Bibliography

Att_BPS%200409%20BPS%20bibliography.pdf

Beginning Postsecondary Study 2004/09 (BPS:04/09)

Bibliography

OMB: 1850-0631

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 1850-0631 can be found here:

Document [pdf]

Download: pdf | pdf

Appendix A
Bibliography for the Beginning
Postsecondary Students Longitudinal Study

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-1

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Appendix A
Bibliography for the Beginning Postsecondary Students Longitudinal Study
This bibliography is derived from computer searches of online bibliographic databases
such as Dissertation Abstracts, ERIC, Psychological Abstracts, Sociological Abstracts, and major
papers, as well as the NCES website. Publication numbers are indicated in parentheses.
Publications with an “NCES” number may be accessed from the National Center for Education
Statistics (NCES) at http://nces.ed.gov. Publications with “ED” or “EJ” numbers are indexed in
the Educational Resources Information Center (ERIC) at http://www.askeric.org.
2007
Hudson, L., Kienzl, G., and Diehl, J. (2007). Students Entering and Leaving Postsecondary
Occupational Education: 1995–2001 (NCES 2007-041). National Center for Education
Statistics, Institute of Education Sciences, U.S. Department of Education. Washington, DC.
2006
Anderson, G. (2006). Effectiveness of Statewide Articulation Agreements on the Probability of
Transfer: A Preliminary Policy Analysis. The Review of Higher Education, 29(3): 261-291.
Dowd, A., and Coury, T. (2006). The Effects of Loans on the Persistence and Attainment of
Community College Students. Research in Higher Education, 47(1): 33-62.
Flowers, L.A. (2006). Effects of Attending a 2-Year Institution on African American Males’
Academic and Social Integration in the First Year of College. Teachers College Record,
108(2): 267-286. (ERIC EJ733278)
Horn, L. (2006). Placing College Graduation Rates in Context: How 4-Year College Graduation
Rates Vary With Selectivity and the Size of Low-Income Enrollment (NCES 2007-161).
National Center for Education Statistics, Institute of Education Sciences, U.S. Department of
Education. Washington, DC.
Horn, L., and Nevill, S. (2006). Profile of Undergraduates in U.S. Postsecondary Education
Institutions: 2003–04: With a Special Analysis of Community College Students (NCES 2006184). National Center for Education Statistics, Institute of Education Sciences, U.S.
Department of Education. Washington, DC.
Titus, M.A. (2006). No College Student Left Behind: The Influence of Financial Aspects of a
State’s Higher Education Policy on College Completion. The Review of Higher Education,
29(3): 293-317.
Titus, M.A. (2006). Understanding the Influence of the Financial Context of Institutions on
Student Persistence at Four-Year Colleges and Universities. The Journal of Higher
Education, 77(2): 353-375.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-3

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Wine, J., Cominole, M., Wheeless, S., Bryant, A., Gilligan, T., Dudley, K., and Franklin, J.
(2006). 2004/06 Beginning Postsecondary Students Longitudinal Study (BPS:04/06) Field
Test Methodology Report (NCES 2006-01). National Center for Education Statistics, Institute
of Education Sciences, U.S. Department of Education. Washington, DC.
2005
Adelman, C. (2005). Moving into Town—and Moving On: The Community College in the Lives
of Traditional-Age Students. U.S. Department of Education. Washington, DC: Office of
Vocational and Adult Education. [ED496111]
Alfonso, M., Bailey, T.R., and Scott, M. (2005). The Educational Outcomes of Occupational
Sub-Baccalaureate Students: Evidence from the 1990s. Economics of Education Review,
24(2): 197–212. [EJ697541]
Bailey, T., Jenkins, D., and Leinbach, T. (2005). What We Know about Community College LowIncome and Minority Student Outcomes: Descriptive Statistics from National Surveys. New
York, NY: Community College Research Center. [ED484354]
Glenn, D. (2005, September 2). Sociologists Debate Degrees, Dropouts, and Faculty Beliefs.
Chronicle of Higher Education, p. A24–A25.
Horn, L., Cataldi, E.F., and Sikora, A. (2005). Waiting to Attend College: Undergraduates Who
Delay Their Postsecondary Enrollment. U.S. Department of Education. Washington, DC:
National Center for Education Statistics. Postsecondary education descriptive analysis
reports, Statistical Analysis Report. [NCES 2005–152]
Leppel, K. (2005). College Persistence and Student Attitudes Toward Financial Success. College
Student Journal, 39(2): 223–241.
Lohfink, M.M., and Paulsen, M.B. (2005). Comparing the Determinants of Persistence for FirstGeneration and Continuing-Generation Students. Journal of College Student Development,
46(4): 409–428.
Peter, K., and Cataldi, E.F. (2005). The Road Less Traveled? Students Who Enroll in Multiple
Institutions. U.S. Department of Education. Washington, DC: National Center for Education
Statistics. Postsecondary education descriptive analysis reports, Statistical Analysis Report.
[NCES 2005–157]
Peter, K., and Horn, L. (2005). Gender Differences in Participation and Completion of
Undergraduate Education and How They Have Changed Over Time. U.S. Department of
Education. Washington, DC: National Center for Education Statistics. Postsecondary
education descriptive analysis reports, Statistical Analysis Report. [NCES 2005–169]
Schuetz, P. (2005). UCLA community college review: campus environment: a missing link in
studies of community college attrition. Community College Review, 32(4): 60–80.

A-4

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

2004
Bauer, C. J. The nexus between community college choice and student persistence. (Ph.D.
dissertation, University of Missouri, Saint Louis, 2004).
Borden, V.M.H. (2004). Accommodating student swirl: when traditional students are no longer
the tradition. Change, 36(2): 10–17. [EJ701873]
Boswell, K. (2004). Bridges or barriers? Public Policy and the community college transfer
function. Change, 36(6): 22–29. [EJ708608]
Brothen, T., and Wambach, C.A. (2004). Refocusing Developmental Education. Journal of
Developmental Education, 28(2): 16–33.
Duggan, M.B. (2004). E-Mail as Social Capital and Its Impact on First-Year Persistence of 4Year College Students. Journal of College Student Retention Research Theory and Practice,
6(2): 169–189. [EJ683627]
Ferris, E., Finster, M., McDonald, D. (2004). Academic Fit of Student-Athletes: An Analysis of
NCAA Division I-A Graduation Rates. Research in Higher Education, 45(6): 555–575.
Hahs-Vaughn, D. (2004). The Impact of Parents’ Education Level on College Students: An
Analysis Using the Beginning Postsecondary Students Longitudinal Study 1990-92/94.
Journal of College Student Development, 45(5): 483-500.
Horn, L., and Berger, R. (2004). College Persistence on the Rise? Changes in 5-Year Degree
Completion and Postsecondary Persistence Rates Between 1994 and 2000. U.S. Department
of Education. Washington, DC: National Center for Education Statistics. Postsecondary
education descriptive analysis reports, Statistical Analysis Report. [NCES 2005–156]
Kane, M.A., Beals, C., Valeau, E.J., Johnson, M.J. (2004). Fostering Success Among
Traditionally Underrepresented Student Groups: Hartnell College’s Approach to
Implementation of the Math, Engineering, and Science Achievement (MESA) Program.
Community College Journal of Research and Practice, 28(1): 17–26.
Kim, M.H. The determinants of institutional financial aid and its effect on degree completion:
the difference between students at public and private four-year institutions. (Ph.D.
dissertation, Columbia University, 2004).
Long, A.C. Community college attrition of GED certificate holders and regular high school
graduates: A comparative study using national BPS data. (Ph.D. dissertation, Oregon State
University, 2004).
Pascarella, E.T. (2004). First-Generation College Students: Additional Evidence on College
Experiences and Outcomes. The Journal of Higher Education, 75(3): 249-284.
Pascarella, E.T. (2004). The Role of Race in the Development of Plans for a Graduate Degree
The Review of Higher Education, 27(3): 299-320.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-5

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Persell, C.H., and Wenglinsky, H. (2004). For-Profit Post-Secondary Education and Civic
Engagement. Higher Education, 47(2): 337–360.
Saunders, K.P. Degree attainment of low-socioeconomic status students: Structural equation
modeling test of an elaborated theory of socialization. (Ph.D. dissertation, Iowa State
University, 2004).
Wassmer, R., Moore, C., and Shulock, N. (2004). Effect of Racial/Ethnic Composition on
Transfer Rates in Community Colleges: Implications for Policy and Practice. Research in
Higher Education, 45(6): 651–672.
2003
Alfonso, Mariana Bailey, Thomas R, and Marc Scott. 2003. The Educational Outcomes of
Occupational Sub-Baccalaureate Students: Evidence from the 1990s. (ED00CO0023). Paper
presented at the Annual Meeting of the American Educational Research Association,
Chicago, IL, April.
Ashby, C. M. College Completion: Additional Efforts Could Help Education With Its Completion
Goals. General Accounting Office (GAO-03-568). Washington, DC.
Below, Deborah L. 2003. The First-to-Second-Year Persistence of Public, Four-Year College
Students by Ethnicity. Ph.D. diss., University of Missouri.
Berkner, L., S. He, and E. F. Cataldi. 2003. Descriptive Summary of 1995-96 Beginning
Postsecondary Students: Six Years Later. Education Statistics Quarterly 5(1):62–67.
Freeman, Terrence L. 2003. Theoretical Model for Studying Year-to-Year Persistence of Two-Year
College Students by Ethnicity Using the Beginning Postsecondary Students Longitudinal
Study, 1996–1998. Ph.D. diss., University of Missouri.
Hahs, Debbie L. 2003. The Utilization of Sample Weights in Structural Equation Modeling: An
Application Using the Beginning Postsecondary Students Longitudinal Study 1990/92/94.
Ph.D. diss., University of Alabama.
Hoachlander, G., A. C. Sikora, and L. Horn. June 2003. Community College Students: Goals,
Academic Preparation, and Outcomes. Postsecondary Education Descriptive Analysis
Reports (NCES 2003-164). Washington DC: National Center for Education Statistics.
Horn, L., and K. Peter. April 2003. What Colleges Contribute: Institutional Aid to Full-Time
Undergraduates Attending 4-Year Colleges and Universities. Postsecondary Education
Descriptive Analysis Reports (NCES 2003-157). Washington DC: National Center for
Education Statistics.
Kim, Dongbin. 2003. Multilevel Analysis of the Effect of Loans on Degree Attainment:
Differences by Race, SES, and College Characteristics. Ph.D. diss., University of California,
Los Angeles.

A-6

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

O’Toole, D. M., L. S. Stratton, and J. N. Wetzel. 2003. A Longitudinal Analysis of the Frequency
of Part-Time Enrollment and the Persistence of Students Who Enroll Part Time Research in
Higher Education 44(5):519-537.
Perez, Nora M. 2003. Factors Associated with the College Success of Hispanic Women: A Mixed
Methods Investigation. Ed.D. diss., Texas A&M University, Corpus Christi.
Rosenfield, Eleanor D. 2003. A Demographic Profile of Single-Mother College Students and an
Examination of Factors that Influence Their Persistence. Ed.D. diss., University of
Rochester.
Titus, Marvin A. 2003. An Examination of the Influence of Institutional Context on Persistence at
Four-Year Colleges and Universities: A Multilevel Approach. Ph.D. diss., University of
Maryland, College Park.
Yang, Po. 2003. Do Institutional Characteristics Matter in Two- to Four-Year Transfer? Paper
presented at Annual Meeting of the Council for the Study of Community Colleges 45th,
Dallas, TX, March 30.
2002
Berkner, Lutz, Shirley He, and Emily Forrest Cataldi. December 2002. Descriptive Summary of
1995-96 Beginning Postsecondary Students: Six Years Later (NCES 2003-151). Washington
DC: National Center for Education Statistics.
Blecher, Lee, William B. Michael, and Linda Serra Hagedorn. 2002. Factors Related to the
‘System’ Persistence of Students Seeking the Bachelor’s Degree at Four-Year Institutions
(ED465345). Paper presented at the Annual Meeting of the North East Association for
Institutional Research, New Orleans, LA, April 1–5.
Bradburn, Ellen. November 2002. Short-Term Enrollment in Postsecondary Education: Student
Background and Institutional Differences in Reasons for Early Departure, 1996–98 (NCES
2003-153). Washington DC: National Center for Education Statistics.
Choy, Susan P. 2002. Access & Persistence: Findings from 10 Years of Longitudinal Research on
Students. Washington DC: American Council on Education, Center for Policy Analysis.
Choy, S. August 2002. Nontraditional undergraduates: Findings from The Condition of
Education, 2002 (NCES 2002-012). Washington DC: National Center for Education
Statistics.
Duggan, Michael B. 2002. The Effect of Social Capital on the First-Year Persistence of First
Generation College Students. Ph.D. diss., University of Massachusetts.
Hudson, Lisa, and David Hurst. February 2002. The Persistence of Employees Who Pursue
College Study (NCES 2002-118). Washington, DC: National Center for Educational
Statistics.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-7

