j%uvnal of Adolescence 1992, 15,271-281
Ethnic identity and self-esteem: an exploratory longitudinal study JEAN S. PHINNEY*
AND VICTOR
CHAVIRA
Recent models of ethnic identity formation in minority youth suggest a progression over time from an unexamined or diffuse stage to an achieved ethnic identity. To examine changes with age in ethnic identity and selfesteem, eighteen adolescents from three ethnic groups (Asian American, Black, and Hispanic) were assessed at age 16 and three years later. Results of this exploratory study showed a significant change to higher stages of ethnic identity over the three-year period. Self-esteem and ethnic identity were significantly related to each other at each time period and across the three-year time span.
INTRODUCTION Identity formation is seen by Erikson (1968) as the central task of adolescence. Of the many different empirical approaches that have been used to operationalize the rich theoretical insights of Erikson, perhaps the most widely accepted is the identity status paradigm of James Marcia (1980). Marcia identified four identity statuses, based on the presence or absence of identity search and commitment: diffusion is evidenced by the absence of both search and commitment; foreclosure is characterized by a commitment without search; moratorium is indicated by current involvement in identity search; and identity achievement is demonstrated by a clear commitment that follows search. The majority of the research within this framework has focused on the identity domains of occupation, ideology, religion, and, more recently, sex roles and life style (e.g. Waterman, 1985). Marcia (1980) has indicated that identity statuses are not necessarily developmental stages, through which individuals move in a fixed progression. However, identity formation as outlined by Erikson (1968) is clearly a developmental process, leading, ideally, to identity achievement. Waterman (1982) developed a model of ego identity development and Reprint requests should be addressed to Jean Phinney, Department of Psychology, California State University. Los Angeles, CA 90032, U.S.A. This research was supported in part by PHS G rant RR-08101 from the MBRS Program Division of the National Institutes of Health. 0140-1971/92/030271+11
$03.00/O
8 1992 The
Association
for the Psychiatric
Study
of Adolescents
272
J. S. PHINNEY
AND V. CHAVIFL4
reviewed evidence supporting the idea that adolescents move from diffusion to identity achievement over time. In a recent longitudinal study Kroger (1988) found an overall movement out of identity diffusion and toward identity achievement. Furthermore, in a review of a number of models of identity formation, Kroger (1989) suggested that diffusion/ foreclosure characterizes early adolescence, while moratorium is most typical of middle adolescence, and identity achievement of late adolescence. However, in her 1988 study, Kroger found considerable variation in identity status depending on the domain under consideration (for example, evidence of development in the areas of occupational and political identity but not in religion). She suggests a “focal model” of identity development, in which development occurs at different times in different domains. Recently, a number of studies have drawn attention to an additional domain of identity development, namely, racial or ethnic identity, and have demonstrated its importance to minority group members. In a study of college students from four ethnic groups, Phinney and Alipuria (1990) found that ethnic minority students rated ethnicity as a central identity concern, equal to religion and above politics. Aries and Moorehead (1989) found that among Black female adolescents, ethnicity was the domain most predictive of overall identity status and was regarded by participants as the domain most important to self-definition. Work by Helms (1990) likewise has demonstrated the centrality of racial identity for Black Americans. Furthermore, the resolution of issues related to ethnicity attains particular importance during adolescence (Phinney and Rosenthal, 1992). It is appropriate, therefore, to study ethnic identity in a developmental framework, comparable to the study of ego identity. Building explicitly on Marcia’s four ego identity statuses, Phinney (1989) interviewed adolescents from four ethnic groups (Asian American, Black, Mexican American, and White), to examine the applicability of the ego identity statuses model to ethnic identity. There was clear evidence of ethnic identity achievement, defined as a secure commitment to one’s group, based on knowledge and understanding obtained through an active exploration of one’s cultural background; and of moratorium, indicated by current involvement in exploration of one’s ethnicity. However, ethnic identity diffusion and foreclosure could not be reliably distinguished and were combined into a category characterized by lack of interest in or knowledge about one’s ethnic or racial background, termed ethnic identity. At the unexamined stage, attitudes an “unexamined” toward one’s group membership could be positive or negative, but these views tended to be derived from parents or from society rather than reached independently.
ETHNIC
IDENTITY
AND SELF-ESTEEM
273
There exists little evidence as to whether these categories are truly developmental. By analogy with ego identity, it is assumed that ethnic identity development occurs in a progression from diffusion/foreclosure (i.e. unexamined), through exploration (moratorium) to ethnic identity achievement. Several other models of ethnic or racial identity formation suggest similar changes over time (e.g. Atkinson, Morten, and Sue, 1983; Helms, 1990). Cross (1978) outlined a model of change among Black youth, from an initial stage (“pre-encounter”) characterized by a negative view of one’s own group membership, through a process of search or “immersion”. in one’s culture, leading to a clear, confident internalization of one’s racial identity, that is, an achieved ethnic identity. Several recent studies provide limited support for such a progression. In two interview studies of ethnic identity (Phinney, 1989; Phinney and Tarver, 1988), a higher proportion of tenth graders than eighth graders showed evidence of ethnic identity search. In a study using a questionnaire measure of ethnic identity, Phinney (1992) found significantly higher scores on ethnic identity achievement among college students than among high school students. However, these studies have been cross-sectional, and there have been no longitudinal studies of ethnic identity development. The primary goal of this study was to assess participants from the Phinney (2 989) study after a three-year interval, to examine changes in ethnic identity over time. It was hypothesized that between the ages of 16 and 19 years adolescents at the two lower stages of ethnic identity would move to a higher stage, and that those at the highest stage would not change. Ethnic identity is considered important, in part, because of its relationship to the psychological well-being of ethnic minority group members. Research on ego identity using the identity status paradigm has shown a strong relationship between higher stages of ego identity and positive psychological adjustment (e.g. Waterman, 1984). However, research on ethnic identity and adjustment is less conclusive. Studies examining the relationship between ethnic identity and self-esteem have been inconsistent, with some showing a positive relationship and some showing no association. These disrepancies may be due in part to the widely differing methods used to assess ethnic identity, including ethnic customs and practices, attitudes towards one’s group, or a sense of belonging (see Phinney, 1990, 1991, for recent reviews of this issue). However, the few studies based on a developmental model generally show consistent results. Low levels of racial identity of Black students have been found to be associated with low self-esteem (Parham and Helms, 198%) and feelings of inferiority and anxiety (Parham and Helms, 198%); ethnic identity development among minority adolescents from various backgrounds
