population Bachelor’s Degree Recipients (BDRs), the sample, and the sample

BDRs. Table 22 provides a summary of these national college enrollment percentage rates

versus the study sample and sample BDRs (“Enrollment,” 2011).

Table 22:

National Higher Education Enrollment Percentage Rates by Race of Students and Type of

Institution. vs. the Study Sample and Sample Bachelor Degree Recipients (BDRs)

Category All White Black *Sample *BDRs

Public and Private Doctoral Institutions

(Classifications: Research/Doctoral Research

Universities and Master Institutions)

25%

26%

16%

66.7%

83.3%

Public and Private 4-year Bachelor

Institutions (Classification: Baccalaureate and

Special Focus Colleges)

38% 39% 43.8% 14.3 16.7%

Public and for-Profit 2-year Institutions

(Classification: Associate Colleges)

37% 34% 40% 19% 0%

All of the former students in the study sample and sample BDRs are Black.

*Study Sample = 21 Former Students

*Bachelor Degree Recipients (BDRs) From Sample = 6 Former Students

The results of this study contradicted the Mathematical Policy Research (MPR) study,

which concluded that participation in TRIO Upward Bound had no detectable effect on the rate


140

of overall type of postsecondary institution attended for the average eligible student. This study

found that the students who participated in TRIO Upward Bound and enrolled in college were

more than twice as likely than all students and white students to attend public and private

doctoral institution-types (Classifications: Research/Doctoral Research Universities and Master

Institutions) and three times as likely than all black students to attend these universities. The

likelihood of attending these universities increases to three times and four times as likely

respectively for BDRs.

The reverse is apparent for public and private 4-year Bachelor institution-types

(classification: Baccalaureate and Special Focus Colleges) and for open enrollment public/for-

profit 2-year institution-types (classification: Associate Colleges). Sample participants who

enrolled in college postsecondary training and the sample BDRs were approximately two to three

times less likely than other students, in general, and white and black students, in particular, to

attend these college types. The data further indicates that BDRs tend to bypass two-year colleges

when enrolling in college postsecondary institutions after high school graduation.

Mathematical Policy Research (MPR) results determined that TRIO Upward Bound

participation had no detectable effect on the rate of overall type of postsecondary institution

attended for the average eligible student. However, this conclusion has been contradicted by the

results of this study. Accordingly, TRIO Upward Bound students who enroll in college are more

than two to three times more likely to attend doctoral degree institution types than the average

student. They also are two to three times less likely to attend four-year college institution types

and two-year college institution types than the average student.

College admission selectivity. The 1999-2010 Annual Performance Report (APR) of the

TRIO Upward Bound program was also examined to determine the admissions selectivity/


141

competitiveness of the colleges attended by the study population, sample, and Bachelor Degree

Recipients (BDRs), which has been outlined in Appendix H. According to Barron’s Profiles of

American Colleges (2016), colleges have the following ten levels of admission

selectivity/competitiveness (Appendix G): Most Competitive; Highly Competitive+; Highly

Competitive; Very Competitive+; Very Competitive; Competitive+; Competitive; Less

Competitive; Special Arts College; and Non-Competitive (Barron’s Profiles, 2016).

Table 23 summarizes Appendix H and Appendix I. It indicates the

selectivity/competitiveness of the 13 college/university/vocational institutions attended by 22 of

the 24 sample participants and the four college/university institutions attended by the six

Bachelor Degree Recipients (BDRs) (Barron’s Profiles, 2016; Enrollment, 2011; U.S. News,

2016).

Table 23:

College Admissions Selectivity of 13 Institutions Attended by All Students vs. 22 Sample

Participants and Six Sample Bachelor Degree Recipients (BDRs)

Category All

Students

Nationally

# of Colleges

in Sample

(13)

# in

Sample

(22)

#of

Colleges

(BDRs)

# of BDRs

1—Most Competitive

˄

0

0

0

0

2—Highly Competitive+ 1 1 (4.5%) 0 0

3—Highly Competitive 0 0 0 0

4—Very Competitive+ 0 0 0 0

5—Very Competitive 63% 1 6 (27.3%) 1 3 (50.0%)

6—Competitive+ 0 0 0 0

7—Competitive 6 6 (27.3%) 2 2 (33.3%)

8—Less Competitive 1 1 (4.5%) 1 1 (16.7%)

9—Special Arts College ˅ 0 0 0 0

10—Non-Competitive

37% 4 8 (36.4%) 0 0


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According to the research results of Mathematical Policy Research (MPR) participation

had no detectable effect on the rate of overall selectivity of postsecondary institution attended for

the average eligible student (U.S. Department of Education, 2009; Seftor et. al, 2009). However,

in comparison to 63% of all students nationally who attend postsecondary training at the college

level, the former students in this study attended moderately and minimally selective/competitive

colleges at a slightly higher rate (63.6%). They also attended open enrollment/non-competitive

colleges at a slightly lower rate (36.4% vs. 37% nationally). The sample Bachelor’s Degree

Recipients (BDRs) attended selective/competitive colleges at a significantly higher rate (100%),

37% greater than the national rate (63%) and 36.4% greater than the overall sample rate (63.6%).

None of the sample BDR students attended special arts or open enrollment/non-competitive

colleges.

According to Table 23, TRIO Upward Bound students in the sample enrolled in

moderately and minimally selective/competitive colleges and universities at a 0.6% higher rate

than all students nationally. Therefore, TRIO Upward Bound participation had a very slight

effect on the rate of overall selectivity/competitiveness of postsecondary institutions attended for

the average eligible student. However, this study enhances the Mathematical Policy Research

(MPR) finding by demonstrating that TRIO Upward Bound students who attend at least

moderately and minimally selective/competitive colleges and universities are significantly more

likely to complete their Bachelor’s Degrees.

This study also supports Tinto’s findings regarding bachelor degree completion.

According to Tinto (2002), “the likelihood that individuals will complete a bachelor’s degree is

influenced by where in the higher education system they enter. The best path to the completion

of a bachelor’s degree is the direct one [through a four-year college]” (p. 2). Sixty-five percent


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of students who attend four-year institutions for a bachelor degree eventually earn the bachelor

degree, compared to 27% who start a two-year institution with the intent of transferring to a four-

year institution for a bachelor degree, Therefore, if a student starts their postsecondary career at

a four-year college or university instead of a two-year college or another type of institution, it is

estimated that he or she has a greater chance of finishing the bachelor degree. To improve their

chances in completing their bachelor degrees, TRIO Upward Bound students who aspire to

obtain bachelor degrees are well advised to enroll in at colleges with some level of

selectivity/competitive admissions as opposed to community college/for-profit open enrollment

colleges.

Postsecondary success. To investigate postsecondary success among TRIO Upward

Bound students, this study examined reasons for persistence at the institutional and major of

study levels, campus activity involvement, and postsecondary completion.

Institutional persistence. Of the 24 former TRIO Upward Bound students, 15 students

decided to stay with their original postsecondary program of choice and did not transfer to other

institutions/programs. The reasons mentioned for staying with their original postsecondary

program of choice are listed in Table 24.


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Table 24:

Persisting at the Original Institutions and Training Programs

Reasons for Persisting

Students liked their institutions and the

programs, professors, and classroom

atmosphere.

Students felt connected and supported by the

TRIO Upward Bound and TRIO Student

Support Services programs and faculty.

The instructors were helpful and

knowledgeable.

The institutions were conveniently located,

which were close to home and family.

Students received scholarships and tuition

remission, which resulted in practically free

educations.

Students were doing well in the program and

wanted to follow through and finish what they

started.

One student was doing research for one of her

professors.

Some students were active in campus

activities.

The programs were of quality and hands on. Many had friends at the institution.

Several of the 15 students explained in detail why they remained at their institutions.

Participant S3 noted the significance of Student Support Services, a TRIO program:

I stayed at my university because I felt pretty comfortable with the university way of life.

I stay really close to campus. I am cool with a lot of people. I had a really good

experience the first year. I really didn’t have a reason to leave. I am a member of

Student Support Services.

Participant S4 acknowledged the significance of the relationship with TRIO Upward Bound

faculty as part of the decision to remain enrolled:

I stayed at home because felt that being a high school student and enrolled in college was

a big step. I worked with peers that are not my age. I was on the university Dean’s List


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twice while in high school. Now that I’m here, it’s a big deal. So, I felt like, “Why not

stay here?” I was already doing well, so why go somewhere else where I know

absolutely nobody? I felt like I built a family with the Upward Bound faculty members,

so… there was a connection already here. Why leave that connection? That’s why I

stayed.

Finally, participant S18 shared:

Things were just going really well. I loved the major, loved the language

opportunities…the Arabic was starting. It was a new program. I was one of the first to

take it up and they were offering certificates in security studies and terrorism and

international human rights. And I got the International Human Rights certificate. Oh, I

forgot to mention, Model United Nations, which is a debate team where you represent

different countries around the world and you get to travel and debate with other schools.

I did one in Chicago, and I represented Israel that year and that was tough.

Persistence in major of study. In terms of postsecondary majors, 16 of the 24 former

TRIO Upward Bound students continued with their original majors in postsecondary training.

Below are several comments from 3 of the 16 participants about why they continued with their

original postsecondary majors:

I obtained an Associate Degree in Business Administration at a small, for-profit college,

then decided to major in Business Administration at a large, for-profit university. In the

future, I see myself as a business person, going to different types of companies and in

different types of organizations… at meetings, traveling state to state. I want to own my

own business (clothing or fashion), and I also want to own stocks and bonds (S8).


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I majored in Automotive Technician because that was my passion…automotive cars. I

selected this area because it was all they taught at the automotive vocational training

school. I am now majoring in Mechanical Engineering at the local state community

college. All of this was my original major. You could put them both together

(mechanical engineering and automotive technician) (S15).

I majored in Nursing. I selected Nursing because I like helping people, and I just like the

hands on work that the nurses do. I know of what the doctors do. They kind of come in a

room, and do a diagnosis. Nurses are a bit more hands on, but I just really have, I guess

you can say, a better appreciation for what the nurses do. I mean…they really do the

ground work, so I like to be hands on, and you know, really help the patient. So that’s

why I chose Nursing, so I can make a difference, and plus, I know I’d be able to grow. I

could, you know, become a nurse practitioner or a nurse anesthetist, and I knew I could

travel the United States or beyond and find a job in nursing, so it gave me more options.

Nursing was my original and only major (S23).

Campus activity involvement. Twelve of the 20 former TRIO Upward Bound students

enrolled in college postsecondary education participated in an average of one to three academic

and extracurricular activities. The activities are listed in Table 25:


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Table 25:

Campus Activities

Types of Activities

Group One Campus and dormitory student government

Black Student Union Council

peer advisor

College of Engineering Ambassadors

American Society of Mechanical Engineers

National Society of Black Engineers (2 participants)

Summer Engineering Bridge Program for African American Freshmen

National Fencing Team

Campus radio

University-sponsored six-week summer Bridge program prior to the

freshman year of college

Group Two Fraternity

University-sponsored four-week summer Bridge program prior to the

freshman year of college

Group Three Science major-related campus activities

Campus career services student organization

Students for Study Abroad

Study abroad office peer advisor

Uganda Invisible Children’s Program

Basketball and other campus recreation sports

Fraternity and fraternity-sponsored community service activities

Employer-sponsored volunteer work

College of Nursing student ambassador

young African American women’s campus club

-sponsored seven-week summer Bridge program prior to the freshman

year of college

Eight participants were enrolled in a college postsecondary education program, but did not

participate in any academic and extracurricular activities. Four participants did not enroll in

college postsecondary and therefore, did not participate in postsecondary extracurricular

activities.


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Seven of the 20 participants who attended college postsecondary education lived on

campus for one or more school years. One student joined approximately ten campus

organizations during his first three years on campus, completed a Bachelor Degree, and was

accepted to law school.

Postsecondary completion. Fifteen of the 24 former TRIO Upward Bound students in

the study graduated from postsecondary college educational programs or are in their last

semester of college. Table 26 summarizes their postsecondary training:

Table 26:

Postsecondary Education Graduates (15)

Group Type of Postsecondary Training Credential Received

One Vocational Certificate/*STNA

One Vocational Certificate/*STNA

One College/University (For-Profit) Associate Degree/Business

One College/University (Public) Bachelor Degree/Sociology

Two *OJT Certificate/Restaurant Management

Two Vocational Certificate/Auto Mechanics

Two Vocational Certificate/Medical Billing and Coding

Two Vocational Certificate/Broadcasting

Three Vocational Certificate/Welding

Three College/University (Public) 2 Associate Degrees /Accounting and Finance

Three College University (Private) Bachelor Degree/Chemistry

Three College University (Private) Bachelor Degree/Psychology

Three College/University (Public) Bachelor Degree/Business

Three College/University (Public) Bachelor Degree/Nursing

Three College/University (Public) Bachelor Degree/International Studies

*OJT = On-the-Job Training

*STNA = State-Tested Nurses Assistant


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Of the four Group Two students who graduated, one received a certificate in Auto

Mechanics and is currently enrolled in a state community college pursuing an Associate degree

in Mechanical Engineering.

In Group Three, one student received two Associate Degrees in the areas of Accounting

and Finance. His plans are to continue for a Bachelor Degree in one of these areas, but his

primarily concern now is to financially support his wife and three children by working.

Participant S19 explained:

Yes, I completed two Associate Degrees in two years (Accounting and Finance). It was

not really difficult …the Finance management and Accounting curriculum was kind of

the same. I think Accounting…it was maybe eight different classes that I didn’t have to

take to receive two of them, so I actually found it to be easier taking two majors together

‘cause they were sort of the same curriculum and everything. So, I didn’t have that many

extra classes to take to obtain another Associate Degree. I was full time at both the

university (attended previously) and community college.

Participant S24 completed a welding training program, discontinuing his state university

education. He worked as a welder, but is currently unemployed. He has no current plans to

return to the university to finish his degree. His primary concern is to find work to financially

support himself and his two children. He shared:

Yes, I graduated from the welding program. I didn’t graduate from College of Business.

You could say I dropped out of college…dropped out, left school. I considered the job I

had (welding) to be a profession, long term. Yeah, a profession, long term because we

had George Bush in office… It was a system, like an armory, and we made convoys for

the army, so basically it was a lot of army welding, a lot of metal and stuff. So you were


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thinking that the job was going to last. Yeah, it was booming. The job was booming, but

it didn’t last too long. I was there a good two years, two and a half years. They laid off a

lot. They laid off a few thousand (S24).

Finally, participant S23 commented:

Yes. I graduated with a Bachelor of Science in Nursing. I decided to complete the

program because… well, one of the reasons…I did have some…around my third year, I

did have some trouble, and I wasn’t smart and I didn’t know if I wanted to finish, or if I

wanted to keep going, but I told myself, you know, no matter what trials and tribulations

come my way, I was gonna complete the program. I was just always… always taught

when I was younger, you know, if you…if you start something, then just go ahead and

finish it and see it through then, and that’s what I did (S23).

Participation in TRIO Upward Bound and Citizenship Practices

Citizenship participation and practices such as voting, paying taxes, abiding by the law,

postponing parenthood, employment, military service, and community service were not

addressed by the TRIO Upward Bound national studies. However, participants in this study,

regardless of program participation length and level, were excellent citizens of the United States.

They voted at high rates, paid their share of taxes, abided by the law, postponed parenthood until

after age 20, and were employed in excellent positions, some of which required Associate and

Bachelor degrees. However, as a group they did not join the military in large numbers and were

not especially active in the area of community service.

Voting. Table 27 features statistics for the 2008 U.S. Presidential Election (U.S. Census

Bureau, 2012). These statistics have been compared to the voting statistics of the sample as a

group:


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Table 27:

Voting Characteristics for the November 2008 U.S.

Presidential Election

Category Voting % Study Sample %

General Public 63.6 % 91.7 %

Youth Ages 18-24 48.5 % 91.7 %

Advanced Degrees 82.7 % 91.7 %

Bachelor Degrees 77.0 % 91.7 %

Youth Ages 18-24 With Bachelor Degrees 70.2 % 91.7 %

Female 65.7 % 91.7 %

Male 61.5 % 91.7 %

White 66.1 % 91.7 %

Black 64.7 % 91.7 %

Hispanic 49.9 91.7 %

Asian 47.6 91.7 %

Black Youth, Ages 18-24 in Midwest Region 63.5 91.7 %

Youth Ages 18-24 Midwest 52.8 91.7 %

White Youth, Ages 18-24 in Midwest Region 52.8 91.7 %

Asian Youth, Ages 18-24 in Midwest Youth 46.3 91.7 %

Hispanic Youth, Ages 18-24 in Midwest Region 31.3 91.7 %

U.S. Census Bureau, 2012

Twenty-two of the 24 former TRIO Upward Bound students were registered to vote, and

22 actually voted in the 2008 Presidential Election. Most reported voting in the 2008 state and

local elections. One participant was not old enough to vote at the time. Another student

intended to vote, but did not register in time.

All 24 of the former TRIO Upward Bound students stated that they are now registered to

vote. At the time of the election, 22 or 91.7% of the participants in the study reported that they


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voted in the 2008 Presidential Election, which is significantly higher than most categories listed

in Table 24. Most of the 23 participants who were old enough to vote reported voting in the

2008 state and local elections. Regardless of program participation length and level of

participation, the 22 former TRIO Upward Bound participants as a group voted at a 9% to

14.7% higher rate overall than the top voters of the U.S. population during the 2008 Presidential

Election. (U.S. Census Bureau, 2012).

Abiding by the law. According to the U.S. Dept. of Justice (2012, 2013), the 2010

juvenile arrest rates of youth ages 10-17 in the United States are listed below in Table 28:

Table 28:

2010 Juvenile Arrest Rates Per 100,000 Population of Youth Ages 10-17in the US

Category

% U.S.

