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Exploring ethnic and academic identity in resilient African American students: an in-depth analysis of the USC TRIO program

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Exploring ethnic and academic identity in resilient African American students: an in-depth analysis of the USC TRIO program

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EXPLORING ETHNIC AND ACADEMIC IDENTITY IN RESILIENT AFRICAN
AMERICAN STUDENTS: AN IN-DEPTH ANALYSIS OF THE USC TRIO
PROGRAM

by

Karen T. Ghulam

_____________________________________________________________

A Dissertation Presented to the
FACULTY OF THE ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

May 2009

Copyright 2009 Karen T. Ghulam
ii
DEDICATION
This dissertation is dedicated to my family for their love and support. I thank
my parents for instilling in me the value of an education. Their resilience and hard
work provided me with the opportunity to fulfill my American dream and work
towards my fullest potential. I dedicate this to them for their endless encouragement
and guidance. A special thanks to my younger sister Kathy for making me smile
during critical moments of this academic journey. She is an amazing sister who
reminds me to appreciate the simple things in life. I dedicate this dissertation to
Mark, whose love and devotion continues to inspire me to strive for success. I thank
him for the wonderful memories we have shared which gave me the strength to
accomplish my academic goals. I am blessed to have these people in my life. Words
cannot fully express how much I appreciate everything they have done for me.
Thank you!
iii
ACKNOWLEDGMENTS
I want to acknowledge the people who have contributed meaningfully to my
growth as an educator and a leader. I am indebted to the students and staff members
of the 2008 summer TRIO program who shared their personal stories of
determination, adversities and success. I applaud your resilience and
accomplishments which prove to be an inspiration to students of color. To my
professor, Dr. Jun, thank you for your guidance and expertise. To Dr. Schiro and Dr.
Seli, I appreciate your time and assistance. To all my professors, friends and
colleagues, thank you for making my doctoral experience memorable.
iv
TABLE OF CONTENTS
DEDICATION ………………………………………………………….. ii
ACKNOWLEDGMENTS ……………………………………………… iii
ABSTRACT ……………………………………………………………. v
CHAPTER 1. INTRODUCTION ……………………………………… 1
CHAPTER 2. LITERATURE REVIEW ……………………………… 14
CHAPTER 3. METHODS …………………………………………….. 40
CHAPTER 4. PRESENTATION OF DATA …………………………. 52
CHAPTER 5. ANALYSIS ……………………………………………. 79
REFERENCES ………………………………………………………... 104
APPENDICES ………………………………………………………… 109
v
ABSTRACT
The purpose of this study was to examine the support mechanisms of a
college preparatory program known as TRIO at the University of Southern
California. The focus was to identify the ways the TRIO summer program supports
African American students’ ethnic and academic identities. African American
students’ self-perceptions were analyzed using Garmezy’s (1983) theory of
resiliency, Phinney’s (1989) theory of ethnic identity and Cross’s (1971, 1991)
theory of Nigrescence. Since resiliency theory refers to the ways in which
individuals overcome obstacles in stressful environments, African American
participants from low-income backgrounds provided insight on the theoretical
emphasis of this study. This naturalistic qualitative study included 15 African
American high school participants and 15 staff members of the Upward Bound
program. Semi-structured interview protocols were employed to conduct individual
interviews in addition to observations and focus groups.
Findings substantiated the theoretical emphasis of external and internal
protective factors as essential for the program’s implementation of effective
strategies that support resilient African American participants. Findings also
suggested that participants were provided with opportunities for engaging in
reflections on their identities in their academic classes during the six-week summer
TRIO program. College preparatory programs must continue to provide activities
that promote social bonding and teach life skills while also providing rigorous
vi
coursework and high academic expectations to prepare students for success as they
navigate through the educational pipeline that leads to college success.