274
J. S. PHINNEY
AND
V. CHAVIRA
is positively associated with self-evaluation (Phinney, 1989) and selfesteem (Phinney and Alipuria, 1990). Yet even in cases where a relationship has been demonstrated, the direction of causality has not been studied. The problem of direction of effect plagues studies of self-esteem in general, since much of the work is correlational. Self-esteem has been conceptualized as both a casual factor and an outcome, for example in studies of school achievement, problem behaviors, and depression (Rosenberg, Schooler and Schoenbach, 1989). The question raised in the present study is whether having an achieved ethnic identity enhances the individual’s self-esteem, or, conversely, whether high self-esteem leads to ethnic identity achievement. It is possible that an achieved ethnic identity contributes to the individual’s selfesteem, by providing a sense of belonging and by acting as a buffer against the negative impact of experiences such as discrimination. According to social identity theory (Tajfel, 1981), minority group members strive to preserve a positive self-concept when faced with experiences that threaten their group identity. The type of self-protective strategies people use may depend on their level of ethnic identity, and the correlation between selfesteem and ethnic identity development may be due to the fact that people at higher stages use better, more effective self-protecting strategies. Consistent with this notion is the suggestion by Cracker and Major (1989) that the more an individual’s identity centers on membership in a disparaged group, the better the opportunities to engage in strategies that protect self-esteem. Similarly, Chavira and Phinney (1991) found that adolescents with high ethnic identity had higher self-esteem and used more active strategies in dealing with threats such as discrimination and stereotypes than did those with low ethnic identity. Alternatively, an equally plausible explanation is that high personal self-esteem leads to higher stages of ethnic identity development. Ethnic identity achievement requires sufficient confidence for the individual to explore and question what has been taken for granted. Risks are involved in differing with one’s parents, uncovering painful information about one’s culture, and taking a stand in the face of conflicting points of view. A similar point has been made with regard to ego identity formation. In her longitudinal study of women’s identity formation, Josselson (1987) points out that growth involves risk. She found that identity achieved women differed from those in the other identity statuses by valuing their own competence more highly, and thus being able to take greater risk in exploring options. It may be that adolescents with high self-esteem are more likely to engage in the searching and questioning about their cultural background that leads to an achieved ethnic identity. The second goal of this study was thus to explore the relationship
ETHNIC
between variable,
IDENTITY
AND SELF-ESTEEM
self-esteem and ethnic identity over time, if either, is predictive of the other.
to determine
275
which
METHOD Participants
The particpants were 18 young adults, comprising those individuals from an earlier study (Phinney, 1989) w h o could be recontacted and interviewed three years after the original data collection. The original sample (Time 1) consisted of 14 Asian American, 25 Black, and 25 Hispanic tenth graders (32 males and 32 females), all American-born, from two ethnically diverse Los Angeles area high schools; their median age was 16 years. The follow-up sample (Time 2) consisted of 11 females and 7 males, with a median age of 19 years (5 Asian Americans, 5 Blacks, 8 Hispanics). A chi-square analysis showed that the follow-up sample did not differ from the original participants not interviewed at Time 2 in ethnicity, age, gender, or ethnic identity stage; however, the follow-up sample was of lower socioeconomic status (SES) than the non-interviewed participants from the original sample ~2 (1, n = 64) = 4.32; p < 0.05. In the follow-up sample, 6 participants were middle class, 12, lower class (compared to 51 and 40, respectively, in the original sample).
Measures identity. At Time 1, ethnic identity was assessed by means of individual in-depth interviews that probed the extent to which the particpants had explored their ethnicity and achieved a clear, confident sense of their ethnic group membership. Each tape recorded interview was coded by two independent coders, and participants were assigned to one of three stages of ethnic identity: (1) diffusion/foreclosure (i.e. unexamined), (2) moratorium, or (3) achieved (see Phinney, 1989, for details). At Time 2. the interview, conducted by phone, consisted of similar questions assessing the participants’ degree of ethnic identity exploration and commitment. The interviews were coded by trained coders representing each of the ethnic groups in the sample. Participants were assigned to one of the three stages, based on whether they showed evidence of exploration and commitment. Each interview was independently coded by two coders; in case of disagreement, a third coder was employed. Inter-coder agreement was 88%. Ethnic
276
J. S. PHINNEY AND V. CHAVIRA
Self-esteem. At Time 1, self-esteem was assessed using the self-evaluation scale of the Bronstein-Cruz Child/adolescent Self-Concept and Adjustment Scale (Bronstein et al., 1987). The Bronstein/Cruz scale also includes assessment of social and peer relations, family relations, and sense of mastery (reported sub-scale reliabilities, 0.69 to 0.90, 3? = 0.84). The Bronstein/Cruz scale is a lengthy instrument that is not appropriate for a telephone interview; therefore, at Time 2, the Rosenberg (1986) Self-esteem Inventory was used. Procedure At Time 2, an attempt was made to contact all participants from the Phinney (1989) study. A letter was sent to each adolescent by a research assistant from the same ethnic background as the participant. The same research assistant subsequently attempted to contact each participant by phone or in some cases by a direct visit to the home. About two-thirds of the sample could not be reached, because of disconnected phones or of an adolescent having left home (for example, in the army or away at college). Of those who were reached, all but three agreed to be interviewed by telephone.