Juvenile

Arrests

# Arrested

Per

100,000

% of

Youth

Population

Arrested

% Crimes

Committed

*V, *P, *T

% of

Study

Sample

Males 51.1 % 6701.8 6.7 % 82 (V), 62 (P), 55 (T) 0 %

Females 48.9 % 2918.3 2.9 % 18 (V), 38 (P), 45 (T) 8.3 %

*White 76 % 4242.5 4.2 % 47 (V); 64 (P) 0 %

*Black 17 % 9139.6 *9.1 % 51 (V), 33(P) 4.2 %

American Indian 1 % 3346.9 3.3 % 1 (V), 1(P) 0 %

Asian/Pacific Islander 5 % 1295.6 1.3 % 1 (V), 2 (P) 0 %

All Juveniles 100 % 4857.1 4.9 % 4.2 %

*V = Violent; *P = Property *T = Theft

*Includes most juveniles of Hispanic ethnicity.

*Black youth were overrepresented in juvenile arrests.

U.S. Dept. of Justice, 2012, 2013

Regarding legal concerns, only one of the 24 former TRIO Upward Bound students has

ever been charged with a crime. This student was charged with disorderly conduct (as a result of

a family argument), which was a property damage misdemeanor. The remaining 23 participants

do not have significant legal histories. Only one of the 23 had a traffic violation and was


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required to pay a fine. Four of the participants indicated that they have been incarcerated in the

past, but not charged.

One in nine violent crimes cleared are committed by youth. Violent crimes are listed by

the DOJ as murder, rape, robbery, and assault. Property crimes are burglary, theft (larceny),

arson, other assaults, vandalism, possession or carrying weapons, drug abuse, driving under the

influence, violation of liquor laws, drunkenness, disorderly conduct, and curfew and loitering

offenses. Disorderly conduct is the only offense committed by a former TRIO Upward Bound

student that is considered to be a serious crime by the U.S. Department of Justice (DOJ) (U.S.

Department of Justice, 2012, 2013).

None of the 24 participants in the three groups have ever been charged with a felony, and

only one was charged with a misdemeanor of disorderly conduct (property damage). Four of the

participants were incarcerated for a range of seven hours to 72 hours. Twenty have never been

arrested or incarcerated.

When comparing the 2010 juvenile arrest rates in Table 25 with the arrest rates of the 24

former TRIO Upward Bound students, 9% of African American youth ages 10-17 were arrested

for serious violent or property crime, compared to only 4.2% of the TRIO Upward Bound

former participant study participants and 0% of the male former participants. However, 2.9% of

the female youth population arrest rate is compared to 8.3% of the TRIO Upward Bound sample

female arrest rate (which was the domestic violence arrest of the one female student).

Postponing parenthood. Table 29 lists the marital statuses and number of former TRIO

Upward Bound participants with children before age 20:


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Table 29:

TRIO Upward Bound Former Students’ Marital Status and Children before Age 20

Group Marital Status # of Participants # of Former Participants With

Children Before Age 20

One Single 8 *1

Two Single 7 0

Two Divorced 1 0

Three Single 6 0

Three Married 2 0

*This participant had two of eight children while in high school.

The study results indicate that participation in TRIO Upward Bound promoted

postponing parenthood. Only one of the 24 students had children before age 20, which is 4.17%

of the study sample. According to Rector (2012), 7.7% of children are born to unmarried

teenage girls under the age of 18 in the United States, and 14.5% of children are born to

unmarried teenage girls ages 18 and 19. Thus, a total of 22.2% of children are born to unmarried

teenage girls age 19 and under in the U.S. (Rector, 2010).The participants in this study, then, are

beating those odds.

Employment, education, and salaries. Seven of the 24 former TRIO Upward Bound

students in the study are employed full time; 10 are employed part-time, temporary and seasonal;

two are unemployed and enrolled in postsecondary education; and five are unemployed and not

enrolled in postsecondary education. Table 30 provides detailed employment information about

the participants.


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Table 30:

TRIO Upward Bound Participant Employment

Group Employment (# in Group)

One Full Time (1)

One Part-Time, Temporary, or Seasonal (2)

One Unemployed; Enrolled in PSE (2)

One Unemployed; Not Enrolled in PSE (3)

Two Full Time (2)

Two Part-Time, Temporary, or Seasonal (5)

Two Unemployed; Not Enrolled (1)

Three Full Time (4)

Three Part-Time, Temporary, or Seasonal (3)

Three Unemployed; Not Enrolled (1)

Two of the eight participants in Group One have college degrees. One has an Associate

degree, is employed fulltime/temporary, and is still enrolled in postsecondary training to earn a

Bachelor degree. Another student will earn a Bachelor degree at the end of the spring semester

and is currently unemployed; he is scheduled to begin law school in the fall. None of the

students in Group Two have degrees.

Five of the eight participants in Group Three have Bachelor and Associate degrees. Two

have Bachelor degrees and are not enrolled in post-secondary training; another has a Bachelor

Degree and is enrolled in a Master Degree post-secondary training program. A third has two

Associate degrees, works fulltime, and is not currently enrolled in post-secondary training. A

fourth participant obtained a Bachelor degree in Nursing, is studying for the State Nursing

License Board Exam, and is working part-time as an on-call nurse (PRN). A fifth obtained a

Bachelor degree in Psychology and is employed part-time.


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When asked to list their last four employers and positions after high school graduation,

the 24 former TRIO Upward Bound students listed a variety of professional / student employers

and positions they held on campus and in the community. Seventeen are currently employed,

and seven are currently unemployed. Table 31 summarizes the types of employment positions

former TRIO Upward Bound students have held.

Table 31:

TRIO Upward Bound Former TRIO Upward Bound Student Employment

Types of Employment

Group One food service worker insurance claims consultant

bar maid county day care provider campus dormitory desk assistant

restaurant hostess call center representative hospital customer representative

factory worker grocery customer service physical education teacher assistant

hospital receptionist post office seasonal mail clerk office supply store sales representative

copy/print worker restaurant cashier/food service grocery meat department worker

chemical company temporary secretary

Group Two Cashier gas station general merchandise clerk

temporary worker store customer service professional and public affairs intern

restaurant worker campus orientation assistant campus residential hall monitor

housing assistant dishwasher food service manager

mail sorter temporary services packer army communications worker

nursing home asst. ball park food service worker car parts manufacturing worker

drugstore collections radio board operator marketing research interviewer

food service worker customer service radio on-air disk jockey

Group Three cosmetics chemist door to door canvassing worker

paint chemist campus assistant director campus career worker

law clerk campus staff assistant community college computer lab tech

tax preparer hospital transporter campus bookstore textbook clerk

food service college dorm residential asst. campus bookstore arts supplies clerk

produce clerk college dorm hall monitor college dormitory janitorial worker

clerk/cashier entrepreneur salesman counselor for disabled children

PRN Nurse grocery store deli worker state-tested nurse’s aide

welder amusement park worker food service worker/cashier

account manager real estate company marketer campus recreation center worker


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When examining postsecondary education and employment histories, former TRIO

Upward Bound students in Group Three who participated in the Bridge Program and officially

graduated from the TRIO Upward Bound Program obtained their Bachelor and Associate

degrees at a much higher rate than those in Group One and Group Two, who had less program

participation length and level. The former participants with Bachelor and Associate degrees (one

from Group One and six from Group Three) were also more likely to be employed in more

prestigious full time positions with sufficient salaries related to their major area, or in higher

level part-time positions on or near college campuses.

Group Three is the only group with members who have been employed steadily since

high school in full, part-time, and temporary employment and consistently paying taxes through

their employment. Seven of eight are currently employed, and one, who stopped out of

postsecondary education, is temporarily laid-off from a position requiring a certificate in a

vocational field (welding). Three of the five BDRs obtained fulltime professional positions in

their field within a year after obtaining their Bachelor degrees. Two of the five recently

graduated and are working part-time, one as an on-call nurse (she earned her Bachelor's degree in

nursing), and the other at his college bookstore while he waits to re-enroll in nursing college in

the fall semester. In comparison, the participants of Group Two have longer lengths of program

participation than those in Group One, and also have higher levels of postsecondary education

and employment than those in Group One.

The 24 former TRIO Upward Bound students were asked for their current salaries and

were given the 7 salary ranges listed in Table 32 to select.


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Table 32:

Former TRIO Upward Bound Student Salaries

Salary Range # Students in Salary Range %

$0 to $9,000 14 58.3

$10,000 to $19,000 2 8.3

$20,000 to $29,000 1 4.2

$30,000 to $39,000 4 16.7

$40,000 to $49,000 1 4.2

$50,000 to $59,000 2 8.3

$60,000 and over 0 0

The current salaries of the participants ranged from $0 to $59,000. The average salary for

Group One was $5750; Group Two, $14,500; and Group Three, $30,750. The range for Group

One was $0 to $19,000; Group Two, $0 to $49,000; and Group Three, $0 to $59,000. Table 33

compares the current salaries, postsecondary training completion levels, and the types of

employment held by former TRIO Upward Bound students in Groups One, Two, and Three.

Table 33:

Salaries, Postsecondary Training Completion, and Employment

Group One

Salary Range

Postsecondary Training Completion

Type of Employment

$0 to $19,000 Bachelors (Sociology)--Entering Law School Unemployed

$0 to $19,000 Enrolled in 4-Year College (Engineering) Unemployed

$0 to $19,000 Certificate/Diploma (STNA) Unemployed

$0 to $19,000 Certificate/Diploma (STNA) Unemployed

$0 to $19,000 Stopped Out of 4-Year Postsecondary Ed Unemployed

$0 to $19,000 Enrolled in 4-Year College (Chemistry) Part Time/Seasonal

$0 to $19,000 Did Not Graduate from High School Part Time/Seasonal

$10,000 to $19,000 Associate Degree (Business) Temporary Full Time


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Group Two

Salary Range

Education

Type of Employment

$0 to $9,000 Enrolled in 4-Year College (Theatre) Unemployed

$0 to $9,000 Completed On-The-Job Training Program Unemployed

$0 to $9,000 Stopped Out of 4-Year Postsecondary Ed Part Time/Seasonal

$0 to $9,000 Certificate/Diploma (Medical) Part Time/Seasonal

$0 to $9,000 Enrolled in 4-Year College (Theatre) Part Time/Seasonal

$10,000 to $19,000 Certificate/diploma (Broadcasting) Part-Time (two jobs)

$30,000 to $39,000 Enrolled in 4-Year College Full Time

$40,000 to $49,000 Enrolled in 4-Year College Full Time

Group Three

Salary Range

Education

Type of Employment

$0 to $9,000 Certificate/Diploma (Welding) Unemployed

$0 to $9,000 Postponed 4-Year College until Spring Term Part-Time

$0 to $9,000 Bachelors (Psychology)—Graduating Part-Time

$20,000 to $29,000 Bachelors (Nursing)--Graduating PRN (As Needed)

$30,000 to $39,000 Bachelors (International Studies) Full Time

$30,000 to $39,000 Associates (Business—Two Degrees) Full Time

$50,000 to $59,000 Bachelors (Business) Full Time

$50,000 to $59,000 Bachelors (Chemistry) Full Time

The eight participants in Group Three are in the salary range of $0 to $59,000. Two of

the eight are in the salary range of $50,000 to $59,000 per year. Both completed Bachelor

Degrees at public four-year universities and are employed in the professions of their college

majors (Business and Chemical Engineering). One also started several businesses, and the other

is enrolled in a Master’s program and is starting a business related to her Chemical Engineering

major. Two participants are in the salary range of $30,000 to $39,000 per year.


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One participant completed a Bachelor Degree in International Studies at a public four-

year university; another completed two Associate degrees in Finance and Accounting. Another

participant is in the salary range of $20,000 to $29,000 per year after completing a Bachelor

degree in Nursing and working part-time as a PRN Nurse. She is currently studying for the state

nursing exam. Two participants are in the salary range of $0 to $9,000 per year and are working

part-time. One attends a four-year small private college, and the other will start a state public

university in a few months. Another participant is currently an unemployed welder, but was in

the $30,000-$39,000 salary range before unemployed. He discontinued a Bachelor Degree

Program in Business at a national public university to support his two children; however, he

completed a welding vocational program.

Military service. Only three of the 24 former TRIO Upward Bound students in the study

(S2, S8, S14) were enrolled in ROTC or enlisted in the military while in high school or college;

21 did not enroll or enlist in ROTC or the military.

Two participated in ROTC: one female (S8) participated while in high school, and a male

(S2) participated for a short time while in college, but dropped out of ROTC altogether during

the trial period. He later went on to graduate with a Bachelor Degree. One of the participants

(S14) participated in an Army-delayed issue program while in high school and entered the Army

in August after high school graduation. He was stationed in Germany for five years and received

a medical discharge. He stated that his participation in TRIO Upward Bound helped him to

prepare for and succeed in the Army as a result of the self-discipline, academic enrichment,

structure, social skills, dormitory experience, etc. that provides.

Similar to most postsecondary institutions, the military traditionally been granted access

to TRIO Upward Bound students. Many TRIO Upward Bound programs allow military


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representatives to discuss service options with their students through special program activities,

such as Career Day or through the administration of the ASVAB Test for career purposes, for

example. Nonetheless, most participants did not consider the military to be a viable option for

postsecondary training. TRIO Programs through its Veteran Upward Bound Program assists

veterans educationally once they return home from their service to the country, but TRIO as a

whole does not encourage high school or college students to enter the military as a source of

financial aid.

It is generally believed by the TRIO Upward Bound staff that strong encouragement for

students to enter the military for career or financial aid purposes is beyond the scope of the

program. The purpose of TRIO Upward Bound is not to recruit for the military or a particular

postsecondary program, but to provide underserved low income and first generation students the

opportunity to develop the academic and social skills necessary to be successful in college.

Community service. In regards to community service, 62.5% of the 24 former TRIO

Upward Bound students regardless of program length or level believe that they contribute to their

community in a variety of ways; 16.7% believe they somewhat contribute to their communities,

but they desire to contribute more; and 20.8% do not believe that they contribute much to their

community. Table 34 provides details about the participants’ community service beliefs by

group:


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Table 34:

Former TRIO Upward Bound Students and Their Community Service Beliefs

Group Community Service Beliefs # of Students

One I believe I contribute to my community in a variety of ways. 5

Two I believe I contribute to my community in a variety of ways. 4

Three I believe I contribute to my community in a variety of ways. 6

One I believe I somewhat contribute to my community, but I desire

to contribute more.

1

Two I believe I somewhat contribute to my community, but I desire

to contribute more.

2

Three I believe I somewhat contribute to my community, but I desire

to contribute more.

1

One I do not believe that I contribute much to my community. 2

Two I do not believe that I contribute much to my community. 2

Three I do not believe that I contribute much to my community. 1

Table 35 illustrates how former TRIO Upward Bound students contribute to their communities:

Table 35:

TRIO Upward Bound Community Service

Types of Community Service

Voting Participating in Sleep out for the Homeless

Not littering Landscaping through Habitat for Humanity

Getting knowledge Talking to elementary kids about college

Helping people in need Donating and participating in organizations

Being a role model Giving knowledge and information to young people

Customer service Re-stocking, clean-up, and running errands

Cleaning the building Clothing and can good drives

Working in the rent office Making Halloween bags for Children’s Hospital

Tutoring children Doing what I am supposed to do

Not getting involved with shooting Not being in the street and giving the police trouble


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Three of the 15 participants provided detailed responses when asked if they believe that

they contribute to their community:

Yes, I do. I understand the importance of giving back and educating others. If you give

money to somebody, then it’s gone after they use it… but after you give somebody

knowledge, they’ll always have that… and they can build upon that and grow. I think

that’s the best thing to give back, through education. So I try to help people by providing

them with information and stuff like that. I like to catch students and tell them, you need

to go to college. Also, I did help do landscaping for older people’s houses a couple of

times through Habitat from Humanity. Also, Sleep-Out for the Homeless, clothing

drives, can good drives (S2).

Yes. I haven’t done anything recent, but last year, for the children in Children’s Hospital,

around Halloween time, we made bags by drawing goblins, ghosts, and witches on them,

and put little toys and candy in them. I also volunteered for Hunt County Park District by

doing customer service, re-stock, clean up, and running errands (S4).

Yes. I volunteer at the food bank down the street from me and I volunteer with a

English as a second language (ESL) graduate students at C State University. We

just have just basic dialogues so they can get used to speaking English (S17).

Participant S22 claims to somewhat contribute to the community but desires to contribute

more:

Somewhat. My community? No, not as much as I would like. Well, I don’t

know. One of the programs I was in, one of my competitions, was actually a

community piece we had to do. And what we did was, we went to a school and

we made these science toys…it was Hartwell Elementary…we made these toys,


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science toys out of homemade items around the house. And we taught it to some

seventh and eighth graders and they taught it to their third graders. …But, for me

myself in the community, no… the only thing I did was tutor. I tutored children

and I tutored at my high school. I was actually the first kid to tutor with college

students, the BU college students that came over to H High School to help

tutor…like I was tutoring with them. I was the only high school student doing

that.

Participant S5 claimed to have a desire to participate in volunteerism, but recognized it is

not a priority: “No. Not as much as I should. My goal is to go to school and find a job. But I

would like to go ahead and start some volunteer work, some civic engagement.” Participant S20

also noted a desire to engage community service: “Not so much, not right now, not until I go

back (home), I feel like I’m building up to be able to contribute to my community, but not right

now.” Finally, participant S15 noted a lack of readiness: “I don’t know. Not really. I mean, I

don’t feel like I am at that stage. I haven’t done that yet.”

Giving back to TRIO Upward Bound and similar students. The former TRIO Upward

Bound students were asked if they have given back to UB or to students similar to those who

participated in UB. Sixteen of the 24 students regardless of program length or level believe that

they have given back to UB or to students similar to those who participate in UB by encouraging

them to go to college and providing them with information and knowledge.

Three of the 16 participants responded in detail:

Yeah, I do. I saw one guy that I graduated from high school with who was just

hanging around the university and not taking classes. I said, “What are you

doing? Do you know that you can go to school for free? Well, you ain’t doing


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nothing, well, take a class then. He had excuses, but eventually he signed up and

is now working on his associate’s degree. So, if I can help somebody, then I

would love to, you know. I am giving back to students who are similar to those

who were in Upward Bound who are still trying to find themselves. I think it’s

important ‘cause I wouldn’t be like where I was if people didn’t do that, you

know (S2).

