D5-Field Notes Interview(s)

Creswell, J. W., & Poth, C. N. (2025). Qualita ve inquiry & research design: Choosing among five approaches (5th ed.). Sage Publica ons.

5 FIVE DIFFERENT QUALITATIVE STUDIES

We have always felt that the best way to learn how to write a qualita ve study is to view a number of published qualita ve journal ar cles and to look closely at the way they were composed. If an individual plans on undertaking, for example, a grounded theory study, we would suggest that they collect about 20 grounded theory published journal ar cles, study each one carefully, select the most complete one that advances all the defining characteris cs of grounded theory, and then model their own project a er that one. This same process would hold true for an individual conduc ng any of the other approaches to qualita ve inquiry, such as a narra ve study, a phenomenology, an ethnography, or a case study. Short of this ideal, we want to get you started toward building this collec on by sugges ng an exemplar of each approach as discussed in this chapter. Each of these five published studies represents one of the types of qualita ve approaches being discussed in this book. They are found in Appendices A, B, C, D and E. The best way to proceed, we believe, is to first read the en re ar cle in the appendix and then return to our summary of the ar cle to compare your understanding with ours. Next, read our analysis of how the ar cle illustrates a good model of the approach to research and incorporates the defining characteris cs we introduced in Chapter 4. At the conclusion of this chapter, we reflect on why one might choose one approach over another when conduc ng a qualita ve study. The first study, by Chan (2010), as found in Appendix A, illustrates a narra ve study of a single Chinese immigrant student, Ai Mei Zhang, as she a ends a Canadian middle school and as she interacts with her family. The second ar cle, a phenomenological study by Chance (2022), located in Appendix B, is a study about individuals who have experienced adversity as Black women in higher educa on leadership. The third ar cle is a grounded theory study by Trip et al. (2019), as found in Appendix C. It presents a study of the caregiving rela onship between aging people who have intellectual disabili es and their families. The study offers an explana on of

naviga ng transi ons across the life course. The fourth ar cle is an ethnographic study by Mac an Ghaill and Haywood (2015), as presented in Appendix D, about the changing cultural condi on of Bri sh-born, working-class Pakistani and Bangladeshi young Muslim men during the late 2000s. The local experiences of growing up in a rapidly changing Britain shaped the iden ty of young Muslim men as members of a broader social community. The final ar cle, Goodrum et al. (2022), located in Appendix E is a qualita ve case study of a school shoo ng where two students died. It examines the match between guidelines and ac vi es in the threat assessment process and how that match influenced decision-making. In so doing the case study describes the way the school’s organiza onal structure and culture shaped and hindered violence preven on prac ces. These exemplars were chosen for their usefulness as models of the defining features for each approach discussed in Chapter 4, as well as for their disciplinary, geographical, and par cipant diversity. A NARRATIVE STUDY (CHAN, 2010; SEE APPENDIX A) Chan, E. (2010). Living in the space between par cipant and researcher as a narra ve inquirer: Examining ethnic iden ty of Chinese Canadian students as conflic ng stories to live by. The Journal of Educa onal Research, 103(2), 113–122. h ps://doi.org/10.1080/00220670903323792 This is the story of a Chinese immigrant student, Ai Mei Zhang, a seventh- and eighth-grade student at Bay Street School in Toronto, Canada. Ai Mei was chosen for study by the researcher because she could inform how ethnic iden ty is shaped by expecta ons from school and her teacher, her peers at school, and her home. Ai Mei told stories about specific incidents in her life (e.g., a family dinner, new student orienta on), and the author based her narra ve ar cle on these stories as well as observa ons in her classroom. The researcher also conducted interviews with Ai Mei and other students, took extensive field notes, and sought ac ve par cipa on in Ai Mei’s school ac vi es (e.g., Mul cultural Night), and classroom conversa ons between Ai Mei and her classmates. The author’s overriding interest was in exploring the conflic ng stories that emerged during this data collec on. The author introduced the study ci ng changing school demographics and the need for greater understanding of the lived experiences of immigrant and minority students’ daily transi ons between home and school. The author iden fied Dewey’s (1938) philosophy of the interconnectedness between experience and educa on as the theore cal founda on for the study of a three-dimensional narra ve inquiry space (Clandinin & Connelly, 2000). In this study, the author followed procedures by Clandinin and colleagues (2006) for describing the interwoven lives of children and teachers. From a thema c analysis of these data, the author presented several conflic ng stories: tensions in friendship because Ai Mei hid her home language at school because it was seen as a hindrance to being accepted by English-speaking peers, pressure to use the school Chinese language and to use her maternal language at home with her family, mul ple conflic ng influences of parental versus peer expecta ons for behavior, and conflicts between family needs to help in the family business and teacher expecta ons to complete homework and prepare for