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Hudson, L., and D. Hurst. 2002. The Persistence of Employees Who Pursue Postsecondary
Study. Education Statistics Quarterly 4(1):33-36.
King, Jacqueline E. 2002. Crucial Choices: How Students’ Financial Decisions Affect Their
Academic Success. Washington, DC: American Council on Education, Center for Policy
Analysis.
Pearson, A. F. 2002. Gendered Organizations: Academic and Social Integration of Females in
Engineering and Science Programs. Paper presented at the Southern Sociological Society.
Sherlin, Joe H., Jr. 2002. Understanding the System Persistence of First-Generation Students
through Path Modeling. Ph.D. diss., University of Maryland.
Wei, Christina Chang, and Laura Horn. May 2002. Persistence and Attainment of Beginning
Students with Pell Grants (NCES 2002-169). Statistical Analysis Report. Washington, DC:
National Center for Education Statistics.
Wei, C. C., and L. Horn. Persistence and Attainment of Beginning Students with Pell Grants.
Education Statistics Quarterly 4(2):91-96.
Wine, Jennifer S., Ruth E. Heuer, Michael W. Link, Roy W. Whitmore, and Talbric L. Francis.
July 2002. Beginning Postsecondary Students Longitudinal Study: 1996-2001
(BPS:1996/2001) Methodology Report (NCES 2002-171). Methodology Report. Washington,
DC: National Center for Education Statistics.
Wine, J. S., R. E. Heuer, S. C. Wheeless, T. L. Francis, J. W. Franklin, and K. M. Dudley. 2002.
Beginning Postsecondary Students Longitudinal Study: 1996-2001 (BPS:1996/2001)
methodology report. Education Statistics Quarterly 4(3):147–149.
2001
Choy, Susan P. December 2001. Findings from the Condition of Education 2001: Students Whose
Parents Did Not Go to College (NCES 2001-126, ED460660). Washington DC: National
Center for Education Statistics, December 2001.
Bradburn, Ellen M., David G. Hurst, and Samuel Peng. July 2001. Community College Transfer
Rates to 4-Year Institutions Using Alternative Definitions of Transfer (NCES 2001-197,
ED454301). Research and Development Report. Washington DC: National Center for
Education Statistics.
Duggan, Michael. 2001. Factors Influencing the First-Year Persistence of First Generation
College Students (ED459673). Paper presented at the Annual Meeting of the North East
Association for Institutional Research, Cambridge, MA, November 17–21.
Horn, Laura, and Lawrence K. Kojaku. August 2001. High School Academic Curriculum and the
Persistence Path Through College (NCES 2001-163, ED456694). Descriptive Analysis
Report. Washington DC: National Center for Education Statistics.

A-8

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Leppel, Karen, Mary L. Williams, and Charles Waldauer. Winter 2001. The Impact of Parental
Occupation and Socioeconomic Status on Choice of College Major. Journal of Family &
Economic Issues 22(4):373-394.
Stratton, Leslie S., Dennis M. O’Toole, and James N. Wetzel. 2001. Factors Affecting Part-Time
College Enrollment within the First Year. AIR 2001 Annual Forum Paper (ED456791). Paper
presented at the Annual Meeting of the Association for Institutional Research, Long Beach,
CA, June 3–6.
Teng, Loretta Y., George A. Morgan, and Sharon K. Anderson. Winter 2001. Career
Development among Ethnic and Age Groups of Community College Students. Journal of
Career Development 28(2):115–27.
Warburton, Edward C., Rosio Bugarin, and Anne-Marie Nuñez. May 2001. Bridging the Gap:
Academic Preparation and Postsecondary Success of First-Generation Students (NCES
2001-153, ED456168). Descriptive Analysis Report. Washington DC: National Center for
Education Statistics.
Wine, Jennifer S., Ruth E. Heuer, Michael W. Link, Roy W. Whitmore, and Talbric L. Francis.
February 2001. Beginning Postsecondary Students Longitudinal Study:1996-2001
(BPS:1996/2001) Field Test Methodology Report (NCES 2001-04). Technical Report.
Washington DC: National Center for Education Statistics.
2000
Ariguzo, Godwin C. 2000. An Examination of the Effects of the Federal College Work-Study
Program on Minority Students’ Persistence, Academic Performance, and Graduation Rates:
Based on the NCES 1990/94 Beginning Postsecondary Students Longitudinal Study. Ph.D.
diss., University of Massachusetts.
Berkner, Lutz, Laura Horn, and Michael Clune. March 2000. Descriptive Summary of 1995–96
Beginning Postsecondary Students: Three Years Later, With an Essay on Students Who
Started at Less-Than-4-Year Institutions (NCES 2000-154). Washington DC: National Center
for Education Statistics.
Boyles, Laura Wenig. 2000. Exploration of a Retention Model for Community College Students.
Ph.D. diss., University of North Carolina at Greensboro.
Byun, Kiyong. 2000. A Study on the Applicability of Bean and Metzner’s Nontraditional Student
Attrition Model for Older Students Using Four Different Measures of Persistence. Ph.D.
diss., University of Oregon.
Chae, Jae-Eun. 2000. Student Departure from United States Community Colleges: A Competing
Risks Survival Analysis. Ph.D. diss., Harvard University.
Choy, Susan P. March 2000. Low-Income Students: Who They Are and How They Pay for Their
Education (NCES 2000-169). Statistical Analysis Report. Washington DC: National Center
for Education Statistics.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-9

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Huang, Gary, Nebiyu Taddese, and Elizabeth Walter. June 2000. Entry and Persistence of Women
and Minorities in College Science and Engineering Education (NCES 2000-161). Research
and Development Report. Washington, DC: National Center for Educational Statistics.
Hurst, David, Ed., and Becky Smerdon, Ed. June 2000. Postsecondary Students with Disabilities:
Enrollment, Services, and Persistence (NCES 2000-092, ED444329). Stats in Brief.
Washington, DC: National Center for Educational Statistics.
Ishitani, Terry Takatsugu. 2000. An Application of Event History Modeling to Assessing Student
Dropout Behavior: A National Data Approach. Ph.D. diss., University of Iowa.
Levesque, Karen, Doug Lauen, Peter Teitelbaum, Martha Alt, and Sally Librera. January 2000.
Vocational Education in the United States: Toward the Year 2000 (NCES 2000-029).
Statistical Analysis Report. Washington DC: National Center for Education Statistics.
National Center for Educational Statistics (NCES). June 2000. Learning Opportunities: Student
Satisfaction with Instruction (NCES 2000-062). Extracted from the Condition of Education
2000. Indicator 51. Washington, DC: National Center for Educational Statistics.
NCES. Junes 2000. Postsecondary Persistence and Progress: Persistence Toward a Bachelor’s
Degree. (NCES 2000-062. Extracted from the Condition of Education 2000). Indicator 35.
Washington, DC: National Center for Educational Statistics.
Wine, Jennifer S., Roy W. Whitmore, Ruth E. Heuer, Melissa Biber, and Daniel J. Pratt. March
2000. Beginning Postsecondary Students Longitudinal Study First Follow-up 1996-98
(BPS:96/98) Methodology Report (NCES 2000-157). Technical Report. Washington DC:
National Center for Education Statistics.
1999
Choy, Susan P. March 1999. College Access and Affordability (NCES 1999-108). Washington,
DC: National Center for Education Statistics.
Contento, Jann Michael. 1999. Impacts of Financial Aid on Persistence: A Longitudinal Analysis
of Beginning Undergraduate Students. Ph.D. diss., Arizona State University.
Horn, Laura J. May 1999. Students with Disabilities in Postsecondary Education: A Profile of
Preparation, Participation, and Outcomes (NCES 1999-187). Statistical Analysis Report.
Washington, DC: National Center for Education Statistics.
Kaufman, Phillip, and Xianglei Chen. June 1999. Projected Postsecondary Outcomes of 1992
High School Graduates (NCES 1999-15). Working Paper. Washington, DC: National Center
for Education Statistics.
LeBard, Christine. 1999. The Relationship between American Community Colleges’ Curricular
and Extracurricular Programs and Students’ Perceptions of Their Leadership Abilities
(ED429625). 1999. Washington, DC: National Center for Education Statistics.

A-10

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Salvucci, Sameena, Stephen Wenck, and James Tyson. August 1999. Development of a Prototype
System for Accessing Linked NCES Data (NCES 98-15). Working Paper. Washington, DC:
National Center for Education Statistics.
Shafer, Linda L. 1999. Data Sources on Lifelong Learning (ED431892). Working Paper.
Washington, DC: National Center for Education Statistics.
1998
Choy, Susan P., and Cecilia Ottinger. November 1998. Choosing a Postsecondary Institution
(NCES 98-080). Statistical Analysis Report. Washington, DC: National Center for Education
Statistics.
Cuccaro-Alamin, Stephanie, and Susan P. Choy. January 1998. Postsecondary Financing
Strategies: How Undergraduates Combine Work, Borrowing, and Attendance (NCES 98088). Statistical Analysis Report. Washington, DC: National Center for Education Statistics.
Horn, Laura J. December 1998. Stopouts or Stayouts? Undergraduates Who Leave College in
Their First Year (NCES-1999-087, ED425683). Statistical Analysis Report. Washington, DC:
National Center for Education Statistics.
Horn, Laura J. May 1998. Profile of Undergraduates in U.S. Postsecondary Education
Institutions: 1995–96, With an Essay on Undergraduates Who Work (NCES 98-084).
Statistical Analysis Report. Washington, DC: National Center for Education Statistics.
Kojaku, Lawrence K., and Anne-Marie Nunez. December 1998. Descriptive Summary of 199596 Beginning Postsecondary Students, with Profiles of Students Entering 2- and 4-Year
Institutions. National Postsecondary Student Aid Study: 1995-96 (NCES 1999-030,
ED425684). Statistical Analysis Report. Washington, DC: National Center for Education
Statistics.
Nunez, Anne-Marie. 1998. First-Generation Students: A Longitudinal Analysis of Educational
and Early Labor Market Outcomes (ED427599). Paper presented at the Annual Meeting of
the Association for the Study of Higher Education, Miami, FL, November 5–8.
Nunez, Anne-Marie and Stephanie Cuccaro-Alamin. June 1998. First-Generation Students:
Undergraduates Whose Parents Never Enrolled in Postsecondary Education (NCES-98-082,
ED420235). Statistical Analysis Report. Washington, DC: National Center for Education
Statistics.
Perna, Laura W. 1998. The Contribution of Financial Aid to Undergraduate Persistence
(EJ584135). Journal of Student Financial Aid 28(3):25–40.
Perna, Laura W. 1998. Does Financial Aid Help Students To Attend Higher Priced Colleges
(EJ567587). Journal of Student Financial Aid 28(1):19–38.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-11

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Pratt, Daniel J., Jennifer S. Wine, Ruth E. Heuer, Roy W. Whitmore, Janice E. Kelly, John M.
Doherty, Joe B. Simpson, and Norma Marti. August 1998. Beginning Postsecondary Students
Longitudinal Study First Follow-up (BPS:96/98) Field Test Methodology Report (NCES 9811, ED434132). Working Paper. Washington, DC: U.S. Department of Education,
Department of Educational Research and Improvement, National Center for Education.
Smith, Thomas M., Beth Aronstamm Young, Yupin Bae, Susan P. Choy, and Nabeel Alsalam.
January 1998. Employment and Postsecondary Persistence and Attainment (NCES 98-008,
ED419473). Extracted from The Condition of Education, 1997 (ED404766). Indicator of the
Month. Washington, DC: National Center for Education Statistics.
NCES. January 1998. Subbaccalaureate Persistence and Attainment (NCES-98-001,
ED411918). Extracted from The Condition of Education, 1997 (ED410681). Indicator of the
Month. Washington, DC: National Center for Education Statistics.
Teng, Loretta Ya-Wen. 1998. The Institutional Experience and Career Development of
Community College Students (Minority Students, Employment). Ph.D. diss., Colorado State
University.
1997
Arnold, Carolyn L. January 1997. Using National Data Sets to Create Comparable National
Statistics for the Student Characteristics and Outcomes in Community Colleges (ED421197).
Washington, DC: National Center for Education Statistics.
Choy, Susan P., and Sonya Geis. January 1997. Early Labor Force Experiences and Debt Burden
(NCES-97-286, ED411746). Statistical Analysis Report. Washington, DC: National Center
for Education Statistics.
Hurtado, Sylvia, Karen Kurotsuchi Inkelas, Charlotte Briggs, and Byung-Shik Rhee. 1997.
Differences in College Access in Choice among Racial/Ethnic Groups: Identifying
Continuing Barriers (EJ539550). Research in Higher Education 38(1):43–75.
McCormick, Alexander C. June 1997. Transfer Behavior among Beginning Postsecondary
Students: 1989–94 (NCES-97-266, ED408929). Statistical Analysis Report. Washington, DC:
National Center for Education Statistics.
Nettles, Michael T., and Laura W. Perna. January 1997. The African American Education Data
Book. Volume I: Higher and Adult Education (ED406871). Fairfax, VA: College Fund/UNCF.
Riccobono, John A., Roy W. Whitmore, Timothy J. Gabel, Mark A. Traccarella, Daniel J. Pratt,
and Lutz K. Berkner. October 1997. National Postsecondary Student Aid Study, 1995-96
(NPSAS:96) Methodology Report (NCES 98-073). Technical Report. Washington, DC:
National Center for Education Statistics.

