Ethnic identity development in early adolescence: implications and recommendations for middle school counselors.

The influence of ethnic identity development on adolescents' achievement, self-concept, and behaviors has been reviewed extensively in the literature. However, the role that school counselors play in enhancing middle school students' ethnic identity development has received little attention. This article reviews the definition of ethnic identity and J. S. Phinney's (1992) model of adolescent ethnic identity development. J. E. Helms" (1994) model of racial identity interaction theory is used as a basis for understanding how ethnic identity development may influence student-to-student and student-to-teacher interactions in middle schools. And finally, recommendations for middle school counselors are presented.

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Early adolescence is a time when many changes occur. It is usually a time when children leave the small, comfortable havens of elementary schools and enter larger middle or junior high schools with more students and teachers (Retting & Canady, 2000). It is also a time when children begin to mature mentally and think more about their identity and where they fit in the world. Many authors have written about the importance of achieving an identity in adolescent development (e.g., Erikson, 1968; Waterman, 1985). Erikson suggested that one achieves an identity by means of a process of search and commitment. He also claimed that an individual's failure to achieve an identity can lead to confusion and despair.

Marcia (1980) later studied Erikson's concept of identity and focused specifically on adolescents' identity development. In assessing ego-identity statuses of adolescents, Marcia also employed two criteria, exploration and commitment. Exploration refers to a period of active questioning and engagement in choosing among meaningful alternatives. Commitment refers to the presence or absence of decisions in a particular ideology, role, or occupation. Marcia provided a model for categorizing adolescents in one of tour ego-identity statuses: achieved identity, moratorium, foreclosed identity, and identity diffusion. The first status, an achieved identity, is characterized by a commitment that has followed a period of questioning and critical analyses. Having undergone a period of exploration, the individual is committed to his or her choice of ideology. Moratorium is characterized by a state of exploration without commitment to any ideology. The foreclosed identity status is described as the period in which adolescents express commitment without having experienced any period of exploration. Their commitment typically reflects parental beliefs and expectations and is not derived from self-choice and exploration. Identity diffusion is characterized by the absence of both exploration and commitment. For adolescents in this status, there is a lack of genuine concern about identity issues (Flum, 1994).

For minority adolescents, their ethnicity can play an important role in their identity development (Phinney, Lochner, & Murphy, 1990). According to Rotheram and Phinney (1988), ethnic and racial attitudes among children appear to crystallize by about 10 years of age, which highlights the importance of examining the role of ethnicity in the development of early adolescents. Most of the research related to ethnicity in adolescence has focused on the attitudes of ethnic minority adolescents toward racial and/or ethnic groups other than their own, particularly related to stereotyping, prejudice, and discrimination (e.g., Phinney, Madden, & Santos, 1998; Steele, 1999). Another body of literature and research has focused on the psychological relationship of ethnic and racial minority group members with their own group. Ponterotto and Pederson (1993) have contended that ethnic identity development is as fundamental to the establishment of an adult's healthy self-concept and positive intercultural attitudes as are more researched areas such as occupational identity and political identity.

Given the tremendous ethnic diversity among adolescents in U.S. middle schools, it is critical for middle school counselors to address the significance of ethnicity in the development of the students they serve. As such, this article will focus on research related to ethnic identity development in early adolescence and its relationship to interactions in middle schools. Race, ethnicity, and ethnic identity will be discussed, followed by a review of research on the relationships between ethnic identity and adolescent developmental variables (i.e., academic achievement, self-esteem, student behaviors). Next, Helms' (1994) racial identity interaction theory will be used as a framework for understanding student-to-educator and student-to-student interactions in middle schools. Finally, recommendations for middle school counselors will be presented.