tests and assignments. As a final element of the findings, the author reflected on her experiences in conduc ng the study, such as how the different events she par cipated in shaped her understanding, how opportuni es arose to build trust, how her rela onship with Ai Mei was nego ated, and how she developed a sense of advocacy for this young student. In the end, the study contributed to understanding the challenges of immigrant or minority students; the intersec ng expecta ons of students, teachers, peers, and parents; and how the values of individuals in ethnic communi es shaped these interac ons. In a larger sense, this study informed the work of teachers and administrators working with diverse student popula ons, and served as an example of a “life-based literary narra ve” (Chan, 2010, p. 121). Examine Table 5.1 to see how this sample narra ve study (Chan, 2010) presented well the defining features of a narra ve study introduced in Chapter 4 (see also the text leading into Figure 4.2). No ce how each of the guiding design ques ons can help narra ve researchers get started with a study idea. Table 5.1 Defining Features of Narra ve Studies as Presented in Chan (2010) and Guiding Design Ques ons

A PHENOMENOLOGICAL STUDY (CHANCE, 2022; SEE APPENDIX B) Chance, N. L. (2022). Resilient leadership: A phenomenological explora on into how Black women in higher educa on leadership navigate cultural adversity. Journal of Humanis c Psychology, 62(1), 44–78. h ps://doi.org/10.1177/00221678211003000 This study explored adversity and the lived experiences of U.S. Black women in higher educa on leadership. The researcher studied this topic because of the extensive personal and professional adversity that Black people, especially women, con nue to face and overcome as a group. Thus, the purpose of this phenomenological study was “to explore and describe how Black women in higher educa on leadership navigate intersec onality, stereotype threat, and tokenism” (Chance, 2022, p. 52). The overall goal of exploring how Black women overcome adverse experiences within the context of higher educa on was to help develop and provide training and mentoring programs for Black women seeking leadership opportuni es. The author introduced the study by referring to the leadership ambi ons of Black women and the significant challenges and adversity they experienced in higher educa on leadership. She turned to the literature to illustrate the many aspects of discrimina on that Black women have had to navigate. She noted several studies exploring adversity experienced by Black women in higher educa on. However, their experiences had not been studied with a focus on intersec onality (such as the intersec on of racism, sexism, and agism), stereotype threat, and isola on and tokenism. A phenomenological research design was the most appropriate design

to allow Chance to explore and understand the lived experiences of Black women in higher educa on leadership posi ons. Blending convenience, purposive, and snowball sampling techniques, the design involved recrui ng par cipants who (a) were Black women; (b) served as president/chancellor, vice president/chancellor, or provost of a 4-year college or university in the United States; and (c) had obtained or were comple ng a terminal degree. A total of nine par cipants were involved in the study and completed a Lived Experiences Timeline ac vity, a demographic survey, and an interview using Zoom videoconferencing so ware. During the interviews, the researcher asked par cipants about their experiences, learnings, challenges, or obstacles they faced to achieve their posi ons, to overcome adversity, and to help future genera ons facing adversity. The author used Moustakas’s (1994) modified Stevick-Colaizzi-Keen phenomenological data analysis procedures. The interviews were transcribed, and par cipants were asked to review the transcripts and verify the content and accuracy. Following this member-checking, the researcher manually reviewed each transcript and used the qualita ve data coding and analysis so ware Dedoose to further analyze the transcripts. Horizontalizing helped the author to move from general descrip ons to specific examples and ul mately to the structural and textual descrip ons of context and se ng. Throughout the analysis, the inves gator engaged in the reflexive process of epoché, using notetaking and reviewing bracketed informa on for each code. The intersec onality framework was used “as a lens to observe, understand, and describe the themes that emerged” (Chance, 2022, p. 56). Through the recurring pa erns in the transcripts, the author iden fied themes expressing the meanings of par cipants about their lived experiences. Member checking was further used by asking par cipants to validate the iden fied themes. The analysis led to four primary themes and two subthemes that addressed how par cipants navigated the adversity that they faced. The findings sec on of this study reported each of the themes and subthemes and provided many quotes and perspec ves. The study ended with a discussion where the authors described the overall “essence” of the nine Black women’s leadership experiences with adversity as promo ng resilience and leadership development. The implica ons advanced knowledge that will enlighten the next genera on of young aspiring Black women leaders experiencing adversity and it called for closing the racial-gender leadership gap for Black women. The limita ons pointed to the need for further research of the lived experiences of Black, Indigenous, and People of Color in leadership within and outside of academia to expand the overall understanding of leadership development. Examine Table 5.2 for how this sample phenomenology (Chance, 2022) illustrated the defining features of phenomenology introduced in Chapter 4 (see also the text leading into Figure 4.4). No ce how each of the guiding design ques ons can help phenomenological researchers get started with a study idea. Table 5.2 Defining Features of Phenomenology as Presented in Chance (2022) and Guiding Design Ques ons

