U.S. Department of Education 

Implementation Study of Smaller 

Learning Communities 

 Final Report
Implementation Study of Smaller 

Learning Communities 

Final Report 

By

Lawrence Bernstein 

Mary Ann Millsap 

Jennifer Schimmenti 

Lindsay Page 

Abt Associates, Inc. 

Cambridge, Mass. 

Prepared for 

U.S. Department of Education

Office of Planning, Evaluation and Policy Development 

Policy and Program Studies Service 

2008 
This report was prepared for the U.S. Department of Education under Contract No. ED-00-CO-0085 by Abt 

Associates, Inc. James Maxwell served as the contracting officer's representative. The views expressed herein 

do not necessarily represent the positions or policies of the Department of Education. No official endorsement 

by the U.S. Department of Education of any product, commodity, service or enterprise mentioned in this 

publication is intended or should be inferred. 

U.S. Department of Education 

Margaret Spellings 

Secretary 

Office of Planning, Evaluation and Policy Development 

Bill Evers 

Assistant Secretary 

Policy and Program Studies Service 

Alan L. Ginsburg 

Director 

Program and Analytic Studies Division 

David Goodwin 

Director 

May 2008 

This report is in the public domain. Authorization to reproduce it in whole or in part is granted. While 

permission to reprint this publication is not necessary, the citation should be: U.S. Department of Education, 

Office of Planning, Evaluation and Policy Development, Policy and Program Studies Service, Implementation 

Study of Smaller Learning Communities, Final Report. Washington, D.C., 2008. 

This report is available on the Department’s Web site at: 

http://www.ed.gov/about/offices/list/opepd/ppss/reports.html. 

On request, this publication is available in alternate formats, such as Braille, large print, or computer diskette. 

For more information, please contact the Department’s Alternate Format Center at 202-260-0852 or 202-260-

0818. 

 iii

Contents 

List of Exhibits.......................................................................................................................vii 

Acknowledgments...................................................................................................................xi

Executive Summary .............................................................................................................................1

Smaller Learning Communities Program ....................................................................................1

SLC Early Implementation Study Design....................................................................................3

Major Study Findings ..................................................................................................................4

Implementation Findings...................................................................................................4

APR Data on Outcomes...................................................................................................12

Sustainability of SLCs ...............................................................................................................16

Chapter 1 Introduction ......................................................................................................................17

Organization of the Report.........................................................................................................17

Federal Smaller Learning Communities Program......................................................................17

The Implementation Study of Smaller Learning Communities .................................................19

Conceptual Framework....................................................................................................19

Related Research........................................................................................................................22

School Size ......................................................................................................................22

School Restructuring, Reorganization, and Smaller Learning Communities..................22

Facilitators and Challenges in Implementing Smaller Learning Community Reforms...24

Chapter 2 Study Design and Sample ................................................................................................25

Overview of the Study Design and Measures............................................................................25

Annual Performance Report ............................................................................................26

Periodic Implementation Survey .....................................................................................27

Case Studies.....................................................................................................................28

School and Student Characteristics in Cohort 1 SLC Schools...................................................30

Generating National Comparisons...................................................................................30

Geographical Location ....................................................................................................30

School Size ......................................................................................................................33

Ethnicity ..........................................................................................................................34

Other Demographic Characteristics: Limited English Proficiency and Students With 

 Disabilities.................................................................................................................. 36

Chapter 3 Implementation of Smaller Learning Communities, 2000–03: Survey Results.........39

Introduction................................................................................................................................39

Note on Interpreting Implementation Findings ...............................................................40

Why Have Schools Chosen to Apply for Federal SLC Funds and Implement an SLC? ...........40

Student Academic Performance ......................................................................................41

Student Behavior .............................................................................................................42

School and External Goals ..............................................................................................42

What Structures and Strategies Have SLC Schools Implemented? ...........................................43

Changes in SLC Structures Implemented Over Time .....................................................44

Types of SLC Schools .....................................................................................................47

Student Participation in SLC Structures..........................................................................48

SLC Strategies Implemented and Student Participation..................................................49
 iv

Meeting the Other Goals of SLC Legislation............................................................................ 52

Increasing Personalization .............................................................................................. 52

Providing Professional Development to Teaching Staff ................................................. 58

Including Community Representatives and Parents to Facilitate Activities ................... 61

Facilitating and Inhibiting Factors in SLC Implementation ...................................................... 66

Facilitating Factors in SLC Implementation ................................................................... 66

Inhibiting Factors in SLC Implementation ..................................................................... 70

Chapter 4 Implementation of Two Common SLC Structures: Career and Freshman 

Academies...................................................................................................................................... 73

Introduction ............................................................................................................................... 73

Key Features of Career Academy Implementation ................................................................... 74

Separate Identity for Career Academies ......................................................................... 74

Autonomy Over SLC Program Policies.......................................................................... 76

Integration of Academic and Vocational Instruction ...................................................... 79

Work-Based Learning Opportunities .............................................................................. 83

Common Planning Time for Teachers ............................................................................ 85

Demographics of Student Enrollment............................................................................. 86

Levels of Career Academy Implementation.............................................................................. 88

“High Implementing” Career Academies ....................................................................... 89

“Moderately Implementing” Career Academies............................................................. 89

“Low Implementing” Career Academies ........................................................................ 91

Key Features of Freshman Academy Implementation .............................................................. 93

Common Planning Time in Freshman Academies.......................................................... 94

Separate Identity for Freshman Academies .................................................................... 95

Autonomy for Freshman Academy Programs................................................................. 96

Demographics of Student Enrollment............................................................................. 98

Levels of Freshman Academy Implementation....................................................................... 100

“High Implementing” Freshman Academies ................................................................ 100

“Moderately Implementing” Freshman Academies...................................................... 101

“Low Implementing” Freshman Academies................................................................. 101

Career Academies and Freshman Academies: Variation in Program Features ...................... 102

Decision-Making in Career and Freshman Academies................................................. 102

Separate Identity in Career and Freshman Academies.................................................. 103

Common Planning Time ............................................................................................... 104

Factors Affecting the Implementation of Career and Freshman Academies........................... 105

Reform Leadership at the School Level........................................................................ 106

Staff Buy-In................................................................................................................... 107

District Leadership for SLC Changes ........................................................................... 107

The Role of Professional Development ........................................................................ 109

Graduation Requirements and State Assessments ........................................................ 109

Managing Limited Resources ....................................................................................... 110

Chapter 5 Changes in Student Outcomes: Analysis of Annual Performance Reports............. 111

Introduction ............................................................................................................................. 111

Data Requirements........................................................................................................ 112

Methodology ................................................................................................................. 112

Caveats to Interpreting Trends...................................................................................... 113
 v

Student Academic Achievement Outcomes.............................................................................115

Statewide Assessment....................................................................................................115

College Entrance Exams................................................................................................119

Achievement of Academic Milestones ....................................................................................123

Ninth-Grade Promotion Rate.........................................................................................123

Graduation Rate (Based on 9th-Grade and 12th-Grade Enrollment of Graduating 

 Cohort) ..................................................................................................................124

Participation in Postsecondary Education .....................................................................125

School-Related Behaviors........................................................................................................127

Average Daily Attendance.............................................................................................127

Involvement in Extracurricular Activities .....................................................................127

Incidence of Student Violence, Drug or Alcohol Use, and Disciplinary Action...........129

Chapter 6 Summary Findings and Future Directions ..................................................................133

Major Study Findings ..............................................................................................................133

SLC Schools Compared to Large High Schools Nationwide........................................133

Overview of SLC Implementation ................................................................................133

Factors Affecting Overall Implementation....................................................................134

Implementation of Career and Freshman Academies....................................................135

Changes in Student Outcomes.......................................................................................136

Overall Extent of SLC Implementation.........................................................................137

Where Do SLCs Go From Here? .............................................................................................137

Sustainability of School- and Classroom-Level Changes .............................................138

Lessons Learned for Districts and Schools....................................................................140

Implications for the SLC Program.................................................................................142

Next Steps for the Implementation Study ................................................................................143

References .........................................................................................................................................145
 vi
 vii

Exhibits 

Exhibit ES.1 Minority Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High 

Schools..................................................................................................................... 4

Exhibit ES.2 Percentages of SLC Schools Implementing Each Type of SLC Structure.............. 5

Exhibit ES.3 Percentage of SLC Schools Implementing Each Type of SLC Strategy, Alone or 

in Combination With a Comprehensive “Structure”................................................ 6

Exhibit ES.4 Percentage of SLC Schools Reporting Specific Mechanisms to Foster 

Personalization......................................................................................................... 7

Exhibit ES.5 Percentage of Students Involved in Extracurricular Activities in Average SLC 

School....................................................................................................................... 13

Exhibit ES.6 Promotion Rate from 9th to 10th Grade in Average SLC School............................ 14

Exhibit ES.7 Incidence of School Violence per 100 Students in Average SLC School............... 15

Exhibit ES.8 Percentage of Graduates Intending to Attend Two- or Four-Year Colleges in 

Average SLC School................................................................................................ 16

Exhibit 1.1 Conceptual Model, Implementation Study of Smaller Learning Communities...... 20

Exhibit 1.2 Allowable Smaller Learning Community Structures and Strategies as Defined by

SLC Program........................................................................................................... 21

Exhibit 2.1 Timeline for Implementation Study of Smaller Learning Communities by Data 

Collection Method.................................................................................................... 26

Exhibit 2.2 SLC Grantees—Cohort 1......................................................................................... 31

Exhibit 2.3 Geographical Regions of SLC Schools Compared to Large U.S. High Schools.... 32

Exhibit 2.4 Urbanicity of SLC Schools Compared to Large U.S. High Schools................... 32

Exhibit 2.5 Demographic Characteristics of SLC Schools and National Comparisons With 

Large U.S. High Schools................................................................................. 33

Exhibit 2.6 Total Student Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. 

High Schools............................................................................................................ 34

Exhibit 2.7 Percentage of Students by Race or Ethnicity in Cohort 1 SLC Schools, 2000–01.. 35

Exhibit 2.8 Minority Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High

Schools..................................................................................................................... 35

Exhibit 2.9 LEP Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High 

Schools..................................................................................................................... 36

Exhibit 2.10 Students With Disabilities Enrollment of SLC Cohort 1 Schools, Compared With

Large U.S. High Schools.......................................................................................... 37

Exhibit 3.1 Percentage of Schools Indicating That Academic Factors Were Very Important 

in Deciding to Apply for SLC Funds....................................................................... 41

Exhibit 3.2 Percentage of Schools Indicating That Behavioral and Attitudinal Factors Were 

Very Important in Deciding to Apply for SLC Funds...................................... 42

Exhibit 3.3 Percentage of Schools Indicating That School and External Factors Had a Major 

Influence on Their Decision to Implement an SLC Program................................... 43

Exhibit 3.4 Number of SLC Structure Types Implemented Across SLC Schools in 

SY 2002–03.............................................................................................................. 44

Exhibit 3.5 Percentages of SLC Schools Implementing Each Type of SLC Structure........... 45

Exhibit 3.6 Changes in SLC Structures Over Time.................................................................... 46

Exhibit 3.7 Types of SLC Schools, Categorized by Combination of SLC Structures 

Implemented............................................................................................... 48
 viii

Exhibit 3.8 Average Percentage of Eligible Student Enrollment in SLC Structures, in 

Schools Implementing Each Type of Structure.......................................... 49

Exhibit 3.9 Percentage of SLC Schools Implementing Each Type of SLC Strategy, Alone 

 or in Combination With a Comprehensive “Structure”.............................. 50

Exhibit 3.10 Average Percentage of Total Student Enrollment in SLC Strategies, Where 

Strategies Are Being Implemented........................................................ 51

Exhibit 3.11 PIS Items Used to Measure Three Components of Personalization.................. 53

Exhibit 3.12 Percentage of SLC Schools Reporting Specific School- and Classroom-Level 

Changes to Foster Smallness as a Result of SLC Funding............................. 54

Exhibit 3.13 Distribution of SLC School Involvement in Efforts to Personalize Education 

Through Strategies Fostering Individual Student and Staff Relationships........... 56

Exhibit 3.14 Distribution of SLC School Involvement in Efforts to Personalize Education 

Through Individual Assessment Strategies and Classroom Practices................. 57

Exhibit 3.15 Distribution of SLC School Involvement in Efforts to Personalize Education 

Through Teacher Teaming and Class-Size Reduction................................... 58

Exhibit 3.16 Distribution of Average Number of Hours of Teacher Participation in SLC 

Program Professional Development Across SLC Schools.............................. 59

Exhibit 3.17 Percentages of Schools Reporting a Majority (50 percent or more) of SLC 

Teachers Participating in Various Professional Development Opportunities....... 61

Exhibit 3.18 Percentage of SLC Schools Reporting External Partners Working Within Their 

SLC Programs............................................................ ................... 62

Exhibit 3.19 Percentage of SLC Schools Reporting Various Benefits Provided to Their SLC 

Programs Through External Partnerships (of those whose external partners 

work with their SLC programs)............................................................ 63

Exhibit 3.20 Percentage of SLC Schools Reporting the Availability of Various Career or 

Community Opportunities at the School Level........................................... 64

Exhibit 3.21 Percentage of Schools Reporting Parental and Family Involvement Within 

Their SLCs and the School as a Whole.................................................... 65

Exhibit 3.22 Percentage of SLC Schools and Students Involved in SLC Structures and 

Strategies, Before and After Federal Funding............................................ 67

Exhibit 3.23 Percentage of SLC Schools Engaged in Other School Reform Efforts............... 68

Exhibit 3.24 Percentage of SLC Schools Reporting Positive Influence of Selected Factors on 

Implementation of SLC...................................................................... 69

Exhibit 3.25 Percentage of SLC Schools Reporting Negative Influence of Selected SchoolLevel Factors on Implementation of SLC............................................... 71

Exhibit 3.26 Percentages of SLC Schools Reporting Various Staffing Needs....................... 72

Exhibit 4.1 PIS Variables Describing Key Features of Career Academy Implementation 

(number of schools with career academies responding to each item)................. 75

Exhibit 4.2 Percentage of Schools With Career Academies Reporting Separate Features for 

Academy Program........................................................................... 76

Exhibit 4.3 Percentage of Schools With Career Academies Reporting Autonomy Over 

Program Features............................................................................. 77

Exhibit 4.4 Percentage of Schools With Career Academies Reporting Sole or Shared 

Decision-Making Power With School................................................... 78

Exhibit 4.6 Percentage of Schools With Career Academies Reporting Integration of 

Academic and Vocational Instruction..................................................... 80

Exhibit 4.7 Curricular Offerings in One SLC Grantee School....................................... 82
 ix

Exhibit 4.8 Percentage of Schools With Career Academies That Offer Work-Based 

Learning Opportunities..................................................................... 83

Exhibit 4.9 Percentage of Schools With Career Academies That Have Implemented CareerRelated Graduation Requirements......................................................... 85

Exhibit 4.10 Percentage of Schools With Career Academies Reporting Common Planning 

Time and the Frequency of Its Use........................................................ 86

Exhibit 4.11 Percentage of Schools Implementing Career Academies in Which the 

Demographics of Each Career Academy Group Matched the Demographics of 

the School as a Whole in Terms of Race, Gender, and LEP........................... 88

Exhibit 4.12 Number of Schools With Career Academies, by Levels of Implementation and 

Defining Characteristics..................................................................... 90

Exhibit 4.13 PIS Variables Describing Key Features of Freshman Academy Implementation... 93

Exhibit 4.14 Percentage of Schools With Freshman Academies Reporting Common 

Planning Time and the Frequency of Its Use............................................. 94

Exhibit 4.15 Percentage of Schools With Freshman Academies Reporting Separate Features 

for Academy Program....................................................................... 96

Exhibit 4.16 Percentage of Schools With Freshman Academies Reporting Autonomy Over 

Program Features............................................................................. 97

Exhibit 4.17 Percentage of Schools With Freshman Academies Reporting Sole or Shared 

Decision-Making Power With School................................................... 98

Exhibit 4.18 Percentage of Schools With Freshman Academies in Which the Demographics 

of Each Freshman Academy Matched the Demographics of the Entire Freshman 

Class in Terms of Race, Gender, and LEP................................................ 99

Exhibit 4.19 Number of Schools With Freshman Academies, by Levels of Implementation 

and Defining Characteristics............................................................... 101

Exhibit 4.20 Percentage of Schools With Career or Freshman Academies Reporting Sole or 

Shared Decision-Making Power With School........................................... 103

Exhibit 4.21 Percentage of Schools With Career or Freshman Academies Reporting Separate 

Features for Academy Program............................................................ 104

Exhibit 4.22 Percentage of Schools With Career or Freshman Academies Reporting 

Common Planning Time and the Frequency of Its Use................................. 105

Exhibit 5.1 Percentage of 11th-Grade Students At or Above Proficiency in Reading in 

Average SLC School (excluding California)............................................. 116

Exhibit 5.2 Percentage of 11th-Grade Students At or Above Proficiency in Mathematics 

in Average SLC School (excluding California).......................................... 117

Exhibit 5.3 Percentage of 11th-Grade Students At or Above 50th Percentile on SAT9 

Reading in Average SLC School (California only)..................................... 118

Exhibit 5.4 Percentage of 11th-Grade Students At or Above 50th Percentile on SAT9 

Mathematics in Average SLC School (California only)................................ 119

Exhibit 5.5 Percentage of Students in Grades 11 and 12 Taking ACT Test in Average SLC 

School.......................................................................................... 120

Exhibit 5.6 Percentage of Students in Grades 11 and 12 Taking SAT Test in Average SLC 

School.......................................................................................... 121

Exhibit 5.7 Average Total SAT Score in Average SLC School..................................... 122

Exhibit 5.8 Average Total ACT Score in Average SLC School..................................... 123

Exhibit 5.9 Promotion Rate from 9th to 10th Grade in Average SLC School...................... 124
 x

Exhibit 5.10 Graduation Rates in Average SLC School, Based on 9th- and 12th-Grade 

Enrollment of Graduating Cohort......................................................... 125

Exhibit 5.11 Percentage of Students Simultaneously Enrolled in Secondary and CollegeLevel Courses in Average SLC School................................................... 126

Exhibit 5.12 Percentage of Graduates Intending to Attend Two- or Four-Year Colleges in 

Average SLC School........................................................................ 127

Exhibit 5.13 Average Daily Attendance in Average SLC School..................................... 128

Exhibit 5.14 Percentage of Students Involved in Extracurricular Activities in Average SLC 

School.......................................................................................... 129

Exhibit 5.15 Incidence of School Violence per 100 Students in Average SLC School............ 130

Exhibit 5.16 Incidence of Alcohol and Drug Use per 100 Students in Average SLC School..... 131

Exhibit 5.17 Incidence of Disciplinary Action per 100 Students in Average SLC School........ 132

Exhibit 6.1 Percentages of SLC Schools Making School-Level Changes and Expecting to 

Sustain These Changes After Federal SLC Funding..................................... 139

Exhibit 6.2 Average Daily Attendance in Average SLC School.................................... 140
 xi

Acknowledgments 

The implementation study of Smaller Learning Communities has benefited from the input and support 

of a wide number of individuals. We would first like to thank the more than 100 school principals 

who completed the two administrations of the implementation survey sent to their schools. We also 

appreciate the cooperation and goodwill of the 18 schools who participated in our case study site 

visits and whose staff were so generous with their time as we visited their schools and classrooms. 

We would also like to acknowledge the critical contribution made to this study by our subcontracting 

partner, the CDM Group, which was responsible for collection of annual performance report data 

from the schools, and which also participated in our site visits. 

Several staff members at Abt Associates contributed their efforts to this report, including Carolyn 

Layzer, Susan Paxson, Elizabeth Umbro, and Natasha Zotov. Sheila Rosenblum of Rosenblum 

Brigham Associates was also a key member of our site visit team. Alan Werner served as Abt’s 

technical reviewer for this report and provided many invaluable comments in this capacity. We also 

appreciate the advice, support, and guidance of our federal project officer, James Maxwell in the U.S. 

Department of Education, as well as program and research staff, including Andrew Abrams and 

Braden Goetz, in the Office of Vocational and Adult Education. Kevin Cramer and David Goodwin, 

earlier federal project officers on this study, were critical to getting this study off in the right 

direction. 
 xii
Executive Summary 1 

Executive Summary 

The Smaller Learning Communities (SLC) program was established in response to growing national 

concerns about students too often lost and alienated in large, impersonal high schools, as well as 

concerns about school safety and low levels of achievement and graduation for many students. 

Authorized under the Elementary and Secondary Education Act (Title V, Part D, Subpart 4, Section 

5441(b)), the SLC program was designed to provide local education agencies with funds to plan, 

implement, or expand SLCs in large high schools of 1,000 students or more. The SLC legislation 

allows local education agencies to implement the most suitable structure or combination of structures 

and strategies to meet their needs. 

The U.S. Department of Education (ED) contracted with Abt Associates to conduct the 

Implementation Study of Smaller Learning Communities. The primary purpose of the study was to 

evaluate the implementation of the federal education law that authorizes funding for the SLC 

program, by describing the strategies and practices used in implementing SLCs. The report is based 

on findings from the first group (first cohort) of grantee schools funded under this program in 2000. 

This first cohort of 119 SLC schools was surveyed at two points in time (spring 2002 and fall 2003). 

From among those freshman and career academies with the highest student participation and degree 

of SLC implementation, 18 schools were purposively selected for case studies.1

 The study addresses 

three major research questions: 

• How are schools implementing SLCs—what are the principal strategies, models, and 

practices implemented? 

• What are the factors facilitating and inhibiting implementation in SLC schools? 

• How do outcomes for SLC schools, as measured by student achievement and school 

behavior, change over time? 

This study relied on three major sources of data: (1) Annual Performance Reports (APRs), completed 

by all grantees and schools funded through the SLC program; (2) Periodic Implementation Survey 

(PIS); and (3) in-depth case studies of 18 SLC schools who reported they were implementing a 

freshman or career academy. 

The following sections provide more detail about the SLC program, the study design, and major study 

findings. 

Smaller Learning Communities Program 

The SLC program serves multiple purposes, namely: (1) testing the feasibility of creating SLCs; 

(2) researching, developing, and implementing strategies for creating or expanding SLCs; 

(3) implementing strategies for effective and innovative changes in curriculum and instruction; 

 

1

 This report does not include findings from the second cohort of 222 SLC schools funded in 2002. These schools were 

surveyed at only one time and did not have any case study visits. Findings for this cohort of SLC schools are 

summarized in the unpublished Cohort 2 Follow-up Report (Bernstein, Millsap, and Schimmenti, 2005) available upon 

request. 
Executive Summary 2 

(4) providing professional development for school staff in the teaching methods that would be used in 

the SLCs; and (5) developing and implementing strategies to include parents, business organizations, 

and other community members in the activities of the SLCs.2

The legislation authorizing the SLC program was broad and gave grantees considerable latitude to 

determine how to implement SLCs. Programs responding to the SLC legislation were free to choose 

from a range of methods including “structures”(comprehensive restructuring), as well as “strategies” 

used either alone or to complement these new structures. Several restructuring methods were 

encouraged under the program, including small learning clusters, “houses,” career academies, magnet 

programs, or schools-within-a-school. Strategies that complement such a restructured large high 

school include block scheduling, freshman transition academies, advisory or adult advocate systems, 

academic teaming, multiyear groupings, and other innovations designed to create a more personalized 

high school experience for students, and thus improve student achievement. 

The SLC program asks each grantee for the number of students in each of the structures and strategies 

included in the box below from their Annual Performance Report (APR). 

Smaller Learning Community Structures and Strategies 

SLC Structures (Comprehensive Restructuring) 

Career Academies are one type of school-within-a-school that organizes curricula around one or more 

careers or occupations. They integrate academic and occupation-related classes. 

Freshman Academies, also called Ninth Grade Academies, are designed to bridge middle and high 

school. They respond to the high ninth-grade dropout rate in some high schools. 

House Plans are composed of students assembled across all grades or by grade level (e.g., all 11th- and 

12th-graders) with their own disciplinary policy, student activity program, student government, and social 

activities. 

Schools-Within-a-School break large schools into individual schools, which are multiage and may be 

theme-oriented; they are separate and autonomous units with their own personnel, budgets, and programs. 

Magnet Schools generally have a core focus (e.g., math and science, the arts). They usually draw their 

students from the entire district. 

SLC Strategies (Complement Structures or Implemented Alone) 

Block Scheduling: Class time is extended to blocks of 80–90 minutes, allowing teachers to provide 

individual attention and to work together in an interdisciplinary fashion on a greater variety of learning 

activities. 

Career Clusters, Pathways and Majors: These are broad areas that identify academic and technical skills 

students need as they transition from high school to postsecondary education and employment. 

Adult Advocates or Mentors: Trained adult advocates meet with students individually or in small groups on 

a regular basis over several years, providing support and academic and personal guidance. 

Teacher Advisory Program: The homeroom period is changed to a teacher advisory period, assigning 

teachers to a small number of students for whom they are responsible over three or four years of high school. 

Teacher Teams: Academic teaming organizes teachers across subjects so that teacher teams share 

responsibility for curriculum, instruction, evaluation, and discipline for the same group of 100 to 150 students.

 

2

 Title V, Part D, Subpart 4, Section 5441(b) of the Elementary and Secondary Education Act. 
Executive Summary 3 

The first grants were awarded in FY 2000 and are the subject of this report. In January 2002, the No 

Child Left Behind legislation (PL 107-110, Section 5441) reauthorized the program. 

SLC Early Implementation Study Design 

This executive summary addresses the major implementation findings on the first cohort of 119 

schools funded under the federal SLC program, which received three-year implementation grants in 

the first year of funding (fall 2000). The SLC study relies on three major sources of data: (1) The 

Annual Performance Reports (APRs), completed by all grantees or schools funded through the SLC 

program, provided data on a number of student outcome measures, as well as district and school 

background information, the number and type of SLC approaches, and general student background 

information;3

 (2) The Periodic Implementation Survey (PIS), administered to all Cohort 1 SLC 

schools at two time points (spring 2002 and fall 2003) provided detailed information on the 

implementation of various SLC strategies across all schools;4

 (3) and In-depth case studies of 18 

Cohort 1 SLC schools helped illuminate the survey findings. Site visits to these 18 schools were 

completed in fall 2002, and follow-up telephone interviews were conducted in spring 2004. 

Both the APR and PIS contained self-reported data. The APR contained data submitted to ED by 

each SLC grantee. Although instructions were given to each grantee defining how the APR should be 

filled out, considerable variation existed among grantees in terms of how certain outcomes were 

defined and reported, such as planned postsecondary attendance and extracurricular activities. The 

PIS responses, based primarily on self-reported perceptions of progress in implementing SLCs, may 

have reflected varying definitions of SLC implementation maintained by principals from school to 

school. 

Compared with other large high schools (schools with at least 1,000 students), the SLC schools in the 

first cohort of grantees are distinctly different. The SLC schools are larger (median enrollments of 

1,874 students vs. 1,554 in large high schools), have a much higher percentage of minority enrollment 

(median of 60 percent vs. 22 percent), and are much more likely to be located in large or mid-size 

central cities (60 percent vs. 33 percent). 

We note that this study examined implementation issues for the first cohort funded by the program. 

As such it reflects only early implementation issues. 

 

3

 Response rates for SY 1996–97 through SY 2002–03 APR data ranged from 97 to 100 percent. 

4

 Response rates for the spring 2002 and fall 2003 PIS data collections for Cohort 1 were 97 percent and 90 percent, 

respectively. 
Executive Summary 4 

Exhibit ES.1 

Minority Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High Schools

10%

28%

45%

17%

31%

43%

17%

8%

0%

20%

40%

60%

<10% 10–49.9 50–89.9% 90–100%

Minority Enrollment

Percent of Schools

SLC schools Large U.S. high schools

Exhibit reads: Ten percent of SLC schools have minority enrollments of less than 10 percent, 

compared to 31 percent of large U.S. high schools.

Source: Implementation Study of Smaller Learning Communities, SLC Annual Performance Report, 

SY 2000–01; Common Core of Data, Public Elementary and Secondary School Universe Survey, 

2000–01. 

Major Study Findings 

The study findings primarily concern the status of SLC implementation in the Cohort 1 schools and 

factors facilitating and inhibiting implementation. The study also examined in a limited manner how 

outcomes as self-reported in the APR data changed for Cohort 1 schools over time. 

Implementation Findings 

How are schools implementing SLCs—what are the principal strategies, models, and practices 

implemented? 

• By the end of two to three years of receiving their SLC grants (depending on when 

grantee districts made funds available to schools), the first group of SLC schools (Cohort 

1) had reported success in responding to congressional intent to implement varied 

approaches. In general, schools tended to implement a combination of SLC 

“structures” and less-comprehensive “strategies,” with schools averaging 1.3 

structures and 2.3 strategies. The most prevalent structures were freshman and 

career academies. More than one-half (55 percent of schools) reported that they 

implemented freshman academies, and more than one-third (42 percent) reported that 

they implemented career academies. Twenty-one percent of schools implemented 

freshman and career academies in combination. 

• Schools also changed over time, in both the number and types of SLC structures 

they were implementing. Freshman academies showed the most growth. In 2001–02, 
Executive Summary 5 

38 percent of SLC schools had freshman academies; by 2002–03, the number had risen to 

55 percent. Career academies showed some growth (from 38 percent of schools to 42 

percent), whereas the overall proportion of other structures remained unchanged. 

Schools with freshman academies, career academies, or schools-within-schools were 

more likely than schools with other structures to continue to implement the same SLC 

structures across both school years. 

Exhibit ES.2 

Percentages of SLC Schools Implementing Each Type of SLC Structure (n=105)

6%

10%

16%

55%

42%

38%

38%

7%

10%

14%

0% 20% 40% 60%

Magnet Schools

House Plans

Schools-within-a-School

Freshman Academies

Career Academies

Percent of Schools

2001–02

2002–03

Schools with:

Exhibit reads: Thirty-eight percent of SLC schools reported implementing career academies in the 

2001–02 school year. Forty-two percent reported implementing career academies in the 2002–03 

school year. 

Notes: Percentages exceed 100 percent within a school year because schools may implement more than one SLC 

structure. Percentages based on number of respondents completing survey module corresponding to each type of 

SLC structure 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002 and 

2003. 
Executive Summary 6 

• Cohort 1 schools with freshman academies, house plans, and career academies 

reported success in involving a majority of their eligible students. Schools with 

freshman academies reported a high level of participation (78 percent on average) among 

their ninth-grade students. For house plans, average student participation was 77 percent 

during the 2002–03 school year. 

• In addition to, or in place of, SLC structures, schools also chose to implement one or 

more SLC strategies, with block scheduling (58 percent of schools) and teacher 

teams (52 percent) the most popular choices. However, schools over time were 

gradually shifting from the use of SLC strategies to a greater use of SLC structures. 

Exhibit ES.3 

Percentage of SLC Schools Implementing Each Type of SLC Strategy, Alone or in Combination 

With a Comprehensive “Structure” (n=105)

34%

37%

52%

47%

58%

37%

46%

60%

65%

67%

0% 20% 40% 60%

Teacher Advisory Programs

Adult Advocates/Mentors

Teacher Teams

Career Clusters/Pathways

Block Scheduling

Percent of Schools

2001–02

2002–03

 Exhibit reads: Sixty-seven percent of SLC schools reported implementing block scheduling in the 2001–

02 school year, and 58 percent reported implementing block scheduling in the 2002–03 school year. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002 and 

2003, Other SLC Strategies Module, Question A: “Are you implementing this strategy/Were you 

implementing this strategy in 2002–03?” 

Note: Percentages do not add up to 100 percent within a school year due to schools implementing more than one 

SLC strategy. 
Executive Summary 7 

• Although SLCs can take a variety of forms—career academies, house plans, and strategies 

such as block scheduling—they all share the common goal of making the high school 

experience for all students more personalized. All but two Cohort 1 schools reported 

undertaking efforts to increase personalization. The most popular mechanisms for 

enhancing personalization were school or classroom-based and involved providing 

individual assessments (76 percent), a cooperative learning focus (63 percent) or formal 

mentoring programs (47 percent). 

Exhibit ES.4 

Percentage of SLC Schools Reporting Specific Mechanisms to Foster Personalization (n=103)

21%

22%

32%

36%

37%

47%

60%

63%

64%

76%

19%

0% 20% 40% 60% 80% 100%

Independent study is available in core academic courses

Student evaluations of teachers are being used

Students keep same homeroom teacher throughout high

school

Classes are smaller than before

Each teacher teaches a smaller number of students than

before

Students are taught by the same cluster of teachers for multiple

years

Students are formally paired with mentors

Teachers serve as advisors/mentors

A cooperative learning focus has been integrated into the

curriculum

Individualized assessments required for graduation

Individualized assessments used

Percent of Schools

 Exhibit reads: Seventy-six percent of SLC schools reported that they used individualized assessment 

throughout their school. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003 

• Providing professional development for school staff in innovative teaching methods that 

challenge and engage students is another goal of the SLC legislation. SLC-related 

professional development, although provided by nearly all Cohort 1 schools, was not 

very extensive. SLC teachers received a little more than three days of professional 

development per year. In close to half of Cohort 1 schools (45 percent) teachers received less 

than 16 hours of SLC-specific professional development during the 2002–03 school year. 

But although the time dedicated to these activities was limited, Cohort 1 schools 

reported providing a wide range of professional development activities for their 

teaching staff. This included tailoring instruction to individual student needs (95 percent of 
Executive Summary 8 

 schools), subject matter content/curriculum (95 percent), problem solving and 

 reasoning (93 percent), and strategies for helping low-achieving students (90 percent). 

• A third goal of the SLC legislation was to include parents, business representatives, 

institutions of higher education, and other community resources as facilitators of schools’ 

SLC activities and as links between students and their communities. Cohort 1 schools 

generally reported success in involving community representatives in their SLC 

activities, with four-fifths of schools (82 percent) working with an external partner 

in 2002–03, up from two-thirds of schools (65 percent) in the previous year. Partners 

included businesses, institutions of higher education, and community based 

organizations. Most schools used partners on advisory committees and as in-school 

volunteers. Those schools engaging external partners with their SLCs reported that they 

derived specific benefits for their students, including a range of career-related 

opportunities such as community service learning, internships, and job shadowing. 

• Schools were also able to involve parents in school activities, and to a lesser extent in 

the SLC program. Over three-fourths of Cohort 1 schools generally reported parents’ 

being involved in such school level activities as the PTA and school governance. More 

than two-thirds of schools (70 percent) reported some form of parental input into their 

SLC program after two years of funding. 

