Flawed National Evaluation of Upward Bound Reports Masked Significant and     Substantial Positive Impacts: The Technical ...
In a seriously flawed sample design, only one projectin the sample (called project 69)was       selected to represent the ...
(randomly assigned to Upward Bound),Figure 2.Balance checks between treatment andcontrol groups for key baseline factors r...
outcomes with and without project 69 (Figure 3). For the full report see    http://www.coenet.us/files/files- do_the_Concl...
Figure4. Impact of Upward Bound (UB) on Bachelor’s (BA) degree attainment:   estimates based on 66 of 67 projects in UB sa...
outcomes compared with the findings from the main impact analysis, which weighted all sample    members according to their...
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Flawed evaluation of Upward Bound Reports Masks Postive Impacts

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This article co-authored by the Division Director of the US Department of ED unit responsible for the National Evaluation of Upward Bound and the study's Technical Monitor summarizes major study error issues with the Mathematica reports from the study. The article reports substantial positive impacts when these study errors are addressed in a re-analysis using a standards based approach to the analyses.

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Flawed evaluation of Upward Bound Reports Masks Postive Impacts

  1. 1. Flawed National Evaluation of Upward Bound Reports Masked Significant and Substantial Positive Impacts: The Technical Monitors’ Perspective By Margaret Cahalan and David GoodwinIn the last week of the Bush Administration, theU. S. Department of Education (ED) publishedthe final report in a long running evaluation of Upward Bound (UB) conducted by MathematicaPolicy Research(Mathematica). The results of this seemingly high-quality random assignmentstudy have formed the basis for significant policydecisions—most notably a Bush administration Dr. Cahalan is a Senior Scientist with therequest to eliminate funding for Upward Bound and Pell Institute for the Study of Opportunity inother federal pre-college access programs, and a Higher Education of the Council ondecision by the Office of Management and Budgetto Opportunity in Education (COE). Dr.rate the program as “ineffective”--a decision that still Cahalan supervised the staff serving as thestands. As technical monitors for the evaluation UB evaluation’stechnical monitors andwhile working at the ED,we found the published served in this capacity herself in the final few months of the UB evaluation. She isreports from this evaluation were seriously flawed currently the Co-PI of the COE i-3 projectand that a replicated re-analysis using ED’s own “Using Data to Inform College Accessresearch standards showed substantial positive Programming.”impacts for the UB program. We made our concernswell known within the Department. We do so now Dr. Goodwin, who recently retired frompublicly in order to support the formal Request for the Gates Foundation, is the formerCorrection of the evaluation final report, recently Director of the unit within the U.S.submitted to ED by the Council for Opportunity in Department of Education responsible forEducation (COE). the UB Evaluation and was Dr. Cahalan’s supervisor. He was the UB study monitorFirst,we wish to make clear that this commentary is when the study was first begun in 1992.neither intended to be a critique of the randomassignment method nor a post-hoc effort to “fish” for positive study findings. Nor is the articleintended to discredit the study as a whole. While we strongly disagree with the analyses andresearch transparency choices and the conclusions reached by Mathematica, we also believe thatthe National Evaluation of Upward Bound is among the most carefully conducted and usefulstudies we have in the area of pre-college research.The essence of our argument is as follows: The Department of Education attempted an unusual and overly ambitious study intended to estimate the impact of Upward Bound as a whole, as well as for multiple sub-groups. It required a highly-stratified sample to ensure representation of various types of2- and 4- year college grantees. The study design resulted in a national sample of 67 projects, each of which carried proportional weights representative of different types of projects found in UB as a whole. The second stage student weighting was related to the number of students submitting baseline surveys constituting a “waiting list” from which students were randomly assigned to be invited into Upward Bound asactual openings occurred. Those not randomly selected from the “waiting list” constituted the control group.