A GROUNDED THEORY STUDY (TRIP ET AL., 2019; SEE APPENDIX C)

Trip, H., Whitehead, L., Crowe, M., Mirfin-Veitch, B., & Daffue, C. (2019). Aging with intellectual disabili es in families: Naviga ng ever-changing seas—A theore cal model. Qualita ve Health Research, 29(11), 1595–1610. h ps://doi.org/10.1177/1049732319845344 This grounded theory study sought to develop a theory of the nature and dynamics of caregiving and receiving for older people with intellectual disability and their families. It was premised on studies about aging and future planning that provided li le evidence about the characteris cs of the caregiving rela onship. To this end, the researchers described using the construc vist grounded theory approach to explore the dynamic nature of the caregiving rela onship between people with an intellectual disability and family members. This rela onship involved a process of engagement in building a collec ve understanding of experiences requiring constant reflexivity on the part of the researchers (Charmaz, 2006, 2014). The authors interviewed 19 people with intellectual disabili es who met specific criteria: approximately 40 years of age, a mild to moderate level of intellectual disability, expressive language, ability to consent to par cipate, and living with or supported by someone they iden fied as “family’ for at least 5 years. These par cipants then nominated 28 family members to par cipate in the research. Par cipants were recruited in various ways, including through primary health care se ngs, adver sements and public no ces, and snowball sampling. The methods in this study followed the Charmaz construc vist approach to grounded theory (Charmaz, 2014). The data collec on and preliminary analysis procedures were undertaken simultaneously as the researchers refined their understandings of the caregiving rela onship. The researchers used semi-structured open-ended ques ons to guide the sharing of experiences. Up to three face-to-face contacts were made with par cipants and their family members ranging from 30 to 150 minutes. Par cipants were invited to review the transcripts as a means of member checking. The data were analyzed through coding, categorizing, development of concepts, and theorizing. The authors described their extensive use of memoing to capture reflexivity and to dis ll the historical, current, and prospec ve context offered by par cipants. The researchers used tables to display how their codes evolved into categories and eventually to concepts. The authors presented demographic informa on about the par cipants alongside a figure of the theore cal model advancing three concepts visually represen ng “naviga ng ever-changing seas.” The researchers embedded quotes within their descrip ons and discussed the “sea” as a metaphor represen ng a lack of a defini ve beginning or ending in understanding aging and future planning. This metaphor also extended to include “naviga on” (decision-making and purpose) as ongoing, and the ever-changing intrinsic and extrinsic factors of the par cipants. In their discussion of the theore cal model, the authors centered on how decision-making tended to shi , evolve, and devolve in the caregiver rela onship and how it compared with exis ng theore cal models in the literature. In conclusion, this grounded theory study further elucidated the complexi es of intergenera onal caregiving by iden fying the experiences of those in the caregiving rela onship as nego a ng and naviga ng decision-making. Using this model with individuals and their families can help unpack the nature of caregiving and decision-

making, promote engagement with health and disability systems, enable future planning, and improve health care outcomes of all members in the system of care. Examine Table 5.3 to see how this sample grounded theory (Trip et al., 2019) met the defining features of a grounded theory study discussed in Chapter 4 (see also the text leading into Figure 4.6). No ce how each of the guiding design ques ons can help grounded theory researchers get started with a study idea. Table 5.3 Defining Features of Grounded Theory Studies as Presented in Trip et al. (2019) and Guiding Design Ques ons