A-12

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

1996
Berkner, Lutz K., Stephanie Cuccaro-Alamin, and Alexander C. McCormick. May 1996.
Descriptive Summary of 1989-90 Beginning Postsecondary Students: 5 Years Later, with an
Essay on Postsecondary Persistence and Attainment (NCES-96-155, ED396597). Statistical
Analysis Report. Washington, DC: National Center for Education Statistics.
Choy, Susan P., and Mark D. Premo. April 1996. How Low Income Undergraduates Financed
Postsecondary Education: 1992-93 (NCES-96-161, ED394473). Statistical Analysis Report.
Washington, DC: National Center for Education Statistics.
Horn, Laura J. December 1996. Nontraditional Undergraduates: Trends in Enrollment from 1986
to 1992 and Persistence and Attainment among 1989-90 Beginning Postsecondary Students
(NCES-97-578, ED402857). Statistical Analysis Report. Washington, DC: National Center
for Education Statistics.
Perna, Laura W. 1996. The Contribution of Financial Aid to the Price of Four-Year Institution
Attended by 1989/90 Freshmen (ED402820). Paper presented at the Annual Meeting of the
Association for the Study of Higher Education, Memphis, TN, October 31–November 3.
Pratt, Daniel J., Roy W. Whitmore, Jennifer Wine, Daniel J. Pratt, Kurt J. Veith, Marisa
Mitchell, Geoffrey D. Borman, and Larry G. Bobbitt. May 1996. Beginning Postsecondary
Students Longitudinal Study Second Follow-up (BPS: 90/94) Final Technical Report (NCES96-153). Washington, DC: National Center for Education Statistics.
1995
Choy, Susan P. and Mark K. Premo. April 1995. Profile of Older Undergraduates: 1989-90
(NCES-95-167, ED382122). Statistical Analysis Report. Washington, DC: National Center
for Education Statistics.
Davis, Celestine, Ed. January 1995. Programs and Plans of the National Center for Education
Statistics. 1995 Edition (NCES-95-133, ED379357). Washington, DC: National Center for
Education Statistics.
Horn, Laura J. June 1995. Minority Undergraduate Participation in Postsecondary Education
(NCES-95-166, ED383276). Statistical Analysis Report. Washington, DC: National Center
for Education Statistics.
McCormick, Alexander and Sonya Geis. July 1995. Profile of Part-Time Undergraduates in
Postsecondary Education: 1989–90 (NCES 95-173). Washington, DC: National Center for
Education Statistics.
McGrew, Kevin. August 1995. Disability Summary Analyses of Select National Data Collection
Programs. Technical Report 11 (ED396477). Washington, DC: Special Education Programs
ED/OSERS.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

A-13

APPENDIX A. BIBLIOGRAPHY FOR THE BEGINNING
POSTSECONDARY STUDENTS LONGITUDINAL STUDY

Perna, Laura Walter. 1997. The Contribution of Financial Aid to Undergraduate Persistence
(ED415818). Paper presented at Annual Meeting of the Association for the Study of Higher
Education, Albuquerque, NM, November 6–9.
1994
Burkheimer, G. J., Jr. June 1994. Beginning Postsecondary Students Longitudinal Study First
Follow-up (BPS:90/92): Final Public Technical Report (NCES-94-369). Washington, DC:
National Center for Education Statistics.
Fitzgerald, Robert, et al. July 1994. Descriptive Summary of 1989-90 Beginning Postsecondary
Students: Two Years Later (NCES-94-386, ED372691). Statistical Analysis Report.
Washington, DC: National Center for Education Statistics.
NCES. November 1993. Persistence and Attainment in Postsecondary Education for Beginning
AY 1989-90 Students as of Spring 1992. Beginning Postsecondary Students Longitudinal
Study 1992 Follow-up (BPS: 90/92) (NCES-94-477). E.D. TABS. Washington, DC: National
Center for Education Statistics.
Pratt, Daniel J. October 1994. Beginning Postsecondary Students Longitudinal Study. Second
Follow-up Field Test Methodology Report; BPS:90/94 (NCES-94-370). Technical Report.
Washington, DC: National Center for Education Statistics.
1993
Bobbitt, Larry G., and C. Dennis Carroll. 1993. Coding Major Fields of Study (ED363665).
Washington, DC: National Center for Education Statistics.
1992
Burkheimer, G. J., Jr. August 1992. Beginning Postsecondary Students Longitudinal Study Field
Test Methodology Report: BPS 90/92 (NCES 92160). Washington, DC: National Center for
Education Statistics.
1991
Nelson, Dawn D., Ed. October 1991. Programs and Plans of the National Center for Education
Statistics, 1991 Edition (NCES-91-694, ED339739). Washington, DC: National Center for
Education Statistics.

A-14

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

Appendix B
Technical Review Panel

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

B-1

APPENDIX B. TECHNICAL REVIEW PANEL

Technical Review Panel
Clifford Adelman
Senior Associate
The Institute for Higher Education Policy
1320 19th Street, NW-Suite 400
Washington, DC 20036
Voice: (202)861-8223
E-mail: [email protected]
Frank Balz
Vice President for Research & Policy Analysis
National Association of Independent Colleges &
Universities
1025 Connecticut Avenue, NW
Suite 700
Washington, DC 20036
Voice: (202)785-8866
E-mail: [email protected]
Eric Bettinger
Assistant Professor
Case Western Reserve University
Weatherhead School of Management, Department of
Economics
10900 Euclid Avenue
Cleveland, OH 44106
Voice: (216)368-2184
E-mail: [email protected]
John Braxton
Professor of Higher Education
Vanderbilt University
Department of Leadership, Policy & Organizations
230 Appleton Place - 205C Payne Hall
Nashville, TN 37235
Voice: (615)322-8021
E-mail: [email protected]
Kevin Carey
Research and Policy Manager
Education Sector
1201 Connecticut Avenue NW, Suite 850
Washington, DC 20036
Voice: (202)552-2840
E-mail: [email protected]

Stephen DesJardins
Associate Professor, School of Education
University of Michigan
610 East University
2108-D School of Education Building, 1259
Ann Arbor, MI 48109
Voice: (734)647-1984
E-mail: [email protected]
Tammy Halligan
Senior Compliance Specialist
Career College Association
10 G Street, NE
Suite 750
Washington, DC 20002-4213
Voice: (202)336-6839
E-mail: [email protected]
Jacqueline King
Director, Center for Policy Analysis
American Council on Education
One Dupont Circle, NW
Suite 800
Washington, DC 20036
Voice: (202)939-9559
E-mail: [email protected]
Alexander McCormick
Senior Scholar
The Carnegie Foundation
51 Vista Lane
Stanford, CA 94305
Voice: (650)566-5149
E-mail: [email protected]
Catherine Millett
Research Scientist
Educational Testing Service
Policy Evaluation & Research Center
Rosedale Road, Mailstop 01-R
Princeton, NJ 08542
Voice: (609)734-5866
E-mail: [email protected]

Anthony Carnevale
Georgetown University
37th and O Streets, NW
Washington, DC 20057
Voice: (202)687-0880
E-mail: [email protected]

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

B-3

APPENDIX B. TECHNICAL REVIEW PANEL

Laura Perna
Associate Professor
University of Pennsylvania, Graduate School of
Education
3700 Walnut
Room 424
Philadelphia, PA 19104-6216
Voice: (215)746-2522
E-mail: [email protected]
Kent Phillippe
Senior Research Associate
American Association of Community Colleges
One Dupont Circle, NW
Suite 410
Washington, DC 20036
Voice: (202)728-0200
E-mail: [email protected]
Matthew Reed
Policy Analyst
The Institute for College Access and Success
1411 K Street, NW, Suite 1400
Washington, DC 20005
Voice: (202)747-1959
E-mail: [email protected]
Pat Smith
Senior Research and Policy Analyst
American Association of State Colleges and
Universities (AASCU)
1307 New York Avenue NW
Fifth Floor
Washington, DC 20005
Voice: (202)293-7070
E-mail: [email protected]
Dawn Terkla
Executive Director
Tufts University
Institutional Research
28 Sawyer Avenue
Medford, MA 02155
Voice: (617)627-3274
E-mail: [email protected]

B-4

Vincent Tinto
Distinguished Professor
Syracuse University
School of Education
350 Huntington Hall
Syracuse, NY 13244-2340
Voice: (315)443-4763
E-mail: [email protected]
Marvin Titus
Assistant Professor
North Carolina State University
Adult and Community College Education
300M Poe Hall, Box 7801
Raleigh, NC 27695
Voice: (919)515-6290
E-mail: [email protected]

U.S. Department of Education and Other
Federal Panelists
Nabeel Alsalam
Congressional Budget Office
Ford House Office Building
Room 423A
Washington, DC 20515
Voice: (202)225-2639
E-mail: [email protected]
David Bergeron
Chief, Budget and Policy Development
U.S. Dept of Education, Office of Postsecondary
Education, Office of Postsecondary Education
(OPE)
1990 K St, NW
Room 8022
Washington, DC 20006-8540
Voice: (202)502-7815
E-mail: [email protected]
Dennis Carroll
Associate Commissioner, Postsecondary Studies
Division
U.S. Department of Education, NCES
1990 K Street, NW
Room 8107
Washington, DC 20006-5652
Voice: (202)502-7323
E-mail: [email protected]

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX B. TECHNICAL REVIEW PANEL

Daniel Goldenberg
U.S. Department of Education, Office of the Deputy
Secretary
400 Maryland Avenue
Room 5W308
Washington, DC 20202
Voice: (202)401-3562
E-mail: [email protected]
James Griffith
Postsecondary Longitudinal and Sample Survey
Studies-Postsecondary Studies Division
U.S. Department of Education, NCES
1990 K Street, NW
Room 8103
Washington, DC 20006
Voice: (202)502-7387
E-mail: [email protected]
Lisa Hudson
U.S. Department of Education, NCES
1990 K Street, NW
Suite 900
Washington, DC 20006
Voice: (202)502-7358
E-mail: [email protected]
Tracy Hunt-White
Statistician
U.S. Department of Education, NCES
1990 K St., NW
Room 8121
Washington, DC 20006
Voice: (202)502-7438
E-mail: [email protected]
Paula Knepper
Senior Technical Advisor, Postsecondary Studies
Division
U.S. Department of Education, NCES
1990 K Street NW
Room 8104
Washington, DC 20006-5652
Voice: (202)502-7367
E-mail: [email protected]

Roslyn Korb
Program Director
Postsecondary Coop System Analysis &
Dissemination - PSD
U.S. Department of Education, NCES
1990 K Street, NW
Room 8132
Washington, DC 20006-5652
Voice: (202)502-7378
E-mail: [email protected]
Nancy Leach
Program Director, Human Resources Statistics
National Science Foundation
4201 Wilson Boulevard, Suite 965
Division of Science Resources Statistics
Arlington, VA 22230
Voice: (703)292-7768
E-mail: [email protected]
Laura LoGerfo
HSLS:09 Project Officer
U.S. Department of Education, NCES
1990 K Street NW
Room 9022
Washington, DC 20006
Voice: (202)502-7402
E-mail: [email protected]
Rochelle Martinez
Office of Management and Budget
725 17th Street NW, Room 10202 NEOB
Washington, DC 20503
Voice: (202)395-3147
E-mail: [email protected]
Edith McArthur
Demographer
U.S. Department of Education, NCES
1990 K Street, NW
Room 9115
Washington, DC 20006-5652
Voice: (202)502-7393
E-mail: [email protected]