RACE, ETHNICITY, AND ADOLESCENT ETHNIC IDENTITY DEVELOPMENT

Although there is some overlap, race and ethnicity are different constructs, and they have produced different bodies of literature. Interpretations of race typically allude to genetic or biological characteristics that distinguish one group from another (Ponterotto & Pederson, 1993). According to McMahon and Watts (2002) and Helms (1993), race and/or racial identity focuses on the social and political impact of visible group membership on an individual's psychological functioning. Ethnicity, on the other hand, is often related to race, but it extends beyond visible group membership and includes sociohistorical experiences that explain why groups of individuals consider themselves to be a distinct people (Marshall, 2002). Simply put, ethnicity refers to a shared worldview, language, and set of behaviors that are associated with a cultural heritage. Ethnicity is assumed to be a meaningful variable to the extent that it has salience and centrality for the individuals involved. For instance, for many European/White Americans, ethnicity is not a salient or important part of their identity, whereas ethnicity is salient in cases where one's ethnic group membership is evident, as in the case of ethnic groups of color (Alba, 1990; Waters, 1990).

Ethnic identity is sometimes used to refer to ethnic group membership. It has been conceptualized as a fundamental aspect of an adolescent's identity because it includes the attitudes and feelings associated with that membership (Bernal & Knight, 1993). However, ethnic identity is not a categorical variable, something that one does or does not have. Rather, it is a complex, multidimensional construct that varies across members of a group (Cross, 1991).

Phinney (1989), extending the identity development work of Erikson (1968) and Marcia (1980), proposed a three-stage progression from an unexamined ethnic identity through a period of exploration to an achieved or committed ethnic identity.

According to Phinney's model, early adolescents who have not been exposed to ethnic identity issues are in the first stage, an unexamined or diffused ethnic identity. According to Phinney (1990), this early stage is characterized by an adolescent's lack of active exploration of ethnic issues. A disinterest in or lack of concern regarding ethnic issues manifests a diffused identity level. Phinney (1990) purported that early adolescents simply may not be interested in ethnicity and may have given it little thought. Alternatively, some adolescents may have made a commitment without exploration on the basis of inherited ethnic attitudes from parents or other influential adults. That is, their attitudes represent a foreclosed status. Bachay (1998) suggested that adolescents at the diffused and foreclosed statuses are at risk of accepting and internalizing negative and faulty stereotypes and beliefs.

An adolescent in the process of exploration without having made a commitment is in what Phinney (1989) described as moratorium. This process of exploration may require that an adolescent come to terms with cultural differences between the culture of origin and the dominant culture. Learning more about one's culture of origin is an integral part of this process and helps to clarify a personal perspective about the meaning of ethnicity. Intense emotional experiences may accompany the adolescent's deepening of ethnic awareness (Phinney).

A firm commitment following the process of exploration is indicative of achieved identity (Marcia, 1980). Phinney (1989) suggested that the process of search followed by commitment is referred to as ethnic identity achievement. This status is characterized by a sense of ethnic pride, belonging, and confidence. Phinney and Alipuria (1990) suggested that an achieved ethnic identity can serve as a buffer against the impact of prejudice and discrimination. Additionally, Phinney et al. (1990) suggested that this last stage of ethnic identity development requires individuals to come to terms with two problems for ethnic minorities: (a) cultural differences between their own group and the dominant group, and (b) the lower or disparaged status of their own group in society. Phinney (1990) purported that the meaning of ethnic identity achievement is undoubtedly different for different individuals and groups because of their distinct historical and personal experiences. Parham (1989) even suggested that the process of ethnic identity development does not end with ethnic identity achievement but may continue in cycles that involve further exploration or rethinking of the role or meaning of one's ethnicity.

THE RELATIONSHIP OF ETHNIC IDENTITY TO EARLY ADOLESCENT OUTCOMES

Ethnic Identity and Student Behaviors

Ethnic identity development has been significantly related to many adolescent behaviors. For instance, in a study with middle school Jewish students, Dubow, Pargament, Boxer, and Tarakeshwar (2000) found that students with more advanced levels of ethnic identity were more sensitive to culture-specific stressors (e.g., discrimination, racism). At the same time, Dubow et al. concluded that their participants' strong sense of ethnic identity helped them to use more effective coping strategies. In a similar study, Neville, Heppner, and Wang (1997) found that a higher endorsement of pro-Black sentiments was related to more stress and more avoidant and suppressive styles of coping among African American late adolescents. Hence, they hypothesized that late adolescents who are more aware of their ethnic identity and feel a greater sense of belonging and attachment to their ethnic group also may be more sensitive to culture-specific stressors and, therefore, exhibit more suppressive styles of coping behaviors. In a study of African American and mixed-race adolescents (ages 10-15), McMahon and Watts (2002) found that ethnic identity was significant in relation to the behavior adjustment among African American adolescents. Their results indicated that positive ethnic identity was associated with more active coping, fewer beliefs supporting aggression, and fewer aggressive behaviors.