  2. 2. In a seriously flawed sample design, only one projectin the sample (called project 69)was selected to represent the largest study defined 4-year public stratum and,because of an unusually large number of “applicant” surveys in the final stage of weighting,carried 26 percent of the overall weight. Figure 1 shows just how extreme the unequal weighting was from project 69. This flawed design meant that the outcomes of some students from the project 69 “waiting list” carried a weight of 158, while the outcomes of other students from the smallest weighted project carried a weight of only 4.Figure 1. Percentage of sum of the weights by project of the 67 projects making up thestudy sample: National Evaluation of Upward Bound, study conducted 1992-93-2003-04 30 26.38 25 20 15 Percent of weight 10 5 0 1 3 6 8 0 2 4 7 9 2 4 6 8 0 3 5 7 9 1 4 6 8 0 2 4 7 9 1 3 5 7 9 1 P1 P1 P1 P1 P2 P2 P2 P2 P2 P3 P3 P3 P3 P4 P4 P4 P4 P4 P5 P5 P5 P5 P6 P6 P6 P6 P6 P7 P7 P7 P7 P7 P8NOTE: Of the 67 projects making up the UB sample just over half (54 percent) have less than 1 percent of the weights each and oneproject (69) accounts for 26.4 percent of the weights.SOURCE: Data tabulated December 2007 using: National Evaluation of Upward Bound data files, study sponsored by the Policy andPlanning Studies Services (PPSS), of the Office of Planning, Evaluation and Policy Development (OPEPD), US Department of Education,:study conducted 1992-93-2003-04.Unfortunately, project 69, whose students carried 26 percent of the weight, was also veryatypical of the grantee institution stratum for which it was the sole representative. Chosen asthe sole representative ofthe largest study defined 4-year stratum,project 69 had actually beena community college,recently taken over to serve as a branch of a nearby 4-year institution.Itretained its largely vocational certificate and 2-year offerings, with associated UBprogramming. Project 69’s UB program was non-residential and partnered with a job trainingprogram serving CTE high schools and awarding vocational certificates.Mathematica choseto base all conclusions about the program with the bias introducing project 69 included. Thereportsalso do not reveal to readers project 69’s representational issues and indeed maintainthat project 69 is an adequate representative of its stratum.In addition and very importantly, although therandom assignment method is intended toensure that treatment and control groups are equivalent, (and did so quite well for the UBsample without project 69), in project 69 we found major differences between the treatmentand controls. This imbalance was so large that some reviewers suspected a failure toimplement the random assignment correctly in this project.For example, 80 percent of theacademically at-risk students from the project 69 sample were in the treatment group
  3. 3. (randomly assigned to Upward Bound),Figure 2.Balance checks between treatment andcontrol groups for key baseline factors related to while 20 percent of the academically at- outcomes for project 69, the other 66 projects risk students were in the control grouptaken together, and the overall sample: National (not randomly assigned to UB). The Evaluation of Upward Bound, study conducted treatment sample on average resembled 1992-93 to 2003-04 the vocational programming emphasis of project 69 while the control group on Project 69 has severe imbalance in favor of average resembled the typical Upward control group Bound Math Science (UBMS) applicant-- being at a higher grade and also more academically proficient with higher educational expectations (Figure 2). In contrast, without project 69 the sample has a good balance between the treatment and control group, with 51 percent of the academically at risk students in the treatment group and 49 percent in the control group. The severe non- equivalency in project 69 combined with the extremely large weight resulted in anSample without project 69 (66 of 67) is balanced imbalance in the overall sample and aninadequately-controlled bias in favor of the control group in all of the Mathematica impact estimates. For example, 58 percent of the academically at risk students were in the treatment group and 42 percent in the control group in the overall sample with project 69 (Figure 2). Mathematica also did not standardize the outcome measures for a sample that spanned five years of expected high school graduation years, arguing that Overall sample with project 69 included lacks randomization made this unnecessary. needed balance for random assignment study However, balance checks done by ED monitoring staff found that on average, the control group was in a higher grade at baseline than the treatment group. A re- analysis of Mathematica’s data standardizing outcome measures to expected high school graduation year (EHSGY) found,contrary to what Mathematica reports, that there were substantial and statistically significant positive impacts on postsecondary entrance and federal financial aid
  4. 4. outcomes with and without project 69 (Figure 3). For the full report see http://www.coenet.us/files/files- do_the_Conclusions_Change_2009.pdf ). Figure 3. Treated on the Treated (TOT) and Intent to Treat (ITT) estimates of impact of Upward Bound (UB) on postsecondary entrance within +1 year (18 months) of expected high school graduation year (EHSGY) 1992-93 to 2003-04 Not UB participant (control) UB participant (treatment) Difference TOT (excludes project 69) 60.4 14.2**** 74.6 ITT (excludes project 69) 64.3 Difference 73.3 9.0*** 62.5 Difference TOT (includes project 69) 73.5 11.0**** ITT (includes project 69 ) 66 72.9 Difference 0 20 40 60 80 6.9*****/**/***/**** Significant at 0.10/0.05/. 01/00level.NOTE. Model based estimates based on STATA logisticand instrumental variables regression and also taking into account the complex sample design. Based onresponses to three follow-up surveys and federal student aid files.SOURCE: Data tabulated January 2008using: National Evaluation of Upward Bound data files, and federal Student Financial Aid (SFA) files 1994-95to 2003-04. (Excerpted from the Cahalan Re-Analysis Report, Figure IV)Importantly, there are also large impacts on BA attainment when project 69 is removedrepresenting 74 percent of “applicants” in the study period (Figure 4). Mathematica reportedno impacts on BA attainment and reported only positive impacts on certificate attainmentreflecting project 69’s vocational programming. As seen in Figure 4, the re-analysis withoutproject 69 found that students who were randomly assigned to Upward Bound and whoparticipated in the program (Treatment on the Treated-TOT estimates) had a 50 percenthigher chance of obtaining a BA degree within eight years of expected high schoolgraduation date. The Intent to Treat (ITT) estimates found almost a 30 percent increase inBA receipt.