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

B-5

APPENDIX B. TECHNICAL REVIEW PANEL

Elise Miller
IPEDS Program Director
US Department of Education, National Center for
Education Statistics
1990 K Street, NW
Room 8113A
Washington, DC 20006
Voice: (202)502-7318
E-mail: [email protected]
Kristin Perry
Statistician
U.S. Department of Education, NCES
1990 K Street, NW
Room 8113A
Washington, DC 20006
Voice: (202)502-7428
E-mail: [email protected]
Marilyn Seastrom
Chief Statistician and Program Director
U.S. Department of Education, NCES
1990 K Street, NW
Room 9051
Washington, DC 20006
Voice: (202)502-7303
E-mail: [email protected]
David Smole
Specialist in Education Policy
Congressional Research Service
101 Independence Ave., SE
Washington, DC 20540-7440
Voice: (202)707-0624
E-mail: [email protected]
Tom Weko
Senior Research Scientist
US Dept of Education, NCES
1990 K St. NW
Washington, DC 20006
Voice: (202)502-7643
E-mail: [email protected]
John Wirt
Statistician
Annual Reports Program-ECICSD
U.S. Department of Education, NCES
1990 K Street, NW
Room 9028
Washington, DC 20006
Voice: (202)502-7478
E-mail: [email protected]

B-6

Linda Zimbler
Project Officer, NSOPF:2004
U.S. Department of Education, NCES
1990 K Street NW
Room 8123
Washington, DC 20006-5652
Voice: (202)502-7481
E-mail: [email protected]

Subcontractors
MPR Associates, Inc.
Lutz Berkner
Senior Research Associate
MPR Associates
2150 Shattuck Avenue, Suite 800
Berkeley, CA 94704
Voice: (510)849-4942
E-mail: [email protected]
Ellen Bradburn
Senior Research Associate
MPR Associates
2150 Shattuck Avenue, Suite 800
Berkeley, CA 94704
Voice: (510)849-4942
E-mail: [email protected]
Christina Chang Wei
Research Associate
MPR Associates
2150 Shattuck Avenue
Berkeley, CA 94704
Voice: (510)849-4942
E-mail: [email protected]
Susan Choy
Vice President
MPR Associates, Inc.
2150 Shattuck Avenue, Suite 800
Berkeley, CA 94704
Voice: (510)849-4942
E-mail: [email protected]

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX B. TECHNICAL REVIEW PANEL

RTI International
Melissa Cominole
Research Education Analyst
Education Studies Division
RTI International
P.O. Box 12194
3040 Cornwallis Road
Research Triangle Park, NC 27709
Voice: (919)990-8456
E-mail: [email protected]
Jeffrey Franklin
Data Collection Task Leader
RTI International
P.O. Box 12194
3040 Cornwallis Road
Research Triangle Park, NC 27709
Voice: (919)485-2614
E-mail: [email protected]
Jordan Hudson
Education Analyst
Education Studies Division
RTI International
P.O. Box 12194
3040 Cornwallis Road
Research Triangle Park, NC 27709
Voice: (919)316-3416
E-mail: [email protected]

Tiffany Mattox
Survey Manager
Education Studies Division
RTI International
P.O. Box 12194
3040 Cornwallis Road
Research Triangle Park, NC 27709
Voice: (919)485-7791
E-mail: [email protected]
John Riccobono
Vice President
Education Studies Division
RTI International
P.O. Box 12194
3040 Cornwallis Road
Research Triangle Park, NC 27709
Voice: (919)541-7006
E-mail: [email protected]
Jennifer Wine
Director, Longitudinal Studies Program
Education Studies Division
RTI International
P.O. Box 12194
3040 Cornwallis Road
Research Triangle Park, NC 27709
Voice: (919)541-6870
E-mail: [email protected]

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

B-7

Appendix C
Confidentiality

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

C-1

APPENDIX C. CONFIDENTIALITY

CONFIDENTIALITY AGREEMENT

2004 National Study of Faculty and Students
(RTI Under Contract No. ED-02-CO-0011)

Safeguards for Individuals Against Invasion of Privacy: In accordance with the Privacy Act of 1974 (5 United States Code
552a), the Education Sciences Reform Act of 2002 (Public Law 107-279), the Federal Statistical Confidentiality Order of
1997, the E-Government Act of 2002 (Public Law 107-347), the Computer Security Act of 1987, the National Center for
Education Statistics’ (NCES’) Restricted Use Data Procedures Manual, and NCES’ Standards and Policies, RTI
International (RTI) and all its subcontractors are required to comply with the applicable provisions of the legislation,
regulations, and guidelines and to undertake all necessary safeguards for individuals against invasions of privacy.
To provide this assurance and these safeguards in performance of work on this project, all staff, consultants, and agents
of RTI, and its subcontractors who have any access to study data, shall be bound by the following assurance.
Assurance of Confidentiality
1.
In accordance with all applicable legislation, regulations, and guidelines, RTI assures all respondents that the
confidentiality of their responses to all information requests will be maintained by RTI and NCES, and that no
information obtained in the course of this activity may be disclosed in a manner in which the individual is
identifiable, unless the individual has consented to such disclosure, to anyone other than authorized staff,
consultants, agents, or representatives of RTI, its subcontractors, and NCES.
2.
The following safeguards will be implemented to assure that confidentiality is protected by all employees,
consultants, agents, and representatives of RTI and all subcontractors and that physical security of the records is
provided:
a. All staff with access to data will take an oath of nondisclosure and sign an affidavit to that effect.
b. At each site where these items are processed or maintained, all confidential records that will permit
identification of individuals shall be kept in a safe, locked room when not in use or personally attended by
project staff.
c. When confidential records are not locked, admittance to the room or area in which they reside shall be
restricted to staff sworn to confidentiality on this project.
d. All electronic data shall be maintained in secure and protected data files, and personally identifying
information shall be maintained on separate files from statistical data collected under this contract.
e. All data files on network or multiuser systems shall be under strict control of a database manager with
access restricted to project staff sworn to confidentiality, and then only on a need-to-know basis.
f.
All data files on single-user computers shall be password protected and all such machines will be locked
and maintained in a locked room when not attended by project staff sworn to confidentiality.
g. External electronically stored data files (e.g., tapes on diskettes) shall be maintained in a locked storage
device in a locked room when not attended by project staff sworn to confidentiality.
h. Any data released to the general public shall be appropriately masked or perturbated such that linkages to
individually identifying information are not possible and individual identification cannot be disclosed.
i. Data or copies of data may not leave the authorized site for any reason.
3.
Staff, consultants, agents, or RTI and all its subcontractors will take all necessary steps to ensure that the letter
and intent of all applicable legislation, regulations, and guidelines are enforced at all times through appropriate
qualifications standards for all personnel working on this project and through adequate training and periodic
follow-up procedures.
By my signature affixed below, I hereby swear and affirm that I have carefully read this statement and fully understand the
statement as well as legislative and regulatory assurances that pertain to the confidential nature of all records to be
handled in regard to this project, and will adhere to all safeguards that have been developed to provide such
confidentiality. As an employee, consultant, agent, or representative of RTI or one of its subcontractors, consultants,
agents, or representatives, I understand that I am prohibited by law from disclosing any such confidential information to
anyone other than staff, consultant, agents, or representatives of RTI, its subcontractors, or agents, and NCES. I
understand that any willful and knowing individual disclosure or allowance of disclosure in violation of the applicable
legislation, regulations, and guidelines is punishable by law and would subject the violator to possible fine or
imprisonment.
-- ///
(Signature) (RTI
(Date)

Employee ID Number)

-- ///
(Supervisor’s Signature)

(RTI Employee ID Number)

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

(Date)

C-3

APPENDIX C. CONFIDENTIALITY

AFFIDAVIT OF NONDISCLOSURE
2004 National Study of Faculty and Students
(RTI Under Contract No. E02-CO-0011)
(Name)

(Job Title)

(Date of Assignment to NSoFaS:04 Project)

RTI International
(Organization, State, or Local Agency or Instrumentality)

P.O. Box 12194, Research Triangle Park, NC 27709
(Address)

I, _______________________________, do solemnly swear (or affirm) that when given access to any 2004
National Study of Faculty and Students project-related data bases or files containing individually identifiable
information, I will not:
(i)

use or reveal any individually identifiable information furnished, acquired, retrieved or assembled by me or
others, under the provisions of Section 183 of the Education Sciences Reform Act of 2002 (PL 107-279) and
Title V, subtitle A of the E-Government Act of 2002 (PL 107-347) for any purpose other than statistical
purposes specified in the NCES survey, project or contract;
(ii) make any disclosure or publication whereby a sample unit or survey respondent could be identified or the data
furnished by or related to any particular person under this section could be identified; or
(iii) permit anyone other than the individuals authorized by the Commissioner of the National Center for Education
Statistics to examine the individual reports.
__________________________________
(Signature)
(The penalty for unlawful disclosure is a fine of not more than $250,000 [under 18 U.S.C. 3571] or imprisonment for
not more than 5 years [under 18 U.S.C. 3559], or both. The word “swear” should be stricken out wherever it
appears when a person elects to affirm the affidavit rather than to swear to it.)

State of ______________________
County of ____________________

Subscribed and sworn/affirmed before me, _____________________________a Notary Public in and for
______________ County, State of __________________, on this date, __________________________________.

___________________________________________
Notary Public
My commission expires: _______________________

C-4

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

Appendix D
Introductory Letters to Students and
Parents

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-1

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

D.1

BPS:04/09 Information Brochure

2004/09 Beginning Postsecondary Students (BPS:04/09)
What has happened in your life in the past few years? Have you earned a college degree, begun a career,
or enrolled in graduate school? The Beginning Postsecondary Studies (BPS) Longitudinal Study wants to
know!
Why was I chosen to participate?
You were selected to participate in BPS because you first enrolled in postsecondary education during the
2002–03 academic year. Study participants were interviewed for the first time in 2003. Now, we are
contacting you for the third and final time, to find out about your experiences in education and
employment during the past few years.
What is BPS about?
We are interviewing more than 1,100 people like you, selected from approximately 173 institutions, to
find out about their experiences during the 6 years since they first enrolled in postsecondary education.
We need your help and comments to collect information about your:
•
•
•
•
•

Experience in the workforce
Experience in, or plans for, graduate education
Earnings and ability to repay student loans
Family status
Participation in civic activities

Who is conducting the study?
BPS is sponsored by the National Center for Education Statistics (NCES) in the U.S. Department of
Education’s Institute of Education Sciences. The study is being conducted under contract by RTI
International (RTI), a nonprofit research organization located in North Carolina. BPS is authorized by the
Education Sciences Reform Act of 2002 (Public Law 107-279).
When will the study be conducted?
Beginning in March of 2008, students who began their postsecondary education during the 2002–03
academic year will be contacted to complete the BPS web-based interview. Students who do not complete
the self-administered web-based interview within 3 weeks will be contacted by a professionally trained
telephone interviewer and asked to complete the interview over the telephone.
What have we learned from BPS?
The last BPS study, which involved students who first enrolled in postsecondary education (including
community colleges, 4-year colleges, universities, and vocational schools) during the 2002–03 academic
year, showed that:
•

83% of beginning students (who were recent high school graduates) enrolled full-time in
postsecondary institutions with plans for a bachelor’s degree, were still enrolled at a
postsecondary institution 3 years later.

•

62% of beginning students, who first enrolled at a public 2-year institution and then transferred to
another institution, had not yet attained a degree and were still enrolled at some postsecondary
institution 3 years later.

•

50% of beginning independent students who first enrolled at 4-year institutions had not attained a
degree and were no longer enrolled 3 years later.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-3

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

•

Among students who were recent high school graduates first enrolled at public 2-year institutions
with associate’s degree plans, 23% attained an associate’s degree from that institution, 31% were
still enrolled there without a degree, 24% had transferred elsewhere without a degree, and 21%
had not attained a degree and were not enrolled there or anywhere else 3 years later.

Why should I participate?
Congress and other policymakers use data from BPS when they consider how new legislation will affect
postsecondary students. Information from the survey helps them answer questions such as:
•
•
•
•
•

What percentage of beginning students complete their degree programs?
Do students who receive financial aid complete their programs in the same length of time as those
who do not receive financial aid?
Why do students leave school?
Is increased financial aid associated with completion?
How long does it take students to complete various types of degree programs?

Although participation in the study is voluntary, there is no substitute for your responses.
Will my answers be kept confidential?
Interview responses, combined with student record information, may be used only for statistical purposes
and may not be disclosed, or used, in personally identifiable form for any other purpose, unless otherwise
compelled by law.
The following procedures have been implemented to ensure the confidentiality of your responses:
•
•
•

Your answers are secured behind firewalls and are encrypted during Internet transmission using
Secure Socket Layer (SSL) protocol. All data entry modules are password protected and require
the user to log in before accessing confidential data.
Project staff may be severely fined or imprisoned for disclosure of individual responses.
Confidentiality procedures are reviewed and approved by RTI’s Institutional Review Board
(Committee for Protection of Human Subjects).