AN ETHNOGRAPHIC STUDY (MAC AN GHAILL & HAYWOOD, 2015; SEE APPENDIX D) Mac an Ghaill, M., & Haywood, C. (2015). Bri sh-born Pakistani and Bangladeshi young men: Exploring unstable concepts of Muslim, Islamophobia and racializa on. Cri cal Sociology, 41(1), 97–114. h ps://doi.org/10.1177/0896920513518947 This ethnographic study described the changing cultural condi ons of a group of Bri sh born, working-class Pakistani and Bangladeshi young men over 3 years. The study involved young men born and raised in Birmingham, England, an area with the highest number of self-iden fied Muslims for a local authority in the United Kingdom. The authors focused on the group’s culturally reduc ve representa ons of Islam, the Muslim community, and being a young Muslim man within the “urgent need to cri cally interrogate the assumed social separateness, cultural fixity and boundedness of religious, ethnic and na onal categories of difference that they [the group under study] claim are imputed to them” (Mac an Ghaill & Haywood, 2015, p. 98). The par cipants were young men who were not only friends but also part of a broader social community described as a ending the same youth and community organiza ons and colleges, sharing the same employers, and par cipa ng together in leisure ac vi es. The study explored the group of 25 young men’s “geographically-specific local experiences of growing up in a rapidly changing Britain” (p. 99). The researchers described how their established reputa on for social commitment to the area and previous work with families in the local community enabled access to the par cipants. Ethnographic data collec on methods provided insights into the young men’s growing up, family, schooling, social life, and local community. The researchers collected in-depth group and life history interviews during extensive ethnographical fieldwork over a 3-year period. Further understandings were gleaned from observa ons, informal conversa ons, and interviews with parents and community representa ves through snowball sampling. Braun and Clarke’s (2006) thema c analysis guided the data analysis of each of the methods. From the integra on of data sources, the authors described group members’ genera onal-specific experiences in rela on to the racializa on of their ethnici es and changes in how they nego ated the meanings a ached to being Muslim. The authors ended with a broad level of abstrac on beyond the themes to suggest how the group made sense of the range of social and cultural exclusions they experienced during a me of rapid change within their city. In short, the authors iden fied a complex situa on for a group of Bangladeshi and Pakistani young men and how they interacted and experienced ethnicity and demarca on of religious and cultural belonging. Unlike other cri cal approaches, the study did not end with a call for social transforma on. Instead, it ended with a call for further efforts to validate the findings such as through member checking with group members. The authors cau oned readers to carefully consider ways to understand the young men’s own par cipa on and the influence of local contexts and broader social and economic processes in iden ty forma on. Examine Table 5.4 to see how Mac an Ghaill and Haywood’s (2015) sample ethnography illustrated the defining features of an ethnographic study as men oned in Chapter 4 (see also the text leading into Figure 4.8). No ce how each of the guiding design ques ons can help grounded theory researchers get started with a study idea.

Table 5.4 Defining Features of Ethnography as Presented in Mac an Ghaill and Haywood (2015) and Guiding Design Ques ons