RESULTS
Changes in ethnic identity ovey time It was hypothesized that adolescents at the lower stages of ethnic identity would move to a higher stage, while those at the highest stage would not change. Table 1 shows participants’ stage assignments at Time 1 (Tl) and Time 2 (T2) and the frequency of predicted outcomes for participants at each initial ethnic identity stage. A one-tailed sign test was used to test the predictions. The frequency of predicted outcomes was significantly greater than would be expected by chance (binomial probability) both for the entire sample, ~(15) = 0.004, and for the adolescents originally at the unexamined stage, p(7) = 0.04. Of the eight participants who were initially in the unexamined stage, only one remained at that stage, while two moved to moratorium and five to identity achievement. Moratorium participants showed the lease stability, with none remaining at that stage after three years; of the initial 4, one regressed to the unexamined stage and three moved to identity achievement. The six participants with an achieved ethnic identity showed the greatest stability, with five remaining identity achieved and one showing regression to the unexamined stage.
ETHNIC
Table 1.
Ethnic
Moratorium:
Achieved:
Total
8
4
6
sample:
2, Frequency
of
T2 Ethnic Idenity n
Unexamined:
277
AND SELF-ESTEEM
identity Stage Assignments at Time 1 and Time Predicted Outcome, and Significance of Sign Test.
Tl Ethnic Identity (Age 16)
IDENTITY
18
a Or stable if unexamined
(Age 19)
N
As predicted?
Sign test
Unexamined: Moratorium: Achieved:
1 2 5
No: 12.5% Yes: 25% Yes: 62.5%
0.04
Unexamined: Achieved:
1 3
No: 25% Yes: 75%
n.s.
Unexamined: Achieved:
1 5
No: 17% Yes: 83%
n.s.
Regressiona: Progressionb:
3 15
b Or stable
No: Yes:
17% 83%
0.004
if achieved
Stability, progression, and regression were unrelated to ethnic group, socioeconomic status or gender. Because the small numbers make statistical analyses problematic, descriptive comparisons were made between adolescents who showed progression and those manifesting regression. The two showing regression were an Asian male and an Hispanic male; those showing progression were evenly distributed across ethnic groups. At Time 1, the scores on all four adjustment scales of the participants showing regression were well below those of participants who were stable or progressed. The difference could not be tested statistically because of the lack of variance among those who regressed; however the two regression participants scored one standard deviation below the progressions on self-evaulation, social relations, and family relations. The largest difference between progression and regression adolescents was on the family relations scale (2.95 ZV. 2.27). (Th e scores of the stable participants were highest on all adjustment measures, largely because five of the six stable participants were identity achieved, a stage with higher adjustment scores in all categories.) The relationship of ethnic identity and self-esteem over time To examine the effect of self-evaluation and ethnic identity stage at Time 1 with self-esteem and ethnic identity at Time 2, cross-lagged panel correlations were carried out, using Kendall’s tau for correlations involving
J. S. PHINNEY
278 TI Ethnic ldentitv
AND V. CHAVIRA 0.14
c
T2 Ethmc Identity
o.47# -_ o.5 TI Selfevaluation
t
0.77**
Figure 1. Correlations among ethnic identity Time 1 and Time 2. * p < 0.01; ** p < 0.001.
stages
and
self-concept
T2 Selfesteem
measures
at
the categorical variable of stage, and a Pearson product moment correlation between the two measures of self-esteem. These correlations are shown in Figure 1. Five of the six correlations were statistically significant and positive. Ethnic identity stage was significantly correlated with selfesteem at both time periods (Time 1: tau = 0.47, p < 0.01; Time 2: tau = 0.52, p < 0.01) and predicted self-esteem three years later (tau = 0.49, p < 0.01); similarly, self-esteem predicted ethnic identity stage three years later (tau = 0.52, p < 0.01). The two measures of self-esteem were significantly correlated over time (Y = 0.77, p < O.OOl),while ethnic identity stages at Time 1 and Time 2 were unrelated (tau = O-14).
DISCUSSION
This exploratory study provides longitudinal evidence of change over time in ethnic identity, thus supporting a sequential model of ethnic identity development. Because of the small sample, these results should be considered preliminary and need to be replicated. Nevertheless, as predicted, most particpants at the lower two stages moved to a higher stage over the three-year period, while those at the highest stage remained there. This progression is consistent with the literature on ego identity development (Waterman, 1982). Although the sample is small, the followup sample was not systematically different from the participants in the original study who were not interviewed. The exception, surprisingly, is that the follow-up sample consisted of more participants from the lower
ETHNIC
IDENTITY
AND
SELF-ESTEEM
279
social class. However, as no differences in ethnic identity related to social class have been found in this or previous research (Phinney, 1989; Phinney and Alipuria, 1990), there is no reason to believe that results from the follow-up participants would be significantly different from those with participants who were not interviewed after three years. All but one of the participants who had an achieved ethnic identity at Time 1 remained at this stage over the next three years, a fact that suggests that the achieved stage is relatively stable over time. Moratorium was the least stable stage, with none of the participants remaining in this stage three years later. Waterman (1982) has pointed out that moratorium is a transitional status and may thus be the least stable, as the individual in moratorium is striving to resolve issues and make changes in his or her life. Only one of the adolescents in the present study retained an unexamined ethnic identity over three years. It can be speculated that the movement away from high school into the wider world of work or college presented situations that stimulated the need for these youth to explore and understand their ethnic and cultural background. The results also suggest individual characteristics that may be implicated in ethnic identity formation. The participants who progressed over the 3-year period had not only higher initial self-evaluation scores but also high scores on social and peer relations and on family relations. The two participants who regressed were notable for their low scores on family Strong support from the family may be an important interactions. resource for minority youth as they explore their cultural heritage. Similarly, Rosenthal and Feldman (1992) found that among