How do I participate?
You may complete the BPS interview in one of two ways:
1. Log in to the study website at https://surveys.nces.ed.gov/bps then simply select the login link
and enter your Study ID and password when prompted. If you need assistance, call the BPS Help
Desk at 1-800-334-2321, or contact us via e-mail at [email protected].
2. Complete the interview by telephone. If you prefer to complete the BPS interview by telephone
with a professionally trained interviewer from RTI, you may call the BPS Help Desk at 1-800334-2321.
How long will it take?
On average, the interview lasts about 25 minutes. Web interview time will vary depending on your
Internet connection speed.
Are there any benefits or risks to my participation?
Your participation in BPS will help ensure the success of the study and help policymakers and educators
better understand the costs and benefits of postsecondary education. There are no other known benefits to

D-4

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

your participation. The risk of participation in this study relates to data security and is minimal, given the
strict confidentiality and security procedures in place.
How can I get a copy of the results?
Publications from previous studies are available free of charge on the NCES website at
http://www.nces.ed.gov/pubsearch/. Results from the current study are scheduled to be released in 2009
and will be posted on the NCES site as soon as they are available.
Where can I get more information about BPS?
For more information on participating, visit the study’s website at http://surveys.nces.ed.gov/bps.
To make an appointment to complete the interview by telephone, or for assistance in completing the web
interview, call 1-800-334-2321.
You may also contact us by
E-mail: [email protected]
Fax: 919-541-7014
TDD: 1-877-212-7230
If you have questions or concerns, you may contact the following:
BPS Project Director (RTI)
Dr. Jennifer Wine
1-877-225-8470 (toll-free)
[email protected]
BPS Project Officer (NCES)
Dr. Tracey Hunt-White
1-202- 502-7438
[email protected]
If you have questions about your rights as a study participant, please call RTI’s Institutional Review
Board at 1-866-214-2043 (toll-free) or send an e-mail message to [email protected] regarding IRB number
11899.
[NCES logo]
National Center for Education Statistics
Institute of Education Sciences
U.S. Department of Education

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-5

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

D.2

Initial Contact Letter to Parents

Date
«Cpfname» «Cpmname» «Cplname»
«CAddr1»
«CAddr2»
«CCity», «CState» «CZip» «CZip4»

Study ID: «caseid»
«panelinfo»

Dear «Cpfname» «Cplname»:
Students who first began their postsecondary education in the 2002–03 school year were selected to participate in
the Beginning Postsecondary Students Longitudinal Study (BPS) sponsored by the U.S. Department of Education.
This study collects information, over time, on students’ postsecondary experiences, work while enrolled, persistence
in school, degree completion, and employment following enrollment. The enclosed pamphlet describes BPS in more
detail and presents selected findings from prior BPS studies.
«sPfname» «sPlname» has been randomly selected to participate in the next round of BPS. We need your help to
update our records for «pronoun2». «text1». Please take a few minutes to update the enclosed Address Update
Information sheet and return it in the enclosed postage paid envelope.
We will be re-contacting «sPfname» and other study participants beginning in early spring 2006 to ask questions
about their recent education and employment experiences. Your help in updating our records will ensure the success
of the study. Only a limited number of people were selected for the study. Therefore, each person selected represents
many others, and it is extremely important that we be able to contact them. If «sPfname» completes the interview on
the Web by the date provided «pronoun2», «pronoun1» will receive $«IncAmt» as a token of our appreciation.
NCES has contracted with RTI International to conduct this cycle of the BPS data collection. Please be assured that
both NCES and RTI follow strict confidentiality procedures to protect the privacy of study participants and the
confidentiality of the information collected. If you have any questions about the study, please call the RTI study
director, Dr. Jennifer Wine, toll-free at 1-877-225-8470.
We sincerely appreciate your assistance and thank you in advance for helping us conduct this important study.
Sincerely,
Go to: http://surveys.nces.ed.gov/bps
Your study ID: «caseid»
Mark Schneider
Commissioner
National Center for Education Statistics
Enclosures

D-6

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

The National Center for Education Statistics (NCES) of the U.S. Department of Education is authorized by federal law
(Public Law 107-279) to conduct the Beginning Postsecondary Students Longitudinal Study. NCES will authorize only a limited
number of researchers to have access to information which could be used to identify individuals. They may use the data for
statistical purposes only and are subject to fines and imprisonment for misuse.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information
unless it displays a valid OMB control number. The valid OMB control number of this information collection is 1850-0631, and
it is completely voluntary. The time required to complete this information collection is estimated to average 25 minutes per
response, including the time to review instructions, search existing data resources, gather the data needed, and complete and
review the information collection. If you have any comments concerning the accuracy of the time estimate or suggestions for
improving the interview, please write to: U.S. Department of Education, Washington, DC 20006. If you have comments or
concerns regarding the status of your individual interview, write directly to: Tracy Hunt-White, National Center for Education
Statistics, 1990 K Street, NW, Washington, DC 20006.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-7

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

D.3

Initial Contact Letter to Prior BPS Respondents

Date
«fname» «mname» «lname» «suffix»
«addr1»
«addr2»
«city», «state» «zip»

Study ID: «caseid»
«panelinfo»

Dear «fname» «lname»:
In 2005, you participated in the Beginning Postsecondary Students Longitudinal Study (BPS) for the U.S.
Department of Education that focused on your early experiences as a postsecondary student and how you paid for
your school expenses that year. We are now seeking your help with a follow-up interview with you and students like
you who began their education in the 2002–03 academic year. We would like to know what you have been doing
since 2005, in terms of your education and your work experience. This study collects information, over time, on
students’ postsecondary experiences, work while enrolled, persistence in school, degree completion, and
employment following enrollment.
The interview will take about 25 minutes to complete on the Web whenever it is convenient for you. When data
collection begins in March, you will receive a letter that will provide specific information on how to participate. If
you complete the interview on the Web by the date indicated on the letter, you will receive $«IncAmt» as a token
of our appreciation.
Your participation, while voluntary, is critical to the study’s success. By law, we are required to protect your
privacy. Your responses will be secured behind firewalls and will be encrypted during Internet transmission. Your
responses may be used only for statistical purposes and may not be disclosed, or used, in identifiable form for any
other purpose, except as required by law.
Enclosed you will find a brochure with a brief description of BPS, findings from prior BPS studies, and
confidentiality procedures. If your contact information has changed, you may provide your new address and
telephone number on the enclosed address update sheet and return it to us in the business reply envelope provided.
To find out more about this BPS interview and to update your contact information online, visit the study’s website at
https://surveys.nces.ed.gov/bps/.
The BPS study is being conducted for the U. S. Department of Education’s National Center for Education Statistics
by RTI International. If you have any questions about the study, please call the RTI study director, Dr. Jennifer
Wine, toll-free at 1-877-225-8470.
We thank you in advance for your participation in this important study. Your cooperation is greatly appreciated.
Sincerely,
Go to: http://surveys.nces.ed.gov/bps
Your study ID: «caseid»
Mark S. Schneider
Commissioner
National Center for Education Statistics
Enclosures

D-8

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

The National Center for Education Statistics (NCES) of the U.S. Department of Education is authorized by
federal law (Public Law 107-279) to conduct the Beginning Postsecondary Students Longitudinal Study. NCES will
authorize only a limited number of researchers to have access to information which could be used to identify
individuals. They may use the data for statistical purposes only and are subject to fines and imprisonment for
misuse.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless it displays a valid OMB control number. The valid OMB control number of this information
collection is 1850-0631, and it is completely voluntary. The time required to complete this information collection is
estimated to average 25 minutes per response, including the time to review instructions, search existing data
resources, gather the data needed, and complete and review the information collection. If you have any comments
concerning the accuracy of the time estimate or suggestions for improving the interview, please write to: U.S.
Department of Education, Washington, DC 20006. If you have comments or concerns regarding the status of your
individual interview, write directly to: Tracy Hunt-White, National Center for Education Statistics, 1990 K Street,
NW, Washington, DC 20006.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-9

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

D.4

Initial Contact Letter to Prior BPS Nonrespondents

Date
«fname» «mname» «lname» «suffix»
«addr1»
«addr2»
«city», «state» «zip»

Study ID: «caseid»
«panelinfo»

Dear «fname» «lname»:
You have been randomly selected to take part in the 2004/09 Beginning Postsecondary Students Longitudinal Study
(BPS) sponsored by the U.S. Department of Education. This study collects information from you and students like
you who began their postsecondary education in the 2002–03 academic year, such as postsecondary experiences,
work while enrolled, persistence in school, degree completion, and employment following enrollment.
The interview will take about 25 minutes to complete on the Web whenever it is convenient for you. When data
collection begins in March, you will receive a letter that will provide specific information on how to participate. If
you complete the interview on the Web by the date indicated on the letter, you will receive $ «IncAmt» as a token
of our appreciation.
Your participation, while voluntary, is critical to the study’s success. By law, we are required to protect your
privacy. Your responses will be secured behind firewalls and will be encrypted during Internet transmission. Your
responses may be used only for statistical purposes and may not be disclosed, or used, in identifiable form for any
other purpose, except as required by law.
Enclosed you will find a brochure with a brief description of BPS, findings from prior BPS studies, and
confidentiality procedures. If your contact information has changed, you may provide your new address and
telephone number on the enclosed address update sheet and return it to us in the business reply envelope provided.
To find out more about this BPS interview and to update your contact information online, visit the study’s website at
https://surveys.nces.ed.gov/bps/.
The BPS study is being conducted for the U. S. Department of Education’s National Center for Education Statistics
by RTI International. If you have any questions about the study, please call the RTI study director, Dr. Jennifer
Wine, toll-free at 1-877-225-8470.
We thank you in advance for your participation in this important study. Your cooperation is greatly appreciated.
Sincerely,
Go to: http://surveys.nces.ed.gov/bps
Your study ID: «caseid»
Mark S. Schneider
Commissioner
National Center for Education Statistics
Enclosures

D-10

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-11

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

D.5

Address Update Sheet

Beginning Postsecondary Students Longitudinal Study
Address Update Information
Study ID: «caseid»
1. Please review your current address displayed on the left side of the address box below. Check here if
all information pre-printed in this section is correct………………….……….……
If your address is not correct or is not current, please update it in the space provided on the right
side of the box. To update your locating information online, visit our secure website at
//surveys.nces.ed.gov/bps and refer to your Study ID «caseid».
«fname» «mname» «lname» «suffix»
«addr1»
«addr2»
«city», «state» «zip»«zip4»
«sarea1» «sphone1»
«panelinfo»

Name:
Address:
Home
phone:
Work
phone:
Cell phone:

()
()
()

2. We will send an e-mail to let you know that data collection has begun. Please provide an e-mail
address that we can use to contact you.
Primary e-mail address:
Alternative e-mail address:
3. Would you like us to send you a text message on your cell phone when data collection is about to
begin? Please check one…………………………………………………Yes
No
If yes, what cell number should we use?__________________________________________
Thank you for your assistance.
Please return this page in the enclosed postage paid envelope.

D.6

Data Collection Announcement (No Prepaid Incentive)

«fname» «mname» «lname» «suffix»
«addr1»
«addr2»
«city», «state» «zip»

Study ID: «caseid»
«panelinfo»

Dear «fname» «lname»:
Interviews for the next Beginning Postsecondary Students Longitudinal Study (BPS) are now being
conducted. The interview will take about 25 minutes to complete on the Web whenever it is convenient
for you. If you complete your BPS interview by «date», you will receive a check for $«IncAmt» as a
token of our appreciation.