Yes, by tutoring my mom’s friend’s children and my little sister. I always talk to

younger people about college. For example, my mom’s friend, her daughter, my

sister’s little friends. I just say, “It’s best to go to school. There’s nothing else to

do anyway. Why waste time when you would be doing it to better your life? So I

try to encourage them to begin thinking about college and to do well while they’re

in school now. Stuff like that’s how I’ve gotten so far cause in grade school I was

thinking about college. People don’t start thinking about college until they’re in

high school. I had parents and grandparents talking to me about college in

elementary school (S3).

Yes. I talk with the youth all the time. Every chance I get. Not only do I do it

informally, like on the street, like a little impromptu setting, but I also did work at

PACE High School for a short stint. There, I was actually able to work with them

on a one-on-one basis… talking about the fears of graduating, the fears of life

after high school… dealing with home and dealing with school, wow. The value

of personalizing your education… making education a personal thing and not

something you do for somebody else. I don’t try to talk to the youth; I talk to the

youth every chance I get. Whoever will listen. No only poor black kids, but poor


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kids period. That’s all I’m about. I’m about the poor folks. And whoever is

poor, outside and in, those the folk I’m about (S5).

Eight participants do not personally believe that they have given back to UB or to

students similar to those who participate in UB. Below are three of their detailed responses:

No, I haven’t. Yeah, they do have one here (TRIO Upward Bound program at

her university). I remember, they did have applications for tutors and stuff. I

mean, but it’s not too late. I’ll consider it ‘cause I’m looking for something to do

this summer. So I might look into that. I did talk to a younger kid, my little

cousin, to become a part of the program (S11).

No, not me, but my friend’s Mom’s kid… I was able to encourage her. A lot of

my aunt’s friends always tell me they wish they had a sister like me. I try to

encourage anybody I can. Trying to pay it forward (S12).

No, just in regards to my family…hands on type of things, but my family had tons

of questions to ask me about the program, my uncle S. and my aunt. They pretty

much drilled me on the program: how long is it, what’s going on in the program,

how are the classes, like…So I sat down with them and kinda went over the whole

breakdown (S21).

Note that while these participants did not see their efforts as giving back to the program, they

still assisted potential future students.

When asked about their contributions to TRIO Upward Bound, 16 of the 24 former TRIO

Upward Bound students stated that they have given back to students similar to those who

participate in UB by encouraging them to go to college and providing them with information and


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knowledge. However, there was no indication that they were giving directly back to the TRIO

Upward Bound program that they participate in, other than by participating in this study.

Based upon their statements, former TRIO Upward Bound students are looking for ways

to contribute back to the program and are willing to serve. Most want to help and would

appreciate it if someone would start the process of getting them organized.

Improving TRIO Upward Bound. Ways to improve TRIO UB according to the

suggestions of former students was not addressed by the TRIO Upward Bound national studies.

However, the results of this study indicate that most TRIO UB students, regardless of program

participation length and level, were able and interested in providing constructive suggestions

regarding how the program could be improved.

During the process of the study, the 24 former TRIO UB students were asked if they had

any suggestions on how to improve the program. Twenty of the students provided many

suggestions, which included improvement in school awareness, alumni participation, family

involvement, political action involvement, student accountability, additional program services,

more special opportunities and experiences, and increased funding. Appendix P provides a

detailed account of the student suggestions.

Summary

As money from the U.S. Department of Education decreases as a result of the nationwide

recession and sequestration, TRIO programs are encouraging their alumni to become more active

as volunteers. Many programs are forming TRIO Alumni Associations from the program level

to the national level to provide opportunities for those alumni interested in giving back

occasionally or on a regular basis to the programs they participated in as guest speakers,

organizers, chaperones, mentors, sponsors, financial contributors, and fund raisers. This is


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especially important since the study revealed that students regardless of program participation

length and level believe that TRIO Upward Bound positively impacts high school graduation;

college preparation, enrollment, success, and completion; and the development of participants as

conscientious, law-abiding citizens.


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Chapter 5: Discussion

TRIO Upward Bound is the flagship U.S. Department of Education pre-college program.

In 2014 it celebrated 50 years of operation since the passing of the Economic Opportunity Act of

1964 on August 20, 1964. Over the years, however, many educational, community, and

legislative stakeholders have questioned the effectiveness of TRIO Upward Bound.

Unfortunately, the well-known TRIO Upward Bound national studies—Research Triangle

Institute’s Evaluation Study of the Upward Bound Program (1979), Applied Systems Institute’s

High School and Beyond Senior Survey (1984), and Mathematica Policy Research’s National

Evaluation of Upward Bound (2009) —were used in the past to defend program elimination

(U.S. Department of Education , 2009; Cahalan, 2009; Seftor, et al., 2009).

The Office of Management and Budget’s (OMB) 2006 Program Assessment Rating Tool

(PART) report revealed that participation in TRIO Upward Bound “increases 4-year college

enrollment by 22% for all students with lower expectations and 5% for all students, but the

overall college enrollment rate is not improved” (The White House, 2006, p. 1). These findings

led the Bush administration to call for TRIO Upward Bound’s elimination for fiscal years 2006

and 2007.

The Bush administration considered TRIO Upward Bound an ineffective, unproven, and

expensive social program. Federal legislators and other TRIO adversaries opposed to its level of

funding question the expense of $4,300 to $4,800/year per student for an intensive, pre-collegiate

preparation and summer residential program such as TRIO Upward Bound, when other

educational opportunity programs (e.g., TRIO Educational Talent Search and GEAR UP) spend

only a few hundred per year on each student for tutoring and other supplemental services. In the

eyes of many, some or all of the expenditure allotted to TRIO Upward Bound would be better


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spent towards federal educational improvement mandates, such as a high school component of

No Child Left Behind (U. S. Dept. of Ed., 2013a; COE, 2007; Expect More, 2006).

TRIO Upward Bound’s struggle continues in the Obama administration. On April 14,

2011, despite promises by President Barack Obama and U.S. Senate Democrats to increase or at

least maintain TRIO and several similar programs important to low-income communities, TRIO

Programs received a $26.6 million decrease through the HR 1473 compromise bill, also known

as the Full-Year Continuing Appropriations Act of 2011. COE, the leading national TRIO

advocacy group, estimated that between federal Fiscal Years 2005 and 2012, TRIO programs

lost $70 million in funding, which resulted in the loss of over 88,000 students (Basken, 2013;

COE, 2013a; COE, 2013b; “Democratic Leadership,” 2011; “White House,” 2011).

In Fiscal Year 2013, TRIO funding was decreased by another $44 million and served

41,000 fewer students as a result of the Budget Control Act of 2011 sequestration spending cuts,

which became effective on March 1, 2013. At the time, it was estimated that sequestration will

lead to an approximately $1 trillion across-the-board federal budgetary cuts over the next decade.

The Council for Opportunity in Education (COE) estimates that approximately 215,000 low-

income and potential first-generation college students will be unable to participate in TRIO

programs as a result of sequestration and other policies and legislation created during the Bush

and Obama years (Basken, 2013; COE, 2013a). Thus, TRIO Upward Bound’s funding and

support should be maintained.

In an effort to support the retention of TRIO Upward Bound programs, this study

attempted to provide insight about the program’s value from the perspective of those most

directly impacted: the student participants. The researcher investigated the impact of a

Midwestern TRIO Upward Bound program, seeking answers to the following questions:


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school graduation?






Summary of Findings

Students’ decisions to participate in a TRIO Upward Bound program. Students

typically agree to participate in TRIO Upward Bound once volunteered and encouraged by

parents, guardians, counselors, teachers, relatives, friends, and mentors. Participants who left the

program early reported leaving due to immaturity, family issues, participation in school

activities, working on Saturday mornings, participation in another educational program, joining

the U.S. Army, and studying abroad. Many of the participants expressed feelings of regret for

leaving the TRIO Upward Bound program before graduation, but most believed that they were

under pressure to leave because of family situations or to accomplish their career goals. Students

did not leave the program because they were dissatisfied with the services they were receiving.

Students who completed TRIO Upward Bound stayed because they liked the program

and the people involved, valued the educational benefits, wanted a break from home, and they

liked that the program kept them busy during the summer and wanted to finish what they started.

Most significantly, however, students believed that the program helped them to prepare for and

graduate from both high school and college.


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TRIO Upward Bound program participation impact on high school graduation.

Most of the former TRIO Upward Bound students believe that participation in the program

contributed to their high school graduation because of the academic assistance provided, the

encouragement provided by the staff, the support provided by fellow students, the confidence

developed in their abilities, and the values instilled regarding the importance of education in

general. Despite being enrolled in a postsecondary-option college class while in high school,

TRIO Upward Bound was a resource in helping participants to graduate from high school and

pass college classes. College Awareness Class students are able to see where other students’

heads lie and are with students who have the same goals. Students are able to see how dedicated

everyone is in regards to college. It was important to students because some high schools did not

provide much guidance to students regarding college. The class supplemented what students are

learning in high school about college.

TRIO Upward Bound participants also received support with logistical matters like

SAT/ACT testing and college application completion. Sixteen of the participants remembered

hearing about completing the SAT or ACT and college applications and receiving assistance

from along with the SAT/ACT test fee and application waivers, which were very important to

them.

Almost half of the former TRIO Upward Bound students reported that they received

financial aid assistance primarily from TRIO Upward Bound and TRIO Student Support Services

staff in completing the Free Application for Federal Student Aid (FAFSA), understanding the

financial aid award letter, applying for scholarships, etc. Almost a third of the students reported

that they did not receive financial aid assistance from anyone because they did not attend

traditional postsecondary training and did not apply for financial aid. One student paid $400 to


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$500 in cash to attend a State-Tested Nursing Assistant vocational program (STNA) because the

program did not accept traditional financial aid.

Two students (S18 and S21) did not receive financial aid assistance from TRIO Upward

Bound because their mothers worked at the university, and therefore, they were eligible for

tuition remission. One used tuition remission and cash earned from employment only, and the

other used tuition remission along with other sources of aid. Another participant (S12)

participated in a management on-the-job training program, which was sponsored by her

employer and did not apply for financial aid. Another participant (S14) received military

benefits and therefore did not apply for financial aid. An additional student (S1) did not graduate

from high school due to not passing the state graduation test, and therefore, has not applied for

postsecondary financial aid, but was taught how to apply.

This study shows that with financial aid assistance from TRIO Upward Bound, TRIO

Student Support Services, high school staff, and parents, two-thirds of the former TRIO Upward

Bound students in the study successfully obtained multiple sources of postsecondary training aid

as a part of their financial aid packages. Overall, these students participated in the program the

longest and at the highest level. Most received the highest benefits—an associate or bachelor

degree and/or sustainable employment.

The participants stated that College Awareness Class should be taken very seriously, and

students should be front and center when it is time for the class to start. In this course, students

ask very good questions and get excellent answers to their concerns about campus life,

professors, professionalism, time management, freedom, preparation, and important people on

campus. They receive many college applications while in class and were also made aware of fee

waivers. The instructor points them in the direction that they should go.


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The academic and social preparation of the Bridge program participants was enhanced by

the College Awareness Class. During the senior year of high school, TRIO Upward Bound

students participate in College Awareness Class—a course that students are required to take to

assist them with the college process. More than half of the former students who participated in

TRIO Upward Bound during their senior year of high school were enrolled in the College

Awareness Class. College Awareness Class is a practical course that helps students to understand

the college essentials. Students discuss general college principles along with available college

opportunities and scholarships. Some students believe that it is the most important class offered

by TRIO Upward Bound. Students who remained in the program the longest received the

benefits of College Awareness Class.

TRIO Upward Bound Program participation, college enrollment, and success.

TRIO Upward Bound participants experience an intensive set of pre-college services that yield

positive educational outcomes. TRIO Upward Bound definitely prepared most students for

college academically because they received valuable information about college directly from

college admission staff, mentors, and through their own personal experience. They acquired

information from TRIO Upward Bound about the day-to-day navigation of college, which took

the fear out of attending college classes and made college a familiar experience.

Participants acknowledged being prepared academically to do well in high school classes

because TRIO Upward Bound teachers worked hard with students and were concerned about

whether they mastered the course content. TRIO Upward Bound classes complemented what

students were studying in high school. Tutoring services and computers were available to assist

students with classes and homework. Participants reported the development of valuable skills

such as time management, punctuality, diligence, commitment, and responsibility.


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TRIO Upward Bound is designed to not only prepare students for college academically,

but it also prepare students for the social challenges of college. Most participants in this study

reported that their participation in TRIO Upward Bound definitely prepared them for college

socially because the administrators and tutor advisors provided the students with dormitory

living, social activities, mentoring, and counseling services necessary to gain information about

college, which enabled success.

Regarding the TRIO Upward Bound summer component, most students in this study

reported that they enjoyed the summer program and thought that it was a very positive

experience. They thought that the summer programs were great because of dormitory life,

academic and cultural enrichment classes that prepared them for the upcoming school term,

campus jobs, college visits, and in and out-of-town travel. Comradery with peers who are in the

same TRIO Upward Bound program, developing friendships with peers who participate in other

TRIO Upward Bound programs in the state, the opportunity to meet college students, and

developing relationships with TRIO Upward Bound college mentors, instructors, and college

professors were also very important.

The family atmosphere that TRIO Upward Bound provided and the freedom to live as a

college student for six weeks added to students’ enjoyment of the program. Students also

appreciated the opportunity to learn how the college campus operated and the importance of

education, responsibility, time management, and social networking. Further, the participants

reported developing independence and learning how to prioritize, how to budget their money, the

importance of a work ethic, and how to use human and academic resources. One participant did

not necessarily enjoy the summer program, but believed that it kept him out of trouble and

allowed him to focus on important aspects of his life.


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Some students in the TRIO Upward Bound Pre-Bridge program (students who will enter

the 9th

through 12th

grades in the fall) became homesick while living on campus, although they

were required to return home during the weekends. Others did not like some of the Pre-Bridge

classes and the program rules, regulations, and restrictions. However, once in the Bridge

program (an exclusive part of the TRIO Upward Bound summer program for high school

graduates who will enter college in the fall), they appreciated the sense of independence

developed. Students functioned as regular college students, taking regular college classes (three

to six credit hours). They reported feeling like adults during this time because of the emphasis

placed on independence, which meant they were allowed to enjoy the freedoms experienced by

other college students.

Participants claimed TRIO Upward Bound participation helped them to interact

professionally with other students and adults from different parts of the city and from all

backgrounds. This knowledge, according to the participants, is acquired by being in the

dormitory with peers, walking around campus, and talking with college students and adults.

The participants emphasized that living in the dormitory with peers and college students

from different backgrounds prepared and helped them to get along with and tolerate other

people. It helped students to develop a better sense of their surroundings, to understand that

there has to be a balance between academics and social activities, and helped them to find

common interests with other people and to be open to other lifestyles. According to students,

staying on campus increased their grades while in college.

TRIO Upward Bound gives students an early, first-hand look at college while on campus

and prepares students for the eventual transition from home to the college campus. The program

promotes the development of skills in the areas of leadership, problem-solving, time


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management skills, and networking, which encourages students to go to college and take

responsibility for their personal business and lives. Living on campus in the dormitory takes

students out of their comfort zone, especially in the Bridge program.

The TRIO Upward Bound Bridge Program is a ticket for students to get ahead in their

studies, and it helps them to get acclimated to college. The program increased participants’

confidence in their abilities to handle college work in the fall. S18 stated that as a result of the

program, she progressed through the college freshman year in an accelerated manner, which

freed up time for other activities, such as researching and fundraising for internships and study

abroad opportunities. This student used the extra time to participate in two Middle East study

abroad tours, one quarter as a student and another quarter as a student and state department

intern.

Regarding employment, more than half of the participants stated that they received

assistance from TRIO Upward Bound with job placement, job readiness skills and counseling,

resume preparation, work history development, networking, and employment references. One

participant (S16) was hired as a result of TRIO Upward Bound program participation. Another

participant (S18) noted learning responsibility and time management as an Upward Bound

student, which enhanced her employability. A third participant (S1) was hired because she

presented a resume that she created with the assistance of TRIO Upward Bound.

Half of the former TRIO Upward Bound students indicated that they participated in other

pre-college programs similar to Upward Bound. In comparison to other programs, TRIO

Upward Bound does not provide services in the areas of study abroad /international study,

entrepreneurial experiences, large scholarships, or teen councils. However, former participants

considered TRIO Upward Bound alone to be more comprehensive than the other individual pre-


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college programs because of the number of services provided and because it is a year-around

program. As a result of this comprehensive experience, students are not intimidated by the

college campus once they arrive because most have been on campus for several years.

Regarding Bridge Programs, the students recalled that although all of the pre-college

programs have the same goal as TRIO Upward Bound, there were different levels of cost,

commitment, responsibility, independence, disciplinary practices, and program structure for

Bridge programs. Some Bridge programs cost money, utilized a military style of discipline, and

provided students with less independence. There were no decision-making opportunities for the

students; students did what they were told, or they were dismissed from the program. Parents had

to sign students in and out to take them off campus, and students were not allowed to participate

in other programs or work.

In contrast, the TRIO Upward Bound Bridge Program is free and provides students with

an actual presentation of college and a realistic college schedule and atmosphere. Students made

their own day-to-day decisions about what they did, and the consequences for what they did were

based upon the decisions that they made. If students did not do their homework, they faced the

consequences for not doing it. Students are allowed to work and participate in activities on and

off campus.

All but one participant in this study graduated from high school and attended a variety of

postsecondary training programs directly after high school graduation. Approximately two-

thirds of the students enrolled in college postsecondary education program the fall term

immediately following high school graduation. Five of six Bachelor’s Degree Recipients

(BDRs) enrolled in the fall term immediately following high school graduation.


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Pertaining to postsecondary education program selection, TRIO Upward Bound students

who participated in postsecondary education selected their college and postsecondary programs

based on the reasons listed in Table 16.

Ten of the 12 postsecondary institutions attended by the 21 college enrollees and all four

of the college postsecondary institutions attended by the six Bachelor’s Degree Recipients

(BDRs) hosted a TRIO Upward Bound or TRIO Student Support Services project. The two

institutions that did not host TRIO Upward Bound or TRIO Student Support Services programs

were for-profit universities and, therefore, ineligible for TRIO funding.