ChineseAmerican and Chinese-Australian adolescents, ethnic pride was associated with family environments characterized as warm, autonomypromoting, and controlling. Nevertheless, the regression of a few participants remains a puzzling phenomenon, given that the model assumes a developmental sequence. It is possible that the ethnic identity achieved adolescent who showed regression was initially misclassified, since it is not clear how an achieved individual could, after three years, show little interest and commitment in his or her ethnicity. The moratorium adolescent, on the other hand, may have found the issues too difficult to resolve and simply retreated to a safer position. The results of this study do little to resolve the debate about the role of self-esteem in the development of ethnic identity. As has been noted, selfesteem can be seen as either the cause or the outcome of developmental variables, and the relationship appears to vary depending on the particular variable under consideration (Rosenberg et al., 1989). In the present study, self-esteem and ethnic identity were significantly related to each
280
J. S. PHINNEY
AND V. CHAVIRA
other at both time periods and over the 3-year time span. It appears that the effects are interactive; that is, high self-esteem may promote exploration of ethnic issues (for example, the questioning of stereotypes or the search for positive role models); but at the same time a clearer understanding of one’s background (for example, of problems overcome by one’s group) may contribute to positive feelings about oneself. The outcome might thus be a spiral effect, of increasing ethnic identity and selfesteem. Conversely, adolescents with low self-esteem might be more inclined to believe negative stereotypes, feel negative or ambivalent about their group membership, and fail to use self-protective strategies (Cracker and Major, 1989). Clearly, further longitudinal studies are needed with larger samples to illuminate these complex interrelationships. It is likely, as well, that contextual factors, such as changes in the individual’s milieu as a result of leaving home, or changes in the neighborhood as a result of migration, influence ethnic identity formation and should be investigated in future research. The results of this study are consistent with previous research emphasizing the importance of ethnic identity in the development of minority youth (Aries and Moorehead, 1989; Phinney and Alipuria, 1990). However, these results suggest that personal self-concept also plays a fundamental role. Efforts to promote healthy psychological development among young ethnic group members should focus not only on promoting ethnic awareness and identity development, but at least equally on enhancing self-esteem. High personal self-esteem may then provide the basis for individuals to explore their own cultural background and to develop a secure, positive view of themselves as minority group members.
REFERENCES
Aries, E. and Moorehead, K. (1989). The importance of ethnicity in the development of identity of Black adolescents. Psychological Reports, 65, 75-82. Atkinson, D., Morten, G. and Sue, D. (1983). Counseling American minorities. Dubuque, IA: Wm. C. Brown. Bronstein, P., Cruz, M., Cowles, C., D’Ari, A., Pienadz, J., France, O., Duncan, P. and Frankowski, B. (1987, August). A measure of child and adolescent self-concept and psychological adjustment. Paper presented at the annual meeting of the American Psychological Association, New York. Chavira, V. and Phinney, J. (1991). Adolescents’ ethnic identity, self-esteems and strategies for dealing with ethnicity and minority status. Hispanic Journal of Behavioral Sciences, 13, 226-227. Cracker, J. and Major, B. (1989). Social stigma and self-esteem: The self-protective pope&es of stigma. Psychological Review, 96, 608-630. Cross, W. (1978). The Thomas and Cross models of psychological nigrescence: A literature review. Journal of Black Pscyhology, 4, 13-3 1.
ETHNIC
IDENTITY
AND SELF-ESTEEM
Erikson, E. H. (1968). Identity: Youth and crisis. New York: Norton. Helms, J. (1990). Black and White racial identity: Theory, research, and practice.
281
New
York: Greenwood. Kroger, J. (1968). A longitudinal study of ego identity status interview domains. Journal of Adolescence, 11, 49-64. Kroger, J. (1989). Identity in adolescence: The balance between self and other. London: Routledge. In Handbook of adolescent psychology, Marcia, J. (1980). Identity in adolescence. Adelson, J. (Ed.). New York: Wiley. Parham, T. and Helms, J. (1985a). Attitudes of racial identity and self-esteem of black students: An exploratory investigation. Journal of College Student Personnel, 26, 143-147. Parham, T. and Helms, J. (19856). Relation of racial identity attitudes to self-actualization and affective states of black students. Journal of Counseling Psychology, 32, 431-440. Phinney, J. (1989). Stages of ethnic identity development in minority group adolescents. rournal of Early Adolescence, 9, 34-49. Phinney, J. (1990). Ethnic identity in adolescents and adults: Review of research. Psychological Bulletin, 108, 499-514. Phinney, J. (1991). Ethnic identity and self-esteem: A review and integration. Hispanic Journal of Behavioral Sciences, 13, 193-208. Phinney, J. (1992). The Multigroup Ethnic Identity Measure: A new scale for use with adolescents and young adults from diverse groups. Journal of Adolescence, 2. Phinney, J. and Alipuria, L. (1990). Ethnic identity in college students from four ethnic groups. Journal of Adolescents Research, 13, 171-183. Phinney, J. and Rosenthal, D. (1992). Ethnic identity in adolescence: Process, context, and outcome. In Adolescent identity formation. Adams, G., Gulotta, T. and Montemayor, R. (Eds.), Newbury Park, CA: Sage. Phinney, J. and Tarver, S. (1988). Ethnic identity search and commitment in Black and White eighth graders. Journal of Early Adolescence, 8, 265-277. Rosenberg, M. (1986). Conceiving the self. Melbourne, FL: Krieger. Rosenberg, %‘I., Schooler, C. and Schoenbach, C. (1989). Self-esteem and adolescent American Sociological Review, 54, problems: Modeling reciprocal effects. 1004-1018. Rosenthal, D. A. and Feldman, S. S. (1992). The relationship between parenting behaviour and ethnic identity in Chinese-American and Chinese-Australian adolescents. International Journal of Psychology, 27, 19-3 1 Tajfel, H. (1981). Human groups and social categories. London: Cambridge University Press. Waterman, A. S. (1982). Identity development from adolescence to adulthood: An extension of theory and a review of research. Developmental Psychology, 18, 341-358. Waterman, A. S. (1984). The psychology of individualism. New York: Praeger. Waterman, A. S. (Ed.) (1985). Identity in adolescence: Processes and contents. San Francisco: Jossey-Bass, Inc.
