I. Conceptual Model I. 概念模型

The conceptual model of our study on the Yi children is built on Phinney’s Ethnic Identity Development Theory and global literature on ethnic minority children’s well-being. The following illustrates the conceptual framework that we used to understand Yi children’s developmental well-being. Here, we use the term ethnic and cultural awareness and ethnic identity interchangeably to fit our study to Chinese settings.

Ethnic and cultural awareness is the core notion of the study framework and is also a mediator that translates family and school socialisation experiences into various aspects of developmental well-being in Yi children. Understanding Yi children’s well-being is only a start, and we hope to expand our findings and apply them to various ethnic minority youth populations in different regions of rural China as well as other areas in the world.

本研究的概念模型建基於Phinney的民族認同發展理論（Ethnic Identity Development Theory）及世界上有關少數族裔兒童健康發展的文獻。以下的圖表闡述本研究採用以了解彝童個人健康發展的概念框架。為配合研究需要，我們將會同時使用「民族和文化意識」和「民族認同」。

民族和文化意識既是本研究的核心概念，亦是一個載體，把家庭和學校社會化的經驗轉化為不同種類的個人健康發展。了解彝族兒童的個人健康發展只是一個開始，我們期望能夠擴闊研究的成果並在中國農村地區及世界各地的少數族裔人口加以應用。

Phinney’s Theory of Ethnic Identity DevelopmentPhinney的民族認同發展理論

Ethnic identity is a multi-component and dynamic construct, consisting of an ‘exploration’ component and a ‘commitment’ component (Phinney, 1996).

民族認同由不同部份組成，而且是一個動態建構，當中包括「探索」與「承諾」兩個部份（Phinney, 1996）。

Exploration. Phinney (1996) advocates that a cognitive component of exploration exist in ethnic identity. Ethnic minority adolescents go through four stages of ethnic identity development (Phinney, 1989): The first stage is diffusion when there is little or no exploration of one's ethnic identity.

The second stage, foreclosure, is characterised with little or no exploration of own identity, but with a clear identification with an ethnic group. This is very common among children when their parents or community members inform them about who they are. The third stage is moratorium, which usually starts in early adolescence and spans through young adulthood. It is a stage when youths begin to explore their own ethnic identities, but with no commitment to their ethnic groups yet. Last is the achieved identity stage, where the individuals continue to explore their identities, at the same time, have developed a precise and secure sense of identity. Phinney's (1989) interview with ethnic minorities in the U.S. showed that adolescents who had achieved identities were resilient against racial discrimination and had learnt to appreciate their unique identities. Longitudinal studies show that sense of ethnic identity is most salient during early adolescence (i.e., foreclosure stage), yet youths do not start exploring their ethnicities until middle to late adolescence (French et al., 2006; Pahl & Way, 2006). However, not all ethnic minority adolescents undergo these stages successfully: Some remain in the diffused or foreclosure stage, where they prefer to deny their ethnicities because of the society’s negative view towards their ethnic groups (Phinney, 1989; Phinney, 1990).

Commitment. Ethnic identity also consists of the affective component of commitment (Phinney, 1996). Because ethnic minorities are commonly devalued as the out-group with negative stereotypes, they may rate their ethnic group favourably as a defence mechanism (Tajfel & Turner, 1986; Phinney, 1996). In fact, Black and Latino young people, despite their experiences of being discriminated against in the U.S., had a stronger ethnic identity than white people (Pahl & Way, 2006). Asian adolescents attending predominately white schools also have more positive ethnic regard than those attending predominately Asian schools in the U.S. (Yip, Douglass & Shelton, 2013). This process of evaluating own ethnic groups favourably and establishing strong identity may lead to an enhanced sense of belonging to own unique communities (Tajfel & Turner, 1986). This aspect of Phinney’s theory, which defines ethnic identity as a defence mechanism, seems to be counter-intuitive to the notion of racial integration and cohesiveness.

Nevertheless, Phinney argues that having a good understanding of own ethnicity in relation to other ethnic groups will lead to greater inter-cultural acceptances, thus, facilitate overall cohesiveness of a society (Phinney, 1996). Thus, the key to racial cohesiveness and integration is to facilitate ethnic minorities to commit to their unique cultures, at the same time, identify with the broader majority (Transue, 2007). Identification with own ethnicity and the larger majority group are essential for positive ethnic identity formation.