D-12

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

You may access the web interview by logging on to our secure website at https://surveys.nces.ed.gov/bps/
using the Study ID provided below.
Study ID = «caseid»
Password = «password»
Enclosed you will find a pamphlet with a brief description of BPS, findings from prior BPS studies, and
our confidentiality procedures. Your participation, while voluntary, is critical to the study’s success. By
law, we are required to protect your privacy. Your responses will be secured behind firewalls and will be
encrypted during Internet transmission. Your responses may be used only for statistical purposes and may
not be disclosed, or used, in identifiable form for any other purpose, except as required by law. If you
have questions or problems completing your interview online, simply call the BPS Help Desk at 1-800334-2321.
If you have any questions or concerns about the study itself, please contact the BPS Project Director, Dr.
Jennifer Wine, toll free at 1-877-225-8470 (e-mail: [email protected]), or the NCES Project Officer, Dr.
Tracy Hunt-White, at 202-502-7438 (e-mail: [email protected]).
Thank you in advance for making BPS a success.
Sincerely,

Jennifer Wine, Ph.D.
Project Director

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

D-13

APPENDIX D. INTRODUCTORY LETTERS TO STUDENTS AND PARENTS

D.7

Data Collection Announcement (with Prepaid Incentive)

«fname» «mname» «lname» «suffix»
«addr1»
«addr2»
«city», «state» «zip»

Study ID: «caseid»
«panelinfo»

Dear «fname» «lname»:
Interviews for the next Beginning Postsecondary Students Longitudinal Study (BPS) are now being
conducted. The interview will take about 25 minutes to complete on the Web whenever it is convenient
for you. Please find enclosed $5 (check/cash) as a token of our appreciation for completing the BPS
interview. If you complete your BPS interview by «date», we will also send you a check for an
additional $«IncAmt».
You may access the web interview by logging on to our secure website at https://surveys.nces.ed.gov/bps/
using the Study ID provided below.
Study ID = «caseid»
Password = «password»
Enclosed you will find a pamphlet with a brief description of BPS, findings from prior BPS studies, and
our confidentiality procedures. Your participation, while voluntary, is critical to the study’s success. By
law, we are required to protect your privacy. Your responses will be secured behind firewalls and will be
encrypted during Internet transmission. Your responses may be used only for statistical purposes and may
not be disclosed, or used, in identifiable form for any other purpose, except as required by law. If you
have questions or problems completing your interview online, simply call the BPS Help Desk at 1-800334-2321.
If you have any questions or concerns about the study itself, please contact the BPS Project Director, Dr.
Jennifer Wine, toll free at 1-877-225-8470 (e-mail: [email protected]), or the NCES Project Officer, Dr.
Tracy Hunt-White, at 202-502-7438 (e-mail: [email protected]).
Thank you in advance for making BPS a success.
Sincerely,

Jennifer Wine, Ph.D.
Project Director

D-14

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

Appendix E
Sample Design for the
NPSAS:04 Full-Scale Study

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

E-1

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

Appendix E
Sample Design for the NPSAS:04 Full-scale Study
E.1.

Respondents Universe

E.1.1 Institution Universe

The institutions eligible for NPSAS:04 were required during the 2003–04 academic year to
•

offer an educational program designed for persons who have completed secondary
education;

•

offer at least one academic, occupational, or vocational program of study lasting at
least 3 months or 300 clock hours;

•

offer courses that are open to more than the employees or members of the company or
group (e.g., union) that administers the institution;

•

be eligible to participate in Title IV programs;

•

be located in the 50 states, the District of Columbia, or Puerto Rico; and

•

be other than a U.S. Service Academy.

Institutions providing only avocational, recreational, or remedial courses or only in-house
courses for their own employees were excluded. U.S. Service Academies were excluded because
of their unique funding/tuition base.
Consistency of this definition of the institution universe relative to previous NPSAS
studies is discussed in section B.1.a.
E.1.2 Student Universe

The eligible students to be listed by the sample institutions for selection of the student
sample for NPSAS:04 are those who attended a NPSAS-eligible institution at any time from July
1, 2003 through April 30, 2004 and who were:
•

enrolled in either (a) an academic program; (b) at least one course for credit that
could be applied toward fulfilling the requirements for an academic degree; or (c) an
occupational or vocational program that required at least 3 months or 300 clock hours
of instruction to receive a degree, certificate, or other formal award; and

•

not currently enrolled in high school; and

•

not enrolled solely in a GED or other high school completion program.

Students concurrently enrolled in high school or who were enrolled only in a GED or
other high school completion program were not eligible. Students taking only courses for
remedial or avocational purposes and not receiving credit, those only auditing courses, and those
taking courses only for leisure, rather than as part of an academic, occupational, or vocational
program or course of instruction, were not eligible.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

E-3

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

E.2.

Statistical Methodology

E.2.1 Institution Sample

The institutional sampling frame for NPSAS:04 was constructed from the 2001
Integrated Postsecondary Education Data System (IPEDS) Institutional Characteristics (IC) file,
the 2001 IPEDS Completions file, and the 2001 IPEDS Fall Enrollment file. The sample for
NPSAS:04 was selected prior to selection of the field test institutions. Then, the sample of field
test institutions was selected purposively from the complement of the full-scale sample
institutions. This ensured that no institutions were in both the field test and full-scale samples
without affecting the representativeness of the full-scale sample.
Records on the IPEDS IC file that did not represent NPSAS-eligible institutions were
deleted. Hence, records that represented central offices, U.S. service academies, or institutions
located outside the United States and Puerto Rico were deleted. The IPEDS files were then
“cleaned” to resolve the following types of problems:
•

missing or zero enrollment or completions data, because these data are needed to
compute measures of size for sample selection; and

•

unusually large or small enrollment, especially if imputed, because, if incorrect, these
data would result in inappropriate probabilities of selection and sample allocation.

Table E-1 presents the allocation of the NPSAS:04 institutional sample to the nine
institutional sampling strata. The number of sample institutions is 1,500, accounting for
historical rates of participation in CADE, institution eligibility rates, and rates with which sample
institutions provide student lists for sample selection. Table E-1 shows the resulting institutional
sample sizes, which was 1,370 institutions providing lists for sample selection and 1,285
institutions providing CADE data.
We selected a direct, unclustered sample of institutions, like the sample selected for
NPSAS:2000 and NPSAS:96, rather than a clustered sample like those used for previous NPSAS
studies. A subset of approximately 1,000 institutions selected for NPSAS was also in the 2004
National Study of Postsecondary Faculty (NSOPF:04) sample. In addition, to allow analysis of
the effects of state tuition and student aid policies in individual states, representative samples of
institutions were selected from three strata—public 2-year institutions; public 4-year institutions;
and private not-for-profit 4-year institutions—in each of the following 12 states: CA, CT, DE,
GA, IL, IN, MN, NE, NY, OR, TN, and TX.
The NPSAS:04 student sampling design was based on fixed stratum sampling rates, not
fixed stratum sample sizes, as discussed below. The student sampling rates were designed to
produce about 80,925 student web/CATI respondents, distributed by institutional and student
sampling strata as shown in table E-2: about 22,091 first-time beginner (FTB) students; about
45,401 other undergraduate students; and about 13,433 graduate and first-professional students.
There were two student sampling strata for undergraduates (FTB and other
undergraduates), three student sampling strata for graduate students (master’s, doctoral, and
other graduate students), and one stratum for first-professional students. Differential sampling
rates were used for the three types of graduate students to get adequate representation of students
pursuing doctoral degrees and to limit the sample size for “other” graduate students, who are of
limited inferential interest.

E-4

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

Table E-1.

NPSAS:04 institution sample sizes and yield

Institutional sector

Institutions
Eligible
List
respondents
1,483
1,370

Frame

Sample

6,674

1,500

Public less-than-2-year
Public 2-year
Public 4-year nondoctorate granting
Public 4-year doctorate granting

321
1,225
358
276

50
322
150
251

48
319
150
251

41
303
143
238

37
288
136
226

Private not-for-profit 2-year or less
Private not-for-profit, 4-year
nondoctorate granting
Private not-for-profit 4-year doctorate
granting

379
1,076

60
252

55
249

52
212

48
195

537

165

155

147

Private for-profit less-than-2-year
Private for-profit 2-year or more

1,390
1,112

150
100

146
100

131
95

118
90

Total

CADE
respondents
1,285

NOTE: Institution counts based on the Fall 2000 IPEDS data collection. Institution eligibility rate: 98.9 percent. Institution list
response rate: 92.4 percent. 1,000 of the 1,500 institutions also are in the NSOPF:2004 sample.
SOURCE: U.S. Department of Education, National Center for Education Statistics, 2004 National Postsecondary Student Aid
Study, “Field Test Methodology Report” (NPSAS:04).

The NPSAS:04 web and CATI data collection procedures were expected to produce
about a 70 percent student response rate based on historical experience. Given prior NPSAS
experience regarding institutional CADE response rates and sample student eligibility rates, the
student sample sizes planned to support the desired student web/CATI yield are shown in
table E-2. We selected approximately 121,684 sample students for NPSAS:04, including 36,228
FTBs; 67,596 other undergraduate students; and 17,860 graduate and first-professional students.
The numbers of FTB students shown in table E-2 include both “true” FTBs who began
their postsecondary education for the first time during the NPSAS field test year and effective
FTBs who had not completed a postsecondary class prior to the NPSAS field test year.
Unfortunately, postsecondary institutions cannot readily identify their FTB students. Therefore,
the NPSAS sampling rates for students identified as FTBs and other undergraduate students by
the sample institutions were adjusted to yield the sample sizes shown in table E-2 after
accounting for expected false positive and false negative rates. The false-positive and falsenegative FTB rates experienced in NPSAS:96 were used to set appropriate sampling rates for the
NPSAS:04 field test.1

The NPSAS:96 false-positive rate was 27.6 percent for students identified as potential FTBs by the sample institutions, and the
false-negative rate was 9.1 percent for those identified as other undergraduate students.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

E-5

Table E-2.

NPSAS:04 student sample sizes and yield

Institutional sector

Total
Public less-than-2-year

Web/CATI respondents

Eligible students

Total

BPS

Other UG

G1P

Total

BPS

80,925

22,091

45,401

13,433

114,738

33,033

Sample student

Other
UG
63,845

G1P

Total

BPS

Other UG

G1P

17,860

121,684

36,228

67,596

17,860
#

1,442

650

792

2,218

1,000

1,218

2,773

1,250

1,523

Public 2-year

14,410

7,096

7,314

22,169

10,917

11,252

24,632

12,130

12,502

Public 4-year nondoctorate granting

11,152

2,157

7,645

1,350

15,022

2,915

10,331

1,776

15,719

3,068

10,875

1,776

Public 4-year doctorate granting

23,545

2,882

14,730

5,933

31,607

3,895

19,905

7,807

32,092

3,974

20,311

7,807

Private not-for-profit 2-year or less

2,147

1,265

882

3,303

1,946

1,357

3,476

2,048

1,428

Private not-for-profit 4-year
nondoctorate granting
Private not-for-profit 4-year doctorate
granting

8,898

1,646

6,206

1,046

12,005

2,224

8,386

1,395

12,563

2,341

8,827

1,395

9,945

1,042

4,601

4,302

13,362

1,408

6,218

5,736

13,518

1,437

6,345

5,736

Private for-profit less-than-2-year

5,459

3,840

1,619

9,098

6,400

2,698

10,703

7,529

3,174

Private for-profit 2-year or more

3,927

1,513

1,612

802

5,954

2,328

2,480

1,146

6,208

2,451

2,611

1,146

# Rounds to zero.
NOTE: Student eligibility rate: 94.3 percent. Student response rate: 70.5 percent. BPS = Confirmed first-time beginners (design will account for false positive and false negative FTB rates to yield these
sample sizes)
SOURCE: U.S. Department of Education, National Center for Education Statistics, 2004 National Postsecondary Student Aid Study, “Field Test Methodology Report” (NPSAS:04).

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

To develop the mathematical foundation for the institutional and student sampling design,
we use the following notation to represent the institutional and student/faculty sampling strata:
r = 1, 2,..., 58 indexes the institutional strata, and
s = 1, 2,..., 11 indexes the student/faculty strata.
Note that the NSOPF sample of institutions was a subset of the NPSAS institutions, so
the institution strata were expanded to accommodate the selection of certain types of institutions
for NSOPF. The strata also accounted for selection of institutions in the 12 states where there
were representative samples. The institution measure of size (described below) accounted for
student as well as for faculty counts and sampling rates.
We further define the following notation:
j = 1, 2,..., J(r) indexes the institutions that belong to institutional stratum “r,”
Mrs(j) = number of students and faculty during the NPSAS year who belong to
person stratum “s” at the j-th institution in stratum “r” based on the latest IPEDS
data, and
mrs = number of students and faculty to be selected from student stratum “s”
within the r-th institutional stratum, per table V.2 for students, referred to
henceforth as person stratum “rs.”
The overall population sampling rate for student stratum “rs” is then given by

f rs = m rs / M rs (+,+) ,
where
J(r)

M rs (+) =

∑M

rs (j)

j=1

The person sampling rates, frs, were computed based on the final sample allocation and IPEDS
data regarding the population sizes.
The composite measure of size for the j-th institution in stratum “r” will then be defined
as
11

S r (j) = ∑ f rs M rs (j) ,
s=1

which is the number of persons that would be selected from the j-th institution if all institutions
on the frame were to be sampled.
An independent sample of institutions was selected for each institutional stratum using
Chromy’s sequential, pmr sampling algorithm to select institutions with probabilities
proportional to their measures of size.2 However, rather than allow multiple selections of sample
institutions, we selected with certainty those institutions with expected frequencies of selection
greater than unity (1.00), and we selected the remainder of the institutional sample from the
2

Chromy, J.R. (1979). “Sequential Sample Selection Methods.” Proceedings of the American Statistical Association Section on
Survey Research Methods, pp. 401–406.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

E-9

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

remaining institutions in each stratum. This process made it unnecessary to select multiple
second-stage samples of persons by precluding institutions with multiple selections at the first
stage of sampling. Therefore, the expected frequency of selection for the j-th institution in
institutional stratum “r” is given by
J(r)

S r ( + )=

∑S

( j ),

j=1

where
⎧ nr S r ( j )
, for non- certainty selections;
⎪
S
r ( + )
⎪⎪
π r ( j )= ⎨
⎪
1 , for certainty selections ;
⎪
⎪⎩
and nr is the number of non-certainty selections from stratum “r.”
Within each of the “r” institutional strata, we stratified implicitly by sorting the stratum
“r” sampling frame in a serpentine manner (see Williams and Chromy, 19803) by the following
variables:
•

HBCU (historically black colleges and universities);

•

OBE Region (from the IPEDS IC file) with Alaska and Hawaii moved to Region 9
with Puerto Rico;

•

state; and

•

the institution measure of size.