1
CHAPTER 1
INTRODUCTION
The current educational dilemma that has impacted American society reflects
a history of underrepresentation of minority students in colleges and universities.
Kazis, Vargas and Hoffman (2004) have argued that students of color—particularly
African Americans and Hispanics—experience obstacles navigating through the
“educational pipeline” or transition from high school to college. Horn and Chen
(1998) have identified the educational pipeline as consisting of five major
components: college preparation, successful completion of entrance exams,
aspirations for obtaining a four-year college degree, access to college and enrollment
in college. Given this criteria for the educational pipeline, the average twelfth grade
student from a low socioeconomic background receives 33.4 percent less information
on college access, college application and enrollment information. These numbers
are even more alarming when one monitors the statistics regarding postsecondary
aspirations and success throughout a student’s high school experience (Horn &
Chen, 1998). According to a study conducted by the National Center for Higher
Education Management Systems, 18 out of every 100 ninth graders will go on to
graduate with an associate’s or bachelor’s degree (Kazis, Vargas & Hoffman, 2004).
These low postsecondary success rates have significant implications for the urgent
need to improve college preparation and college access.
Amid the cadre of research that identify the nature of educational gaps in the
United States, pragmatic solutions should come from research that highlights the best
2
practices of college preparatory programs. The insights gained from successful
programs that support minority youth in the transition from high school to college
can provide the impetus for alleviating college access problems. Thus, the objective
of this study is to provide research-based findings that delineate the support
mechanisms of a college preparatory program. To this end, I will describe the current
problem of the achievement gap, then discuss the purpose statement, review of
literature, research design, data analysis and key terms in this study.
Problem Statement
Many research studies have focused on the causes contributing to the
academic achievement gap between white and underrepresented minority students.
The low academic achievement rates of African American students have also been
examined through various theoretical perspectives, including Bourdieu’s theory of
cultural capital, social capital, motivation and self-regulation. In light of these
studies, there has been a common theme focusing on a deficits-based approach to
explaining the lower academic performance levels of African American students.
These low academic achievement rates have also been linked to low rates of
enrollment in four year universities.
The pipeline between high school academic performance and college going
rates is a strong factor that lends itself to an in-depth qualitative analysis of a
federally-funded college preparation program known as TRIO. In the late 1960’s,
“TRIO” was coined to refer to the creation of the first three educational opportunity
programs that focused on serving first-generation college students from low-income
3
families. Upward Bound, a program that is part of TRIO, strives to prepare students
for successful completion at an institution of postsecondary education. The main
objective of the TRIO Upward Bound program is to provide academic and social
support to students from low socioeconomic areas characterized by family incomes
that are below 150% of the poverty line and students who will be the first in their
family to graduate from college (Gullatt & Jan, 2003). It is designed to motivate and
provide students with the necessary resources to ensure that they are successful in
their goal of attending a four-year university.
Research supports the notion that exposure to academic activities on college
campuses gives students opportunities to aspire to achieve their college goals
(Gullatt & Jan, 2003). Based on a study funded by the University of California,
African American Upward Bound participants earned 16 % more credits from
Advanced Placement courses in comparison to their peers who were not participants
of the TRIO program (Gullatt & Jan, 2003). In addition, TRIO participants were
found to be more likely to graduate from college and were also 12% more likely to
attend college (Gullatt & Jan, 2003). African American participants of the TRIO
program were interviewed in order to provide a meaningful perspective on these
students’ personal and academic experiences; the support mechanisms that are
offered to them will be studied along with their feedback on their experiences of
being in a program that prepares students for successful admission to four year
universities. Since the TRIO program has a partnership with USC, it was important
to examine the participants of the program to better understand the systematic
4
procedures that contribute to establishing a stronger pipeline between the high school
and college level.
Purpose Statement
As previously mentioned, understanding the best practices of college
preparatory programs is essential for identifying the positive factors that contribute
to the success of students who effectively navigate through the educational pipeline.
Thus, my study examined the TRIO college preparation program with a particular
emphasis on the accomplishments, behaviors and actions of resilient African
American students. Understanding the self-perceptions of African American high
school students who participate in the TRIO program will provide insight on the
connections between academic identity and self-perception. Students who have the
opportunity to participate in the summer TRIO program must meet specific academic
criteria during the course of their academic school year. Since I was interested in the
assets-based factors that motivate these at-risk students to succeed academically,
Garmezy’s (1983) theory of resiliency was applied to gain insight on how students of
color overcome adversity. In light of the theory of resiliency which refers to the ways
in which students overcome obstacles in stressful environments, I examined the
factors that distinguish successful resilient at-risk students who demonstrate the
necessary skills and knowledge that support their academic success. The second
aspect of this study focused on adolescent identity development and culture.
Specifically, I employed Cross’s theory of Nigrescence (1971, 1991) and Phinney’s
(1989) theory of ethnic identity and code-switching theory to examine the cultural
5
experience of African American TRIO participants. These theories coupled with
Garmezy’s (1983) theory of resiliency offered a balanced theoretical framework to
identify both the academic and cultural aspect of adolescent identity. A strong
collective identity within one’s racial group orientation and a positive self-perception
may be integral components to the construction of an established academic and
ethnic identity. Arroyo and Zigler (1995) have argued that racial identity and
personal identity development may play a major role in a student’s academic
achievement. In addition to an in-depth analysis of how African American resilient
students formulate or reflect upon their ethnic identity, I examined how the summer
TRIO program along with the Saturday Academies during the following fall
semester serve to support African American students’ academic and ethnic identity.
In light of the aforementioned theoretical emphasis, I proposed the following
research questions to guide the study:
1) What are the self-perceptions of resilient African American students
who attend the TRIO program?
2) What components of the TRIO program contribute to students’ ethnic
and academic identity, from the perspectives of students and staff members?
These research questions created a foundation for the next chapter which
contains the theoretical framework of my study. In chapter two, a discussion of
Cross’s (1971,1991) theory of Nigrescence, Phinney’s (1989) ethnic identity theory,
code-switching theory and resiliency theory provide the necessary rationale for the
research design and methodology outlined in chapter three. The methodological
6
findings from data are highlighted in chapter four along with a comprehensive
analysis of major themes and patterns in chapter five.
Review of Literature
The review of literature in chapter two provides a theoretical framework that
is grounded in the theory of Nigrescence, ethnic identity and resiliency. The
theoretical emphasis can be considered as a two-fold approach; Cross’s (1971, 1991)
theory of Nigrescence and Phinney’s (1989) theory contribute to a research-based
understanding of ethnic identity while the theoretical implications of resiliency
provide a foundation for understanding academic identity in adolescent youth.
Within each of the two thematic foundations, scholars and researchers have provided
insight that has added to the complexity of the aforementioned theories.
Garmezy (1983) employed the theory of resiliency to explain an individual’s
effective coping mechanism when faced with challenges in a stressful environment.
Risk factors are obstacles that create a stressful environment yet a resilient individual
uses protective factors to surpass the negative effects of various problems indicative
of this aforementioned situation. The participants of my study are forced to face or
deal with numerous risk factors on a daily basis. African American high school
students from the South Central Upward Bound program experience academic, social
and economic risk factors. According to a study conducted by the Office of Civic
and Community Relations (2006), there are a number of risk factors that African
American students from the South Central region of Los Angeles face: low proficient
7
levels on state exams, a school’s low academic performance index (API), low
college enrollment rates, gang violence, foster homes and low socioeconomic status.
Winfield (1994) argues that educators and policymakers must be conscious of
ways to encourage students to build their own protective processes during difficult
times stemming from their adolescent stage. While Winfield focuses on the ways
schools can support students in strengthening their protective factors, Jarrett (1997)
encourages low-income parents to use protective mechanisms or parenting strategies
to provide high expectations and effective monitoring to help support their African
American children. Although there are many ways to build and sustain protective
mechanisms for promoting resiliency in adolescent youth, the focus of this study
reflected a strong emphasis on the ways in which students’ self perceptions
contribute to their resiliency. Also, I analyzed the support mechanisms embedded
within the TRIO program and how they support resilient students academically and
culturally.
Since adolescence is a critical period when an individual is faced to make
decisions that may have long term consequences (Winfield, 1994), I focused on the
theory of ethnic identity and Nigrescence to get a comprehensive portrait of the self-
perceptions and collective identity development of African American youth. Albeit,
Fordham and Ogbu (1986) have argued that the theory of racelessness represents an
overt rejection of “acting White”, other scholars like Cross (1971, 1991), Parham
(1989), and Helm (1990) have described African American self-concept in a more
complex, multi-faceted approach. Unlike Fordham and Ogbu’s (1986) perspective of
8
the African American self as a negative reaction to past subjugation and
discrimination, it is possible that an African American individual undergoes a series
of systematic transformations or changes in identity. Arroyo and Zigler (1995) have
also explicitly rejected the notion of raclessness due to the multi-faceted nature of
psychological development in black self-concept.
Cross’s (1971, 1991) theory of Nigrescence or the process of becoming Black
suggests a linear progression from four main stages of identity: Pre-Encounter,
Encounter, Immersion-Emersion, and Internalization. Phinney (1989) has also used
the Cross model (1971, 1991) to create a systematic four stage process for adolescent
ethnic identity development. As Phinney (1989) highlights, ethnic identity
development consists of four dominant stages: diffuse identity, foreclosure,
moratorium and achieved identity. These stages reflect the realistic nature of the
adolescent growth period; some individuals may not be committed to a particular
identity simply because they do not see the relevance of it in their lives while others
may have constructed an achieved or established sense of self at a young age. This
theory of ethnic identity was juxtaposed with the theory of resiliency to examine
whether there are connections that identify protective factors and risk factors in
resilient youth.
Research Design
Participant and Site Selection
This study is a naturalistic qualitative inquiry that consists of individual
interviews, focus groups and classroom observations of African American
9
participants and staff members of the TRIO program. The objective of the study was
to gather authentic data from 15 African American students from the South Central
Upward Bound program, with primary data collection occurring during the six week
summer program and fall Saturday Academies. Of the 15 participants, there were
five tenth graders, five eleventh graders and five twelfth graders consisting of a total
of seven female and eight male participants. In addition to these participants, 15 staff
members who interact with the African American TRIO participants were included
in the study to provide a deeper understanding of the support mechanisms embedded
in the TRIO Upward Bound program. Seven resident advisers, two academic
advisers, two program administrators, and four teachers provided a wide range of
knowledge, input and expertise throughout the data collection phase of the study.
The South Central Upward Bound program was the choice that was most
conducive to the goals of my study because the target student population represents
at-risk students from low socioeconomic and disadvantaged backgrounds. Since the
theory of resiliency was applied, these students’ low socioeconomic backgrounds
represent risk factors that they overcame in efforts to succeed academically. These
African American high school students also attend Crenshaw High School, Dorsey
High School, Washington Preparatory High School, Manual Arts High School and
Jordan High School during the academic school year. These low performing schools
have high dropout rates which pose another risk factor for the resilient and non-
resilient students in my study.
10
The selected site for the study was the USC campus since the TRIO program
has developed a partnership with the university. Although students and resident
advisers stayed at the USC Parkside Apartments for the duration of the six-week
summer residential program, interviews, focus groups and observations took place at
the main campus.
Time Frame/Data Collection
Data collection took place for the complete duration of the six-week summer
program and throughout the fall Saturday Academy sessions. The most optimal time
to conduct individual interviews and focus groups occurred during lunch time, dinner
time, recreation time and free time in order to avoid disruption of the summer
program’s instructional time. During the fall semester following the completion of
the summer residential program, I continued to monitor the progress of the
participants during Saturday Academies held at USC. The follow up sessions also
included individual interviews, focus groups and classroom observations. Classroom
observations took place in participants’ respective classrooms throughout their
structured daily schedules. According to Patton (2002), triangulation is a
methodological combination of different types of collected data that will yield rich
and meaningful results that address the main objectives of a research study.
Theoretical purposeful sampling was most conducive to this qualitative study
due to the degree to which data was examined using theory-based constructs. These
constructs reflect the theoretical perspectives mentioned in the review of literature—
11
Cross’s theory of Nigrescence (1971, 1991), Phinney’s (1989) theory of ethnic
identity, resiliency and code-switching.
Data Analysis
I employed Creswell’s (2003) six-step method for data analysis to ensure that
data was carefully examined using a systematic and organized procedure. Creswell’s
(2003) six steps involve: preparing and organizing data, reading data, subsequent
coding of data into specific categories, generating appropriate descriptions or
themes, conveying descriptions into narratives and interpreting data. The timeframe
for data analysis began during the summer residential program and lasted through the
fall 2008 semester. Since ethnography is a cultural portrait of the thoughts, actions
and behaviors of the participants, it was critical that transcriptions of field notes,
interview notes and focus group notes occurred immediately after the data collection
process (Creswell, 2007). This ethnographic study was a challenging process which
demanded that the researcher follow a moral and ethical code to protect the rights of
all participants by reporting the truth without violating participants’ privacy rights.
Thus, parent consent forms, student assent forms and staff consent forms were
distributed before I conducted my study and these documents served as moral
contracts that symbolized my promise to respect and honor the rights of my
participants.
Definition of Terms
For the purposes of this study, I used the terms African American and Black
interchangeably. Adolescents and youth were used to refer to the same group of high
12
school students in my study. Also, academic achievement, academic attainment and
academic identity all refer to the level of a student’s academic performance that is
based on school grades and test scores. The following key terms are essential in
understanding the theories and concepts presented in the study:
At-risk student: An at-risk student is an individual who must deal with one
or more risk factors in life. Depending on the number of risk factors an individual
faces, they can be classified as low at-risk, moderate at-risk or high at-risk students.
Ethnic identity: Phinney (1989) developed a theoretical explanation for
classifying the experiences and behaviors of minority youth through an analysis of
Marcia’s (1980) four stages of adolescent identity—diffuse identity, foreclosure,
moratorium and achieved identity.
Nigrescence: Nigrescence refers to the process of becoming Black (Cross,
1971, 1991). Cross developed the theory of Nigrescence to delineate four stages of
Black identity which consists of multiple racial identities within each of the four
stages. The four main stages of identity are classified as: Pre-Encounter, Encounter,
Immersion-Emersion, and Internalization.
Resiliency: Garmezy (1983) characterized resiliency as a concept that
describes the ways in which individuals overcome obstacles in stressful
environments. Resilient students use protective factors such as family support,
positive sense of self and strong peer interactions to positively deal with challenges
caused by risk factors. Some examples of risk factors include: low socioeconomic
13
background, high dropout rates in school, lack of parental involvement and other
factors that create a stressful environment for an individual.
14
CHAPTER 2
LITERATURE REVIEW
The Importance of Ethnic Identity and Resiliency
Identity development has been characterized as an essential process during
adolescence (Phinney, 1992). In light of this topic, many scholars have examined the
importance of identity through the lens of adolescent ego identity development
(Erikson, 1968; Marcia 1980). Yet, ego identity development lends itself to a broader
discussion of group identity which involves a social dynamic of self and group
identification that must not be overlooked when considering the social ramifications
of race and identity. Ethnic or racial identity has gained increased attention since the
civil rights movement of the 1960s (Phinney, 1992). As a result, there have been
numerous studies on the psychological aspect of racial identity among African
Americans.
The focus of the first half of this literature review will be to examine both
dichotomous and multi-faceted perspectives on black identity—with particular
emphasis on the importance of an individualistic and collective black identity in the
academic domain. First, I will discuss the dichotomous aspect of black self-concept
by focusing on Fordham and Ogbu’s (1986) theory of racelessness and its relevance
to the theory of code-switching. Then, I will highlight the works of other scholars
like Arroyo and Zigler (1995) who reject the notion of racelessness and believe that
the psychological aspect of black identity development is multi-faceted and complex
in nature. The major emphasis on Cross’s (1971, 1991) theory of Nigrescence will be
15
explained to gain insight on the multi-dimensional aspect of African American
psychological development. To conclude the discussion on the first part of the
literature review, I will focus on the ways in which scholars like Parham (1989) and
Phinney (1989) add to the original Cross model (1971, 1991). Phinney (1989) used
the Cross model (1971, 1991) to reveal the nuances in the psychological
development among adolescent minority youth which is most applicable to the
population of my study.
The second half of this review of literature will emphasize the relevance of
the theory of resiliency to the adolescent developmental period. Garmezy’s (1983)
original classification of resiliency will be examined; this theory refers to the
methods that an individual uses to effectively deal with challenges in a stressful
environment. Many scholars have adapted Garmezy’s original theory of resiliency to
implications in the educational field. Scholars like Jarrett (1997) and Winfield (1994)
have identified different major factors that help facilitate protective factors or
behaviors that foster resiliency in adolescent youth. While Jarrett (1997) argues that
parents play a major role in shaping their children into resilient individuals, Winfield
(1994) emphasizes the power behind educators, schools and policymakers in
facilitating students’ abilities to create identities that are conducive to resilient
behaviors. Wang and Gordon (1994) along with Henderson and Milstein (1996) offer
a comprehensive strategic method for fostering resiliency in one’s environment in
order to influence how adolescents may take ownership in their own meaningful
process of academic and resilient identity formation.
16
Dichotomous Representations of Black Identity
Arroyo and Zigler (1995) examined the connection between personal
psychological functioning and racial identity within the context of academic
achievement. These researchers focused their study by using Fordham and Ogbu’s
(1986) theory of racelessness as a dominant conceptual perspective related to
African American academic achievement. The theory of racelessness implies that
African American students may feel pressured to adopt a raceless identity in order to
succeed academically. Fordham and Ogbu (1986) argue that African Americans
share a fictive kinship or collective identity amongst each other that rejects behaviors
associated with the white cultural frame. They use this cultural-ecological
perspective to explain the low academic achievement rates of African American
students; ultimately, this low academic performance manifests itself in an overt
rejection of “acting white” (Fordham & Ogbu, p. 177). Thus, Fordham and Ogbu
(1986) have suggested that a collective black identity is a form of protection against
values that are inherently “white;” this type of fictive kinship has created a strong
sense of racial identity that is in stark opposition to the dominant white social
identity. This dichotomous interpretation of low academic achievement among
African American students is characterized as a cultural difference between
collective black and white identities.
Collective Identity and the Dialect Dilemma
Dichotomous interpretations of black identity have been examined through an
emphasis on language and communication which has revealed a dialect dilemma that
17
distinguishes black collective identity from white collective identity. Ogbu (1999)
has argued that Black people hold incompatible beliefs about the use of proper
English and Black English which represents a “dialect dilemma” in the United States
(p. 168). In a two-year ethnographic study conducted in the Lafayette community of
Oakland, California, interviews with African American parents and children revealed
a collective recognition of the difference between Black English and proper English
(Ogbu, 1999). The Lafayette participants placed an immense amount of importance
on using slang Black English in the home and community. The use of proper English
in the Black community was not an acceptable form of everyday communication and
was strongly criticized if used among members of their African American ethnic
group.
Although the participants in Ogbu’s (1999) study viewed the use of proper
English as a dialect limited to “outsiders at school and other White controlled
institutions,” they recognized the importance of using proper English for education
and job success (p. 164). This stark contrast between embracing Black culture
through the use of Black dialect and understanding the use of proper English as the
key to success reveals the dichotomy inherent in what Ogbu refers to as the dialect
dilemma (Ogbu, 1999). The main source of the dilemma stems from an oppositional
relationship between two language frames of reference—Black English and proper
English (Obgu, 1999). Ogbu (1999) analyzed this conflict as a problem arising from
diglossia which refers to the “relationship between two dialects or two languages that
are used for different purposes within a speech community” (p. 150). Proper English
18
is characterized by a higher societal status despite the strong value that is placed on
the use of Black English for maintaining solidarity or fictive kinship among the
members of the Black community (Ogbu, 1999). This dilemma further substantiates
Fordham and Ogbu’s (1986) argument that African Americans share a fictive kinship
that rejects behaviors associated with “acting white.”
Code-Switching Theory
In light of the focus on language in the above section, the dialect dilemma
described by Ogbu (1999) lends itself to an in-depth analysis of the relationship
between code-switching theory and black identity development. Code-switching
refers to the “use of two or more linguistic varieties in the same conversation or
interaction” (Greene & Walker, 2004). The diglossia of Black English and proper
English in Ogbu’s (1999) ethnographic study is an example of a dialectical shift
characteristic of the theory of code-switching. Many researchers have analyzed the
ways in which African Americans alternate between codes or dialects to understand
their role and status as an ethnic group in American society (Carter, 2003; Fasold
1969; Harper, Braithwaite & LaGrange, 1998; Hilliard, 1983; Hollie, 2001; Labov,
1982; Smitherman, 1973; Smitherman, 1983; Smitherman, 1991). Toliver-
Weddington (1973) suggested that Black English has been viewed as an inferior
language compared to Standard English or “Mainstream American English” (p. 108).
Linguists, theorists and dialectologists have referred to Black English in different
terms such as “Black English Vernacular,” “Ebonics,” “Black Dialect” and “African
American Vernacular English,” while Standard English has been referred to as “
19
Mainstream American English” or “Standard American English” (Speicher &
McMahon, 1992; Billings, 2005). Although the variety of terms represents the
complex nature of code-switching and its role in African American culture, I will use
the terms “Standard English” and “Black English” for the purposes of this study.
The relationship between code-switching and status positioning has been an
integral part of many African Americans’ lives as they attempt to accept or reject
aspects of their Black culture. Carter (2003) has described “cultural status
positioning as indicative of individuals’ use of cultural capital to acquire symbolic
forms of recognition” (p. 139). Carter (2003) suggests that African American youth
from lower socioeconomic backgrounds must grapple with the pressure to balance
and maintain “both dominant and non-dominant cultural capital” which provides
them with “valued status positions within both their lower status community and the
wider society” (p. 139). In light of this focus, African American youth who use
Black English can embrace the aspects of their ethnic membership without an overt
rejection of the dominant cultural capital which places importance on the use of
Standard English. Although Black English is classified as part of the non-dominant
cultural capital, Carter (2003) posits that African American youth can “achieve racial
authenticity” when they adhere to a speech code that is shared among members of
their ethnic group (p. 150). This strong connection with one’s ethnic membership is
aligned with Ogbu and Fordham’s (1986) notion of fictive kinship. Essentially, the
use of Black English can be seen as a “deliberate, self-conscious linguistic practice”
that establishes ethnic solidarity and fictive kinship while the employment of
20
Standard English can be seen as an “instrumental purpose” for attaining academic
and career success (Fordham, 1999; Fordham & Ogbu, 1986; Seymour & Seymour,
1979).
A Multi-faceted Perspective on Black Identity
Aside from Fordham and Ogbu’s (1986) perspective on the societal pressures
that work against African American students, research suggests that there are other
factors that influence black identity on a multi-faceted level. According to Miller
(1999), there has been an abundance of literature focusing on the educational failure
rather than the educational achievement of urban African American youth.
Thompson and Akbar (2003) have argued that African American racial identity has
received a negative connotation due to the history of oppression dating back to the
time of slavery. While some research studies have focused on describing successful
African American students as self-confident, others have characterized these
academically successful students as experiencing psychological turmoil due to their
detachment from their racial reference group (Arroyo & Zigler, 1995). These
inconsistencies juxtaposed with the paucity of literature focusing on the systemic
individual-level processes that are linked to academic achievement levels of African
American youth highlight a current gap in research. Arroyo and Zigler (1995)
recognize that black identity may not be limited to Fordham and Ogbu’s (1986)
explanation of racelessness due to the very “multifaceted manner in which racial
identity influences behavior and psychological states” (p. 904). Yet while it is
important to recognize the historical oppression that was experienced, researchers
21
have acknowledged that the study on African American identity cannot be limited to
such a simplistic negative definition; there is a need for studies that focus on a more
positive group definition and cultural image to represent the multidimensional
factors that play an influential role in the construct of African American identity
(Thompson & Akbar, 2003). In efforts to examine this multi-faceted aspect, it is
essential that one understands the definition of black self-concept through the
perspective of Cross’s theory of Nigrescence—the process of becoming black
(Cross, 1971, 1991). A thorough understanding of the various levels of Nigrescence
will provide a comprehensive foundation for analyzing the link between academic
achievement and psychological stages of individual black identity.
The Cross Theory of Nigrescence
Research on African American racial identity development has been noted as
a critical indicator of academic engagement which consequently is related to
academic achievement (Smalls, White, Chavous & Sellers, 2007). Smalls et al.
(2007) have studied the impact of racial ideological beliefs of assimilation and
nationalism with varying levels of academic risk through a research study examining
minority group status in African American middle and high school students. Thus, an
analysis of Cross’s theory of Nigrescence will provide a structured method for
understanding the individual and collective ideologies that are attached to one’s
racial group. At its core, racial identity refers to the process by which an individual
perceives a sense of collective identity with a certain racial group (Helms, 1990). In
this respect, racial identity can be seen as a juxtaposition of individual and group
22
identity. In his seminal book, Shades of Black, Cross (1991) outlined revisions to his
1971 theory of Nigrescence; the theory of Nigrescence has been a major contribution
to three decades of scholarly writings on black racial identity. Cross made several
revisions to his original 1971 theory which included a modification of his initial 5
stage development into four main stages; he also added multiple racial identities
within each of the 4 stages or developmental themes (Cross, 1991). As Cross (1991)
explained, it is important to note that self-concept is indicative of two critical
elements: reference group orientation and personal identity. Nigrescence
predominantly relies on an individual’s reference group orientation which reflects a
person’s individual perception of their social affiliation to a group. For example, if a
person has a strong connection to their peers, they may perceive their individual
identity as representative of the values and beliefs that the whole group shares. In
this case, one’s individual identity is strongly influenced by the behaviors, actions
and beliefs of the collective identity of the group. The notion of salience or
importance toward a particular racial group and whether this salience has a positive
or negative valence (connotation) is also a critical component of the interpretation of
Nigrescence (Vandiver, Cross, Worrell & Fhagen-Smith, 2002).
Cross’s (1991) theory of Nigrescence consists of four major stages that are
named according to their respective thematic relevance: Pre-Encounter, Encounter,
Immersion-Emersion, and Internalization. Within each of the four stages, are various
types of racial identities or personas that can be assumed by a Black individual.
23
Cross (1991) constructed the first stage which is known as Pre-Encounter, as one that
embraces American and dominant White values.
The Pre-Encounter stage focuses on the possibility of relating to either an
Assimilation identity or an Anti-Black identity; the former focuses on a pro-
American reference group orientation while the latter has a more negative
connotation of self-hatred of anything related to being Black (Vandiver, Cross,
Worrell & Fhagen-Smith, 2002). The Encounter stage represents a time when a
Black individual begins to reevaluate their reference group orientation and question
his or her old pro-White or pro-American beliefs; this stage is marked by feelings of
confusion as the individual begins to question their established Pre-Encounter-
oriented identity due to negative experiences possibly caused by discriminatory
behavior (Cross, 1991).
The third stage, Immersion-Emersion, is identified through the potential
association with two different identities: Anti-White and Intense Black Involvement.
Due to an individual’s changed perception caused by negative treatment in society,
he or she may assume an anti-White identity which consists of an angry, hostile
manner of dealing the racial injustices that they experienced by overtly rejecting
anything associated with the White image. Or an individual who has moved to the
Immersion-Emersion stage may assume an Intense Black Involvement identity which
is characterized by a total immersion of Black culture including developing a
reference group orientation that glorifies the Black experience. During this stage, it is
likely that an African American individual may fully embrace Black English while
24
simultaneously rejecting the value of Standard English (Ogbu, 1999). Individuals in
this stage are associated with an extreme immersion of the notion of being Black.
Cross (1991) created the last stage, Internalization, by including three
different possible racial identities that fall under this final theme: Black Nationalist,
Biculturalist, and Multiculturalist. These identities share a common theme of Black
acceptance in a reconciliatory way since individuals are not characterized in such a
confrontational way as outlined in the previous stage. Someone who identifies with
the Biculturalist or Multiculturalist identity is still connected with their black culture
but acknowledges the need to connect and understand other cultural identities; thus,
these aforementioned identities may be seen as a culmination of a non-racist Black
cultural identity. Conversely, Black Nationalists may focus mainly on motivating the
Black community without a need to acknowledge the important roles that other
cultures play in society (Cross, 1991).
Although, Cross’s Nigrescence model has been widely viewed as a multi-
dimensional theory of the psychological development of Black identity, Parham
(1989) elaborated on Cross’s original 1971 model to argue that the development of
Black identity is a continuous rather than linear process. Contrary to its original
theoretical implications, rather than moving through the four stages in a sequential
order, it is possible that racial identity ideologies and perspectives will change
continuously and an individual may experience a recycling or repetition of a
particular identity or cultural theme throughout different stages of life (Parham,
1989). Parham (1989) expanded upon Cross’s original Nigrescence theory by
25
including three alternative identity resolution stages: stagnation, stagewise linear
progression, and recycling. Stagnation represents one alternative way of dealing with
one’s racial identity and as the term implies, this identity resolution process reflects
an individual’s connection to only one set of attitudes throughout their lifetime with
little change to their original notions of racial identity.
Stagewise Linear Progression (SLP) represents a linear progression or growth
across all four stages of the Nigrescence model while recycling represents a
revisiting of some of the stages of the Nigrescence model caused by new experiences
that may spark a need to explore and establish a new identity even after one has
successfully completed the Nigrescence process (Parham, 1989).
Since the impetus for this research is on the connection between academic
achievement and racial identity, it is important to note that the above focus on the
Nigrescence model will provide a foundation for specifically connecting how certain
stages of the Nigrescence model or specific racial identities within each stage may be
more conducive to academic achievement while other racial identities may be
associated with risk factors. According to social identity theory, an individual’s self-
definition is contingent on the various ways they identify with a particular group
identity (Thompson & Akbar, 2003). Albeit Cross’s (1971, 1991) theory of
Nigrescence has mainly focused on aspects of black identity through a group
orientation perspective, one cannot neglect the individual-based identity
development process that adolescents experience.
26
A strong awareness and connection to one’s individual and collective identity
is an important aspect of the African American culture (Helms, 1990). One cannot
discuss individual identity development without acknowledging the interrelatedness
of group identification or collective identity formation. There are a small number of
research studies that have focused on racial identity and academic achievement
during the African American adolescent stage. In a study of 20 high-achieving
African American high school students, Ward (1990) found that these students’
academic motivation was positively correlated to their connection to a positive view
of their Black culture. Thus, placing a high value on the positive aspects of their
Black culture supported their own constructive views of their individual identity.
Although positive self-perceptions may contribute to positive gains in academic
achievement, adolescence is a complicated developmental time period consisting of
many challenges to the construction of a strong sense of self.
Adolescent Identity Development
In order to understand how positive constructions of adolescent racial identity
are directly linked to academic achievement and success, one must view
achievement as rooted within an African American adolescent’s construction of self.
Oyserman, Gant and Ager (1995) argue that African American adolescents engage in
a constant process of negotiation as they attempt to construct a strong sense of self.
This negotiation during adolescent identity development is characterized by a
struggle to embrace a positive sense of self while rejecting negative portrayals of
their self that are prevalent within the social contexts of their lives (Oyserman, Gant
27
& Ager, 1995). This challenge that African American youth experience can also be
viewed as an experience consisting of multiple stages that reveal the intricate
nuances of identity formation during the critical stage of adolescence. Phinney’s
(1989) research on adolescent ethnic identity formation addresses the experiences
and behaviors of minority youth through an analysis of Marcia’s (1980) four stages
of adolescent identity—diffuse identity, foreclosure, moratorium and achieved
identity. Similar to Cross’s theory of Nigrescence (1971, 1991), Marcia’s (1980)