Eighty-one percent of the TRIO Upward Bound students in the study enrolled in college

and matriculated in four-year postsecondary institutions.

Twelve colleges were attended by 21 TRIO Upward Bound sample participants and are

classified in six Carnegie Foundation categories. Participants who enrolled in college were more

than twice as likely than white students to attend public and private research master-doctoral

institution-types and three times as likely as all black students to attend these universities. The

likelihood of attending these universities increases to three to four times as likely for BDRs.

BDRs had longer and higher levels of TRIO Upward Bound participation.

However, TRIO Upward Bound students were two to three times less likely than white

and black students to attend public and private 4-year Bachelor institution-types and open

enrollment public/for-profit 2-year institution-types. BDRs are extremely unlikely to enroll in

two-year colleges, but tend to enroll directly into doctoral degree institutions.

In comparison to 63% of all students nationally who attend postsecondary training at the

college level, the former TRIO Upward Bound students in this study attended moderately or

minimally selective/competitive colleges at a slightly higher rate (67%). Bachelor Degree


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Recipients (BDRs) attended selective colleges at a significantly higher rate (100%). None of the

sample BDR students attended special arts or non-competitive/open enrollment colleges.

TRIO Upward Bound program participation impact on citizenship practices.

In terms of citizenship participation and practices such as voting, paying taxes, abiding

by the law, postponing parenthood, employment, military service, and community service, TRIO

Upward Bound participants were found to be excellent citizens of the United States. They voted

at high rates, paid their share of taxes, abided by the law, postponed parenthood until after age

20, and were employed in excellent positions, some of which required Associate and/or Bachelor

degrees. However, military participation was quite low, and they were not especially active in

the area of community service.

Two-thirds of the students in the study believe that they have given back to TRIO

Upward Bound or to students similar to those who participate in TRIO Upward Bound by

encouraging them to go to college and by providing them with information and knowledge.

However, there was no indication that they were giving directly back to the TRIO Upward

Bound program that they participate in. They are looking for ways to contribute back to the

program and are willing to serve. Most want to help and would appreciate it if someone would

start the process of getting them organized.

Most TRIO UB students, regardless of program participation length and level, were able

and interested in providing constructive suggestions regarding how the program could be

improved. They provided many suggestions, which included improvement in school awareness,

alumni participation, family involvement, political action involvement, student accountability,

additional program services, more special opportunities and experiences, and increased funding.

Appendix P provides a detailed account of the student suggestions.


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Limitations

One hundred percent of the students in the study are African American, primarily from

the inner section of a medium-sized city. The sample size, although significant, is only 24

former participants of the study population (408 former TRIO Upward Bound participants).

Therefore, the study results may not fully apply to students with different characteristics, such as

suburban, rural, or non-traditional students of other cultural backgrounds. Family types and

dynamics, parental disciplinary styles, and diverse income levels are other reasons why the same

results may not fully occur if the study is duplicated.

Interpretations

To make informed decisions about TRIO Upward Bound’s future, qualitative research

and evaluation are needed to determine the educational, societal, and economic impact of the

program and challenge the problematic quantitative studies of the past. Research using

qualitative methodologies will give the current and former students, recipients of TRIO Upward

Bound services, a voice in determining the future of the program. They are the key stakeholders

and should have the opportunity to express their thoughts on program benefits or ineffectiveness,

which cannot simply be measured quantitatively. Qualitative research when well-done should be

viewed by advocates as equally valuable as quantitative research, passing the scrutiny of public

and private IRB boards (U.S. Department of Education , 2009; Myers et al., 2002; Seftor et al.,

2009).

In the past 50 years since the establishment of TRIO Upward Bound, there have been

several national attempts by the federal government and other organizations to address program

impact and student selection. The challenge to TRIO Upward Bound is that it is considered a

remnant of the “War on Poverty” that does not measure up when quantitative measures are used


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to determine program impact. The effectiveness of the program is, therefore, considered by

many to be unproven. Thus, in order to save TRIO Upward Bound from elimination, greater

evidence of program effectiveness is needed (U.S. Department of Education , 2009; COE, 2007;

Corsi, 2006; Lemann, 1988; Mitchem, 2005; The White House, 2006).

Through carefully structured questions, the researcher gathered detailed information

regarding students’ decision to participate in TRIO Upward Bound, the impact of high school

graduation, program participation, and postsecondary education enrollment and success, and how

citizenship practices are influenced by the program. Length and level of program participation

was considered when analyzing the results. The study results add to the TRIO Upward Bound

body of research by answering questions about the program’s value that have not been covered

through previous quantitative methods. It also serves as an example to future TRIO researchers

on how qualitative data can enhance quantitative data.

TRIO Upward Bound experts—administrators, counselors, and interested former

students who are now program employees—must be considered in TRIO Upward Bound

research. They should be encouraged to take the lead in designing studies because, as a result of

their inside experiences, they understand and may seek out the small important details that other

researchers who lack TRIO Upward Bound experience might miss.

If researchers want to find out about the significance of TRIO Upward Bound

participation to current and former participants and their parents—what they think about the

services provided, how it affected them, and what their program recommendations are—

researchers should follow the example of this study. The quantitative approaches in the national

reports used standardized measures that allowed comparison and statistical aggregation, leading

to rigor and generalizable findings. However, the qualitative data provided by the former


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students during the process of this study added depth, detail, and distinction to the conclusions of

the national studies because it provided thoughtful student insight and explored their

personalized outcomes and issues of worth or merit (Patton, 2002).



are now expected more than ever to prove through rigorous analysis and evidence-based

interventions (i.e., quantitative methods) that services provided through federal grants are

actually helping disadvantaged students to enroll and complete college at high rates. Otherwise,

grants may be taken away from college access programs that cannot demonstrate

success/effectiveness and given to those programs that can provide such evidence.

Despite the fact that the budgets of federal college access programs have decreased,

individuals and organizations from the right and left are expecting the programs to provide more

students with increasing levels of educational services. In some cases, only qualitative studies

similar to this one can provide the answers to certain important questions, such as, specific and

detailed reasons as to why low-income, first generation students leave postsecondary education

before completion.

A qualitative design can be very useful for TRIO Upward Bound program research and

evaluation because it encourages former participants to tell their individual program stories.

These stories reveal the broad scope of impact of the program. These descriptive and detailed

former participant stories are very important to hear because they can illuminate the program’s

processes and outcomes to generate findings for congressional members and U.S. Department of

Education officials, who will make decisions about TRIO Upward Bound’s future.


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Qualitative research methodologies have never been a serious consideration for a TRIO

Upward Bound national studies project, possibly due to the financial support needed and the time

required for such studies. However, qualitative research can be completed in stages to help with

the expense and the time required for analysis (Patton, 2002).

A qualitative design can provide a variety of data types. It will not only provide personal

insights and outcomes, but can also contribute to methodological rigor by including triangulation

of data sources, which increase the accuracy and credibility of findings. Descriptive and detailed

sets of qualitative data from interviews, focus groups, open response questionnaires, and

documents gathered from former TRIO Upward Bound participants and other sources are very

important to acknowledge because they can be used to illuminate the program’s processes and

outcomes to generate findings for U.S. Department of Education officials and Congress, who

will make decisions about TRIO Upward Bound’s future.

This study is an example of the type of qualitative studies needed for TRIO Upward

Bound programs to be fully researched and evaluated. Qualitative studies must be considered by

TRIO policy makers, advocates, and observers as a way to involve the key stakeholders—the

past and current TRIO Upward Bound students and their parents—in the process of determining

whether TRIO Upward Bound should be retained for its benefits or eliminated due to

ineffectiveness.

Conclusions and Recommendations

The origin of TRIO Upward Bound was based upon qualitative theories, models,

research, and evaluations. Prior to the mid-1990s, TRIO Upward Bound program effectiveness

was determined by formal and summative evaluations. TRIO directors were provided formative

evaluation training by regional consultants of the U.S. Department of Education (DOE) to assist


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new TRIO program directors in getting started with their programs. They also helped in

preparing for summative evaluations, or site visits, scheduled for each program every few years

by the DOE regional consultants.

A TRIO Upward Bound summative evaluation consisted of a one to two-day site visit

review of a program’s objectives and fiscal records. It was completed by one of the regional

consultants along with the TRIO Upward Bound program directors to determine whether the

students served were eligible for the program and whether program activities were sufficiently

documented. The consultant also provided recommendations regarding program operations and

answered questions about allowable expenses. The college dean and the college or university

president, if available, were interviewed to determine institutional support of the program.

The regional consultant stayed for a week and evaluated all of the TRIO programs within

the institution and within driving distance from the institution. The consultant had the authority

to recommend immediate loss of funding or loss of prior experience points, which affected future

funding. Program directors were also required to submit Annual Performance Reports (APRs)

regarding their students’ academic and college entry accomplishments, which were used to

established priority experience points for the next grant session.

Educational accountability

What happened in the United States that diverted our attention away from this qualitative

evaluation foundation of TRIO Upward Bound? In 1983, the U.S. Department of Education

(DOE) published A Nation at Risk, an educational report that started the modern movement of

educational accountability. High stakes testing, state proficiency testing, teacher accountability,

and school funding accountability soon became the standard of educational research and

evaluation. As a result of these new quantitative standards and the initiation of the Mathematica


186

Research Institute’s (MRI) National Evaluation of Upward Bound 1992-2004, Congress and the

DOE decided that more quantitative information was needed from TRIO Upward Bound

programs to determine program effectiveness (U.S. National Commission, 1983; U.S.

Department of Education , 2009; Cahalan; 2009).

In 2000, the TRIO Upward Bound program directors were required to submit Annual

Performance Reports online with 76 quantitative fields for each student served due to new

concerns about accountability and program funding. As a result of an outcry from TRIO Upward

Bound program directors, the number of fields was reduced to 53, and then later increased to 67.

In 2004, the final results of The National Evaluation of Upward Bound 1992-2004 were

published, indicating that TRIO Upward Bound was ineffective and therefore, must provide

accountability to prove effectiveness to maintain funding (Cahalan, 2009). These results were

challenged by Cahalan and Goodwin (2014), concluding that the impact estimations as reported

by MPR were critically flawed to the point that the effectiveness of Upward Bound was

hindered.

There were also challenges to the notion of providing prior experience points to grant

applicants with prior TRIO Upward Bound program experience by the U.S. Department of

Education and other organizations competing for the TRIO Upward grants. Existing programs

can receive up to 15 extra points for goals met as demonstrated by yearly performance reports.

Program observers, such as the Brookings Institute, asked for prior experience points to be

eliminated, insisting that any local authority, whether it be a two-year or four-year college, non-

profit or for-profit agency, with a history of conducting educational intervention should be

qualified to complete for one of the grants. Existing programs can apply with everyone else on a

competitive basis, but prior experience points should be eliminated (Haskins & Rouse, 2013).


187

However, TRIO Upward Bound advocates, such as The Council for Opportunity in Education,

insist that eliminating priority experience points would cause a lack of continuity and humanity

in providing student services.

In addition, the results of The National Evaluation of Upward Bound of 2004 challenged

TRIO Upward Bound program rules as to who should receive the services and when the services

should be provided based upon the evaluation results. When the recommendation

to eliminate Upward Bound was decisively rejected by Congress, the Bush

Administration took a different tactic: attempting to achieve its goals outside the normal

legislative and regulatory process by simply imposing new requirements on Upward

Bound via an ‘Absolute Priority’ published in the Federal Register. This Absolute

Priority was opposed by all of the major higher education associations” (COE, 2007, p.

1).

Under AP, one-third of TRIO Upward Bound students would have to be identified as

academically high-risk if they had less than a 2.5 grade point average and/or performed less than

the national average in reading and mathematics on standardized tests (Cahalan, 2009). As a part

of AP, a third national comprehensive evaluation using a similar random assignment

methodology as before was planned to evaluate the program priorities indicated by Mathematica

Policy Research, Inc.

The study required that programs “deliberately recruit more students than usual, knowing

that half would not be allowed to enter treatment and would be blocked from ever getting the

treatment by the grade-related entrance requirements that were also planned as part of the

priority (AP)” (Cahalan, 2009, p. 9). Only ninth and tenth graders would be allowed to enroll in

the program. TRIO Upward Bound advocates contacted DOE and members of Congress


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immediately to discuss their concerns about the ethics of the study. As a result of these issues,

the study was cancelled in February 2008 after Congress eliminated funding for it in 2007.

Bearing the financial accountability burden.

TRIO Upward Bound supporters have always questioned who should bear the financial

burden of program accountability issues. Should it be the disadvantaged students or the

government in times of economic instability and sequestration? Should the services provided to

students be reduced or eliminated, or should TRIO Upward Bound be exempt from funding cuts?

The War on Poverty programs, which included TRIO Upward Bound, were originally

scheduled to stay in effect until poverty was eradicated, based upon the words of President

Lyndon B. Johnson in his Great Society speech.

Determining TRIO Upward Bound effectiveness

One part of the best way to determine TRIO Upward Bound program effectiveness would

be to return to its qualitative roots. The formal and summative evaluations of the past,

quantitative program data from the APR, and participant/stakeholder qualitative feedback would

be effective ways of evaluating TRIO Upward Bound. The quantitative fields from the TRIO

Upward Bound Annual Performance Report alone do not measure the voices of the students,

which can only be measured qualitatively. Both qualitative and mixed method studies are

needed to determine TRIO Upward Bound program effectiveness.

Research results indicating the impact of TRIO Upward Bound will determine whether

the program will continue to receive funding in the future. In a time of failed national economies

and government stimulus packages, programs that work will be expanded, according to the

Obama administration, and programs that do not work will be eliminated line-by-line. The


189

research reported in this dissertation indicate that TRIO Upward Bound is a program that is

working.

Educating disadvantaged students



are expected to prove through rigorous analysis and evidence-based interventions (i.e.,

quantitative methods) that services provided through federal grants are actually helping

disadvantaged students to enroll and complete college at high rates. Otherwise, grants may be

taken away from college access programs that cannot demonstrate their claims and are given to

those programs that can provide evidence of their assertions. Despite the fact that the budgets of

federal college access programs have been decreased, individuals and organizations from the

right and left are expecting the programs to provide more students with increasing levels of

educational services.

Is it fair to hold TRIO Upward Bound and similar federal college access programs fully

responsible for school failure, unfavorable national financial aid policies, insufficient

institutional environments, and a multitude of student, family, and adjustment issues when many

of the disadvantaged students they serve fail to enter or complete postsecondary education?

According to Tinto (2002), academic issues are only 20-30% of the reasons why low income,

first generation students leave college early. Seventy to 80% of the time disadvantaged students

fail to enter or complete college due to issues beyond the control of federal college access

programs, such as inadequate financial aid and other family and adjustments issues associated

with congressional decisions.


190

Ideally, all entities involved should be held responsible for the college success of

disadvantaged students and should share the same level of accountability, a notion that federal

educational program funding critics disregard. TRIO Upward Bound and other federal college

access programs are usually held to a much higher standard for their part in educating

disadvantaged students, perhaps because they are remnants of the War on Poverty programs,

which in the eyes of many were doomed to fail from the start. These programs are being

required to bear the burden of poor quality K-12 education that sends many students to college

unprepared. Furthermore, institutions tend to disregard these students once they arrive on the

college campus, and they lack significant financial aid due to congressional policies. Many

educators believe that the federal focus for education should be based upon need as opposed to

results in order to help states educate poor children, who are now in the majority (51%) at U.S.

public schools (Layton, 2015; Mettler, 2014).

Instead of transferring money from TRIO Upward Bound and other college access

programs to other organizations under the guise of increasing program accountability, funding

for college access programs should be increased to keep up with the economy so that they can

continue to provide high levels of services to disadvantaged students. In the meanwhile,

program researchers should conduct qualitative and mixed method studies to find out the reasons

why disadvantaged students drop out of postsecondary education and what services are needed to

help them to finish. Researchers can interview students, parents, legislators, and college and

program staff as well as review student and program records to answer questions that can guide

future research.

Increasing the funding of TRIO Upward Bound programs

In the process of increasing the number of students who attend college and obtain


191

degrees, the U.S. can no longer afford to ignore the intellectual and academic talents of low

income and first generation pre-college and college students. All low income, first generation

students who are interested in participating should have access to a TRIO Upward Bound

program. Servicing these students will increase the number of people with tertiary degrees, lower

incarceration rates, improve families and the economy, and promote national security.

In order for low income first generation students to obtain associate and bachelor degrees,

continued and adequate financial aid is needed in all areas of the college experience. College

grant and scholarship funding should be expanded to limit low income and first generation

students’ concern with paying for college through educational loans. Low income and first-

generation students should be provided with enough financial aid and support to live on campus

for a minimum of two years so that they can get involved and fully acclimated to the campus.

The number of summer Bridge programs and special themed first-generation campus

houses should also be funded and increased, which in turn expands the number of disadvantaged

students who complete four-year degrees. This study found that students who enroll in Bridge

programs can expect better postsecondary outcomes in regards to obtaining the bachelor’s

degree.. Also, campus living experiences allow TRIO Upward Bound students to get acclimated

to college life and to develop the social skills needed to succeed in college by interacting with

faculty and other college students who served as college success role models and encouraged

them to do well in their classes.

The number of low income and first generation students who are accepted and attend

four-year institutions should be encouraged. The results of this study indicate that the former

students who obtained bachelor’s degrees were especially more likely to have attended four-year

master and doctoral institutions as opposed to attending two-year open enrollment colleges


192

(Jenkins & Fink, 2016).

Despite times of recession and sequestration, the country must find the money to invest in

TRIO Upward Bound-eligible students. Instead of paying for jails and prisons for poor youth and

young adults, money should be spent on TRIO Upward Bound and other educational programs,

such as after school tutoring programs, sports programs, and activities that target the needs of

high risk boys and girls. Children who are in foster care, whose parents are incarcerated, and

other disadvantaged children would benefit greatly from these much needed services.

Funding for TRIO Upward Bound programs should also be increased to assist students in

completing college degrees. TRIO Upward Bound programs should receive more funding from

the U.S. Department of Education (DOE) for college completion activities and should also seek

alternative funding from state governments and private foundations and corporations. Fund

raising activities in addition should be developed by TRIO Upward Bound staff, students,

parents, institutional sponsors, and other advocates to sustain the programs if funding from DOE

is discontinued.