• Career academy programs were likely to develop some independence. Career 

academies are likely to have autonomy over staff decisions (77 percent) and the creation 

of instructional leadership teams (77 percent). 

The demographics of career and freshman academies often did not match the demographics of 

the school or freshman class. For example, about half of the schools with either career or freshman 

academies had race or ethnicity demographics that matched the class or school as a whole. About 29, 

percent of the career academies matched by gender, compared with three-fourths of the freshman 

academies. 

What was the level of SLC implementation? 

Using the self reported data from the PIS survey to assess the extent to which schools in the first 

cohort sample were able to implement career and freshman academies, the study developed a 

heuristic classification scheme of “high,” “moderate,” and “low” implementation based on specific 

criteria developed from the responses to the survey items. 

Career Academy Implementation 

Using data from the PIS survey and the criteria presented below, the study found that the largest 

number of schools had “moderate” implementation (26 of the 44 career academies). Eight were 

deemed to have “high” levels and 10 had “low” levels. 
Executive Summary 9 

We defined a high implementing5 career academy school as one that includes the following 

• Common planning time for teachers (for such purposes as facilitating integration of academic 

and vocational opportunities or discussing the needs of students they teach in common): 

• Autonomy over such program policies as staffing decisions and discipline; 

• Work-based learning opportunities and internship programs for students; and 

• Career-related graduation requirements that included both course work and service learning 

projects or a cooperative working experience. 

In addition a high implementing career academy school should have: 

• An increased number of courses that integrate academic and vocational instruction or are 

specific to the SLC theme; 

• Students taking more than half their course load within the career academy; and 

• Enrollment by race in each academy matching the school as a whole.6

 

Among the 44 schools with career academies with federal SLC funding, eight met all of the first 

four criteria for a high implementing career academy. Six of the eight had increased courses, and 

seven of the eight had students taking more than half their courses with the career academy. Four of 

the eight also had demographically similar students in their academies. 

Moderately implementing career academy schools were those that had some but not all the 

features of high implementing career academies. For example, some schools have created common 

planning time for teachers and instituted career-related graduation requirement, but have limited 

autonomy over program policies. Other schools have achieved some degree of autonomy over 

program policy decisions and have instituted career-related graduation requirements. Twenty-six of 

the 44 career academy programs met these criteria. About two-thirds (12 of 19) of the moderately 

implementing career academies have demographically similar students within each of their 

academies. 

Low implementing career academy schools had a few structures or requirements in place and had 

little autonomy over their operations. Ten of the 44 career academies fit this category. Two of the 

eight low implementing schools with demographic data have academy enrollment that mirror those in 

the school as a whole. 

 

5

 The indications “high,” “moderate,” and “low” are only meant to describe implementation and are not necessarily 

correlated to specific achievement outcomes. 

6

 The law authorizing SLCs mandates that the “method of placing students in the smaller learning community or 

communities [shall be] such that students are not placed according to ability or any other measure, but are placed at 

random or by their own choice, and not pursuant to testing or other judgments” (P.L. 107-110, Section 4441). 

Although no data were available on student ability and we were unable to distinguish student placement by selfselection, we were ale to compare enrollments by race in each academy with total school enrollment. 
Executive Summary 10 

Freshman Academy Implementation 

Freshman academies had fewer requirements to meet than career academies. Specifically, using the 

available PIS data, a high implementing freshman academy school had the following features: 

• At least weekly common planning time for teachers, so that teachers may discuss the 

needs of students whom they have in common; 

• Autonomy over select program policy areas; and 

• Enrollment by race in each academy matching the freshman class as a whole. 

Of the 58 schools with freshman academies, 33 meet the first two criteria. They reported common 

planning time for teachers on at least a weekly basis and reported autonomy on at least four program 

policy areas, typically over staff and instructional leadership teams. Just half of the schools providing 

data, however (that is, 11 of 22), have each of their freshman academies matching the racial 

composition of the entire freshman class. 

Moderately implementing freshman academy schools were those that have some but not all the 

features of high implementing freshman academy school. Thirteen freshman academy programs meet 

these criteria. They have autonomy over fewer program policies than high implementing schools. 

They are similar to high implementing freshman academies in that just over half (five of eight) have 

enrollments that mirror the freshman class as a whole. 

The remaining 12 schools in the freshman academy sample had a low level of implementation. 

None have implemented common planning time, and they all reported having limited autonomy over 

school-level program policy decisions. Too few schools provided demographic data to compare 

academy enrollments to the entire freshman class. 

What were the demographics of participation?

The law authorizing SLCs mandates that the “method of placing students in the smaller learning 

community or communities [shall be] such that students are not placed according to ability or any 

other measure, but are placed at random or by their own choice, and not pursuant to testing or other 

judgments” (P.L. 107-1010, Section 4441). If students were placed at random, on average they 

should mirror the demographics of the total population of the school or class; however, the law also 

allows student choice as the placement criteria. As noted above, about half of the schools with either 

career or freshman academies had their enrollments in each academy match the racial composition of 

the school (for career academies) or the freshman class as a whole (for the freshman academies). 

About half the schools with freshman academies had matched enrollments for limited English 

proficient students (LEP) and 38 percent of schools had similar LEP demographics for career 

academies. Three-quarters of the freshman academies had matched enrollments by gender, compared 

to just over a quarter (29 percent) of schools with career academies, As the data reported in the APR 

do not distinguish between enrollments based on school random assignment or student’s choices, it is 

not possible to ascertain the extent to which the differences in demographics are based on student 

choice rather than school assignment; however, these comparisons suggest that schools are clearly 

challenged to create academies that match the population from which the academies are drawn. As 

the data reveal, schools find it less difficult to have freshman academy groupings similar to the 

freshman class than to have career academies that mirror the demographics of the school. 
Executive Summary 11 

What are the factors facilitating and inhibiting implementation in SLC schools? 

• Cohort 1 SLC respondents reported a set of factors that appeared to facilitate 

implementation of an SLC initiative, including professional development specifically 

focused on SLCs; the availability of resources, including instructional materials; and a variety 

of teacher-related variables (e.g., attitudes toward reform, pedagogical practices, and 

expertise). Other factors may be linked with SLC reform efforts, including a school’s prior 

involvement in SLC activities, the availability of external funding, and involvement in other 

SLC-related reform efforts. 

• Schools also perceived a number of factors to have a negative influence on SLC 

implementation, including scheduling and logistical issues, physical space, and school 

staffing needs, especially in terms of core academic teachers and guidance counselors.

• A common set of factors affecting academy implementation emerged from case study visits 

and follow-up telephone interviews with a sample of Cohort 1 schools implementing career 

or freshman academies. Facilitating factors included strong school leadership, involved 

and supportive districts, high levels of staff buy-in, and sufficient space to make 

programs separate. Inhibiting factors included staff and administrative turnover, weak 

school leadership, prescriptive district oversight of SLC reforms, and limited resources 

on the part of the school. 

• Most career academy programs in the case study reported facing significant obstacles. 

Ninth-grade students typically took only academic courses and most schools crafted one 

initial course in ninth grade to have students start thinking about career choices. Offering 

English language instruction for the non-English-speaking LEP populations within each 

academy is nearly impossible. The number of staff qualified to teach these courses is limited 

and for smaller academies there won’t be enough students to meet minimum enrollment 

requirements. 
Executive Summary 12 

APR Data on Outcomes 

The section below presents a comparison of the reported APR data related to key program outcomes 

in the period just prior to program implementation and just after program implementation. The data 

are based on the SLC schools’ self reported data through Annual Performance Reports (APR). 

Schools first completed the APR during the 2000–01 school year, at which time they also 

provided retrospective data for school years 1996–97 through 1999–2000. APR data were also 

collected annually for school years 2001–02 and 2002–03. The APR data includes information on 

academic achievement, school-related behaviors, and the achievement of academic milestones at the 

school level. 

Limitations of the APR Outcome Analysis 

While analysis of the APR data give some self-reported information on how schools were trending 

over time before receiving SLC funding and whether or not there was a measured shift in trends when 

schools received SLC funds, absent a valid comparison group, any inferences from this data about the 

impacts of SLC funding and implementation on those outcomes are clearly inappropriate. In 

addition, there are a number of very important caveats and limitations that also make use of this data 

for evaluation of outcomes or impact analysis inappropriate. These are summarized below. 

• Many schools were engaged in implementing SLCs structures and strategies prior to 

receiving their federal grants, which could potentially have affected their pre-grant outcomes. 

• APR school-level outcomes were based on both SLC participants and nonparticipants, 

potentially attenuating the results. That is, in many cases the SLC feature being implemented 

only directly affected a subset of students in the school, while outcomes were reported for the 

school as a whole. 

• The data collection period did not cover a sufficient period of time to adequately capture 

changes in end of high school outcomes where implementation activities may have focused 

primarily on ninth-grade students. 

• The dynamics of the SLC implementation process may have affected short-term school 

outcomes as schools adjusted to the task of restructuring. That is, restructuring such a large 

institution as a high school may not only lead to no immediate changes, but there may 

actually be a temporary worsening of outcomes as school staff take on and become 

accustomed to their new roles. 

• Results are based on school-reported data, which varied greatly in quality and accuracy; 

specifically there is a serious measurement issue in terms of the lack of data comparability 

(both between districts and states). 

Keeping in mind these limitations the APR data revealed the following with regard to short-term 

outcomes. 
Executive Summary 13 

How do short-term outcomes for SLC schools, as measured by school-related behaviors, change 

over time? 

• As measured by APR data, early changes in schoolwide reported outcomes after 

receiving SLC funding were modest or neutral, with a good deal of variation between 

schools. 

• Where there is evidence of change, however, trends appear to be moving in the right 

direction for school-related behaviors. Specifically, the APR data suggest an upward 

trend in student extracurricular participation and promotion rates from 9th to 10th 

grades. The trend for extracurricular involvement in SLC schools showed a substantial 

and statistically significant increase of five percentage points in participation after receipt 

of SLC funding.

 

Exhibit ES.5 

Percentage of Students Involved in Extracurricular Activities in Average SLC School 

(n=78)

41% 42% 42% 43%

49% 49% 50%

20%

40%

60%

80%

1996–97 1997–98 1998–99 1999–2000 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year, 41 percent of students were involved in 

extracurricular activities in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, 

SY 1996–97 through SY 2002–03. 
Executive Summary 14 

• Although ninth-grade promotion rates appear stable, on average, across all years of data 

collection, there was a statistically significant positive trend in the percentage of 9th 

grade students being promoted to 10th-grade during the post-grant period. This 

trend also held for SLC schools implementing freshman academies, which have as an 

expressed focus reducing the 9th-grade dropout rate. In addition, mean estimates were 

similar to the national average for large high schools by the end of data collection (85 

percent). 

Exhibit ES.6 

Promotion Rate from 9th to 10th Grade in Average SLC School (n=116)

82% 82% 81% 81%

83%

85%

85% 85% 85% 85% 85%

70%

80%

90%

100%

1996–97 1997–98 1998–99 1999–2000 2000–01 2001–02 2002–03

Percent of Students

Average SLC school

National average Receipt of federal SLC 

funds

Exhibit reads: During the 1998–99 school year, 82 percent of ninth-grade students were 

promoted to 10th-grade in the average SLC school, compared to the national average of 85 

percent. 

Sources: Implementation Study of Smaller Learning Communities: Annual Performance Report, 

SY 1996–97 through SY 2002–03; Common Core of Data, Public Elementary and Secondary 

School Universe Survey Data, 1997–2003. 

Notes: Data for SLC schools not available for SY 1996–97. National data not available for SY 1996–97 

and 1997–98. 
Executive Summary 15 

• There was also a downward trend in the incidence of violence in SLC schools over 

time. The three most recent years of data collection following the receipt of the SLC 

grant suggest that incidence of negative behaviors such as student violence may be on the 

decline. The data suggest that, on average, SLC schools experienced a statistically 

significant 1.4-point drop in the number of violent incidents (per 100 students) during the 

post-grant period. 

Exhibit ES.7 

Incidence of School Violence per 100 Students in Average SLC School (n=100)

5.6 5.7 5.7 5.8

4.5 4.7 4.8

0

2

4

6

8

10

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Number of incidents

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year there were 5.6 incidents of school violence per 100 

students in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, SY 1996–97 

through SY 2002–03. 

How do longer-term outcomes for SLC schools, as measured by attainment of academic milestones 

and student academic achievement, change over time? 

• As measured by APR data, early changes in schoolwide academic outcomes after 

receiving SLC funding were modest or neutral, with a good deal of variation between 

schools. In particular, there were no significant trends in academic achievement, as measured 

by either scores on statewide assessments or college entrance exams. 

• Where there is evidence of change, however, trends appear to be moving in the right direction 

for attainment of academic milestones. For example, the data suggest increases in the 

percentage of graduating students planning to attend either two- or four-year colleges. 

Between the pre- and post-grant periods, this percentage increased by about four percentage 

points, which is statistically significant. The absence of comparative national data, however, 

makes it difficult to infer whether this is due to receipt of the SLC grant rather than part of a 

more general national trend. 
Executive Summary 16 

Exhibit ES.8 

Percentage of Graduates Intending to Attend Two- or Four-Year Colleges in Average SLC 

School (n=77)

65% 65% 65% 65%

69% 69% 69%

60%

70%

80%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Graduates

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year, 65 percent of graduates intended to attend twoor four-year colleges in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, 

SY 1996–97 through SY 2002–03. 

Sustainability of SLCs 

The data suggest a serious commitment on the part of most SLC schools to sustain structural changes 

in the way their school and classrooms are organized. Specifically, close to three-quarters of those 

schools that report having made changes using SLC funding expect to sustain those changes after 

their grants end. For example, almost all (96 percent) of the schools that reported making their 

schoolwide core curricula more academically rigorous are committed to sustaining those changes 

even after their SLC funding has run out. Similarly, 94 percent of the schools that reported using 

more varied student assessments for grading and promotion decisions expect to sustain those changes 

in the future. 

Although schools were less likely to report classroom-level changes with the federal SLC funding, at 

least 80 percent of the schools that had implemented classroom-level changes also reported that they 

would sustain them. One exception is reduced class size, a change that may not be within the power 

of the school to sustain. 
Chapter 1: Introduction 17 

Chapter 1 

Introduction 

This final report presents the findings from the implementation study of the Smaller Learning 

Communities (SLC) program. This introduction first describes the federal law, which defines the 

scope of the SLC program. Next, the study is briefly described through a presentation of the research 

objectives and the conceptual model underlying the implementation study. Finally, previous research 

on smaller learning communities and small schools is summarized. 

Organization of the Report 

This first chapter presents an overview of the SLC program, the study, and related research. 

Chapter 2 presents an overview of the study design, as well as a summary of the demographic 

characteristics of the SLC schools described in this report. The remainder of this report describes the 

implementation of the federal SLC initiative. Chapter 3 focuses on what schools are actually doing as 

well as the factors facilitating and inhibiting implementation of SLCs. Chapter 4 is devoted to a 

discussion of the unique implementation features of the two most widely used SLC structures, career 

academies and freshman academies. Because there is so much interest in how SLC schools are 

performing, we devote Chapter 5 to a discussion of student outcomes as reported by schools. Finally, 

Chapter 6 provides a summary of the findings from the previous chapters, and implications for further 

SLC implementation and research as well as further analyses for the follow-up report to be completed 

later this year. 

Federal Smaller Learning Communities Program 

The federal SLC program was established in response to the growing nationwide concern that 

students are too often lost and alienated in large, impersonal school structures leading to less effective 

learning environments. Large numbers of students attend large high schools. In 2001, 64 percent of 

the country’s high school students attended schools of 1,000 or more students, with 42 percent 

attending schools enrolling more than 1,500 students (Common Core of Data, Public Elementary, 

Secondary School Universe Survey (2000–01)). Furthermore, larger high schools tend to serve 

disproportionately low-income (as measured by free and reduced-price lunch eligibility), urban, and 

minority youths—those most at risk of academic failure. Little rigorous research exists, but among 

the few studies available, findings suggest that students who attend small schools or who participate 

in SLCs earn higher scores on standardized tests than students who attend larger institutions (Wasley 

et al., 2000). Authorized under Title V, Part D, Subpart 4, Section 5441(b) of the Elementary and 

Secondary Education Act, the SLC program was designed to allow grantees: 

To study the feasibility of creating the smaller learning community or communities 

as well as effective and innovative organizational and instructional strategies that will 

be used in the smaller learning community or communities; 

To develop and implement strategies for creating or expanding the smaller learning 

community or communities, as well as effective and innovative changes in 

curriculum and instruction, geared to high state content standards and state student 

performance standards; 
Chapter 1: Introduction 18 

To provide professional development for school staff in innovative teaching methods 

that challenge and engage students to be used in the smaller learning community or 

communities; and 

To develop and implement strategies to include parents, business representatives, 

local institutions of higher education, community-based organizations, and other 

community members in the smaller learning communities, as facilitators of activities 

that enable teachers to participate in professional development activities, as well as to 

provide links between students and their communities (Section 10105 (b)). 

Under this program, a large high school is defined as a school that includes grades 11 and 12 and 

enrolls at least 1,000 students in grades 9 and above. The legislation did not describe what structures 

or strategies could be used to create smaller learning communities within large high schools, although 

several methods were included in the Conference Report for the Consolidated Appropriations Act of

2000 (P.L. 106-113, H.R. Conference Report No. 106-479, at 1240 (1999)). The restructuring 

methods include small learning clusters, “houses,” career academies, magnet programs, or schoolswithin-a-school. Strategies that complement a restructured large high school include block 

scheduling, freshman transition academies, advisory or adult advocate systems, academic teaming, 

multiyear groupings, and other innovations designed to create a more personalized high school 

experience for students, and thus improve student achievement. Local education agencies were 

encouraged to implement the most suitable structure or combination of structures and strategies to 

meet their needs. 

In FY 2000, Congress appropriated $45 million for the SLC program, and appropriated an additional 

$125 million in FY 2001. In January 2002, the No Child Left Behind legislation (P.L. 107-110, 

Section 5441) reauthorized the program. Appropriations in FY 2002 totaled $142 million. In 

addition, Congress has appropriated $161 million in FY 2003 and $174 million in FY 2004 for the 

SLC program. 

Federal SLC funding is provided on a competitive basis to local education agencies (LEA). An LEA 

can submit an application either on behalf of a single school or multiple schools in the district. 

Funding is awarded to the districts, which then make the funds available to the school(s) on whose 

behalf they applied. In 2000, the U.S. Department of Education (ED) received a total of 149 

applications for this grant competition. All eligible applicants (i.e., those districts with schools of 

1,000 or more students) were rated by a team of reviewers and ordered by rank. In 2000, a total of 65 

three-year implementation grants were awarded to districts on behalf of 125 schools enrolling over a 

quarter of a million students. These grants averaged approximately $500,000 per school. 

In addition to the federally funded SLC program, several national and local foundation-based 

initiatives have encouraged the implementation of smaller learning environments in large high 

schools. Since 2000, the Bill and Melinda Gates Foundation has invested more than $600 million in 

small schools initiatives. The cornerstone of this funding is the National School District and Network 

Grants Program, which is directed at the creation of new, small high schools and the conversion of 

large high schools into smaller learning communities. The Carnegie Foundation of New York has 

joined forces with the Gates Foundation in this effort by pledging over $40 million toward the 

redesign of some of the nation’s largest comprehensive high schools in eight cities. Other 

foundations have provided funding for reform efforts in the form of school downsizing, including the 

Annenberg Foundation, the Joyce Foundation, the Pew Charitable Trust, and the Annie E. Casey 
Chapter 1: Introduction 19 

Foundation. At the state or local level, Knowledgeworks (Ohio), Lumina Foundation (Indiana) and 

the Boston Private Industry Council (Massachusetts) are a small sample of the types of organizations 

undertaking similar work. 

The Implementation Study of Smaller Learning Communities 

In order to increase our understanding of the implementation of SLC’s the Department of Education 

has contracted with Abt Associates to conduct the Implementation Study of Smaller Learning 

Communities. The primary purpose of the study is to evaluate the implementation of the federal 

education law that authorizes funding for the federal SLC program, by describing the strategies and 

practices used in implementing SLCs. The research questions addressed in this study are presented at 

the beginning of Chapter 2. 

Conceptual Framework 

Exhibit 1.1 presents a conceptual framework summarizing the major groupings of variables in this 

study. The major conceptual groupings include: (1) facilitating and inhibiting factors comprising 

variables hypothesized to influence implementation, (2) intervention strategies and structures 

comprising the SLC program in each school, and (3) school-reported student outcomes that are the 

goals of the SLC program. The elements of the model are described below. 

Factors Influencing Implementation 

Implementation of the SLC program is facilitated and inhibited by a range of factors, including the 

context of federal and state policies and initiatives. The federal policy context establishes legislative 

objectives together with regulations, guidelines and provisions for meeting those objectives. The 

federal SLC legislation specifies criteria that grantees must meet to be eligible for participation in the 

program, and the Grants Announcement provides guidelines that they must follow in implementation. 

State-level priorities for assessment and accountability, and other initiatives targeted at secondary 

school reform, are relevant contextual factors in understanding how SLC grants are put into action. 

District priorities and policies, as well as school-level factors, also shape the subsequent implementation of SLC plans. At the district level, these include the degree of autonomy afforded to schools and 

the resources allocated to schools for restructuring, as well as district-level accountability and assessment practices. Implementation of the SLC model is further mediated by a host of school-level 

factors, including school organizational features (e.g., degree of tracking or availability of advanced 

placement courses), school policies, and school climate, as well as prior or current participation in 

other SLC reform initiatives. 
Chapter 1: Introduction 20 

Exhibit 1.1 

Conceptual Model, Implementation Study of Smaller Learning Communities 

Note: It should be noted, however, that a broken arrow represents the line between school process and student 

outcomes. As the study is not designed to measure impacts, we cannot say unequivocally that implementation 

of an SLC will necessarily lead to more positive student outcomes. 

Source: Abt Associates, Inc., 2007. 

SLC Intervention—Structures and Strategies 

The federal legislation authorizing the SLC program gave broad latitude to grantees in terms of how 

to direct their funding. Funds could be used to provide training and professional development 

opportunities for school staff in curricular and instructional practices to be implemented in the newly 

created school environment, as well as to devise strategies to include other stakeholders such as 

parents, local businesses, and community-based organizations in the activities of the SLCs. Grantees 

were encouraged by the program guidance to use their funds to implement any combination of SLC 

structures involving actual restructuring of their schools and strategies designed to enhance 

personalization. Exhibit 1.2 summarizes the various allowable SLC structures and strategies as 

defined by the SLC program.7

Outcomes of SLC 

The model posits that as schools begin to implement structures and strategies designed to bring about 

increased personalization, various student-level outcomes should also begin to undergo change. 

Measured at the school level, these changes might take the form of improved student behavioral 

 

7

 These definitions were provided to grantees as part of their instructions for filling out their Annual Performance 

Reports. They are also available on the SLC Program Web page: 

http://www.ed.gov/programs/slcp/strategies.html. 

Changes 

in StudentLevel 

Outcomes

Federal 

Context

State 

Policies and 

Programs

District 

Priorities 

and Policies

SchoolLevel 

Factors

•Enhancing 

personalization

•Providing 

professional 

development

•Including 

external 

partners

Factors 

Influencing 

Implementation

SLC Intervention—

Structures and 

Strategies

Outcomes

Changes 

in StudentLevel 

Outcomes

Federal 

Context

State 

Policies and 

Programs

District 

Priorities 

and Policies

SchoolLevel 

Factors

•Enhancing 

personalization

•Providing 

professional 

development

•Including 

external 

partners

Factors 

Influencing 

Implementation

SLC Intervention—

Structures and 

Strategies

Outcomes
Chapter 1: Introduction 21 

outcomes (including increased attendance and promotion rates), improved school climate (such as 

decreased disciplinary incidents, decreased incidences of alcohol and tobacco abuse or school 

violence), as well as changes in longer-term outcomes, including overall improvement in student 

academic achievement and academic milestones, such as improved graduation rates.

Exhibit 1.2 

Allowable Smaller Learning Community Structures and Strategies as Defined by SLC Program 

(In the APR schools were asked to list their activities according to the list below) 

SLC Structures (More Comprehensive Restructuring) 

Career Academies are one type of school-within-a-school that organize curricula around one or 

more careers or occupations. They integrate academic and occupation-related classes. 

Freshman Academies, also called Ninth-Grade Academies or Freshman Transition Activities, 

are designed to bridge middle and high school. They respond to the high ninth-grade dropout rate 

experienced by some high schools. 

House Plans are comprised of students assembled across all grades or by grade level (e.g., all 

11th- and 12th-graders) and assigned to groups of a few hundred each. Each house has its own 

disciplinary policy, student activity program, student government, and social activities. Students 

take some or all courses with their house members and from their house teachers. 

Schools-Within-a-School break large schools into individual schools. Individual schools are multiage and may be organized around a theme; they are separate and autonomous units with their own 

personnel, budgets and programs. Schools-within-a-school operate within a larger school, sharing 

resources and facilities. Students and faculty typically affiliate with only one of the schools-within-aschool. 

Magnet Schools generally have a core focus (e.g., math and science, the arts). They usually draw 

their students from the entire district. 

SLC Strategies (Complement Structures or Implemented Alone) 

Block Scheduling: Class time is extended from 45- or 50-minute periods to blocks of 80 to 90 

minutes. The added time allows teachers to provide individual attention and work together in an 

interdisciplinary fashion and permits a greater variety of learning activities. 

Career Clusters, Pathways and Majors: These are broad areas that address all careers within 

the area, from technical through professional. Career clusters identify academic and technical skills 

needed by students as they transition from high school to postsecondary education and 

employment. 

Adult Advocates or Mentors: This model of personalization ensures that each student is known 

well by at least one staff member. Teachers, counselors, other staff, and community volunteers—

all of whom must be trained—can fulfill this “caring adult” role. Adult advocates meet with 15 to 20 

students individually or in small groups on a regular basis over several years, providing support and 

academic and personal guidance. 

Teacher Advisory Program: This model of personalization changes homeroom period to a 

teacher advisory period. Typically, administrators and teachers are assigned to a small number of 

students for whom they remain responsible over three or four years of high school. 

Teacher Teams: Academic teaming organizes groups of teachers across departments so that 

teachers share the same students rather than the same subject. Teachers who teach different 

subjects form a team that shares responsibility for curriculum, instruction, evaluation and discipline 

for a group of 100 to 150 students. 
Chapter 1: Introduction 22 

Related Research 

School Size 

The movement to develop SLCs has emerged from advocacy research and practice that suggests the 

superiority of smaller schools.8

 Since the 1950s there has been a debate about the effects of school 

size, with proponents of both larger (Conant, 1959) and smaller schools (Barker and Gump, 1964), 

advancing social and economic arguments to support their views. For example, larger schools have 

been hypothesized to provide more opportunities for advanced courses and to be more cost-efficient, 

whereas smaller schools have been expected to offer more individualized learning opportunities. 

During the past 40 years, as the average size of high schools has increased dramatically, the 

proponents in favor of smaller school settings have grown more vocal in their arguments. 

Practitioners have not waited for solid empirical research evidence to address the perceived problems 

of large schools (Dynarski, Gleason, Rangarajan and Wood, 1998; McMullan and Wolf, 1991). In 

1996, the National Association of Secondary School Principals (NASSP) clearly endorsed the SLC 

approach by publishing Breaking Ranks: Changing an American Institution, a manifesto calling for a 

greater level of personalization in education.

School Restructuring, Reorganization, and Smaller Learning Communities 

In the absence of the resources necessary to build new, smaller schools, a variety of approaches have 

been developed to make large schools seem smaller.9

 By breaking large schools into smaller 

subunits, practitioners hope to create more personal environments despite the actual enrollment. The 

body of research on restructuring schools has yielded the following general findings: 

• Small schools and larger schools that have restructured may produce similar student 

outcomes (Raywid, 1996). 

• Positive outcomes of restructured schools include increased academic achievement, 

increased academic equity, increased student engagement, more positive teacher-student 

relations, and a decreased dropout rate (Raywid, 1996). 

Much of the literature on SLCs consists of case studies and evaluations of individual schools. Studies 

could not be found that include large numbers of schools or focus on a whole-school model in which 

all students are included in some form of SLC. Certain strategies, such as freshman academies, are 

typically used in combination with other strategies, which means that little published research is 

 

8

 The research findings cited here are drawn from Page et al., National Evaluation of Smaller Learning Communities: 

Literature Review, Abt Associates Inc., 2002 (unpublished manuscript). It must be noted that the small schools 

research findings are merely suggestive of possible outcomes of SLC restructuring given that small schools may 

possess student- or school-level characteristics other than school size alone that contribute to their effectiveness. 

9

 Education reformers strongly support creating smaller schools, based on extant research, but as Raywid (1996) points 

out, there are also a considerable number of large schools that are already functioning well, and logistical issues and 

financial costs argue for maintaining the physical site of large high schools. Consequently, schools turn toward the 

creation of within-school subunits. 
Chapter 1: Introduction 23 

available addressing these strategies in isolation.10 Research findings, drawn from an extensive 

review of the literature for other SLC structures, are grouped together below: 

• Career academies: Career academies organize curricula around one or more careers or 

occupations. The most rigorous research using an experimental design has been 

conducted on this strategy. Studies found moderate positive economic outcomes. For 

example, career academy graduates exhibit better employment outcomes, including 

earnings, work attendance, and work performance, than other graduates (Elliot, Hanser 

and Gilroy, 2000; Kemple, 1997, 2001; Kemple and Snipes, 2000).11

• Schools-within-a-school: These are multi-grade, separate, autonomous individual 

subunits organized around a theme, each with its own personnel, budget and program. 

Less rigorous nonexperimental studies have found modest improvement in academic, 

behavioral, attitudinal and process outcomes for school-within-a-school students (Oxley, 

1997; Wasley et al., 2000). 

• Houses: House plans assign students within the high school to groups of a few hundred 

each across grades. Each house has its own discipline policies, student activity program, 

student government, and social activities. Individual houses, however, are less autonomous than school-within-a-school programs. Research on this strategy, unfortunately, 

has been quite limited. 

• Magnet schools: These have a core focus (e.g., math and science, or arts), recruit 

students from the entire district, and sometimes select students meeting their selection 

criteria. Consequently, nonexperimental study findings of improvement in outcomes are 

potentially confounded by selection bias. Much of the research on magnet schools has 

focused on their effectiveness as a desegregation tool, but some of it has focused on 

outcomes of interest for SLCs. Some studies with the above limitations did find 

indications of greater student achievement and greater educational equity in magnet 

schools than in non-magnets (Gamoran, 1996; Duax, 1992). 

In addition, the literature has reported on the effectiveness of strategies such as alternative scheduling. 

The most common form of this strategy, block scheduling, changes the way time is used in school by 

lengthening class periods and altering daily or annual schedules. Studies reviewed yielded 

insufficient evidence to support generalizations about effects of alternative scheduling on students. 

Finally, a recent research effort has been launched to study the implementation process of converting 

large high schools into smaller learning communities as part of the Gates Foundation National School 

District and Network Grants Program (American Institutes for Research, 2003). The early findings 

from this study have highlighted the initial difficulties schools face in creating new learning 

environments focused on smallness and increased personalization. The study further contrasts the 

more challenging task schools face in converting large schools as opposed to starting new schools. In 

 

10 Freshman academies take a variety of forms, but are generally designed to help ease the transition from middle school 

to high school. 

11 More recent evaluations of two comprehensive high school reform models that include SLC components—High 

Schools That Work and Talent Development High Schools—have reported enhanced outcomes for students; only two 

of these, however, are third-party evaluations (one of which has not yet been completed), and none is experimental. 
Chapter 1: Introduction 24 

these conversion schools, there was typically a longer planning process and start-up period involved 

than in the new small schools. Moreover, the findings from this study has confirmed the difficulty 

one faces in measuring “outcomes” on schools as they are immersed in the early stages of 

reconstituting an existing school structure and procedures. 

Facilitators and Challenges in Implementing Smaller Learning Community Reforms 

Research on what factors contribute to effective implementation of SLCs consists primarily of 

anecdotal evidence, relying for the most part on the small schools research. For example, Raywid 

(1998) attributes the success of small schools to strong commitment on the part of teachers, a 

coherent mission on the part of school administrators, and a relative level of autonomy for the smaller 

school units. Ancess (1997), in a report offering strategies on how to launch small schools, cites 

commitment on the part of staff, students, and parents and sufficient financial resources, among 

others, as important components critical to their success. 

In her 2001 review of literature on smaller learning communities, Kathleen Cotton, late of the 

Northwest Regional Educational Laboratory, cites several factors, in addition to broad community 

support, that are critical to successful SLC implementation. Among factors mentioned are autonomy, 

programmatic separateness and distinctiveness, and the self-selection of students and teachers. Other 

key factors identified include a mission or vision supported by careful planning; schools—both 

students and staff—need to know where they are going, why, and how they are going to get there. 

Implementation must be accompanied by professional development to support teachers in the 

transition to SLCs and in developing skills of collaboration. Finally, efforts to sustain support over a 

period of time are critical so that implementation may be thorough rather than shallow (Cotton, 2001). 

Challenges to creating SLCs arise from both districts and schools. District reluctance to change can 

undermine schools’ efforts. In schools, problems can arise from logistical issues such as bell 

schedules or cafeteria space. Wasley et al. (2000) cite several other issues, including enrollment or 

student assignment procedures, principal support and turnover, and staff conflict and turnover. If 

principals are reluctant to share power, there is likely to be conflict with teachers and sub-unit heads 

(Pribesh, Lee and Osuna-Currea, 2001). Another challenge is the possibility of inadvertently creating 

hierarchies that segregate or resegregate students as they gradually choose some units over others, 

based on academic demand or existing membership (Ready, Lee and LoGerfo, 2001). It has also 

been noted that implementation of SLCs may require increases in budget, planning time, or staff in 

order to be successful (Legters, 1999). 
Chapter 2: Study Design and Sample 25 

Chapter 2 

Study Design and Sample 

This chapter begins with the presentation of the study design and measures used in describing 

implementation of the first group (cohort) of grantees funded through the SLC program. This group 

includes 119 schools funded through 63 three-year implementation grants awarded to school districts 

in fall 2000.12 The chapter concludes with a description of the schools and students in this first cohort 

of funded schools. The Implementation Study of Smaller Learning Communities addresses three 

major research questions: 

• How are schools implementing SLCs—what are the principal strategies, models and 

practices implemented? In particular, do the SLC activities undertaken by schools meet 

some of the goals of the SLC legislation, such as: 

− Increasing personalization of the high school experience for all students, to counter 

the effects of large, impersonal school structures? 