Ethnic identity and self-esteem: an exploratory longitudinal study JEAN S. PHINNEY*
AND VICTOR
CHAVIRA
Recent models of ethnic identity formation in minority youth suggest a progression over time from an unexamined or diffuse stage to an achieved ethnic identity. To examine changes with age in ethnic identity and selfesteem, eighteen adolescents from three ethnic groups (Asian American, Black, and Hispanic) were assessed at age 16 and three years later. Results of this exploratory study showed a significant change to higher stages of ethnic identity over the three-year period. Self-esteem and ethnic identity were significantly related to each other at each time period and across the three-year time span.
INTRODUCTION Identity formation is seen by Erikson (1968) as the central task of adolescence. Of the many different empirical approaches that have been used to operationalize the rich theoretical insights of Erikson, perhaps the most widely accepted is the identity status paradigm of James Marcia (1980). Marcia identified four identity statuses, based on the presence or absence of identity search and commitment: diffusion is evidenced by the absence of both search and commitment; foreclosure is characterized by a commitment without search; moratorium is indicated by current involvement in identity search; and identity achievement is demonstrated by a clear commitment that follows search. The majority of the research within this framework has focused on the identity domains of occupation, ideology, religion, and, more recently, sex roles and life style (e.g. Waterman, 1985). Marcia (1980) has indicated that identity statuses are not necessarily developmental stages, through which individuals move in a fixed progression. However, identity formation as outlined by Erikson (1968) is clearly a developmental process, leading, ideally, to identity achievement. Waterman (1982) developed a model of ego identity development and Reprint requests should be addressed to Jean Phinney, Department of Psychology, California State University. Los Angeles, CA 90032, U.S.A. This research was supported in part by PHS G rant RR-08101 from the MBRS Program Division of the National Institutes of Health. 0140-1971/92/030271+11
$03.00/O
8 1992 The
Association
for the Psychiatric
Study
of Adolescents
272
J. S. PHINNEY
AND V. CHAVIFL4
reviewed evidence supporting the idea that adolescents move from diffusion to identity achievement over time. In a recent longitudinal study Kroger (1988) found an overall movement out of identity diffusion and toward identity achievement. Furthermore, in a review of a number of models of identity formation, Kroger (1989) suggested that diffusion/ foreclosure characterizes early adolescence, while moratorium is most typical of middle adolescence, and identity achievement of late adolescence. However, in her 1988 study, Kroger found considerable variation in identity status depending on the domain under consideration (for example, evidence of development in the areas of occupational and political identity but not in religion). She suggests a “focal model” of identity development, in which development occurs at different times in different domains. Recently, a number of studies have drawn attention to an additional domain of identity development, namely, racial or ethnic identity, and have demonstrated its importance to minority group members. In a study of college students from four ethnic groups, Phinney and Alipuria (1990) found that ethnic minority students rated ethnicity as a central identity concern, equal to religion and above politics. Aries and Moorehead (1989) found that among Black female adolescents, ethnicity was the domain most predictive of overall identity status and was regarded by participants as the domain most important to self-definition. Work by Helms (1990) likewise has demonstrated the centrality of racial identity for Black Americans. Furthermore, the resolution of issues related to ethnicity attains particular importance during adolescence (Phinney and Rosenthal, 1992). It is appropriate, therefore, to study ethnic identity in a developmental framework, comparable to the study of ego identity. Building explicitly on Marcia’s four ego identity statuses, Phinney (1989) interviewed adolescents from four ethnic groups (Asian American, Black, Mexican American, and White), to examine the applicability of the ego identity statuses model to ethnic identity. There was clear evidence of ethnic identity achievement, defined as a secure commitment to one’s group, based on knowledge and understanding obtained through an active exploration of one’s cultural background; and of moratorium, indicated by current involvement in exploration of one’s ethnicity. However, ethnic identity diffusion and foreclosure could not be reliably distinguished and were combined into a category characterized by lack of interest in or knowledge about one’s ethnic or racial background, termed ethnic identity. At the unexamined stage, attitudes an “unexamined” toward one’s group membership could be positive or negative, but these views tended to be derived from parents or from society rather than reached independently.
ETHNIC
IDENTITY
AND SELF-ESTEEM
273
There exists little evidence as to whether these categories are truly developmental. By analogy with ego identity, it is assumed that ethnic identity development occurs in a progression from diffusion/foreclosure (i.e. unexamined), through exploration (moratorium) to ethnic identity achievement. Several other models of ethnic or racial identity formation suggest similar changes over time (e.g. Atkinson, Morten, and Sue, 1983; Helms, 1990). Cross (1978) outlined a model of change among Black youth, from an initial stage (“pre-encounter”) characterized by a negative view of one’s own group membership, through a process of search or “immersion”. in one’s culture, leading to a clear, confident internalization of one’s racial identity, that is, an achieved ethnic identity. Several recent studies provide limited support for such a progression. In two interview studies of ethnic identity (Phinney, 1989; Phinney and Tarver, 1988), a higher proportion of tenth graders than eighth graders showed evidence of ethnic identity search. In a study using a questionnaire measure of ethnic identity, Phinney (1992) found significantly higher scores on ethnic identity achievement among college students than among high school students. However, these studies have been cross-sectional, and there have been no longitudinal studies of ethnic identity development. The primary goal of this study was to assess participants from the Phinney (2 989) study after a three-year interval, to examine changes in ethnic identity over time. It was hypothesized that between the ages of 16 and 19 years adolescents at the two lower stages of ethnic identity would move to a higher stage, and that those at the highest stage would not change. Ethnic identity is considered important, in part, because of its relationship to the psychological well-being of ethnic minority group members. Research on ego identity using the identity status paradigm has shown a strong relationship between higher stages of ego identity and positive psychological adjustment (e.g. Waterman, 1984). However, research on ethnic identity and adjustment is less conclusive. Studies examining the relationship between ethnic identity and self-esteem have been inconsistent, with some showing a positive relationship and some showing no association. These disrepancies may be due in part to the widely differing methods used to assess ethnic identity, including ethnic customs and practices, attitudes towards one’s group, or a sense of belonging (see Phinney, 1990, 1991, for recent reviews of this issue). However, the few studies based on a developmental model generally show consistent results. Low levels of racial identity of Black students have been found to be associated with low self-esteem (Parham and Helms, 198%) and feelings of inferiority and anxiety (Parham and Helms, 198%); ethnic identity development among minority adolescents from various backgrounds