When TRIO Upward Bound programs were initially developed, the idea was that funding

from the federal government was temporary because the programs would become

institutionalized through the sponsoring colleges, universities, and community organizations.

However, due to financial problems of their own, these institutions have been unable to take on

the funding of TRIO Upward Bound programs, some of which require over $500,000 per year to

operate.

Funding from other organizations

One of the original reasons why TRIO Upward Bound was established was to combat

juvenile delinquency. Fifty years later, it still serves as a crime prevention program for youth,


193

based upon the results of this study, which indicate that TRIO Upward Bound participants have

much lower instances of misdemeanor convictions, felony convictions, and incarcerations than

non-participants. Therefore, TRIO Upward Bound program advocates should promote these

findings and seek additional funding from public and private law enforcement agencies and

foundations, such as the U. S. Dept. of Justice to increase budgets and to expand the number of

programs.

The study results also found that students who participate in TRIO Upward Bound are

more likely to postpone parenthood until after age 20. Therefore, funding from public and

private agencies, such as the U.S. Department of Health and Human Services, should be sought

to assure the continuation of the program.

TRIO Upward Bound future research

The results of this study indicated that none of the TRIO Upward Bound Bachelor Degree

Recipients (BDRs) attended special arts or non-competitive/open enrollment community and for-

profit colleges, in comparison to 40% of Black students who attend non-compeitive/open

enrollment community and for-profit colleges nationally. The conclusion was that TRIO

Upward Bound participation has a positive effect on the type, selectivity, and rank of

postsecondary institutions attended by the average eligible student who later completed Bachelor

Degrees.

Study results also indicate that disadvantaged students who are interested in pursuing

bachelor degrees and beyond should be advised against starting their college educations at

community colleges or at for-profit colleges. Approximately 16% of students who start

community colleges obtain bachelor degrees, according to the college retention research of

Adelman (1999), Driscoll (2007), Jenkins & Fink (2016), and Tinto (2002). Therefore,


194

community college and for-profit college attendance should be reserved for only those who

aspire to obtain only certificates and associate degrees.

Based upon the former student database in this study (see Appendix C), TRIO Upward

Bound students who attend community colleges immediately after high school take twice or

three times as long to obtain associate degrees, or do not transfer to four-year colleges for

bachelor degrees, even if they performed well in high school academically. More research is

needed to discover the reasons why students do not transfer to four-year colleges at a reasonable

rate and in an acceptable time period (Jenkins & Fink, 2016).

Grit research. Duckworth, Peterson, Matthews, and Kelly (2007) indicated in a study of

Ivy League undergraduates, United States Military Academy West Point cadets, and top National

Spelling Bee contestants that students with “grit, defined as perseverance and passion for long-

term goals, were able to achieve difficult goals due to the sustained and focused application of

talent over time” (Duckworth, et al., 2007, p. 1).

More research is needed regarding the personality trait of grit, TRIO Upward Bound

students, and TRIO Upward Bound parents. Can the grit personality characteristics—effort,

perseverance, and passion—be developed in students and their parents during their TRIO

Upward Bound tenure so that students can be successful in college? The results of this study

found that students who had the highest participation lengths and levels and were highly engaged

in TRIO Upward Bound activities and similar pre-college programs (Group Three) were more

likely to benefit from their involvement. These students earned bachelor degrees. Most students

in Group One and Group Two of the study, those who did not fully participate in the program,

did not reach their goal of a bachelor degree.

Grit most likely can be developed by encouraging students and their parents to maintain


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high levels of participation in TRIO Upward Bound academic and enrichment activities—from

program entry to program graduation—through the use of economic incentives, such as

increased stipends, career internships, and campus employment. Also, parents should be

continuously informed of TRIO Upward Bound benefits and should be encouraged to keep their

children highly involved in program activities—perhaps through the use of parental economic

incentives. To reach the goal of bachelor degree attainment, TRIO Upward Bound and similar

programs should be a priority in the student's list of activities.

Mentoring. In addition to exploring community college attendance and grit, more

research is needed to investigate the benefits of mentoring. TRIO Upward Bound, in essence, is

a mentoring program for low income, first generation, and high-risk of academic failure high

school students designed to encourage them to enter and complete postsecondary education. The

mentoring is provided to TRIO Upward Bound students by program staff, which is comprised of

program administrators, teachers, and college students. According to the Impact Evaluation of

the U.S. Department of Education’s Student Mentoring Program, mentoring of disadvantaged

African American and Hispanic students “did not lead to statistically significant impacts on

students in any of the three outcome domains, which were (1) academic achievement and

engagement, (2) interpersonal relationships and personal responsibility, and (3) high-risk or

delinquent behavior” (IES, 2009, p. ES-8).

However, former TRIO Upward Bound students in this study indicate that mentoring

from the program staff was a significant part of their college preparation and development.

According to the students, TRIO Upward Bound participation encouraged academic engagement

and the development of social skills and interpersonal relationships. It also promoted personal

responsibility, law abiding behavior, and the postponement of parenthood.


196

Final reflections from Jerry, a former TRIO Upward Bound student

December.

I can’t thank you and the whole Upward Bound staff for providing me with a

foundation to success in my education and my life decisions. You are a true role model,

and if you ever wonder if you made a difference…the answer is yes. I’m very much the

proof!! I had some good and rough times throughout my career, but I stayed the course.

You and Upward Bound helped establish future leaders by providing tools for our

toolboxes. Those weekends were well spent.

I have a 21-year career in the Navy officially ending this year, and I have an

Electrical and Mechanical Engineering degree. I also earned a degree in Workforce

Education and Development. I’m also going to pursue my Masters. I didn’t make this

journey by myself. My Upward Bound family inspired me and was with me every step

of the way. My success is your success as well! I am so humbled by what I’ve been able

to achieve, and this is just the beginning. Thanks again for keeping a light lit for me and

future students.

Well, now I live in the South, and I’m still mentoring young men and women. If

you ever need a speaker or mentor, I’m a phone call away, or a letter away. Please send

my regards and thanks to the rest of my Upward Bound family. Best wishes, and thanks!

February.

I am glad you received the cards and the message several months ago. I wanted to

let the staff, college students, and you know the true impact of the Upward Bound

program. Upward Bound gave me the inspiration… not only to continue my education,

but to also inspire others in the military and younger minds also to excel in education. I


197

truly enjoy mentoring and being a role model to others. Upward Bound was the

foundation which enabled me to pass on the thirst for learning all over the world. I truly

would be honored for you to use my comments and real life applications of what Upward

Bound has done for me over the years.

I keep getting good news also. I knew I had a high GPA, but was not able to apply

for different honor societies before graduation due to bouncing around in the military. I

was selected to become a member of Delta Epsilon Iota Honor Society. This validates

even more that Upward Bound gives young students the tools to become leaders!!!

It would be very unfortunate for the program to be discontinued, because it comes

down to more than dollars and cents. I believe in this world of unrest and disturbing news

being presented each and every day that Upward Bound is a glimmer of hope for all

parties involved. I would like for you to use my name and any other information you

need. If anybody wish to contact me, that's fine. You have my permission.

I can get in contact with A.S. She was another Upward Bound alumna. I believe

she feels the same way and can give you more insight. I had to laugh when you said you

could see the light at the end of the tunnel, because I felt the same way!!! I will continue

my education also. Thanks for being a great mentor and role model even now!!!

Jerry’s comments about the influence of TRIO Upward Bound on in his life demonstrates

how powerful former program participant stories can be when gathering and analyzing data for

mixed and qualitative research studies. These stories reveal the broad scope of impact of TRIO

Upward Bound and can be helpful in determining program effectiveness. They are very


198

important to hear because they can illuminate the program’s processes and outcomes to generate

findings for congressional members and U.S. Department of Education officials, who will make

decisions about TRIO Upward Bound’s future.

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http://www.ed.gov/pubs/Biennial/508.html

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for budget year 2008-2009. Retrieved from

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U. S. Department of Education. (2010). 1999-2010 annual performance report. Retrieved from

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http://www2.ed.gov/programs/trioupbound/awards.html

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programs current-year low-income levels. Retrieved from

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Program. Retrieved from http://www2.ed.gov/programs/trioupbound/index.html

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bulletin. Retrieved from http://www.ojjdp.gov/pubs/242770.pdf

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http://www2.ed.gov/programs/trioupbound/awards.html

http://www2.ed.gov/about/offices/list/ope/trio/incomelevels.html

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http://www.ojjdp.gov/ojstatbb/crime/JAR_Display.asp?ID=qa05200

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college more affordable: A better bargain for the middle class. Retrieved from

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make-college-more-affordable-better-bargain-

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college promise proposal: Tuition-free community college for responsible students.

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house-unveils-america-s-college-promise-proposal-tuition


http://www.businessdictionary.com/definition/black-box.html

http://www.whitehouse.gov/the-press-office/2013/08/22/fact-sheet-president-s-plan-make-college-more-affordable-better-bargain-

http://www.whitehouse.gov/the-press-office/2013/08/22/fact-sheet-president-s-plan-make-college-more-affordable-better-bargain-

http://www.whitehouse.gov/the-press-office/2015/01/09/fact-sheet-white-house-unveils-america-s-college-promise-proposal-tuition

http://www.whitehouse.gov/the-press-office/2015/01/09/fact-sheet-white-house-unveils-america-s-college-promise-proposal-tuition


215

Appendix A

The Original 18 TRIO Upward Bound Pilot Programs

Programs

Dillard University

New Orleans, LA

Florida A & M University

Tallahassee, FL

Tennessee State University

Nashville, TN (formally

Tennessee A & I)

Fisk University

Nashville, TN

College of the Ozarks

Clarksville, AR

Ripon College

Ripon, Wisconsin

Texas Southern University

Houston, TX

New Mexico Highland

University

Las Vegas, NM

Columbia University

New York City, NY

Morehouse College

Atlanta, GA

New York University

Washington Square

New York City, NY

Le Moyne College

Syracuse, NY

Webster College

St. Louis, MO

University of Oregon

Eugene, OR

Independent Schools

Talent Search

New Boston, MA

Howard University

Washington, DC

Western Washington

State College

Bellingham, WA

Cornell University

Ithaca, NY

Groutt, 2002, 2003; James, 1986; ODSA, 2008


216

Appendix B

Why Disadvantaged Students Leave College Before Completion

Reasons Explanations

Academic Issues

More likely to have had less academic intense and quality

curriculums while in high school, lower grade point averages, and

lower standardized test scores, which means that students are less

likely to complete bachelor degrees in four to five years.

More likely to take remedial courses in college, which decreases

students’ chances to graduate.

More likely to earn fewer than 20 credits in their first year at a

four- year college, which greatly decreases their chances of

obtaining bachelor degrees.

Family Problems and

Lack of Family Support

and Encouragement

More likely to receive less support from their families in preparing

and planning for college because their parents do not understand

the college culture and rules and do not understand the academic

work and expectations in completing the classroom assignments.

Family problems and lack of encouragement from family and/or

peers.

May have dependents other than a spouse, or may be a single

parent.

Difficulty Adjusting to

College

May have difficulty in acclimating themselves to college once they

enroll. They have difficulty adjusting to the amount of academic

and social change required for college success.

If a minority and /or first generation, may have difficulty

integrating into the college community due to cultural reasons and

sometimes suffer from isolation.

May have friends at other schools.

May lack encouragement from peers.

May experience social alienation or awkwardness.

Lack of Institutional and

Student Fit to the College

More likely to be a mismatch between student interest and needs,

institutional mission, or course/program offerings.

May be a lack of institutional fit, student fit, and involvement.


217

Appendix B (continued)

Why Disadvantaged Students Leave College Before Completion

Reasons Explanations

Lack of Institutional and

Student Fit to the College

May be an absence of significant interaction with faculty and other

members of the college community.

College Enrollment

Concerns

More likely to delay enrollment after high school.

More likely to enroll in college part-time.

More likely to start at a community college, which decreases the

likelihood that they will complete a bachelor degree.

Commitment Issues More likely to have commitment issues after college entry (only in

college because of parent interest, would rather work, having no

real intention to persist)

Emotional and Personal

Problems

May have emotional and/or personal problems related to low

income or minority status, including substance abuse.

Finances and Financial

Aid

May experience financial problems with the direct and indirect

costs of college. More likely to work full-time while enrolled.

Difficulty in Deciding

What Career Path to Take

May have difficulty in knowing what career area to pursue.

Other Issues May have transportation problems.

May lack grit, which is a personality trait that contributes to

students’ success in college. Students with grit stick with things

over the long term until the task is mastered. Students who try the

hardest do the best in college.

Adelman, 1999; Cabrera, LaNasa, & Burkum, 2001; Driscoll, 2007; Engle, Bermeo & O’Brien,

2006; Hanford, 2013; Saret, 2013; Time is the Enemy, 2011; Tinto, 2002; Tym, McMillion,

Barone, & Webster, 2004


218

Appendix C

College Commuters, Fulltime and Part-Time Attendance, and Time Taken to Obtain Bachelor

and Associate Degrees

Participant Category

Nation% State% Population (408) Sample (24)

# % # %

1. College Commuters (Full and Part

Time Students—Off Campus)

75 UK UK UK 10 41.7

2. Full Time Attendance at

Residential Colleges (On Campus)

25 UK UK UK 9 37.5

3. Vocational Training and OJT

Students—Off Campus

UK UK UK UK 4 16.7

4. Not Enrolled in College,

Vocational Training, or OJT

UK UK UK UK 1 4.2

5. Time Taken to Obtain Bachelor

Degree (Part-Time – Full Time)

a. Obtained Bachelors in 4

years or less (90-100% time)

3.5 - 29 3.5 -29.5

b. Obtained Bachelors in 4

years or less (90-100% time)

(African American)

1.2 - 12 UK 31 34.4 0 0

c. Obtained Bachelors in 4-6

years (101-150% time)

10 – 59.7 10 - 59.7

d. Obtained Bachelors in 4-6


(African American)

3.5 – 34.4 34.4 49 54.4 4 66.7

e. Obtained Bachelors in 6-8


14.4 -63.7 14.4 -63.7 8 8.9 0 0


219

Appendix C (continued)

College Commuters, Fulltime and Part-Time Attendance, and Time Taken to Obtain Bachelor

and Associate Degrees

Participant Category

Nation% State% Population (408) Sample (24)

# % # %

f. Obtained Bachelors in 8-12


(African American)

UK UK 2 2.2 2 33.3

6. Time Taken to Obtain Associates

Degree (Part-Time – Full Time)

a. Obtained Associates in

2 years or less (90-100%

time)

1.2 -2.8 1.2 - 2.8

b. Obtained Associates in

2 years or less (90-100%

time) (African American)

0.5 - 1 UK 1 8.3 1 50

c. Obtained Associates in

3 years (101-150% time)

3.6 -9.4 3.6 - 9.4

d. Obtained Associates in

3 years (101-150% time)

(African American)

1.1 - 3 UK 1 8.3 0 0

e. Obtained Associates in

4 years (151-200%)

7.8 – 16.5 16.5

f. Obtained Associates in

4 years (151-200%)

(African American)

2.8 - 5.3 UK 2 16.7 0 0

g. Obtained Associates in

4-9 years (201-500%)

(African American)

UK UK 8 66.7 1 50

UK = Unknown

Time is the Enemy, 2011; U.S. Department of Education, 2010


220

Appendix D

Forces Militating Against Achievement and Persistence in College

Obstacles and Requirements Description

Completing institutional

procedures

Applying for admission, registering, enrolling in classes, filing

petitions, obtaining financial aid, and procuring campus

housing.

Selecting appropriate courses

Fulfilling graduation requirements by completing 45-60 courses

in proper sequence and combination.

Reading and analyzing

college-level texts

24,000 to 40,000 pages of reading in courses leading to the

bachelor’s degree.

Achieving on tests Taking and achieving on 100 to 200 examinations.

Completing library research

and written assignments

Meeting academic standards and professor’s expectations.

Performing in laboratories

and studios and completing

other out-of-class

assignments

Demonstrating ability and motivation and budgeting time.

Negative External Forces Description

Lack of Money

To meet educational, living, and personal expenses.

Housing Problems Makes it impossible for students to find convenient and

affordable housing, or force them into living arrangements that

interfere with their learning.

Roommate Problems Interferes with learning or consume time and energy needed for

academic performance.

Transportation Problems Consume time and energy and creates additional financial

pressures on students who cannot afford to live on or near

campus.

Work Demands and Conflicts Consume time and energy needed for achievement, particularly

for those who work off campus or for those who must work

long hours to meet financial obligations.


221

Appendix D (Continued)


Negative External Forces Description

Social Demands

Includes personal relationships, involvement in organizations,

or other social demands that might be distracting and

detrimental to academic achievement.

Rejection by Loved Ones

Family or friends may not value a college education, or they

may be threatened by the decision to go to college.

Discrimination Particular ethnic groups perceive that they are discriminated

against, and in which certain majors cater more to one gender

than the other.

Family Obligations May consume time and energy necessary for academic

achievement, or parents who may have difficulty in letting go

and thus hinder performance and persistence.

Negative Internal Forces Description

Procrastination and other

self-management problems

Consumes student’s time and energy, which is his or her most

precious commodities.

Loneliness Separation from family and friends and a source of

discouragement. May question the decision to attend college.

Inability to Assert Needs and

Seek Help for Problems

Many college students fail to make their need and problems

known.

Self-Doubt Students frequently doubt their ability to succeed in college.

They view others as smarter, more able, or better prepared.

Fear of Failure Goes hand-in-hand with self-doubt. Student may fear that

failure will cost them someone’s love or esteem.

Fear of Success Success in college could result in additional responsibilities or

expectations for which they feel inadequate.

Fear of Rejection Both success and failure can lead to rejection by family

members and friends.

Value Conflicts Attending college produces internal value conflicts for some

students. May keep them from working to support families.


222

Appendix D (Continued)


Negative Internal Forces Description

Career Indecision May be undecided about career and conclude that they should

not be in school because they have no direction in their lives.

Boredom Classes may be uninspiring or unchallenging. College may be

less exciting than expected. Cannot find a way to get involved.

Anderson, 1985, pp. 46-50.