− Providing professional development for school staff in innovative teaching methods 

that challenge and engage students? 

− Including parents, business representatives, institutions of higher education, etc. as 

facilitators of activities and to provide links between students and their communities? 

• How does implementation vary by approach and type of school, specifically with respect 

to freshman and career academies? 

• What are the factors influencing (i.e., facilitating and inhibiting) implementation in SLC 

schools in general, and specifically with respect to freshman and career academies? 

In addition, because there is an interest in determining the feasibility of using school performance 

data for estimating student impacts, an additional research question for this study is: 

• How do outcomes for SLC schools change over time? 

Overview of the Study Design and Measures 

The Implementation Study of Smaller Learning Communities provides the first comprehensive 

description of federally funded SLCs as implemented, and also provides data that will aid in 

understanding SLC school outcomes. To assess program implementation and to describe school 

outcomes, data have been collected on two groups of SLC schools: the 63 grantees (119 schools) that 

received three-year implementation grants in the first year of funding (fall 2000) and the 88 grantees 

(222 schools) that received funding in the second cycle (fall 2002).13

 

12 Cohort 1 originally consisted of 65 grantees (125 schools) receiving SLC funding. Program attrition, however, has 

reduced this sample to a total of 63 grantees and 119 schools. A complete list of the Cohort 1 SLC grantees included in 

this study is presented in Appendix A. 

13 This report does not include findings from the second cohort of 222 SLC schools funded in 2002. These schools were 

surveyed at only one time and did not have any case study visits. Findings for this cohort of SLC schools are 

summarized in the unpublished Cohort 2 Follow-up Report (Bernstein, Millsap, and Schimmenti, 2005, unpublished) 

available upon request. 
Chapter 2: Study Design and Sample 26 

This report includes data for only the first cohort of 63 grantees and relies on three major sources of 

data: Annual Performance Reports (APRs) completed by all Cohort 1 grantees or schools funded 

through the SLC program; a Periodic Implementation Survey (PIS), administered to all 119 Cohort 

1 schools at two time points; and in-depth case studies of 18 Cohort 1 SLC schools. Site visits to 

these 18 schools were completed in fall 2002 and follow-up telephone interviews were conducted 

during spring 2004. Each of these measures is defined below. The timeline for collecting data for 

Cohort 1 is summarized below in Exhibit 2.1. 

Exhibit 2.1 

Timeline for Implementation Study of Smaller Learning Communities by Data Collection 

Method 

 2001–02 2002–03 2003–04 

Measures/Samples Fall Spring Fall Spring Fall Spring 

Annual Performance 

Report (APR)a 

Cohort 1 (n=119) 9 9 9

 

Periodic 

Implementation 

Survey (PIS)b

 

Cohort 1 (n=119) 9 9

 

Case Studiesc 

Cohort 1 (n=18) 9

(site visit)

 9

(telephone 

follow-up) 

Notes: a APR data collected in the fall of each year relate to the previous school year. 

 b PIS data cover period through time of data collection. Spring 2002 PIS covers school years 

 2000–01 and 2001–02. Fall 2003 PIS covers school year 2002–03. 

 c Case study data cover period through time of data collection. Fall 2002 site visit covers school 

 years 2000–01 and 2001–02. Spring 2004 telephone follow up covers school years 2002–03 and 

 2003–04. 

Source: Abt Associates, Inc., 2007. 

Annual Performance Report 

The APR is collected by ED on an annual basis from all SLC grantees or schools to assess schools in 

terms of both implementation of their SLC as well as on several indicators of educational 

performance. These data are required by ED for program monitoring purposes and were not 

specifically designed to address the research questions for this study. The information is obtained at 

the grantee level (e.g., grants director, SLC project director) for each school with assistance from 

school principals. The data are measured at the school level for all students, so may not necessarily 

reflect outcomes attributable only to that portion of students involved in SLCs. The APR first 
Chapter 2: Study Design and Sample 27 

provides district and school background information, the number and type of SLC approaches, and 

general background information on the students. The APR also asks grantees to provide narrative 

text on project status, including any changes that have been or will be made to SLC approaches; these 

data were not analyzed as part of the evaluation. 

The APR includes a number of student outcome measures, such as: 

• State-level assessment scores, 

• College entrance exam data, 

• Attendance, 

• Graduation rates, 

• Planned postsecondary enrollments, 

• Dual enrollments (i.e., simultaneous enrollment in secondary and college-level courses), 

• Participation in extracurricular activities, and 

• Disciplinary indices, such as incidences of student violence, alcohol or tobacco use, and 

suspensions and expulsions. 

These student outcome data are reported at the school level, broken out by grade. In the first round of 

APR data collection (fall 2001), schools were asked to provide data for the first implementation year 

after applying for SLC funds (SY 2000–01) as well as for the preceding four years. Subsequent 

administrations of the APR cover the most recently completed school year only. 

The APR is based on self-reported data submitted to ED by each SLC grantee. These data were 

collected through 2003 with the assistance of Abt’s subcontractor, the CDM Group, which was also 

responsible for entry and review of the data for each responding school.14 In the case of missing or 

out-of-range values, the data were verified either through callbacks with the grantee or via external 

data sources, such as Web sites maintained by state-level departments of education. Although 

instructions were given to each grantee defining how the APR should be filled out, considerable 

variation exists among grantees in terms of how certain outcomes, such as planned postsecondary 

attendance and extracurricular activities were interpreted. Moreover, measures of student academic 

performance on reading and mathematics tests are strictly state-specific, according to the varying 

definitions of proficiency used by each state. A copy of the APR can be found in Appendix B. 

Periodic Implementation Survey 

The Periodic Implementation Survey (PIS), specifically designed for this study, provides substantially 

more detailed information on the implementation of various SLC strategies across all schools. The 

school principal or a designee such as the school’s SLC director typically completes the PIS. There 

were two administrations of PIS data collection (spring 2002 and fall 2003).15 This survey of the SLC 

schools addresses the following topics at the school level: 

 

14 Response rates for the SY 1996–97 through SY 2002–03 administrations of the APR have ranged from 97 to 100 

percent. 

15 Response rates for the spring 2002 and fall 2003 PIS data collections were 97 percent and 90 percent, respectively. For 

this report, however, we only present results on the 105 Cohort 1 schools responding to both administrations of the PIS. 
Chapter 2: Study Design and Sample 28 

• SLC structure: Timing of funding; student eligibility, selection, and demographics; 

degree of SLC autonomy in a number of areas; and other reform efforts that are 

underway. 

• SLC program implementation: SLC structures and strategies implemented, reasons for 

implementing SLCs, and teacher participation in deciding to implement an SLC. 

• Factors affecting implementation: Ratings of a number of factors, such as available 

resources, physical space, faculty expertise, and parental support; ratings of other funds 

available that are used to support program goals. 

• Faculty and Staff information: Degree of staff involvement in SLC, how teachers were 

assigned to SLC, and staffing needs. 

• Student-staff relationships: Mentoring programs and advisories. 

• Parental influence: Type and degree of parental involvement. 

• Academic and nonacademic aspects of the SLC or school: Changes (if any) in course 

offerings and student course-taking patterns, types of student assessment used, and 

graduation requirements for SLC and other students. 

• Background information about the respondent and the school: Principal’s 

experience, current school involvement in other reform efforts, decision-making 

responsibility in areas such as curriculum and school organization, graduation 

requirements, staffing needs, parent involvement, and external partners. 

In addition to this school-level information, the survey also provides detailed information at the SLC 

structure level. To obtain a more detailed understanding of SLC implementation, the survey was 

structured to provide separate “modules” for each of the five major SLC structural approaches: career 

academies, freshman academies, house plans, magnet schools, and schools-within-a-school. Schools 

were instructed to complete modules for each SLC structure implemented. In addition, schools were 

asked to characterize, if applicable, their implementation of other common SLC approaches: block 

scheduling, career clusters, pathways or majors, adult advocates or mentors, teacher advisory 

programs, and teacher teams. The data by structure include student participation, degree of 

autonomy, teacher assignment, assessments, and level of decision-making. Copies of the two 

administered PIS surveys can be found in Appendix C. 

It should be noted that the PIS survey data are also based primarily on self-reported perceptions, and 

thus may reflect varying definitions of SLC implementation maintained by principals from school to 

school filling out the survey. As was the case with the APR, missing data from the survey were 

minimized by callbacks to the schools, requesting the information needed. 

Case Studies 

The case studies, based on two-day site visits conducted in fall 2002 with telephone follow-up 

interviews conducted in spring 2004, involved a total of 18 Cohort 1 schools that implemented their 

planned SLC programs in the form of either freshman or career academies. Information was 
Chapter 2: Study Design and Sample 29 

collected primarily in individual and group interviews with district and school program staff, teachers, 

parents, and students, and also by classroom observations.16 The case studies were designed to 

provide in-depth information about the implementation of restructuring practices in a sample of the 

SLC sites, as well as the factors facilitating or inhibiting successful implementation. The set of site 

visits provides answers to questions tailored to each school about its progress in SLC implementation, 

and elaborates upon topics covered more broadly in the PIS, such as the strengths and challenges 

schools face in their implementation of different SLC strategies; contextual data about the host 

districts and communities; and rationales and background information about why grantees have 

selected specific approaches for their own high schools.

Freshman academies and career academies were selected for more intensive study because they are 

the most commonly reported SLC structures among Cohort 1 schools. In selecting schools, we 

wanted to focus on those schools that were far along in the implementation process and who were 

involving all of their students eligible for participation (e.g., all ninth-graders in a freshman 

academy). Thus, two important criteria were initially adopted for the site selection process: 

• Student participation: Schools report that 100 percent of their ninth-graders were 

participating in a freshman academy program, or, in the case of career academies, schools 

report that 100 percent of students were participating in a career academy in at least one 

grade level. 

• Degree of SLC implementation: Schools report making considerable progress toward 

full implementation. In the case of freshman and career academies, the selection process 

initially stipulated that schools report on the PIS a 75 percent or greater level of progress 

towards full implementation based on their plans for their federally funded SLC program 

implementation. 

Unfortunately, the site selection criteria were too rigorous for most schools to meet. Of those 

employing career academies, only five schools met the above two criteria. We were able, however, to 

recruit an additional three schools adopting career academy approaches with participation rates of at 

least 75 percent in one or more grades and implementation rates of 50 percent or greater. In the case 

selected had a participation rate of 100 percent in its freshman academy, and reported that it had made 

65 percent progress toward full implementation. Thus, after an extensive recruitment process, we 

were able to include in the case studies a total of eight schools adopting career academy 

approaches and ten schools with freshman academies. 

It should be noted here that the schools reported on in this study only represent those schools 

receiving federal SLC funding in the first cohort. Thus, any results reported here pertain only to these 

schools and should not be used to make generalizations about implementation strategies being used in 

other restructuring schools that are not receiving federal SLC funding. 

This report focuses on the cohort of SLC schools that were eligible to start receiving funding in fall 

2000.17 Data included in the analyses are based on the fall 2001, fall 2002 and fall 2003 

 

16 A copy of the site-visit format that guided the content of the case studies can be found in Appendix D. 

17 All the schools received funds in FY2000 but only 60 percent of their award; the remaining 40 percent was awarded in 

FY2001 from FY2001 funds. Because schools will normally only expend 30 percent of the award in the first year this 

should not delay initiating the grant.
Chapter 2: Study Design and Sample 30 

administrations of the APR, the spring 2002 and fall 2003 administrations of the PIS, and the case 

studies of 18 schools implementing either freshman or career academies. 

School and Student Characteristics in Cohort 1 SLC Schools 

This section of the report describes school and student characteristics in Cohort 1 SLC schools 

compared to demographic characteristics of large schools nationwide for SY 2000–01.18 The data 

sources for Cohort 1 SLC schools are the APR and the SLC Awards Database (www.sedl.org/slc/), 

prepared by Southwest Educational Development Laboratory. We begin our discussion with a 

description of how the national comparisons were generated. 

Generating National Comparisons 

Data from the Common Core of Data, Public Elementary, Secondary School Universe Survey, 2000–

01 were used to generate a national comparison for the group of Cohort 1 SLC schools. Beginning 

with all schools in the sample (n=96,570), the dataset was first screened to include only those schools 

classified as regular, vocational, or other alternative, and only those schools classified as high schools 

or other. Next, the dataset was further restricted to match the SLC grant application stipulation that 

SLC grantees have students in grades 11 and 12 and have 1,000 or more students in grades 9 through 

12. Further, schools with grades 9–12 enrollments of 1,000 or greater that also enrolled students in 

elementary and middle school grades were excluded from the national comparison group because 

none of the Cohort 1 SLC schools had this configuration. The resulting national comparison group of 

large high schools is based on 4,733 schools.19 Variation in cell sizes is the result of missing data. 

Geographical Location 

The Cohort 1 SLC schools are located in 27 states across the country, depicted in Exhibit 2.2. As the 

map indicates, these schools represent all geographical regions in the U.S. Specifically, as shown in 

Exhibit 2.3, the schools are primarily concentrated in the West, representing one-third of the sample 

(the state of California alone accounts for 23 percent of the Cohort 1 schools). Over a fourth (27 

percent) of the schools are located in the South, with the remaining 40 percent of schools divided 

equally between the Midwest and Northeast. Compared to other large high schools nationwide, the 

sample of SLC schools is more heavily represented in the West, and conversely less heavily in the 

South (Exhibit 2.3). 

Almost all of the Cohort 1 schools (96 percent) are located either in or near urban areas. As Exhibit 

2.4 indicates, 60 percent of the Cohort 1 schools are located in either large or mid-size central cities 

(compared to a third of large U.S. high schools), with an additional large group of schools (36 

percent) located in suburban areas. Only 4 percent of the Cohort 1 schools are located in a rural or 

town setting (compared to 21 percent of large U.S. high schools). 

 

18 Appendix E, Exhibit E.1, contains summary demographic characteristics for Cohort 1 SLC schools from 1996–97 

through 2002–03. 

19 This group of large U.S. high schools also includes the SLC schools in our study. 
Chapter 2: Study Design and Sample 31

Exhibit 2.2 SLC Grantees—Cohort 1

Shaded states indicate states containing SLC Cohort 1 grantees. Individual grantees indicated by “*” symbol.Source: Abt Associates, Inc., 2007. 
Chapter 3: Implementation of Smaller Learning Communities 32 

Exhibit 2.3 

Geographical Regions of SLC Schools Compared to Large U.S. High Schools

34%

27%

20% 19%

25%

36%

22%

17%

0%

20%

40%

West South Midwest Northeast

Percent of Schools

SLC schools Large U.S. high schools

Exhibit reads: Thirty-four percent of SLC schools are located in the west, compared to 25 percent of 

large U.S. high schools. 

Source: Southwest Educational Development Laboratory–SLC Awards Database; Common Core of Data, 

Public Elementary and Secondary School Survey, 2000–01.

Exhibit 2.4 

Urbanicity of SLC Schools Compared to Large U.S. High Schools

3%

1%

3%

33%

24%

36%

12%

9% 10%

36%

18%

15%

0%

20%

40%

Rural,

inside/outside MSA

Large/Small town Urban fringe of

mid-size city

Urban fringe of

large city

Mid-size central

city

Large central city

Percent of Schools

SLC schools Large U.S. high schools

Exhibit reads: Three percent of SLC schools are located in a rural setting, compared to 12 percent of 

large U.S. high schools. 

Source: Southwest Educational Development Laboratory–SLC Awards Database; Common Core of Data, 

Public Elementary and Secondary School Survey, 2000–01.
Chapter 3: Implementation of Smaller Learning Communities 33 

School Size 

The 117 Cohort 1 SLC schools that completed an APR served a total of 228,944 students during the 

2000–01 school year. The average size of these high schools during that year was 1,957 students 

(median = 1,874), which, as shown in Exhibit 2.5, is larger than their reference group of large U.S. 

high schools (mean = 1,697, median = 1,554). Exhibit 2.6 summarizes the distribution of SLC 

schools in terms of school size and provides comparison data for all large U.S. high schools. As the 

exhibit shows, the majority of schools (54 percent) fall within the range of 1,500 to 2,500 students. 

Exhibit 2.5 

Demographic Characteristics of SLC Schools and National Comparisons With Large U.S. 

High Schoolsa

 SLC Schools Large U.S. High Schools 

n Mean Median 25th 

Percentile 

75th 

Percentile 

 n Mean Median 25th 

Percentile 

75th 

Percentile 

Total 

enrollmentb

117 1,957 1,874 1,402 2,216 4,733 1,697 1,554 1,251 1,983 

Percent of 

minority 

enrollmentc

117 57% 60% 29% 87% 4,492 33% 22% 7% 51% 

Percent of 

LEP 

enrollment 

117 11% 6% <1% 17% 3,897 9% 4% 1% 12% 

Percent of 

students with 

disabilities 

enrollment 

117 10% 10% 6% 14% 4,591 13% 12% 11% 14% 

Notes: a National comparisons of limited English proficiency (LEP) and students with disabilities enrollment 

 information were not available at the school-level. Rather, data were available at the district-level 

through the Common Core of Data, Local Education Agency Universe Survey, 2000–01. In order to 

generate estimates of percentage of student population that is LEP or is disabled, the district-level 

dataset was linked to the school-level dataset, restricted to contain only large high schools. In the 

case of multiple schools within one district, district-level data is present in the dataset for each 

school. Further, LEP or disabilities estimates were not able to be determined for high school 

students only. Rather, national estimates were created based on total district membership. That is, 

percentage of student body that is LEP was created by dividing the number of LEP students served 

in appropriate programs by the calculated total student membership of the local education agency. 

The estimate of percentage of students with disabilities was created similarly, using the number of 

students having a written Individual Education Plan as the numerator. 

 b National comparison calculated by summing total student enrollments in grades 9–12. Source: 

Common Core of Data, Public Elementary, Secondary School Universe Survey, 2000–01. 

 c Minority enrollment defined as the sum of the following race or ethnic categories: American Indian 

 or Alaska Native, African-American, Hispanic, and Native Hawaiian or Pacific Islander. National 

 comparison calculated by summing total minority student enrollments in grades 9–12 and dividing 

 by total student enrollment for which ethnicity was known. 

Source: Abt Associates, Inc., 2007 
Chapter 3: Implementation of Smaller Learning Communities 34 

Exhibit 2.6 

Total Student Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High Schools

30%

54%

11%

5%

46% 45%

8%

2%

0%

20%

40%

60%

1,000–1,499 1,500–2,499 2,500–3,499 3,500+

Number of students

Percent of Schools

SLC schools Large U.S. high schools

Source: Implementation Study of Smaller Learning Communities, SLC Annual Performance Report, 

SY 2000–01; Common Core of Data, Public Elementary and Secondary School Universe Survey, 

2000–01.

Exhibit reads: Thirty percent of SLC schools have between 1,000 and 1,500 students, compared to 

46 percent of large U.S. high schools. 

Ethnicity 

As displayed in Exhibit 2.7, across all Cohort 1 schools, over one-third of students are white, over 

one-fourth of students are Hispanic or Latino, and one-fourth are African-American or black. There 

is considerable variation among the Cohort 1 SLC schools in terms of minority enrollment. As 

indicated by Exhibit 2.8, the majority of schools are fairly heterogeneous with respect to minority 

enrollment. Close to two-thirds of the Cohort 1 schools (62 percent) are majority minority, that is, 

they have minority enrollments of 50 percent or higher. In contrast, only 10 percent of the schools 

have minority enrollments of less than 10 percent, whereas 17 percent are predominantly minority (90 

percent or higher). Exhibit 2.8 also displays the contrast with all large U.S. high schools, indicating 

that SLC schools have higher concentrations of minority students. 
Chapter 3: Implementation of Smaller Learning Communities 35 

Exhibit 2.7 

Percentage of Students by Race or Ethnicity in Cohort 1 SLC Schools, 2000–01

38%

30%

25%

5%

2%

0%

20%

40%

60%

White Hispanic African-American Asian Other

Percent of Students

Exhibit reads: Thirty-eight percent of students in SLC schools are white. 

Source: Implementation Study of Smaller Learning Communities, SLC Annual Performance Report, SY 2000–01.

Exhibit 2.8 

Minority Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High Schools

10%

28%

45%

17%

31%

43%

17%

8%

0%

20%

40%

60%

<10% 10–49.9% 50–89.9% 90–100%

Minority Enrollment

Percent of Schools

SLC schools Large U.S. high schools

Exhibit reads: Ten percent of SLC schools have minority enrollments of less than 10 percent, compared to 31 

percent of large U.S. high schools. 

Source: Implementation Study of Smaller Learning Communities, SLC Annual Performance Report, SY 2000–01; 

Common Core of Data, Public Elementary and Secondary School Universe Survey, 2000–01.
Chapter 3: Implementation of Smaller Learning Communities 36 

Other Demographic Characteristics: Limited English Proficiency and Students With 

Disabilities 

According to Exhibit 2.5, the Cohort 1 SLC schools serve, on average, somewhat fewer students with 

disabilities, but slightly more students who were classified as LEP or as English Language Learners 

(ELL) than large U.S. high schools. Exhibits 2.9 and 2.10 further present the distributions of LEP 

students and students with disabilities for SLC schools and large high schools nationwide. SLC 

schools are more likely than large U.S. high schools to have at least 10 percent of their student 

enrollment be classified as LEP. On the other hand, they are more likely to have fewer than 10 

percent students with disabilities. 

Exhibit 2.9 

LEP Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. High Schools

16%

43%

27%

14%

3%

67%

20%

10%

0%

20%

40%

60%

80%

0% 1–9.9% 10–24.9% 25%+

Limited English Proficiency Enrollment

Percent of Schools

SLC schools Large U.S. high schools

Exhibit reads: Sixteen percent of SLC schools have no LEP students enrolled, compared to 3 percent of large 

U.S. high schools. 

Source: Implementation Study of Smaller Learning Communities, SLC Annual Performance Report, SY 2000–01; 

Common Core of Data, Public Elementary and Secondary School Universe Survey, 2000–01.
Chapter 3: Implementation of Smaller Learning Communities 37 

Exhibit 2.10 

Students With Disabilities Enrollment of SLC Cohort 1 Schools, Compared With Large U.S. 

High Schools

13%

34% 36%

17%

1%

17%

61%

21%

0%

20%

40%

60%

<5% 5–9.9% 10–14.9% 15%+

Students with Disabilities Enrollment

Percent of Schools

SLC schools Large U.S. high schools

Exhibit reads: Thirteen percent of SLC schools have students with disabilities enrollments of less than 5 

percent, compared to 1 percent of large U.S. high schools.

Source: Implementation Study of Smaller Learning Communities, SLC Annual Performance Report, SY 2000–01; 

Common Core of Data, Public Elementary and Secondary School Universe Survey, 2000–01.

The data in this chapter indicate that Cohort 1 SLC schools are not necessarily representative of other 

large U.S. high schools. Namely, these schools are more likely to be located in western states and 

urban areas, are somewhat larger, and enroll higher percentages of minority and LEP students, but 

enroll smaller percentages of students with disabilities. The following chapter presents a detailed 

discussion of the implementation of SLCs across all Cohort 1 schools.
Chapter 3: Implementation of Smaller Learning Communities 38 
Chapter 3: Implementation of Smaller Learning Communities 39 

Chapter 3 

Implementation of Smaller Learning Communities, 

2000–03: Survey Results 

Introduction 

This chapter focuses on how high schools have used their federal funding to plan and develop SLC 

structures and strategies.20 Specifically, the chapter focuses on the following key implementation 

questions: 

• Why did schools decide to apply for SLC funding and to implement an SLC? 

• What structures and strategies have SLC schools implemented—e.g., freshman academy, 

career academy, block scheduling, mentors, etc.? 

• To what extent do the SLC activities undertaken by schools meet some of the goals of the 

SLC legislation,21 such as: 

− Developing strategies to create a more personalized high school experience for 

students to counter the effects of large, impersonal school structures? 

− Providing professional development for school staff in innovative teaching methods 

that challenge and engage students? 

− Including parents, business representatives, institutions of higher education, etc., as 

facilitators of activities and to provide links between students and their communities? 

• What factors have facilitated or inhibited implementation of SLCs? 

Data for this chapter come primarily from the Periodic Implementation Survey (PIS) administered in 

the fall of 2003, and focus on those activities taking place in the 2002–03 school year. 22 When 

reporting the reasons for applying for SLC funding or change over time (as in schools changing 

structures and strategies over time), we also use survey data from the 2001–02 school year, using the 

PIS administered in the spring of 2002. 

 

20 The findings in this chapter are reported, for the most part, at the school level. More detailed implementation findings, 

broken down by types of SLC structures employed, are presented in Appendix F. 

21 Public Law 107-110, the No Child Left Behind Act of 2001, Section 5441. 

22 The Annual Performance Reports (APR) completed in the fall of 2001, 2002, and 2003 are a supplementary source of 

data on which SLC structures and strategies schools are implementing. 
Chapter 3: Implementation of Smaller Learning Communities 40 

Note on Interpreting Implementation Findings 

As in every evaluation of comprehensive school reform efforts, change is best modeled as a dynamic 

incremental process, often requiring a gradual start-up period while schools develop and put into 

place an intervention. Therefore, results from implementation of these reform efforts often do not 

show up for several years, often after data collection has ended. For this reason, the results presented 

in this chapter should be viewed with caution, recognizing that implementation is a dynamic process 

and that it may take longer than a three-year period for structural changes to emerge. 

Why Have Schools Chosen to Apply for Federal SLC Funds and 

Implement an SLC? 

Most schools reported applying for SLC funds to increase overall student academic achievement (95 

percent of schools), academic achievement of at-risk students (90 percent), and student motivation 

(87 percent). Schools were far more likely to cite student academic or behavioral issues as major 

influences in their decision to implement an SLC program than issues external to the school (e.g., 

responding to state or district initiated testing or school reforms). The range of major influences on 

seeking SLC funding is discussed in detail below. 
Chapter 3: Implementation of Smaller Learning Communities 41 

Student Academic Performance 

The single factor deemed “very important” by nearly all respondents (95 percent) in applying for a 

federal SLC grant was student academic achievement, with at-risk students being a key focus of many 

respondents’ efforts (Exhibit 3.1). Eighty-one percent of schools applied for federal SLC funds in 

order to increase graduation rates, and nearly as many (77 percent) aimed to improve promotion 

rates—particularly 9th- to 10th-grade promotion—through some sort of personalization-oriented 

reform. Thus, although increasing student academic achievement motivated most schools, subsets of 

schools were focused on specific strategies (e.g., academic course-taking) as a means of encouraging 

achievement. 

Exhibit 3.1 

Percentage of Schools Indicating That Academic Factors Were Very Important in Deciding to 

Apply for SLC Funds (n=103)

49% 48% 46%

77% 74%

95% 90%

81%

0%

20%

40%

60%

80%

100%

Student

academic

achievement

Academic

achievement

of at-risk

students

High school

graduation

rates

Promotion

rates

Academic

course-taking

SAT/ACT testtaking ratesVocational

course-taking

Acquisition of

technical

skills

Percent of Schools

Exhibit reads: Ninety-five percent of SLC schools indicated that student academic achievement was 

a very important academic factor in deciding to apply for SLC funds. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2002, 

Section IA, Question 6: “How important were each of the following factors in your decision to 

apply for a federal SLC grant? Student academic factors” 
Chapter 3: Implementation of Smaller Learning Communities 42 

Student Behavior 

Increasing student motivation and morale, improving student-teacher relationships, and reducing 

dropout and absenteeism rates were the student behaviors most often cited as being very important to 

schools in deciding to apply for SLC funding. At least three-fourths of the SLC schools identified 

these as key reasons (Exhibit 3.2). 

Exhibit 3.2 

Percentage of Schools Indicating That Behavioral and Attitudinal Factors Were Very 

Important in Deciding to Apply for SLC Funds (n=102)

52%

43%

32%

76%

87% 85%

75% 75%

0%

20%

40%

60%

80%

100%

Student

motivation

Student-teacher

relationships/

interaction

Dropout rates Student morale Absenteeism Incidence of

student tardiness

Incidence of

student violence

Participation

rates in

extracurricular

activities

Percent of Schools

Exhibit reads: Eighty-seven percent of SLC schools indicated that student motivation was a very 

important attitudinal factor in deciding to apply for SLC funds. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2002, 

Section IA, Question 6: “How important were each of the following factors in your decision to 

apply for a federal SLC grant? Student behavioral/attitudinal factors” 

School and External Goals 

In addition to student goals, schools reported other goals within the school in their decision-making 

process. Nearly half of the PIS respondents (44 percent) indicated that teacher support for SLC 

reform was a major influence in the school’s decision to implement an SLC program (Exhibit 3.3). 

The decision to implement an SLC program was also often driven by broader influences outside of 

the school, such as the district or state. For example, more than half (54 percent) of the schools 

indicated that better preparation for state assessments was a major influence in their decision to 

implement an SLC program, and nearly half (49 percent) cited district-initiated school reform as the 

impetus for their decision (Exhibit 3.3). 
Chapter 3: Implementation of Smaller Learning Communities 43 

Exhibit 3.3 

Percentage of Schools Indicating That School and External Factors Had a Major Influence on 

Their Decision to Implement an SLC Program (n=103)

8%

14%

18%

54%

49%

44%

0%

20%

40%

60%

80%

100%

Need for better student

preparation for

mandated assessments

District-initiated school

reform

Teacher support State-initiated school

reform

Local employer interest City/town government

interest

Percent of Schools

Exhibit reads: Fifty-four percent of SLC schools indicated that the need for better student 

preparation for mandated assessments had a major influence on the decision to implement an SLC 

program. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2002, 

Section IB, Question 1: “How influential were the following factors in your decision to implement 

an SLC program?” 

What Structures and Strategies Have SLC Schools Implemented? 

The discussion in this section makes a distinction between SLC structures—innovations that require 

a substantial change to a school’s organization, such as assigning students and staff to subunits for 

much or all of the school day—and SLC strategies that reflect other less comprehensive approaches 

to personalizing education. SLC structures include career academies, freshman academies, house 

plans, magnet programs, and schools-within-a-school. The other personalization strategies include 

block scheduling, career clusters, pathways, adult advocates or mentors, teacher advisory programs, 

and teacher teams. The federal legislation allows and program guidance encourages, SLC grantees to 

implement the structures and strategies most applicable to their needs. 

Schools tended to implement multiple structures and strategies, with the most prevalent structures 

being career and freshman academies. Schools also changed over time, both in the number and types 

of SLC structures they were implementing. In the case of freshman academies, house plans, and 

career academies, schools involved a majority of their eligible students. Schools also chose to 

implement one or more SLC strategies, with block scheduling and teacher teams being the most 

popular choices. In almost all of these instances, a majority of a school’s students were involved in 

the strategies chosen by the school. 
Chapter 3: Implementation of Smaller Learning Communities 44 

Changes in SLC Structures Implemented Over Time 

The number of structures being implemented varied across SLC schools (Exhibit 3.4). Eighty-four 

percent of schools chose to implement some type of structure in the 2002–03 school year, with close 

to one-half of the schools (47 percent) implementing one structure, and over another third (37 

percent) implementing two or more structures. In contrast, 16 percent of schools did not implement 

any SLC structures in 2002–03 (down from 23 percent in 2001–02).23 On average, schools 

implemented 1.3 structures. This represented an increase over the previous school year, where 

schools reported implementing an average of 1.1 SLC structures.24

Exhibit 3.4 

Number of SLC Structure Types Implemented Across SLC Schools in SY 2002–03 (n=105)

Three or Four 

Structures

7%

No Structures

16%

One Structure

47%

Two Structures

30%

Exhibit reads: Thirty percent of SLC schools reporting implementing two SLC structures in the 

2002–03 school year. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003. 

Percentages based on number of respondents completing survey module corresponding to each type 

of SLC structure. 

Particularly noteworthy are the changes schools undertook in their implementation of SLC structures 

across the years of their grant. Exhibit 3.5 summarizes the types of SLC structures adopted by 

schools in both SY 2001–02 and 2002–03, taking into account that some schools were implementing 

 

23 Although these schools did not report implementing any SLC structures, they were involved in one or more SLCallowable strategies. 

24 It is also noteworthy that over two-thirds of the SLC schools (70 percent) either maintained or expanded their SLC 

programs over time. 
Chapter 3: Implementation of Smaller Learning Communities 45 

more than one structure. Across Cohort 1 schools, the most commonly implemented structures in SY 

2002–03 were academies, with more than one-third of schools (42 percent) reporting that they 

implemented career academies and more than one-half (55 percent) reporting that they implemented 

freshman academies. This represented an increase (17 percentage points) in the number of schools 

that had been implementing freshman academies in SY 2001–02. In terms of the other structures that 

schools could implement (schools-within-a-school, house plans, magnet schools), there was little 

change between the two school years, with only a small number of schools implementing these 

structures. 

Exhibit 3.5 

Percentages of SLC Schools Implementing Each Type of SLC Structure (n=105)

6%

10%

16%

55%

42%

38%

38%

7%

10%

14%

0% 20% 40% 60%

Magnet Schools

House Plans

Schools-within-a-School

Freshman Academies

Career Academies

Percent of Schools

2001–02

2002–03

Schools with:

Exhibit reads: Thirty-eight percent of SLC schools reported implementing career academies in the 

2001–02 school year. Forty-two percent reported implementing career academies in the 2002–03 

school year. 

Note: Percentages exceed 100 percent within a school year because schools may implement more than one SLC 

structure. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002 

and 2003. Percentages based on number of respondents completing survey module corresponding to 

each type of SLC structure.
Chapter 3: Implementation of Smaller Learning Communities 46 

Exhibit 3.6 presents a breakdown, by SLC structure, of the number of schools continuing, dropping or 

adding SLC structures from SY 2001–02 to SY 2002–03. In the case of schools that had in place 

career academies, freshman academies, or schools-within schools in SY 2001–02, most continued 

those structures through SY 2002–03. For example, 83 percent (33 out of 40) of schools 

implementing freshman academies in SY 2001–02 continued implementing them during the 

following school year. In the case of schools that had started implementing house plans and magnet 

schools in SY 2001–02, however, fewer than half of them had continued implementing these 

structures in SY 2002–03.25

Exhibit 3.6 

Changes in SLC Structures Over Time

SY 2001–02 SY 2002–03 

Career Academies 

(n=40) 

Continued (n=29) + New (n=15) = Total (n=44) 

Dropped (n=11) 

 

Freshman Academies 

(n=40) 

Continued (n=33) + New (n=25) = Total (n=58) 

Dropped (n=7) 

 

Schools-Within-aSchool (n=15) Continued (n=11) + New (n=6) = Total (n=17) 

Dropped (n=4) 

 

House Plans (n=11) Continued (n=4) + New (n=6) = Total (n=10) 

Dropped (n=7) 

 

Magnet Schools (n=7) Continued (n=3) + New (n=3) = Total (n=6) 

Dropped (n=4) 

Exhibit reads: Of the 40 schools implementing career academies in SY 2001–02, 29 continued 

implementing them in SY 2002–03. In addition, 15 schools not previously implementing career 

academies began to do so, and 11 schools dropped their academies. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002 

and 2003. 