274
J. S. PHINNEY
AND
V. CHAVIRA
is positively associated with self-evaluation (Phinney, 1989) and selfesteem (Phinney and Alipuria, 1990). Yet even in cases where a relationship has been demonstrated, the direction of causality has not been studied. The problem of direction of effect plagues studies of self-esteem in general, since much of the work is correlational. Self-esteem has been conceptualized as both a casual factor and an outcome, for example in studies of school achievement, problem behaviors, and depression (Rosenberg, Schooler and Schoenbach, 1989). The question raised in the present study is whether having an achieved ethnic identity enhances the individual’s self-esteem, or, conversely, whether high self-esteem leads to ethnic identity achievement. It is possible that an achieved ethnic identity contributes to the individual’s selfesteem, by providing a sense of belonging and by acting as a buffer against the negative impact of experiences such as discrimination. According to social identity theory (Tajfel, 1981), minority group members strive to preserve a positive self-concept when faced with experiences that threaten their group identity. The type of self-protective strategies people use may depend on their level of ethnic identity, and the correlation between selfesteem and ethnic identity development may be due to the fact that people at higher stages use better, more effective self-protecting strategies. Consistent with this notion is the suggestion by Cracker and Major (1989) that the more an individual’s identity centers on membership in a disparaged group, the better the opportunities to engage in strategies that protect self-esteem. Similarly, Chavira and Phinney (1991) found that adolescents with high ethnic identity had higher self-esteem and used more active strategies in dealing with threats such as discrimination and stereotypes than did those with low ethnic identity. Alternatively, an equally plausible explanation is that high personal self-esteem leads to higher stages of ethnic identity development. Ethnic identity achievement requires sufficient confidence for the individual to explore and question what has been taken for granted. Risks are involved in differing with one’s parents, uncovering painful information about one’s culture, and taking a stand in the face of conflicting points of view. A similar point has been made with regard to ego identity formation. In her longitudinal study of women’s identity formation, Josselson (1987) points out that growth involves risk. She found that identity achieved women differed from those in the other identity statuses by valuing their own competence more highly, and thus being able to take greater risk in exploring options. It may be that adolescents with high self-esteem are more likely to engage in the searching and questioning about their cultural background that leads to an achieved ethnic identity. The second goal of this study was thus to explore the relationship
ETHNIC
between variable,
IDENTITY
AND SELF-ESTEEM
self-esteem and ethnic identity over time, if either, is predictive of the other.
to determine
275
which
METHOD Participants
The particpants were 18 young adults, comprising those individuals from an earlier study (Phinney, 1989) w h o could be recontacted and interviewed three years after the original data collection. The original sample (Time 1) consisted of 14 Asian American, 25 Black, and 25 Hispanic tenth graders (32 males and 32 females), all American-born, from two ethnically diverse Los Angeles area high schools; their median age was 16 years. The follow-up sample (Time 2) consisted of 11 females and 7 males, with a median age of 19 years (5 Asian Americans, 5 Blacks, 8 Hispanics). A chi-square analysis showed that the follow-up sample did not differ from the original participants not interviewed at Time 2 in ethnicity, age, gender, or ethnic identity stage; however, the follow-up sample was of lower socioeconomic status (SES) than the non-interviewed participants from the original sample ~2 (1, n = 64) = 4.32; p < 0.05. In the follow-up sample, 6 participants were middle class, 12, lower class (compared to 51 and 40, respectively, in the original sample).
Measures identity. At Time 1, ethnic identity was assessed by means of individual in-depth interviews that probed the extent to which the particpants had explored their ethnicity and achieved a clear, confident sense of their ethnic group membership. Each tape recorded interview was coded by two independent coders, and participants were assigned to one of three stages of ethnic identity: (1) diffusion/foreclosure (i.e. unexamined), (2) moratorium, or (3) achieved (see Phinney, 1989, for details). At Time 2. the interview, conducted by phone, consisted of similar questions assessing the participants’ degree of ethnic identity exploration and commitment. The interviews were coded by trained coders representing each of the ethnic groups in the sample. Participants were assigned to one of the three stages, based on whether they showed evidence of exploration and commitment. Each interview was independently coded by two coders; in case of disagreement, a third coder was employed. Inter-coder agreement was 88%. Ethnic
276
J. S. PHINNEY AND V. CHAVIRA
Self-esteem. At Time 1, self-esteem was assessed using the self-evaluation scale of the Bronstein-Cruz Child/adolescent Self-Concept and Adjustment Scale (Bronstein et al., 1987). The Bronstein/Cruz scale also includes assessment of social and peer relations, family relations, and sense of mastery (reported sub-scale reliabilities, 0.69 to 0.90, 3? = 0.84). The Bronstein/Cruz scale is a lengthy instrument that is not appropriate for a telephone interview; therefore, at Time 2, the Rosenberg (1986) Self-esteem Inventory was used. Procedure At Time 2, an attempt was made to contact all participants from the Phinney (1989) study. A letter was sent to each adolescent by a research assistant from the same ethnic background as the participant. The same research assistant subsequently attempted to contact each participant by phone or in some cases by a direct visit to the home. About two-thirds of the sample could not be reached, because of disconnected phones or of an adolescent having left home (for example, in the army or away at college). Of those who were reached, all but three agreed to be interviewed by telephone.