theory suggests that adolescents must undergo an identity crisis in order to fully
establish ethnic identity and sense of self. Yet, Marcia’s (1980) adolescent identity
theory differs from Cross’s (1971,1991) theory since it does not imply that one must
progress through each stage in sequential order (Phinney, 1989).
The challenge of applying Cross’s theory of Nigrescence to adolescents
reflects the realistic nature of early adolescent development; many adolescents may
not have reached a stage in their life in to critically ponder their sense of self. Thus,
Marcia’s (1980) theory may be more conducive to the interpretation of the
challenges of adolescent identity development simply due to its inclusion of the
potential lack or presence of identity exploration and commitment; Marcia’s (1980)
theory does not explicitly require or suggest a developmental progression through all
four identity statuses (Phinney, 1989). In order to understand Phinney’s research on
ethnic identity in adolescents, it is essential that one must examine the four stages of
Marcia’s (1980) theory. During the first stage known as diffusion, an adolescent
individual has not started the exploratory process and they have not committed
28
themselves to an exploration of identity. The second identity status is known as
foreclosure; an individual at this stage may be committed to an identity due to
parental influence but has not yet engaged in an exploration of such an identity.
Moratorium is the third identity status that represents an experimentation of identity
characterized by a lack of commitment. The last stage is known as an achieved
identity where the individual displays a sense of self-confidence due to their
established commitment after experiencing a period of exploration.
Ethnic Identity Development
Phinney’s (1989) research findings reflect a modification of Marcia’s (1980)
theory of identity development in efforts to provide insight on the stages of ethnic
identity development. The four stages or identity statuses remain the same in name
but differ slightly with revisions that reveal a focus on the paradigm of commitment
and exploration as predictors of changes in the development of an ethnic identity. In
a research study of 91 Asian American, White, Hispanic and African American tenth
graders, Phinney (1989) concluded that more than one-half of the participants
exhibited an ethnic identity that was characterized by a lack of exploration. Based on
these findings, Phinney (1989) combined the two stages of diffusion and foreclosure
to include one modified initial stage of diffusion which precedes the moratorium
stage. Approximately one-fourth of the participants could be classified as going
through a moratorium stage—a time when they attempt to find meaning of their
ethnicity based on a newfound ethnic awareness. The remaining one-fourth of the
participants expressed a sense of confidence and thorough understanding of their
29
ethnic identity which is categorized by the achieved identity stage. Phinney’s theory
of ethnic identity (1989) juxtaposed with the theory of code-switching (Greene &
Walker, 2004; Ogbu, 1999), can provide insight on the ways speech codes can
influence adolescents views on their ethnic membership. For example, an adolescent
who has an achieved identity may exhibit a complex and balanced perspective of
incorporating Black English and Standard English for success in academic goals,
career aspirations and improvement of racial solidarity. It is important to note that
Phinney (1989) used these findings to reveal pragmatic information for the analysis
of ethnic identity development among adolescents.
Phinney (1989) referred to Cross’s (1978) theory of Nigrescence to
emphasize the discrepancies in identity development during adolescence. For
instance, one of the major findings in Phinney’s (1989) study was that it was not a
necessary requirement that the first stage of development (diffusion) be characterized
with negative views of one’s own ethnic group. In contrast, Cross’s (1978) model
suggests that the first stage is indicative of an individual’s disassociation with their
ethnic or racial group. Also, Phinney (1989) found that the participants who were
classified under the moratorium phase did not have to undergo a dramatic encounter
experience beforehand— as characterized in Cross’s (1978) theory of Nigrescence.
Implications of Identity Development Theories
In efforts to provide an in-depth analysis of the literature that supports the
developmental complexities experienced by African Americans, the process of
constructing an ethnic identity is critical to a thorough understanding of the
30
influential factors affecting academic attainment or achievement. As mentioned
previously, researchers such as Fordham and Ogbu (1986) have used a dichotomous
interpretation of the theory of racelessness to explain the major discrepancy in
academic achievement between black and white students. This approach is
dichotomous in nature in that it is limited to a deficits-based explanation of African
American underperformance as an issue of black or white—one dominant race
versus one inferior race. Code-switching theory within the African American culture,
as defined by Ogbu (1999), is a result of a dichotomous representation of power and
class divisions between African Americans and the dominant White culture.
Conversely, Cross (1971, 1978, 1991) attempted to provide a detailed five-stage
developmental theory of Nigrescence that provided a more in-depth, multi-faceted
explanation for the changes an African American individual experiences. This theory
is described as multi-faceted simply due to its systematic aspect consisting of a series
of stages that an individual undergoes in sequential order. Parham (1989) adapted
Cross’s (1971, 1978) theory of Nigrescence by arguing that a black person’s
developmental experience may not be sequential or linear across all four stages of
the Nigrescence model; instead, it is likely that there are identity resolution phases
that may include a recycling or repetition of any of the aforementioned stages within
Cross’s theory of Nigrescence (1971, 1978).
Lastly, Phinney’s (1989) research on ethnic identity referred to Marcia’s
(1980) ego identity theory to construct four stages of ethnic identity that minority
youth may go through as they attempt to explore or commit to a particular identity. It
31
is important to note that Phinney (1989) juxtaposed findings from the research on
ethnic identity with the stages of the Cross’s Nigrescence model. Phinney (1989)
exemplified the intricate differences and broadened the interpretation of Cross’s
developmental Nigrescence model to include interpretations of identity exploration
that are more conducive to the adolescent experience. In light of the above research
focusing on identity development in minority youth, the theory of resiliency will be
examined in order to obtain a comprehensive schema of the major factors that may
contribute to changes in academic achievement for African American adolescents.
Resiliency: An Assets-Based Approach
Having discussed the need to deviate from a deficits-based explanation of the
disparities between African American students and their white counterparts, this
section of the literature review will focus on a delineation of the strengths that
contribute to the success of at-risk African American students. As Garmezy (1983)
highlights, resiliency is a theoretical concept that refers to the ways in which one
uses effective coping mechanisms when experiencing problems in stressful
environments. Winfield (1994) argues that there is a need for research that reveals
the characteristics of resilient youth in order to pinpoint the assets-based factors that
lead to their success in overcoming adversity. Instead of focusing on the reasons for
the educational failure among minority youth, contributing factors that lead to the
accomplishments of resilient students must be used to gain insight on how to create
and maintain effective educational intervention programs in high-risk, lower
socioeconomic areas.
32
An Overview of Resiliency Theory
Adolescence is a critical time period that requires that a student be aware of
his or her plans for the future. This critical time is known as “planful competence”
which is a concept that refers to an adolescent youth’s ability to understand and
establish positive personal goals for themselves (Winfield, 1994). Similarly, the
concept of resiliency or one’s ability to overcome adversity requires a certain degree
of planful competence on the part of an adolescent’s ability to effectively deal with
life’s challenges. Garmezy (1983) identified multiple protective factors that resilient
students possess which serve to counteract the negative effects of various challenges
in their life. Thus, a resilient student may be characterized with one or more of the
following protective factors: a positive self-perception, healthy peer and adult
interactions, strong degrees of constructive and cooperative behavior and a sense of
ownership or intrinsic sense of personal control over their environment. In light of
these characteristics, resilient students are skilled in the ways in which they cope
with risk factors that may pose a threat to their positive sense of self and academic
identity. Yet, the underlying commonality among resilient students is that they are
equipped with certain protective factors that facilitate their effective coping
strategies when forced to deal with problems.
Risk Factors vs. Protective Factors
Understanding resiliency as it is applied in education requires that one is
aware of the difference between risk factors and protective factors. A study
conducted by the U.S. Department of Education classified at-risk students in three
33
different categories depending on the number of risks associated with these
adolescent youth. Students with three or more risk factors indicated a high risk of
dropping out of high school; two risk factors reflected a categorization of moderate
risk while low risk students were characterized by only one risk factor (Horn &
Chen, 1998). As early as eighth grade, the number of risk factors affecting a student
can have long term post-secondary effects that decrease their chances of future
college enrollment. Cabrera and Nasa (2001) highlighted that the chances of
applying to college decrease by 7 percent for each risk factor that a student has
during their middle school and high school years. Horn and Chen (1998) identified
six risk factors in eighth grade students in a study that followed the progress from
eighth grade to the end of their senior year in high school. These six risk factors
included: “lowest socioeconomic quartile, single-parent family, older sibling
dropped out of high school, changed schools two or more times from 1st grade to 8th
grade, average grades of Cs or lower from 1st to 8th grade, repeated an earlier grade
from 1st to 8th grade” (p. 4).
These aforementioned risk factors comprise stressful environments that
motivate resilient students to strengthen and apply their coping mechanisms or
protective factors to deal with the challenges in their environment. Jarrett (1997)
argues that the role of low-income African American parents in fostering effective
protective mechanisms for their children is critical for building resiliency in their
children. Jarrett’s (1997) ethnographic study focuses on the ways in which parents
can employ parenting strategies such as role modeling, establishing high
34
expectations for their child and monitoring their child’s activities; these parenting
strategies can build resiliency by decreasing the amount of negative risk factors
associated with the child. Yet, other scholarly findings suggest that educators and
policymakers have a major responsibility of fostering resiliency in at-risk
adolescents. Winfield (1994) argues that professional educators must change their
practices to include strategies to foster and build students’ protective processes
during crucial and challenging times in their lives. Wang, Haertel and Walberg
(1994) suggest that effective schools—particularly in the inner cities—must
incorporate instructional strategies that promote the self-efficacy, independence and
a sense of belonging among urban youth. These urban teenagers need resources that
are embedded within the school’s support mechanisms in order to learn the positive
coping mechanisms that are inherent in resilient students (Wang & Gordon, 1994).
Despite the varying emphasis on the influence of parents or schools, one
commonality among scholarly findings indicates the progressive nature of resiliency
because it is a behavior that can be fostered through the use of effective strategies.
Fostering Resliency
The literature on resiliency indicates that schools have a major role in
providing the foundation that will facilitate students’ development of resiliency. As
mentioned above, other scholars have placed more emphasis on the role of the parent
in building resilient behavior in their children. Since the focus of this study is on the
ways in which academic achievement and culturally-based self perceptions
contribute to an adolescent’s resilient nature, resiliency will be explained through the
35
educational perspective. Thus, the role of the school and educational intervention
programs will lead to insights on how to create and sustain resiliency as part of an
individual’s established ethnic and academic identity. Henderson and Milstein
(1996) have outlined six environmental protective factors that can have influential
effects on an individual’s development of individual protective factors. The six steps
are organized according to two functional themes: the mitigation of risk and the
building of resiliency (Henderson & Milstein, 1996). Henderson and Milstein (1996)
identify the six steps as the following strategies: increasing social bonding,
establishing clear and consistent expectations for behavior, teaching life skills,
setting high expectations for academic success, offering opportunities for meaningful
participation and involvement and providing a caring and supporting environment.
Educators have an immense amount of power to create and sustain the social and
academic components that students need in order to construct a strong academic and
ethnic identity. Schools and programs can use the aforementioned steps to facilitate
an environment that is supportive of the engagement and involvement of resilient
students.
Characteristics of Resilient Students
Since many adolescents in inner-city or high risk environments do not come
prepared with appropriate protective factors, their lack of positive coping
mechanisms can lead to detrimental social and academic consequences (Henderson
& Milstein, 1996). Based on a study conducted by Peng, Lee, Wang and Walberg
(1991), results indicated that urban youth from low socioeconomic backgrounds
36
displayed a strong sense of internal control which included positive self-perceptions
and academic aspirations (Wang & Gordon, 1994). This finding provides insight for
the potential link between self-perceptions, ethnic and academic identity in resilient
adolescent youth. The literature on resiliency suggests a thematic emphasis on
proactive and positive behaviors that describe the characteristics of resilient youth.
Resilient adolescent youth are described as autonomous individuals who understand
how to maintain a strong sense of personal agency while setting realistic goals and
high expectations for themselves (Gordon & Wang, 1994). They are rarely described
as exhibiting a type of learned helplessness which is a major personality attributed to
non-resilient students. Instead, some resilient youth have mastered the skill of
“adaptive distancing” which is a psychological process that requires an individual to
effectively separate themselves from unhealthy personal relationships indicative of a
negative environment (Wang & Gordon, 1994). Moreover, Henderson and Milstein
(1996) have also characterized resilient youth as individuals who have a strong sense
of direction due to an inherent motivation to create goals that enhance their resilient
identities. Ultimately, many scholarly findings support the notion that the profile of a
resilient student is one that is positive and goal-oriented.
Resiliency and Academic Attainment
O’Connor (1997) highlighted the success stories of six low-income African
American teenagers who have exhibited academic success by overcoming racial
barriers and social class obstacles. Contrary to Fordham and Ogbu’s (1986) theory of
racelessness, resilient African American students who had a positive academic
37
experience continued to recognize racial subjugation and social constraints. Thus,
these resilient students were able to view academic attainment in a positive light
while simultaneously recognizing that they are part of a collective struggle within a
marginalized community. Instead of focusing on Fordham and Ogbu’s (1986)
deficits-based explanation for African American academic underperformance,
O’Connor (1997) emphasized that resilient African American youth knew about their
individual strengths and recognized that the purpose behind their academic
attainment was part of a collective action to overcome obstacles.
Adolescent African American students’ identity formation process is a
complex concept when one considers the mainstream American cultural values that
might challenge these individual’s notions of self. As Taylor (1994) connotes,
socioeconomic risk factors such as economic hardship and poverty act as obstacles to
African American adolescents’ academic success. In addition, an African American
student’s experience with racial discrimination may influence their decision to
associate and value their peer relationships over their school-related commitment and
involvement (Taylor, 1994). Yet, research indicates that despite economic
disadvantages, there are various protective factors that promote resiliency among
African American adolescents. Aside from positive parental factors, experiences
with racial discrimination can compel African American youth to create a set of
actions, beliefs and behaviors that promote self-validation (Taylor, 1994). Thus, a
strong sense of ethnic identity can be interrelated with a positive academic identity
38
which consequently improves the academic achievement of resilient African
American students from disadvantaged backgrounds.
Implications of Resiliency and Ethnic Identity
The theory of resiliency provides practical implications for understanding the
strengths and assets-based factors of successful African American youth. Thus far I
have provided an overview of resiliency as a theoretical perspective consisting of
various components such as risk factors and protective factors. Scholars such as
Jarrett (1997) and Winfield (1994) have differed in their emphasis on the major
contributing factor that sustains resiliency in minority youth; the former focused on
parental influence while the latter emphasized the school’s influence. Amid the cadre
of research findings on the theory of resiliency, one major commonality exists:
individuals and organizations can foster resiliency in at-risk students who are not
equipped with the essential protective factors and coping mechanisms necessary for
academic success. Thus, both Wang and Gordon (1994) and Henderson and Milstein
(1996) argue that environmental factors can help build a strong sense of self among
minority youth from high-risk, urban environments. External factors such as the
intervention efforts of schools and college preparatory programs can promote
resiliency by positively contributing to the ethnic and academic identity of at-risk
African American students. Consequently, the theoretical framework in this chapter
warrants a qualitative research design that delineates how college preparatory
programs support African American students’ ethnic and academic identity. This
39
review of literature provides a foundation for the methodological research and design
outlined in the next chapter.
40
CHAPTER 3
METHODS
Theoretical Framework
As mentioned in the introductory chapter, the essential focus of this study is
to identify the positive factors that contribute to the academic success of African
American high school students. Albeit the importance of cultural and social barriers
to learning will be discussed, it is important to analyze assets-based factors that
contribute to the profile of a resilient African American student. Resiliency is a
theoretical concept that refers to the ways in which an individual overcomes
adversity. There are many protective factors that help solidify a resilient student’s
pathway to academic success; one protective factor may be closely related to African
American adolescents’ ethnic identity development. Cross’ (1971, 1991) theory of
Nigrescence has been an integral part of research focusing on African American
psychological identity development for over three decades. In addition to the theory
of Nigrescence, Phinney’s (1989) theory of ethnic identity was used to examine the
various stages of ethnic identity that an adolescent may go through. Although Cross’
(1971,1991) theory of Nigrescence mainly focuses on the identity development of
African American college students, Phinney (1989) used Cross’ (1971,1991) theory
as a model for creating the theoretical model of ethnic identity—which emphasizes
the adolescent identity development of minority youth.
41
Purpose of Study
The purpose of this study was to provide an in-depth analysis of African
American resiliency and ethnic identity based on the experiences of participants of
the TRIO program. In an effort to understand the factors leading to a student’s ethnic
and academic identity, I examined the characteristics of 15 resilient African
American students in the TRIO program at USC. Moreover, the importance of the
juxtaposition of resilience and ethnic identity provided a theoretical explanation that
focuses on a skills-based rather than of deficits-based explanation of African
American academic success. The foundation of this study relied on a qualitative
design that gathers rich and meaningful information on African American students as
they actively engaged in their academic and social learning experiences while
participating in the TRIO program.
The research questions for this study were:
1) What are the self-perceptions of resilient African American students
who attend the TRIO program?
2) What components of the TRIO program contribute to students’ ethnic
and academic identity, from the perspectives of students and staff
members?
Sampling Procedure
The primary sampling approach that was used throughout this qualitative
study was purposeful sampling. As Patton (2002) states, purposeful sampling
“focuses on selecting information-rich cases” that provide in-depth understanding on
42
a particular research study (p. 230). Moreover, I used theory-based sampling since
the participants of this study were analyzed using the theoretical perspectives of
resiliency, Nigrescence and ethnic identity. Theory-based sampling requires that the
researcher samples natural occurrences and people on a purposive basis. Thus, I
based the selection of African American participants of this study on the theory-
based criteria of resiliency. Since TRIO serves a population of students who come
from low socioeconomic backgrounds, participants who met the criteria for
resiliency experienced multiple risk factors related to their home environments. I
also based the participant selection process on the potential demonstration of
essential theoretical constructs of ethnic and academic identity. As information on
the participants’ experiences was gathered, their beliefs, values and opinions
emerged as representations of specific theoretical constructs (Patton, 2002).
Timeline
On June 21st, 2008, I made a presentation during the TRIO Parent
Orientation. The presentation consisted of a brief overview of the purpose of my
research study so that parents and guardians were informed. After my presentation, I
distributed parental permission forms and collected these forms from those who were
interested in allowing me to interview their child. In addition, I also set up a
temporary informational station during Move-in Week (week of June 29th) to
discuss concerns and answer questions that parents had about the purpose of the
research study.
43
Once parental permission was obtained, I began the data collection process
immediately at the start of the summer TRIO program. The essential objective during
the summer program was to establish rapport with students and staff members;
positive interactions between the researcher and participants were continued
throughout the Fall semester. Follow-up interviews were conducted during the Fall
semester immediately following the completion of the Summer program to provide
meaningful and rich information from the study. During the time period from June
29
th
, 2008 to August 1
st
, 2008, I became an active participant in the daily lives of
African American teenagers who had the opportunity to experience college
residential life while also attending enrichment activities provided by TRIO staff
members. Thus, it was important that I built rapport with these students so that they
welcomed my presence rather than seeing it as invasive. In addition, I continued the
data collection process throughout the 2008 Fall semester in order to provide follow
up sessions during Saturday Academies to better gauge the effectiveness of the
Summer residential program.
Data analysis took place during the Fall 2008 semester. During this time, I
used Creswell’s six (2003) step plan to analyze data which contributed to the writing
of chapter four of this dissertation. Lastly, in chapter five, I will provide a connection
between the rich findings of African American students in the summer TRIO
program with the theoretical framework indicative of Cross’ theory of Nigrescence, ,
code-switching, resiliency theory and Phinney’s (1989) ethnic identity theory.
44
Recommendations will yield critical insight on aspects of ethnic and academic
identity among African American high school students.
Site Selection
I conducted this study at the USC university park campus which is the host
university for the USC TRIO Upward Bound program. Since 1976, the partnership
between USC and the federal TRIO Upward Bound program has provided students
from low-income backgrounds with outreach activities that help prepare them for
access to four-year colleges and universities. TRIO is a federally funded college
preparatory program that serves minority students from low socioeconomic
backgrounds; the name of the program originates from the original three college
preparatory programs established by Congress under Title IV of the Higher
Education Act of 1965. The program consists of two major components:
1) Saturday Academies: During the academic school year (September-May),
students attend Saturday Academies held at USC. They are provided with
enrichment activities such as tutoring, standardized testing preparation,
academic advisement and college tours.
2) Six-week Summer TRIO Residential Program: Students who meet the criteria
during the academic school year are provided with a motivational incentive to
participate in a six-week summer program. Participants of the Summer
program stay at the USC Parkside Apartments and attend classes at the USC
University Park main campus from July to August to gain the complete
college experience.
45
The focus of this study was to examine the perceptions of resilient African
American students and how residential and academic life at the USC main campus
serves as an impetus for students’ motivation to overcome obstacles. Not every
participant of the TRIO program is rewarded this opportunity to participate in the
summer residential program; it is only meant for those resilient students from low
socioeconomic areas who have excelled academically during the academic school
year.
Participant Selection
After consulting the executive director of the TRIO program at USC, the
South Central Upward Bound division was the most logical choice for participant
selection since the theoretical lens focused on code-switching, resiliency, Cross’
theory of Nigrescence and Phinney’s theory of ethnic identity among African
American students. The study examined African American students from the
following high schools that comprise the South Central Upward Bound division:
Crenshaw High School, Dorsey High School, Washington Preparatory High School,
Manual Arts High School and Jordan High School. The students from all of these
target schools were enrolled in ninth, tenth, eleventh and twelfth grade. A total of 15
African American individuals agreed to be part of this study and parental permission
was obtained for all participants. The 15 participants consisted of five ninth graders,
five tenth graders and five twelfth graders. This group included seven female
participants and eight male participants who allowed me to understand their thoughts
and beliefs through individual interviews, focus groups and observations during the
46
data collection process. For the purposes of this study, I excluded students who were
not African American. Since Cross’ theory of Nigrescence (1971, 1991) combined
with Phinney’s (1989) theory of ethnic identity provided the foundation for the
study, it was imperative that I focus mainly on African American participants of the
TRIO program.
Gathering information from staff members of the Upward Bound program
proved to be an integral part of the data collection of this study. 15 staff members
were interviewed and observed in efforts to gain insight on the ways that the
program provides support for students. In order to obtain a comprehensive
perspective on the program’s support structure, seven resident advisers, two
academic advisers, two program administrators, and four teachers were interviewed
and observed throughout the course of the six-week summer program. The data that
emerged from staff members’ thoughts and observations juxtaposed with data
gathered from the 15 student participants offered ways of understanding how TRIO
supports participants’ ethnic and academic identities.
Data Collection
Interviews
As part of the naturalistic qualitative inquiry process, individual interviews
with African American participants were conducted during recreation time and
during late evenings when students were given free time. A semi-structured
interview protocol was used to provide students with a thematic focus during
interview sessions that lasted 40 minutes to an hour. 20 individual interviews were
47
conducted with ten eleventh and twelfth grade students with each participant
engaging in two individual interviews. Two tenth graders also participated in one
individual interview each. I also conducted one individual interview with each of the
15 staff members to gain insight from those who interact with African American
TRIO students throughout the summer residential program and fall Saturday
Academies. Although staff members did not have much free time due to their
structured work schedules, I was able to conduct additional follow-up interviews
with seven of the 15 staff members. Thus, seven staff members each participated in
two individual interviews while the rest of the staff participants engaged in one
individual interview. The semi-structured interview protocol included open ended
questions that allowed students and staff members to freely share their ideas and
experiences which provided rich and meaningful data that aligned with the specific
theoretical perspective of the study. Audio recordings of all interview sessions were
reviewed immediately after each session as it was critical that I engaged in a
reflective process to unravel the personal contributions of each student and staff
member’s experiences.
Observations
Formal classroom observations were conducted during class hours (between
7:45am-4pm) in specific classrooms at the USC main campus. Designated structured
tutoring sessions held at the residence halls provided an opportunity for informal
observations during the evenings (two and a half hour sessions). Classroom
observations began and ended in accordance to the specific scheduled class times.
48
An observation checklist was used to monitor students’ behaviors and actions so that
aspects of a certain type of academic identity would emerge from subsequent
analysis of observational findings. Other opportunities for observations included
informal meetings and informal settings such as walking with participants to the
cafeteria or observing them interact during free time and recreation time. I spent a
total of 60 hours observing the natural occurrences of the six-week Summer program
and Fall Saturday Academies. I also employed audio recordings in addition to the
use of notes and an observation checklist to gather the full meaning of the natural
occurrences in the classrooms. A participant observer has the power to understand
the context of how people interact while also discovering details that may be
overlooked by the people of a specific social setting (Patton, 2002). Thus, it was
critical that I balanced my research with findings from naturalistic observations.
Focus Groups
Two focus group sessions were conducted for an allotted time of one hour
with no more than seven students participating in each focus group session. Lunch
time provided ample time for the first focus group session which consisted of seven
African American male football players enrolled in the TRIO program. These seven
participants included two twelfth graders, two eleventh graders and two tenth graders
who agreed to spend their lunch with me since their busy football schedules
combined with rigorous TRIO coursework did not afford them with much free time.
The second focus group session was conducted at the USC Parkside Apartments
which was the location for the residential on-campus housing. The focus group
49
consisted of five African American twelfth grade participants. Throughout the study,
twelfth grade participants served as key informants since these individuals had the
rich experience of being part of the TRIO program for all four years of their high
school experience. These students were well-respected by their peers and they were
knowledgeable about the daily routines of the residential and academic program. As
Patton (2002) illustrates, key informants are individuals who can provide insight to
the observer based on their knowledge of the naturalistic setting and key
relationships among a specific group of people—aspects that are not directly
accessible by the observer.
Data Analysis
In addition to taking notes during interviews, focus groups and observations,
I used my digital voice recorder to tape these sessions. The important process of data
analysis entailed a careful transcription of everything that was recorded. Following
this procedure, I carefully coded the information; I used details outlined by Patton
(2002) to guide me in this qualitative process. Yet, Creswell’s (2003) six step
analysis procedure was the primary method for organizing the data and qualitative
findings of the study. Creswell’s (2003) six steps involve: preparing and organizing
data, reading data, subsequent coding of data into specific categories, generating
appropriate descriptions or themes, conveying descriptions into narratives and
interpreting data. These six steps provided a chronological and organized process for
analyzing data gathered from focus groups, individual interviews and observations of
participants’ experiences during the TRIO summer residential program.
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Triangulation
Triangulation is an essential component to data analysis that is critical to
testing for consistency. By providing a variety of methodological combinations, one
is able to triangulate data to yield more in-depth and rich results that emphasize the
relevance of the main research questions of a study (Patton, 2002). In this study,
focus group interviews provided an effective way to triangulate data since students
were comfortable sharing their ideas in a welcoming, collaborative environment. In
addition, participants were not intimidated to share their opinions in one-on-one
individual interviews. Thus, a balanced formula consisting of focus groups,
individual interviews, and observations increased the credibility and reliability of the
results of the study.
Moral and Ethical Considerations
Patton (2002) states that one of the standards for judging in a research study
is the “feelings about the process among research participants” (p. 226). Based on the
depth of the information drawn for participants’ experiences, solutions to problems
can be created through a natural process by which interpersonal interactions are
synthesized with the theoretical foundation of the research design. On this note, it is
imperative that the data collection and content analysis represent accurate depictions
of participants’ intended meanings when they share their opinions and ideas with the
researcher. Moreover, the confidentiality of the participants was handled with great
care by including consent forms to uphold the promise that the researcher must
respect the privacy rights of the TRIO program participants. This naturalistic
51
qualitative inquiry was a challenging process which demanded that the researcher
follow a moral and ethical code in efforts to respect and honor the people who were
interviewed to the utmost degree.
52
CHAPTER 4
PRESENTATION OF DATA
High school can be a challenging period for students of color—especially
those who come from low socioeconomic backgrounds. Amid a cadre of societal
pressures, students are faced with the challenge of forming an identity that is
conducive to school success and college readiness. The purpose of this study was to
identify self-perceptions of resilient African American students in the Upward
Bound TRIO program at USC. In addition, the study examined the ways in which the
TRIO program contributes to students’ ethnic and academic identity.
In order to obtain authentic interpretations of the TRIO program and its
participants, this chapter highlights the stories of African American TRIO students
and staff members. This chapter includes the participants’ individual words that
express their genuine thoughts and opinions. Their meaningful experiences have
been organized into three major themes with relevant subthemes. The essential
conceptual categories are:
1. Explorations of Ethnic Identity
2. Cultivation of a Resilient Self
3. Fostering a Culture of Success
The first conceptual category, Explorations of Ethnic Identity, incorporates
participants’ interpretations of how culture plays a role in shaping individual and
collective ethnic identities. Students provided thoughtful reflections that have been
classified under two subthemes which include Collective Ethnic Identity and
53
Individual Ethnic Identity. The second conceptual category entitled Cultivation of a
Resilient Self, concentrates on subtopics such as Positive Social Networks and
Academic Identity. The third and final category consists of interconnected excerpts
from TRIO teachers, resident advisors (RAs), academic advisors and program
administrators which reveal the supportive mechanisms of the TRIO program. This
category is known as Fostering a Culture of Success and it is divided into three
subthemes— The Role of Culture, Academic Support, and College Readiness.
Since the nature of this study is centered on student self-perceptions, excerpts
from individual interviews and focus groups of eight junior and senior African
American students align with the conceptual categories of Explorations of Ethnic
Identity and Cultivation of a Resilient Self. The last conceptual category of the
chapter, Fostering a Culture of Success, highlights the support mechanisms of
Upward Bound through the thoughts, experiences and perspectives of TRIO staff
members. Pseudonyms have been used to protect the privacy of all participants in
this study.
Explorations of Ethnic Identity
In chapter two, I outlined Phinney’s levels of ethnic identity which include
stages of diffusion, moratorium and achieved identity. (1989). These three stages of
ethnic identity vary in the level of exploration and commitment; diffusion indicates
that a student has not explored any aspect of their ethnic identity, moratorium is a
stage where an individual begins the process of exploration, and achieved identity
54
implies that an individual is confident and committed to aspects of their ethnic
identity.
Collective Ethnic Identity
When asked to describe the collective strengths of their ethnic identity,
participants often stated that they were proud of their ethnic group’s
accomplishments. Many students expressed an intense pride in their ethnic group by
emphasizing how African Americans “stick together.” Ogbu and Fordham (1986)
have described this positive social connection amongst African Americans as a type
of “fictive kinship” which strengthens their group’s collective ethnic identity. Diana,
an outgoing and confident African American cheerleader illustrates the importance
of fictive kinship when she stated:
We all have a tendency to stick together. I had an experience in my English
class last year during Black History month. We were having a program at
school and I asked my teacher if we were going to see the program tomorrow.
She said maybe. Then, a Hispanic student said, “We don’t want to go see
that. It’s just Black History month. What’s the point? The month’s almost
over and it doesn’t matter.” And I was like, “That is a shame because we
want to see things that our students put up on stage for Black History month.
Our history book doesn’t have a lot of stuff about black history. We want to
learn more things about black history.” He was like “I don’t care.” All the
African American students in my class backed me up. They was like we care
and they was informing him why Black History month was important.