As Exhibit 3.6 shows, a number of schools began implementing structures in SY 2002–03.26 For 

example, of those schools implementing career academies in SY 2002–03, 34 percent (15 out of 44) 

of these schools were implementing new structures. These findings indicate, therefore, a good deal of 

continuity in their SLC implementation on the part of schools with freshman academies, career 

academies, or schools-within-a-school. Schools that reported implementing house plans and magnet 

plans were more fluid in their implementation. 

 

25 It should be pointed out, however, that these percentages are based on relatively small sample sizes. 

26 In fact, of the 24 schools that had reported not implementing any structures in SY 2001–02, 62 percent of them reported 

implementing one or more SLC structures in SY 2002–03. Conversely, there were nine Cohort 1 schools (8 percent) 

that were implementing structures in SY 2001–02 but were no longer implementing them the following school year. 
Chapter 3: Implementation of Smaller Learning Communities 47 

Types of SLC Schools 

As we can see from Exhibit 3.5, the percentages of Schools implementing SLC structures exceed 100 

percent because schools may implement more than one SLC structure. When categorizing schools in 

terms of the unique combination of SLC structures implemented, the Cohort 1 schools broke down 

into five main groups: 

• Career academy schools. These are schools that report that they are implementing 

career academies, alone or in combination with other SLC structures excluding freshman 

academies. 

• Freshman academy schools. These are schools that report that they are implementing 

freshman academies, alone or in combination with other SLC structures excluding career 

academies. 

• Career academy or freshman academy combination schools. These are schools that 

report that they are implementing both career and freshman academies, alone or with 

combination with other structures. 

• Other structures. These are schools that report that they are only implementing other 

SLC structures such as house plans, schools-within-schools, or magnet schools, either 

alone or in combination with each other. 

• No structures. These are schools that report they are not implementing any SLC 

structures, but are involved in one or more SLC allowable strategies. 

Exhibit 3.7 displays the distribution of school types, broken down by combination of SLC structures, 

for Cohort 1 schools during the 2001–02 and 2002–03 school years. 

As presented in Exhibit 3.7, there was a marked increase from SY 2001–02 to 2002–03 both in the 

number of freshman academy schools (8 percentage point increase) and career academy or freshman 

academy combination schools (9 percentage point increase), in line with the dramatic increase in the 

number of schools adopting freshman academies in SY 2002–03 (see Exhibit 3.5). It is also 

noteworthy that schools with no SLC structures decreased in number from 23 to 16 percent between 

the two school years. 
Chapter 3: Implementation of Smaller Learning Communities 48 

Exhibit 3.7 

Types of SLC Schools, Categorized by Combination of SLC Structures Implemented (n=105)

26% 26%

12% 13%

23% 21%

34%

21%

16%

8%

0%

20%

40%

Career Academy

Schools

Freshman

Academy

Schools

Career

Academy/

Freshman

Academy

Combinations

Other Structures No Structures

Percent of Schools

2001–02 2002–03

Exhibit reads: Twenty-one percent of SLC schools in 2002–03 were implementing career 

academies, either alone or in combination with other SLC structures, excluding freshman academies. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2002 

and 2003. Percentages based on number of respondents completing survey module corresponding to 

each type of SLC structure. 

Student Participation in SLC Structures 

House plans, freshman academies, and career academies managed to involve a majority of their 

eligible students (Exhibit 3.8).27 For house plans, average student participation was 77 percent during 

the 2002–03 school year, down from 88 percent in the previous school year. Schools with freshman 

academies reported a high level of participation (78 percent on average) among their ninth-grade 

students. Participation rates for the other SLC structures, however, were slightly lower. Schoolswithin-a-school reported an average participation rate in the 2002–03 school year of 46 percent, 

remaining relatively unchanged from the level of the previous school year. Magnet schools on 

average had only a 41 percent participation rate (up from 15 percent in 2001–02). 

 

27 Average participation rates in SLC structures were derived from grade level percentages reported on the PIS from both 

the 2001–02 and 2002–03 school years. 
Chapter 3: Implementation of Smaller Learning Communities 49 

Exhibit 3.8 

Average Percentage of Eligible Student Enrollment in SLC Structures, in Schools 

Implementing Each Type of Structure

88%

80%

47%

43%

15%

77% 78%

46%

52%

41%

0%

20%

40%

60%

80%

100%

(n=11) (n-11)

House Plans

(n=40) (n=54)

Freshman

Academies

(n=15) (n=17)

Schools-Withina-School

(n=40) (n=44)

Career

Academies

(n=7) (n=6)

Magnet Schools a

Percent of Students

2001–02

2002–03

b

Exhibit reads: In SLC schools implementing house plans, 88 percent of students, on average, 

participated in a house plan during the 2001–02 school year. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2002, 

Module Question 4, and 2003, Module Question 5: “What percentage of the students at your school 

at each grade level participated in Career Academies?” 

Notes: a n refers to the number of schools implementing each SLC structure and reporting student 

 enrollment data for that year. 

b Due to changes to the PIS from 2001–02 to 2002–03, comparable data were not available on 

 freshman academies from this source. The participation rate for freshman academies is based on 

 data from the APR and was calculated by dividing the reported number of ninth-grade students 

 involved in freshman academies by the total number of students enrolled in the ninth-grade, in 

 schools implementing freshman academies. 

SLC Strategies Implemented and Student Participation 

In addition to SLC structures, schools used various SLC strategies. On average, schools reported 

using an average of 2.3 strategies during school year 2002–03, down from an average of 2.7 the 

previous year. Half of the SLC schools used a total of three or more strategies during school year 

2002–03, down from 60 percent of the schools the previous year. Schools thus appeared to be 

gradually shifting from the use of SLC strategies to a greater use of SLC structures over time, 

especially freshman academies. Exhibit 3.9 shows that the most frequently utilized strategies in 

2002–03 were block scheduling (58 percent of schools) and teacher teams (52 percent). Even the 

least frequently used strategy, teacher advisory programs, was used by a third of the schools. All of 

these strategies, however, decreased in their use compared to the previous school year. 
Chapter 3: Implementation of Smaller Learning Communities 50 

Exhibit 3.9 

Percentage of SLC Schools Implementing Each Type of SLC Strategy, Alone or in 

Combination With a Comprehensive “Structure” (n=105)

34%

37%

52%

47%

58%

37%

46%

60%

65%

67%

0% 20% 40% 60%

Teacher Advisory Programs

Adult Advocates/Mentors

Teacher Teams

Career Clusters/Pathways

Block Scheduling

Percent of Schools

2002–03 2001–02

Exhibit reads: Sixty-seven percent of SLC schools reported implementing block scheduling in the 

2001–02 school year. Fifty-eight percent reported implementing block scheduling in the 2002–03 

school year. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002 

and 2003, Other SLC Strategies Module, Question A: “Are you implementing this strategy/Were 

you implementing this strategy in 2002–03?” 

Note: Percentages do not add up to 100 percent within a school year due to schools implementing more than 

one SLC strategy. 

The highest percentages of students were involved in teacher advisory programs and block scheduling 

in 2002–03 (88 and 84 percent of the students in those schools implementing these strategies 
Chapter 3: Implementation of Smaller Learning Communities 51 

respectively).28 These percentages represented increases over what was reported in 2001–02. Each of 

the other strategies reached close to or more than half of the students in the schools implementing 

those strategies in 2002–03, also showing slight increases over reported percentage rates in the 

previous year (Exhibit 3.10). 

Exhibit 3.10 

Average Percentage of Total Student Enrollment in SLC Strategies, Where Strategies are 

Being Implemented

80%

76%

58% 58%

41%

60%

88%

84%

60%

46%

0%

20%

40%

60%

80%

100%

(n=70) (n=61)

Block Scheduling

(n=39) (n=36)

Teacher Advisory

Programs

(n=48) (n=39) Adult

Advocates

(n=68) (n=49)

Career

Clusters/Pathways

(n=63) (n=55)

Teacher Teams

Percent of Students

2001–02

2002–03

 Exhibit reads: In SLC schools implementing block scheduling, 80 percent of students, on average, 

 participated in block scheduling in 2001–02. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002 

and 2003, Other SLC Strategies Module, Question E: “What percentage of each grade participates 

in this SLC strategy?” 

Note: a n refers to the number of schools implementing each SLC structure and reporting student enrollment 

data for that year. 

 

28 Average participation rates in SLC strategies were derived from grade level percentages reported on the PIS from both 

the 2001–02 and 2002–03 school years. 
Chapter 3: Implementation of Smaller Learning Communities 52 

Meeting the Other Goals of SLC Legislation 

In this section, we consider the extent to which SLC activities undertaken by Cohort 1 schools meet 

some of the goals of the SLC legislation such as: 

• Increasing personalization of the high school experience for all students to counter the 

effects of large, impersonal school structures; 

• Providing professional development for school staff in innovative teaching methods that 

challenge and engage students; and 

• Including parents, business representatives, institutions of higher education, and others as 

facilitators of activities and to provide links between students and their communities. 

In addressing the goals of the SLC legislation, schools made a variety of choices depending on the 

specific purposes set for their SLC restructuring reforms, as well as on existing factors, which are 

discussed later in this chapter. 

Increasing Personalization 

Introduction 

A concern among schools is that student anonymity leads to a lack of student connection to or 

investment in learning, which in turn leads to student underachievement and dropping out. To combat 

student anonymity, schools commonly set as a goal that each student is known well by at least one 

adult within the school. As reported on in the previous section, large high schools employ a variety of 

SLC structures and strategies to personalize the learning experiences of their students. Although 

SLCs can take a variety of forms—career academies, house plans, and strategies such as block 

scheduling—they all share the common goal of enhancing personalization. 

SLC schools currently employ a number of mechanisms to achieve the goal of increased 

personalization, such as: 

• Formal mentoring programs linking students with faculty or other adults; 

• Individualized assessment strategies, such as the use of culminating projects and 

portfolios; and 

• Other changes made at the classroom or school level to foster smallness, such as changes 

in scheduling so that students maintain the same teachers across multiple years. 

All but two schools reported undertaking efforts to increase personalization. More schools were 

engaged in individualizing assessments and reducing class size (or reducing the total number of 

students for which a teacher was responsible) than creating intensive mentoring efforts. Half of the 

schools reported making significant efforts on at least one dimension of personalization. Of these, 

most schools were high on a single dimension (34 schools), but another 17 schools were high on two 

dimensions. A single school reported making significant efforts on all three dimensions. 

To measure personalization efforts within SLC schools, the PIS included a number of items to 

explore strategies currently being implemented. Exhibit 3.11 presents the group of PIS items used to 
Chapter 3: Implementation of Smaller Learning Communities 53 

measure the three mechanisms of fostering personalization. One set of questions collected 

information on the implementation and scope of formal mentoring programs within SLC schools. 

Teachers serve as advisors or mentors in 60 percent of the schools (as a result of SLC funding), 

whereas almost half (47 percent) of the SLC schools formally paired students with adult mentors with 

whom they meet individually (Exhibit 3.12). Within these latter schools, an average of two-thirds of 

students (67 percent) are formally paired with their mentors. These students meet with their mentors, 

on average, about twice a month, with half of these students meeting on at least a weekly basis. 

Exhibit 3.11 

PIS Items Used to Measure Three Components of Personalization

Formal mentoring programs linking students with faculty or other adults 

• Teachers serve as advisors or mentors 

• School has formal mentoring program 

• Percentage of students assigned to mentor 

• Frequency of student or mentor meetings 

Individualized assessment strategies, such as the use of culminating projects and portfolios 

• More varied student assessments used 

• Individualized assessments used throughout school 

• Individual assessments required for graduation 

Changes made at the classroom or school level to foster smallness, such as changes in scheduling 

so that students maintain the same teachers across multiple years 

• Students keep same homeroom teacher throughout high school 

• Independent study available in core academic classes 

• Cooperative learning focus integrated into curriculum 

• Student evaluations of teachers being used 

• Students taught by same cluster of teachers for multiple years 

• Classes smaller than before 

• Teachers responsible for smaller number of students than before 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003. 

Another set of questions collected additional information on the extent to which individualized 

assessments, such as portfolios and student exhibitions, are being used in SLC schools, generally and 

as requirements for graduation. As shown in Exhibit 3.12, individualized assessments are being used 

in three-quarters of the schools (76 percent). In close to two-thirds of the schools (64 percent), 

individual assessments are required for graduation, and in half of the schools, more varied student 

assessments are being used for grading or promotion decisions as a result of SLC funding. 

Lastly, respondents were asked whether as a result of federal SLC program funding, certain changes 

had been made at the school or classroom level to foster more faculty or student interaction. 

According to Exhibit 3.12, almost two-thirds of the schools (63 percent) reported integrating a 

“cooperative learning”29 focus into their curriculum as a result of SLC funding. More than one-third 

 

29 Although the PIS did not define the term “cooperative learning,” the term is generally understood among educators to 

refer to activities that involve students working together as partners or in small groups on defined tasks. 
Chapter 3: Implementation of Smaller Learning Communities 54 

of the schools reported students being taught by the same cluster of teachers for multiple years, and 

their teachers teaching a smaller total number of students than before (37 and 36 percent 

respectively). 

Exhibit 3.12 

Percentage of SLC Schools Reporting Specific Mechanisms to Foster Personalization 

(n=103)

21

22

32

36

37

47

60

63

64

76

19

0 20 40 60 80 100

Independent study is available in core academic courses

Student evaluations of teachers are being used

Students keep same homeroom teacher throughout high school

Classes are smaller than before

Each teacher teaches a smaller number of students than before

Students are taught by the same cluster of teachers for multiple

years

Students are formally paired with mentors

Teachers serve as advisors/mentors

A cooperative learning focus has been integrated into the

curriculum

Individualized assessments required for graduation

Individualized assessments used

Percent of Schools

Exhibit reads: Seventy-six percent of SLC schools reported that they used individualized assessment 

throughout their school. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003, 

Section A, Questions 3 and 4: “Indicate school-level and classroom-level SLC-type changes that 

have occurred as a result of federal SLC program funding.” Section D, Question 1: “During the 

2002–03 school year, did students within the SLC program have adult mentors with whom they 

were formally paired?” AND Section E, Question 2: “Was individualized assessment used 

throughout your whole school in 2002–03? and Question 3: “Was individualized assessment 

required for graduation from your school in 2002–03?” 

The remainder of the discussion on personalization moves beyond individual strategies to develop a 

model of an overall measure of personalization. The discussion is primarily descriptive, with a 

technical summary of the statistical methods included in Appendix G. 
Chapter 3: Implementation of Smaller Learning Communities 55 

Identifiable Personalization Strategies 

Schools tended to focus their efforts as part of receiving the SLC grant on only one of the areas of 

personalization. For example, a school might attempt to create more personalized learning for 

students through implementing a formal student-mentoring program while leaving classroom 

strategies relatively unchanged. Or, a school might implement block scheduling and cross-grade 

“looping”30 to affect how students are organized into classrooms, but not implement a formal 

mentoring program on top of this time-consuming endeavor. This hypothesis is supported by the 

finding that of the 12 dichotomously measured personalization strategies from Exhibit 3.11,31 schools, 

on average, implemented only between four and five discrete strategies, suggesting that schools may 

focus on one “pathway” to personalization rather than committing resources to all twelve. In 

addition, correlations (see Appendix G, Exhibit G.1) run among the variables measuring 

personalization suggested three substantive groupings: 

• Fostering individual student or staff relationships 

• Individualized assessment and classroom practices 

• Teacher teaming and class-size reduction 

Examination of the correlation matrix supported the hypothesis that variables should be grouped to 

create three different constructs for personalization. A variant of factor analysis called variable 

cluster analysis was subsequently used to separate variables into optimal groupings, confirming the 

three groupings identified in the correlation matrix. The final step of the analysis entailed the use of 

principal components analysis to optimally weight the contribution of each variable to its respective 

cluster in creating three continuous composite variables. These weights from the principal 

components analysis were then used to create composite variables to represent the three distinct types 

of personalization strategies in which schools could be invested. The process for creating the values 

for these composite variables is described in Appendix G. 

Distribution of School Personalization Efforts 

With the construction of these composite scores, subsequent analyses were conducted to examine the 

extent to which schools were working toward more personalized schools through any or all of the 

three pathways identified above. These analyses are captured in Exhibits 3.13 to 3.15, where the 

distribution of SLC schools is displayed on each of the three personalization composite variables. 

The distribution of SLC schools implementing formal mentoring strategies, as well as other strategies 

designed to foster student or staff relationships, is displayed in Exhibit 3.13. As noted earlier in this 

discussion, fewer than half of the schools had adopted formal mentoring arrangements as a way of 

fostering personalization. Exhibit 3.13 displays the range of involvement in mentoring strategies, 

from no involvement up to a high level of involvement. These labels reflect the relative scores 

attained by schools on this composite variable. As shown in the exhibit, close to half of the SLC 

schools (49 percent) have either little or no involvement in efforts to personalize education through 

either formal mentoring strategies, or other strategies designed to enhance student or staff 

 

30 “Looping” refers to an arrangement where students are scheduled with the same core of academic teachers for at least 

two years of instruction. 

31 Two of the 14 personalization indicators were not measured dichotomously: percentage of students assigned to 

mentors and frequency of student or mentor meetings. 
Chapter 3: Implementation of Smaller Learning Communities 56 

relationships. In contrast, less than one-fifth (19 percent) of the schools have a high level of involvement in this area. 

Exhibit 3.13 

Distribution of SLC School Involvement in Efforts to Personalize Education Through Strategies 

Fostering Individual Student and Staff Relationships (n=105)

6% 7%

19% 19%

49%

0%

10%

20%

30%

40%

50%

No Involvement Moderate

Involvement

High Involvement

Percent of Schools

Exhibit reads: Forty-nine percent of SLC schools have no or low involvement in efforts to personalize 

education through formal-mentoring strategies. 

Source: Multiple items from the Implementation Study of Smaller Learning Communities, Periodic 

Implementation Survey, 2003. See Appendix F for details of analysis. 

Exhibit 3.14 shows the distribution of SLC schools in terms of their efforts to personalize education 

through classroom restructuring and assessment strategies, such as making independent study 

available in core academic classes or using more varied student assessments for grading and 

promotion decisions. According to Exhibit 3.14, half (50 percent) of the schools have a moderate or 

higher level of involvement in this area. Although there are not many schools (5 percent) with a high 

level of involvement, there are also few schools (12 percent) that report no or low involvement in 

using these personalization strategies. 
Chapter 3: Implementation of Smaller Learning Communities 57 

Exhibit 3.14 

Distribution of SLC School Involvement in Efforts to Personalize Education Through 

Individual Assessment Strategies and Classroom Practices (n=105)

12%

19% 19%

22%

18%

5% 5%

0%

10%

20%

30%

40%

50%

No

Involvement

Moderate

Involvement

High

Involvement

Percent of Schools

Exhibit reads: Twelve percent of SLC schools have no or low involvement in efforts to personalize 

education through classroom structure and assessment strategies. 

Source: Multiple items from the Implementation Study of Smaller Learning Communities, Periodic 

Implementation Survey, 2003. See Appendix F for details of analysis. 

Finally, Exhibit 3.15 shows the distribution of SLC schools on efforts to personalize education 

through more structural strategies such as creating smaller classes and having students taught by the 

same cluster of teachers for multiple years. Close to half (47 percent) of the schools report at least a 

moderate level of involvement in this realm. Over a third, however (37 percent), report having no 

involvement in implementing these types of reforms. 
Chapter 3: Implementation of Smaller Learning Communities 58 

Exhibit 3.15 

Distribution of SLC School Involvement in Efforts to Personalize Education Through Teacher 

Teaming and Class-Size Reduction (n=105)

37%

16%

21%

16%

10%

0%

10%

20%

30%

40%

50%

No Involvement Moderate

Involvement

High Involvement

Percent of Schools

Exhibit reads: Thirty-seven percent of SLC schools have no or low involvement in efforts to 

personalize education through school structural and scheduling strategies. 

Source: Multiple items from the Implementation Study of Smaller Learning Communities, Periodic 

Implementation Survey, 2003. See Appendix F for details of analysis. 

Providing Professional Development to Teaching Staff 

Another goal of the SLC legislation was that schools provide professional development for school 

staff in innovative teaching methods that challenge and engage students. Providing SLC-related 

professional development was a key strategy used by schools for bringing about school change, as 

schools offered a wide range of professional development activities for their teaching staff. 

Most schools (89 percent) reported the availability of SLC-specific professional development for their 

instructional staff during the 2002–03 school year. This figure was down slightly from 99 percent of 

the schools in the previous school year.32 There was a broad range, however, in the amount of SLCrelated professional development schools actually provided for teachers (Exhibit 3.16). Across all 

SLC schools, teachers received, on average, a total of 26 hours of SLC-specific related professional 

development during the 2002–03 school year (down from 34 hours in 2001–02). Teachers in close to 

half of Cohort 1 schools (45 percent) received less than 16 hours of SLC-specific professional 

development. 

 

32 Some schools may have used up all their funding set aside for professional development by school year 2002–03. 
Chapter 3: Implementation of Smaller Learning Communities 59 

Exhibit 3.16 

Distribution of Average Number of Hours of Teacher Participation in SLC Program 

Professional Development Across SLC Schools (n=100)

0 hours

11%

16–30 hours

32%

31–45 hours

10%

46–60 hours

5%

>60 hours

8%

1–15 hours

34%

Exhibit reads: During the 2002–03 school year, 11 percent of schools offered no professional 

development specific to SLCs. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Section C, Question 2a: “On average, in 2002–03, how many hours of professional development 

specific to the SLC program did the teachers involved in your SLC program receive?” 

Note: Schools reported hours in terms of whole numbers. 

There was also great variety in the content of professional development offered, with the four most 

prevalent subjects being:33

• Tailoring instruction to individual student needs (95 percent of schools reported offering); 

• Subject matter content or curriculum (95 percent); 

• Problem solving and reasoning instructional methods (93 percent); and 

• Strategies for helping low-achieving students (90 percent). 

Also interesting to note is the professional development that was not available. More than one-third 

of the schools responded that they did not offer professional development in the areas of conflict 

 

33 These percentages represent schools that reported at least some percentage of SLC teachers involved in professional 

development. 
Chapter 3: Implementation of Smaller Learning Communities 60 

resolution (39 percent) and mentoring strategies (37 percent), with more than one-fourth also not 

offering professional development in the areas of team teaching (31 percent), adoption of SLCspecific curricula (30 percent), or interdisciplinary projects (26 percent). 

Exhibit 3.17 shows the distribution of professional development opportunities available to SLC 

teachers during the 2001–02 and 2002–03 school years. In 2002–03, professional development 

opportunities in which more than half of the staff was involved was more likely to be in one of four 

areas: subject-matter curriculum (56 percent of schools), strategies for helping low-achieving 

students (47 percent), new approaches to student assessment (43 percent), and tailoring instruction to 

individual needs (43 percent). This latter area represented an increase over 2001–02, when only 33 

percent of schools reported more than half of their staff involved. 
Chapter 3: Implementation of Smaller Learning Communities 61 

Exhibit 3.17 

Percentages of Schools Reporting a Majority (50 percent or more) of SLC Teachers 

Participating in Various Professional Development Opportunities (n=105)

21%

28%

47%

24%

56%

32%

30%

29%

43%

40%

39%

43%

24%

38%

42%

34%

55%

36%

30%

32%

33%

33%

36%

41%

0% 20% 40% 60%

Conflict resolution

Mentoring strategies

Strategies for helping low-achieving students

SLC-specific curriculum

Subject-matter curriculum

Interdisciplinary projects

Project-based instruction

Team-teaching methods

Tailoring instruction to individual needs

Cooperative learning techniques

Problem-solving/reasoning instructional methods

New approaches to student assessment

Percent of Schools

2001–02

2002–03

PEDAGOGICAL TECHNIQUES

CONTENT

STUDENT SUPPORT

 Exhibit reads: In 41 percent of SLC schools the majority of SLC teachers were involved in 

 professional development opportunities regarding new approaches to student assessment during the 

 2001–02 school year. During the 2002–03 school year, the majority of SLC teachers in 43 percent 

 of SLC schools were involved. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Surveys, 2002, 

Section C, Question 3, and 2003, Section C, Question 2b: “Please indicate the percentage of SLC 

teachers who participated in each professional development opportunity listed below during 2002–

03 (including summer 2002).” 

Including Community Representatives and Parents to Facilitate Activities 

A third goal of the SLC legislation stipulated including parents, business representatives, institutions 

of higher education, and other community resources as facilitators of schools’ SLC activities, as well 

as providing links between students and their communities. Schools reported having success in 
Chapter 3: Implementation of Smaller Learning Communities 62 

involving community representatives in their SLC activities. Those schools engaging external 

partners with their SLCs reported that they derived specific benefits for their students, including a 

range of career-related opportunities. Schools were also able to involve parents in school activities, 

and to a lesser extent, in the SLC program. 

Role of External Partnerships 

Schools have established external partnerships to work actively with their SLC programs. Eighty-two 

percent of schools reported having external partners working with their SLC during the 2002–03 

school year. This represented a significant increase over the previous year, when less than two-thirds 

of the schools (65 percent) reported having external partnerships. Exhibit 3.18 displays the various 

external-partnering arrangements made by schools over the last two school years of their SLC grant. 

About two-thirds of SLC schools reported establishing partnerships with businesses (74 percent), 

institutions of higher education (68 percent), community-based organizations (71 percent), and 

individual community members (64 percent). These figures all represent significant increases over 

what schools reported in the previous year.34

Exhibit 3.18 

Percentage of SLC Schools Reporting External Partners Working With Their SLC Programs 

(n=102)

74%

68% 71%

64%

41% 44%

54%

40%

0%

20%

40%

60%

80%

100%

Businesses/Local

Employers

Higher Education

Institutions

Community-based

Organizations

Individual Community

Members

Percent reporting external partners

2001–02 2002–03

Exhibit reads: Seventy-four percent of SLC schools reported that businesses or local employers worked with their 

SLC programs in 2002–03, versus 54 percent in 2001–02. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Surveys, 2002, Question E6a, 

and 2003, Question F1a: “Who were the external partners that worked with your SLC program?”

 

34 This may be partly attributable to the 2002 PIS asking schools whether they had external partners working 

“exclusively” with their SLCs, as opposed to the 2003 PIS, which only asked whether partners worked with their SLC 

programs, i.e., they also may have been working with the schools as a whole. 
Chapter 3: Implementation of Smaller Learning Communities 63 

Of the schools working with external partners, virtually all report that their SLC program receives one 

or more benefits from the partnership (Exhibit 3.19). Chief among the most frequently reported 

benefits are serving on school improvement teams or advisory committees (60 percent); serving as inschool volunteers (57 percent); sponsoring or participating in special events at school, such as career 

days (51 percent); and serving as mentors or career advisors (45 percent). 

Exhibit 3.19 

Percentage of SLC Schools Reporting Various Benefits Provided to Their SLC Programs 

Through External Partnerships (of those whose external partners work with their SLC 

programs) (n=84)

45%

51%

57%

60%

20%

15%

7%

33%

36%

0% 20% 40% 60% 80%

Collaborate with schools on post-secondary education and

training transition

Provide professional development (either on- or off-site)

Donate equipment/supplies, including curricular materials

Provide post-secondary scholarships

Provide school-to-work experiences (e.g., workplace visits,

internships, job opportunities)

Serve as mentors or career advisors

Sponsor or participate in special events held at school (e.g.,

career days)

Serve as in-school volunteers (e.g., classroom volunteers,

schoolwide volunteers)

Serve on school improvement teams and advisory committees

Percent of Schools

Exhibit reads: Sixty percent of schools reported their external partners serving on school improvement teams 

and advisory committees in 2002–03. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003, Section F, 

Question 1b: “For each of the following, please indicate which benefits were provided to your SLC program by 

your school through partnership(s) with external entities in 2002–03.”

Career-Related Opportunities for Students 

As a result of their external partnerships, schools were able to offer their students a number of careerrelated opportunities, most often on a schoolwide basis. Close to nine out of ten schools (88 percent) 

reported that they offered career-related opportunities on a schoolwide basis to students. The most 

prevalent form of career opportunity is community service learning, offered by over three-fourths of 
Chapter 3: Implementation of Smaller Learning Communities 64 

schools (77 percent) to their students (Exhibit 3.20). In addition, two-thirds of schools offer either 

internships (69 percent) or job shadowing (65 percent) on a schoolwide basis. 

Exhibit 3.20 

Percentage of SLC Schools Reporting the Availability of Various Career or Community 

Opportunities at the School Level (n=105)

77%

69%

65%

23%

0%

20%

40%

60%

80%

100%

Community Service

Learning

Internships Job Shadowing Residency/

Apprenticeship

Percent of Schools

Exhibit reads: In 77 percent of SLC schools, community service learning opportunities are available 

to students schoolwide. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Section E, Question 1: “During the 2002–03 school year, were the following opportunities available 

to students school-wide?” 

Role of Parents 

When asked about the extent of parent and family involvement in their schools and SLC programs 

during the 2001–02 school year, more than two-thirds of responding schools (70 percent) reported 

some form of parental input in their SLC program.35 As shown in Exhibit 3.21, parent and family 

involvement was generally targeted at the school as a whole, as opposed to being specific to the SLC 

program. During this second year of implementation, schools reported high levels of parental and 

family involvement school wide, with over three-fourths of the schools reporting parents and families 

participating in the parent-teacher organization (78 percent) and school governance (76 percent). 

Parental involvement in the SLC programs was much lower. The most frequently cited areas of 

involvement were parents participating in SLC student-centered events (54 percent) and student 

course plans (31 percent). 

 

35 This question was asked only for the 2001–02 school year. 
Chapter 3: Implementation of Smaller Learning Communities 65 

Exhibit 3.21 

Percentage of Schools Reporting Parental and Family Involvement Within Their SLCs and the 

School as a Whole (n=105) 

78% 76% 72%

57%

53%

27%

13% 13%

25%

54%

31% 30%

24% 20%

0%

20%

40%

60%

80%

100%

PTA School

governance

Studentcentered

events

Student

course plan

In-school

volunteers

Permission

for child's

assignments

Mentors

Percent of Schools

Schoolwide Within SLC

Exhibit reads: Seventy-eight percent of schools reported that parents or families participated in a 

parent-teacher organization, such as the PTA, within the school as a whole, as opposed to only 13 

percent of schools reporting involvement only with their SLC program. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2002, 

Section E, Question 5: “How have parents/families been involved with your SLC program and/or 

your school?” 

In summary, although most schools reported success in meeting some of the goals of the SLC 

legislation, only a minority was able to address all of the goals discussed in this chapter. In Chapter 6, 

we discuss further the overall extent of SLC implementation based on criteria tied to SLC legislative 

goals. 
Chapter 3: Implementation of Smaller Learning Communities 66 

Facilitating and Inhibiting Factors in SLC Implementation 

The previous section in this chapter described various implementation features of the Cohort 1 SLC 

schools in this study. This section first looks at a number of factors that could potentially be linked 

with implementation of a school’s SLC initiative, including a school’s prior involvement in SLC 

activities, the availability of external funding, and involvement in other SLC-related reform efforts. 

In addition, we look at a variety of organizational, instructional, and student and parent factors, which 

schools in general perceive as facilitating the implementation of their SLCs.36

Facilitating Factors in SLC Implementation 

Prior Involvement with SLCs 

The concept of SLCs was not new for a majority of the Cohort 1 SLC schools when they first became 

eligible to receive funding in SY 2000–01. Prior experience with SLCs is expected to facilitate the 

implementation of a new SLC grant. Exhibit 3.22 tracks the respective percentages of schools and 

students involved in SLCs over the time period of 1996 through 2003. Over three-fourths of these 

schools indicated that they had some form of SLC involvement (structure or strategy) prior to the 

initial funding year. Among those schools with prior involvement, upwards of two-thirds of their 

students were continuously involved in SLCs. 

External Funding 

Schools also reported the availability of other sources of funding to help support the goals of their 

SLC programs. For the 2002–03 school year, almost two-thirds (65 percent) of schools reported the 

existence of external funding. Moreover, schools reported receiving external funding from multiple 

sources: federal money other than SLC (82 percent of schools) and state and local funding (73 and 76 

percent, respectively). In addition, 59 percent of these schools reported external funding from private 

sources (e.g., philanthropic, foundation, for-profit, etc.). Given an expressed need by schools to 

expand existing staff and create additional space to accommodate their SLCs, the receipt of external 

funding in addition to SLC funds could have a positive effect on the implementation of their 

programs. 

Coordination with Other High School Reform Efforts 

Across all SLC schools, close to nine out of ten schools (88 percent) reported participating in other 

reforms as well. In particular, as shown in Exhibit 3.23, two-thirds of SLC schools report participating in standards-based reform (70 percent) and curriculum reforms (66 percent). Less than half of 

the schools (42 percent) were concurrently participating in one or more comprehensive high school 

reform models.37

 

36 This section reports on a number of facilitating and inhibiting factors in implementation across all Cohort 1 SLC 

schools. In Chapter 4 we elaborate on facilitating and inhibiting factors as they pertain specifically to career and 

freshman academies. 

37 The specific names of comprehensive school reform models were also requested in the 2003 version of the PIS. 

Among the schools engaged in other comprehensive school reform efforts (n = 44), the most commonly mentioned 

reform models were Talent Development (16 percent), High Schools That Work (16 percent) and First Things First (14 

percent). However, 36 percent of these schools did not specify an easily recognizable school reform model name. 
Chapter 3: Implementation of Smaller Learning Communities 67 

Exhibit 3.22 

Percentage of SLC Schools and Students Involved in SLC Structures and Strategies, Before 

and After Federal Fundinga

68 68

73

77

57

64 63

67 67 68

73

100 100 100

0

20

40

60

80

100

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent

Percent schools reporting SLC

involvement

Percent students involved in SLC in

schools reporting SLC involvement

Receipt of federal SLC funds

Exhibit reads: During the 1996–97 school year, 68 percent of schools were involved in SLC 

structures and strategies even prior to receiving federal SLC funds in 2000 or 2001. Beginning in 

2000–01, all schools were involved in SLC structures and strategies. 