The objectives of this additional, implicit stratification are to ensure some HBCUs, to
ensure proportionate representation of all geographic regions and states, and to ensure
representation of both large and small institutions.
E.2.2 Student Sample

Many aspects of the procedures for obtaining and sampling from student lists were
described for the field test, including
•

obtaining as many lists as possible in machine-readable form, including e-mails,
uploads to the project website, and diskettes or CD-ROMs;

•

processing lists on a flow basis as they are received;

•

unduplicating samples selected when an institution provides only a hard-copy list for
each term of enrollment;

•

ensuring that each sample institution receives a sufficient sample allocation that 30
respondents can be expected;

Williams, R.L. and J.R. Chromy (1980). “SAS Sample Selection MACROS.” Proceedings of the Fifth Annual SAS Users Group
International Conference, pp. 392–396.

E-10

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

•

implementing quality assurance checks against the latest IPEDS data; and

•

compiling a master sample file on a flow basis as sample students are selected,
including student and institution sampling weight factors.

The procedures proposed for the field test were refined based on the results of the field
test and implemented for the full-scale survey.
Student samples were selected as stratified, systematic random samples for both hardcopy and electronic lists primarily because of its ease of implementation with hard-copy lists.
The student sampling rates were fixed for each sample institution, rather than the student sample
sizes:
•

to facilitate selecting the samples on a flow basis as the student lists were received
from sample institutions;

•

to facilitate unduplicating the samples selected when an institution provided only
hard-copy lists by term; and

•

because sampling at a fixed rate based on the overall stratum sampling rate and the
institution probabilities of selection results in approximately equal overall
probabilities of selection within student strata.

Recall that the overall population sampling rate for student stratum “rs” is given by
f rs = mrs / M rs (+) ,

where
J(r)

M rs (+) =

∑M

rs (j)

j=1

For the unconditional probability of selection to be a constant for all eligible students in stratum
“rs,” the overall probability of selection should be the overall student sampling fraction, frs; i.e.,
we must ensure that

mrs (j)
π r (j) = f rs ,
M rs (j)
or equivalently,

M rs (j) .
mrs (j) = f rs
π r (j)
Thus, the conditional sampling rate for stratum “rs,” given selection of the j-th institution,
becomes

f rs | j = f rs / π r (j) .
However, in this case, the desired overall student sample size, ms, is achieved only in expectation
over all possible samples.
Achieving the desired sample sizes with equal probabilities within strata in the particular
sample selected and simultaneously adjusting for institutional nonresponse and ineligibility
requires that

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

E-11

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

m
∑
ε

(j) = mrs ,

j R

where “R” denotes the set of eligible, responding institutions. If we let the conditional student
sampling rate for stratum “rs” in the j-th institution be
fˆ rs | j = fˆ rs / π r (j) ,

we then require

fˆ
∑
ε

i R

M rs (j) =
mrs ,
π r (j)

or equivalently,

fˆ rs = mrs / Mˆ rs ,
where

Mˆ rs =

∑ε M

(j)

j R

π r (j)

Since it was necessary to set the student sampling rates before we had complete information on
eligibility and response status, Mˆ rs was calculated as follows:
(j)
* [ E r R r E rs ] ,
π r (j)

M rs
Mˆ rs = ∑
jεS

where “S” denotes the set of all sample institutions,
Er = the institutional eligibility factor for institutional stratum “r,”
Rr = the institutional response factor for institutional stratum “r,”
Ers = the student eligibility factor for student stratum “rs.”
NPSAS is a multivariate survey with a p-dimensional parameter space, θ = {θj}, j = 1,
….., p, for which it is desired to estimate θ with θˆ while minimizing cost (sample size) subject to
a series of precision requirements. Consequently, optimal sampling rates can be obtained by
solving the following nonlinear optimization problem:
I ⎛
F
Minimize: C = C 0 + ∑ ⎜⎜ C1i n1i + ∑ C 2if n2if
i =1 ⎝
f =1

⎞
⎟
⎟
⎠

( )

⎧V θˆ j ≤ v j , ∀j
⎪⎪
Subject to: ⎨2 ≤ n1i ≤ N 1i , i ∈ [ 1,I]
⎪2 ≤ n ≤ N , f ∈ [ 1,F]
2 if
2 if
⎪⎩

E-12

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX E. SAMPLE DESIGN FOR THE NPSAS:04 FULL-SCALE STUDY

Where,
C0 = fixed cost not affected by changes in the numbers of institutions or students selected;
C1i = variable cost per institution, depending on the number of participating institutions in the
ith institutional stratum;
n1i = number of participating institutions in the ith stratum;
C2if = variable cost per student, depending on the number of participating students in the fth
student stratum within the ith institutional stratum; and
n2if = number of participating students in the fth student stratum within the ith institutional
stratum.
In the above, variance constraints V (θˆ j ) ≤ v j correspond to precision requirements that
have been specified by NCES for key survey estimates. Using data from the NPSAS:2000 and
NPSAS:96 (and NSOPF:99 for faculty constraints), all of the required variance components and
their associated precision constraints have been developed. Subsequently, the resulting nonlinear
optimization problem to determine the most effective sample allocation was solved using
Chromy’s algorithm4 to obtain feasible solutions to the above problem.
The large sample sizes proposed for NPSAS:04 were required to achieve the many
objectives of the study, including estimates for three domains—public 2-year, public 4-year, and
private not-for-profit 4-year institutions—in each of 12 states. A baseline cohort of FTBs must
be selected for the BPS studies. Moreover, many NPSAS:04 statistical analyses focus on
relatively rare domains, thereby requiring large overall sample sizes and disparate sampling
rates. Discussions with NCES have been used to identify the domains of interest and the study
will be designed to ensure adequate sample sizes for those domains.

Chromy, J.R. (1987). “Design Optimization with Multiple Objectives.” Proceedings of the American Statistical
Association, Section on Survey Research Methods.

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

E-13

Appendix F
Sample Designs for the BPS:04/06
and BPS:04/09 Full-Scale Studies

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

F-1

APPENDIX F. SAMPLE DESIGNS FOR THE BPS:04/06 AND BPS:04/09 FULL-SCALE STUDIES

Appendix F
Sample Designs for the BPS:04/06
and BPS:04/09 Full-Scale Studies
The sample design for the base-year study (NPSAS:04), in which the BPS:04/06 and
BPS:04/09 cohort was identified, was described in appendix E. This appendix provides a
description of the sample design for the second follow-up of the BPS:04 cohort (BPS:04/09).
The students in the BPS;04/09 will be those who were determined to be BPS-eligible after the
BPS:04/06 data collection. For this reason, the BPS:04/06 sample design and results are
discussed first, followed by the BPS:04/09 sample design.
F.1

BPS:04/06 Student Sample

Students eligible for the BPS:04/06 full-scale study were those both eligible to participate
in NPSAS:04 and identified as FTB students at NPSAS sample institutions in the 2003–04
academic year. Consistent with previous NPSAS studies, the students eligible for the NPSAS:04
full-scale study were those enrolled in eligible institutions who satisfied all the following
eligibility requirements:
•

were enrolled in either (1) an academic program; (2) at least one course for credit that
could be applied toward fulfilling the requirements for an academic degree; or (3) an
occupational or vocational program that required at least 3 months or 300 clock hours
of instruction to receive a degree, certificate, or other formal award; and

•

were not concurrently or solely enrolled in high school, or in a General Educational
Development (GED) or other high school completion program.

NPSAS-eligible students who enrolled in a postsecondary institution during the “NPSAS
year” (July 1, 2003–June 30, 2004) for the first time after completing high school were
considered pure FTBs and were eligible for BPS:04/06. Those NPSAS-eligible students who had
enrolled for at least one course after completing high school but had never completed a
postsecondary course before the 2003–04 academic year were considered effective FTBs and
were also eligible for the BPS:04/06 full-scale study. In the full-scale BPS data collection, we
sampled from both (1) NPSAS:04 respondents who were identified as (pure or effective) FTBs
and (2) NPSAS:04 nonrespondents who were potential (pure or effective) FTBs.
The BPS:04/06 student sample consisted of four groups according to their base-year
response status:
1. NPSAS:04 study respondents who completed the student interview and were
determined to be FTBs;
2. NPSAS:04 study respondents who completed the student interview but were
initially determined to be non-FTB other undergraduates, and who were potential
FTBs based on data from other sources;

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

F-3

APPENDIX F. SAMPLE DESIGNS FOR THE BPS:04/06 AND BPS:04/09 FULL-SCALE STUDIES

3. a subsample of potential FTBs5 who were NPSAS:04 study respondents but
student interview nonrespondents; and
4. a subsample of potential FTBs who were NPSAS:04 study nonrespondents.
Multiple data sources were used to provide information regarding a student’s FTB status
during the NPSAS year, including the NPSAS:04 student interview, records from the student’s
base-year institution via CADE, and federal financial aid sources. The data elements that were
examined to estimate a student’s likelihood of being an FTB and to construct the frame for the
BPS:04/06 sample included the following:
•

indicator of FTB status from the institution enrollment lists used for NPSAS:04
student sampling;

•

indicator of FTB status from the Central Processing System (CPS);

•

indicator of FTB status from student-level data obtained from institutional records via
CADE;

•

student reports (obtained during the NPSAS:04 interview) indicating that they were
FTBs during the 2003–04 academic year;

•

year of high school graduation;

•

receipt of Stafford loan (date loan was first received and number of years loan was
received);

•

receipt of Pell grant (date grant was first received and number of years grant was
received); and

•

undergraduate class level.

Using the above indicators, a set of decision rules was developed to identify which cases
would be included or excluded from the follow-up sample, and which among those included
would require additional eligibility screening.
The NPSAS:04 sample yielded the numbers of students below who either indicated that
they were FTBs during the interview and had other institutional records or federal financial aid
sources that supported this, or were identified as potential FTBs based on institutional records or
federal financial aid sources:
•

24,994 students responding to the student interview indicated that they were FTBs
during the 2003–04 academic year. Based on a review of the FTB status indicators
above, 21,170 of these were identified for inclusion in the follow-up sample. Of the
21,170 included in the follow-up sample, 19,798 had other data that strongly
supported their FTB status, and 1,372 of these students had some indications that they
were not FTBs; these potential “false positives” were rescreened during the
BPS:04/06 interview to confirm their status. The remaining 3,824 of the original

A “potential FTB” is one who is expected to have been a first-time beginning student during the “NPSAS year”
(July 1, 2003–June 30, 2004) but was not confirmed as such during the student interview. Students were identified
as potential FTBs by their sample institution. Other data sources (CPS, CADE) also provide an indication of FTB
status for the time period of interest.

F-4

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX F. SAMPLE DESIGNS FOR THE BPS:04/06 AND BPS:04/09 FULL-SCALE STUDIES

24,994 were identified for exclusion from the follow-up when multiple data sources
confirmed that they could not have been FTBs during the NPSAS year.
•

1,423 students were not originally classified as FTBs, but were potential FTBs based
on either CPS data or because they had a high school graduation date in 2003 or
2004; these potential “false negatives” were also screened during the BPS:04/06
interview to verify their status.

•

8,863 students did not respond to the student interview but were classified as
NPSAS:04 study respondents and were potential FTBs based on CADE or CPS data,
more positive than negative indicators among the other variables, and any Stafford
loans or Pell grants that began after 2003.