Diana alluded to this discussion in her English class while also making a point to
emphasize the end result—the class ultimately attended the play. She is a leader as
well as a team player who “sticks together” with her peers in and outside of the
classroom. In her history class, she actively participates and sits with her African
American peers. She also has a quiet yet confident nature when she is focusing on
55
her class work. Outside of the classroom, Diana’s interactions with her peers are
significantly different and can best be described by her illustration of the differences
between “acting ghetto and acting professional” in the following statement:
I’m still going to be proud of it [my culture]. You know how people say
they’re “ghetto” or stuff like that? It’s okay to be like that; just as long as you
know how to turn it on and off in a professional setting. You need to know
how to act professional but when you’re with yo’ friends or in the house or
not in public, you can act a certain way.

The notion of fictive kinship is supported by Diana’s positive associations to
the term “acting ghetto”—if it is practiced in an appropriate setting. Yet, other
students also expressed their pride of their ethnic group’s collective strengths with
extreme caution. Keira, an eleventh grade participant of mixed African-American
and Hispanic heritage talks of her dislike of public perceptions of “acting ghetto” as
follows:
I don’t like the stereotypes that people have. Mostly, people will portray us as
like being loud and stuff. Or Latinos are just worthless. But sometimes
people do play on that. Other times, people don’t play on that. I don’t like it
when people act like that. But I love how we all stick together. Even though
sometimes people fight, we still try to stick together.