Source: Implementation Study of Smaller Learning Communities, Annual Performance Report, 1996–03, 

Section 2: Data collected on the number of students enrolled in the school and the number of 

students involved in SLCs. (Data for school years 1996–97 through 1999–00 were collected on a 

retrospective basis in fall 2001.) 

Note a: Ns range from a low of 112 in 1996–97 to a high of 117 in 2000–01. 

Given that multiple reform efforts in a school may have competing agendas and may conflict with 

each other, the extent to which other reform efforts are coordinated with the SLC initiative could be 

important in facilitating SLC implementation. In fact, coordination of other reforms with the SLC 

program was generally quite high, ranging from a low of 61 percent for standards-based reforms to a 

high of 77 percent of schools instituting other comprehensive high school reform models (Exhibit 

3.23). 
Chapter 3: Implementation of Smaller Learning Communities 68 

Exhibit 3.23 

Percentage of SLC Schools Engaged in Other School Reform Efforts (n=105)

70% 66%

52% 48%

42%

61% 65% 69%

62%

77%

0%

20%

40%

60%

80%

100%

Standardsbased reformsCurricular

reforms

School climate

reforms

Discipline Comprehensive

high school

reform models

Percent of Schools

Participated in other school reform efforts

Coordinated other school reform efforts with SLC program

Exhibit reads: Seventy percent of schools participated in standards-based reforms. Of those schools 

participating in standards-based reform models, 61 percent coordinated these reforms with their SLC 

programs. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Question E5: “Please indicate whether your school implemented reform efforts in 2002–03 in any 

of the areas listed. Indicate whether they were coordinated with your SLC program.” 

Organizational and Instructional Factors 

One of the most important factors in a school’s ability to implement structural change is the 

availability and use of professional development for teachers. Our survey data point to the critical 

nature of professional development as a support mechanism for teachers as they assume new roles or 

take on new responsibilities in the SLC program. Overwhelmingly, 80 percent of schools reported 

the availability of professional development specific to the facilitation of the SLC as a positive factor 

on implementation (Exhibit 3.24). 

In addition, more than two-thirds of schools reported the pedagogical practices of their staff (73 

percent) as well as expertise on the part of their faculty (69 percent) to have a positive influence on 

SLC implementation. Teacher attitudes were similarly important, with more than three-fourths of 

schools (76 percent) reporting this as having a positive influence. 
Chapter 3: Implementation of Smaller Learning Communities 69 

Exhibit 3.24 

Percentage of SLC Schools Reporting Positive Influence of Selected Factors on 

Implementation of SLC (n=105)

50%

58%

63%

65%

67%

69%

70%

73%

76%

80%

0% 20% 40% 60% 80% 100%

State/District standard(s) or curricululm requirements

Characteristics of student population

Adequacy of curriculum

Parental/Family attitudes

Time for common teacher planning

Faculty expertise

Resources, including instructional materials

Pedagogical practices of existing staff

Teacher attitudes

Professional development specific to facilitation of SLC

Percent of Schools

Exhibit reads: The availability of professional development specific to the facilitation of the SLC 

was reported by 80 percent of the schools as having a positive influence on implementation of their 

SLCs. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003, 

Section B, Question 1: What influence did each of the following factors have on your school’s 

implementation of the SLC program in the 2002–03 school year?” 

Schools cited state or district standards or curriculum requirements as having a positive influence on 

the implementation of their SLCs.38 As reported earlier in this chapter, more than half of these 

schools (53 percent) cited district- or state-initiated school reform as having a major influence on their 

decision to implement an SLC. When these schools were in their third year of implementation, onehalf (50 percent) cited state or district requirements as having a positive influence on implementation 

of their SLC programs (Exhibit 3.24). Close to or more than two-thirds of schools reported the 

availability of resources, including instructional materials (70 percent), having time for common 

teacher planning (67 percent), and adequacy of their curricula (63 percent) as having a positive 

influence on their SLC implementations. 

 

38 In Chapter 4 we elaborate further on the separate roles of the state and district in influencing implementation in schools 

with career or freshman academies. 
Chapter 3: Implementation of Smaller Learning Communities 70 

Student and Parent Factors 

Schools also see parental involvement as a facilitating factor in SLC implementation. As shown in 

Exhibit 3.24, close to two-thirds of SLC schools (65 percent) reported parental or family attitudes as 

having a positive influence on implementation of their SLC programs.39 In addition, the 

characteristics of a school’s student population is seen by more than half of the SLC schools (58 

percent) as having a positive influence on the implementation of their SLC programs. 

Inhibiting Factors in SLC Implementation 

Schools also report a number of factors that they perceived to have a negative influence on SLC 

implementation. These inhibitors include structural challenges, such as issues with physical space as 

well as school staffing needs, especially in terms of core academic teachers and guidance counselors. 

Over one-third of schools (37 percent) perceived scheduling or logistics issues around the operation 

of their SLCs to be a negative influence on SLC implementation. More than one-fourth of schools 

(27 percent) reported issues with physical space or facilities as potentially inhibiting the 

implementation of their SLC programs (Exhibit 3.25).40 Finally, 16 percent of the schools report the 

departmental organization of the school as negatively affecting their SLC implementation.41

Most schools reported that district hiring policies and teachers union attitudes neither helped nor 

hindered implementation, but they were cited as negative factors by a small number of schools 

Exhibit 3.25). These factors could have serious implications in terms of school staffing needs. 

 

39 In contrast, as reported earlier in this chapter, when asked about the extent of parental and family involvement in their 

schools, 30 percent of responding schools reported no formal parental input in their SLC. 

40 In Chapter 4 we discuss further the issue of physical space and facilities issues as they specifically pertain to career and 

freshman academies. 

41 Although 86 percent of schools report maintaining subject-based departments as part of their school organization, it 

appears as if only a small minority of schools report that this organizational structure impedes their ability to reorganize 

student and teacher populations effectively. 
Chapter 3: Implementation of Smaller Learning Communities 71 

Exhibit 3.25 

Percentage of SLC Schools Reporting Negative Influence of Selected School-Level Factors 

on Implementation of SLC (n=105) 

37%

27%

17% 16%

13%

0%

10%

20%

30%

40%

50%

Scheduling/

logistics issues

about operation

of an SLC

Physical

space/facilities,

capacity to

operate an SLC

program

Teachers' union

attitudes

Departmental

organization of

the school

District hiring

policies

Percent of Schools

Exhibit reads: Thirty-seven percent of schools reported that scheduling or logistics issues had a 

negative influence on implementation of their SLCs. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003, 

Section B, Question 1: What influence did each of the following factors have on your school’s 

implementation of the SLC program in the 2002–03 school year?” 

Almost universally, schools reported that even without the additional demands of an SLC program, 

they do not have enough staff. As shown in Exhibit 3.26, two-thirds (68 percent) of schools reported 

that they need more core subject teachers, and almost two-thirds (64 percent) reported a need for 

guidance counselors and other professional support staff integral to the operation of the SLC. As 

shown in the exhibit, however, only a small minority of those schools reporting staffing needs 

indicated that their needs were “great.” In addition, of those schools indicating at least some staffing 

need in general, fewer than half attributed an increased staffing need to their SLC programs. 
Chapter 3: Implementation of Smaller Learning Communities 72 

Exhibit 3.26 

Percentages of SLC Schools Reporting Various Staffing Needs (n=101) 

52% 49% 49%

45% 45%

35%

16%

12% 13%

19%

12% 13%

0%

20%

40%

60%

80%

Core academic

subject teachers

Elective academic

subject teachers

Special education Guidance

counselors and/or

other professional

support

Vocational subject

teachers

Bilingual

education

Percent

Some staffing need Great staffing need

Exhibit reads: Fifty-two percent of SLC schools reported having some need in the area of core 

academic subject teachers in 2002–03. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003, 

Section C, Question 4: “Please indicate the extent to which your school had staffing needs in each 

of the following areas in 2002–03.” 

The discussion in this chapter has provided a comprehensive look at the diversity in the types of 

structures and strategies that Cohort 1 SLC schools have chosen to implement, the extent to which 

schools have tried to meet some of the goals of the SLC legislation, and the factors reportedly 

influencing SLC implementation. In the following chapter we present a detailed discussion of the 

implementation of career and freshman academy programs in SLC schools. 
Chapter 4: Implementation of Career and Freshman Academies 73 

Chapter 4 

Implementation of Two Common SLC Structures: 

Career and Freshman Academies 

Introduction 

This chapter focuses on the two most commonly found SLC structures—career and freshman 

academy programs. The discussion centers on three research questions: 

• To what extent do career academies funded under the federal legislation include key 

elements described in the federal program guidance and reflect the overall program 

model? 

• To what extent do freshman academies funded under the federal legislation include key 

elements described in the federal program guidance and reflect the overall program 

model? 

• Given the variability in implementation of career and freshmen academies, what factors 

have affected implementation? 

When discussing implementation, we have focused on the extent to which career and freshman 

academy programs have implemented key structural and programmatic features consistent with 

federal SLC program guidance. We identified career and freshman academy programs based upon 

the section(s) of the 2003 PIS that they completed. Schools were asked to identify the number of 

students in each academy program as well as other structures and strategies in their Annual 

Performance Report. The PIS definitions are the same as those in the APR. Because these academies 

were pulled into the sample based upon their survey responses, schools may have implemented these 

structures alone, in combination with strategies (e.g., block scheduling), or in tandem with another 

academy type.42 Survey data for this chapter are drawn from the 2003 PIS, describing the sample of 

44 Cohort 1 schools with career academies and 58 schools with freshman academies. We are using 

the 2003 PIS because it provides the most recent data on implementation. The survey data are 

supplemented with data obtained during site visits and through telephone calls with ten SLC schools 

with freshman academies and eight schools with career academies. Overviews of schools visited are 

contained in Appendix H. 

In assessing the degree to which SLCs achieved desired implementation, we specify three categories: 

high implementing schools, moderately implementing schools, and low implementing schools. The 

categories are specified below and are based on schools’ reported success in implementing a 

combination of the key features of career and freshman academies. Among the 44 career academies 

with federal funding, eight are high implementers, 26 are moderate implementers, and ten are low 

implementers. Among the 58 freshman academies in the study, 33 are high implementers, 13 are 

moderate implementers, and 12 are low implementers. 

 

42 A number of schools (n=22) have both career and freshman academy programs. Therefore, these schools appear in our 

descriptions of both career and freshman academy programs. 
Chapter 4: Implementation of Career and Freshman Academies 74 

Key Features of Career Academy Implementation 

The following discussion focuses on the extent to which the following key features of career 

academies have been implemented across the 44 career academy schools in Cohort 1: 

• Some separate identity from the rest of the high school; 

• Integrated academic and vocational instruction; 

• Work-based learning for students; 

• Common planning time for teachers; and 

• Enrollments that reflect the demographics of the overall student body. 

We have judged these implementation features to be at the center of the career academy definition 

provided by the Department of Education. Using PIS data, we identified several variables that align 

with this definition of career academies (Exhibit 4.1). We present descriptive data from the 2003 PIS 

for all Cohort 1 schools with career academies, supported with examples from the eight career 

academy case studies. 

Separate Identity for Career Academies 

Career academies have tried to establish a distinct identity for the entire program, as well as for 

individual career academy groups. Schools have crafted this separate identity by creating separate 

physical space for the career academy program, and scheduling students to take the majority of their 

courses within a career academy. Schools are more likely to create separate space for academy 

groups than to schedule students into career academy-exclusive groups. According to PIS data, 86 

percent of schools have created some separate instructional areas for their career academy groups 

(Exhibit 4.2). Only 14 percent of schools, however, have created a master schedule to allow students 

to take all their courses within the academy group. Overall, 11 percent of career academies have been 

able to create separate instructional space and a schedule for students to take all their courses within 

the academy structure. In addition, students in career academy programs, on average, take 

approximately two-thirds (62 percent) of their academic courses within the academy structures. 

In the case study schools, career academies have tried to build a program separate from the rest of the 

school by creating communities of teachers and students that are interested in common topic areas, 

and creating separate instructional areas for these teachers and students. 
Chapter 4: Implementation of Career and Freshman Academies 75 

Exhibit 4.1 

PIS Variables Describing Key Features of Career Academy Implementation (number of 

schools with career academies responding to each item)

Measures of Career Academy Separateness 

Percent of course load taken within the career academy (n=42) 

Percent of school day spent in career academy area (n=43) 

All courses are taken within the academy (n=43) 

Career academy has some separate instructional areas (n=43) 

Career academy has autonomy over its: 

Budget (n=43) 

Staff (n=43) 

Instructional leadership teams (n=43) 

Operating procedures (n=43) 

Discipline policies (n=42) 

Career academy has sole decision-making power (or shares decision-making power with school) 

regarding: 

Course offerings (n=42) 

Selection of instructional materials (n=42) 

Assignment of students to teachers (n=42) 

Daily/weekly schedule (n=42) 

Academy organization (n=41) 

Budget allocation (n=42) 

Hiring for academy positions (n=42) 

Measures of Integration of Academic and Vocational Instruction 

Career academy offers courses that integrate academic and vocational instruction (n=43) 

Number of integrated courses has not decreased since SLC funding (n=39) 

Career academy offers courses specific to the SLC theme (n=43) 

Number of SLC specific courses has not decreased since SLC funding (n=36) 

Career academy has career/vocational course requirements (n=43) 

Measures of Work-Based Learning Opportunities 

The following are available to career academy students: 

Job shadowing (n=42) 

Internships (n=43) 

Community service learning (n=41) 

Residency/apprenticeships (n=36) 

The following are graduation requirements for career academy students: 

Co-op or credit work (n=41) 

Service learning/volunteer work (n=42) 

Measures of Common Planning Time 

Teachers have common planning time for career academy program activities (n=42) 

Teachers have common planning time once per week or more (n=42) 

Measures of Student Demographics 

Career academy does not have statistically significant differences between each academy and the 

school as a whole regarding students’ demographic characteristics 

Race (n=35) 

Gender (n=35) 

LEP status (n=26) 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003. 
Chapter 4: Implementation of Career and Freshman Academies 76 

Exhibit 4.2 

Percentage of Schools With Career Academies Reporting Separate Features for Academy 

Program (n=43)

86%

14% 11%

0%

20%

40%

60%

80%

Separate Instructional Areas All Courses Taken within

Career Academy

Separate Instructional

Space and Students Taking

All Courses within the

Academy

Percent of Schools with Career Academies

Exhibit reads: During the 2002–03 school year, 86 percent of schools with career academy 

programs reported a separate instructional space for the academy. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 10: “In 2002–03, was there a separate physical space set aside 

for students in the career academy program at your school?” AND Question 13: “In the 2002–03 

school year, did students enrolled in each career academy take all of their courses within their own 

career academy?” 

Autonomy Over SLC Program Policies 

To allow career academy programs to develop and grow with some independence, schools have 

granted academies some degree of discretion over policies and operations. Career academies are 

likely to have autonomy over staff decisions and the creation of instructional leadership teams. They 

are less likely to have autonomy over decisions related to operating procedures, the program’s budget, 

and discipline policies. Very few career academies have been able to garner autonomy over all the 

program features measured; only 17 percent of career academies have gained autonomy over all five 

of these program features (Exhibit 4.3). We should note that complete autonomy may be neither 

desirable nor needed. If a high school has effective disciplinary policies, for example, there may be 

no need for career academies to create their own. 
Chapter 4: Implementation of Career and Freshman Academies 77 

Exhibit 4.3 

Percentage of Schools With Career Academies Reporting Autonomy Over Program Features 

(n=42)

79% 77%

63%

56%

45%

17%

0%

20%

40%

60%

80%

Staff Instructional

Leadership

Teams

Operating

Procedures

Budget Discipline

Policies

All Program

Features

Percent of Schools with Career Academies

Exhibit reads: During the 2002–03 school year, 79 percent of schools with career academy 

programs had autonomy over staffing decisions. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 9: “In 2002–03, did your school’s career academy program 

have its own: budget, staff, instructional leadership teams, operating procedures, discipline 

policies?” 

Career academy programs were likely to develop combinations of autonomous features. For 

example, 30 percent of career academies have autonomy over all program features, except for the 

program’s budget. An additional 23 percent of programs have autonomy over three of the five 

program features; the most common combination of these autonomous features is schools reporting 

autonomy over staff, instructional leadership teams, and budget. Still other career academies report 

autonomy over two of these program features. 

If the career academy program does not have exclusive decision-making power, it often shares 

decision making with the school administration. According to PIS data, career academies are most 

likely to be exclusively responsible, or hold joint responsibility with the school’s administration, for 

decisions related to the program’s budget allocation, academy organization, the selection of instructional materials, and the assignment of teachers to students. Career academies and schools are less 

likely to hold decision-making authority for course offerings and hiring staff for academy positions. 

Overall, 20 percent of career academy programs report exclusive or shared decision-making power 

over all of the program decisions we tracked (Exhibit 4.4). Similar to the autonomy programs have 

gained over program features, career academies have also developed patterns of combinations in 

terms of decision-making authority with schools. For example, 43 percent of career academies have 

sole or shared decision-making power over at least four of these program features, typically academy 
Chapter 4: Implementation of Career and Freshman Academies 78 

organization, the selection of instructional materials, the assignment of students to teachers, and 

allocation of funds within the program’s budget. 

Exhibit 4.4 

Percentage of Schools With Career Academies Reporting Sole or Shared Decision-Making 

Power With School (n=41)

67% 65% 64%

57%

52%

45% 45%

20%

0%

20%

40%

60%

80%

Budget Allocation Academy

Organization

Selection of

Instructional

Materials

Assignment of

Students to

Teachers

Daily/Weekly

Schedule

Course Offerings Hiring for

Academy

Positions

All Program

Decisions

Percent of Schools with Career Academies

Exhibit reads: During the 2002–03 school year, 67 percent of schools with career academy 

programs had sole or shared decision-making power with the school regarding budget allocation. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 18: “For each of the following, at which level were decisions 

made during 2002–03?” 

Our case study data reinforce the critical importance of autonomy in a school’s ability to restructure 

into career academies. School officials reported that they must have a substantial degree of control 

over their own reform process to achieve effective implementation. Teachers’ perceptions that 

reforms are externally mandated can alienate staff and reduce teacher buy-in, often leaving staff 

feeling that they have no voice in the future direction of the school. Second, each academy needs a 

certain degree of autonomy to establish its own thematic identity and create a sense of belonging for 

students and teachers. The following example illustrates one school’s attempt to establish themebased academies. 
Chapter 4: Implementation of Career and Freshman Academies 79 

Establishing Themes 

One Midwestern school with 1,200 students has divided into four themed SLCs: Health and 

Sciences, Community and Culture (Humanities), Performing and Visual Arts, and ROTC and 

Business. Each SLC has both unthemed academic core courses (English, math, science, and 

social studies and history) and elective courses linked to career pathways. The SLC units 

themselves are still in the process of establishing themed identities, using events and SLC activities 

in place of curricular changes. For example, the Community and Culture SLC held two events 

during our two-day visit: bringing in an invited speaker, author Kent Haruf, after the entire SLC had 

read one of his novels (Plainsong); and holding a dedication of a Vietnam memorial in the C and C 

hallway, with speeches by local dignitaries and the unveiling of a commemorative plaque students 

had made. Meanwhile, the Visual and Performing Arts SLC attended a performance by the Alvin 

Ailey Dance Company. Many students and staff commented that the SLCs are still struggling with 

the theme identities and figuring out how to work together. Their approach seeks to build on the 

success and cohesiveness of these events to make more substantial changes to the SLC program.

Integration of Academic and Vocational Instruction 

Career academy programs have begun to integrate traditional academic courses and more innovative 

career courses that may be related to the academy theme. According to PIS data, a high percentage of 

career academy programs report that they offer courses that integrate academic and vocational 

instruction. In addition, a lower percentage of programs report courses specific to the SLC theme are 

offered. An even smaller, but still substantial, number of career academies have implemented career 

and vocational course graduation requirements (Exhibit 4.6). 

Fifty-seven percent of career academies report having implemented courses that integrate academic 

and vocational instruction, are specific to the SLC theme, and require career courses for graduation 

(Exhibit 4.6). An additional 36 percent of career academy programs have implemented two of these 

three types of integrated courses. These schools are most likely to have implemented courses that 

integrate academic and vocational instruction and courses that are specific to the SLC theme, but have 

not implemented graduation requirements that include career and vocational course requirements. 

Data from the case study visits reveal that career academies have taken one of two approaches to 

integrating academic and vocational instruction: (1) career-related courses as electives, or (2) 

integrating career themes in core academic courses. Most schools tended to offer core academic 

courses at each grade that cross career academy boundaries; they then organized career-specific or 

career-related courses as a set of electives from which students could choose to specialize in one area. 

Very few career academies in the case study sample have actually infused career-related themes into 

core academic classes. 
Chapter 4: Implementation of Career and Freshman Academies 80 

Exhibit 4.6 

Percentage of Schools With Career Academies Reporting Integration of Academic and 

Vocational Instruction (n=43)

95%

88%

79%

57%

0%

20%

40%

60%

80%

100%

Courses Integrate

Academic/Vocational

Instruction

Courses Specific to

SLC Theme

Career/Vocational

Course Graduation

Requirements

All Integrated

Courses

Percent of Schools with Career Academies

Exhibit reads: During the 2002–03 school year, 95 percent of schools with career academy 

programs offered courses that integrate academic and vocational instruction. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 14: “In column A, please indicate whether the following types 

of courses were offered in your career academy in 2002–03. In column B, please indicate whether 

the number of course offerings for students in the career academy has changed since SLC funding 

began.” AND Career Academy Module, Question 16: “Were any of the following required for 

graduation within the career academy in 2002–03?” 

Although teachers reported wanting to introduced career-related applications from related careers into 

the core academic courses and provides themed electives in the upper grades: only one school did. At 

that school, students began to learn high technology skills in both their core academic and technical 

classes with Internet-based assignments, and completed assignments using Microsoft Office Suite and 

industry-specific technology. In the school’s 10th-grade Pathways class (a licensed, project-based 

learning curriculum), students produced portfolios in multimedia technology, digital manufacturing, 

business presentation, and desktop publishing. The school was able to provide such a focused 

curriculum because it was becoming a small autonomous high school and was not required to 

duplicate the broad range of curricular opportunities available at the two comprehensive high schools 

in its district. It also had a relatively small staff and student body and a limited scope of curricular 

offerings. 
Chapter 4: Implementation of Career and Freshman Academies 81 

High Standards and Cutting-Edge Technology for All 

One stand-alone career academy has been able to combine college-prep level courses with highlevel relevant technical skills. The school’s mission is “to prepare our students for a future in which 

expanded core knowledge in digital and visual literacy, inventive problem solving, critical thinking, 

and teaming will combine with traditional foundations of academics.” Teachers and administrators 

actively reinforce their expectation that students will graduate and attend college. The school has 

been able to achieve this by making several strategic decisions. First, the administration chose to 

hire highly qualified technology professionals to teach any computer-based application courses that 

the school offered. Next, the director of the school made high academic expectations the first order 

of business; he has established a public expectation that “all students will graduate, and all 

graduates will attend college.” Thus far, of the two previous classes, 100 percent of the students 

have graduated, and 100 percent have gone on to college (the director estimates that only about 

30 percent were planning to go to college when they entered as underclassmen). Finally, the 

school made a significant investment in technology to afford access to all teachers and students. 

The school has equipped every teacher with a laptop, every classroom with a printer, and the 

school with its own e-mail system. It has also become the beta test-site for technology in the 

district, and is often afforded the opportunity to receive new technology. As noted above, the 

integration of technical knowledge and applied skills has been infused to the strong academic 

curriculum—a significant challenge that remains for schools developing and implementing their 

career academy programs.

School-level respondents from nearly all the career academy programs we visited reported facing 

significant obstacles in making curricular change. For ninth-grade, students typically took only 

academic courses. All career academy programs in the case study sample have crafted an initial 

course in ninth grade to have students start thinking about career choices. These are aimed at 

introducing a variety of possible careers and indicating the connection between high school courses 

and particular careers. 

For grades 10–12, schools have introduced collections of electives with designations indicating the 

careers for which they might be most appropriate. For example, one school’s Health, Consumer, and 

Environmental Sciences pathway was the administrative home for the Culinary Arts career cluster 

and the Culinary Arts Academy, which was a sequence of courses aimed at developing competency in 

the culinary arts, as well as the Nursing Assistant career academy. Their Fine Arts and Humanities 

pathway contained the Construction career cluster, within which the Welding Co-Op was located; and 

the Business and Hospitality pathway contained the Finance career cluster, within which was a 

Finance Academy. Each of the above pathways included three career clusters enrolling 75 to 100 

students each (so that each pathway’s enrollment was approximately 300 to 350 students). The 

curriculum offerings of this school are displayed in Exhibit 4.7. Students could choose to take all the 

required courses in the cluster, resulting in a relatively significant amount of course work in one 

specialized area (e.g., culinary arts), or they could sample more widely from electives offered in one 

(or more) pathway(s). 
Chapter 4: Implementation of Career and Freshman Academies 82 Exhibit 4.7 Curricular Offerings in One SLC Grantee School Source: Case study program information.

 

Freshman Transition At end of 9th grade students must select a career pathway Career Pathways Career Clusters Students may apply to enroll in: Academies 

(apply at end of junior year; co- op or intern -ship during senior year) Programs 

Business & 

Hospitality

Business & 

Hospitality Fine Arts & Humanities Fine Arts & Humanities Health, Consum

Environmental S

Health, Consum

Environmental Sc

Finance Finance Hospitality & Tourism Hospitality & Tourism Business 

Administration

Business 

Administration Fine

Arts

Fine

Arts Humanities Humanities Construction Construction Health Occupations Health Occupations Culinary

Arts

Culinary

Arts 

E

Finance Academy Hospitality & Tourism 

Academy

Cooperative 

Office 

Education/ 

Distributive 

Education

Visual 

Talented 

Art 

Program 

(VTAP)

Theater 

Talented 

Art 

Program 

(TTAP)

Welding 

Co -op 

Nursing 

Assistant Academy

Culinary 

Arts 

Academy

E

Freshman Success Academy Freshman Success Academy Freshman Transition 

students must select a career pathway Career Pathways Career Clusters Students may apply to enroll in: Academies 

Internships & Co-ops (apply at end of junior year; co- op or intern -ship during senior year) Programs 

Business & 

Hospitality

Business & 

Hospitality Fine Arts & Humanities Fine Arts & Humanities Health, Consum

Environmental S

Health, Consum

Environmental Sc

Finance Finance Hospitality & Tourism Hospitality & Tourism Business 

Administration

Business 

Administration Fine

Arts

Fine

Arts Humanities Humanities Construction Construction Health Occupations Health Occupations Culinary

Arts

Culinary

Arts 

E

Finance Academy Hospitality & Tourism 

Academy

Cooperative 

Office 

Education/ 

Distributive 

Education

Visual 

Talented 

Art 

Program 

(VTAP)

Theater 

Talented 

Art 

Program 

(TTAP)

Welding 

Co -op 

Nursing 

Assistant Academy

Culinary 

Arts 

Academy

E

Freshman Success Academy Freshman Success Academy
Chapter 4: Implementation of Career and Freshman Academies 83 

Work-Based Learning Opportunities 

Career academies also report a significant number of career-related, or work-based, learning 

opportunities available to their students. Most common among the work-based opportunities for 

students are job shadowing and community service learning projects. A high percentage of career 

academies also report the availability of internships to their students. Far fewer career academy 

programs offer residencies or apprenticeships (Exhibit 4.8). 

Exhibit 4.8 

Percentage of Schools With Career Academies That Offer Work-Based Learning 

Opportunities

93% 93% 91%

47%

15%

0%

20%

40%

60%

80%

100%

Job Shadowing

(n=42)

Community

Service Learning

(n=41)

Internships

(n=43)

Residency/

Apprenticeships

(n=36)

All Work-Based

Learning

Opportunities

Percent of Schools with Career Academies

(n=36)

Exhibit reads: During the 2002–03 school year, 93 percent of schools with career academy 

programs offered job shadowing opportunities to students. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 17: “During the 2002–03 school year, were any of the following 

opportunities available solely to students in your career academy?” 

Note: Not all of the 44 schools with career academies responded to each question. The n refers to the number 

that provided information. That is, 42 schools responded to the question on job shadowing, but only 36 

schools responded to the question on apprenticeships. 

Fifteen percent of career academies have implemented all of these work-based learning opportunities: 

job shadowing, community service learning, internships, and residency or apprenticeships. An 

additional 53 percent of career academy programs have implemented three of these opportunities in 

combination. Schools that have done so have been likely to implement job shadowing, community 

service learning, and internships. Another 53 percent of career academies have implemented two of 

the four opportunities; half of these schools offer job shadowing and internships. 

Data from case study visits provides more detailed information about the types of work-based 

learning opportunities available, and how they have been implemented with career academies. In 
Chapter 4: Implementation of Career and Freshman Academies 84 

most career academies, internships have been linked to specific academy groups, in an effort to 

provide work experience to students with a defined career interest. A smaller number of schools have 

crafted articulation agreements with local higher education institutions to provide access to collegelevel courses in career-related topics. 

As noted, some schools developed internships to align with specific career academy groups. One 

school had established a variety of concrete opportunities for students, beginning with specific 

business partnerships for each academy or program in the school (Exhibit 4.7). For example, its 

welding and nursing academies have standing partnerships with local businesses and hospitals, 

respectively, and these entities offer students the opportunity for an internship. Ten to twelve 

students annually participate in the nursing assistantship program; an additional ten to twelve intern 

with local employers as part of the cooperative office education program. 

Other schools’ internship programs are more widely available to the general student population, and 

are not a facet of a career academy theme. At the career academy program with the most widespread 

internship program, the school-to-career director is the key person in the school’s 11th- to 12th-grade 

career opportunities program, in part because of the strong relationships he has forged over many 

years as a member of the local Chamber of Commerce. Students typically spend one period during 

the school day at the internship site and are evaluated by an on-site supervisor. The director also 

arranges numerous job-shadowing opportunities for students considering various careers. This 

program serves a dual role: providing opportunities for students while forging bonds between the 

community and the school. Only one other school has forged such extensive partnerships with the 

business community; the school has members of the local business community on its board of 

directors, which helped in advocating for the school’s inception and remains active in providing 

leadership. 

Articulation agreements with local colleges and universities are rare among schools with career 

academy programs in the case study sample. Two schools we visited, however, have been able to 

establish these relationships and provide significant career opportunities through them. For example, 

one of the case study schools has established a formal articulation agreement with the local technical 

college for its welding program, enabling students to receive a trade certificate in welding by the time 

of high school graduation. Although many of these programs predate the current federal SLC 

funding, the school aims to expand offerings to make opportunities available for all students by the 

time the current 10th-graders are seniors. 

According to survey data, a significant number of schools have made work-based learning 

opportunities a graduation requirement. Approximately half of the schools with career academy 

programs have implemented graduation requirements that require students to participate in a co-op 

program or provide credit for work or a service-learning project. A majority of schools have 

implemented career courses as a graduation requirement (Exhibit 4.9). 

Twenty-eight percent of career academy programs have implemented all three of the career-related 

graduation requirements (Exhibit 4.9). An additional 14 percent of career academies have 

implemented two out of three of these career-related graduation requirements; the most common 

combination being career academies that have implemented career courses and service learning 

requirements. 
Chapter 4: Implementation of Career and Freshman Academies 85 

Exhibit 4.9 

Percentage of Schools With Career Academies That Have Implemented Career-Related 

Graduation Requirements (n=41)

70%

52%

46%

28%

0%

20%

40%

60%

80%

Career Courses Service Learning/

Volunteer Work

Co-op Program or

Credit for Work

All Three CareerRelated Graduation

Requirements

Percent of Schools with Career 

Academies

Exhibit reads: During the 2002–03 school year, 70 percent of schools with career academy 

programs had implemented career courses as a graduation requirement. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 6: “Were any of the following required for graduation within 

the career academy in 2002–03?” 

Common Planning Time for Teachers 

Common planning time has been employed as a strategy to improve communication between 

teachers, and allow teachers who share the same students to meet on a regular basis. Many SLC 

structures have chosen to cluster teachers to allow for a greater percentage of shared students, making 

the use of common planning time an effective tool to achieve personalization, and “smallness” for 

students. Although a relatively high percentage of career academy programs (65 percent) report that 

teachers have been afforded common planning time for academy activities, only slightly more than 

one-quarter (29 percent) of teachers meet for common planning time at least once a week (Exhibit 

4.10). 
Chapter 4: Implementation of Career and Freshman Academies 86 

Exhibit 4.10 

Percentage of Schools With Career Academies Reporting Common Planning Time and the 

Frequency of Its Use (n=42) 

Exhibit reads: (Left-hand chart) During the 2002–03 school year, 65 percent of schools with career 

academy programs provided common planning time for program activities. (Right-hand chart) In 29 

percent of programs with common planning time, teachers meet at least weekly. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 11: “During the 2002–03 school year, did teachers have 

common planning time for career academy program activities?” AND Question 11a: “If yes, about 

how often did teachers in your school participate in common planning time related to the career 

academy program?” 

Demographics of Student Enrollment 

Previous research and the SLC program are both concerned with the placement of students in less 

academically rigorous programs. The SLC program states that students “not be placed according to 

ability or any other measure.” Although no data were available on student ability and we were unable 

to distinguish student placement from student selection, we were able to compare enrollments by 

race, gender, and LEP status in each academy with total school enrollment as a proxy for the degree 

to which schools were making an effort to achieve the spirit of the law. These analyses should be 

seen as exploratory. A substantial proportion of schools with career academies did not provide 

complete data. We have data on 35 of 44 schools (80 percent) on race and gender, but only 26 of 44 

schools (60 percent) on LEP status. 