223

Appendix E

General Description of Program Participants

Participant Category Population (408) Sample (24)

# % # %

1. Number of Subjects 408 100 24 100

2. Gender

a. Female 270 66.2 12 50.0

b. Male 138 33.8 12 50.0

3. Race

a. Black 402 98.5 24 100

b. White 5 1.2 0 0

c. Asian 1 0.25 0 0

d. Hispanic 0 0 0 0

4. Limited English Proficiency (LEP) 0 0 0 0

5. Program Eligibility

a. Low Income & First Generation 301 73.8 18 75

b. Low Income Only 19 4.7 2 8.3

c. First Generation Only 88 21.6 4 16.7

6. Program Entry Grade

a. 8th

(summer prior to 9th

grade) 92 22.5 4 16.7

b. 9th

183 44.9 13 54.17

c. 10th

95 23.3 4 16.67

d. 11th

33 8.1 2 8.33

e. 12th

5 1.2 1 4.17

7. Time in Program

a. Average # Months in Program 31.8 100 29.9 5.9

b. Average # Years in Program 2.65 100 2.5 5.9

8. Grade Point Average (GPA)

All Participants = 408

a. Average Program Entry GPA 2.276 100 2.46 5.9

b. Average Program Exit GPA 2.289 100 2.26 5.9


Bachelor Degree Recipients (BDR) = 90

a. Average Program Entry GPA 2.88

(90)

22 3.06 (6) 25 (Sample)

b. Average Program Exit GPA 2.93

(90)

22 2.93 (6) 25 (Sample)


224

Appendix E (continued)



# % # %


Associate Degree Recipients (ADR=14)

a. Average Program Entry GPA 2.546 3.43 2.33 (2) 8.33 (Sample)

b. Average Program Exit GPA

2.596 3.43 1.84 (2) 8.33 (Sample)

11. Grade Point Average (GPA)—Students

who did not enroll in postsecondary

education (No enrollment = 41)

a. Average Program Entry GPA 2.13 10 2.33 (1) 100 (Sample)

b. Average Program Exit GPA

2.21 10 2.33 (1) 100 (Sample)

12. Students With Program Exit 2.5 GPA

or Greater

228 55.9 12 50

13. Students With Program Exit GPA Less

Than 2.5 GPA

180 44.1 12 50

14. Students Who Completed an All-

Course College Prep Curriculum

402 98.5 22 91.7

15. High School Completion

a. Graduated High School 405 99.3 23 95.8

b. Did Not Graduate High School

c.

3 0.7 1 4.2

16. Bridge Program Participants

273 66.9 10 41.7 (Sample)

17. BDR Bridge Program Participants

83 20.3 5 20.8 (Sample)

18. ADR Bridge Program Participants

14 3.4 1 4.2 (Sample)

19. All Participants Attending 2007

Dropout Factory Schools (8)

233 57.1 17

70.8 (Sample)

20. Bridge Program Participants Graduating

From 2007 Dropout Factory Schools (8)

151 37 5 20.8 (Sample)


225

Appendix E (continued)



# % # %

21. BDR Participants Graduating from

2007 Dropout Factory Schools (8)

43 10.5 2 8.3 (Sample)

22. ADR Participants Graduating from

2007 Dropout Factory Schools (8)

10 2.5 2 8.3 (Sample)

GPA= Grade Point Average

BDRs= Bachelor Degree Recipients

ADRs= Associate Degree Recipients



226

Appendix F

Postsecondary Attendance: 366 of 408 (population); 23 of 24 (sample)


# % # %

1

.

All Students in Population (408)

and Sample (24) Who Attended

Post-Secondary the Fall Term

Immediately After High School

295 72.3 15 62.5

2

.

BDRs in Population (90) and

Sample (6) Who Attended



85 20.8 6 100

3

.

ADRs in Population (14) and

Sample (2) Who Attended



14 3.4 1 50

4

.

Post-Secondary Education of

405 High School Graduates

a. BDR Recipients Only 90 22.1 6 25

b. ADR Recipients Only 14 3.4 2 8.3

c. Certificate/Diploma (1-2-years) 3 0.7 0 0

d. On-the-Job Training 1 0.2 1 4.2

e. Currently Enrolled in

Post-Secondary Education

154 37.7 12 50

1. College 148 36.3 11 45.8

2. Vocational Training 6 1.5 1 4.2

f. Dropped Out of

Post-Sec Ed. Before

Completion

107 26.2 2 8.3

g. Did Not Enroll in

Post-Secondary Education

BDRs= Bachelor Degree Recipients

ADRs= Associates Degree Recipients

41 10.1 1 4.2



227

Appendix G

Definitions of College Admission Selectivity

Level % of Applicants

Selected for Admission

Examples

1. Most

Competitive

1% to 30%

University of Michigan

SAT CR/M/W: 640/690/660

ACT: 30

2. Highly

Competitive+

30% to 50%

Ohio State Univ. Columbus

SAT CR/M/W: 630/620/600

ACT: 29

3. Highly

Competitive

50% to 60%

Purdue University W. Laf..

SAT CR/M/W: 570/640/570

ACT: 28

4. Very

Competitive+

50% to 65%

Univ. of Tennessee Knox.

SAT CR/M: 580/590

ACT: 27

5. Very Competitive

50% to 75%

University of Cincinnati

SAT CR/M/W: 565/590/550

ACT: 25

6. Competitive+

30% to 90%

West Virginia University

SAT CR/M: 512/533

ACT: 24

7. Competitive

30% to 95%

Central State University

SAT CR+M: 720

ACT: 15

8. Less Competitive

30% to 95%

Clark Atlanta University

SAT CR/M: 430/420

ACT: 18

9. Special Arts

College

30% to 95%

Berklee College of Music

SAT or ACT: Required

Recommendation Letter

2.0 GPA

10. Non-Competitive Open Enrollment

96% to 100%

High school graduates or

GED recipients are accepted.

Barron’s Profiles of American Colleges, 2016; U.S. News and World Report Best College

Rankings, 2016


228

Appendix H

Selectivity of Postsecondary Institutions (PSI) Attended by Study Population (408) and Sample (24)

72 Postsecondary Institutions Attended

by Population (408) and Sample (24)

# of Students

in Population

Attending

PSI (363)

Admissions Selectivity %

# of Students

in Sample

Attending

PSI (22)*

1. University of Michigan 1 1—Most Competitive (32.2%)

2. Ohio State University 10 2—Highly Competitive+ (53%) 1

3. Purdue Univ. W. Lafayette 1 3—Highly Competitive (59.2%)

4. University of Tampa 1 5—Very Competitive (51.9%)

5. Grand Canyon University 1 5—Very Competitive (54.8%)

6. Hollins University (VA) 1 5—Very Competitive (56.6%)

7. Georgia State University 1 5—Very Competitive (57.1%)

8. University of Dayton 2 5—Very Competitive (59.0%)

9. Miami University (Ohio) 8 5—Very Competitive (65.8%)

10. Univ. of Detroit Mercy 1 5—Very Competitive (66.3%)

11. Xavier University (OH) 1 5—Very Competitive (73.2%)

12. University of Cincinnati 89 5—Very Competitive (76.0%) 6

13. U of Alabama Tuscaloosa 1 6—Competitive+ (51.1%)

14. Ohio Wesleyan University 1 6—Competitive+ (74.3%)

15. W. VA Univ. Morgantown 1 6—Competitive+ (85.8%)

16. Wittenberg University 2 6—Competitive+ (91.4%)

17. Hampton Univ (HBCU) 2 7—Competitive (29.1%)

18. Berea College 3 7—Competitive (33.7%) 1

19. Central State Univ (HBCU) 13 7—Competitive (37.7%)

20. N.C. Central Univ. (HBCU) 1 7—Competitive (43.2%)

21. Wilmington College 4 7—Competitive (46.0%)

22. Tuskegee Univ. (HBCU) 4 7—Competitive (47.9%)

23. Howard Univ. (HBCU) 2 7—Competitive (48.4%)

24. Tennessee State U (HBCU) 3 7—Competitive (53.0%)

25. Alabama A & M U (HBCU) 3 7—Competitive (53.2%)

26. Bowling Green State Univ 2 7—Competitive (53.4%) 1

27. Ball State University 1 7—Competitive (59.9%)

28. Philadelphia University 1 7—Competitive (63.9%)

29. Xavier University (LA) 2 7—Competitive (66.0%)

30. Eastern Michigan Univ. 1 7—Competitive (68.8%)

31. New Mexico State Univ. 1 7—Competitive (69.6%) 1


229

Appendix H (continued)

Selectivity of Postsecondary Institutions (PSI) Attended by Study Population (408) and Sample (24)



# of Students

in Population

Attending

PSI (363)


# of Students

in Sample

Attending

PSI (22)*

32. Ohio University 2 7—Competitive (74.3%)

33. Wayne State University 1 7—Competitive (77.3%) 1

34. Mercyhurst University 1 7—Competitive (80.3%)

35. Kent State University 4 7—Competitive (84.4%)

36. Morehead State University 1 7—Competitive (84.4%)

37. Mt. St. Joseph University 4 7—Competitive (87.6%)

38. Thomas More College 1 7—Competitive (93.2%)

39. Northern Kentucky Univ. 10 7—Competitive (93.3%) 1

40. University of Toledo 5 7—Competitive (94.7%)

41. University of Akron 1 7—Competitive (95.7%) 1

42. Ashford University 3 7—Competitive (96-100%)

43. Piedmont College GA 1 7—Competitive (96-100%)

44. Wright State University 17 7—Competitive (96-100%)

45. Jackson State Univ. (HBCU) 1 8—Less Competitive (26.1%)

46. Kentucky State U (HBCU) 12 8—Less Competitive (47.7%)

47. Florida A & M University 1 8—Less Competitive (49.0%)

48. Alabama State U (HBCU) 2 8—Less Competitive (53.3%)

49. Tiffin University 2 8—Less Competitive (54.0%)

50. N. Carolina A&T U (HBCU) 5 8—Less Competitive (57.1%)

51. Norfolk State Univ. (HBCU) 1 8—Less Competitive (65.0%)

52. Univ. of Indianapolis 1 8—Less Competitive (66.5%)

53. Clark Atlanta U (HBCU) 1 8—Less Competitive (84.7%) 1

54. Columbia College Chicago 1 8—Less Competitive (90.5%)

55. Berklee College of Music 1 9—Special Arts (35.0%)

56. Univ. of MD U College 1 9—Special Arts (96-100%)

57. Chicago Truman CC 1 10—Non-Comp (96-100%)

58. Cincinnati State Tech CC 89 10—Non-Comp (96-100%) 4

59. Columbus State CC 1 10—Non-Comp (96-100%)

60. DeVry Univ. Norwood 1 10—Non-Comp (96-100%) 1

61. GA Perimeter CC 1 10—Non-Comp (96-100%)

62. ITT Tech Institute (FP) 5 10—Non-Comp (96-100%)


230

Appendix H (continued)

Selectivity of Postsecondary Institutions (PSI) Attended by Study Population (408) and Sample (24):

Barron’s Profiles of American Colleges 2016



# of Students

in Population

Attending PSI

(363)


# of Students

in Sample

Attending PSI

(22)*

63. LA City Comm. Coll. (CA) 1 Non-Competitive (96-100%)

64. Marion Tech CC 1 Non-Competitive (96-100%)

65. Milwaukee Tech CC 1 Non-Competitive (96-100%)

66. National College 4 Non-Competitive (96-100%)

67. Regency Beauty Institute 2 Non-Competitive (96-100%)

68. Rio Salado CC (AZ) 1 Non-Competitive (96-100%)

69. Sinclair Community College 3 Non-Competitive (96-100%)

70. Univ. of Phoenix (FP) 5 Non-Competitive (96-100%) 2

71. University of Pikeville KY 1 Non-Competitive (96-100%)

72. State-Tested Nurse Assistant

(STNA)--2-Week Program

1 Non-Competitive (96-100%) 1

CC = Community College

FP = For Profit College or University

HBCU = Historically Black Colleges

and Universities

*2 students in sample (24) did not enroll in

postsecondary institutions

Admissions Selectivity %:

1—Most Competitive (1-30%)

2—Highly Competitive+ (30-5%)

3—Highly Competitive (50-60%)

4—Very Competitive+ (50-65%)

5—Very Competitive (50-75%)

6—Competitive+ (30-90%)

7—Competitive (30-95%)

8—Less Competitive (30-95%)

9—Special Arts College (30-95%)

10—Non-Competitive (96-100%)

Barron’s Profiles of American Colleges, 2016; U.S. News and World Report Best College Rankings,

2016


231

Appendix I



33 Postsecondary Institutions

Attended by Bachelor Degree

Recipients (BDRs) in

Population (90) and Sample ( 6)

# of Students

in Population

Attending

PSI (90)


# of BDRs

in Sample

Attending

PSI (6)

1. Univ. of Michigan 1 1—Most Competitive (32.2%)

2. Ohio State University 10 2—Highly Competitive+ (53%)

3. Univ. of Tampa 1 5—Very Competitive (51.9%)

4. Hollins Univ. (VA) 1 5—Very Competitive (56.6%)

5. University of Dayton 1 5—Very Competitive (59.0%)

6. Miami University (Ohio) 8 5—Very Competitive (65.8%)

7. Univ. of Detroit Mercy 1 5—Very Competitive (66.3%)

8. University of Cincinnati 23 5—Very Competitive (76.0%) 3

9. Hampton Univ (HBCU) 2 7—Competitive (29.1%)

10. Berea College 3 7—Competitive (33.7%) 1

11. Central State Univ (HBCU) 13 7—Competitive (37.7%)

12. N.C. Central Univ. (HBCU) 1 7—Competitive (43.2%)

13. Wilmington College 3 7—Competitive (46.0%)

14. Tuskegee University (HBCU) 2 7—Competitive (47.9%)

15. Howard Univ. (HBCU) 1 7—Competitive (48.4%)

16. Tennessee State U (HBCU) 1 7—Competitive (53.0%)

17. Alabama A & M U (HBCU) 3 7—Competitive (53.2%)

18. Philadelphia University 1 7—Competitive (63.9%)

19. Xavier Univ. (LA) (HBCU) 1 7—Competitive (66.0%)

20. New Mexico State U. 1 7—Competitive (69.6%) 1

21. Mercyhurst University 1 7—Competitive (80.3%)

22. Kent State University 2 7—Competitive (84.4%)

23. Mt. St. Joseph University 4 7—Competitive (87.6%)

24. Thomas More College 1 7—Competitive (93.2%)

25. Northern Kentucky Univ. 10 7—Competitive (93.3%)

26. University of Toledo 1 7—Competitive (94.7%)

27. Wright State University 11 7—Competitive (96-100%)

28. Jackson State Univ. (HBCU) 1 8—Less Competitive (26.1%)

29. Kentucky State U (HBCU) 7 8—Less Competitive (47.7%)

30. N.C. A&T U (HBCU) 5 8—Less Competitive (57.1%)


232

Appendix I (continued)




Attended by Bachelor Degree

Recipients (BDRs) in

Population (90) and Sample ( 6)

# of Students

in Population

Attending

PSI (90)


# of BDRs

in Sample

Attending

PSI (6)

31. Univ. of Indianapolis 1 8—Less Competitive (66.5%)

32. Clark Atlanta U (HBCU) 2 8—Less Competitive (84.7%) 1

33. Norfolk State Univ. (HBCU) 1 8—Less Competitive (65.0%)


HBCU = Historically Black Colleges

and Universities

Admissions Selectivity %:

1—Most Competitive (1-30%)

2—Highly Competitive+ (30-5%)

3—Highly Competitive (50-60%)

4—Very Competitive+ (50-65%)

5—Very Competitive (50-75%)

6—Competitive+ (30-90%)

7—Competitive (30-95%)

8—Less Competitive (30-95%)

9—Special Arts College (30-95%)

10—Non-Competitive (96-100%)

Barron’s Profiles of American Colleges, 2016; U.S. News and World Report Best College Rankings,

2016


233

Appendix J

Carnegie Classification of Higher Education Institutions (HEI) Attended by Study Population

(408) and Sample (24): Type and Size

72 Postsecondary

Institutions Attended

by Population (408)

and Sample (24)

# of

Students in

Population

Attending

HEI (363)

Classifications

of Higher Education Institutions

(Type and Size)

# of

Students in

Sample

Attending

HEI (22)*

1. Ohio State University

10

Research University--Very High Activity

Large Public

1

2. Purdue University West

Lafayette

1 Research University--Very High Activity

Large Public

3. Wayne State University 1 Research University--Very High Activity

Large Public

1

4. University of Cincinnati 89 Research University--Very High Activity

Large Public

6

5. University of Michigan 1 Research University--Very High Activity

Large Public

6. Bowling Green State U 2 Research University—High Activity Large

Public

1

7. Ball State Univ. 1 Research University—High Activity Large

Public

8. Kent State University 4 Research University—High Activity Large

Public

9. Miami University 8 Research University—High Activity Large

Public

10. New Mexico State Univ. 1 Research University—High Activity Large

Public

1

11. Ohio University 2 Research University—High Activity

Large Public

12. Georgia State University 1 Research University—High Activity

Large Public

13. University of Akron 1 Research University—High Activity

Large Public

1

14. University of Alabama

Tuscaloosa

1 Research University—High Activity

Large Public


234

Appendix J (continued)



72 Postsecondary


by Population (408)

and Sample (24)

# of

Students in

Population

Attending

HEI (363)

Classifications


(Type and Size)

# of

Students in

Sample

Attending

HEI (22)*

15. University of Toledo

5

Research University—High Activity

Large Public

16. Jackson State University 1 Research University—High Activity

Medium Public (HBCU)

17. Howard University

(HBCU)

2 Research University—High Activity

Medium Private Non-Profit (HBCU)

18. University of Dayton 2 Research University—High Activity

Medium Private Non-Profit

19. West Virginia

University Morgantown

1 Research Universities--High Activity

Large Public

20. Wright State University 17 Research University—High Activity

Large Public

21. Florida A&M University

(HBCU)

1 Doctoral Research Universities

Large Public (HBCU)

22. Clark Atlanta University

(HBCU)