A CASE STUDY (GOODRUM ET AL., 2022; SEE APPENDIX E) Goodrum, S., Slepicka, J., Woodward, W., & Kingston, B. (2022). Learning from error in violence preven on: A school shoo ng as an organiza onal accident. Sociology of Educa on, 95(4), 257– 275. h ps://doi.org/10.1177/00380407221120431 This qualita ve case study of a school shoo ng—in which two students died—examined how the school’s organiza onal structure and culture impeded the preven on of violence. The authors presented the case to provide “a rich and meaningful inves ga on of the structural factors that influenced the situa on and decision-making” (Goodrum et al., 2022, p. 261). The authors introduced the study by ci ng descrip ve sta s cs indica ng the increased frequency of and higher number of casual es from school shoo ngs. The authors point to studies from the fields of sociology and organiza onal psychology sugges ng that these school failures of foresight to prevent shoo ngs arise from loosely coupled organiza onal structures and from a U.S. gun culture. By highligh ng the unique circumstances of the current case as “one of only two known cases where a threat assessment was conducted with a student prior to their deadly a ack” (p. 260), the focus of the study on the case itself represented an “intrinsic” case study despite the lack of the authors’ explicit iden fica on as such. The case study procedures were guided by Stake (1995, 2005) and Yin (2017) among others, and drew primarily on exis ng deposi ons from an inves ga ve arbitra on of the circumstances leading to the school a ack. The various sources of data included deposi on tes mony from 12 school officials and more than 4,000 pages of school and law enforcement records. Each deposi on tes mony lasted between 2 and 8 hours and offered par cipants’ percep ons and experiences in their own words detailing narra ve accounts of the circumstances, interac ons, and communica ons prior to the a ack. The data analysis of the deposi on tes monies was guided by Strauss’s (1987) guidelines for line-by-line coding; the qualita ve so ware program NVivo aided the analysis. The records provided supplementary contextual informa on. The case centered on examining educators’ decision-making processes to understand the organiza on’s management of and response to a troubled student. As a result of this understanding, the authors aimed to develop effec ve interven on strategies. Following a descrip on of background informa on on the school, the student, and his family, the results from the data analysis illustrated themes about “the ways the ghtly and loosely coupled components of the school and district influenced the implementa on of federal threat assessment guidelines, encouraged a culture of autonomous decision-making, and created structural secrets about the extent and seriousness of the student’s troubles” (Goodrum et al., 2022, p. 262). The case asser on claimed that the “organiza onal structure and culture of schools may impede the preven on of violence in America’s schools, specifically threat assessment and management for students of concern” (p. 257). The case study concluded with

discussions of recommenda ons for building organiza onal structures and cultures that support violence preven on in schools. Examine Table 5.5 for more on how this sample case study (Goodrum et al., 2022) illustrated the defining features of a case study introduced in Chapter 4 (see also the text leading into Figure 4.10). No ce how each of the guiding design ques ons can help case study researchers get started with a study idea. Table 5.5 Defining Features of Case Study Research as Presented in Goodrum et al. (2022) and Guiding Design Ques ons

DIFFERENCES AMONG THE APPROACHES A useful perspec ve to begin the process of differen a ng among the five approaches is to assess the defining features of each approach beginning with the focus of the research or the study purpose. As shown in Table 5.6, the focus of a narra ve is on the life of an individual, and the focus of a phenomenology is on a concept or phenomenon and the essence of the phenomenon of lived experiences of persons. In grounded theory, the aim is to develop a theory, whereas in ethnography, it is to describe a culture-sharing group. In a case study, a specific case is examined, o en with the intent of examining an issue with the case illustra ng the complexity of the issue. Turning to the five studies, the defining features of founda onal considera ons for the approaches to qualita ve research become more evident. Table 5.6 Contras ng the Defining Features of Founda onal Considera ons for the Five Studies

The story of Ai Mei Zhang, the Chinese immigrant student in a Canadian middle school, is a case in point—one decides to write a narra ve when a single individual needs to be studied as the research focus, and that individual can illustrate with experiences the issue of being an immigrant student and the conflic ng concerns that she faced (Chan, 2010). Furthermore, the researcher needs to make a case for the need to study this par cular individual—someone who illustrates a problem, someone who has had a dis nguished career, someone in the na onal spotlight, or someone who lives an ordinary life (Clandinin, 2023). The process of data collec on and analysis involves gathering material about the person, such as from conversa ons or observa ons to stories of individual experiences. The phenomenological study, on the other hand, focuses not on the life of an individual but rather on understanding the lived experiences of individuals around a phenomenon, such as how individuals represent the adversity faced by Black women in higher educa on leadership (Chance, 2022). Furthermore, the researcher selects individuals who have experienced the phenomenon, and asks par cipants to provide data, o en through interviews (van Manen, 2014, 2023). The researcher takes these data and, through several steps of reducing the data, ul mately develops a descrip on of the experiences about the phenomenon that all individuals have in common—the essence of the lived experience. Whereas the phenomenological project focuses on the meaning of people’s experience regarding a phenomenon, researchers in grounded theory have a different objec ve—to generate a substan ve theory, such as the theory about the caregiving rela onship of aging people with intellectual disabili es in families that explains naviga ng transi ons across the life course (Trip et al., 2019). Thus, grounded theorists undertake research to develop theory about a process or ac on. The data collec on method primarily involves interviewing, and the collec ng and analyzing processes are undertaken simultaneously and itera vely. Researchers may use construc vist procedures for analyzing and developing this theory, by way of genera ng codes, themes, and concepts in a theore cal model, as illustrated by Trip et al. (2019) and suggested by Charmaz (2014). The theory is then presented in a discussion or theore cal model, genera ng an overall tone of a grounded theory study as one of rigor and scien fic credibility. An ethnographic design is chosen when one wants to study the behaviors of a culture-sharing group, such as the Bri sh-born, working-class Pakistani and Bangladeshi young Muslim men