Schools implementing career academy programs have found it difficult to create academy groups that 

are demographically similar to the school as a whole. According to PIS and APR data collected 

during the 2002–03 school year on the demographic characteristics (i.e., race, gender and students 

with LEP) of academy subgroups and on the school as a whole, schools are struggling to create 

Academies with 

common planning 

time

Academies without 

common planning 

time

Academies with 

common planning 

time whose teachers 

meet less than 

weekly

Academies with 

common planning 

time whose teachers 

meet weekly or more

35%

65%

29%

71%

Academies with 

common planning 

time

Academies without 

common planning 

time

Academies with 

common planning 

time whose teachers 

meet less than 

weekly

Academies with 

common planning 

time whose teachers 

meet weekly or more

35%

65%

29%

71%
Chapter 4: Implementation of Career and Freshman Academies 87 

groups that match the school as a whole.43 In 51 percent of the schools with career academies, the 

racial composition of each career academy program in the school matched the racial composition of 

the school as a whole (Exhibit 4.11). In addition, another 20 percent of schools had only one 

academy among all its career academies not matching the racial demographics of the whole school. 

Among the 20 schools with four separate academies, for example, six had all four academies 

mirroring the school as a whole, and an additional five schools had a significant difference with only 

one of the four academies. In the 26 schools for which we had LEP enrollment data, ten schools (38 

percent of the total) had each career academy matching the school as a whole on the proportion of 

students with LEP. The greatest disparity in enrollments is found by gender. In ten schools (29 

percent of the schools with available data) each career academy matched the distribution by gender in 

the school. In fact, in the 20 schools with four separate academies, only one school had all four of its 

academies mirroring the gender distribution of the school. 

Case study data illuminate the difficulties career academy programs have experienced. Serving the 

needs of learners—especially a school’s LEP population—is particularly difficult. Offering English 

language instruction within each academy is nearly impossible, given the limited number of staff 

qualified to teach these courses. Also, depending on the size of the academy, there may not be 

enough students to fulfill minimum enrollment requirements for one section of any particular course. 

A few case study schools with large LEP populations have opted to run separate courses for these 

students (e.g., English as a second language courses), while including them in a few regular education 

classes within a particular academy group, maximizing their benefit from participation in the SLC 

structure. 

Among the case study schools, many school respondents also reported that allowing students choice 

about academy enrollment often introduced segregation by race, gender, SES, or even academic 

performance into these groups. Some teachers and administrators whom we interviewed also spoke 

of students’ perceptions of the prestige of particular academy groups (e.g., either as higher 

performing, or more socially desirable) as a factor in choosing one academy over another. Schools 

are still struggling with the trade-off of allowing student choice in academy themes with the risk of 

student resegregation, versus arbitrarily assigning students to academies (and thereby jeopardizing 

student engagement around the theme) to maintain balanced enrollments within and across 

academies. 

 

43 We compared the demographic composition of academy groups (where this information was complete) using a onesample t-test. To conduct this analysis we needed a minimum amount of data, including data on race, gender and LEP 

composition within each academy group as well as for the whole school. We performed a t-test between each academy 

group and the whole school. APR data was used for school-level race and LEP composition. The APR, however, does 

not collect school-level gender data, so we assumed that the total school enrollment was evenly divided between female 

and male students. 
Chapter 4: Implementation of Career and Freshman Academies 88 

Exhibit 4.11 

Percentage of Schools Implementing Career Academies in Which the Demographics of Each 

Career Academy Group Matched the Demographics of the School as a Whole in Terms of 

Race, Gender, and LEP

51%

38%

29%

0%

20%

40%

60%

Race (n=35) LEP (n=26) Gender (n=35)

Percent of Schools with Career Academies

Exhibit reads: During the 2002–03 school year, 51 percent of schools with career academies had 

each career academy match the racial composition of the school as a whole. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 6: “Below we ask you to describe each of your career academy 

groups. There is space to describe up to four. . . . In section B, please estimate the number of 

students in each career academy group. In section C, please provide the demographic characteristics 

of students in each career academy. If exact percentages are not available, please estimate as well as 

you can, giving a single number and not a range.” AND Annual Performance Report, School Year 

2002–03, Question 2: “School Background, Student Race Categories, 9th Grade, 10th Grade, 11th 

Grade, 12th Grade.” 

Note: The n represents the number of schools with career academies for which we had data. Forty-four 

schools reported having career academies. 

Levels of Career Academy Implementation 

The Department of Education defined career academies as “integrating academic and vocational 

opportunities for students, and preparing students for postsecondary education and employment—

with the personalized learning environment of a small, focused learning community. Teachers and 

students integrate academic and occupation-related classes as a way to enhance real-world relevance 

and maintain high academic standards. Local employer partnerships provide program planning 

guidance, mentors, and work internships. Career academies share with other restructuring initiatives 

an emphasis on building relationships between students and adults.” This section of the report 

describes the extent to which career academies funded under the federal program have reported 

success in implementing all of the key features of implementation, as described in federal program 

guidance. 
Chapter 4: Implementation of Career and Freshman Academies 89 

“High Implementing” Career Academies (n=8) 

Using the available PIS data, we define a high implementing career academy as one that includes the 

following: 

• Common planning time for teachers (for such purposes as facilitating integration of 

academic and vocational opportunities or discussing the needs of students they teach in 

common); 

• Autonomy over SLC-level program policies; 

• Work-based learning opportunities and internship programs for students; and 

• Career-related graduation requirements that included both course work and service 

learning projects or a cooperative working experience. 

In addition, a high implementing career academy should have: 

• An increased number of courses that integrate academic and vocational instruction or are 

specific to the SLC program theme; 

• Students taking more than half their course load within the career academy; and 

• Similar enrollments by race across each academy.44

Among the 44 schools with career academies, eight met all of the first four criteria. Six of the eight 

had increased courses, and seven of the eight had students taking more than half their courses within 

the career academy. Four of the eight had demographically similar students in their academies. 

Exhibit 4.12 summarizes the data as levels of implementation for schools with career academies. 

“Moderately Implementing” Career Academies (n=26) 

Moderately implementing career academies are defined as those that have some but not all the 

features of high implementing career academies. For example, some schools created common 

planning time for teachers and instituted career-related graduation requirements, but have limited 

autonomy over program policies. Other schools have achieved some degree of autonomy over 

program policy decisions and have instituted career-related graduation requirements, but have not 

implemented common planning time. Still others have common planning time and have gained a 

significant level of autonomy but have not implemented career-related graduation requirements. 

Twenty-six career academy programs met these criteria.

Most have common planning time for teachers, but just less than half (12 of 26) report autonomy over 

budgetary decisions and discipline policies. Four-fifths (21 of 26) have implemented work-based 

learning opportunities. Two-thirds (17 of 26) have implemented career-related graduation 

requirements, typically both course work and job shadowing. 

 

44 We have limited this analysis to differences by race because more schools had complete data on this variable. 
Exhibit 4.12 

Number of Schools With Career Academies, by Levels of Implementation and Defining Characteristics (

n=44)

Schools with Career Academies 

Teachers 

Have Common 

Planning Time 

Autonomy 

Over at Least 

Four SLC 

Program 

Policies 

Work-based 

Learning 

Opportunities 

Career-related 

Graduation 

Requirements 

Increased 

Number of 

Courses 

Integrating Instruction 

At Least Half 

of Course 

Load Taken in 

Career 

Academy 

High implementing (n=8) 

All All All All 6 of 8 7 of 8 

Moderately implementing (n=26) 

20 of 26 12 of 26 21 of 26 17 of 26 18 of 26 16 of 26 

Low implementing (n=10) 

None None 8 of 10, but less intensive 8 of 10 7 of 10 5 of 10 

Exhibit reads: In all high implementing career academy programs, teachers have common planning time, but common planning time is fou

quarters of the moderately implementing career academies, and in none of the low implementing career academies. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, Career Academy Module, Quest

and 17. 

Chapter 4: Implementation of Career and Freshman Academies 90
Chapter 4: Implementation of Career and Freshman Academies 91 

Moderately implementing career academies are similar to high implementing ones on course load 

taken within the academy and enrollments by race matching the schools’ distribution. Just under twothirds (16 of 26) have students taking more than half their course load in the career academy. Over 

three-fifths (63 percent) of the moderately implementing career academies have demographically 

similar students across their academies. 

“Low Implementing” Career Academies (n=10) 

Low implementing schools are defined as those having few structures or requirements in place and 

having little autonomy over their operations. Ten career academies fit this category. These programs 

have not implemented common planning time, and none has autonomy over at least four SLC 

program policies. Few report control of decisions concerning operating procedures and instructional 

leadership teams, and almost no schools report making exclusive decisions about student discipline 

policy or operating budget. They are also more likely than higher implementing career academies to 

have racial imbalances among students; only two of the eight schools with available data have 

enrollments in career academies that mirror the racial distribution of the school as a whole. 

Although eight of the ten schools have implemented career-related graduation requirements, the 

requirements are for course taking, not for service learning or cooperative work experiences. 

Furthermore, although eight schools offer students work-based learning opportunities, the opportunities are less intensive than those offered by high implementing career academies. The schools 

that do offer work-based learning opportunities for their students are more likely to provide job 

shadowing, for example, than service learning projects and apprenticeships. Seven schools have 

increased the number of integrated (e.g., academic and vocational) courses or courses related to the 

SLC theme. 

Unlike the high and moderately implementing career academies, students in the low implementing 

schools are less likely to take most of their courses within the academy structure. On average, 

students take 41 percent of their course load within the career academy. 

In the following vignette, we present a description of a high-implementing career academy program, 

focusing on the interrelationships among the structures, content, and requirements in action in a wellimplemented program. 
Chapter 4: Implementation of Career and Freshman Academies 92 

A Well-Implemented Career Academy 

One case study school implementing a career academy is located in a rural area of a southern state 

and serves a student population of 1,300; approximately 30 percent of students are white, and about 

70 percent are black. The school has adopted the Talent Development High School model, developed 

by Johns Hopkins University, and has implemented both a freshman and career academy program. 

The school has divided the upper grades into three pathways: Fine Arts, Industrial Technology, and 

Humanities; Business, Hospitality, and Finance; and Health, Engineering, and Consumer Science. 

Students self-select into pathway groups at the end of the ninth grade; students take their core 

courses within their pathway, leaving for courses that the school has found harder to schedule (e.g., 

courses that have only one section). The school underwent a spatial reorganization to create a 

distinct hallway for each pathway⎯allowing all students from a particular pathway to take all classes in 

that space. The administration has been designing activities for students to do by pathway; once a 

month students have an extended homeroom period, a time set aside for pathway-specific activities 

(e.g., career-related advising). Teachers have also been grouped into study group teams by pathway, 

and they meet three times a month. One teacher from each study group meets monthly with the 

Instructional Council⎯an administrative structure that makes key decisions in the school. In addition, 

teachers also meet by pathway once a month to discuss pathway-wide issues, as well as particular 

student issues. 

At present, the school is wrestling with how to make progress on career infusion into the curriculum 

within each pathway. According to one respondent, “Teachers are still teaching in a traditional way 

even if their pathway is ‘pure’.” The school’s goals include career infusion in core academic classes 

and the further development of career elective classes. For example, the administration would like to 

turn the portfolio project that students do in English 4 into a project that reflects their career interests 

and pathway choice. The school also hopes to use extensive professional development for teachers 

and other staff as a strategy to infuse career-specific curriculum into existing classes. Specific to 

work-based learning opportunities, the school has continued to develop specific business partnerships 

for its academy groups. For example, the nursing and welding academies have partnerships with local 

hospitals and businesses, offering students the opportunity for an internship. The school has also 

developed an articulation agreement with a local technical college to support its welding program; 

students can complete a trade certificate in welding by high school graduation. Although some of 

these opportunities pre-dated the start of the pathway program, the school is continuing to build 

internship opportunities, with the goal of having internship opportunities aligned with each academy. 

The next section of this chapter analyzes implementation in freshman academy program, using both 

PIS data and descriptive data on individual program features of freshman academy programs from our 

case studies. 
Chapter 4: Implementation of Career and Freshman Academies 93 

Key Features of Freshman Academy Implementation 

This section describes the extent to which freshman academies have created: 

• Common planning time for teachers; 

• At least some separate identity from the rest of the high school; and 

• Enrollments that reflect the demographics of the overall student body. 

We used data from the 2003 PIS to analyze freshman academy implementation of these critical 

features. For this analysis, Exhibit 4.13 displays the various survey items and the number of schools 

responding to each item. 

Exhibit 4.13 

PIS Variables Describing Key Features of Freshman Academy Implementation

Measures of Common Planning Time 

Teachers have common planning time for freshman academy program activities (n=58) 

Teachers have common planning time once per week or more (n=58) 

Measures of Freshman Academy Separateness 

Percent of course load taken within the freshman academy (n=57) 

Percent of school day spent in freshman academy area (n=56) 

All courses are taken within the academy (n=58) 

Freshman academy has some separate instructional areas (n=58) 

Freshman academy has autonomy over its: 

Budget (n=56) 

Staff (n=56) 

Instructional leadership teams (n=56) 

Operating procedures (n=55) 

Discipline policies (n=57) 

Freshman academy has sole decision making power or shares decision-making power with school 

regarding: 

Course offerings (n=58) 

Selection of instructional materials (n=57) 

Assignment of students to teachers (n=58) 

Daily/weekly schedule (n=58) 

Academy organization (n=58) 

Budget allocation (n=56) 

Hiring for academy positions (n=57) 

Measures of Student Demographics 

Freshman academy does not have statistically significant differences between each academy and 

the freshman class as a whole regarding students’ demographic characteristics 

Race (n=32) 

Gender (n=33) 

LEP status (n=20) 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003. 
Chapter 4: Implementation of Career and Freshman Academies 94 

Common Planning Time in Freshman Academies 

A hallmark of freshman academies is the organization of students among teams of teachers, with 

common planning time provided so that teachers can discuss and resolve various student issues. 

Within over three-quarters of freshman academy programs, teachers have common planning time to 

discuss the students they share. Almost two-thirds of freshman academies also allow teachers to meet 

at least weekly (Exhibit 4.14). 

Exhibit 4.14 

Percentage of Schools With Freshman Academies Reporting Common Planning Time and the 

Frequency of Its Use (n=58) 

Exhibit reads: (Left-hand chart) During the 2002–03 school year, 79 percent of schools with 

freshman academy programs provided common planning time for program activities. (Right-hand 

chart) In 74 percent of academy programs with common planning time, teachers met at least weekly. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Freshman Academy Module, Question 9: “During the 2002–03 school year, did teachers have 

common planning time for freshman academy program activities?” AND Question 9a: “If yes, 

about how often did teachers in your school participate in common planning time related to the 

freshman academy program?” 

The case studies provided information about the central role that teacher teams play in the 

implementation of freshman academy programs. Eight out of the ten freshman academy programs 

visited employed (or were trying to implement) a teaming structure. These teams are typically 

comprised of one teacher from each of the four “core” subject areas (i.e., English, math, social studies 

and science), and share the same students. In most schools implementing teaming, the teacher teams 

are a sub-structure within the academy group. Within the team, teachers are afforded the opportunity 

to communicate regularly about the performance and behavior of students that they share, as well as 

consult with a larger group of colleagues who are grappling with similar instructional and classroom 

management issues. These opportunities for regular communication among team members have been 

79%

21%

64%

36%

Academies with common 

planning time whose 

teachers meet weekly or 

more

Academies whose 

teachers meet for 

common planning 

time less than 

weekly

Academies with 

common planning 

time

Academies without 

common planning 

time

79%

21%

64%

36%

Academies with common 

planning time whose 

teachers meet weekly or 

more

Academies whose 

teachers meet for 

common planning 

time less than 

weekly

Academies with 

common planning 

time

Academies without 

common planning 

time
Chapter 4: Implementation of Career and Freshman Academies 95 

expanded through the existence of common planning time. Most schools have also attempted to 

cluster teacher teams in the same space, easing the transition for ninth-graders from middle school to 

a larger school campus by reinforcing the “smallness” of the group of individuals whom they see on a 

daily basis. Some teacher teams have been able to design and implement interdisciplinary activities 

with other team members, but this has been a relatively rare curriculum change. 

Six of the schools visited (all with teacher teams) are utilizing common planning time to discuss 

individual students’ learning needs, interdisciplinary units, new curriculum, and effective teaching 

practices. Anecdotal evidence from our site visits indicates that sharing knowledge about the 

individual students made teachers aware of the students’ strengths and special traits. Students 

concurred; many students in the focus groups said they felt teachers in the team knew them better, 

understood them, or believed in them as a result of the enhanced communication among teachers. 

Teams That Care 

In one SLC school implementing a freshman academy, four teachers from the “core four” academic 

subjects team together and share students in two to three of their four classes. They meet during 

common planning time twice weekly to plan lessons together (including cross-disciplinary 

applications and tie-ins) and to discuss the needs of individual students. They also meet weekly 

with the four other teachers in the academy group and the associated elective, special programs, 

and ESOL teachers to discuss academy-wide issues and plan joint community events. Teachers 

of ninth-grade students will “loop” with those students and teach them in the 10th grade as well, 

providing continuity of care. In addition, each student is assigned to an advisor (for their extended 

homeroom period) who will work with him or her throughout the four years of high school. 

Teachers have flexibility to design the advisory period curriculum as they wish, tailoring it to the 

needs of the students. Students told us that they notice the difference that structures like these 

make in teachers’ ability to monitor them. In a focus group, one student told us, "Last year, I was 

goofin’ off, and I flunked my final and two classes. They [the team of teachers in her academy] 

gave me the opportunity to attend summer school without paying. The teachers stayed after the 

end of the year for two weeks to help us, and then we re-took our finals.” Another chimed in, “We 

journal every day. Everybody’s good at that. I failed all four quarters last year, but [the teacher 

stuck with her, told her she had potential], and this year, I’m doing better—I got all As and Bs on 

my last report card!” Beaming with pride, she produced her report card from a bag with a flourish, 

and the group dissolved into friendly laughter. The school is characterized by this friendly climate 

in which all students are expected to succeed academically and socially with each other’s help.

Separate Identity for Freshman Academies 

Freshman academies, like career academies, have also attempted to create a separate identity for their 

academies, typically by establishing separate physical space for the program. Nearly all freshman 

academies (90 percent) have a separate instructional area, and have crafted schedules so that students 

take the majority of their courses within the academy (Exhibit 4.15). Over one-quarter of freshman 

academy programs (29 percent) have been able to schedule all of their 9th-grade students’ courses 

within the freshman academy. In addition, on average, ninth-grade students take nearly three-quarters 

of their courses (73 percent) within the freshman academy (students in career academies take, on 

average, 62 percent of their courses within a career academy). Nearly one-quarter (24 percent) of 

freshman academies have created separate (or somewhat separate) instructional space and have 
Chapter 4: Implementation of Career and Freshman Academies 96 

crafted a schedule that allows ninth-grade students to take all of their courses within the academy 

structure (Exhibit 4.15). 

Exhibit 4.15 

Percentage of Schools With Freshman Academies Reporting Separate Features for Academy 

Program (n=57)

90%

29% 24%

0%

20%

40%

60%

80%

100%

Separate Instructional Areas All Courses Taken Within

Freshman Academy

Separate Instructional Areas

and Students Taking All

Courses Within the

Academy

Percent of Schools With Freshman 

Academies

Exhibit reads: During the 2002–03 school year, 90 percent of schools with freshman academy 

programs reported a separate instructional area for the academy. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Freshman Academy Module, Question 11: “In 2002–03, was there a separate physical space for 

students in the freshman academy program at your school?” AND Question 11a: What percentage 

of students’ courseload, on average, was taken within the freshman academy?” 

Autonomy for Freshman Academy Programs 

As a strategy for greater program autonomy, freshman academies have gained a significant level of 

control over program policies. Freshman academies are likely to have autonomy over the creation of 

instructional leadership teams and other staffing issues. Fewer schools, however, have autonomy 

over decisions related to operating procedures, discipline policies, and the program’s budget (Exhibit 

4.16). Fifteen percent of freshman academies report autonomy over all program features. An 

additional 27 percent of academy programs have gained autonomy over four program policies. 

Academy programs are less likely to have gained autonomy over their budgets than other program 

features. An additional 20 percent of freshman academies have gained autonomy over instructional 

leadership teams, staff, operating procedures, and discipline policies. 
Chapter 4: Implementation of Career and Freshman Academies 97 

Exhibit 4.16 

Percentage of Schools With Freshman Academies Reporting Autonomy Over Program 

Features (n=55)

91%

84%

51%

40% 36%

15%

0%

20%

40%

60%

80%

100%

Instructional

Leadership

Teams

Staff Operating

Procedures

Discipline

Policies

Budget All Program

Features

Percent of Schools With Freshman 

Academies

Exhibit reads: During the 2002–03 school year, 91 percent of schools with freshman academy 

programs had autonomy over the program’s instructional leadership teams. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Freshman Academy Module, Question 8: “Does your school’s freshman academy program have its 

own: budget, staff, instructional leadership teams, operating procedures, discipline policies?” 

Freshman academies are most likely to have exclusive or shared decision-making with the school on 

academy organization, budget allocation, and the daily or weekly schedule. At least half the academy 

programs reported having a decision-making role in those areas. Fewer academies have sole or 

collaborative decision-making processes concerning assignment of students to teachers, the selection 

of instructional materials, and hiring of teachers. Freshman academies are least likely to have a 

significant decision-making voice over course offering decisions (Exhibit 4.17). Thirteen percent of 

academies have sole or shared decision-making power over all of the program policies that we 

tracked. Twenty-nine percent of freshman academies make sole or shared decisions over four of 

these program policies. These schools are most likely to make exclusive or shared decisions 

concerning instructional materials, academy organization, and allocation of spending within the 

programs’ budgets. 
Chapter 4: Implementation of Career and Freshman Academies 98 

Exhibit 4.17 

Percentage of Schools With Freshman Academies Reporting Sole or Shared 

Decision-Making Power With School (n=57)

64%

54% 50%

41% 40% 39%

31%

13%

0%

20%

40%

60%

80%

Academy

Organization

Budget

Allocation

Daily/Weekly

Schedule

Assignmentof Studentsto Teachers

Selection of

Instructional

Materials

Hiring for

Academy

Positions

Course

Offerings

All Program

Features

Percent of Schools With 

Freshman Academies

Exhibit reads: During the 2002–03 school year, 64 percent of schools with freshman academy 

programs had sole or shared decision-making power with the school regarding academy 

organization. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Freshman Academy Module, Question 16: “For each of the following, at which level were decisions 

made during 2002–03?” 

Demographics of Student Enrollment 

Previous research and the SLC program are both concerned with the placement of students in less 

academically rigorous programs. Although no data were available on student ability and we were 

unable to distinguish student placement from student selection, we were able to compare enrollments 

by race, gender, and LEP status in each academy with the freshman class as a whole as a proxy for 

the degree to which schools were making an effort to achieve the spirit of the law. 

These analyses of freshman academies should be seen as exploratory. A substantial proportion of 

schools did not provide complete demographic data for each of its academies. In addition, a large 

proportion (15 schools) reported that they had only one freshman academy, and that its enrollment 

was at least 90 percent (and usually all) of the freshman class. We have excluded these schools from 

this analysis. Among the 58 schools with freshman academies, we have data by gender on 33 

schools, data on race for 32 schools, and data on students with LEP for only 20 schools. 

In 76 percent of the schools with freshman academies, the gender composition of each freshman 

academy program in the school matched the gender composition of the entire freshman class (Exhibit 

4.18). Among the ten schools with four separate academies, for example, seven had all four 

academies mirroring the school as a whole. In just over half (53 percent) of the schools, the racial 

composition of each freshman academy in the school matched the racial composition of the entire 
Chapter 4: Implementation of Career and Freshman Academies 99 

freshman class. In the 20 schools for which we had LEP enrollment data, ten schools (50 percent of 

the total) had each freshman academy matching the freshman class as a whole on the proportion of 

students with LEP. 

Exhibit 4.18 

Percentage of Schools With Freshman Academies in Which the Demographics of Each 

Freshman Academy Matched the Demographics of the Entire Freshman Class in Terms of 

Race, Gender, and LEP

76%

53% 50%

0%

20%

40%

60%

80%

100%

Gender (n=33) Race (n=32) LEP (n=20)

Percent of Schools With Freshman 

Academies

Exhibit reads: During the 2002–03 school year, 76 percent of schools with freshman academy 

programs had each freshman academy match the gender composition of the entire freshman class. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Freshman Academy Module, Question 6: “Below we ask you to describe each of your freshman 

academy groups. There is space to describe up to four. . . . In section B, please estimate the number 

of students in each career academy group. In section C, please provide the demographic 

characteristics of students in each career academy. If exact percentages are not available, please 

estimate as well as you can, giving a single number and not a range.” AND Annual Performance 

Report, School Year 2002–03, Question 2: “School Background, Student Race Categories, 9th 

Grade.” 

Note: The n represents the number of schools with freshman academies for which we had data. Fifty-eight 

schools with freshman academies were in Cohort 1, so there was significant non-response on this item. 
Chapter 4: Implementation of Career and Freshman Academies 100 

Levels of Freshman Academy Implementation 

Freshman academies are classified as a type of house plan as defined in the Annual Performance 

Report: 

House plans divide students in a large school into groups of several hundred, either 

across grade levels or by grade levels. Students take some or all courses with their house 

members and from their house teachers. House arrangements may be yearlong or multiyear arrangements. House plans personalize the high school experience, but usually have 

limited effect on curriculum or instruction. Each house usually has its own discipline 

plan, student government, social activities, and other extracurricular activities, although 

students may also participate in activities of the larger schools. Grouping ninth-graders 

into a separate house is one way to ease the freshman transition to high school.

This section of the report addresses the extent to which freshman academies funded under the federal 

program have implemented all of the key elements described in the federal program guidance. 

“High Implementing” Freshman Academies (n=33) 

Using the available PIS data, one could define a high implementing freshman academy as one that 

includes the following characteristics: 

• At least weekly common planning time for teachers, so that teachers may discuss the 

needs of students whom they have in common; 

• Autonomy over select program policies; and 

• Similar enrollments by race across each academy.45

Of the 58 schools with freshman academies, 33 meet the first two criteria. They reported common 

planning time for teachers on at least a weekly basis, and reported autonomy on at least two program 

policy areas, typically over staff and instructional leadership teams. Just half of the schools providing 

data, however (that is, 11 of 22), have created racially mixed groupings within their freshman 

academies that match the freshman class as a whole. Note that we did not include a separate identity 

as a criterion for freshman academies because virtually all freshman academies have created at least 

some separate identity. Exhibit 4.19 summarizes the data on levels of implementation for schools 

with freshman academies. 

 

45 We limited the comparison to enrollment by race because differences were more likely to be found by racial groupings. 
Chapter 4: Implementation of Career and Freshman Academies 101 

Exhibit 4.19 

Number of Schools With Freshman Academies, by Levels of Implementation and Defining 

Characteristics (n=58)

Schools With 

Freshman 

Academies 

Teachers Have 

Common Planning 

Time at Least Weekly 

Autonomy Over at 

Least Four SLC 

Program Policies 

Similar Enrollments 

by Race Across 

Freshman 

Academies 

High implementing 

(n=33) All All 11 of 22 (schools 

reporting data) 

Moderately 

implementing (n=13) 9 of 13 3 of 13 5 of 8 (schools 

reporting data) 

Low implementing 

(n=12) None 3 of 12 NA (only two schools 

reported data) 

Exhibit reads: In all high implementing freshman academy programs, teachers have common 

planning time at least weekly, but weekly common planning time is found in only 70 percent of the 

moderately implementing freshman academies and in none of the low implementing freshman 

academies. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Freshman Academy Module, Questions 6, 8, 9, 9a, and 11. 

“Moderately Implementing” Freshman Academies (n=13) 

Moderately implementing freshman academies are defined as those that have some but not all the 

features of high implementing career academies. Thirteen freshman academy programs meet these 

criteria. They have less autonomy over program policies than high implementing freshman academy 

programs, and fewer of them have common planning time for teachers as often as high implementing 

schools. Like high implementing schools, just over half of these schools (five of eight) have been 

able to create racially mixed freshman academies that mirror the freshman class as a whole. 

“Low Implementing” Freshman Academies (n=12) 

The remaining 12 schools in the freshman academy sample have more limited implementation. None 

of these freshman academy programs have implemented common planning time. In addition, all 

schools report that the freshman academies have limited autonomy over school-level program policy 

decisions. Academies with low levels of implementation also report more program decisions made 

without their involvement; instead, decisions are made either by the school or district, or a combination of the two. Regarding enrollment by race, six of the eight schools providing data defined their 

one freshman academy as the entire freshman class, so we did not include them in the analysis. Too 

few schools remained to complete this analysis by race. 

In the following vignette, we present a full description of a well-implemented freshman academy 

program. This example provides information concerning the interrelated nature of program 

components. 
Chapter 4: Implementation of Career and Freshman Academies 102 

A Well-Implemented Freshman Academy 

This freshman academy program is in a school located in a mixed urban and suburban neighborhood 

in a Western city. The school has designed its freshman academy program to include block 

scheduling, flex scheduling, and a total of five teacher teams. The freshman academy has its own 

space in a separate building, which it has renovated. The school initially faced scheduling dilemmas; 

to ameliorate the situation, the school instituted flex days—teachers spend one day teaching only 

three classes and getting professional development, and then teach a double period another day. 

This afforded the opportunity to create teacher teams that meet twice a week for a common prep 

period and a period used for curriculum development issues and student management issues. 

The teacher teams that the school has created are made up of English, math, science, and health or 

geography; they share common planning time to work on curriculum and monitor student progress. 

Students have been grouped into academies so as to spread both gifted and special education 

students across the teams; special education, ELL, and classes for gifted students are all offered 

within freshman academy groups. Although the school has been able to integrate specific groups of 

students with special needs into the academy structure, the administration is still working to create 

more “cross-fertilization” among teams—to create a successful academy experience for all students. 

Career Academies and Freshman Academies: Variation in Program 

Features 

A greater percentage of career academies than freshman academies report exclusive—or shared—

decision-making control over SLC program policies, whereas freshman academies are more likely to 

have students taking all their classes within the academy structure, and are more likely to provide 

common planning time—and more frequent common planning time—for faculty. 

Decision-Making in Career and Freshman Academies 

Career and freshman academies exert sole or shared decision-making capabilities over different 

aspects of program policy. A much greater percentage of schools with career academy programs 

report the academy’s ability to make decisions about the selection of the program’s instructional 

materials, budget allocation, assignment of students to teachers, and course offerings. Schools with 

career academies are also more likely than freshman academies to exert decision-making power over 

the hiring process for academy positions. These data reinforce the perspective that as career academy 

programs need to implement a greater number of customized program features (e.g., a separate 

substantive identity for students and teachers in academy groups), these programs may choose to do 

so through exercising a greater degree of decision-making capability over SLC-level program 

decisions. Similar numbers of career and freshman academies report decision-making control over 

academy organization and the program’s daily or weekly schedule (Exhibit 4.20). 
Chapter 4: Implementation of Career and Freshman Academies 103 

Exhibit 4.20 

Percentage of Schools With Career or Freshman Academies Reporting Sole or Shared 

Decision-Making Power With School

67%

64% 64%

57%

52%

45% 45%

54%

65%

40% 41%

50%

31%

39%

0%

20%

40%

60%

80%

Budget

Allocation

Academy

Organization

Selection of

Instructional

Materials

Assignment of

Students to

Teachers

Daily/Weekly

Schedule

Course

Offerings

Hiring for

Academy

Positions

Percent of Schools With Career or Freshman Academies

Career Academies Freshman Academies

Exhibit reads: During the 2002–03 school year, 67 percent of schools with career academy 

programs and 54 percent of schools with freshman academy programs had sole or shared decisionmaking power with the school regarding budget allocation. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 18: “For each of the following, at which level were decisions 

made during 2002–03?” AND Freshman Academy Module, Question 16: “For each of the 

following, at which level were decisions made during 2002–03?” 

Separate Identity in Career and Freshman Academies 

A high percentage of schools implementing either career or freshman academies, or both, have 

created separate instructional spaces for their academy programs (Exhibit 4.21). Freshman 

academies, however, have been able to craft school schedules that have allowed students to take all of 

their courses within the academy structure at double the rate of career academies making the same 

change. In addition, students in freshman academies take a higher percentage (73 percent) of their 

courseload within the academy structure than do students in career academies (62 percent). This may 

represent an important difference in career and freshman academy implementation. As schools 

implementing either a freshman or career academy have been able to establish a separate physical 

space for their program, career academies, seemingly, have had a greater difficulty in scheduling 

students for courses within the academy structure. This relatively low rate of student course load 

taken within career academies may reflect a conscious choice for schools implementing career 

(n=41) (n=57) 
Chapter 4: Implementation of Career and Freshman Academies 104 

academy programs. For example, many school respondents for site visit interviews related that the 

career academy structure reflected the opportunity for students to select among electives. The 

academy groups were not designed for students to take their core academic courses within these 

structures. 

Exhibit 4.21 

Percentage of Schools With Career or Freshman Academies Reporting Separate Features for 

Academy Program

86%

14%

62%

90%

29%

73%

0%

20%

40%

60%

80%

100%

Separate Instructional

Areas

All Courses Taken

Within the Academy

Average Percent of

Students Course load

Taken Within the

Academy Structure

Percent of Schools With Career 

or Freshman Academies

Career Academies (n=43)

Freshman Academies (n=57)

Exhibit reads: During the 2002–03 school year, 86 percent of schools with career academy 

programs and 90 percent of schools with freshman academy programs reported a separate 

instructional space for the academy. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 10: “In 2002–03, was there a separate physical space set aside 

for students in the career academy program at your school?” AND Question 8: “In 2002–03, was 

there a separate physical space for students in the freshman academy program at your school?” 

Common Planning Time 

Schools implementing a career or freshman academy often offer teachers common planning time 

(Exhibit 4.22). There has been a marked difference, however, in how often teachers in each type of 

academy meet together. As noted below, only 29 percent of schools whose career academies have 

common planning time report that teachers meet weekly or more. Sixty-four percent of schools 

whose freshman academies have common planning time, however, report that teachers meet weekly 

or more. Clearly, common planning time—and the rate at which it is used—among teachers in 

freshman academy programs is a central feature of implementation. Freshman academy programs 

have been designed to support freshman in the transition to secondary school, and to reinforce the 

feeling of a supportive (and often “smaller”) school environment. Regular teacher interaction—often 

about a group of students that they share—has been the mechanism by which this support has been 

created at the ninth-grade level. 
Chapter 4: Implementation of Career and Freshman Academies 105 

Exhibit 4.22 

Percentage of Schools With Career or Freshman Academies Reporting Common Planning 

Time and the Frequency of Its Use 

65%

79%

36%

35% 29% 21%

64%

71%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

Separate

Instructional Areas

All Courses Taken

Within the Academy

Percent of Schools With Career or 

Freshman Academies

Exhibit reads: During the 2002–03 school year, 65 percent of schools with career academy 

programs and 79 percent of schools with freshman academy programs provided common planning 

time for program activities. Of those with common planning time, 29 percent of schools with career 

academies reported their teachers met at least weekly compared to 64 percent of schools with 

freshman academies. 