Ethnic identity also has been significantly related to decreased adolescent drug use (Kulis, Napoli, & Marsiglia, 2002), positive educational adaptation of immigrant adolescents (Portes & Rumbaut, 1990), wellness (Rayle & Myers, 2004), and positive school adjustment (Phinney, Horenczyk, Liebkind, & Vedder, 2001). The influence of peer relationships/behavior on ethnic identity development also has been investigated. Phinney, Romero, Nava, and Huang (2001) found that ethnic minority adolescents who interacted more with peers of the same ethnic background had more developed levels of ethnic identity. And finally, the role of ethnic identity as a protective factor among "high-risk" and "successful" White and African American adolescents was examined by Yasui, Dorham, and Dishion (2004). One hundred fifty-nine adolescents were assessed for depression, internalizing and externalizing behaviors, competence, and academic achievement. Their results indicated that advanced levels of ethnic identity development were a significant predictor of social adaptation and emotional adjustment for African American and White adolescents. Their results also indicated that when adolescents have negative attitudes or are uncommitted to their ethnicity, they also are more likely to experience negative psychological outcomes, including depression and internalizing and externalizing problems. More importantly, however, Yasui et al. found that ethnic identity was integral to the emotional and social adjustment of adolescents, particularly those of African American descent.

Ethnic Identity and Self-Esteem/Self-Concept

A positive correlation between ethnic identity and self-esteem has been reported in studies with various populations, including middle school (Carlson, Uppal, & Prosser, 2000), high school (Phinney, 1989), and college-age (Phinney & Alipuria, 1990) students. The research suggests that simply belonging to an ethnic minority group does not predict higher or lower levels of self-esteem. Instead, it is the sense of belonging that a student feels toward his or her ethnic group that better predicts self-esteem (Helms, 1993; McMahon & Watts, 2002; Phinney, 1992). Martinez and Dukes (1997) found among a multiracial sample of more than 12,000 adolescents that a stronger sense of ethnic identity is associated with higher self-esteem and self-confidence. Phinney and Kohatsu (1997) found that low self-regard and feelings of inadequacy accompany unexamined or low ethnic identity, whereas more developed levels of ethnic identity typically are associated with positive self-concept and an absence of psychological distress.

In a more recent study, Bracey, Bamaca, and Umana-Taylor (2004) found that in a large sample of adolescents (n = 3,282), there was a significant positive correlation between ethnic identity and self-esteem for all ethnic groups. Furthermore, they found that biracial adolescents scored significantly higher than Whites on a measure of ethnic identity but scored significantly lower than African American, Asian, and Latino adolescents on the same measure. Other studies have found that social support from family and friends may be a mechanism by which ethnic identity is developed, leading to a higher level of self-esteem (Blash & Unger, 1995; Carlson et al., 2000).

Ethnic Identity and Academic Achievement

For middle school educators, understanding the process through which early adolescents come to see themselves as belonging to particular ethnic groups is important because it can have a tremendous bearing on their academic achievement (Phinney, 1989). Unfortunately, many schools in the United States are characterized by ethnic and/or racial segregation and widespread racial disparities in academic achievement (Education Trust, 2001). Despite some evidence of a strong correlation between ethnicity and academic performance, there is considerable confusion among researchers about how and why such a correlation exists (Fordham, 1996; Noguera, 2003). For instance, Fordham and Ogbu (1986) argued that Black students from all socioeconomic backgrounds develop "oppositional identities" that lead them to view schooling as a form of forced assimilation to White cultural values, and they come to equate academic success with "acting White." Such identity perceptions lead to the devaluation of academic pursuits and the adoption of self-defeating behaviors that inhibit possibilities for academic success. Chappell and Overton (2002) examined the deductive reasoning and school performance of African American adolescents and the relation of reasoning and school performance to socioeconomic status, ethnic identity, and self-esteem. They found that Ogbu's (1995) cultural-ecological theory, which predicts an inverse relationship between cognitive performance and ethnic identity strength, was not supported because better reasoning performance was associated instead with stronger ethnic identity.