RESULTS
Changes in ethnic identity ovey time It was hypothesized that adolescents at the lower stages of ethnic identity would move to a higher stage, while those at the highest stage would not change. Table 1 shows participants’ stage assignments at Time 1 (Tl) and Time 2 (T2) and the frequency of predicted outcomes for participants at each initial ethnic identity stage. A one-tailed sign test was used to test the predictions. The frequency of predicted outcomes was significantly greater than would be expected by chance (binomial probability) both for the entire sample, ~(15) = 0.004, and for the adolescents originally at the unexamined stage, p(7) = 0.04. Of the eight participants who were initially in the unexamined stage, only one remained at that stage, while two moved to moratorium and five to identity achievement. Moratorium participants showed the lease stability, with none remaining at that stage after three years; of the initial 4, one regressed to the unexamined stage and three moved to identity achievement. The six participants with an achieved ethnic identity showed the greatest stability, with five remaining identity achieved and one showing regression to the unexamined stage.
ETHNIC
Table 1.
Ethnic
Moratorium:
Achieved:
Total
8
4
6
sample:
2, Frequency
of
T2 Ethnic Idenity n
Unexamined:
277
AND SELF-ESTEEM
identity Stage Assignments at Time 1 and Time Predicted Outcome, and Significance of Sign Test.
Tl Ethnic Identity (Age 16)
IDENTITY
18
a Or stable if unexamined
(Age 19)
N
As predicted?
Sign test
Unexamined: Moratorium: Achieved:
1 2 5
No: 12.5% Yes: 25% Yes: 62.5%
0.04
Unexamined: Achieved:
1 3
No: 25% Yes: 75%
n.s.
Unexamined: Achieved:
1 5
No: 17% Yes: 83%
n.s.
Regressiona: Progressionb:
3 15
b Or stable
No: Yes:
17% 83%
0.004
if achieved
Stability, progression, and regression were unrelated to ethnic group, socioeconomic status or gender. Because the small numbers make statistical analyses problematic, descriptive comparisons were made between adolescents who showed progression and those manifesting regression. The two showing regression were an Asian male and an Hispanic male; those showing progression were evenly distributed across ethnic groups. At Time 1, the scores on all four adjustment scales of the participants showing regression were well below those of participants who were stable or progressed. The difference could not be tested statistically because of the lack of variance among those who regressed; however the two regression participants scored one standard deviation below the progressions on self-evaulation, social relations, and family relations. The largest difference between progression and regression adolescents was on the family relations scale (2.95 ZV. 2.27). (Th e scores of the stable participants were highest on all adjustment measures, largely because five of the six stable participants were identity achieved, a stage with higher adjustment scores in all categories.) The relationship of ethnic identity and self-esteem over time To examine the effect of self-evaluation and ethnic identity stage at Time 1 with self-esteem and ethnic identity at Time 2, cross-lagged panel correlations were carried out, using Kendall’s tau for correlations involving
J. S. PHINNEY
278 TI Ethnic ldentitv
AND V. CHAVIRA 0.14
c
T2 Ethmc Identity
o.47# -_ o.5 TI Selfevaluation
t
0.77**
Figure 1. Correlations among ethnic identity Time 1 and Time 2. * p < 0.01; ** p < 0.001.
stages
and
self-concept
T2 Selfesteem
measures
at
the categorical variable of stage, and a Pearson product moment correlation between the two measures of self-esteem. These correlations are shown in Figure 1. Five of the six correlations were statistically significant and positive. Ethnic identity stage was significantly correlated with selfesteem at both time periods (Time 1: tau = 0.47, p < 0.01; Time 2: tau = 0.52, p < 0.01) and predicted self-esteem three years later (tau = 0.49, p < 0.01); similarly, self-esteem predicted ethnic identity stage three years later (tau = 0.52, p < 0.01). The two measures of self-esteem were significantly correlated over time (Y = 0.77, p < O.OOl),while ethnic identity stages at Time 1 and Time 2 were unrelated (tau = O-14).
DISCUSSION
This exploratory study provides longitudinal evidence of change over time in ethnic identity, thus supporting a sequential model of ethnic identity development. Because of the small sample, these results should be considered preliminary and need to be replicated. Nevertheless, as predicted, most particpants at the lower two stages moved to a higher stage over the three-year period, while those at the highest stage remained there. This progression is consistent with the literature on ego identity development (Waterman, 1982). Although the sample is small, the followup sample was not systematically different from the participants in the original study who were not interviewed. The exception, surprisingly, is that the follow-up sample consisted of more participants from the lower
ETHNIC
IDENTITY
AND
SELF-ESTEEM
279
social class. However, as no differences in ethnic identity related to social class have been found in this or previous research (Phinney, 1989; Phinney and Alipuria, 1990), there is no reason to believe that results from the follow-up participants would be significantly different from those with participants who were not interviewed after three years. All but one of the participants who had an achieved ethnic identity at Time 1 remained at this stage over the next three years, a fact that suggests that the achieved stage is relatively stable over time. Moratorium was the least stable stage, with none of the participants remaining in this stage three years later. Waterman (1982) has pointed out that moratorium is a transitional status and may thus be the least stable, as the individual in moratorium is striving to resolve issues and make changes in his or her life. Only one of the adolescents in the present study retained an unexamined ethnic identity over three years. It can be speculated that the movement away from high school into the wider world of work or college presented situations that stimulated the need for these youth to explore and understand their ethnic and cultural background. The results also suggest individual characteristics that may be implicated in ethnic identity formation. The participants who progressed over the 3-year period had not only higher initial self-evaluation scores but also high scores on social and peer relations and on family relations. The two participants who regressed were notable for their low scores on family Strong support from the family may be an important interactions. resource for minority youth as they explore their cultural heritage. Similarly, Rosenthal and Feldman (1992) found that among