Medium Private Non-Profit (HBCU) 1

23. North Carolina A&T

University (HBCU)


Medium Public

24. Tennessee State

University (HBCU)



25. Eastern Michigan

University

1 Masters—Large Institutions

Large Public

26. Ashford University (IA) 3 Masters—Large Institutions

Large Private for-Profit

27. Alabama A&M

University (HBCU)




235




72 Postsecondary


by Population (408)

and Sample (24)

# of

Students in

Population

Attending

HEI (363)

Classifications


(Type and Size)

# of

Students in

Sample

Attending

HEI (22)*

28. Alabama State

University (HBCU)



29. Morehead State Univ. 1 Masters—Large Institutions

Medium Public

30. Piedmont College (GA) Masters—Large Institutions

Small Private Non-Profit

31. North Carolina Central

University (HBCU)



32. Norfolk State (HBCU) 1 Masters—Large Institutions


33. Northern Kentucky Univ 10 Masters—Large Institutions

Large Public 1

34. Philadelphia University 1 Masters—Large Institutions


35. Univ. of Indianapolis 1 Masters—Large Institutions


36. Tiffin University 2 Masters--Large Institutions


37. Xavier University (OH) 1 Masters—Large Institutions


38. Univ. of Detroit Mercy 1 Masters—Large Institutions


39. Grand Canyon Univ. 1 Masters—Large Institutions

Large—Private For Profit

40. University of Tampa 1 Masters--Large Institutions


41. Columbia College

Chicago

1 Masters—Medium Institutions

Large Private Non-Profit

42. Hampton University 2 Masters—Medium Institutions



236




72 Postsecondary


by Population (408)

and Sample (24)

# of

Students in

Population

Attending

HEI (363)

Classifications


(Type and Size)

# of

Students in

Sample

Attending

HEI (22)*

43. College of Mt. Saint

Joseph

4 Masters—Medium Institutions


44. DeVry Univ. OH (FP) 1 Masters—Medium Institutions

Small Private For-Profit 1

45. Mercyhurst College 1 Masters—Small Institutions


46. Thomas More College 1 Masters—Small Institutions


47. Berea College 3 Baccalaureate Colleges—A & S

Small Private Non-Profit 1

48. Kentucky State (HBCU) 12 Baccalaureate Colleges—A & S

Small Public (HBCU)

49. Hollins University (VA) 1 Baccalaureate Colleges—A & S

Very Small Private Non-Profit

50. Ohio Wesleyan Univ. 1 Baccalaureate Colleges--A & S


51. Wittenberg University 2 Baccalaureate Colleges—A &S


52. Xavier University (LA)

(HBCU)

2 Baccalaureate Colleges—A & S


53. Pikeville College (KY) 1 Baccalaureate Colleges--A & S


54. Central State University

(HBCU)

13 Baccalaureate Colleges—Diverse

Small Public (HBCU)

55. Tuskegee University

(HBCU)


Small Private Non-Profit (HBCU)

56. Wilmington College 4 Baccalaureate Colleges--Diverse Fields


57. Berklee College of Music 1 Special Focus—Art/Music/Design

Private Non-Profit


237




72 Postsecondary


by Population (408)

and Sample (24)

# of

Students in

Population

Attending

HEI (363)

Classifications


(Type and Size)

# of

Students in

Sample

Attending

HEI (22)*

58. University of Phoenix (FP)

5

Special Focus Institutions—Business /

management

Special focus institution Private

For-Profit

2

59. ITT Tech Institute (FP) 5 Special Focus Institutions--Other

technology-related schools

Small Private For-profit

60. Chicago Truman CC 1 Associates--Public Urban-Multi-Camp

Large Public

61. Los Angeles City

College

1 Associates--Public Urban-Multi-Camp

Very Large Public

62. Milwaukee Technical

College

1 Associates--Public Urban-Multi-Camp

Very Large Public

63. Rio Salado CC (AZ) 1 Associates--Public Urban-Multi-Camp

Large Public

64. Cincinnati State

Technical CC

89 Associates—Public Urban-Single Camp

Large Public

4

65. Columbus State CC 1 Associates—Public Urban-Single Camp

Very Large Public

66. Sinclair Community

College

3 Associates--Public Urban--Single

Campus Very Large Public

67. Georgia Perimeter CC 1 Associates--Suburban- Multi-Campus

Very Large Public

68. Marion Tech. College

(OH)

1 Associates—Public Rural-serving Medium

Small Public

69. National College (FP) 4 Associates

Very Small Private For-profit


238




72 Postsecondary


by Population (408)

and Sample (24)

# of

Students in

Population

Attending

HEI (363)

Classifications


(Type and Size)

# of

Students in

Sample

Attending

HEI (22)*

70. University of Maryland

(University College)

1 Open Enrollment

Large Public

71. Regency Beauty

Institute

2

Open Enrollment

Vocational Institution

72. State Tested Nurse

Assistant (STNA)

1 Open Enrollment

2-Week Vocational Program 1

Classifications of Higher Ed Institutions:

Research Univ.--Very High Activity

Research Univ.—High Activity

Doctoral Research Universities

Masters—Large Institutions

Masters—Medium Institutions

Masters—Small Institutions

Baccalaureate Colleges—A & S

Baccalaureate Colleges—Diverse

Special Focus—Art/Music/Design

*2 students in sample (24) did not enroll in

postsecondary institutions

Special Focus Institutions—Business/Management

Special Focus Institutions-Other Technology

Associates--Public Urban-Multi-Campus

Associates--Public Urban-Single-Campus

Associates--Public Suburb- Multi-Campus

Associates—Public Rural-serving Medium

Associates-- Very Small Private For-profit

Open Enrollment--Large Public

Carnegie Classification, 2012; The College Handbook, 2012; U.S. Dept. of Education; U.S.

Department of Education, 2010; U.S. Department of Education, 2011; U.S. News and World

Report College Rankings, 2016


239

Appendix K

Carnegie Classification of Higher Education Institutions (HEI) Attended by Bachelor Degree

Recipients in Study Population (90) and Sample (6): Type and Size

33 Postsecondary

Institutions Attended by

Bachelor Degree Recipients

(BDRs)

# of

Students

in

Population

Attending

HEI (90)

Classifications


(Type and Size)

# of

Students

in Sample

Attending

HEI (6)

1. Ohio State University

7

Research University--Very High Activity

Large Public

2. University of Cincinnati 23 Research University--Very High Activity

Large Public

3

3. University of Michigan 1 Research University--Very High Activity

Large Public

4. Howard Univ.(HBCU) 1 Research University—High Activity


5. Jackson State U (HBCU) 1 Research University—High Activity


6. Kent State University 2 Research University—High Activity

Large Public

7. Miami University 3 Research University—High Activity

Large Public

8. New Mexico State 1 Research University—High Activity

Large Public

1

9. University of Dayton 1 Research University—High Activity

Medium Private Non-Private

10. University of Toledo 1 Research University—High Activity

Large Public

11. Wright State Univ. 11 Research University—High Activity

Large Public

12. Clark Atlanta U (HBCU) 2 Doctoral Research Universities


1

13. N. Carolina A&T (HBCU) 1 Doctoral Research Universities

Medium Public Non-Profit (HBCU)

14. Tennessee State (HBCU) 1 Doctoral Research Universities


15. Alabama A & M (HBCU) 1 Masters—Large Institutions



240

Appendix K (continued)

Carnegie Classification of Higher Education Institutions (HEI) Attended by Bachelor Degree

Recipients in Study Population (90) and Sample (6): Type and Size

33 Postsecondary



(BDRs)

# of

Students

in

Population

Attending

HEI (90)

Classifications


(Type and Size)

# of

Students

in Sample

Attending

HEI (6)

16. North Carolina Central

University (HBCU)

1



17. Northern Kentucky Univ. 1 Masters—Large Institutions

Large Public Non-Profit

18. Philadelphia University 1 Masters—Large Institutions


19. Univ. of Detroit Mercy 1 Masters—Large Institutions


20. Univ. of Indianapolis 1 Masters—Large Institutions


21. Univ. of Tampa 1 Masters—Large Institutions


22. Norfolk State University

(HBCU)



23. College of Mt. St. Joseph 1 Masters—Medium Institutions


24. Hampton Univ. (HBCU) 1 Masters—Medium Institutions


25. Mercyhurst College 1 Masters—Small Institutions


26. Thomas More College 1 Masters—Small Institutions


27. Berea College 2 Baccalaureate Colleges—A & S


1

28. Kentucky State University

(HBCU)


Small Public (HBCU)

29. Hollins University (VA) 1 Baccalaureate Colleges—A & S


30. Xavier University (LA)

(HBCU)




241

Appendix K (continued)

Carnegie Classification of Higher Education Institutions Attended by Bachelor Degree Recipients

in Study Population (90) and Sample (6): Type and Size

33 Postsecondary



(BDRs)

# of

Students

in

Population

Attending

HEI (90)

Classifications


(Type and Size)

# of

Students

in Sample

Attending

HEI (6)

31. Central State U (HBCU)

6


Small Public (HBCU)

32. Tuskegee University

(HBCU)


Small Private Non-Profit (HBCU)

33. Wilmington College 3 Baccalaureate Colleges—Diverse Fields


CC= Community College

HBCU = Historically Black Colleges and Universities

Classifications of Higher Ed Institutions:

Research Univ.--Very High Activity

Research Univ.—High Activity

Doctoral Research Universities


Masters—Medium Institutions

Masters—Small Institutions

Baccalaureate Colleges—A & S


Special Focus—Art/Music/Design

Special Focus Institutions—Business/Man.

Special Focus Institutions-Other Technology

Associates--Public Urban-Multi-Campus

Associates--Public Urban-Single-Campus

Associates--Public Suburb- Multi-Campus

Associates—Public Rural-serving Medium

Associates-- Very Small Private For-profit

Open Enrollment--Large Public

Carnegie Classification, 2012; The College Handbook, 2012; U.S. Dept. of Education; U.S.

Department of Education, 2010; U.S. Department of Education, 2011; U.S. News and World

Report College Rankings, 2016


242

Appendix L

National Higher Education Enrollment by Race of Students and Type of Institution

All Students

%

White

%

Black

%

Hispanic

%

Asian

%

Native Am

%

Public

Doctoral

19

21

13

13

25

16.5

Private

Nonprofit

4-Year

Doctoral

6

5

3

3

10

3

Public

4-Year

Other

18

19

17.8

18.5

16.5

21

Private

Nonprofit

4-Year

Other

13

14

12

7

8.5

8.5

For-Profit

4-Year

7

6

14

7

4

8

Public

2-Year

35

33

36

47.5

36

41

For-Profit

2-Year

2

1

4

3

1

2

Black and Hispanic students are underrepresented at some kinds of colleges, like public

doctorate-granting institutions, and overrepresented at others, like public two-year institutions.

That matters because those different institutions have different models and levels of resources

for educating students. Percentages for total enrollment include nonresident foreigners,

full and part-time undergraduates and graduate students. Percentages are rounded.

Source: Chronicle analysis of U.S. Education Department data.

The Chronicle of Higher Education, Almanac of Higher Education, 2011


243

Appendix M

National Higher Education Enrollment by Race of Students and Type of Institution vs. Study

Population, Bachelor Degree Recipients (BDRs), and Sample

70 Higher Ed

Institutions

Total in Study

Population

All

%

White

Students

%

Black

Students

%

*Study

Pop.

%

*Study

Pop.

BDRs

%

*Sample

%

*Sample

BDRs

%

Public Doctoral (21)

19

21

13

43

57.8

50

66.7

Private Nonprofit

4-Year Doctoral (3)

6

5

3

1.4

3.3

4.5

16.7

Public 4-Year

Other (10)

18 19 17.8 12.4 18.9 4.5 0

Private Nonprofit

4-Year Other (21)

13 14 12 9.9 16.7

4.5 16.7

For-Profit 4-Year (5)

7

6

14

4.1

0

13.6

0

Public 2-Year (9)

35

33

36

27.3

0

18.2

0

For-Profit 2-Year (1)

2

1

4

1.1

0

0

0

All of the former students in the study sample and sample BDRs are Black.

*Study Population = 363 Former Students in Higher Education (Colleges and Universities)

*Bachelor Degree Recipients (BDRs) From Population = 90 Former Students

*Study Sample = 21 Former Students in Higher Education (Colleges and Universities)

*Bachelor Degree Recipients (BDRs) From Sample = 6 Former Students

The Chronicle of Higher Education, Almanac of Higher Education, 2011; U.S. Department of

Education, 2010


244

Appendix N

U.S. News and World Report 2016 Best College Rankings of Institutions Attended By Study



Attended by Population (408)

and Sample (24)

# of

Students in

Population

Attending

Institution

(408)

2016 Best College Rankings for

1600 National Colleges

and Universities

# of

Students

in Sample

Attending

Institution

(24)

1. University of Michigan 1 National University--Ranked #29

2. Ohio State University 10 National University--Ranked #52 1

3. Purdue Univ. W. Lafayette 1 National University--Ranked #61

4. Miami University 8 National University--Ranked #82

5. U of Alabama (Tuscaloosa) 1 National University--Ranked #96

6. University of Dayton 2 National University--Ranked #108

7. Howard University (HBCU) 2 National University--Ranked #135

8. Ohio University 2 National University--Ranked #135

9. University of Cincinnati 89 National University--Ranked #140 6

10. Ball State University 1 National University--Ranked #168

11. Kent State University 4 National University--Ranked #175

12. WV University Morgantown 1 National University--Ranked #175

13. Bowling Green St 2 National University--Ranked #185 1

14. New Mexico State Univ. 1 National University--Ranked #199 1

15. Clark Atlanta Univ. (HBCU) 1 National University--RNP 1

16. Florida A & M Univ.(HBCU) 1 National University--RNP

17. Georgia State University 1 National University--RNP

18. Jackson State Univ. (HBCU) 1 National University--RNP

19. N. Carolina A&T (HBCU) 5 National University--RNP

20. Tennessee State U. (HBCU) 3 National University--RNP

21. University of Akron 1 National University--RNP 1

22. University of Phoenix (FP) 5 National University--*UR

Regional University West--*UR

2

23. University of Toledo 5 National University--RNP

24. Wayne State University 1 National University--RNP 1

25. Wright State University 17 National University--RNP

26. Berea College 3 National Liberal Arts College--#67 1

27. Hollins University (VA) 1 National Liberal Arts College--#108


245

Appendix N (continued)





and Sample (24)

# of

Students in

Population

Attending

Institution

(408)


1600 National Colleges and

Universities

# of

Students

in Sample

Attending

Institution

(24)

28. Ohio Wesleyan University 1 National Liberal Arts College--#108

29. Wittenberg University 2 National Liberal Arts College--#148

30. Kentucky State Univ. (HBCU) 12 National Liberal Arts College--*RNP

31. Xavier Univ. (LA) (HBCU) 2 National Liberal Arts College--*RNP

32. University of Pikeville (KY) 1 National Liberal Arts College--*RNP

33. Xavier University (OH) 1 Regional University Midwest--#6

34. Tuskegee University (HBCU) 4 Regional University South--#10

35. Hampton University (HBCU) 2 Regional University South--#18

36. University of Tampa 1 Regional University South--#22

37. University of Detroit Mercy 1 Regional University Midwest--#23

38. University of Indianapolis 1 Regional University Midwest--#30

39. Mercyhurst College 1 Regional University North--#41

40. Piedmont College (GA) 1 Regional University South--#53

41. Thomas More College 1 Regional University South--#53

42. Wilmington College 4 Regional College Midwest--#54

43. Philadelphia University 1 Regional University North--#58

44. Morehead State University 1 Regional University South--#61

45. NC Central University (HBCU) 1 Regional University South--#65

46. Mt. St. Joseph University 4 Regional University Midwest--#68

47. Tiffin University 2 Regional University Midwest--#68

48. Northern Kentucky University 10 Regional University South--#80 1

49. Eastern Michigan University 1 Regional University Midwest--#85

50. Alabama A & M U. (HBCU) 3 Regional University South--*RNP

51. Alabama State Univ. (HBCU) 2 Regional University South--*RNP

52. Ashford University 3 Regional University West--*UR

53. Central State Univ. (HBCU) 13 Regional College Midwest--RNP

54. Grand Canyon University 1 Regional University West--*RNP

55. Norfolk State University 1 Regional University South--*RNP


246

Appendix N (continued)





and Sample (24)

# of

Students in

Population

Attending

Institution

(408)


1600 National Colleges and

Universities

# of

Students

in Sample

Attending

Institution

(24)

56. Columbia College Chicago 1 Regional University Midwest--*RNP

57. Berklee Coll. of Music 1 *UR

58. Chicago Truman CC 1 *UR

59. Cincinnati State Tech. CC 89 *UR 4

60. Columbus State CC 1 *UR

61. DeVry Univ. Norwood (FP) 1 *UR 1

62. Georgia Perimeter CC 1 *UR

63. ITT Tech Institute (FP) 5 *UR

64. Marion Technical CC 1 *UR

65. Milwaukee Technical CC 1 *UR

66. National College (FP) 4 *UR

67. Rio Salado CC (AZ) 1 *UR

68. Sinclair Community College 3 *UR

69. Univ. of Maryland U College 1 *UR

70. Los Angeles City CC 1 *UR

71. Regency Beauty Institute 2 *UR

72. State Tested Nurse Assistant 1 *UR-- 2-Week Program 1



HBCU = Historically Black Colleges and

Universities

2016 Best College Rankings (1600)

National University (280)

National Liberal Arts College (251)

Regional Univ.--N, S, E, W (626)

Regional College--N, S, E, W (370)

RNP = Rank Not Published

*UR = Unranked

Carnegie Classification, 2012; The College Handbook, 2012; U.S. Department of Education, 2011;

U.S. News, 2016


247

Appendix O

U.S. News and World Report 2016 Best College Rankings of Institutions Attended by Bachelor

Degree Recipients in Study Population (408) and Sample (24)

33 Colleges /Vocational Training

Schools Attended by Bachelor Degree

Recipients (BDRs)

# of

Students in

Population

Attending

Institution

(90)



and Universities

# of

Students

in Sample

Attending

Institution

(6)