Similarly, Steele's (1999) work on the effects of racial stereotypes on academic performance helps provide a compelling explanation of the identity-achievement paradox. Through his research on student attitudes toward testing, Steele showed that students are highly susceptible to prevailing stereotypes related to intellectual ability. According to Steele, when "stereotype threats" are operative, they lower the confidence of vulnerable students and negatively affect their performance on standardized tests. He also noted that the debilitating effects of stereotypes can extend beyond particular episodes of testing and can have an effect on students' overall academic performance.

Phinney (1992) proposed that an examined ethnic identity may insulate students from buying into automatic, internalized stereotypes that may undermine their academic confidence and influence them toward risky behaviors that interfere with school completion. She found that high school students reporting average grades of A or B had more developed levels of ethnic identity than those reporting C or D. In reporting this finding, Phinney did so for the entire sample, not separate ethnic groups, so it is unclear if this relationship would have held for each ethnic group.

Although not measuring ethnic identity, Sandoval, Gutkin, and Naumann (1997) investigated the relationship between racial identity attitudes and academic achievement among African American adolescents. They found that the adolescents' academic achievement (i.e., GPAs, California Achievement Test) was significantly related to their racial identity attitudes. In contrast, Guzman, Santiago-Rivera, and Haase (2005) found no significant relationship between the ethnic identity and self-reported GPAs of Mexican American adolescents.

Although the research on ethnic identity development and academic achievement is mixed, the literature overwhelmingly supports enhancing early adolescents' ethnic identity development for reasons related to academic achievement (Banks, 1993; Irvine, 1991; Sleeter, 1994; Spencer & Markstrom-Adams, 1990). Clearly, this is an area that should be investigated further.

ETHNIC IDENTITY AND INTERACTIONS IN THE MIDDLE SCHOOL

According to Helms (1994), "everyone with whom a child comes in contact in the school environment (including teachers, peers, support staff) is also at some stage of identity development" (p. 30). Helms' interaction theory hypothesizes that the child's level of identity in combination with others' identities can result in qualitatively different educational experiences. In short, Helms believes that there are three potential interaction types that can occur in the school setting based on the racial/ethnic identity of the individuals involved. The first type, a parallel relationship, is one in which the educator and the student in the interaction are at the same stage of identity development. Helms believes that because both parties share the same racial attitudes, it is unlikely that the educator can assist the student to develop further. A regressive relationship is one in which the educator is less developmentally advanced with respect to racial/ethnic identity development than the student is. Helms purports that because the educator is less comfortable facing racial or ethnic issues than the student, the educator attempts to change the student's thinking and behavior in directions that feel uncomfortable and unfair to the student. As a result, disharmony, conflict, tension, and rebellion often characterize regressive relationships. Students involved in these types of relationships may engage in acting out and/or passive-aggressive behaviors to express their discomfort with the relationship. Educators, on the other hand, may engage in punitive activities because of their frustration with students who do not think as they do.

The last interaction type is a progressive relationship. This type of relationship is most beneficial because the educator's stage of identity development is more advanced than the student's and, therefore, the educator can recognize the ethnic identity issues of the student. The educator also can offer experiences and creative role modeling that will help the student consider alternate ways of being. Helms (1994) noted that because of the teacher's greater social power in the school, the student is likely to be responsive to alternative educational experiences particularly when introduced by the teacher.

Helms' (1994) racial identity interaction theory can be used as a framework for understanding student-to-educator interactions in middle schools. For example, a White seventh-grade history teacher gives her class an assignment in which the students are to write a reaction paper to the content of a lesson on the Revolutionary War. An African American female student writes in her paper that she gained little from the lesson because her descendents were slaves. This student, who typically receives superior grades, receives a low grade on her paper. The teacher comments on her paper that dwelling on slavery and "racial" issues should not have been the focus of her paper. Obviously, the student and teacher in this case are engaged in a regressive relationship. The student is attempting to explore the meaning of her ethnic group's history and the teacher is insisting such issues are not important and should not be explored. In this case, the teacher not only negatively impacts the student's ethnic identity development but also risks creating a tense, hostile, and unproductive relationship with the student. Discrediting students' ethnic exploration can negatively influence relationships between teachers and students and potentially impact relationships with students' families and communities.