ChineseAmerican and Chinese-Australian adolescents, ethnic pride was associated with family environments characterized as warm, autonomypromoting, and controlling. Nevertheless, the regression of a few participants remains a puzzling phenomenon, given that the model assumes a developmental sequence. It is possible that the ethnic identity achieved adolescent who showed regression was initially misclassified, since it is not clear how an achieved individual could, after three years, show little interest and commitment in his or her ethnicity. The moratorium adolescent, on the other hand, may have found the issues too difficult to resolve and simply retreated to a safer position. The results of this study do little to resolve the debate about the role of self-esteem in the development of ethnic identity. As has been noted, selfesteem can be seen as either the cause or the outcome of developmental variables, and the relationship appears to vary depending on the particular variable under consideration (Rosenberg et al., 1989). In the present study, self-esteem and ethnic identity were significantly related to each
280
J. S. PHINNEY
AND V. CHAVIRA
other at both time periods and over the 3-year time span. It appears that the effects are interactive; that is, high self-esteem may promote exploration of ethnic issues (for example, the questioning of stereotypes or the search for positive role models); but at the same time a clearer understanding of one’s background (for example, of problems overcome by one’s group) may contribute to positive feelings about oneself. The outcome might thus be a spiral effect, of increasing ethnic identity and selfesteem. Conversely, adolescents with low self-esteem might be more inclined to believe negative stereotypes, feel negative or ambivalent about their group membership, and fail to use self-protective strategies (Cracker and Major, 1989). Clearly, further longitudinal studies are needed with larger samples to illuminate these complex interrelationships. It is likely, as well, that contextual factors, such as changes in the individual’s milieu as a result of leaving home, or changes in the neighborhood as a result of migration, influence ethnic identity formation and should be investigated in future research. The results of this study are consistent with previous research emphasizing the importance of ethnic identity in the development of minority youth (Aries and Moorehead, 1989; Phinney and Alipuria, 1990). However, these results suggest that personal self-concept also plays a fundamental role. Efforts to promote healthy psychological development among young ethnic group members should focus not only on promoting ethnic awareness and identity development, but at least equally on enhancing self-esteem. High personal self-esteem may then provide the basis for individuals to explore their own cultural background and to develop a secure, positive view of themselves as minority group members.
REFERENCES
Aries, E. and Moorehead, K. (1989). The importance of ethnicity in the development of identity of Black adolescents. Psychological Reports, 65, 75-82. Atkinson, D., Morten, G. and Sue, D. (1983). Counseling American minorities. Dubuque, IA: Wm. C. Brown. Bronstein, P., Cruz, M., Cowles, C., D’Ari, A., Pienadz, J., France, O., Duncan, P. and Frankowski, B. (1987, August). A measure of child and adolescent self-concept and psychological adjustment. Paper presented at the annual meeting of the American Psychological Association, New York. Chavira, V. and Phinney, J. (1991). Adolescents’ ethnic identity, self-esteems and strategies for dealing with ethnicity and minority status. Hispanic Journal of Behavioral Sciences, 13, 226-227. Cracker, J. and Major, B. (1989). Social stigma and self-esteem: The self-protective pope&es of stigma. Psychological Review, 96, 608-630. Cross, W. (1978). The Thomas and Cross models of psychological nigrescence: A literature review. Journal of Black Pscyhology, 4, 13-3 1.
ETHNIC
IDENTITY
AND SELF-ESTEEM
Erikson, E. H. (1968). Identity: Youth and crisis. New York: Norton. Helms, J. (1990). Black and White racial identity: Theory, research, and practice.
281
New
York: Greenwood. Kroger, J. (1968). A longitudinal study of ego identity status interview domains. Journal of Adolescence, 11, 49-64. Kroger, J. (1989). Identity in adolescence: The balance between self and other. London: Routledge. In Handbook of adolescent psychology, Marcia, J. (1980). Identity in adolescence. Adelson, J. (Ed.). New York: Wiley. Parham, T. and Helms, J. (1985a). Attitudes of racial identity and self-esteem of black students: An exploratory investigation. Journal of College Student Personnel, 26, 143-147. Parham, T. and Helms, J. (19856). Relation of racial identity attitudes to self-actualization and affective states of black students. Journal of Counseling Psychology, 32, 431-440. Phinney, J. (1989). Stages of ethnic identity development in minority group adolescents. rournal of Early Adolescence, 9, 34-49. Phinney, J. (1990). Ethnic identity in adolescents and adults: Review of research. Psychological Bulletin, 108, 499-514. Phinney, J. (1991). Ethnic identity and self-esteem: A review and integration. Hispanic Journal of Behavioral Sciences, 13, 193-208. Phinney, J. (1992). The Multigroup Ethnic Identity Measure: A new scale for use with adolescents and young adults from diverse groups. Journal of Adolescence, 2. Phinney, J. and Alipuria, L. (1990). Ethnic identity in college students from four ethnic groups. Journal of Adolescents Research, 13, 171-183. Phinney, J. and Rosenthal, D. (1992). Ethnic identity in adolescence: Process, context, and outcome. In Adolescent identity formation. Adams, G., Gulotta, T. and Montemayor, R. (Eds.), Newbury Park, CA: Sage. Phinney, J. and Tarver, S. (1988). Ethnic identity search and commitment in Black and White eighth graders. Journal of Early Adolescence, 8, 265-277. Rosenberg, M. (1986). Conceiving the self. Melbourne, FL: Krieger. Rosenberg, %‘I., Schooler, C. and Schoenbach, C. (1989). Self-esteem and adolescent American Sociological Review, 54, problems: Modeling reciprocal effects. 1004-1018. Rosenthal, D. A. and Feldman, S. S. (1992). The relationship between parenting behaviour and ethnic identity in Chinese-American and Chinese-Australian adolescents. International Journal of Psychology, 27, 19-3 1 Tajfel, H. (1981). Human groups and social categories. London: Cambridge University Press. Waterman, A. S. (1982). Identity development from adolescence to adulthood: An extension of theory and a review of research. Developmental Psychology, 18, 341-358. Waterman, A. S. (1984). The psychology of individualism. New York: Praeger. Waterman, A. S. (Ed.) (1985). Identity in adolescence: Processes and contents. San Francisco: Jossey-Bass, Inc.