Source: Implementation Study of Smaller Learning Communities, Periodic Implementation Survey, 2003, 

Career Academy Module, Question 11: “During the 2002–03 school year, did teachers have 

common planning time for career academy program activities?” AND Question 9: “During the 

2002–03 school year, did teachers have common planning time for freshman academy program 

activities?” 

The next section of this chapter discusses the factors—both facilitating and inhibiting—that affect 

implementation in both freshman and career academies. 

Factors Affecting the Implementation of Career and Freshman 

Academies 

This section on critical factors in the implementation of academies is based upon site visits to 18 

schools (ten with freshman academies and eight with career academies) conducted during fall or 

winter 2002 and follow-up interviews completed during February 2004. Although the number of 

schools visited was small, a common set of factors has emerged that have facilitated implementation 

of career and freshman academies in SLC schools, including strong school leadership, a supportive 

district, staff buy-in, and sufficient space to make programs separate. Identified challenges to 

implementation include staff (and administrative) turnover, weak school leadership, prescriptive 

district oversight of SLC changes, and limited resources. The factors influencing implementation 

mirror those we found in the literature review completed for this study. For example, Dynarski et al. 

(1998) found that school restructuring is most successful when it is consistent with and supports a 

Academies 

without 

common 

planning time

Academies 

with common 

planning time

Academies with 

common 

planning time 

whose teachers 

meet weekly or 

more 

Academies with 

common 

planning time 

whose teachers 

meet less than 

weekly

Academies 

without 

common 

planning time

Academies 

with common 

planning time

Academies with 

common 

planning time 

whose teachers 

meet weekly or 

more 

Academies with 

common 

planning time 

whose teachers 

meet less than 

weekly

Career Academies Freshman Academies 

(n=42) (n=58)
Chapter 4: Implementation of Career and Freshman Academies 106 

district’s desire to change. McQuillan and Muncey (1991) wrote about the importance of staff buy-in 

for successful implementation and the negative consequences of faculty divisiveness. 

Many of these factors have remained paramount in schools’ implementation processes throughout the 

SLC grant period. The factors discussed below from case study data are similar to those detailed in 

Chapter 3, although the PIS survey data relate to SLC implementation at the school level, not to 

implementation of individual SLC structures. There is one major difference. For example, school 

leadership did not emerge as a factor in implementation survey data, because the principal (as the key 

respondent to the PIS) was not asked to critique his or her own influence. School leadership, 

however, consistently emerged as a critical factor from case study data.

Reform Leadership at the School Level 

Strong school leadership appears to be important for a successful implementation process in both career 

and freshman academies. During the initial case study visits, 14 of the 18 schools identified school 

leadership as a major facilitating factor in restructuring. When conducting follow-up interviews with 

schools, eight of the 18 schools reported that a strong school leader remains a major facilitator for the 

school’s implementation process. Leadership at the school level is often able to facilitate high levels of 

staff buy-in for reforms and is able to “make SLC changes happen.” One school respondent described 

the school principal’s leadership style: “She empowers teachers and allows them to take risks.... there 

is substantial ownership on the part of a growing number of teachers.” A respondent at another school 

noted that their principal “has created a great niche for the program, facilitating the extra meetings that 

are needed.” School leadership does not exclusively rest in the role of school principal. Rather, three 

schools reported that having a full-time SLC director responsible for the implementation process has 

been a major facilitator in the SLC implementation process. 

A Leader Among Peers 

One district superintendent told us, “Without her [the school principal], we would not be here.” This 

principal of a career academy program school led the reform movement by establishing teacher buy-in 

first. She developed a critical mass of support among her faculty by holding weekly meetings about 

how to develop a career academy structure before applying for the grant, and has continued with the 

weekly meetings as implementation has progressed. As could be expected, she credits the work of 

her colleagues, “No fewer than 35 staff members (out of a total faculty of 87) have been at every 

meeting held to discuss these changes.” Teachers recognize the collaborative process, having been 

given the opportunity to provide continuous feedback on the change process. In addition, teachers 

were encouraged to conduct site visits with other schools developing career academy programs to 

understand the school-level structural changes that are needed in implementation. As a by-product, 

teachers report feeling less isolated, and report being in contact with a greater number of colleagues 

than before. The principal has been identified by the superintendent and the intermediary agency that 

helped the high school acquire the federal SLC funds as the main driver of reforms at the school. Now 

parents and the local community have added their support as the SLC program continues to grow and 

even receives coverage from the local media.
Chapter 4: Implementation of Career and Freshman Academies 107 

Staff Buy-In 

Strong school leadership and the high levels of staff buy-in for school change are consistently 

linked in our case study findings.46 In all six of the schools with career academies and seven of 

the eight schools with freshman academies that were characterized by strong school leadership, 

high levels of staff buy-in were also present. 

Staff buy-in has played a key role in a school’s ability to implement changes, as teachers have 

become responsible for new roles in restructured schools (e.g., teaming partners, collaborators for 

curriculum reform, student advisors). Overall, nine of the case study schools—both freshman and 

career academies—reported high levels of staff buy-in for their implementation process. The followup telephone interviews yielded parallel findings. There remains a high level of staff buy-in in five 

out of the eight schools where their implementation process is still characterized by strong school 

leadership. In addition, respondents from all three of the high schools that have restructured into 

small schools report high levels of staff buy-in as a major facilitator in the conversion to small 

schools. 

There is a higher degree of staff buy-in for change in freshman academy programs than in career 

academy programs. Respondents at six out of the ten freshman academy programs report a high level 

of staff buy-in for the SLC program, compared to three of eight career academy programs. For many 

schools, the reforms required to implement a career academy have been more complex than those 

changes needed for freshman academy programs, thus making teachers more hesitant to support 

changes. In addition, schools have been more likely to see more immediate changes in desired 

outcomes (e.g., student behavior) with the implementation of a freshman academy. For example, one 

school implementing both a freshman and career academy program had an easier time in recruiting 

teachers to remain on a freshman academy team than maintaining teachers within particular career 

academy groups. Ninth-grade teachers reported anecdotal evidence of improved freshman behavior 

and an increased focus on academics after just a year of freshman academy implementation. This 

early success made teachers more willing to work toward continued SLC changes within the 

freshman academy program, as the model seemed to have immediate benefits for the school. 

The absence of school-level leadership and the lack of staff buy-in have impeded implementation in 

several case study schools. At one school whose implementation process has been previously 

characterized by weak school leadership and a lack of buy-in, administrators have had to “cajole” 

teachers into taking on additional responsibility or new roles that have been created by the SLC 

model. In fact, according to the new principal, there is a small group of teachers that would like to 

dismantle the SLC changes that have already been made. In his words, “There is a small but 

determined group of teachers that still operates like it is 1975.” 

District Leadership for SLC Changes 

The district role in school-level SLC implementation has varied along two dimensions: the intensity 

of involvement and the amount of direction given to schools. 

More than half of the 18 schools in the case study sample reported receiving support from their 

districts throughout their SLC implementation process. The kind of support that districts have offered 

 

46 These schools in their PIS survey responses also noted the important roll of staff buy-in. 
Chapter 4: Implementation of Career and Freshman Academies 108 

schools, however, represents an important difference. In five of these schools, the district has played 

an active and supportive role in the implementation process. Some district staff, for example, 

facilitated staff meetings to implement change. Another district conducted technical assistance with 

schools to produce school-specific recommendations for continued implementation progress. In 

schools where the district office has been an active and supportive player in the SLC reform process, 

the district is seen as a facilitator. Other districts, although still verbally supportive of SLC reforms, 

have not been as involved. For example, several districts have only been responsible for approving 

SLC expenditures or reform plans. Respondents from schools in these districts viewed their 

autonomy as a mixed blessing. 

Three schools in the case study sample characterize their reform process as being actively prescribed 

by the district office. All three schools have experienced difficulty in getting and maintaining school 

staff buy-in. In one of these schools, the district has continued to mandate changes to the school’s 

SLC plan. Most recently, in response to district directives, the school changed its freshman academy 

and vertical house plan (with four houses) into six career academies with themes. Staff buy-in had to 

be secured for each set of changes that the district required. Even in schools where there is a convergence between district and school designs for SLC reform, a prescriptive district’s activities were 

described as “annoying.” The prescriptive role of the district often made school administrators and 

staff feel that they no longer had a substantial voice in reform, and therefore were less likely to 

support SLC changes. The example below elaborates on school responses to a prescriptive district 

policy. 

One Size Fits All? 

One school district approved a commercially developed comprehensive reform plan in 1996, formally 

adopting it a year later. The plan called for implementation of the reform model to be phased in “wallto-wall” within schools (i.e., whole-school), cluster-by-cluster, districtwide, beginning with the cluster 

that contained the poorest and worst-off schools. The plan for phasing-in implementation included an 

initial planning year prior to the first year of implementation in each cluster. Although the model itself 

included many sound features (e.g., providing “continuity of care” through looping, and increasing 

personalization by developing career academy-like structures called themed houses), staff and 

administration at the two schools we visited felt they had been excluded from the decision-making 

process and that the model itself was too much like a “cookie cutter” plan, that their schools’ individual 

contexts and characteristics demanded adaptations that the district would not permit. At one of the 

two schools, teachers felt that the reform plan was just the latest in several rounds of district-initiated 

reforms. This perpetuated the lack of buy-in for the district’s reforms; teachers seemed to have a “this 

too shall pass” attitude about restructuring. The other SLC school visited in the district illustrated the 

other side of the same problem. Through a collaborative process, this school’s principal and staff 

made thoughtful choices about which components of the district’s restructuring plan worked best for 

the school. Teachers and administrators expressed anxiety that the district would crush the school’s 

own initiative and expertise by requiring them to implement all aspects of the model, when the school 

was already working through its own solutions. In both schools, the process was frustrating for the 

administrators and teaching staff alike as they struggled to keep up with mandates that seemed 

arbitrary. 
Chapter 4: Implementation of Career and Freshman Academies 109 

The Role of Professional Development 

The case study visits show professional development as a critical factor in the SLC implementation 

process in several sites. Respondents from six of the 18 case study schools reported that professional 

development played a vital role in the development of SLCs. The professional development 

programs of these schools shared a number of characteristics. Professional development offerings 

were typically comprised of topics directly related to a school’s SLC program. For example, schools 

were likely to provide teachers and other staff with information about why they had chosen to 

implement SLCs, as well as more specific content related to classroom-level implementation. 

Common topics offered included teaming and team-building, interdisciplinary curriculum, and 

developing learning communities within a school. Professional development was conducted over a 

sustained period of time (e.g., the professional development program was carried out over the course 

of one academic year). Schools were also likely to send teachers and other staff on site visits to 

schools implementing SLC programs to learn about how to make SLC changes to their school. 

In those schools in which professional development was not a major facilitator to SLC program 

implementation, the school-level professional development offerings were less likely to be sustained 

over time, and professional development topics were less likely to be SLC-specific. Seven schools 

reported that professional development did not meet the needs of SLC program implementation. For 

example, respondents in these schools often reported that professional development opportunities 

were great in number during initial implementation of the SLC program (e.g., a weeklong planning 

and professional development session prior to their planning and first implementation years) but did 

not continue throughout the academic year. In many cases, teachers reported that professional 

development was not specific enough to the classroom-level implementation of SLCs to be useful. In 

addition, school respondents commented that professional development offerings were insufficient to 

encompass the number of SLC issues about which teachers needed to be trained. Schools whose 

respondents found relatively little value in the professional development offerings were often 

characterized by other inhibiting factors, such as limited (or no) teacher buy-in. In addition, these 

schools often did not build a professional development plan to align with SLC implementation. 

Graduation Requirements and State Assessments 

The graduation requirements facing most high school students typically come in two forms—a certain 

number or sequence of courses to be completed and an externally mandated assessment. For most 

case study schools, graduation course requirements have remained unchanged throughout school 

reorganization (as these are often district- or state-created). When the school is divided into smaller 

student population units without changing graduation course requirements, the school must provide 

students with access to all core academic courses. This usually leaves schools with two imperfect 

choices: schools must either offer required courses in each academy (a hardship given staffing 

shortages, discussed below) or allow students to enroll in required courses across academies, 

abandoning the goal of academy “purity” (i.e., the extent to which class sections are comprised of 

students from the same academy, and teaming teachers, share the same students). In addition, themed 

academies must provide applied or modified courses to reflect the theme, necessitating a greater 

variety of courses even if the total number of courses offered remains unchanged. Therefore, many 

schools are struggling with curriculum revisions and how to differentiate academies from each other, 

especially in light of mandated graduation requirements. 
Chapter 4: Implementation of Career and Freshman Academies 110 

While course requirements have remained unchanged in most case study schools, externally 

mandated student assessments were reported to have inhibited implementation in five of the 18 case 

study schools (four with career academies and one with freshman academies). The five schools were 

all “moderately implementing” and were trying to be responsive to state testing requirements and 

their own efforts to more fully implement their programs. In one school with career academies, 

developing career infusion modules for core academic courses and career elective classes was delayed 

to give students more time to prepare for the state-level test. Although passing the test was not 

required for graduation, the results were used to determine the school’s AYP status so was cited as 

very important to school staff. In a second school with career academies, field trips and job 

shadowing (and other examples of “real life experiences” for students) were cancelled to provide 

students with more test preparation time. School respondents noted that they had taken these actions 

because the state each year raised the cut-off score for passing this test, required for high school 

graduation. 

Managing Limited Resources 

School Staffing Needs 

Several case study schools have experienced staffing shortages, both at the school and district levels. 

One school with very critical staffing shortages resorted to hiring long-term substitute teachers. The 

implementation of an academy program can exacerbate these schools’ needs for staff. Simply put, 

dividing the students into smaller groups increases the number of classes to be staffed. For example, 

one case study school admitted that finding certified core teachers to assign to each career academy 

group was a near impossibility.

Space 

For many schools, creating a separate identity for each academy is an integral part of their 

restructuring plan. A distinct physical space aids in crafting a separate and cohesive identify for its 

SLC program and academies. For career academy programs, the specialization into academy themes 

creates the need for specialized equipment and space (e.g., media production facilities, darkrooms, 

science labs, and weather stations, etc.). Given the limited resources and the other needs in 

restructuring, these expenditures can be among the last that a school finances, making curricular 

changes more difficult. 

Three case study schools report that the physical structure of the school building was seen as a major 

facilitator in the creation of freshman academies. The hub-and-spokes design of one building allowed 

for a well-defined academy space in one of the four spokes, or wings. In the two other schools, a 

newly completed construction project included a brand new wing devoted to the freshman academy. 

The ability to provide adequate space for the freshman academy was considered critical in these 

schools. Most schools, however, due to their size and possible overcrowding, do not have the luxury 

of affording each SLC subunit its own space.

This chapter has focused on the implementation of career and freshman academies, and on the extent 

to which program components as described in the federal program legislation have been put in place. 

We also discussed factors affecting freshman and career academy implementation. The next chapter 

looks at change in school-level student outcomes over time. 
Chapter 5: Changes in Student Outcomes 111 

Chapter 5 

Changes in Student Outcomes: Analysis of Annual 

Performance Reports 

Introduction 

The purpose of this study is to report on the implementation of SLCs as supported by federal SLC 

grant funds, rather than on outcomes associated with such school reform efforts. Nevertheless, given 

the longitudinal data collected through the APR, we are able to report on a broad array of outcomes 

that SLC programs are intended to improve.47

As discussed in Chapter 3, SLC schools provided self-reported data through the APR. Schools first 

completed the APR during the 2000–01 school year, at which time they also provided retrospective 

data for school years 1996–97 through 1999–00. APR data were also collected annually for school 

years 2001–02 and 2002–03. Therefore, the APR provides longitudinal data with which we are able 

to track trends in academic achievement, school-related behaviors, and the achievement of academic 

milestones at the school level. 

This chapter presents changes in school-level outcomes as reported by Cohort 1 SLC schools for 

school years 1996–97 through 2002–03, the four years preceding and three years during receipt of 

federal SLC funds. Our analyses explored a wide range of outcomes, which fall into three major 

categories: 

Academic Achievement: 

• Statewide assessments 

− Percentage of students reaching proficiency in reading or language arts 

− Percentage of students reaching proficiency in mathematics 

• College entrance exams 

− Percentage of students in grades 11 and 12 taking the SAT 

− Percentage of students in grades 11 and 12 taking the ACT 

− Average SAT score 

− Average ACT score 

Achievement of Academic Milestones: 

• Promotion rate from ninth grade 

• Graduation rate 

− Based on ninth-grade enrollment four years prior of graduating cohort 

− Based on 12th-grade enrollment of graduating cohort 

 

47 Although we use the term “outcomes” throughout this chapter, the reader should be reminded that these APR measures 

were not designed as evaluation outcomes, but rather as measures of student progress over time for program monitoring 

purposes. 
Chapter 5: Changes in Student Outcomes 112 

• Percentage of high school students simultaneously enrolling in secondary and collegelevel courses 

• Percentage of graduates intending to enroll in a two- or four-year college 

School-Related Behaviors: 

• Average daily attendance 

• Participation in extracurricular activities 

• Incidence of violence 

• Incidence of drug use 

• Incidence of disciplinary action 

Data Requirements 

In general, schools were not able to provide complete longitudinal data on all of the variables listed 

above. Retrospective data (school years 1996–97 through 1999–00) on outcomes such as the 

percentage of students proficient in either mathematics or reading were especially sparse. 

Nevertheless, because the goal of this analysis was to examine trends before and after SLC funds 

were received, schools needed to have at least one pre-SLC grant (i.e., 1996–97 through 1999–00) 

data point and at least one post-SLC grant (i.e., 2000–01 through 2002–03) data point to be included 

in the analysis of each outcome. For this reason, the number of schools included in the analyses 

varies across APR outcomes. 

Methodology 

The school-level APR outcome data represent aggregate measures across all students in each school. 

In this section, we outline our approach to modeling school-level APR outcomes using longitudinal 

growth curve analysis. Our analysis was based on a mixed model approach used to examine change 

over time in school outcomes at two levels: within school and between school (see Appendix I for 

further discussion). The analysis consisted of several steps. First, a trend line was estimated for each 

school, based on the data available for that school. The next step involved looking across these 

estimates to understand the trend associated with the “average” SLC school. Last, school-level trend 

lines were compared to explore whether or not there was significant variation among schools in terms 

of how they were changing over the seven-year data collection period. 

Thus, with these analyses we are modeling not only how schools are trending over time but also 

whether or not there is a shift in trends when schools receive SLC funds. This allows us to examine 

whether or not there is a “jump” in outcomes after SLC funds are introduced, and whether or not there 

is a change in the trend line of each outcome over time after SLC funds are introduced. 

The mixed model approach, therefore, allows us to answer the following questions: 

1. How does each school change over time with respect to each outcome of interest? 

2. Is there a difference in school-level performance before and after federal SLC funds were 

received? 

3. Do trajectories of change vary among schools? 
Chapter 5: Changes in Student Outcomes 113 

These analyses produce two sets of results—an average trend (i.e., fixed effects) and estimates of 

variation across schools (i.e., random effects). That is, the fixed effects portion of the model 

estimates a trend over time across schools for the average SLC school, and the random effects portion 

reveals whether or not there is significant variation among individual schools around the estimated 

average. Both components contain equally valuable pieces of information. For example, even if an 

average trend line is flat overall, schools may vary significantly from each other in terms of their 

individual trend lines. Additional predictors can then be added to the model to examine whether or 

not this between-school variation is systematically related to features of the SLCs being implemented. 

Where significant between-school variation was found, we examined whether or not this variation 

was related to specific SLC structures (i.e., career or freshmen academies) or personalization 

strategies (as discussed in Chapter 3). The results of these analyses, however, showed that neither 

SLC structure types nor personalization strategies were significant predictors of variation in average 

trends for any of the outcomes examined in this chapter. 

A series of models was examined for each outcome, exploring whether or not a significant trend 

existed in the pre- or post-funding periods, and whether or not there was a significant “jump”, either 

positive or negative, between the two periods. “Best” fitting models were selected for each outcome, 

based on the statistical significance of the fixed and random effects (Appendix I, Exhibit I.1) contains 

details on the specific parameter estimates generated for each outcome). That is, the model 

underlying the presentation of each outcome was based on the most parsimonious representation of 

the shape of each trend line over time. Average trends, or the fixed effects, for each APR outcome 

are presented graphically in Exhibits 5.1 through 5.17. The emphasis of the discussion for each 

outcome is on apparent average trends in data over time, as well as any shifts in the data following 

receipt of SLC funding. Although the data displays focus on the average shifts and trends, we also 

indicate where significant variation exists among schools in terms of their individual trend lines. In 

this case, the average values plotted in the exhibits in this chapter do not necessarily represent the 

range of values among all schools. Appendix I (Exhibit I.2) contains additional information on the 

range in values for those parameter estimates where statistically significant variation was detected. 

Although statistical tests have been conducted on these trends, we first discuss a number of caveats to 

the data before presenting our results. These caveats are extremely important in interpreting the 

trends of APR outcomes discussed in this chapter. 

Caveats to Interpreting Trends 

Data Issues and Measurement Error 

As mentioned previously in Chapter 2, the APR is based on self-reported data submitted to ED by 

each SLC grantee. The first round of APR data collection in fall 2001 provided data for the first 

implementation year after receiving SLC funds (SY 2000–01) as well as for the preceding four years. 

Subsequent administrations of the APR covered the most recently completed school year only. Thus, 

the pre-grant period data based on retrospective data collection may not be as accurate as post-grant 

data, depending on the data archiving capacity of each school district. 

In addition, the fact that the APR outcome data are collected from schools in different districts and 

states presents some challenges in terms of data comparability. One potential problem is that 

measures may not be calculated in a uniform manner across schools and districts. For instance, 

schools may vary in how they define “disciplinary action,” so that counts of the numbers of 

disciplinary actions may not be comparable across schools. Thus, although specific instructions were 
Chapter 5: Changes in Student Outcomes 114 

given to each grantee defining how the APR should be filled out, considerable variation exists among 

grantees in terms of how certain outcomes, such as disciplinary actions, postsecondary attendance or 

participation in extracurricular activities were interpreted. 

A related problem is the comparability of state assessment scores across states. The APR collects 

school-level measures of students’ performance on statewide assessments from schools across a large 

number of states, such as the number of students scoring at the “proficient” level in reading and 

language arts. Because many states design their own statewide assessments in response to some 

predetermined standard of competence, scoring at the “proficient” level has different meanings in 

different states. This limits our ability to compare performance on statewide tests across states. We 

can still measure the relative improvement of a school over time, however, assuming the same state 

tests are used and standards of competence have not changed. 

In addition to issues of potential non-comparability among schools, the APR outcome data are also 

limited in that they are measured at the level of the school, rather than the SLC itself. If only a 

fraction of the students are participating in an SLC program, any outcome data will include 

participants and nonparticipants alike. Therefore, it may be hard to detect changes in outcomes for 

SLC structures or strategies that affect just some students, as any such impact would be diluted across 

a larger number of students with the availability of data only at the school level. For example, many 

schools only implemented freshman academies as part of their SLC program. As these academies 

only enroll ninth-grade students, any outcomes measuring student progress will be attenuated by the 

fact that only a minority of the school’s population are affected by the intervention. 

Lack of Appropriate Comparison Group 

Given the lack of an appropriate comparison group for these data, trends should not necessarily be 

attributed to the SLC program. Without randomly assigning students to SLC schools coupled with 

appropriate controls, there is no way of conclusively determining whether observed trends are due to 

implementation of the SLC or to other alternative explanations (e.g., change in student population, 

presence of other concurrent reform efforts in schools, etc.). 

To facilitate this discussion and provide a general benchmark, however, national comparative data are 

also presented, when available. These data are provided with several caveats. First, data were 

obtained from several sources, including the Common Core of Data, other ED-sponsored datasets, 

and reports from the College Board and other sources, resulting in a lack of comparability. For 

certain variables, such as promotion rates, school-level values could be computed. In the case of 

other variables, such as average daily attendance, the only data available were aggregated to the state 

level. When data were available at the school level, the comparison could in some cases be restricted 

to include only high schools with grade 9 to 12 enrollments of more than 1,000 students. This is 

obviously not the case for state- or even district-level data, which may include data on elementary 

schools and schools of all sizes. In addition, in the case of variables such as average SAT score, 

estimates of national averages include both public and private schools. The national comparisons 

provided should be used as a general benchmark, but not for reaching any definitive conclusions 

about the performance of Cohort 1 SLC schools, especially given the lack of comparability with our 

data. 

Prior SLC Involvement 

Second, in examining the findings presented here on change in student outcomes over time, it is 

important to note that the majority of schools had already begun implementing their SLC prior to 
Chapter 5: Changes in Student Outcomes 115 

receiving grant funds. As reported in Chapter 3, upward of three-fourths of the Cohort 1 SLC schools 

had already begun some form of SLC implementation prior to the 2000–01 school year. Thus, any 

possible variation in changes in outcomes may only relate to the receipt of the SLC grant rather than 

to the implementation of an SLC. 

Dynamics of Implementation Process 

A possible cause of lack of change, or even negative change may be the implementation process 

itself. That is, restructuring such a large institution as a high school may not only lead to no 

immediate changes, but there may actually be a dip in outcomes as school staff take on and become 

accustomed to their new roles. Thus, although positive trends in outcomes should not necessarily be 

attributed to SLC implementation, negative or flat trends should also be viewed with caution as 

schools adjust to the task of restructuring. 

Student Academic Achievement Outcomes 

In order to measure trends in academic achievement, 11th grade school-level mathematics and 

reading or language arts outcomes (as measured by statewide proficiency-based assessments) were 

examined. It is important to note that the 11th-grade data dealing with proficiency levels were 

particularly sparse. In fact, these data were mostly unavailable for schools located in California. 

Because the California schools make up approximately one-quarter of the Cohort 1 sample, we 

obtained school level Stanford 9 (SAT9) achievement test data for this portion of the sample.48 As 

these data were not comparable to data reported by other SLC schools, results are presented 

separately for all 27 California schools. 

As for non-California schools, based on our decision rule for including a school in the analysis of a 

particular outcome, a school had to have at least one data point in both the pre-funding and postfunding periods for trend lines in each period to be estimated. Because a number of schools lacked 

either pre- or post-funding data for these variables, a total of only 35 non-California schools were 

included in the examination of proficiency in reading or language arts, and only 31 were included in 

the examination of proficiency in mathematics. 

Also included in this section is an exploration of trends in school-level SAT and ACT participation 

rates and score averages. 

Statewide Assessment 

Average scores for reading showed a statistically significant slight downward trend overall in the 

percentage of students at or above proficiency (Exhibit 5.1). In addition, there was a statistically 

significant variation shown across schools in the increase in reading proficiency made by schools 

during 2001–02. No relationship was found, however, between this variation among schools and 

SLC structure types or personalization strategies being implemented.49 For mathematics, on the other 

hand, although there was a statistically significant slight downward trend over time in the percentage 

of students at or above proficiency in mathematics, there was also a statistically significant increase 

 

48 U.S. Department of Education, National School-Level State Assessment Score Database, 1997–98 to 2001–02. 

49 In fact, neither SLC structures nor personalization strategies were significant predictors of average trends or variation 

among schools for any of the outcomes examined in this chapter; full test information is provided in Appendix I. 
Chapter 5: Changes in Student Outcomes 116 

shown in the percentage of students at or above proficiency during the post-SLC grant period (Exhibit 

5.2). 

Exhibit 5.1 

Percentage of 11th-Grade Students At or Above Proficiency in Reading in Average SLC 

School (excluding California) (n=35)

62% 61% 60% 58%

61% 59% 58%

20%

40%

60%

80%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal SLC funds

Exhibit reads: During the 1996–97 school year, 62 percent of students were at or above proficiency 

in reading in the average (non-California) SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4A 

(Statewide Assessments), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 
Chapter 5: Changes in Student Outcomes 117 

Exhibit 5.2 

Percentage of 11th-Grade Students At or Above Proficiency in Mathematics in Average SLC 

School (excluding California) (n=31)

59%

55%

52%

48%

57%

54%

50%

20%

40%

60%

80%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal SLC funds

Exhibit reads: During the 1996–97 school year, 59 percent of students were at or above proficiency 

in mathematics in the average (non-California) SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4A 

(Statewide Assessments), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

Exhibits 5.3 and 5.4 present the percentage of 11th-grade students at or above the 50th percentile on 

the SAT9. The exhibits suggest that statewide assessment scores for California schools changed for 

both reading and mathematics over this five-year period. The model for reading (Exhibit 5.3) reveals 

that although schools do not appear to be trending significantly over time in either the pre- or postperiods, there was a statistically significant small positive jump between the two periods of about two 

percentage points. For mathematics, on the other hand (Exhibit 5.4), there was a statistically 

significant slightly positive trend in the percentage of students at or above proficiency in mathematics 

over time, with no abrupt signal of change when schools received their SLC grants. 
Chapter 5: Changes in Student Outcomes 118 

Exhibit 5.3 

Percentage of 11th-Grade Students At or Above 50th Percentile on SAT9 Reading in Average 

SLC School (California only) (n=27)

30% 30% 30%

32% 32%

20%

40%

60%

80%

1996–97 1997–98 1998–99 1999–2000 2000–01 2001–02

Percent of Students

Receipt of federal 

SLC funds

Exhibit reads: During the 1997–98 school year, 30 percent of 11th-grade students were at or above 

the 50th percentile on the Stanford 9 reading assessment in the average California SLC school. 

Source: U.S. Department of Education, National School-Level State Assessment Score Database, 1997–98 to 

2001–02. 

Notes: a Data not available for SY 1996–97 or 2002–03. 

 b The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt 

values may not reflect SLC effectiveness given delays in implementation and other uncontrolled 

factors. 
Chapter 5: Changes in Student Outcomes 119 

Exhibit 5.4 

Percentage of 11th-Grade Students At or Above 50th Percentile on SAT9 Mathematics in Average 

SLC School (California only) (n=27)

38% 40% 43% 42% 44%

20%

40%

60%

80%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02

Percent of Students

Receipt of 

federal SLC 

funds

Exhibit reads: During the 1997–98 school year, 38 percent of 11th-grade students were at or above the 

50th percentile on the Stanford 9 mathematics assessment in the average California SLC school. 

Source: U.S. Department of Education, National School-Level State Assessment Score Database, 1997–98 to 

2001–02. 

Notes: a Data not available for SY 1996–97 or 2002–03. 

 b The values presented in this exhibit were estimated with a mixed model analytical approach that is 

 discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values 

 may not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

College Entrance Exams 

Data on students taking the ACT (Exhibit 5.5) suggest a statistically significant slight upward trend in 

the percentage of students taking the ACTs during the pre-grant period (in schools where the exam is 

taken). Although the average change after receiving an SLC grant was 0, there was a statistically 

significant variation across schools in how much their participation in the ACT increased over the 

post-grant period. There was no relationship, however, between this variation and factors of SLC 

implementation such as structure type or personalization strategies. 

Similarly, we see a statistically significant upward trend in the percentage of students taking the SAT 

(Exhibit 5.6). The trend was in a positive direction in both the pre- and post-grant period, with the 

trend increasing significantly only in the pre-grant period. Schools also varied in the amount of 

change in participation during the post-grant period. Variation in these trends, however, was 

unrelated to factors of SLC implementation. Comparable national data for student participation in 

college entrance exams were not available. 

Average total SAT scores were very consistent over time, hovering around 950 (Exhibit 5.7). 

Although the average trend over time across schools was essentially flat, schools varied significantly 

from one another in both pre and post change and trend line. That is, some schools showed a positive 

trend, some a negative trend, some a zero trend, etc. Variation in these trends, however, was 

unrelated to factors of SLC implementation. 
Chapter 5: Changes in Student Outcomes 120 

Exhibit 5.5 

Percentage of Students in Grades 11 and 12 Taking ACT Test in Average SLC School (n=64)

13% 14% 15% 15% 17% 16% 15%

0%

20%

40%

60%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal SLC funds

Exhibit reads: During the 1996–97 school year, 13 percent of 11th- and 12th-grade students were 

taking the ACT test in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4B 

(College Entrance Exams), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 
Chapter 5: Changes in Student Outcomes 121 

Exhibit 5.6 

Percentage of Students in Grades 11 and 12 Taking SAT Test in Average SLC School (n=90)

18% 19% 19% 19% 21% 23% 25%

0%

20%

40%

60%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal 

SLC funds

Exhibit reads: During the 1996–97 school year, 18 percent of 11th- and 12th-grade students were 

taking the SAT test in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4B 

(College Entrance Exams), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 
Chapter 5: Changes in Student Outcomes 122 

Exhibit 5.7 

Average Total SAT Score in Average SLC School (n=89)

950 950 951 951

942 945 947

1016 1017 1016 1019 1020 1020

1026

900

1000

1100

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Average SAT Score

Average SLC School

National average

Receipt of federal 

SLC funds

Exhibit reads: During the 1996–97 school year, the average total SAT score in the average SLC 

school was 950, compared to the national average of 1016. 

Sources: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4B 

(College Entrance Exams), SY 1996–97 through SY 2002–03; 2003 College-Bound Seniors: A 

Profile of SAT Program Test Takers, The College Board. 

Notes: a The values presented in this exhibit were estimated with a mixed model analytical approach that 

 is discussed in the methods section of this chapter and fully presented in Appendix I. Post- 

 receipt values may not reflect SLC effectiveness given delays in implementation and other 

 uncontrolled factors. 

 b National data not available for SY 2001–02. 

Although there was a statistically significant but small downward trend in average ACT scores in the 

post-grant period, ACT scores hovered around an average of 19 across the years of data collected 

(Exhibit 5.8). As with SAT scores, there was also statistically significant variation across schools in 

terms of their pattern of scores. As Exhibits 5.7 and 5.8 also show, SLC schools appear to score 

below national averages on both of these standardized tests. It should be mentioned, however, that 

these national estimates include all test takers, from both private and public schools, large and small. 

Although they are helpful in understanding how the nation performs as a whole, they represent a 

population markedly different from that of potential SLC schools, all of which are public schools. 