探索階段：Phinney（1996）提出民族認同中存在着一個「探索」的認知階段。少數族裔青少年會經歷四個民族認同的發展階段 （Phinney, 1989）。第一階段是「擴散」（Diffusion），這時他們很少甚至不會探索自己的身份，第二階段是「早閉」（Foreclosure），這時青少年對自己的民族認同只有很少或沒有概念，但是已經清楚了解自己的民族身份，而這很可能是由父母或族人把族群的身份告訴他們而得知，隨後就是進入第三階段的「探尋」（Moratorium），這大約發生於早期青少年至青壯年的時期，少數族裔人士在這時會開始探索自己的民族認同，但是尚未對自己的民族有「承諾」，在第四階段「定向」（Achieved Identity）時，少數族裔人士在繼續探索民族認同的同時亦已發展出精確而穩固的感覺。Phinney（1989）在和美國的少數族裔青年面談時發現，民族認同較強的青少年較能克服及應對種族歧視，亦同時學會欣賞自己的獨特身份。縱向研究顯示，民族認同在早期青少年（即「早閉」階段）時更為顯著，但他們普遍到中後青少年時期才會開始探索自己的民族認同（French et al., 2006；Pahl & Way, 2006），不過，並非每一位少數族裔青年都會順利過渡以上四個階段，有些會因為社會對自己族群的歧視而拒絕承認自己的族群，而因此停留在「擴散」 或「早閉」的階段（Phinney, 1989；Phinney, 1990）。

承諾階段：「承諾」是民族認同的情感部份（Phinney, 1996）。每個人通常會對自己的群體有 較高的認同感以維持自信，而被看低的群體更甚，由於少數族裔多被視為不合群，而社會對他們普遍帶有成見，他們或會因為出於捍衛自己民族而給予族群較高的評價（Tajfel & Turner, 1986；Phinney, 1996）。在美國，受到歧視的黑人和拉丁裔人的民族認同比白人還高（Pahl & Way, 2006），另外，就亞洲青年而言，那些在白人佔大多數的學校中就讀的比那些在亞洲人佔大多數的學校中就讀的有較正面的民族認同（Yip, Douglass & Shelton, 2013），由以上例子可見，正面看待族群及建立強烈民族認同會使少數族裔對自己獨特的團體更有歸屬感（Tajfel & Turner, 1986），故「承諾」是民族認同的重要一環（Phinney, 1996）。

Strong Ethnic Identity and Developmental Well-being強烈的民族認同與個人健康發展

Strong ethnic identity is considered a source of psychological resources that results in positive developmental well-being. Having a strong sense of ethnic identity help adolescents form a clear and secure sense of self, which is a critical psychological resource for positive development (Erikson, 1968). Phinney (1989) finds that that strong ethnic identity is associated with positive self-evaluation. A recent review by Rivas-Drake et al. (2014) provides evidence that strong ethnic identity is associated with lower depressive symptoms, higher levels of pro-social competence and motivation, as well as lower levels of risky health behaviours among disadvantaged ethnic minority youths.

Furthermore, ethnic identity is negatively associated with the internalising behaviours of depressive symptoms in Latino adolescents in the U.S. (Umana-Taylor & Updegraff, 2007). A recent study on young Yi people, aged 6-17, also discovers that high ethnic and cultural awareness had positive effects on motivations (Lai, Chui, & Chan, 2018). Furthermore, youths with strong ethnic identity are suggested to be more accepting of other ethnic groups, implying that having a high ethnic and cultural awareness help ethnic integration of a community (Phinney, 1996).

強烈的民族認同能夠創造心理資源，促進個人健康發展。強烈的民族認同有助青少年建立清晰及穩固的自我感覺，而自我感覺是正面發展的重要心理資源（Erikson, 1968）。Phinney（1989）發現強烈的民族認同與正面的自我評價有一定的關係。一個近期的研究（Rivas-Drake et al., 2014）提供了證據證明強烈的民族認同和身處劣勢的少數族裔有以下的關係：（一）較少的抑鬱癥狀；（二）較高的公益力和動力及（三）較低的健康高風險行為。再者，美國的研究發現民族認同和當地拉丁裔的青少年的抑鬱癥狀內化行為有相反的關係（Umana-Taylor & Updegraff, 2007）。一個近期有關6至17歳的彝童的研究亦發現較高的民族和文化意識對動力有正面的影響（Lai, Chui & Chan, 2018）。同時，有強烈民族認同的青年更能接受其他種族，故良好的民族和文化意識能夠促進種族融和（Phinney, 1996）。