1. Univ. of Michigan

1

National University—Ranked #29

2. Ohio State University 7 National University—Ranked #52

3. Miami University 3 National University—Ranked #82

4. University of Dayton 1 National University—Ranked #108

5. Howard University (HBCU) 1 National University—Ranked #135

6. University of Cincinnati 23 National University—Ranked #140 3

7. Kent State University 2 National University—Ranked #175

8. New Mexico State 1 National University— Ranked #199 1

9. Clark Atlanta Univ. (HBCU) 2 National University---RNP 1

10. Jackson State Univ. (HBCU) 1 National University—RNP

11. N. Carolina A&T U (HBCU) 1 National University—RNP

12. Tennessee State U. (HBCU) 1 National University—RNP

13. University of Toledo 1 National University—RNP

14. Wright State University 11 National University—RNP

15. Berea College 2 National Liberal Arts College--#67 1

16. Hollins University (VA) 1 National Liberal Arts College--#108

17. Kentucky State Univ. (HBCU) 7 National Liberal Arts College--RNP

18. Xavier Univ. (LA) (HBCU) 1 National Liberal Arts College--RNP

19. Tuskegee Univ. (HBCU) 2 Regional University South--#10

20. Hampton University (HBCU) 1 Regional University South--#18

21. University of Tampa 1 Regional University South--#22

22. University of Detroit Mercy 1 Regional University Midwest--#23

23. University of Indianapolis 1 Regional University Midwest--#30

24. Mercyhurst College 1 Regional University North--#41

25. Thomas More College 1 Regional University South--#53

26. Wilmington College 3 Regional College Midwest--#54

27. Philadelphia University 1 Regional University North--#58


248

Appendix O (continued)

U.S. News and World Report 2016 Best College Rankings of Institutions Attended by Bachelor

Degree Recipients in Study Population (408) and Sample (24)

33 Colleges /Vocational Training

Schools Attended by Bachelor Degree

Recipients (BDRs)

# of

Students in

Population

Attending

Institution

(90)



and Universities

# of

Students

in Sample

Attending

Institution

(6)

28. NC Central University (HBCU) 1 Regional University South--#65

29. Mt. St. Joseph University 1 Regional University Midwest--#68

30. Northern Kentucky Univ. 1 Regional University South--#80

31. Alabama A & M Univ. (HBCU) 1 Regional University South--RNP

32. Norfolk State Univ. (HBCU) 1 Regional University South--RNP

33. Central State Univ. (HBCU) 6 Regional College Midwest--RNP

CC= Community College


HBCU= Historically Black Colleges

and Universities

2016 Best College Rankings (1600)

National University (280)

National Liberal Arts College (251)

Regional Univ.--N, S, E, W (626)

Regional College--N, S, E, W (370)

RNP= Rank Not Published

*UR= Unranked

Carnegie Classification, 2012; The College Handbook, 2012; U.S. Department of Education, 2011;

U.S. News, 2016


249

Appendix P

Former TRIO Upward Bound Student Suggestions for Program Improvement

Areas for Improvement Suggestions

Schools

Improve schools’ awareness of the program. Provide more

recruitment and outreach to alternative schools.

Alumni Provide more outreach activities and opportunities for TRIO

Upward Bound alumni to come and help with the program.

Family

Expand parental and guardian involvement.

Expand the concept of family from students and staff to include

parents, siblings, and community members.

Political Action

Encourage students to take political action regarding the

continuation of the TRIO Upward Bound program.

Encourage more factual-based thinking and less political thinking

about the TRIO Upward Bound program.

Students

Required more student accountability for program attendance.

Provide more pressure and encouragement for students to stay

focused. Encourage students to complete the program and become

a success in life.

Help students to not only focus on getting into college, but staying

in college.

Program Services

Discuss other goals that students may want to obtain besides

college, such as getting a car, an apartment, etc.

Provide a counselor to follow-up on students who are no longer in

the program to help them with college and life in general, such as

finances.

Provide ways for former TRIO Upward Bound students to stay in

contact, such as a blog, a reunion, a TRIO Alumni Society, for

example.


250

Appendix P (continued)

Former TRIO Upward Bound Student Suggestions for Program Improvement

Areas for Improvement Suggestions

Program Services

(continued)

Provide ways to get more college students involved in the program

to provide their perspectives about college.

Special Opportunities

and Experiences

Introduce the idea of studying abroad by having a banquet or

reception where students can meet and fellowship with study

abroad students.

Provide students with more opportunities to meet with other TRIO

Upward Bound students across the state.

Provide more male Tutor Advisors (summer program college

workers) for the benefit of male and female students.

Provide more experiences like the UB TRIO Olympics and stays in

out-of-town hotels.

Reinstate the end-of-the-year college and cultural tours to

encourage the students to stay on top of their work during the

summer program.

Funding Provide more funding to expand jobs for TRIO Upward Bound

students. Stipends are insufficient for student needs.

Provide more funding for additional field trips and college visits to

get the students’ attention by making TRIO Upward Bound fun.

Provide more funding for the maintenance and expansion of the

TRIO Upward Bound programs at the universities.

Provide more funding to provide modern technology and to expand

extracurricular activities and the TRIO Upward Bound Bridge

Program.

Provide more funding to allow every student who is eligible and

interested to participate in the program. Provide increases of the

TRIO Upward Bound budget so programs can do what they deem

necessary for the students.


251

Appendix Q: Study Instruments

Instrument A: Recruitment Script 248

Instrument B: Adult Consent Form for Research 249

Instrument C: Statement for Release of High School Transcript and Standardized 252

Test Scores

Instrument D: Statement for Release of College Transcript 253

Instrument E: Statement for Release of College Enrollment Dates and Degree 254

Attainment from the National Student Clearinghouse and the Ohio

Department of Education

Instrument F: Former Upward Bound Demographic Information 255

Instrument G: Former Upward Bound Student Questionnaire 256

Instrument H: Former Upward Bound Student Interview 259


252

Recruitment Script

Hello:

I am a Ph.D. student in the Educational Studies department of the University of

Cincinnati College of Education, Criminal Justice, and Human Services. One of my assignments

as a Ph.D. student is to conduct a research study of my choice.

Currently, I am interested in studying the Upward Bound Program and what affect length

of program participation has on former students. As a former student of Upward Bound, I am

contacting you to see if you would be interested in participating in the study. The study will take

approximately 60 to 120 minutes of your time, and you will receive $25.00 for your

participation. The study activities consist of the signing a research study consent form, signing

high school and college transcript release forms, completion of a questionnaire, and an interview.

Your answers and research information will be confidential.

Are you interested in participating in this research study? If so, please contact me at 513-

556-1629 or at [email protected] (email) to arrange an appointment. Participation is

entirely voluntary and will in no way interfere with your future participation in the Upward

Bound Program if you decide not to participate.

Thank you for your consideration.

mailto:[email protected]


253

Adult Consent Form for Research


Department: Educational Studies

Principal Investigator: Cynthia Partridge

Faculty Advisor: Dr. Vanessa Allen-Brown

Title of Study: Case Study

Introduction:

You are being asked to take part in a research study. Please read this paper carefully and ask questions

about anything that you do not understand.

Who is doing this research study?

The person in charge of this research study is Cynthia Partridge, of the University of Cincinnati (UC)

Department Educational Studies of The College of Education, Criminal Justice, and Human Services.

She is being guided in this research by Dr. Vanessa Allen-Brown.

What is the purpose of this research study?

The purpose of this research study is to determine the effectiveness of the Program that you participated

in. You will be asked questions about how the Upward Bound Program impacted your decision to finish

high school, enroll in college or in another educational program after high school, apply for financial aid,

stay in college, do well in college, and complete college. You will also be asked questions about your

Upward Bound participation in general.

Who will be in this research study?

About 24 people will take part in this study. You may be in this study if you are a former University of

Cincinnati Upward Bound Program student.

What will you be asked to do in this research study, and how long will it take?

You will be asked to do the following activities:

1. (30-60 minutes) Sign record release forms so that I can get a copy of your high school

/ college transcripts and copies of your ACT and SAT scores. Complete a questionnaire

about the Upward Bound Program and your personal, educational and family

backgrounds.


254

2. (30-60 minutes) Participate in an audio-taped individual interview about your Upward

Bound Program participation, your high school and college experiences, your parents and

family, your environment, and your Upward Bound/high school/college records.

It will take about 60 to 120 minutes. The questionnaire and interview will take place in the Upward

Bound College Awareness Room, 2151 French Hall West or at a time and place of your choice.

Are there any risks to being in this research study?

There are no anticipated risks involved in this study.

Are there any benefits from being in this research study?

There are no benefits from being in this research study. You will not have to pay anything to be in this

research study.

What will you get because of being in this research study?

You will receive $25.00 for your participation at the end of the study, regardless of whether or not you

complete it.

Do you have choices about taking part in this research study?

If you do not want to take part in this research study you do not have to. You may choose not to answer

any question.

How will your research information be kept confidential?

Your research data will be kept in a locked file cabinet in my office. Your name will not be attached to

your research data. A number may be assigned. As soon as the interview recordings are transcribed into

written format, the tapes will be erased. The transcripts will not contain your name or other individually

identifying information. The research data will be stored in a locked file cabinet for three years after the

end of this study and then will be destroyed by shredding. The data from the study may be published;

however, you will not be identified by name. Agents of the University of Cincinnati may inspect study

records for audit or quality assurance purposes.

What are your legal rights in this research study?

Nothing in this consent form waives any legal right you may have. This consent form also does

not release the investigator, the institution, or its agents from liability for negligence.

What if you have questions about this research study?


255

If you have any questions or concerns about this research study, you should contact me at

513-556-1629, or you may also call Dr. Vanessa Allen-Brown, my faculty advisor, at 513-

556-3625.

The UC Institutional Review Board – Social and Behavioral Sciences (IRB-S) reviews all non-medical

research projects that involve human participants to be sure the rights and welfare of

If you have questions about your rights as a participant or complaints about the study, you may contact

the Chairperson of the UC IRB-S at (513) 558-2086. Or, you may call the UC Research Compliance

Hotline at (800) 889-1547, or write to the IRB-S, 300 University Hall, ML 0567, 51 Goodman Drive,

Cincinnati, OH 45221-0567, or email the IRB office at [email protected].

Do you HAVE to take part in this research study?

No one has to be in this research study. Refusing to take part will NOT cause any penalty or loss of

benefits that you would otherwise have. You may skip any questions that you don't want to answer.

You may start and then change your mind and stop at any time. To stop being in the study, you should

tell me immediately or contact me at 513-556-1629 or email me at [email protected].

Agreement:

I have read this information and have received answers to any questions I asked. I give my consent to

participate in this research study. I will receive a copy of this signed and dated consent form to keep.

Participant Name (please print) ____________________________________________________

Participant Signature ________________________________________ Date _______________

Signature of Person Obtaining Consent __________________________ Date _______________



256

To: ____________________________________ Date: ________________________

____________________________________

____________________________________

____________________________________

STATEMENT FOR RELEASE OF HIGH SCHOOL TRANSCRIPT

AND STANDARDIZED TEST SCORES

I hereby authorize the release of my high school transcript and standardized test scores. Please send all of

my high school grades, PSAT/SAT and PLAN/ACT scores, Ohio Proficiency Test/Ohio Graduation

Test/other standardized test scores, and class rank information to:

Cynthia Partridge


Upward Bound Program

2126 French Hall, M.L. 0118

Cincinnati, Ohio 45221-0118

513-556-1629

Email: [email protected]

Enclosed please find a transcript/test score fee (money order) in the amount of _____________________.

____________________________________ _____________________________________________

Student Name (print) Student Signature and Date

____________________________________ _____________________________________________

Social Security Number Date of Birth



257

To: ____________________________________ Date: ________________________

____________________________________

____________________________________

____________________________

STATEMENT FOR RELEASE OF COLLEGE TRANSCRIPT

I hereby authorize the release of my college transcript. Please send all of my college grades to:

Cynthia Partridge





513-556-1629


Enclosed please find a transcript fee (money order) in the amount of: ____________________________.

_________________________________________ _______________________________________


_________________________________________ _______________________________________




258

STATEMENT FOR RELEASE OF COLLEGE ENROLLMENT DATES

AND DEGREE ATTAINMENT FROM THE NATIONAL STUDENT

CLEARINGHOUSE AND THE OHIO DEPARTMENT OF EDUCATION

I hereby authorize The National Student Clearinghouse and the Ohio Department of Education to release

my college enrollment dates and degree attainment to:

Cynthia Partridge





513-556-1629


_______________________________________ __ __________________________________


_________________________________________ _______________________________________




259

FORMER UPWARD BOUND STUDENT DEMOGRAPHIC INFORMATION

1) Your Gender (circle): Female Male

2) Your Age:

3) Your Marital Status:

4) Number of children:

5) Dates of Upward Bound program participation:

6) Length of participation:

7) Grade Level in School (when enrolled in program):


260

FORMER UPWARD BOUND STUDENT QUESTIONNAIRE

1) Were you enrolled in the Head Start Program as a pre-schooler?

2) High school attended and date of high school graduation (or date you left high school):

3) Did you have an Individual Educational Program (IEP) while in high school? What services or

special consideration did you receive?

4) Did you receive services from the Disability Services Office while in college or in your training

program? What services or special consideration did you receive?

5) Did you study abroad while in college? Where? When?

6) Did you enlist in the military after high school or were you in ROTC while in college? If so,

where were you stationed?

7) Where did you attend college or your training program? Dates of attendance and graduation

dates:


261

8) If so, what degree(s) or certificate(s) did you receive?

9) What neighborhood(s) did you live in while growing up?

10) Where do you live and work now (neighborhood, city, state, etc.)?

11) Do you work fulltime or part-time?

12) Please list your last four employers and positions since high school graduation and dates

employed:

13) What is your salary range? Please circle:

$0 to $9,000 $60,000 to $69,000

$10,000 to $19,000 $70,000 to $79,000

$20,000 to $29,000 $80,000 to $89,000

$30,000 to $39,000 $90,000 to $99,000

$40,000 to $49,000 $100,000 and over

$50,000 to $59,000

14) Were you ever charged with a misdemeanor? If so, what were the charges? Were you placed on

probation?


262

15) Were you ever charged with a felony? If so, what were the charges? Were you placed on

probation?

16) Were you ever incarcerated? How long were you incarcerated?

17) Did your family receive public assistance during your high school years (ADC, food stamps,

health card, childcare, SSI, etc.)? Name of program:

18) Are you currently receiving public assistance? Name of program (s):

19) Were you a first generation college student (the first generation in your parents’ household to

attend college)?

20) In what elections did you vote?

21) What activities did you participate in while in college?

Thank you for your participation!


263

FORMER UPWARD BOUND STUDENT INTERVIEW

1) Looking back at your childhood years, “What did you want to become when you grew

up?”

2) Did this goal change after becoming a member of the Upward Bound Program, or did it

remain the same?

3) What was your approximate high school grade point average?

4) Did Upward Bound participation help you to graduate from high school? How?

5) Did you attend college or a training program after high school? If so, which institution(s)

and what years:

6) Why did you select to attend this particular college or training program?

7) Did you apply for financial aid? Did your participation in Upward Bound provide you

with assistance in applying for financial aid?

8) What is/was your typical financial aid package while in school or college?

9) Did you transfer schools or colleges? Why or why not?


264

10) What is/was your major or program area? Why did you select this area? Was this your

original major, or did you change it?

11) Did you graduate or complete your program? If so, why or why not?

12) Current or ending college or training program grade point average:

13) Did your high school prepare you for college academically? If so, how?

14) Did your high school prepare you for college socially? If so, how?

15) Did your participation in Upward Bound prepare you for college academically? If so,

how?

16) Did your participation in Upward Bound prepare you for college socially? If so, how?

17) Why did you decide to continue with Upward Bound through graduation? If you did not

continue, why did you leave?

18) Were you considered to be a low-income student while in Upward Bound and while in

college?

19) Did you grow up with one or both parents in the home?

20) Did you voluntarily become a part of Upward Bound, or were you placed in the program

by your parents?


265

21) Please tell me the ages of your brothers and sisters:

22) How important was your participation in Upward Bound to your siblings?

23) How many siblings participated in Upward Bound? Did they finish the program? Why

or why not?

24) How many of your brothers and sisters attended college? Did they obtain degrees?

Degrees received:

25) Did you influence your sibling(s)’ decision to attend college? If so, how?

26) How important was your participation in Upward Bound to your parents?

27) Were your parents inspired to return to school while you were in Upward Bound or after

you completed or left the program?

28) How helpful were your high school teachers and guidance counselors in assisting you in

entering and completing college? How did they feel about your being a member of

Upward Bound?

29) How did you feel about the Saturday classes and tutoring during the school year?

30) Did you develop any special relationships with students during the academic year

program(s)? With whom did you establish a relationship? Are you still in contact?


266

31) Did you develop any special relationships with staff during the academic year

program(s)? With whom did you establish a relationship? Are you still in contact?

32) Did you participate in the summer program? How many summers did you participate?

33) How did you feel about the summer program?

34) Did you develop any special relationships with students during the summer program(s)?

With whom did you establish a relationship? Are you still in contact?

35) Did you develop any special relationships with staff during the summer program(s)?

With whom did you establish a relationship? Are you still in contact?

36) Did you receive any assistance completing the financial aid application (FAFSA),

understanding your financial award letter, and/or applying for scholarships? From

whom?

37) Did you receive any assistance in completing the SAT/ACT and college applications?

From whom?

38) Financially, how important were the application and SAT/ACT test fee waivers to you?

39) How important was the College Awareness Class to you (the class students take during

their senior year to assist with the college process)?

40) Did you participate in the Bridge Program? Why or why not?


267

41) How important was the Bridge Program to you?

42) Did you receive assistance from Upward Bound in attending and/or completing graduate

school and/or obtaining employment? If so, please describe the assistance received:

43) Do you feel that you contribute to your community? If so, how?

44) Have you given back to the Upward Bound Program or to students similar to those who

participate in the Upward Bound Program? If so, how?

45) Did you participate in other pre-college programs similar to Upward Bound?

46) Which similar programs did you participate in?

47) What was the different between this program(s) and Upward Bound?

48) Do you have any suggestions to improve Upward Bound?

Thank you for your participation!

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