For adolescents in racially integrated middle schools, racial identity and ethnic identity frequently take on new significance with respect to peer interactions, friendship groups, and dating (Clark, 1989). It is not uncommon in integrated settings for early adolescents to interact and form friendships easily across racial boundaries--if their parents or other adults allow them to do so (Killen, Lee-Kim, McGlothlin, & Stangor, 2002). However, in adolescence such racial boundaries become more problematic as adolescents become increasingly aware of the significance associated with group difference. In other words, early adolescents generally become more concerned with how their peers react to their participation in interracial relationships and, as a result, they may begin to self-segregate according to race and/or ethnicity (Schofield & Francis, 1982). Also, adolescents are more aware of the politics associated with race, and more cognizant of racial hierarchies and prejudice (Way, Cowal, & Gingold, 2001).

Helms' (1994) interaction theory can be used to explain interactions among middle school students. As an example, a Mexican eighth grader is actively exploring his ethnic identity without any sense of commitment (i.e., moratorium). He chooses to read novels by Latino authors, he listens only to Mexican music, and he chooses to speak more Spanish at home and at school. His close friendships are with Mexican boys with similar interests and he intentionally separates himself from boys (and girls) of other ethnic groups. He comments to a teacher that he "wouldn't dare date or be close friends with an African American or White girl." While this student's interactions with students at the same stage of ethnic identity development is comfortable, it is unlikely that the student can develop beyond this stage without some exposure to an individual with a more advanced ethnic identity.

Regressive relationships also can occur between students of the same ethnic group. If placed in the same small group for a classroom activity, two students of the same ethnic background with differing levels of ethnic identity (e.g., moratorium vs. fore-closed) might not "connect" and might be distant or detached from one another. There is also the possibility of tension in student-to-student relationships where differing levels of ethnic identity are present.

RECOMMENDATIONS FOR MIDDLE SCHOOL COUNSELORS

The foregoing discussion and the research related to ethnic identity development lead to recommendations for middle school counselors. Given the ASCA National Model[R] (American School Counselor Association, 2003) and its emphasis on recognizing and respecting students' ethnic and cultural diversity, it seems fitting that middle school counselors make enhancing students' ethnic identity development a major component of comprehensive middle school counseling programs. In order to do this, middle school counselors must first recognize that the failure of an adolescent to examine ethnic issues and his or her ethnic identity creates risks for poor psychological and educational adjustment (Phinney, 1992; Pizarro & Vera, 2001; Ponce, 2001).

In his clinical work, Zayas (2001) found that minority youth benefit from discussing their struggles with racism and ethnic identity. He found that in many of his clinical cases, adolescents' struggles with their ethnic identity were made salient when he purposefully elicited clarification of issues related to peer-group relations, family relations, and achievement. In this respect, providing middle school students the opportunity to clarify, actively explore, and examine ethnic issues and their ethnic identity would only enhance the development of middle school students. As an example, students in the search/moratorium stage of Phinney's (1992) model who are displaying a desire to explore their ethnic heritage should be given opportunities to do so in class assignments, advisory programs, and counseling groups.

Group work is one mode of counseling that has been indicated in the literature as a viable means to nurture adolescents' ethnic identity development (Baca & Koss-Chioino, 1997; Noam, 1999). Middle school counselors could develop and implement ethnic exploration groups in which students research their ethnic heritage, dialogue with others about their ethnic background, and learn new information about other cultures and ethnic groups. An activity for a small group of eighth-grade Korean American middle school students might include completing the following: "Being Korean in this community means...," and "Being Korean in this school means..." These types of activities can act as a catalyst for students' exploration of the meaning attached to their ethnicity and, in turn, enhance their ethnic identity development. In these groups, counselors also might help early adolescents process others' negative racial/ethnic perceptions (Holcomb-McCoy & Moore-Thomas, 2001). For example, a middle school Mexican male group member complains to the counselor that students are teasing him because of his Mexican name and heritage. The counselor might encourage the student to discuss his feelings in relationship to the encounter and his feelings related to experiencing racism. Other group members also should have the opportunity to share similar experiences or to share how they would feel in a similar situation.