Keira’s pride in her ethnic group’s strength of “sticking together” is juxtaposed with
her understanding of the negative stereotypes that plague both her African American
and Latino heritage. Many participants have described their ethnic group’s positive
accomplishments in the context of negative stereotypes and pressures that have
adversely affected African Americans in society. The following description reflects
participants’ perceptions of African Americans’ ability to achieve amid racial
discrimination and stereotypes:
56
I know that African Americans get really discouraged about the stereotypes.
They don’t think they can do it. They would rather make easy money—like
selling drugs—than actually working hard to get there. So I think, especially
in the US, it’s very competitive. They’re not looking up for it or trying to
look up for their job. It really hasn’t affected me. Especially being in the
program, you hear a lot about people who were in the program who are now
doctors. It really encourages you; like if they can do it I can do it too. Like,
you’re no different than them. You can make it too— no matter what, you
know?

The above comment illustrates participants’ awareness of the failures characteristic
of members of their ethnic group. Many participants referred to these failures in
efforts to emphasize the negative images that were not part of their individual ethnic
identity. Essentially, many participants felt strongly about the importance of being
aware of stereotypes and not “falling into stereotypes” when they talked of their
ethnic group accomplishments. This notion is best described in one participant’s
comments below,
I guess it’s okay. They [African Americans] have good accomplishments.
Like you have doctors, then Barack Obama…great accomplishments but then
you also have the negatives. Overall, I would say it’s okay but it’s not all that
good. Yeah. You know—lawyers, doctors, politicians, Johnny Cochran. But
then you have the bad part which is the gangs, the killings, the stereotyping
and people falling into that stereotype. That’s like the downfall of our race, if
you ask me.

The above responses represent a strong consensus among all African American
participants of the TRIO program; the journey to success involves a continuous
battle to overcome obstacles without “falling into stereotypes” along the way. The
participants often expressed empathy for the people in their ethnic group who do not
strive to lead successful lives. Yet, the societal pressures that hinder African
Americans’ ability to achieve can be seen within the context of the high school
57
environment. Wearing her “UC Berkeley Cal” shirt, Diana, a senior student talked
about her African American peers who struggle in school. With great sadness, she
talked about some of her peers’ failures in the following statement:
Like for girls you’re going to be pregnant by the time you’re sixteen. For
boys you’re going to be in a gang. And if they’re not doing that, for the
athletes…the only reason why you’re keeping up with your grades is so you
can participate in a sport. It’s sad to me. It is because they don’t want nothing
in life. Some parents do care but they don’t care ‘cause they see what they
want to be…what they see on TV. But they don’t understand that that’s just
entertainment.

Negative images perpetuated through media, TV and entertainment were one of the
major concerns among most of the participants. Nina, an opinionated African
American senior was not afraid to share her open criticism of her ethnic group when
she described specific stereotypes:
Stereotypes like baggy pants, being loud, cursing and the songs they make.
It’s all a stereotype and people fall into the perspective of “I have to act this
way, I have to look this way, I have to do this, I have to do that.” They’re not
really making their own path of who they want to be. They’re not using their
own little mark in the world. They follow everyone else’s path.

Proudly wearing his University of Arizona t-shirt, Terrell, a student with hair braided
in cornrows, elaborated on the pressures of “gang-banging” by emphasizing,
As African Americans, you can say that there’s a lot of hatred in each other
but I don’t know why. I think as an African Americans, you can do better
than just gang-banging. There’s only a small percentage that stay with gang-
banging. Most of us are trying to go to college.

As Nina and Terrell illustrate, there are many African American students who strive
for success through their own college aspirations. Although they spoke of the
negative effects of stereotypes, these students believe they can rise above societal
58
pressures that have affected many of their peers at their high schools. These strong
and diametrically opposed feelings of pride and sadness characteristic of their
collective ethnic identity have provided the impetus for the development of their
individual ethnic identity.
Individual Ethnic Identity
The intricate connection between participants’ associations with their
collective ethnic identity and individual ethnic identity can be characterized as a
symbiotic relationship—one cannot exist without the other. Many of the participants
in the TRIO program shared their individual hopes and aspirations to succeed—
whether it has brought them closer or more distant from members of their own ethnic
group. Perhaps the best example of this fragile connection between individual and
ethnic identity can be seen in the following statement. Ashanti, a senior student of
mixed African American and Hawaiian heritage, talks of her hopes and dreams while
also speaking for members of her African American culture:
People like me I guess…we do take the initiative. That’s what people don’t
focus on. Like, there are African American students that do want to go to
college and want to pursue and see things beyond what they normally see in
life—where they live; they want to explore too. It’s not just like one ethnic
group wanting to do crazy things or something like that. We want to explore
too.

Ashanti is a student who is optimistic about her role in her community. She
understands that her residential community, Watts, has been affected by negative
public labels and perceptions. Yet, her determination as a young African American
student to explore and learn more about her academic and cultural life has proved to
59
be one that she is extremely proud of. Ashanti debunked the myths and stereotypes
placed before her by stating,
I feel like it depends on the people you meet. ‘Cause some people are brought
up differently. Like, I do live in the “hood” I suppose but I’m not affected by
it. My mom takes me to Manhattan Beach and all these places and she shows
me other possibilities of where I can go instead of just this one place—even
though I live there. The reputation that Watts has isn’t what it seems. It is a
good community and they have so many community carnivals and stuff; it’s
fun. But sometimes it gets drowned out by the gang violence and that’s what
people focus on particularly.

Other participants in the program have described their ethnic identity in ways
that embrace other cultures. The following comments reflect many of the
participants’ emphasis on the importance of interacting with others outside of their
ethnicity:
Well. I’m real close with this guy friend. He’s Hispanic and a lot of kids that
I know had a problem with me talking to him because he wasn’t of my race.
They were saying, “Why are you talking to him?” The same thing with his
friends—his Hispanic friends would be like why are you talking to her? I
thought that they was ignorant and small minded. Just because he’s a
different race, why shouldn’t I talk to him?

I associate with African Americans, Latinos, a small percentage of
Caucasians. I try to communicate with everybody; it’s not that hard to say ‘Hi
and my name is Terrell.’ All you gotta do is approach them and try to be their
friend and get to know them better.

Although some students face negative criticism from their own African American
peers, they continue to see past the racial divisions that have been established by
some of their “narrow-minded” friends. Keira, an eleventh grade participant who
sees Latino and Black students as very similar, explains her connection with students
of color in the TRIO program with great pride,
60
Especially being in the program, you’re just around Latino and Blacks. I
think we’re all the same. It makes me more proud—like we’re all trying to go
to college and do the same thing. I want to be stronger and be more proud of
my ethnicity; that is a more positive change.

Her pride in both Latino and Black students’ potential to succeed in the TRIO
program reflects a sense of established achieved identity that balances both her
Latino and African American elements/aspects of her ethnic heritage. Keira’s
eagerness to learn about her African American history and culture also supports the
notion held by many other participants that it is important to be in touch with one’s
cultural roots. She elaborated by sharing how her older sister, a TRIO resident
adviser, has helped her learn more about her culture,
I have some knowledge about African American history. A lot of times, it’s
from my sister. My sister is learning about her history too—now that she’s is
in college. She’s learning a lot and comes back and tells me. I learn from her
about our culture and about how African Americans came to be leaders—
Black Panthers and stuff I didn’t know about. She’s teaching me too.

Keira’s emphasis on the positive role of leaders in African American culture
is supported by her twelfth grade peer, Terrell. Terrell highlights the connection
between collective ethnic pride and individual ethnic identity development by talking
of the essential importance of “knowing your roots”—even if it entails learning the
negative aspects of one’s ethnic history. With his warm smile, Terrell highlighted
this importance when he succinctly stated, “As African Americans, they say that you
should know your roots. We have a bad history and we would like to see it
changed—from slaves to college graduates. If you know your history, then you
should know a lot about yourself.”
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The importance of the negative struggles of African Americans throughout
history was often discussed among most of the participants of the TRIO program.
Knowledge of this collective struggle motivated many students to establish goals that
would make them positive role models in their schools, communities and the TRIO
program. Diana, a leader among her senior TRIO peers, described her individual
ethnic identity by contrasting her culture’s collective struggle. She stated,
African Americans have been told that they can’t do certain things because of
their race. And they believe them. They don’t try hard to do it and they just
give up because they believe they will never succeed in life because of the
color of their skin. I believe I can.

Diana’s self-reliance and refusal to give up not only defines her as an African
American individual but also highlights her resilience in school and in the TRIO
program. Her individual ethnic identity is one that embraces an interaction with those
who also believe that they can succeed in life. Her established ethnic identity has
contributed to another aspect of identity that is characteristic of many African
American TRIO participants—strong, resilient self-perceptions. African American
participants’ resiliency will be highlighted in the next conceptual category,
Cultivation of a Resilient Self.
Cultivation of a Resilient Self
According to resiliency theory, there are protective factors such as engaging
in positive social networks that can contribute to one’s ability to overcome obstacles.
Environmental protective factors refer to the influence of an outside force such as
family, peers, teachers and other people who may contribute to an individual’s
62
resilient identity. Internal protective factors are individual support mechanisms that
are characteristic of a student’s autonomy, independence, determination and help-
seeking skills. Both types of protective factors—environmental and internal—
provide a strong foundation for the development of resilient individuals. Throughout
interviews and focus group sessions, the participants of the TRIO program exhibited
characteristics of resiliency through their positive social relationships and
autonomous descriptions of their academic identity.
Positive Social Networks
Participants in this study frequently referred to the support of family, friends,
teachers and peers when they talked of the positive factors that helped motivate
them. Many of the African American students in the TRIO program intentionally
surrounded themselves in environments that were conducive to a college-going
culture and academic success. Diana, the outspoken senior mentioned in the previous
section , reflected on the positive conversations she typically has with her peers,
The people I hang out with care about school and they get good grades. Our
conversations…we actually talk about what school you want to go to, or
SATs or what college or what did you get on your SATs and why? That’s
how me and my friends talk. The majority of our conversations are about
school, what we want to do when we grow up—about life. Others at my
school just talk about what they did.

Nina, a senior who can always be found sitting in front of class, also talked of her
positive interactions with her peers when she stated,
Here, I have my friends in all my classes. It’s like we always sit in the front
of classes all the time; we never sit in the back. We don’t talk; we take notes.
Since we all have similar classes, we all help each other with homework so
we’re cool.
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Both Diana and Nina’s positive peer networks have served to enhance their identity
as resilient African American students. Other students in the program are compelled
to motivate their peers who may not share the same goals. Students like Keira, an
outgoing eleventh grader with braided hair and gold hoop earrings, describes her role
with two different groups of friends,
Mostly, I’m the one who encourages them like ‘stay in school’. A lot of times
they call me the “mom” of our friends ‘cause I’m always trying to tell them
to do right in school and not to mess up. They kind of like… look up to me. I
know they do ‘cause they’ll come to me if they need help with their
homework and even my friends who don’t—they come talk to me about their
grades. We talk about our grades and we have a good communication about
school. We encourage each other.

Keira’s involvement in an active social scene has not prevented her from initiating
conversations about academics with her friends. Like Keira, J.R. is a senior student
who also plays a positive role in his circle of friends. J.R. is the only senior football
player in the TRIO program and is highly aware of his status as a role model among
the younger group of football players at his high school. J.R., with quiet confidence,
commented,
A lot of the football players….they want to know about the Upward Bound
program but it was too late for them ‘cause they were in the eleventh grade.
They asked me before but they forgot about the application and never
applied. A majority of them look up to me. Some of ‘em don’t have the
grades that I have.

As a leader in the TRIO program, J.R. can be seen leading a group exercise during
recreation time or volunteering in his History and English classes. His resilience is
highlighted by his leadership role in football, school and TRIO programs.
64
Ashanti is another student who is a leader in the TRIO program, school and
her community. In addition to her positive interactions with TRIO students, Ashanti
often talked about the importance of networking in life. She credits her aunt as
critical for introducing her to this important life skill below:
My aunt does boot camps for networking. So I meet all kinds of executives
and entrepreneurs. So through my aunt, I meet a lot of people that I can get to
know. She invites me to these breakfasts; it’s like predominantly African
American women. So, I get to see like what I could possibly be when I grow
up. As a successful African American or Hawaiian woman who is successful.
Through those women, I can see what I can be.

As a student of mixed heritage, Ashanti has had numerous opportunities to connect
and learn from influential and successful African American women through these
networking events. Her quiet determination in class during the summer TRIO
program contrasts with her lively and optimistic attitude outside of the classroom.
She has “networked” with college representatives from reputable colleges like UC
Santa Barbara and USC.
The participants in this study have a keen understanding of the support they
need and are not afraid to seek it. Their positive social networks provide a complex
and multi-dimensional support system which Garmezy (1983) calls “protective
factors” that strengthen their resiliency. In the next section, I will highlight how these
participants establish an academic identity that also serves as an essential protective
factor for their resilient self perceptions.
65
Academic Identity
Research suggests that resilient students of color have positive self-
perceptions and academic aspirations (Wang & Gordon, 1994). The participants in
the TRIO program have felt comfortable embracing and accepting an academic
identity that supports their goals for the future. When asked about their future
aspirations ten years from now, many of the juniors and seniors in the program
provided specific long-term and short-term goals for succeeding in high school and
college. Diana, a senior who has a keen sense of the importance of academics,
describes the steps she takes when she doesn’t understand a concept,
I stay in class during lunch; I ask the teacher for help. Come to tutoring after
school or even at home. I go over my notes in class. If I don’t get my
homework, I actually stay there and try to figure it out. Or I read ahead in the
chapters to see what I’m going to learn next so that I can get ahead instead of
behind.

Many participants recognize that a similar type of self-discipline is critical to their
success in school. Students like Terrell employ a type of “adaptive distancing” in
order to ensure their academic success and effectiveness in coping with the pressures
of going to school in an urban environment. Terrell described his strategy for success
when he said, “At school, I try to keep to myself and keep my grades straight. I don’t
talk much at school.” His overt determination to distance himself from peers who do
not value school emphasizes this concept of adaptive distancing that is familiar to
some students who quietly work hard to protect their academic identity.
Another important characteristic of resilient youth can be identified in many
of the participants’ specific college aspirations. It is quite common to see students
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proudly wearing college apparel and “Upward Bound” sweatshirts. This pride is
apparent in the clothing students wear but also in the way they describe their hopes
and dreams for college. The following comment illustrates one participant’s in-depth
knowledge of the specific goals that need to be accomplished to fulfill her college
dream:
At SC’s film school and I would double major in Women’s Studies but here
it’s Gender Studies. Also, I would apply to NYU, Yale, SF State and UCSB. I
learned about these colleges from this program—when I went on my first
Northern Tour. We visited Berkeley, Santa Barbara, UC Santa Cruz, Stanford
and so I was like ‘Wow, these schools have a lot to offer.’ It’s not all just
strictly academics; you can have a life and have fun too. It’s all a
combination.

The notion that one must research various college academic programs and utilize
their college experience as a means of venturing out of their home environments was
one that was commonly shared by all participants. While the above comment
illustrates one participant’s awareness that success in college is directly related to a
balance of academic and student life, other participants revealed their knowledge of
essential goals for fulfilling their long-term career aspirations.
Ten years from now, I’ll be in grad school. I want to major in psychology so
that I can be a child psychologist or I can be counselor. I can also major in
sociology. To achieve my goals, I am mostly counting on myself and my
family.

Many of the participants valued similar things when they talked about their
college aspirations. Participants typically talked of the people who would help them
succeed along the way but they always emphasized their ability and potential to
succeed on their own. Ultimately, participants referred to their individual autonomy
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and determination as influential factors that will shape their future in positive ways.
These African American students have helped create a culture of success where they
can openly share aspects of their academic identity without worrying about the
negative pressures that exist at their respective high schools.
Fostering a Culture of Success
The Role of Culture
The focus of this section reflects a broad interpretation of the concept of
culture which reflects the diverse interpretations and perspectives that TRIO
participants and staff members have shared. Aside from previous discussions of
ethnicity and race, the culture of the students in the TRIO program also encompasses
their common experiences from their home environment—characterized by
challenges that are deeply rooted in the confines of an inner-city, low socioeconomic
background. Interviews with teachers, program managers, academic advisers and
resident advisers revealed a strong awareness of the two different cultures that are
intertwined in the daily lives of all TRIO participants. As one Upward Bound teacher
described, “these students go to the same schools and live in the more impoverished
side of town” which exemplifies the notion that they come from a similar home and
school culture. These important stakeholders all share a common belief that they
have a major role in fostering a culture of success that will help their students fulfill
their academic dreams. The director of the Upward Bound program, Mr. Costas, an
articulate man with a calming presence, emphasized the importance of culture when
he stated, “I think culture is something that we definitely embrace in the program.
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We try to make sure we celebrate everyone’s cultures and there’s a sense of
inclusiveness.” Mr. Costas talked about the ways the TRIO program incorporates
community building activities to get students to understand and accept the culture of
peers that are from different schools and different ethnic backgrounds.
The TRIO staff members are also adult role models who understand the
cultural obstacles that students face because they overcame similar obstacles as
students of color. This connection and awareness of a “minority culture” can best be
described by Ms. Pineda, a Psychology teacher who also participated in the Upward
Bound program as a high school student,
I think that culture is definitely something that's part of this program. A lot of
these kids are coming from communities where that's pretty much what they
know. A lot of these kids don’t really know anything other than, you know,
the culture that they're coming from, or maybe to speak more generally, just
like a minority culture within the larger American culture.