即使研究結果指出民族和文化意識能夠促進社會心理健康、行為健康和學習能力，現時並沒有太多的研究討論民族和文化意識對體格健康和語文能力的正面影響，本研究將會探討彝族兒童會否因對自身文化有不同程度的認識而在體格健康和語文能力的發展上出現差異。

Ethnic Identity Development and Socialisation民族認同發展和社會化

Phinney suggests that socialisation is the primary source of ethnic identity development (Phinney, 1996). Socialisation refers to the interaction with the external environment that allows young adolescents to form a positive or negative perception of their ethnic identities. The process of socialisation is accompanied by an exploration phase in which the adolescents immerse themselves in their ethnic group through participation in cultural and celebration activities.

Based on Phinney's theory, socialisation processes that take place on the family and school levels can affect the self-evaluation of ethnic minority youths as favourable or unfavourable. Positive perception towards own ethnicity encourages ethnic minority youths to explore further and celebrate their uniqueness, thus achieving a strong sense of ethnic identity. Negative evaluation can result in denial of own origins, causing them to remain in the identity stages of diffusion or foreclosure. Here, we discuss the effects of the socialisation process on the family and school levels on ethnic identity development:

Family Socialisation Experiences. Literature suggests that positive family relationships tend to have an effect on ethnic identity development in young people. Among African American adolescents, family functioning influences ethnic identity development (Townsend & Lanphier, 2007). Family cohesiveness and ethnic identity are found to be positively associated with African American’s psychological adjustments (Street, Harris-Bitt & Barnes, 2009). Umama-Taylor, Zeiders and Updegraff (2013) also found that a family’s respect of their culture of origin and willingness to encourage their members to understand their ethnicity would promote young people’s ethnic identities.

School Socialisation Experiences. Due to the unique circumstances of Yi children, their local schools are the immediate social environment to which they are exposed to every day. As such, their socialisation experiences with their classmates and teachers are expected to have a relatively large influence on the establishment of their ethnic identities.

For same-aged peers or classmates, an earlier study by Xu, Shim, Lotz and Alemdia (2004) showed that having friends of the same ethnicity tended to be associated with higher levels of exploration in own ethnic identities. Research on African American adolescents finds that strong ethnic identity, together with a strong sense of self, served as a mediator between perceived peer support and depression (Gaylord-Haden et al., 2007). Alternatively, higher levels of peer rejections tended to result in weaker ethnic identity (Rivas-Drake, Hughes & Way, 2009). For teachers, there is limited research evidence supporting the effect of positive teacher socialisation experiences on ethnic identity development in minority youths. Yet, we believe that the teachers of Yi children play an important role in their development as the children have been living at their schools 24-7. Hence, teachers have naturally become the children’s substitute parents. We, therefore, also explore if the Yi children’s developmental pathways differ across those with better- or worse-perceived teacher support in this study.

Phinney提出社會化（socialisation）是民族認同發展的重要源頭（Phinney, 1996）。社會化意指青年和外在環境的互動，從而對自己的民族認同產生正面或負面的見解，社會化的過程伴隨着一個探索的階段，此時青年會參與自己族群的文化活動和慶典以感受其文化。根據Phinney的理論，在家庭和學校發生的社會化過程足以影響少數族裔青年的自我評價，例如正面見解會使他們更深入探索和讚美自己的獨特之處，因此而培養出強烈的民族認同，相反，負面的評價會讓他們拒絕自己的民族根源，而使他們停留在「擴散」 或「早閉」階段。以下將會討論家庭和學校兩個層面的社會化過程對民族認同發展的影響：

家庭的社會化經驗：文獻指出良好的家庭關係對青年的民族認同發展有一定的影響。以非洲裔美國人為例，家庭功能（family functioning）影響民族認同發展（Townsend & Lanphier, 2007），而家庭凝聚力和民族認同亦被發現和心理調整（psychological adjustments）有正面的關係（Street, Harris-Bitt & Barnes）。除此以外，一個家庭願意尊重自身族群文化和鼓勵家庭成員了解族群文化的亦能提升青年的民族認同（Umama-Taylor, Zeiders and Updegraff, 2013）。