(Mac an Ghaill & Haywood, 2015). In an ethnography, the researcher studies an intact culture- sharing group that has been interac ng long enough to have shared or regular pa erns of language and behavior (Fe erman, 2019). A detailed descrip on of the culture-sharing group is essen al at the beginning, and then the author may turn to iden fy pa erns of the group around some cultural concept such as accultura on, poli cs, or economy and the like. The ethnography ends with summary statements about how the group func ons and works in everyday life. In this way, a reader understands a group that may be previously unfamiliar. Finally, a case study is chosen to study a case with clear boundaries, such as the organiza onal structure of a school where two students died in a school shoo ng and the culture that shaped and hindered violence preven on prac ces (Goodrum et al., 2022). In this type of intrinsic case study, the researchers illustrated a unique case, a case that has unusual interest in and of itself and needs to be described and detailed. It is important, too, for the researcher to have contextual material available to describe the se ng for the case and draw upon mul ple sources of informa on about the case to provide an in-depth picture of it. Central to wri ng a case study, the researcher describes the case in detail, and men ons several issues or focuses on a single issue that emerged when examining the case (Stake, 1995). Selec ng Your Approach Based now on a more thorough understanding of the five approaches, how do you choose one approach over the other? We recommend that you start with dis nguishing among the foci of the research approach and the units of analysis (see Table 5.6). In addi on, other factors need also to be considered:

The audience ques on: What approach is frequently used by gatekeepers in your field (e.g., commi ee members, advisors, editorial boards of journals)? The background ques on: What training do you have in the inquiry approach (e.g., courses completed, books read)? Or what resources are accessible to guide you in your work (e.g., commi ee members, books, workshops)? The scholarly literature ques on: What is needed most as contribu ng to the scholarly literature in your field (e.g., a study of an individual, an explora on of the meaning of a concept, a theory, a portrait of a culture-sharing group, an in-depth case study)? The personal preference ques on: Do you prefer a more structured approach to research or a storytelling approach (e.g., narra ve research, ethnography)? Do you prefer a more well-defined approach to research or a more flexible approach (e.g., grounded theory, case study, phenomenology)?

SUMMARY This chapter examined five different qualita ve journal ar cles to illustrate good models for wri ng a narra ve study, a phenomenology, a grounded theory study, an ethnography, and a case study. These ar cles reflected many of the defining features of each approach (see also Chapter 4) and should enable readers to see differences in composing and wri ng structures of qualita ve studies. Choose a narra ve study to examine the life experiences of an individual when the individual is willing to share stories. Choose a phenomenology to examine a phenomenon and the meaning it holds for individuals. Choose a grounded theory study to generate or develop a theory grounded in the views of par cipants. Choose an ethnography to describe and interpret how a culture-sharing group (or individual) works. Choose a case study to examine a case, bounded in me or place, and look for contextual material to provide an in- depth picture of the case. These are important dis nc ons among the five approaches to qualita ve inquiry. By studying an example of each approach in detail, we can learn more about how to proceed and how to narrow our choice of which approach to use. In the next chapter, we will see how to incorporate each of the five approaches into a scholarly introduc on in a qualita ve project. FURTHER READINGS Several readings extend this brief overview and comparison of ar cles for each of the five approaches. Here we con nue to expand the list of books about each approach (see also Key Book Readings in Chapter 1 and Further Readings in Chapter 4). The list should not be considered exhaus ve, and readers are encouraged to seek out addi onal readings in the end- of-book reference list. Clandinin, D. J., Huber, J., Huber, M., Murphy, M. S., Murray Orr, A., Pearce, M., & Steeves, P. (2006). Composing diverse iden es: Narra ve inquiries into the interwoven lives of children and teachers. Routledge. Through this book, the authors illustrate the usefulness of narra ve research for capturing the complex interac ons among children, families, teachers, and administrators within the school environment. This should be required reading for anyone engaging in narra ve research with children. Colaizzi, P. F. (1978). Psychological research as the phenomenologist views it. In R. Valle & M. King (Eds.), Existen al phenomenological alterna ves for psychology (pp. 48–71). Oxford University Press. This key resource introduces existen al phenomenology as a philosophical and methodological approach within the field of psychology. Within this chapter, Paul Colaizzi advances procedures for conduc ng phenomenological analysis that remain relevant to this day. Denzin, N. K., & Lincoln, Y. S. (2013). Strategies of qualita ve inquiry. Sage. Norman Denzin and Yvonna Lincoln take a new approach in this accessible version of a handbook on qualita ve research. In par cular, we find the case study chapter by Flyvberg to be helpful in delinea ng case study research from the other approaches. Goffman, A. (2014). On the run: Fugi ve life in an American city. University of Chicago Press. Alice Goffman contributes an ethnographic study of a group of young Black men in a poor