Reflecting on her own high school experience, Ms. Pineda talked of her influential
TRIO teacher, Mr. Costas—who later hired her as a staff member when he became
program director. As the daughter of immigrant Latino parents, Ms. Pineda’s life
experiences have helped her understand the challenges that her TRIO students
currently face; they must understand the nuances of the American culture in order to
be successful in school while also maintaining a strong sense of their roots—their
ethnic and home culture.
Many other staff members described the conditions of TRIO students’
neighborhoods as a way to emphasize the stark contrast between their school and
home cultures. The academic adviser who oversees the residential component of the
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TRIO program emphasized the importance of knowing where the students come
from. When asked about the commonalities between the eight resident advisers and
the TRIO participants, Regina, an academic adviser wearing a TRIO lanyard proudly
commented,
A lot of them [resident advisers] went to the schools that our kids went to,
Crenshaw, Dorsey, Jordan, and one of them went to Locke which is also in
Watts, in that area. So you know, they have -- they have a good background.
They know a lot of the times where the kids are coming from and they
have—you know, they can connect with kids, especially if they went to the
same school; well, two of our RAs went through Talent Search. One of them
went through Upward Bound.

College students who work as resident advisers comprise the foundation for the
social component of the TRIO summer program. All of the eight resident advisers
are either Latino or African American and over half of them have been participants
of a TRIO program when they were high school students. Since many of them were
raised in similar neighborhoods, they know the hardships that most of the students
face. As one resident adviser illustrates, students must deal with communities that
are negatively affected by gang violence—particularly territory lines claimed by
gangs like the “Bloods” and the “Crips”. The following comment highlights an
awareness of the dangers and obstacles that affect the inner-city neighborhoods of
the participants in the program,
It's not in the Projects, no. It's just like, I can say it's mutual territory--so
borderline. One crowd in the school that you come out of, you exit the
Bloods which is the Jungles. And then—and then you come out through the
other gate where these railroad tracks are and then you have the Crips.

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One of the major high schools that the TRIO program serves is surrounded by
“The Projects” which is further complicated by different gang-affiliated areas. Many
participants become accustomed to the dangers of crossing territory lines on their
way home from school while also seeing the poverty-stricken images characteristic
of “The Projects.” Crossing these multi-layered barriers of violence and poverty has
led some students to become hardened by the harsh reality of their surroundings. In
light of these pressures, students must create a mental “wall” that blocks the constant
images of violence, drugs and poverty in order to immerse themselves in a culture of
academic success at school and in the TRIO program. This tendency to block out the
violence and social obstacles has made it difficult for some new students in the
program to trust staff members. Students—especially those who are new to the TRIO
program—are faced with the challenge of breaking down barriers of the “wall” that
they create for themselves to successfully navigate through the culture of the TRIO
program.
Academic Support
In chapter two, I highlighted the six steps that schools and college
preparatory programs can implement to support resilient urban youth. Henderson and
Milstein (1996) identify the six steps as the following strategies: increasing social
bonding, establishing clear and consistent expectations for behavior, teaching life
skills, setting high expectations for academic success, offering opportunities for
meaningful participation and involvement and providing a caring and supporting
environment. These six steps are essential factors that encapsulate the strengths of
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both the academic and residential component of the summer TRIO program. In light
of the focus on the multifaceted role of culture in the previous section, staff members
must also provide academic support in ways that are culturally responsive and
meaningful to the lives of TRIO students. When asked about the role of teachers of
color and the overall mission of the TRIO program, a reflective history teacher
shared her experiences and observations,
And I think it's mostly because like people know what Upward Bound is and
what it's about. And it's one of the oldest programs, and one of the very few
programs that the government still funds. And the history of it is to get—or as
I'm sure you know for, you know, under-privileged, low-income people who
nine times -- 9.5 times out of ten are people of color, especially Blacks and
Latinos—to put them on a collegiate track.

Her description of the commitment and strong motivation of TRIO teachers to help
students of color succeed academically is an integral factor to the program’s
philosophy. This commitment to the empowerment of a minority culture provides the
impetus for using the classroom as a forum for social and academic support.
The lack of rigor in many of the TRIO participants’ large, inner-city high
schools may lend itself to a lack of motivation when these students take classes in the
summer TRIO program. Yet, Ms. Pineda, a psychology teacher with high
expectations for her students, sees herself as a role model and effective teacher. Her
organized PowerPoint presentations serve as academic tools for instructional
delivery. The PowerPoint presentations are resources that engage her students and
make them believe that they can succeed in the mastery of rigorous college-level
coursework. At any given time, students can be seen eagerly taking notes on the
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PowerPoint handouts that she provides in class while also asking questions if they
are unclear on a particular concept. When asked to describe her role as a teacher of
the TRIO program, Ms. Pineda reflected,
I see myself as a role model in regards to, kind of, like the bridge to college,
you know? Kind of -- just kind of -- I really try and teach them the ropes on
just survival skills in college. I talk a lot about, you know, "Sure, you have all
this homework every night, but are you going to come to class and tell the
professor you haven't done your readings? How's that going to make you look
to the professor?" So I kind of have them reflect on stuff like that. Even just
about life, like you know, I talk to them about being able to kind of foresee
their environment and from there decide what behavior's appropriate, what
language is appropriate, what is not appropriate. Like just being -- being
aware, I think, of their environment and being able to make the switch of
"Right now I'm with my friends and it's okay to speak a certain way." Or, you
know, "Now I'm in a college setting and this is -- this is what I should be
like—maybe a little more mature.”

In addition to having high expectations for her students, Ms. Pineda tries to
teach her students life skills that will help them be successful in college. She
incorporates journal writing in her class to connect academic content to students’
personal lives. She has her students write in their weekly journals to help her
students engage in a self-reflection process. During the first week of the summer
program, students responded to questions that focused on their interpretation of their
individual identity. When asked to define themselves, many wrote “I am who I am
because of my parents” or “I’m the first one in my family to graduate from high
school.” Although these students experienced some degree of pressure to be
successful in their families, Ms. Pineda viewed these participants’ experiences as the
driving force for academic and personal goals.
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Many teachers of the program stressed the importance of incorporating
activities that promote self-reflection and cultural connections in their course
curriculum. Ms. Lopez, who is an English teacher in the program, talked of the
importance of having students write autobiographical vignettes as a way of helping
them realize the power of their own personal experiences. She revealed this
importance when she stated,
Everything in my class is about identity. We’re talking about Maya Angelou.
And one of the assignments I gave them was on “mental victories.” Where
inevitably do you have to find your power? You know it really comes from
yourself and it’s changing your own narrative. You know it’s like you have to
change the ideas about yourself not just those that are prescribed by society.
And so we had like discussions about all of these things as we went through
the course.

Ms. Lopez has learned that students not only connected to the autobiographical
writing tasks in her class but they also enjoyed the course readings—stories written
by Latino and African American writers. To her surprise, the readings aligned with
the content they were studying in their history class. This coincidental cross-
curricular instruction was revealed when she stated, “So in history they’re learning
about the Chicano movement and they’re also learning about the civil rights
movement.” Her students were able to apply their knowledge of history to the
required readings in her English class which provided them with a deeper
appreciation for both subject matters.
Most of the teachers and staff members understand that the academic
emphasis in the TRIO program must be presented in ways that authenticate the
participants’ learning experience. Thus, staff members are aware of the different
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forms of academic support that are essential for students—engaging them
academically while supporting their diverse cultural and social needs. Mr. Costas,
the director of the Upward Bound program, discussed the importance of clear
expectations and effective communication among all staff members involved in both
the residential and academic components of the summer TRIO program. He
highlighted the intricate nuances of this organized support network that defines the
summer program,
So during the summer we have two components. We have the academic
component and the residential component. So we make sure that both of
them—that there’s communication between the two. For example, anything
that’s happening in our classes, any discipline issues, students not submitting
assignments or they’re not doing their reading is relayed to our residential
staff in the afternoons. So there are consequences. If for example if there’s a
discipline issue in the classroom, usually the senior academic advisor or the
assistant director will meet with those students and those students will lose
out on a privilege in the evening. Like let’s say we’re having an ice cream
party scheduled for the evening activity, they would have to stay later in the
tutorial lab to study and finish their homework. Also the academic person is
providing the afternoon person [academic or resident adviser] with a list of
homework assignments which outlines the homework for the day. So we also
have tutors who are receiving that information so that they know what’s
being covered in the class.

According to Mr. Costa’s detailed description of the inner-workings of the TRIO
program, the objective is to foster a culture of success by establishing clear
expectations and consequences and providing incentives for academic improvement.
This organizational focus on academic achievement juxtaposed with the
establishment of caring relationships helps participants become autonomous learners
in the program. In the next section, excerpts from interviews with staff members will
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reveal how they prepare students for success in a college culture—one that is foreign
to many potential first generation college students.
College Readiness
In the previous sections titled The Role of Culture and Academic Support, I
have identified the ways in which the TRIO participants have connected with others
on a cultural level while connecting with the expectations for academic success in
the program. Students come to the TRIO program with an established knowledge of
their home and ethnic culture. Through their close interactions with staff members,
many participants have proven their resiliency by beating the odds in their schools,
communities and the Upward Bound program. With all these various barriers behind
them, successful TRIO students still must face the challenge of understanding
another world—the culture of college.
One of the major advantages of the summer TRIO program is that it offers
students opportunities to walk on campus and imagine their life as a college student.
Many TRIO participants feel connected to the campus because of the different
outreach activities that are organized by staff members. The director of the program
commented on TRIO participants’ connections to the USC campus,
It [USC] becomes a part of the students’ experiences. So, I think it’s always
wonderful when a student feels connected to a University. These kids are
definitely at an advantage because they’re accustomed to being on the
university campus almost on a daily basis. So they know how to navigate the
campus. They’ve been exposed to faculty members, to students, to different
offices on campus. You try to make sure different offices on campus present
to them. Like, the Credit Union is going to be doing a presentation for them
on financial literacy. We have our ‘Student Success’ office. They’re going
to do presentations on study skills and time management.
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In addition to this deep connection to the university, the director discussed the
benefits of the structured schedule for TRIO participants during the summer
program. Since the participants must have roommates and learn how to adapt to
living in a dorm, they are exposed to the autonomy and self-discipline of a college
lifestyle—albeit the experience is only during the six-week summer program. As the
director commented, “I think these Upward Bound kids are more college savvy when
they graduate. They know how to survive in a college setting.” This familiarity with
the residential component is balanced with the activities Upward Bound offers to
educate their students on college applications and admissions information.
Regina, a senior academic adviser, described the many methods of teaching
students about college when she elaborated on the “hands-on” characteristic of their
outreach activities,
From taking them to college tours, just to see like, what kind of schools
they're even interested in or, you know, get them out of that whole mindset
of, "Oh, there's only UCLA and USC that exists in this whole world," kind of
thing is where they start off at the beginning of the program. So that whole
college exploration, career exploration, and most of what we do in terms of
like, really “hands-on” help is in their senior year—helping them fill out the
actual applications, personal statements, financial aid applications,
scholarships. It’s just really everything that has to do with anything about
college.

Regina, who has been working with the Upward Bound program for several years,
also referred to the many college-related activities as a critical factor for the
establishment of a college-going culture among all TRIO participants. Instead of the
negative label that has been placed on their communities due to gang violence and
poverty, students can proudly identify with the term “South Central Los Angeles”
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when they refer to their specific region within the Upward Bound program. They do
not have to worry about the appropriate color they must wear when walking on
campus; they can choose to wear any color—including red or blue clothing—and
shirts that say “South Central Upward Bound.” Instead of living in fear or wearing
the wrong color due to guidelines established by street gangs, students can assume
ownership over an identity that makes “South Central” a positive affiliation. They
can say they are part of the South Central Upward Bound program with pride
because they know that they are fulfilling their college hopes, dreams and
aspirations. This positive association can best be described below,
Our students know where they come from. They're around other students that
come from where they come from also. So they're aware of it. I think for the
most part, they’re proud of it. I guess when they get to say, "No, we're South
Central," for Upward Bound; it's the only time they get to say that South
Central gets to do something that's really positive. And they're like, "This is
where we're from," you know?

Along with this positive affiliation, TRIO participants provide a network of positive
support for their peers who strive to become the first in their families to graduate
from college. Students in the program share an appreciation for the sacrifices they
made to participate in the program and the college goals that will shape their futures.
The general agreement among staff members regarding the key to the success of the
program can best be described by the program director’s statements below:
They are sharing an experience with likeminded students—students who are
also very motivated and want to go to the college. That kind of changes their
whole paradigm. You know even if you have a kid who comes into the
program very unsure but you surround them with people who are very
positive and students who are very gung ho when they say, “Hey, I’m going
to college.” Their mind frame starts changing and I think that having that
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cohort of peers who all want to go to college—which is very important.
That’s probably one of the reasons why we’re so successful.