學校的社會化經驗：由於彝族兒童的處境特殊，他們就讀並居住的學校亦是他們每天接觸的社會環境，正因如此，他們與同學和教師的社會化經驗會對他們建立民族認知的過程產生很大的影響。對同儕或同學而言，如果和朋友屬於相同的族群，青年會對自己的民族認同有較深入的探索（Xu, Shim, Lotz & Alemdia, 2004）。在一非洲裔美國青年的研究發現，強烈的民族認同以及良好的自己感覺能有助將自覺的同儕支援和抑鬱連繫（Gaylord-Haden et al., 2007），相反，若常被同儕拒絕，青年的民族認同會較低（Rivas-Drake, Hughes & Way, 2009）。即使現時沒有太多的研究證據顯示和教師的正面社會化經驗會對少數族裔青年的民族認同產生正面的影響，但我們相信彝族兒童的教師對其成長擔任一個重要的角色，由於教師們一直如父母般照顧在學校寄宿的兒童，所以本研究會探討學生是否會因為與教師有較好或較差的關係而在成長的方向上出現差異。

III. Key Findings and Research OutputsIII. 主要發現和研究成果

Research activities with Fu Hui have led to publications in peer reviewed journals and presentations at international conferences. Conference materials can be downloaded here. Access to the publication is available to registered users of HKBU library account.

The following diagram summarises the key findings of this project, underscoring the importance of ethnic and cultural awareness in Yi children.

研究成果分別學術期刊和國際學術研討會上發表。您可按此下載於研究討發表的文件，若您是香港浸會大學圖書館的註冊用戶，可以於圖書館的網頁查閱已發表的論文。

以下的圖表總結了本研究的主要發現，並凸顯彝童的民族和文化意識的價值：

Ethnic and cultural awareness demonstrate to play a vital role in the developmental well-being of Yi children, in particular, behavioural, psychosocial, language (Putonghua) and academic development. While ethnic and cultural awareness may not have a direct association with physical health development, it may be related to health behaviours outcomes. More research is needed to understand the association between ethnic and cultural awareness on the physical health well-being of Yi children.

What are the sources of high levels of ethnic and cultural awareness? Based on our analysis, socialisation on the family and school levels positively affect ethnic and cultural awareness in Yi children. Positive relationship with father/late father, siblings and adopter, as well as high levels of perceived support from teachers and classmates can promote ethnic and cultural awareness.

由上圖可見，民族和文化意識在彝童的健康發展上扮演重要的角色，尤其是行為健康、社會心理健康、語文能力和學習能力的發展。雖然研究的發現民族和文化意識和體格健康沒有直接關係，但前者關乎健康行為的結果，故我們認為需要進行更多研究探討民族和文化意識和體格健康的關係。

究竟甚麼能夠提高民族和文化意識呢？根據我們對次組彝童的數據分析，良好的家庭和學校社會化經驗能加深他們的民族和文化意識，如與健在或已過身的父親、兄弟姊妹和收養者建立良好的關係以及得到老師和同學的支援亦是重要因素。

The following lists the research outputs associated with this project:

Conference presentations:

以下是與本研究的成果：

研究會報告：

• Lai, H.Y.A., Chui, C.H. & Chan, C.L.W. (July, 7th, 2018). Positive Academic Achievements in Yi youths: Effects of Ethnic Identity and Peer Support via Motivation. Oral Presentation at Joint World Conference on Social Work, Education and Social Development. Dublin, Ireland.
• Lai, H.Y.A. & Chui, C.H. (July 6th, 2017). Quality child-caregiver relationships as an agent of change: Longitudinal findings on the social skills development of at risk Yi ethnic minority children in rural China. Poster presented at 38th STAR Conference. Hong Kong, China.
• Lai, H.Y.A. (April 20th, 2013). Social Skills Development among Orphaned and Impoverished Youth of the Yi Ethnic Minority in Rural China. Poster presented at the 2013 Biennial Meeting of the Society for Research in Child Development. Seattle, United States.

Publications:

論文：

• Lai, A.H.Y.., Chui, C.H., Lo, P.H.Y., Jordan, L. & Chan. C. L. W. (2017). The buffering effect of child-caregiver relationships: Social skills development of ethnic minority children with maladaptive behaviors in rural China. Children and Youth Services Review ,79, 333-340. doi: 10.1016/j.childyouth.2017.06.038 (SJR indicator: 0.81, Q1 journal ranking in Education and Social Work)
• Lai, A.H.Y., Cho, E., Chui, C.H., & Chan. C. L. W. (Forthcoming, 2018). The role of Ethnic Identity: Pathway from Peer Socialization to Positive Academic Motivation in Yi young people of rural China.
• Lai, A.H.Y. & Chui, C.H. (Forthcoming, 2019). Familial and School Socialisation for Ethnic Identity Development: Longitudinal Analysis on Yi Children of Rural China. In Rural China in Focus: Political, Environmental and Social Issues. Nova Science Publishers.