These group discussions ultimately can lead to an exploration of students' feelings related to their ethnic membership. The counselor in this example also might guide the group in problem-solving activities and help students determine ways to handle this situation or similar situations in the future. Role playing could be implemented to help students determine appropriate solutions to problems related to their ethnic group membership. Middle school counselors also must be prepared to advocate for increased cultural sensitivity and competence of students and staff in their schools.

In contrast to the preceding case, middle school counselors must be prepared to work with students who lack an interest in exploring their ethnic background (i.e., diffused or foreclosed identities). White students, in particular, may show little interest in their ethnicity because they do not see themselves as having an ethnic background (Phinney, 1992). The literature in relation to White adolescent ethnic and/or racial identity development is very limited; however, the literature on White racial identity development has increased over the past decade (Davey, Eaker, Fish, & Klock, 2003; Ponterotto, Fuertes, & Chen, 2000). It has been suggested that White adolescents examine how their Whiteness, as an identity and cultural system, is embodied and institutionalized in many settings, including schools (Carter, 1997; Davidson, 1996; McIntyre, 1997).

Proweller (1999) stated, "The conflicts that White students experience when asked to talk openly about Whiteness as a location of racial identity reflect a profound resistance to examining their own positionality, lived experience, and racial histories of domination and oppression" (p. 808). Proweller further indicated that many White students do not avoid active engagement with race but selectively engage in "race talk" within the parameters of a polite and public discourse. For this reason, middle school counselors should provide "safe" environments for White students to discuss their racial identity so that they can be honest rather than merely "polite" about their beliefs and values. Safe environments include settings where students are expected to respect one another, where different opinions are valued and challenged, and where adults are open about their own identity development (Southern Poverty Law Center, 1999).

Also, middle school counselors should engage White students in self-awareness activities that focus on identifying and exploring their ethnic heritage (e.g., Polish, Italian, German). Having students research their families' migration to the United States is an assignment that can initiate ethnic identification and exploration. Some students might be reluctant to explore or express feelings about their ethnicity because of family and/or parental beliefs that ethnic exploration is not necessary or is harmful. If this is the case, counselors should educate parents about the benefits of ethnic exploration in early adolescence.

Considering the importance of ethnicity in the identity development of middle school students, school counselors should examine counseling strategies and resources they use for possible modification. For instance, implementing bibliotherapy with books that include all White characters reinforces a lack of ethnic exploration and acceptance. Middle school counseling offices should offer books, videos, and other resources with representation of people of color and various cultures to promote students' exploration and acceptance of their ethnic heritages. Also, middle school counselors should provide opportunities for positive acknowledgement of students' ethnic group membership. Classroom guidance lessons, small groups, and any other school counseling activity should include recognition of students' uniqueness in terms of their ethnicity and/or race. One example is the family genogram (e.g., Rigazio-DiGilio, Ivey, Grady, & Kunkler-Peck, 2005), a counseling strategy that can be used in middle schools to explore students' cultural/family rituals, expectations, beliefs, and values.

Middle school counselors should use their knowledge of Phinney's (1992) model of ethnic identity development and Helms' (1994) interaction theory to analyze their school's racial climate and counseling program (e.g., group work, classroom guidance). In order to improve relationships within schools, middle school counselors might recommend or present staff professional development related to the influence of ethnic identity on student-to-student and student-to-educator interactions. If educators understand how ethnic identity affects their interactions and behaviors with students, they will be more equipped to change negative, ineffective relationships (with students and parents) into more positive, supportive relationships.

CONCLUDING THOUGHTS

Although there is compelling literature suggesting that ethnic identity development is an important component of adolescents' development, there is a need for more research that examines the ethnic identity development of early adolescents. More importantly, there is still very little known about what school counselors, educators, and parents should do to foster the healthy ethnic identity development of adolescents. Nevertheless, in light of its linkages to student achievement, self-concept, and behaviors, ethnic identity development should be realized as an important component of middle school students' development.

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Cheryl Holcomb-McCoy is with the Department of Counseling & Personnel Services, University of Maryland at College Park. E-mail: [e-mail]