Conclusion
Ultimately, the staff members and students of the TRIO program actively
participate in a culture that fosters academic success. The mission and objective of
the program is clear to everyone who is part of it. Students can embrace their
cultures and feel comfort in knowing that many of their adult role models in the
program understand their sacrifices and struggles as students of color. TRIO
provides a forum for students to take pride and ownership in their ethnic and
academic identity while offering them opportunities to embrace the culture of school,
college, home and ethnicity. Thus, the sections entitled Explorations of Ethnic
Identity, Cultivation of a Resilient Self and Fostering a Culture of Success provide a
lens for understanding resilient African American students’ self perceptions as they
continue on the journey of academic success and personal discovery. The stories
shared in this chapter attest to the power of a minority culture that is embraced by
teachers and students of color in the South Central Upward Bound program.
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CHAPTER 5
ANALYSIS
“Living in poverty, attending overcrowded schools, and the pressure to be the first in
their families to attend college are just a few of the challenges that students face en
route to college.”
- William G. Tierney (2006)
Overview
Urban students of color must grapple with pressures that may hinder their
academic success in high school which may consequently discourage them from
pursuing their college aspirations. As Kazis, Vargas and Hoffman (2004) suggest,
many students have been told that earning a college degree will lead to their success
in American society. Yet, not all students are provided with the necessary skills to
ensure their academic success in high school and college. College preparatory
programs serve to help students, particularly underrepresented students of color, by
equipping them with the necessary skills they need to succeed in high school while
learning to navigate the pathway that will lead them to college success. Thus, the
main purpose of this qualitative study was to examine two areas of focus with regard
to the impact of one college preparatory program—Upward Bound. First, the study
focused on the nature of resilient students’ self-perceptions in the TRIO program. In
addition, the study examined whether the TRIO program provided support for
students’ ethnic and academic identity. In this chapter, I conclude the study with a
brief summary of the review of literature and methodology, an analysis of data
collected and an overview of the dissertation project. I will delineate findings from
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the study through an in-depth analysis of theoretical implications and implications
for practice. These implications will provide a synopsis of pertinent theories,
pragmatic policy recommendations for the practitioner and implications for future
research.
Review of Literature
In chapter two, I provided a review of literature that highlighted the theories
of Nigrescence, ethnic identity and resiliency. This provided a framework for
addressing the research questions for this study which were two-fold. The research
questions focused on the characterization of African Americans’ self-perceptions in
the TRIO program and identification of components of the TRIO program that
contribute to participants’ ethnic and academic identity. First, the literature
delineated the importance of the notion of self-concept for students of color.
Specifically, Cross’ theory of Nigrescence provided a systematic synopsis of the
psychological development of African Americans. Phinney’s theory of ethnic
identity (1989) was modeled after Cross’ theory but focused on the self-perceptions
of adolescent minorities with a particular emphasis on a four-stage developmental
category. The four stages—diffuse identity, foreclosure, moratorium and achieved
identity—represent a comprehensive description of a range of developmental stages
of adolescent youth. These stages range from a diffuse identity which is
characterized by a lack of commitment or establishment of an ethnic identity to
achieved identity which represents the most complex and established form of ethnic
identity that is outlined in Phinney’s (1989) theory.
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The aforementioned theories were juxtaposed with research that highlighted
the essential factors of resiliency. Originally, Garmezy (1983) used resiliency theory
to explain the effective coping strategies of people who successfully overcame
challenges in a stressful environment. I examined the theories of resiliency
introduced by other theorists to address the study’s emphasis on the importance of
academic identity for participants of the TRIO program. Theorists like Winfield
(1994) and Jarrett (1997) identified influential factors characterized as “protective
factors” which help foster resiliency in adolescents—particularly urban youth.
Winfield (1994) suggested that the role of professional educators was critical for
nurturing the positive resilient characteristics of at-risk youth. Similarly, Jarrett
(1997) recognized that parents who had high expectations for their children and
modeled positive behaviors were more likely to have children with established
resilient characteristics. In addition, Henderson and Milstein (1996) argued that there
are six environmental protective factors that mitigate risk and improve resiliency
among urban youth. They urge educators to implement strategies that teach life
skills, social bonding, and meaningful participation in activities while incorporating
a strong focus on providing clear expectations for academic success. Other
researchers support the notion that schools and college preparatory programs have an
instrumental role in utilizing strategies that offer academic support while engaging
students in caring relationships to effectively meet the needs of at-risk students
(Wang & Gordon, 1994; Wang, Haertel & Walberg, 1994). Thus, resiliency theory is
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an essential component for analyzing the effectiveness of academic and social
support in college preparatory programs like Upward Bound.
Review of Methods
Since the focus of this study is on African American urban youth, I chose the
South Central Upward Bound program at USC which serves low-income students of
color from five different local high schools in urban areas of Los Angeles.
Specifically, I was interested in the African American participants of the TRIO
Upward Bound program who attended the six-week Summer program at USC. These
participants met Upward Bound’s academic criteria during the traditional school year
which made them eligible to participate in the six-week Summer program held at the
USC campus. Moreover, the participants’ strong attendance record, academic
achievement and motivation to participate in the Summer TRIO program provided
the impetus for examining their resiliency and self-perceptions as successful students
of color.
In order to fully capture the true power of the students’ thoughts, feelings and
experiences, it became imperative to conduct a naturalistic, qualitative study with an
ethnographic approach. In light of this, I conducted interviews with participants and
staff members who interacted with them on a frequent basis throughout the TRIO
program. Individual interviews of all participants provided rich and meaningful
testimony while observations of participants validated their accounts with natural
occurrences in the program. According to Patton (2002), “triangulation within a
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qualitative inquiry strategy can be attained by combining both interviewing and
observations” (p. 248).
After receiving all consent forms from participants of the program, 15
students agreed to participate in the study. These 15 participants consisted of five
twelfth graders, five eleventh graders and five tenth graders. Since more information
was needed from the veteran participants of the program, eleventh and twelfth grade
students each participated in two individual interviews. Thus, I conducted 20
individual interviews with ten twelfth and eleventh grade participants. Due to
scheduling conflicts, seven male students agreed to participate in a focus group
session which was more conducive to their football practice schedule. I conducted
one focus group session of male football players which included three tenth grade
students, two eleventh grade students and two twelfth grade students. The second
focus group consisted of all five twelfth grade participants who had participated in
previous individual interviews. There was a fairly balanced gender representation
among the participants in the study—seven female participants and eight male
participants. A semi-structured interview protocol was used to gather pertinent data
during both individual interviews and focus groups.
For the purposes of triangulation and validity, I observed participants during
class time and periods designated for recreation, lunch and dinner for a total of 60
hours. I also interviewed and observed TRIO staff members to gain a better
understanding of the support mechanisms embedded in the program. Throughout the
six-week Summer program and Fall Saturday Academies, I observed staff members
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during informal meetings, class time and recreation time. I conducted individual
interviews with seven resident advisers, two academic advisers, two program
administrators, and four teachers. These 15 staff members shared their thoughts and
beliefs on issues related to ethnic and academic identity.
After the completion of data collection, I employed Creswell’s (2003) six-
step method for data analysis. Upon organizing and reading the data, I coded data
into specific categories. Once this was done, I systematically analyzed information
from transcripts and field notes by generating common themes and patterns that
emerged from the data. The established conceptual categories provided a framework
for presenting data into meaningful narratives in chapter four and have offered an
opportunity for the analysis and interpretation of data in the next section.
Data Analysis
In chapter four, data has been presented in a manner that aligns with three
conceptual categories in an effort to address the essential research questions of this
study. The first research question highlighted the need to identify and interpret self-
perceptions of resilient African American participants of the TRIO program. In
addition, the second research question emphasized the need to examine the
components of the TRIO program that support participants’ academy and ethnic
identities. The three conceptual categories, Explorations of Ethnic Identity,
Cultivation of a Resilient Self, and Fostering a Culture of Success emerged from the
experiences, thoughts, feelings and observations of TRIO staff members and
students. The following section highlights the theoretical implications of the study’s
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findings by interpreting data in accordance to the order of its presentation in chapter
four. Based on inter-rater reliability, it was revealed from further analysis that the
theory of identity development as characterized by Cross’ theory of Nigrescence and
Phinney’s (1989) theory of ethnic identity was not fully aligned with the data that
was presented from chapter four. Essentially, the theory of code-switching emerged
as the most dominant and relevant theory that provided the strongest theoretical
foundation for the conceptual categories in the next section.
Explorations of Ethnic Identity
Collective Ethnic Identity
TRIO participants generally expressed strong opinions that revealed a
connection to their ethnic membership which can also be characterized as a sense of
collective ethnic identity. As previously mentioned in chapter two, Ogbu and
Fordham (1986) argue that “fictive kinship” represents a positive association with
one’s ethnic group which serves to strengthen the notion of a collective ethnic
identity. The data that emerged from observations, individual interviews and focus
groups confirmed that students expressed pride in their ethnic membership and
collective identity. Observations in and outside of the classroom illustrated that many
students recognized different forms of behavior that are appropriate for their ethnic
group in different settings. Students generally spoke of “acting ghetto” or acting a
certain way within their circle of African American friends as acceptable and many
embraced the positive aspects of their culture. Yet, although “acting ghetto” was
embraced by some participants, there was no indication from the data that
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participants’ fictive kinship was a result of an overt effort to avoid “acting white,” a
theoretical notion presented by Ogbu and Fordham (1986). Participants exhibited a
keen understanding of the struggles indicative of their ethnic group’s history and
embraced the notion of fictive kinship through their willingness to “stick together.”
Diana, the outgoing cheerleader introduced in chapter four, described the pride she
had for her peers when they came together and supported her request to watch a
school presentation on Black History month. The data supported the theory of fictive
kinship through participants’ testimonies.
Although fictive kinship was identified as evidence of connections to ethnic
identity, the findings unraveled the importance of understanding the theory of code-
switching (Greene & Walker, 2004; Ogbu, 1999)—a theory that was incorporated in
chapter two but without the original intent of providing such a strong theoretical
emphasis for the study. Participants’ knowledge of the reasons they change their way
of speaking can be interpreted through the theoretical lens of code-switching. This
theory represents many African American participants’ implicit understanding that
they must act and speak differently in the classroom compared to how they speak
with family and friends. When students spoke of “acting ghetto” versus “acting
professionally,” they were not only describing norms of their ethnic membership but
also recognizing the need to “code-switch” in order to be successful in school. This
balanced perspective for embracing speech codes from both dominant and non-
dominant cultures reveals the significance of Phinney’s fourth developmental stage,
“achieved identity.” African American participants who clearly described the reasons
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for why they implicitly code-switch displayed an achieved identity that emphasized
cultural awareness and understanding. Data also revealed a connection between
collective and individual ethnic identity which will be delineated in the next section.
Individual Ethnic Identity
In chapter two, I described the interplay between collective and individual
ethnic identity as one that strengthens the other. Specifically, Thompson and Akbar
(2003) have argued that African American self-perception relies heavily on the
dynamics of their ethnic group identity. This interconnectedness between collective
and individual ethnic identity can best be described by Terrell, a twelfth grade
participant. Terrell stated, “As African Americans, they say that you should know
your roots. We have a bad history and we would like to see it changed—from slaves
to college graduates. If you know your history, then you should know a lot about
yourself.” This reflection represents the complexities of understanding one’s ethnic
history which can lead to a deeper understanding of one’s individual ethnic identity.
Moreover, research has suggested that adolescents engage in a constant process of
negotiating the positive and negative aspects of self as they strive to construct a
balanced individual ethnic identity (Oyserman, Gant & Ager, 1995). Data
substantiated the notion that participants were aware of the negative stereotypes that
posed a threat to their ethnic identity. Participants generally voiced empathy for
members of their ethnic group who “fall into stereotypes” perpetuated by TV and
media yet many discussed the negative stereotypes in an effort to highlight positive
aspects of their sense of self. One twelfth grade participant expressed her
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determination by stating how she would rise above the historical oppression and
victim mentality of some of her ethnic members,
African Americans have been told that they can’t do certain things because of
their race. And they believe them. They don’t try hard to do it and they just
give up because they believe they will never succeed in life because of the
color of their skin. I believe I can.