IV. ReferencesIV. 參考資料：

• Phinney, J. (1996). Understanding ethnic diversity: the role of ethnic identity. American Behavioral Scientist, 40, 2, 143 – 152. DOI: 10.1177/0002764296040002005
• Phinney, J. (1989). Stages of Ethnic Identity Development in Minority Group Adolescents. The Journal of Early Adolescence, 9(1-2), pp.34-49. DOI: 10.1177/0272431689091004
• French, S., Seidman, E., Allen, L. and Aber, J. (2006). The development of ethnic identity during adolescence. Developmental Psychology, 42(1), pp.1-10.DOI:10.1037/0012-1649.42.1.1
• Pahl, K. and Way, N. (2006). Longitudinal Trajectories of Ethnic Identity Among Urban Black and Latino Adolescents. Child Development, 77(5), pp.1403-1415.DOI: 10.1111/j.1467-8624.2006.00943.x
• Phinney, J. S. (1990). Ethnic identity in adolescents and adults: Review of research. Psychological Bulletin, 108(3), 499-514. DOI: 10.1037/0033-2909.108.3.499
• Tajfel, H. and Turner, J.C. (1986). The Social Identity Theory of Intergroup Behavior. Psychology of Intergroup Relations, 5, 7-24.
• Yip, T., Douglass, S. and Shelton, J. (2013). Daily Intragroup Contact in Diverse Settings: Implications for Asian Adolescents' Ethnic Identity. Child Development, 84(4), pp.1425-1441.DOI: 10.1111/cdev.12038
• Erikson, E. H. (1968). Identity: Youth and crisis. New York, NY: W.W. Norton.
• Rivas-Drake, D., Seaton, E., Markstrom, C., Quintana, S., Syed, M., Lee, R., Schwartz, S., Umaña-Taylor, A., French, S. & Yip, T. (2014). Ethnic and Racial Identity in Adolescence: Implications for Psychosocial, Academic, and Health Outcomes. Child Development, 85(1), pp.40-57.DOI:10.1111/cdev.12200
• Umaña-Taylor A. J., and Updegraff, K. (2007). Latino adolescents’ mental health: Exploring the role of discrimination, ethnic identity, acculturation, and self-esteem. Journal of Adolescence, 30, 549-567. doi:10.1016/j.adolescence.2006.08.002
• Xu, J., Shim, S., Lotz, S., & Almeida, D (2004). Ethnic identity, socialization factors, and culture-specific consumption behavior. Psychology & Marketing, 21(2), 93–112. DOI: 10.1002/mar.10117
• Gaylord-Harden N. K., Ragsdale B. L., Mandara J., Richards M. H., and Petersen A. C. (2007). Perceived support and internalizing symptoms in African American adolescents: Self-esteem and ethnic identity as mediators. Journal of Youth and Adolescence, 36, 77-88. doi:10.1007/s10964-006-9115-9
• Rivas-Drake, D., Hughes, D. and Way, N. (2009). A preliminary analysis of associations among ethnic–racial socialization, ethnic discrimination, and ethnic identity Among Urban Sixth Graders. Journal of Research on Adolescence, 19: 558–584. doi:10.1111/j.1532-7795.2009.00607.x
• Lai, H.Y.A., Chui, C.H. & Chan, C.L.W. (July, 7th, 2018). Positive Academic Achievements in Yi youths: Effects of Ethnic Identity and Peer Support via Motivation. Oral Presentation at Joint World Conference on Social Work, Education and Social Development. Dublin, Ireland.
• Street, J., Harris-Britt, A. and Walker-Barnes, C. (2008). Examining Relationships Between Ethnic Identity, Family Environment, and Psychological Outcomes for African American Adolescents. Journal of Child and Family Studies, 18(4), pp.412-420.
• Townsend, T. and Lanphier, E. (2007). Family Influences on Racial Identity Among African American Youth. Journal of Black Psychology, 33(3), pp.278-298.
• Transue, J. (2007). Identity Salience, Identity Acceptance, and Racial Policy Attitudes: American National Identity as a Uniting Force. American Journal of Political Science, 51(1), pp.78-91.
• Umaña-Taylor, A., Zeiders, K. and Updegraff, K. (2013). Family ethnic socialization and ethnic identity: A family-driven, youth-driven, or reciprocal process?. Journal of Family Psychology, 27(1), pp.137-146.