In summary, we do not see any evidence of consistent positive change among schools associated with 

the receipt of their SLC grants. 
Chapter 5: Changes in Student Outcomes 123 

Exhibit 5.8 

Average Total ACT Score in Average SLC School (n=70)

19.3 19.4 19.4 19.5 19.4 19.2 19

21 21 21 21 21 21 21

15

20

25

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Average ACT Score

Average SLC school

National average

Receipt of federal 

SLC funds

Exhibit reads: During the 1996–97 school year, the average total ACT score in the average SLC 

school was 19.3, compared to the national average of 21. 

Sources: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4B 

(College Entrance Exams), SY 1996–97 through SY 2002–03; 2001, 2003 ACT National Score 

Reports. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

Achievement of Academic Milestones 

Ninth-Grade Promotion Rate 

Although ninth-grade promotion rates appear stable, on average, across all years of data collection 

(Exhibit 5.9), there is a statistically significant positive trend in the percentage of ninth-grade students 

being promoted to 10th grade during the post-grant period. It is noteworthy that this trend also held 

for SLC schools implementing freshman academies, which have as an expressed focus reducing the 

ninth-grade dropout rate. In addition, mean estimates were similar to the national average for large 

high schools by the end of data collection (85 percent). 
Chapter 5: Changes in Student Outcomes 124 

Exhibit 5.9 

Promotion Rate from 9th to 10th Grade in Average SLC School (n=116)

82% 82% 81% 81%

83%

85%

85% 85% 85% 85% 85%

70%

80%

90%

100%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Average SLC

school

National average

Receipt of federal 

SLC funds

Exhibit reads: During the 1998–99 school year, 82 percent of 9th grade students were promoted to 10th grade 

in the average SLC school, compared to the national average of 85 percent. 

Sources: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 2 (School 

Background), SY 1996–97 through SY 2002–03; Common Core of Data, Public Elementary, Secondary 

School Universe Survey Data, 1997–2003. 

Notes: The values presented in this exhibit were estimated with a mixed model analytical approach that is discussed in the 

methods section of this chapter and fully presented in Appendix I. Post-receipt values may not reflect SLC effectiveness 

given delays in implementation and other uncontrolled factors. Data for SLC schools not available for SY 1996–97. 

National data not available for SY 1996–97 and 1997–98. 

Graduation Rate (Based on 9th-Grade and 12th-Grade Enrollment of Graduating Cohort) 

Graduation rate was calculated via two different ways for these analyses—based both on the ninthgrade enrollment four years prior of the graduating cohort and on the 12th-grade enrollment of the 

graduating cohort (Exhibit 5.10). Graduation rate based on ninth-grade enrollment provides a better 

picture of the prevalence of failure to complete a secondary education. Nevertheless, because we 

were limited to seven years of SLC school data, we were only able to calculate graduation rate based 

on ninth-grade enrollment for four years, school years 1999–00 through 2002–03. In contrast, using 

12th-grade enrollment provides more information about the shape of the trend line across all seven 

years for which we have data. 

In examining Exhibit 5.10, we notice first that there was a discrepancy of approximately 33 

percentage points between the estimates based on 9th- and 12th-grade enrollments—indicating that a 

large proportion of students, indeed, leave high school before entering the 12th grade. Nevertheless, 

the shapes of the trend lines are similar. Although there was a slight jump downward after SLC 

funding (statistically significant where graduation rate is based on ninth-grade enrollment), data over 

time revealed a statistically significant slight upward trend in graduation rate, based on ninth-grade 

enrollment. 
Chapter 5: Changes in Student Outcomes 125 

Exhibit 5.10 

Graduation Rates in Average SLC School, Based on 9th- and 12th-Grade Enrollment of 

Graduating Cohort (n=114)

87% 88% 88% 89% 88% 89%

91%

55%

53%

55%

57%

50%

60%

70%

80%

90%

100%

1996–97 1997–98 1998–99 1999-2000 2000–01 2001–02 2002–03

Percent of Students

Based on 12th grade

enrollment

Based on 9th grade

enrollment

Receipt of federal SLC 

funds

Exhibit reads: During the 1999–2000 school year, the graduation rate based on 12th-grade 

enrollment was 89 percent and the graduation rate based on 9th-grade enrollment four years prior 

was 55 percent in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

Participation in Postsecondary Education 

Although simultaneous enrollment in secondary and college-level courses remains rather uncommon 

among students in SLC schools (Exhibit 5.11), there is about a statistically significant 2 percentagepoint increase in participation post-SLC grant. 

The data also suggest increases in the percentage of graduating students intending to attend either 

two- or four-year colleges (Exhibit 5.12). That is, there is an average statistically significant increase 

of about 4 percentage points between the pre- and post-grant periods. The absence of comparative 

national data, however, makes it difficult to infer whether this is due to receipt of the SLC grant rather 

than part of a more general national trend. 
Chapter 5: Changes in Student Outcomes 126 

Exhibit 5.11 

Percentage of Students Simultaneously Enrolled in Secondary and College-Level Courses in 

Average SLC School (n=86)

3%

4% 4%

5%

6%

5%

4%

0%

5%

10%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year, 3 percent of students were simultaneously enrolled 

in secondary and college-level courses in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 
Chapter 5: Changes in Student Outcomes 127 

Exhibit 5.12 

Percentage of Graduates Intending to Attend Two- or Four-Year Colleges in Average SLC 

School (n=77)

65% 65% 65% 65%

69% 69% 69%

60%

70%

80%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Graduates

Receipt of federal 

SLC funds

Exhibit reads: During the 1996–97 school year, 65 percent of graduates intended to attend two- or 

four-year colleges in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

In summary, trends in the area of the achievement of academic milestones, while modest, appear to be 

moving in the right direction. 

School-Related Behaviors

Average Daily Attendance 

Trends suggest a slight statistically significant increase in the rate of average daily attendance in the 

average SLC school over the seven years of data collection, with no difference between the pre- and 

post-grant periods (Exhibit 5.13). Given that national data are not yet available for the 2002–03 

school year, it is difficult to interpret this apparent increase in attendance in SLC schools. It is 

important to note that this national average is based on a population somewhat different from that of 

SLC schools, as it includes both elementary and secondary schools of all sizes. 

Involvement in Extracurricular Activities 

The trend for extracurricular involvement in SLC schools showed a statistically significant substantial 

increase of 5 percentage points in participation after receipt of SLC funding. (Exhibit 5.14). In 

addition to this increase in participation across all schools, there was also statistically significant 
Chapter 5: Changes in Student Outcomes 128 

variation across schools in how much they increased in the post-grant period. This variation, 

however, was unrelated to factors of SLC implementation. 

Exhibit 5.13 

Average Daily Attendance in Average SLC School (n=88)

89% 89%

90% 90% 90%

91% 91%

92%

93% 93% 93% 93% 93%

85%

90%

95%

1996–97 1997–98 1998–99 1999–2000 2000–01 2001–02 2002–03

Percent of Students

Average SLC school

National average

Receipt of federal 

SLC funds

Exhibit reads: During the 1996–97 school year, the average daily attendance in the average SLC school was 89 

percent, compared to the national average of 92 percent. 

Sources: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C (Other 

Outcome Measures), SY 1996–97 through SY 2002–03; National Public Education Financial Survey and State 

Nonfiscal Public Elementary, Secondary Education Survey, 1996–2002. 

Notes: The values presented in this exhibit were estimated with a mixed model analytical approach that is discussed in the 

methods section of this chapter and fully presented in Appendix I. Post-receipt values may not reflect SLC effectiveness 

given delays in implementation and other uncontrolled factors. National data not available for SY 2002–03. 
Chapter 5: Changes in Student Outcomes 129 

Exhibit 5.14 

Percentage of Students Involved in Extracurricular Activities in Average SLC School (n=78)

41% 42% 42% 43%

49% 49% 50%

20%

40%

60%

80%

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Percent of Students

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year, 41 percent of students were involved in 

extracurricular activities in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

Incidence of Student Violence, Drug or Alcohol Use, and Disciplinary Action 

The three most recent years of data collection following the receipt of the SLC grant suggest that 

incidence of negative behaviors such as student violence (Exhibit 5.15) may be on the decline. The 

data suggest that, on average, SLC schools experienced a statistically significant 1.4-point drop in the 

number of violent incidents (per 100 students) during the post-grant period. Although the average 

rate of change was not significantly different from zero in either the pre- or post-grant periods, the 

rates of change did vary significantly across schools. This variation, however, was not explainable by 

SLC implementation factors. 
Chapter 5: Changes in Student Outcomes 130 

Exhibit 5.15 

Incidence of School Violence per 100 Students in Average SLC School (n=100)

5.6 5.7 5.7 5.8

4.5 4.7 4.8

0

2

4

6

8

10

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Number of incidents

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year there were 5.6 incidents of school violence per 100 

students in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

There was little change, however, in the incidence of alcohol and drug use in SLC schools across this 

seven-year period (Exhibit 5.16). That is, there was no evidence of statistically significant differences 

between the pre-and post-grant period across schools. 

National comparative data (for the 1998–99 school year only) suggest that SLC schools may have a 

higher-than-average incidence of violence and drug or alcohol use. Based on a subsample of large 

high schools (n=104), data from the School Health Policies and Programs Study 2000 (SHPPS) 

estimate an average of 2.14 incidents of violence per 100 students (median = 1.41) and 1.09 incidents 

of drug or alcohol use per 100 students (median = 0.85), although these estimates, based on only 104 

schools, are subject to sampling error. National longitudinal data can help identify if these apparent 

dips in student violence and drug and alcohol use may be the result of SLC implementation or are 

simply a mirror of national trends. 
Chapter 5: Changes in Student Outcomes 131 

Exhibit 5.16 

Incidence of Alcohol and Drug Use per 100 Students in Average SLC School (n=93)

1.8 1.8 1.7 1.6 1.6 1.5 1.4

0

1

2

3

4

5

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Number of incidents

Receipt of federal SLC 

funds

Exhibit reads: During the 1996–97 school year there were 1.8 incidents of alcohol or drug use per 

100 students in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

Although, on average, there is a very slight but not statistically significant downward trend in the 

number of disciplinary incidents per 100 students in SLC schools, the rate of change was not 

significantly different in the post-grant period (Exhibit 5.17). There was statistically significant 

variation, however, in both the amount and rate of change across schools, which was unrelated to any 

factors of SLC implementation. Unfortunately, national comparative data for these estimates are not 

available, and thus interpretations of this time trend must be made with caution. 
Chapter 5: Changes in Student Outcomes 132 

Exhibit 5.17 

Incidence of Disciplinary Action per 100 Students in Average SLC School (n=113)

31.1

29.7

28.3

26.9 27.1

25.6

24.2

0

10

20

30

40

50

1996–97 1997–98 1998–99 1999–00 2000–01 2001–02 2002–03

Number of incidents

Receipt of federal 

SLC funds

Exhibit reads: During the 1996–97 school year there were 31.1 incidents of disciplinary action per 

100 students in the average SLC school. 

Source: Implementation Study of Smaller Learning Communities: Annual Performance Report, Section 4C 

(Other Outcome Measures), SY 1996–97 through SY 2002–03. 

Note: The values presented in this exhibit were estimated with a mixed model analytical approach that is 

discussed in the methods section of this chapter and fully presented in Appendix I. Post-receipt values may 

not reflect SLC effectiveness given delays in implementation and other uncontrolled factors. 

In sum, early changes in academic outcomes, as measured by APR data, are modest at best. When 

there is evidence of change, trends appear to be moving in the right direction, especially in the area of 

behavioral outcomes. Specifically, trends in APR data suggest an upward trend in student 

extracurricular participation and downward trends in incidence of school violence, disciplinary action, 

and alcohol and drug use. Increases in the percentage of students taking the SAT and the percentage 

of students intending to continue to postsecondary education suggest a possible greater interest by 

students in SLC schools in postsecondary education. The following chapter summarizes the findings 

on Cohort 1 SLC schools as presented in this report.
Chapter 6: Summary of Findings and Future Directions 133 

Chapter 6 

Summary of Findings and Future Directions 

This chapter summarizes the findings on Cohort 1 schools from the Implementation Study of Smaller 

Learning Communities. In the last section of this chapter we discuss the future of Cohort 1 schools 

and lessons learned for prospective SLC districts and schools. 

Major Study Findings 

SLC Schools Compared to Large High Schools Nationwide 

The SLC schools in the first group of grantees are distinctly different from other large high schools 

(that is, schools with at least 1,000 students). The SLC schools are larger (median enrollment of 

1,874 students vs. 1,554 in large high schools), have a much higher percentage of minority 

enrollment (median of 60 percent vs. 22 percent), and are more likely to be located in urban areas

(60 percent vs. 33 percent). 

Overview of SLC Implementation 

Most schools reported applying for SLC funds to increase overall student academic achievement

(95 percent of schools), academic achievement of at-risk students (90 percent), and student 

motivation (87 percent). Schools were more likely to cite student academic or behavioral issues as 

major influences in their decision to implement an SLC program than issues external to the school, 

such as state or district mandates. More than half (54 percent) of the schools, however, highlighted 

the need for better student preparation for mandated assessments, and about half (49 percent) cited 

district-mandated school reform, as major influences in implementing an SLC. 

Schools responded to congressional intent to implement varied approaches, and they tended to 

implement more than one SLC structure or strategy, with schools averaging 1.3 structures and 2.3 

strategies. The most prevalent structures were career and freshman academies. Schools also 

changed over time, both in the number and types of SLC structures they were implementing. 

Freshman academies showed the most growth. In 2001–02, 38 percent of SLC schools had freshman 

academies; by 2002–03, the number had risen to 55 percent. Career academies showed some growth 

(from 38 percent of schools to 42 percent), whereas the overall proportion of other structures 

remained relatively unchanged. Schools with freshman academies, career academies, or schoolswithin-schools were more likely than schools with other structures to continue to implement the same 

SLC structures across both school years. 

Schools with freshman academies, house plans, and career academies reported success in involving a 

majority of their eligible students. Schools with freshman academies reported a high level of 

participation (78 percent on average) among their ninth-grade students. For house plans, average 

student participation was 77 percent during the 2002–03 school year. 

In addition to, or in place of, SLC structures, schools also chose to implement one or more SLC 

strategies, with block scheduling (58 percent of schools) and teacher teams (52 percent) the most 

popular choices. Schools appeared to be gradually shifting from the use of SLC strategies to a greater 
Chapter 6: Summary of Findings and Future Directions 134 

use of SLC structures over time. The percent of schools implementing only strategies dropped from 

23 percent to 16 percent over the two years. 

Although SLC schools may implement a variety of structures and strategies, they all share the 

common goal of enhancing personalization of the high school experience for all students. We 

measured personalization along three separate dimensions: 

• Individualized assessment and classroom practices (e.g., individualized assessments, 

independent study, and cooperative learning); 

• Teacher teaming and class-size reduction (e.g., students taught by clusters of teachers, 

teachers responsible for fewer students, and class-size reduction); and 

• Fostering individual student and staff relationships (e.g., existence and frequency of use 

of informal or formal mentoring programs). 

All but two schools reported undertaking efforts to increase personalization. Most schools used 

individualized assessments (76 percent of schools), and about two-thirds (63 percent) reported 

reducing class size (or reducing the total number of students for which a teacher was responsible). 

Close to half of the schools (47 percent) were active in fostering individual student and staff 

relationships through the establishing of a formal mentoring program. Half of the schools reported 

making significant efforts on at least one dimension of personalization. Of these, most schools were 

high on a single dimension (34 schools), but another 17 schools were high on two dimensions. Only 

a single school reported making significant efforts on all three dimensions. 

Another goal of the SLC legislation was providing professional development for school staff in 

innovative teaching methods that challenge and engage students, a key strategy used by schools for 

bringing about school change. Schools reported providing a wide range of professional development 

activities for their teaching staff, including tailoring instruction to individual student needs (95 

percent of schools), subject matter content and curriculum (95 percent), problem solving and 

reasoning (93 percent), and strategies for helping low-achieving students (90 percent). SLC teachers 

received a little more than three days of professional development per year. 

A third goal of the SLC legislation was to include parents, business representatives, institutions of 

higher education, and other community resources as facilitators of schools’ SLC activities and as 

links between students and their communities. Four-fifths of schools (82 percent) reported working 

with external partners, such as businesses, institutions of higher education, and community based 

organizations in 2002–03. Most schools used partners on advisory committees and as in-school 

volunteers. Those schools engaging external partners with their SLCs reported that they derived 

specific benefits for their students, including such career-related opportunities as community service 

learning, internships, and job shadowing. Schools also reported parents involved in such schoollevel activities as the PTA and school governance. Involvement by parents in SLC activities was less 

common and cited by fewer schools (never more than 54 percent of schools for any one activity). 

Factors Affecting Overall Implementation 

The literature review on small schools and SLCs identified several factors that can facilitate or hinder 

implementation of SLCs. SLC respondents reported a similar set of factors, including professional 

development specifically focused on SLCs; the availability of resources, including instructional 
Chapter 6: Summary of Findings and Future Directions 135 

materials; and a variety of teacher-related variables (e.g., attitudes toward reform, pedagogical 

practices, and expertise). Other factors could also be linked with implementation of a school’s SLC 

initiative, including a school’s prior involvement in SLC activities, the availability of external 

funding, and involvement in other SLC-related reform efforts. Schools also perceived a number 

of factors to have a negative influence on SLC implementation. These inhibitors include structural 

challenges, such as issues with scheduling or physical space, as well as school staffing needs, 

especially in terms of core academic teachers and guidance counselors. 

Implementation of Career and Freshman Academies 

Using the available PIS data, a high implementing career academy was defined as having the 

following characteristics: 

• Common planning time for teachers (for such purposes as facilitating integration of 

academic and vocational opportunities or discussing the needs of students they teach in 

common); 

• Autonomy over such program policies as staffing decisions and operating procedures; 

• Work-based learning opportunities and internship programs for students; and 

• Career-related graduation requirements that included both course work and service 

learning projects or a cooperative working experience. 

In addition, a high implementing career academy should have: 

• An increased number of courses that integrate academic and vocational instruction or 

specific to the SLC program them; 

• Students taking more than half their course load within the career academy; and 

• Demographically similar enrollments by race between career academies and the school as 

a whole. 

Among the 44 schools with career academies with federal SLC funding, eight met all of the first four 

criteria for a high implementing career academy. Twenty-six career academy programs met the 

criteria for moderately implementing defined as having some but not all the features of high 

implementing career academies. A total of ten schools with career academies were classified as low 

implementing defined as having few structures or requirements in place and having little autonomy 

over their operations. 

Freshman academies had fewer requirements to meet than career academies. Using the available PIS 

data, a high implementing freshman academy was defined as having the following characteristics: 
Chapter 6: Summary of Findings and Future Directions 136 

• At least weekly common planning time for teachers, so that teachers may discuss the 

needs of students whom they have in common; 

• Autonomy over select program policies; and 

• Demographically similar enrollments by race between career academies and the school as 

a whole. 

Of the 58 schools with freshman academies, 33 meet the first two criteria. Thirteen freshman 

academy programs met the criteria for moderately implementing as having some but not all the 

features of high implementing career academies. The remaining 12 schools in the freshman academy 

sample have more limited implementation. Note that having a separate space for freshman 

academies does not distinguish high and low implementing freshman academies; almost all freshman 

academy programs have at least some separate identify for their freshmen. 

A common set of factors affecting implementation in both freshman and career academies has 

emerged from case study visits and follow-up telephone interviews with a sample of schools. 

Facilitating factors include strong school leadership, a supportive district, staff buy-in, and sufficient 

space to make programs separate. Identified challenges to implementation include staff (and 

administrative) turnover, weak school leadership, prescriptive district oversight of SLC changes, and 

limited resources. 

Changes in Student Outcomes 

Changes in academic outcomes, as measured by APR data, were modest at best. Where there is 

evidence of change, trends appear to be moving in the right direction. Specifically, trends in APR 

data suggest upward trends in student extracurricular participation, ninth-grade promotion rates 

and downward trends in incidence of school violence, disciplinary action, and alcohol and drug 

use. In addition, trends in outcomes such as increases in the percentage of students taking the SAT 

and the percentage of students intending to continue to postsecondary education suggest a possible 

greater interest by students in SLC schools in postsecondary education. 
Chapter 6: Summary of Findings and Future Directions 137 

Overall Extent of SLC Implementation 

The question naturally remains, how successful were the Cohort 1 SLC schools in reaching a 

significant level of program implementation after three years of SLC funding? By the schools’ own 

accounts, most schools had rated themselves as having made significant progress toward full 

implementation of their SLC program as of the end of the 2002–03 school year, on average ranging 

from a low of 83 percent for career academies to a high of 91 percent for house plans. Admittedly, 

this measure is a flawed one, as it is based on a school’s initial plans for their federally funded SLC 

program implementation, some of which could have been quite modest. In this report, we have 

attempted to provide some indications of how “successful” schools have been in their SLC 

implementation. 

In earlier chapters, we reported on how well individual schools had performed on various indicators 

tied to SLC legislative goals. In this summary we report how well schools performed in terms of full 

implementation across a set of implementation criteria tied to the goals of the SLC legislation. 

Following each indicators listed below is our definition of full implementation.

• Extent of personalization efforts: Schools needed to report making significant efforts 

on at least one dimension of increasing personalization. 

• Providing professional development: Schools needed to report the availability of SLC 

specific professional development for their SLC instructional staff. In addition, schools 

needed to report that their SLC teachers received at least 16 hours of SLC-specific 

professional development during the 2002–03 school year. 

• Including community representatives and parents: Schools needed to report having 

external partners working directly with their SLCs during the 2002–03 school year. In 

addition, schools needed to report some form of parental involvement specific to the SLC 

program. 

The results from this analysis showed that a little over a quarter (27 out of 105) of the Cohort 1 SLC 

schools met all of the criteria tied to the goals of the SLC legislation. That is, they reported making 

significant efforts on at least one dimension of increasing personalization, their instructional staff 

received at least 16 hours of SLC-specific professional development to their instructional staff, and 

they reported success in involving external partners and parents directly in SLC activities. In 

addition, close to three-fourths of these “well implemented” schools (20 out of 27) had either 

moderately or highly implemented academies (freshman or career). 

Although only a minority of Cohort 1 schools reached a full level of implementation by the criteria 

stated by the SLC legislation, many schools were able to enact important SLC-related changes in the 

way they organized their schools and classrooms as a result of their SLC funding. The following 

section reviews the sustainability of these changes, as well as the implications of these findings for 

schools and districts wishing to implement SLCs in the future. 

Where Do SLCs Go From Here? 

Interest in high school reform in general, and in SLCs in particular, has increased dramatically over 

the past five years. To facilitate an expanded discussion of the future of these reforms, this section of 

the chapter addresses three topics: 
Chapter 6: Summary of Findings and Future Directions 138 

• The extent to which Cohort 1 schools reported that schoolwide and classroom-level 

reforms undertaken under the federal SLC program will be sustained; 

• The lessons learned from the Cohort 1 SLC grantees that may be of use to potential 

districts and SLC schools; and 

• The implications for further research and support for SLCs and other high school reform 

efforts. 

Sustainability of School- and Classroom-Level Changes 

Many schools have relied on their SLC funding to enact important structural changes in their school 

organization and classroom practices. At the school level, the vast majority of schools reported 

introducing staff development specific to their SLCs (88 percent), reorganizing their curricula or 

instructional staff based upon the content and structure of their SLCs (80 percent), or making 

structural changes to student cohort organizations (72 percent) as a result of receiving their SLC 

grants (Exhibit 6.1). Changes at the classroom level were made by fewer schools; over half of 

schools, however, reported either integrating a cooperative learning focus into their curricula (63 

percent) or having teachers serve as advisors or mentors (60 percent) as a result of their SLC funding 

(Exhibit 6.2). 

In looking ahead, a key question concerns the extent to which SLC schools expect to sustain the 

changes they have made at both the school and classroom levels after their SLC funding has run out. 

The data collected on these schools suggest a serious commitment on the part of many schools to 

sustain structural changes in the way their school and classrooms are organized. Specifically, close to 

or more than three-quarters of those schools reporting having made changes using SLC funding 

expect to sustain those changes after their grants end. For example, almost all (96 percent) of the 

schools that reported making their schoolwide core curricula more academically rigorous are 

committed to sustaining those changes even after their SLC funding has run out (Exhibit 6.1). 

Similarly, 94 percent of the schools that reported using more varied student assessments for grading 

and promotion decisions expect to sustain those changes in the future. 

Although schools were less likely to report classroom-level changes with the federal SLC funding, at 

least 80 percent of the schools that had implemented classroom-level changes also reported that they 

would sustain them. The exception is reduced class size, a change that may not be within the power 

of the school to sustain. 
Chapter 6: Summary of Findings and Future Directions 139 

Exhibit 6.1 

Percentages of SLC Schools Making School-Level Changes and Expecting to Sustain These 

Changes After Federal SLC Funding (n=103)

97%

78%

82%

90%

92%

96%

87%

90%

88%

74%

52%

63%

72%

88%

50%

40%

30%

36%

38%

80%

0% 20% 40% 60% 80% 100%

Local assessment (e.g., school- or district-level) options have

been altered to reflect SLCs (e.g., use of projects/portfolios

Because of block scheduling or other changes, each teacher

teaches a smaller total number of students than before.

School governance/administrative structure has been

reconstructed (e.g., site-based management)

School physical space has been changed to accommodate SLCs

The manner in which students are placed in courses has

changed (e.g., elimination of tracking)

School-wide core curriculum has been made more academically

rigorous

New courses specific to SLCs have been introduced 

Structural changes have been made to student cohort

organization (e.g., by grade, by house, by duties of teachers) 

Curriculum and/or instructional staff have been reorganized

based upon content/structure of SLCs

Staff development and training specific to SLCs have been

introduced

Percent of Schools

Schools making chanages

Schools intending to sustain changes

Exhibit reads: Eighty-eight percent of schools reported making changes in staff development and training as a 

result of federal SLC funding. Of these schools, 74 percent expect to sustain those changes after funding ends. 

Source: Implementation Study of Smaller Learning Communities: Periodic Implementation Survey, 2003, Section A, 

Question 3: “In Column A, indicate school-level SLC-type changes that have occurred as a result of federal 

SLC program funding. In column B, indicate changes that you expect to sustain after federal SLC funding 

(check all that apply).”

School-level changes designed to foster SLCs 
Chapter 6: Summary of Findings and Future Directions 140 

Exhibit 6.2 

Percentages of SLC Schools Making Classroom-Level Changes and Expecting to Sustain 

These Changes After Federal SLC Funding (n=103)

92%

95%

82%

72%

89%

85%

92%

94%

83%

90%

40%

48%

50%

63%

37%

32%

12%

19%

22%

60%

0% 20% 40% 60% 80% 100%

Student evaluations of teachers are being used

Independent study is available in core academic courses

Students keep same homeroom teacher throughout high school

Classes are smaller than before

Students are taught by the same cluster of teachers for multiple

years

There is flexible time for classes and additional study

Mixed-ability classes are available in core academic subjects

More varied student assessments are used for grading and

promotion decisions

Teachers serve as advisors or mentors

A cooperative learning focus has been integrated into the

curriculum

Percent of Schools

Schools making changes

Schools intending to sustain changes made

Exhibit reads: Sixty-three percent of schools reported implementing a cooperative learning focus as a result of 

federal SLC funding. Of these schools, 90 percent expect to sustain those changes after funding ends. 

Source: Implementation Study of Smaller Learning Communities Periodic Implementation Survey, 2003, Section A, 

Question 4: “In column A, indicate classroom-level changes that have occurred as a result of federal SLC 

program funding. In column B, indicate changes that you expect to sustain after federal SLC funding (check all 

that apply).” See 6.1 (Section A, Question 4).

Lessons Learned for Districts and Schools 

The experiences of the first cohort of SLC grantees provide useful information for subsequent cohorts 

about what schools have implemented and what factors influence implementation (especially those 

factors influencing implementation of career and freshman academies). For potential districts and 

schools to assess their readiness to undertake SLC implementation, we have organized lessons 

learned into a series of questions and answers. We hope the self-reflective questions help guide 

districts and schools in their decision to implement SLCs. 

Classroom-level changes designed to foster SLCs 
Chapter 6: Summary of Findings and Future Directions 141 

To What Extent Are the High Schools Ready for Reform? 

Schools need to have a welcoming attitude toward change, be well managed, and have autonomy over 

select program activities. Both teachers and students are affected. Career academies and (to a lesser 

extent) freshman academies are radical reforms for high schools. When such reforms are seen as the 

most appropriate solution for the school’s problem and when schools have sufficient authority to 

allocate resources and transfer teachers, then reforms can be implemented with considerable 

enthusiasm. If at the outset only a few teachers are interested, or student placement would be 

difficult, or if overall interest is lukewarm, districts and schools may wish to pursue additional 

planning. 

What Magnitude of Change Can the High School(s) Undertake? 

Implementation varies with the intended magnitude and scope of the SLC effort on the structure of 

the school and the content of the curriculum. Among the Cohort 1 schools (and in other reform 

efforts as well), structural changes were typically easier to implement than changes in the core 

curriculum. It was less difficult to reorganize teachers into teams than it was to integrate career 

content into core courses. In preparing to implement SLCs, districts and schools may wish to assess 

the magnitude of change that they can realistically undertake, and the sequencing of proposed 

changes as well. 

What Is the Time Frame for High School Reform? 

Schools appear to need a greater amount of time to both plan and prepare for their SLCs than they 

typically project. Although many Cohort 1 schools had already been involved in some degree of SLC 

restructuring prior to receiving their federal SLC grants, for many others this was the first opportunity 

to actively implement SLC structures or strategies. By the end of the third year, many SLC schools 

had yet to become school wide programs, even though that is the stated intention of the federal 

program. 

What Are the Supports for SLC Structures and Strategies within the School(s)? 

Districts and schools would be well served by inventorying the internal supports for reform. The 

principal’s visible commitment is needed to implement a program throughout a grade or school, and 

to provide the managerial and scheduling support that teachers need. Even such relatively simple 

strategies as block scheduling require scheduling changes for all participating students; otherwise, 

teachers must continue with the traditional 42- to 47-minute class period. The principal’s support is 

also needed to counter the inactivity of reluctant or opposing teachers, a critical concern in reforms 

that are designed to transform content as well as structure. 

Teacher buy-in is essential to any change effort; the translation and implementation of the program is 

in their hands. Data from our case studies indicate that schools benefit greatly from strong school 

leadership and staff buy-in. As with any comprehensive school reform, continuity on the part of 

school leadership and staff is critical to seeing the reforms carried out. To minimize principal and 

staff turnover, districts may wish to request staff to commit themselves to staying in the school for the 

grant period. Similarly, districts must agree not to transfer supportive staff elsewhere during the same 

time period. 

What Is the Support for SLC Structures and Strategies within the District? 

Districts and schools need to assess their own managerial relationships. Where districts and schools 

were in agreement on SLC goals and strategies, and where districts assisted schools in 

implementation rather than mandated changes, implementation was more likely to have been reported 
Chapter 6: Summary of Findings and Future Directions 142 

as successful. In pursuing SLCs, districts and schools need to be mindful of what they are requesting 

teachers and other staff to undertake, because restructuring high schools occurs on top of the regular 

school day. At a minimum, districts need to coordinate other district- and state-mandated reform 

efforts with schools’ SLC reform efforts. 

For school staff to become sufficiently acquainted with the new school culture under SLCs, staff 

need professional development opportunities specifically targeted toward the principles of school 

restructuring. Although the data showed that most schools offered professional development on a 

variety of SLC-related topics, the average amount of training SLC teachers received may have been 

too low to effect dramatic changes in how teachers interact with students or adapt their instruction. 

Finally, schools need far more direction and assistance in how to alter their instructional techniques 

to meet the needs of the new school structure. For example, although many schools adopted block 

scheduling as a means of accommodating changes in scheduling, it is unclear whether schools also 

used that time to provide for more individual attention, interdisciplinary lessons, and a greater variety 

of learning activities, which are SLC goals. Our data show that changes made in SLC schools tended 

to be structural or organizational rather than pedagogical or content focused. The renewed emphasis 

in recent grant notices from the federal SLC program directing future grantees to increase their 

commitment to greater academic rigor is a step in the right direction because it encourages schools to 

move beyond changes in school structure and organization. 

What Resources Are Available to the School(s) and District(s)? 

Prospective districts and schools need to assess the visible and less visible costs of high school 

reform. These costs are reflected not only in real dollar expenditures for staff time and materials but 

also in the hidden costs of extensive volunteer time that principals, teachers, and others devote to 

making substantial changes in their schools. Reform has cost implications that need to be further 

examined. Questions that need to be asked are what is needed to facilitate scheduling curriculum 

changes, to fund extra time that allows teachers to have common planning time, to provide for teacher 

time (and substitute teacher time) for professional development, and to support a reduced studentteacher ratio (if that is one of the school’s SLC goals). These cost questions have implications not 

only for schools considering restructuring, but for further research on high school restructuring in 

general. 

Implications for the SLC Program 

Further Research 

As we noted in our Review of the Literature (Page et al., 2002), although little rigorous research has 

been completed to date on SLC programs, there is a renewed emphasis on research. A recent grant 

notice from the SLC program required that programs use “research-based strategies, services, and 

interventions to accelerate learning by students who enter high school with reading, language arts or 

mathematics skills that are below grade level.”50 It would be useful within the content of randomized 

controlled trials to assess the effectiveness of freshman academies. Is the reorganization of courses 

and staff into self-contained groups sufficient to increase promotion rates and reduce dropout rates? 

Is weekly common planning time sufficient for teachers to address the needs of struggling students 

and foster curriculum improvements? Or, do freshman academies need other program features (e.g., 

focused counseling for all students not only those most at risk, extended time for core subjects) to 

 

50 Federal Register, Vol. 69, No. 50, March 15, 2004, Department of Education, Smaller Learning Communities Program. 
Chapter 6: Summary of Findings and Future Directions 143 

overcome the shortcomings of the traditional organization of the freshman class? Similar questions 

could be asked regarding other SLC structures. These efforts will aid our understanding of what 

makes SLCs effective for students in the long run. 

Next Steps for the Implementation Study 

This report has summarized the major implementation findings on the first cohort of schools funded 

under the federal SLC program. Findings were primarily based on surveys of SLC schools on the 

status of implementation in these schools during the third year of operation of their SLC programs. 

A follow-up report coming out later this year will include survey data on a second cohort of SLC 

grantees, describing their SLC implementation since they started to receive funding during SY 2002–

03. The findings in this follow-up report, with data on an additional 222 SLC schools, will serve to 

broaden the findings reported on here. 
Chapter 6: Summary of Findings and Future Directions 144 
References 145 

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