Positive components of participants’ individual ethnic identity included
knowledge of their African American culture and aspirations to succeed despite
obstacles set forth by media, gang violence, high poverty environments and peer
pressure. Although Ward (1990) identified a positive correlation between African
American students’ academic motivation and their positive view of their Black
culture, the study’s findings were contradictory. While some participants openly
criticized the negative aspects of their Black culture, other participants fully
embraced all aspects of their ethnicity. Despite disparate perspectives and attitudes
towards their ethnic identity, participants’ level of academic motivation and
academic engagement in the TRIO program were not contingent on a completely
positive association with Black culture.
As previously mentioned in chapter two, Cross’ theory of Nigrescence (1971,
1991) has served as a quintessential model for delineating the intricate nuances of
Black identity development and has provided a model for other theories on Black
self-perception. Although, data supported an emphasis on Black self-perception
through ethnic group orientation, Cross’ model (1971, 1991) lends itself to a more
in-depth interpretation for college students. The findings of the study proved to be
89
more closely aligned with Phinney’s (1989) theory of ethnic identity for adolescent
development. Phinney (1989) constructed an identity model that was based on the
paradigm of commitment and exploration of adolescent self-perception. The three
major stages of the ethnic identity model were characterized as diffusion,
moratorium and achieved identity.
Data was gathered in an effort to examine whether participants’ ethnic self-
perceptions aligned with any of the three stages in Phinney’s (1989) ethnic identity
model. Although, future studies may benefit from a mixed methods approach to
quantify specific numbers of participants in each of the three aforementioned stages,
the findings of the study supported a strong alignment with Phinney’s (1989)
theoretical paradigm if analyzed in juxtaposition with Ogbu’s (1999) interpretation
of code-switching. Many of the female twelfth grade participants’ articulated
thought-provoking expressions of their views on both their individual and collective
forms of ethnic identity which highlighted the moratorium and achieved identity
stages of ethnic identity exploration. Specifically, many participants showed signs of
a newfound ethnic awareness which is characteristic of the moratorium stage and a
few of the participants strongly voiced their critical opinions on their ethnicity in a
manner that highlighted their achieved identity—the most developed stage in
Phinney’s (1989) ethnic identity model. Contradictory data gathered from the male
TRIO senior and junior participants illustrated that their responses to questions
classified them under both the stages of diffusion and moratorium throughout the
study. Although the focus of the study was primarily on eleventh and twelfth grade
90
participants, tenth grade participants’ brief responses and lack of reflection on
questions related to culture and ethnicity illustrated that they were neither committed
to an established identity and had not reached a stage of ethnic identity exploration.
Cultivation of a Resilient Self
As mentioned in the previous section, data suggests that participants strongly
expressed their aspirations for academic success despite the struggles of peers and
other members of their ethnic group. This awareness of one’s individual strengths as
a student of color was highlighted by a study conducted by O’Connor (1997) of low-
income African American urban youth. This study identified the academic success of
resilient teenagers as largely part of a collective action to overcome obstacles in their
impoverished communities. On a similar note, Taylor (1994) argued that students’
experiences and opinions on racial discrimination compels them to form an identity
that consists of a set of actions, beliefs and behaviors that promote self-validation.
Data was gathered in an effort to explore the extent to which participants’ ethnic
identity interrelates with a formation of a resilient self. The findings of the study
validate the notion that participants’ have defined themselves as individuals who can
overcome obstacles. In other words, these individuals pride themselves in the
cultivation of their resilient identities.
Data support the theoretical emphasis of external and internal protective
factors as influential for the success of resilient African American urban youth. Since
resiliency refers to an individual’s ability to successfully overcome challenges in
stressful environments, protective factors are ways to avoid and mitigate the degree
91
of risk that may affect a resilient individual. According to Henderson and Milstein
(1996), resilient individuals create positive self-perceptions and positive goals for the
future. They are also autonomous individuals who set high expectations and engage
in a type of “adaptive distancing” when they encounter relationships or environments
that may hinder their success (Wang & Gordon, 1994). The data revealed the specific
college and career aspirations of the participants which attests to their eagerness to
strive for success beyond high school. Some participants exhibited “adaptive
distancing” by noting that they do not associate with certain groups of students
during the traditional school year due to fear that they would have a negative impact
on their academic achievement. As one twelfth grade participant expressed, “At
school, I try to keep to myself and keep my grades straight. I don’t talk much at
school.” Another twelfth grade participant, Nina, described her overt choices to
remove herself from groups who may distract her at school but expressed pride in
her peers’ diligence at the TRIO program. Nina commented, “Here, I have my
friends in all my classes. It’s like we always sit in the front of classes all the time; we
never sit in the back. We don’t talk; we take notes.” These strategies represent
internal protective factors that TRIO participants employ at school, in the TRIO
program and in their communities. The next section will focus on external protective
factors with an emphasis on the role of Upward Bound in supporting participants’
academic and ethnic identity.
92
Fostering a Culture of Success
Data gathered from participants and staff members confirm that the TRIO
program provides many essential protective factors that promote social and academic
support for at-risk urban youth. These protective risk factors align with the six
strategies that Henderson and Milstein (1996) suggest for fostering resiliency in
schools. Among the six strategies, the objectives of the TRIO program focused most
heavily on increasing positive social bonding, establishing high academic
expectations and teaching students life skills. Specifically, the six-week Summer
TRIO program provides a powerful nexus between the cultural, academic and social
components that is emphasized throughout the year. The following sections, The
Role of Culture, Academic Support, and College Readiness represent the main
protective factors which serve as supportive mechanisms for participants’ ethnic and
academic identity.
The Role of Culture
Data revealed that TRIO program staff members had a strong awareness of
their instrumental role in supporting participants’ culture and ethnic identity. Aside
from the interpretation of culture as ethnic identity in chapter two, staff members of
the Upward Bound program described their understanding of their impact on culture
in a broader sense. Surprisingly, staff members’ definition of culture varied from one
of a minority culture, school culture and home culture. Mr. Costas, the program
director, described the various culture of the TRIO participants when he commented,
“I think culture is something that we definitely embrace in the program. We try to
93
make sure we celebrate everyone’s cultures and there’s a sense of inclusiveness.”
Data gathered supported this notion of ethnic identity through the staff members’
efforts to engage participants in social activities that allowed students of different
ethnic backgrounds to collaborate and get to know each other. A Psychology teacher
from the summer TRIO program described culture in the context of a “minority
culture”. She elaborated, “A lot of these kids don’t really know anything other than,
you know, the culture that they’re coming from or maybe to speak more generally,
just like a minority culture within the larger American culture.” Ms. Pineda viewed
her role as a teacher who taught students life skills while also helping them learn
how to be successful students of color who could embrace their minority culture
while being successful in school. Staff members validated Ms. Pineda’s description
and strongly voiced their opinions on their influential role in fostering student
success in the program. Lastly, findings of the study overwhelmingly emphasized an
understanding of participants’ home culture since many of the teachers, resident
advisors and program administrators were minorities who grew up in the same
neighborhoods and similar low socioeconomic environments as the participants.
Academic Support
Data was gathered in an effort to decipher whether aspects of the Upward
Bound academic component supported participants academic and ethnic identity.
Findings indicated that students engaged in reflections on their identity in academic
classes such as Psychology, English and History. Teachers included journal activities
and discussions to have students reflect on their personal experiences and self-
94
perceptions. In addition, the findings indicated that the courses consisted of rigorous
college-level curriculum which challenged students to meet high academic
expectations. As stated in chapter two, resiliency theory focuses on an assets-based
rather than deficits-based model which addresses students’ strengths to encourage
academic success. Conversations with teachers and classroom observations
illustrated that TRIO staff members worked hard to provide challenging curriculum
in a caring environment where students were clear of the instructional objectives and
high expectations that were established for their academic benefit. Coincidentally, a
history and English teacher focused on culturally-relevant curriculum which built on
interdisciplinary lessons. Without planning together, the English teacher taught
Latino and African American literature around the same time that the history teacher
taught her students about the Civil Rights movement and the Chicano movement.
This supported the notion that students benefited from the program’s focus on
culture which connected to students’ ethnic self-perceptions.
College Readiness
The essential mission of college preparatory programs is to provide students
with knowledge that is needed to help them get admitted to college and to ensure that
they are successful as college students. Many researchers have recognized that high
academic expectations combined with caring relationships and positive social bonds
can equip students with the necessary skills that they will need for academic success.
Data confirms that the residential and academic component of the six-week summer
TRIO program benefits participants through its simulation of life on a college
95
campus. As one program administrator stated, “[USC] becomes a part of the
students’ experiences. So, I think it’s always wonderful when a student feels
connected to a University. These kids are definitely at an advantage because they’re
accustomed to being on the university campus.” The data revealed a strong emphasis
on the importance of cultural integrity theory which represented a gap in the
literature since this theory was not originally part of the theoretical framework of the
study (Tierney & Jun, 2001). According to Tierney and Jun (2001), “cultural
integrity removes the problem from the child and looks on the child’s background
neither as a neutral nor a negative factor for learning” (p. 211). Since USC is
geographically located in a location that is similar to participants’ residential
neighborhoods, participants have been able to connect to the university environment
with the access and opportunities provided by the Upward Bound program. Study
findings indicate that students and program staff members take pride in the
opportunity to have a “hands-on” college experience at a prestigious university like
USC. Participants become acclimated to the culture of college which proves to be a
tangible goal for many due to the academic preparation and social support of the
Upward Bound program.
Policy Recommendations
College preparatory programs are the purveyors of knowledge for low-
income urban youth who are in need of social and academic support as they aspire to
fulfill their college dreams. In light of this critical impact on students of color from
low-socioeconomic backgrounds, programs like Upward Bound can benefit from the
96
theoretical implications of this study’s findings. Moreover, theory-based insights
drawn from the study can provide practical recommendations for educators, program
administrators and policy makers who strive to engage in a continuous process of
reflection to meet the needs of all the students they serve. The theoretical
implications outlined in this chapter establish a foundation for a set of policy
recommendations that address ways to better support students’ academic and ethnic
identity. The policy recommendations are as follows: 1) provide professional
development opportunities for TRIO staff members; 2) implement cross-curricular
instruction; 3) include culturally-relevant curriculum and instructional resources; and
4) maintain social bonding activities.
1. Provide Professional Development Opportunities for TRIO Staff Members
The findings of the study support the need for ongoing reflection and
professional development opportunities centered on diversity and academic
accountability training. Since many of the program administrators and teachers
emphasized the importance of embracing participants’ cultures, staff training would
provide an effective forum for discussing different interpretations of culture held by
TRIO staff members. Data confirmed that various perspectives on a minority culture,
ethnic culture, home culture and school culture attests to the different strengths each
staff member brings to the program. As indicated in chapter four, one program
administrator’s views on supporting ethnic identity included providing activities that
facilitated interactions between students of different ethnicities. Yet, teachers viewed
embracing participants’ cultures as an opportunity for self-reflection in the form of
97
journal writing and discussion on the differences inherent in a minority culture and
school culture. Diversity training would provide all TRIO staff members with an
opportunity to align their interpretations of culture which would promote clear
communication on expectations for supporting the ethnic identity of all participants.
Discussions and implementation plans of new and effective support strategies should
be documented to hold staff members accountable throughout the year.
Although findings supported a common emphasis on providing rigorous
coursework for participants throughout the TRIO program, more professional
development opportunities are needed to establish clear curricular expectations
among teachers, program administrators, academic advisers and resident advisers.
TRIO staff members must see their role as both intervention and prevention
specialists to ensure that students who do not understand subject matter are afforded
opportunities to grasp difficult concepts. Although the TRIO six-week Summer
program provided a system of academic support through tutorial sessions led by
resident advisors, these resident advisers did not receive academic guidelines from
TRIO teachers in advance. It is strongly recommended that teachers of the Upward
Bound program provide instructional materials and academic lesson plans to resident
advisers and tutors in advance so that they are clear on how to better assist TRIO
participants with their academic work. Academic training sessions centered on
Richard Dufour’s concept of “Pyramid of Interventions” (Dufour, et.al., 2004) can
provide a systematic academic intervention strategy by addressing the following
questions:
98
1) Are our students learning?
2) How do we know they are learning?
3) What are we prepared to do when they do not learn?
Thus, staff members must work together during professional training workshops to
implement a structured system that addresses the above questions in order to provide
an academic support system that includes research-based intervention strategies for
students who have difficulty understanding difficult concepts from rigorous, college-
level coursework.
2. Implement Cross-Curricular Instruction
In addition to a focus on improving the program’s academic intervention
strategies, an increase in cross-curricular instruction would authenticate participants’
meaningful learning experiences. Data suggested that two teachers of the TRIO
program inadvertently provided a cross-curricular emphasis that built on
participants’ knowledge of both concepts drawn from their history and English
classes. These teachers were surprised to hear that they unknowingly delivered
instruction that built on students’ knowledge of the Civil Rights movement and the
Chicano movement which led to an in-depth understanding of Latino and African
American literature in their English classes. In light of the study’s findings, Upward
Bound teachers are encouraged to work with their colleagues to create lesson plans
that build on interdisciplinary knowledge. During the course of the study, the
Psychology teacher provided lessons on citations and proper research techniques; if
cross-curricular planning had occurred prior to these lessons, collaboration with an
99
Upward Bound English teacher would have provided a stronger instructional
foundation for the lesson. In an effort to motivate and empower students of color,
increased cross-curricular instructional planning would improve the support of
participants’ achievement and academic identity.
3. Include Culturally-Relevant Curriculum and Instructional Resources
As outlined in the previous section, both a History teacher and English
teacher incorporated culturally-relevant topics and instructional resources into their
curriculum. Since the majority of the participants were of Latino and African
American heritage, they not only had a chance to read and learn more about their
own ethnic heritage but they also learned more about other cultures. Classroom
observations, interviews and focus groups provided data that supported participants’
appreciation of learning about their ethnic group’s accomplishments in the TRIO
program. Since some participants exhibited signs of a diffusion or moratorium stage
of ethnic identity, an increased emphasis in culturally-relevant instruction may
facilitate development of participants’ ethnic identity. Although this additional
emphasis on culture in the curriculum is encouraged, it is by no means adequate to
suggest that culturally-relevant curriculum should replace standards-based
curriculum. The recommendation for supporting participants’ culture would prove
effective under the condition that the instructional resources reflecting cultural
awareness connect with the learning objectives and standards of all TRIO classes.
100
4. Maintain Social Bonding Activities
Thus far, the policy recommendations delineated above have provided
strategies for modifying the ways Upward Bound supports participants on an
academic and cultural level. In light of this focus, one must shift their attention to the
benefits of social support that have been consistently implemented throughout the
program’s history. Staff members must continue their efforts in providing incentives
and rewards for resilient students of color who continue to beat the odds and
overcome obstacles in their home and school environments. The residential
component of the six-week Summer program is a unique privilege that is missing
from many other college preparatory programs. Upward Bound must continue
offering the six-week summer program in efforts to provide hands-on learning that
enhance participants’ college goals. The program’s social bonding activities offer
opportunities for staff members to teach participants about essential life skills and
also help them encourage participants to engage in meaningful participation of
activities while building caring relationships with adult role models. These program
strengths are assets that are characterized as external protective factors that help
foster resiliency in urban youth (Henderson & Milstein, 1996).
Recommendations for Future Research
This study examined the self-perceptions of resilient African American
students and how the TRIO program supports students’ academic and ethnic identity.
In light of the research, chapter two provided a theoretical framework which relied
heavily on Phinney’s (1989) theory of ethnic identity, Cross’ model of Nigrescence
101
(1971, 1991), Garmezy’s theory of resiliency (1983) and many other influential
theorists. Due to the constraints of time and space, I did not include the theory of
code-switching in this study. Code-switching is “defined as the use of two or more
linguistic varieties in the same conversation or interaction” such as the code-switch
from “Standard English and Black English” (Greene & Walker, 2004, p. 437).
Throughout interviews and observations of TRIO participants and staff members, an
implicit understanding of the importance of code-switching was apparent when
participants spoke of academic success. Both TRIO staff members and participants
discussed the advantages of “acting professional” in the school and career setting.
Although participants were not directly asked about code-switching, the
notion of having to “act a certain way” in high school and college became part of the
underlying context of many interviews and focus groups. Several participants had a
clear understanding of the specific settings where “acting ghetto” or using “Black
English” was accepted but all participants agreed that one must act and speak
differently in professional settings like the classroom or the workplace in order to
truly be successful. Future research studies would benefit from an in-depth analysis
of the theory of code-switching and its impact on the ethnic identity and academic
success of African American urban youth. Also, researchers may benefit from an
assets-based focus on culture through the theoretical lens of cultural integrity as
defined by Tierney and Jun (2001). Since the theory of cultural integrity reflects a
positive interpretation of the culture of urban youth and their academic endeavors, its
juxtaposition with the theory of code-switching may reveal additional findings on
102
assets-based interpretations of African American students’ academic and cultural
identities.
Future researchers may also benefit from studies that examine the effect of
ethnic and academic identity among gender-based participant groups. Discussions
with participants in this study revealed major differences in peer pressure and
potential environmental risks for African American male and female participants.
African American male participants dealt with the pressures of prioritizing their time
for football practice and spending adequate time studying for their classes during the
summer TRIO program. The pressure of fulfilling individual and parental
expectations for excelling in sports combined with gang-related peer pressure among
African American males warrants future research on gender-specific studies.
Research that focuses on the way gender-specific stereotypes and expectations affect
African American youth may provide insight on the relationship between academic
achievement, ethnic identity and resilience.
Conclusion
College preparatory programs like Upward Bound must grapple with the
challenging task of providing college preparation while building on the cultural and
academic needs of the students they serve. The findings of the study coupled with the
policy recommendations outlined in this chapter represent a call for an assets-based
approach to education which supports the development of students’ self-perceptions,
academic achievement and culture. Educators, program administrators and
policymakers must work together to ensure that students of color are provided with
103
the essential skills that will help them fulfill their college and career dreams. The
current pipeline between high school and college is one that requires educational
stakeholders to teach students the social, cultural and academic components that will
ensure their success in college.
104
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Lyons & T.J. Hanmer (Eds.), Making Connections: The relational worlds
and adolescent girls at Emma Willard School. Cambridge, MA: Harvard
University Press.

Winfield, L. (1994). Developing resilience in urban youth. Urban Monograph Series.
Oak Brook, IL: North Central Regional Educational Laboratory.
109
APPENDIX A
PRE-INTERVIEW STUDENT PROTOCOL
Part I. Student Information:

Name: _____________________________ Nicknames: ___________________

Place of birth: _______________________ Date of birth: _________________

Parent(s) or guardian(s) names: _______________________________________

Travels (where have you lived?):

Place:_______________________________________ Date: _______________

Place:_______________________________________ Date: _______________

Place:_______________________________________ Date: _______________

What is your self-described ethnicity?:_____________________________________

Religious background: _________________________________________________

How are you doing in high school?

__________ mostly As __________ mostly Bs __________ mostly Cs

Family Information

How many siblings? _______________________________

Where do you fall in the birth order? ______________________________

How many step-brothers/step-sisters? _______________________________

Family’s overall annual income (check one)?

________ less than $20,000 ________ $40,000 - $50,000
________ $20,000 - $30,000 ________ $50,000 - $60,000
________ $30,000 - $40,000 ________ over $60,000
110
APPENDIX B
INTERVIEW PROTOCOL
1) How long have you been part of the TRIO program?

2) What is your favorite school subject? Why?

3) Who helps you the most with your school work?

4) Describe your neighborhood. What is the best thing about it? What is the
worst?

5) Imagine yourself 10 years from now, what is your occupation/job? What will
it take for you to reach your goal(s)? Who is helping you achieve your goals?

6) Does racism and racial discrimination affect African Americans’ ability to
achieve in the United States? If so, how? Has racism affected you? If so,
how? Do you think that racism or racial discrimination will affect your future
goals? If so, how?

7) How do you feel about your ethnic group and its accomplishments?

8) How do you think your ethnic membership will influence your life in the
future (e.g. college, career, etc.)?

9) What are some things you like and dislike about your ethnic group?

10) Have there been any recent changes in your feelings about your ethnic group?

11) With who did you/do you associate with most frequently? What type of
association is it (i.e. activities and behaviors)?

12) What do you do to learn more about your culture?

13) What would it be like for another person to join your ethnic group?

14) Has your circle of friends changed over the years? If so, how has it changed
and why?

15) How have your peers helped or hindered (hurt) your academic life?

16) How do your peers feel about academic success?
111
APPENDIX C
FOCUS GROUP STUDENT PROTOCOL
1) How were you selected for this program?

2) How did you get introduced to this program?

3) When did you start this program?

4) In what ways has the Upward Bound program helped you?

5) Besides the academic activities offered by the TRIO summer program,
describe the social activities.

6) How does the Upward Bound program help you to be successful in college?

7) Given your experience with the program thus far, do you believe that your
ethnic identity (or culture) is something to be overcome or is it a benefit that
will help you reach your academic goals? Please explain.

8) What component of the Upward Bound has been most important for you as a
student here?

9) How do you feel when you walk on the university campus?

10) In your opinion, do you think you performed to your fullest potential while
you were a student in the program?

11) What aspect of the program did you learn the most?

12) Has the program changed your views on education/college?

13) What did you like/dislike about the program?

14) Where do you see yourself in 5 years? In 10 years?

15) What would you say to your younger friends or siblings about the Upward
Bound program?
112
APPENDIX D
FOCUS GROUP TEACHER PROTOCOL
1. In what ways do you prepare students for college?

2. What kind of strategies do you provide students in order to be successful in
college?

3. How would you describe your relationship with students in the program?

4. Apart from your traditional role as teacher, what other roles do you play with
students in this program? Please explain.

5. How would you characterize your formal preparation as a teacher?

6. How would you describe the training you received in preparation for this
program?

7. How would you describe the level of rigor of the curriculum and instruction
delivered by this program? Please provide examples.

8. How would you describe the level of preparation of students for college
entrance?

9. In what ways does the culture of your students play a role in the development
and implementation of curriculum and instruction?

10. Given your experience with the program, do you feel that the student’s
culture is something to be overcome or is it seen as a benefit that is
incorporated into the program design? Please provide examples.
113
APPENDIX E
CLASSROOM OBSERVATION GUIDE
Teacher: Class Start Time: Class End Time:
Subject: Building: Date:

Checklist of Positive Teacher and Student Behaviors
Teacher Behavior Student Behavior
□ uses student questions to guide the
lesson
□ develops elements of an effective
lesson
□ uses established routines to make
use of time
□ incorporates higher-order thinking
skills
□ uses a variety of strategies to engage
students
□ monitors student engagement and
progress and adjusts teaching on that
basis
□ has high numbers of engagement
consistently
□ effectively uses the classroom space
□ student-centered activities rather
than teacher-centered activities
predominate
□ provides appropriate, consistent, and
useful feedback
□ designs and bases assignments on
objectives
□ assists students in planning,
organizing, and managing
instructional materials
□ students ask questions to clarify
main points
□ _______ number of higher-
questions asked by students
□ Students are familiar with
established routines
□ students seem engaged in the
lesson
□ students collaborate during
student-centered activities
□ students exhibit knowledge of the
lesson’s objective
□ students show genuine respect for
their peers
□ students show genuine respect for
their teacher (and/or tutors)
□ students only speak when called on
during direct instruction
□ students collaborate and work well
with each other
□ students come prepared to class

Observation Notes:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
114
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________

Number of students in classroom: ____________
Overall positive academic identity: _______________ students
Overall negative academic identity: _________________students

Additional Observation Notes:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________

Classroom Arrangement (draw the physical arrangement of the room)

Abstract (if available)

Abstract The purpose of this study was to examine the support mechanisms of a college preparatory program known as TRIO at the University of Southern California. The focus was to identify the ways the TRIO summer program supports African American students’ ethnic and academic identities. African American students' self-perceptions were analyzed using Garmezy’s (1983) theory of resiliency, Phinney's (1989) theory of ethnic identity and Cross's (1971, 1991) theory of Nigrescence. Since resiliency theory refers to the ways in which individuals overcome obstacles in stressful environments, African American participants from low-income backgrounds provided insight on the theoretical emphasis of this study. This naturalistic qualitative study included 15 African American high school participants and 15 staff members of the Upward Bound program. Semi-structured interview protocols were employed to conduct individual interviews in addition to observations and focus groups.

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Asset Metadata

Creator Ghulam, Karen T. (author)

Core Title Exploring ethnic and academic identity in resilient African American students: an in-depth analysis of the USC TRIO program

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 03/31/2009

Defense Date 03/05/2009

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag Academic Achievement,African American,code-switching,ethnic,High School,identity,OAI-PMH Harvest,resiliency,TRIO

Place Name University of Southern California (geographic subject)

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Jun, Alexander (committee chair), Schiro, Paolina (committee member), Seli, Helena (committee member)

Creator Email ghulam@usc.edu,kareteacher@yahoo.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-m2043

Unique identifier UC1227770

Identifier etd-Ghulam-2734 (filename),usctheses-m40 (legacy collection record id),usctheses-c127-206949 (legacy record id),usctheses-m2043 (legacy record id)

Legacy Identifier etd-Ghulam-2734.pdf

Dmrecord 206949

Document Type Dissertation

Rights Ghulam, Karen T.

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Repository Name Libraries, University of Southern California

Repository Location Los Angeles, California

Repository Email cisadmin@lib.usc.edu