•

719 NPSAS:04 sample members were potential FTBs based on information from
CADE or CPS, but did not respond to the student interview and did not have
sufficient data to be classified as study respondents.

Table F-1 summarizes the distribution of the BPS:04/06 sample.
Table F-1.

Distribution of BPS:04/06 full-scale sample, by base-year response status

Base-year response status
Group 1
Base-year study respondent student interview respondents who were classified as FTBs1
Total to be included in sample
No additional screening required
Additional screening required
Group 2
Base-year study respondent student interview respondents who were classified as Other
Undergraduate (potential false negatives)
Likely FTB
Group 3
Potential FTB: Base-year study respondent student interview nonrespondents
Likely FTB
Subsample
Group 4
Potential FTB: Base-year study nonrespondents
Likely FTB
Subsample
Final sample

Number of cases

24,994
21,170
19,798
1,372

28,605
1,423

10,172
8,863
460

3,887
719
40
23,093

Due to evidence indicating they were not eligible for inclusion in the cohort of FTBs, 3,824 base-year study respondents were
removed from the follow-up sample.
NOTE: FTB = first-time beginner.
SOURCE: U.S. Department of Education, National Center for Education Statistics, 2004 National Postsecondary Student Aid Study
(NPSAS:04).

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

F-5

APPENDIX F. SAMPLE DESIGNS FOR THE BPS:04/06 AND BPS:04/09 FULL-SCALE STUDIES

As noted earlier, 9,582 NPSAS:04 student interview nonrespondents were classified as
potential FTBs. Of these, 8,863 were NPSAS:04 study respondents who did not respond to the
student interview, and 719 were NPSAS:04 study nonrespondents. NPSAS:04 student interview
nonrespondents who were potential FTBs were subsampled for follow-up to improve the
nonresponse bias reduction achieved through the nonresponse adjustments incorporated into the
NPSAS:04 statistical analysis weights. For these students, sampling types were developed from
the following characteristics:
•

likelihood of being an FTB (medium, high); and

•

tracing outcome (located, not located).6

Two factors, stratification by tracing outcome and the likelihood of being an FTB, were
used to oversample the students most likely to be located and eligible for the study. The frame
was also sorted by institutional sector to ensure representativeness of the sample.
A stratified sample of 500 was selected with probabilities proportional to their NPSAS:04
sampling weights. Table F-2 summarizes the BPS:04/06 counts of students eligible for the
sample and the sample sizes, including the allocation of the subsample of 500 cases to the two
groups of NPSAS:04 student interview nonrespondents. Given that the NPSAS:04 sampling
weights were available for all student interview nonrespondents, they served as the basis for
computing the BPS:04/06 analysis weights. Therefore, selection of the NPSAS:04 student
interview nonrespondents with probabilities proportional to these weights was used to reduce the
overall unequal weighting effects for the sample.
The BPS:04/06 sample consisted of 23,093 students. At the conclusion of the BPS:04/06
data collection, 17,707 students were initially determined to be eligible respondents, 4,548 were
nonrespondents, and 838 were ineligible. Logistic models were developed to predict which of the
nonrespondents were eligible. As a result of this step, 4,482 nonrespondents were classified as
eligible. Additional cases were determined to be ineligible after comparing the BPS:04/06
sample members with the National Student Clearinghouse data, resulting in 18,644 eligible
sample members.
Table F-3 shows the numbers of students determined to be eligible for BPS:04/06
through screening, modeling, and the comparison to the National Student Clearinghouse data,
and also the number of respondents to the BPS:04/06 interview by type of institution.
All of the 18,644 students who were determined to be eligible for BPS:04/06 were
retained on the analytic data file for BPS:04/06. Almost all of these students had some data from
the NPSAS:04 interview or other data sources; BPS:04/06 interview data was imputed for the
nonrespondents using a weighted hot deck imputation procedure.
Weights were constructed for use in analyzing the BPS:04/06 data. Starting with the
NPSAS:04 weight, an adjustment was applied for subsampling the NPSAS interview
nonrespondents. These weights were trimmed and smoothed, and calibrated to the total numbers

The results from the advance tracing for BPS:04/06 were used to determine whether a student had been located.
The National Change of Address file (NCOA) was used to obtain updated addresses for the student, then Telematch
was used to obtain an updated telephone number. The student was classified as “located” if Telematch either
returned a new telephone number or confirmed the current telephone number.

F-6

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

APPENDIX F. SAMPLE DESIGNS FOR THE BPS:04/06 AND BPS:04/09 FULL-SCALE STUDIES

of students by institution type who were enrolled in the Fall of 2003, and those who were
enrolled full time; the calibration totals were obtained from IPEDS.
Table F-2.

BPS:04/06 sample allocation for NPSAS:04 student interview, by type of student: 2006

Type of student

Students eligible
for sample

Sample size

32,175

23,093

21,170

19,798
1,372

NPSAS:04 student interview respondents who were potentially FTBs but
were not classified as FTBs during interview

1,423

NPSAS:04 student interview nonrespondents

9,582

500

8,863
3,591
552
4,720

460
275
30
155

719
88
246
385

40
12
12
16

Total
NPSAS:04 student interview respondents classified as FTBs during
interview
Likely to be FTBs
Potential to be FTBs

Study respondents who were student interview nonrespondents
Located, likely to be FTBs
Located, potential to be FTBs
Not located
Study nonrespondents
Located, likely to be FTBs
Located, potential to be FTBs
Not located

NOTE: The likelihood of being an FTB was determined from student financial aid data and institutional record (CADE)
data and based on the number and type of indicators suggesting a student was an FTB. The location information was
based on whether the advance tracing information from the 2004/06 Beginning Postsecondary Students Longitudinal
Study (BPS:04/06) either confirmed the existing telephone number or yielded a new telephone number. Eligibility
rates were assumed to be lower for NPSAS:04 study nonrespondents since less information was available for these
students. FTB = first-time beginner.
SOURCE: U.S. Department of Education, National Center for Education Statistics, 2003–04 National Postsecondary
Student Aid Study (NPSAS:04) and 2004/06 Beginning Postsecondary Students Longitudinal Study (BPS:04/06).

Table F-3.

BPS:04/06 eligible students and interview respondents, by institution type: 2006
Eligible Students
Total
Number of respondents

Type of institution
Total
Public, less-than-2-year
Public, 2-year
Public, 4-year non-doctorate-granting
Public, 4-year doctorate-granting
Private not-for-profit less-than-4-year
Private not-for-profit 4-year non-doctorate-granting
Private, not-for-profit, 4-year doctorate-granting
Private for-profit, less-than-2-year
Private for-profit 2-year-or-more

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

18,644

14,901

547
6,346
1,628
3,153
533
2,130
1,688
1,461
1,158

424
4,834
1,348
2,724
403
1,867
1,481
1,004
816

F-7

APPENDIX F. SAMPLE DESIGNS FOR THE BPS:04/06 AND BPS:04/09 FULL-SCALE STUDIES

F.2

BPS:04/09 Student Sample

The BPS:04/09 sample will consist of all of the 18,644 student who were determined to
be eligible during BPS:04/06. Table F-4 shows the sample distribution by prior response status
(i.e., whether the student responded to the NPSAS:04 CATI interview and the BPS:04/06
interview. This table also shows that BPS:04/09 will have an expected 15,740 respondents. The
estimated response rate for the BPS:04/09 full-scale study was estimated using the response rates
obtained in the BPS:96/01 field test and full-scale studies.
Consistent with the BPS:04/06 data collection, all of the sample members (regardless of
response status) will be included on the BPS:04/09 data file. Imputation methods, such as
weighted hot deck, will be used to fill in missing item data for interview respondents as well as
nonrespondents.
Table F4.

BPS:04/09 Full-scale study sample size and expected number of respondents, by
response status to NPSAS:04 and BPS:04/06

NPSAS:04 Study
Respondent
Yes
Yes
Yes
Yes
No
No
Totals

F-8

NPSAS:04
CATI
Respondent
Yes
Yes
No
No
No
No

BPS:04/06
Respondent
Yes
No
Yes
No
Yes
No

Number of
Cases
14,751
3,510
138
218
12
15
18,644

Expected
Response
Rate (percent)
89
66
83
75
80
50
84%

Expected
Number of
Respondents
13,128
2,317
115
164
10
8
15,740

BPS:04/09 Supporting Statement Request for OMB Review (SF83i)

Appendix G
Linkages to Extant Data Sources

Supporting Statement Request for OMB Review (SF83i)

G-1

APPENDIX G. LINKAGES TO EXTANT DATA SOURCES

As part of the BPS:04/09 study, data from several extant databases will be collected for
inclusion on the final study electronic codebook (ECB), to the extent allowed by the vendor, and
as derived variables on the Data Analysis System (DAS). Both direct-pull and derived variables
will be documented thoroughly for both the ECB and DAS.
G.1

File Merge with Department of Education Central Processing System

RTI routinely performs file merges with data stored in the Department of Education’s
(ED’s) Central Processing System (CPS) database which contains federal student aid application
information. The merge with CPS can occur at any time for any number of cases, provided that
the case has an apparently valid Social Security number (SSN) associated with it. RTI sends a
file to CPS and receives in return a large data file containing all students who applied for federal
aid. There are existing programs and procedures in place to prepare and submit files according to
rigorous CPS standards. Similarly, programs and procedures have already been developed to
receive and process data obtained from CPS. CPS has recently migrated to an Internet website
for file matching, and RTI has been successful sending and receiving files using the new
application.
RTI will electronically upload a file on the FAFSA secure website for matching which
contains SSN and the first two letters of the sample member’s last name (but no other
information). Access to the site for the upload is restricted to authorized users who are registered
and provide identification/authentication information (SSN, date of birth, and personal
identification number) to the FAFSA data site. The file is retrieved by the Central Processing
System or CPS (the FAFSA contractor data system) for linkage. The linked file, containing
student aid applications for matched records, is then made available to us only through a secure
connection (EdConnect) which requires username and password. All CPS files will be processed,
edited, and documented for inclusion on the analytic data files.
The CPS data obtained for the BPS:04/09 data collection will cover academic years
beginning with 2007–08. All CPS files will be processed, edited, and documented for inclusion
in the ECB.
G.2

File Merge with National Student Loan Data System Disbursement

RTI also conducts file merges with the National Student Loan Data System (NSLDS) to
collect federal loan and Pell grant data. The resulting files contain cumulative amounts for each
student’s entire postsecondary education enrollment. The National Center for Education
Statistics (NCES) has set up a secure data transfer system that uses its NCES member site and
Secure Sockets Layer (SSL) technology. The system requires that both parties to the transfer be
registered users of the NCES Members Site and that their Members Site privileges be set to
allow use of the secure data transfer service. These privileges are set up and carefully controlled
by ED’s Institute of Education Sciences (IES) NCES Chief Technology Officer (CTO). This
service has been designed by ED/NCES specifically for the secure transfer of electronic files
containing personally identifying information (i.e., data protected under the Privacy Act or
otherwise posing risk of disclosure) and can be used for NCES-to-Contractor; Contractor-toSubcontractor; Subcontractor-to-Contractor; and Contractor-to-Other-Agency data transfers. The
party uploading the information onto the secure server at NCES is responsible for deleting the
file(s) after the successful transfer has been confirmed. Data transfers using this system include
notification to ED/IES, the NCES CTO, and the NCES Deputy Commissioner as well as the
ED/NCES project officer. The notification includes the names and affiliations of the parties in

Supporting Statement Request for OMB Review (SF83i)

G-3

APPENDIX G. LINKAGES TO EXTANT DATA SOURCES

the data exchange/transfer and the nature and approximate size of the data to be transferred. RTI
has programs to create the files for the merge and also programs to read the data received. All
matching processes are initiated by RTI staff providing a file with one record per sample
member.
G.3

File Merge with the National Student Clearinghouse

RTI plans to use the National Student Clearinghouse to obtain the Student Tracker data
on institutions attended, enrollment dates, and degree completions for the BPS:04/09 sample.
RTI has already set up an account with the Clearinghouse to facilitate the exchange of files
securely over encrypted FTPS connections. The file containing sensitive student identifiers
(name, date of birth, and SSN) will be encrypted using WinZip 10 then submitted to the
Clearinghouse using its secure FTP site. All files received by the Clearinghouse will be securely
stored using FIPS 140-2 validated AES encryption, the U.S. federal encryption standard.
Matched files, containing data on enrollment dates, institution names, and degrees completed,
will be returned to RTI using the same secure FTP site.

G-4

Supporting Statement Request for OMB Review (SF83i)

File Type	application/pdf
File Title	Microsoft Word - BPS09_OMB_App.rtf
Author	jennifer
File Modified	2007-11-09
File Created	2007-10-29