  5. 5. Figure4. Impact of Upward Bound (UB) on Bachelor’s (BA) degree attainment: estimates based on 66 of 67 projects in UB sample: National Evaluation of Upward Bound, study conducted 1992-93 to 2003-04 TOT (Longitudinal file BA in +8 years of EHSGY- evidence from 14.6 any Followup Survey (Third to Fifith) or NSC; no evidence set 21.7 to 0)**** TOT(BA by end of the survey period, Fifth Follow-Up 21.1 responders only-adjusted for Control 28.7 non-response)**** Treatment ITT (Longitudinal file BA in +8 years of EHSGY- evidence from 13.7 any Followup Survey (Third to Fifith) or NSC; no evidence set 17.5 to 0)**** 0 5 10 15 20 25 30 35*/**/***/**** Significant at 0.10/0.05/.01/00 level. NOTE: TOT = Treatment on the Treated; ITT= Intent toTreat; EHSGY = Expected High School Graduation Year; NSC = National Student Clearinghouse; SFA =Student Financial Aid. Estimates based on 66 of 67 projects in sample representing 74 percent of UB at thetime of the study. One project removed due to introducing bias into estimates in favor of the control group andrepresentational issues. Model based estimates based on STATA logistic and instrumental variables regressiontaking into account the complex sample design. We use a 2-stage instrumental variables regression procedure tocontrol for selection effects for the Treatment on the Treated (TOT) impact estimates. ITT estimates include14 percent of control group who were in Upward Bound Math Science or UB and 20-26 percent of treatmentgroup who did not enter Upward Bound. Calculated January 2010.None of the positive impacts shown above are included in the Mathematica reports. Nor are therepresentational issues with project 69 or the seriousness of the treatment control group non-equivalency acknowledged. The Mathematicaconclusions of Upward Bound’s lack of “detectableimpact” are based entirely on results that include project 69 and do not standardize outcomes toexpected high school graduation year. The reports also misleadingly state that the major conclusionsdo not changesubstantially because of project 69. Buried in their final report is an admission thatresults are sensitive to project 69. The report states: “Because Project 69 had below averageimpacts, reducing its weight relative to other projects resulted in larger overall impacts for most
  6. 6. outcomes compared with the findings from the main impact analysis, which weighted all sample members according to their actual selection probabilities.” This, however, is also a misleading statement about the effectiveness of project 69. As noted above in Figure 2, a closer look at project 69’s treatment and control group clearly reveals that the so-called “below average impacts” were not due to “project 69’s poor performance” but were due to the extreme differences between the treatment and control group in favor of the control group in this project.In summary,we found that the Mathematica reports are not transparent in reporting study issuesand alternative results such that readers have enough information to make a judgment concerningthe validity of the Mathematica conclusions about Upward Bound. Despite being shown “morecredible”positive results for Upward Bound that have been replicated and confirmed astechnically more robust, Mathematica and the U.S. Department of Education continue to reportto Congress and the public erroneous conclusions concerning the UB program’s effectiveness.This is a very serious matter that needs correcting. The complete texts of the Request forCorrection is available athttp://www.coenet.us/files/pubs_reports-COE_Request_for_Correction_011712.pdf and of the Statement of Concern signed by leadingresearchers can be found at http://www.coenet.us/files/ED-Statement_of_Concern_011712.pdf..

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