community in West Philadelphia over 6 years. She also introduces several ethical issues that are worthy of further explora on for those engaging in ethnographic research. Gorski, P. C., & Pothini, S. G. (2018). Future direc ons for case studies: Case studies on diversity and social jus ce in educa on. Routledge. Paul C. Gorski and Seema G. Pothini guide readers through examining case studies across a variety of topics including school culture, bullying, and parent and community engagement. They describe the usefulness of case studies to prac ce seeing the full complexity of educa onal se ngs. Spradley, J. P. (1979). The ethnographic interview. Holt, Rinehart & Winston. This book by James Spradley has enduring influence for how to conduct open-ended interviews. In addi on to sugges ons about how to phrase research ques ons, he offers the reader useful guidance for comparing data during analyses. 7 DATA COLLECTION

A typical reac on to thinking about qualita ve data collec on is to focus a en on on the actual types of data and the procedures for gathering them. Data collec on, however, involves much more. It means an cipa ng and responding to arising ethical issues, gaining permissions to study sites and individuals, selec ng purposeful sampling strategies, developing means for collec ng and recording informa on, mi ga ng fieldwork issues as they arise, and storing the data securely. Also, in the actual forms of data collec on, researchers o en opt for only conduc ng interviews and observa ons. As will be seen in this chapter, the array of qualita ve sources of data are ever expanding, and we encourage researchers to use newer, innova ve methods in addi on to interviews and observa ons. In addi on, new forms of data and the

steps in the process of collec ng qualita ve data need to be sensi ve to the outcomes expected for each of the five different approaches to qualita ve research. Engaging in reflexivity can help researchers recognize the influence of their “posi oning” on data collec on decisions (see also Chapter 2). A en on to reciprocity for par cipants can help researchers plan for giving back to par cipants for their me and efforts during data collec on (Poth, 2021). We find it useful to visualize the phases of data collec on common to all approaches. A “circle” of interrelated ac vi es best displays this process, a process of engaging in ac vi es that include but go beyond collec ng data. We begin this chapter by presen ng this circle of ac vi es, briefly introducing each ac vity. These ac vi es are loca ng a site or an individual, gaining access and building rapport, sampling purposefully, collec ng data, recording and organizing informa on, exploring fieldwork issues, and storing data. Then we explore how these ac vi es differ in the five approaches to inquiry, and we end with a few summary comments about comparing the data collec on ac vi es across the five approaches. THE DATA COLLECTION CIRCLE We visualize data collec on as a series of interrelated ac vi es aimed at gathering good informa on to answer emerging research ques ons. As shown in Figure 7.1, a qualita ve researcher engages in a series of ac vi es in the process of collec ng data. Data collec on is itera ve and much less stepwise than it appears in Figure 7.1. How researchers plan for and ul mately collect data for their study varies. Although we start with loca ng a site or an individual to study, an inves gator may begin at another entry point in the circle. Most important, we want the researcher to consider the mul ple ac vi es o en involved in collec ng data—ac vi es that extend beyond the typical reference point of conduc ng interviews or making observa ons. By placing ethics at the intersec on of the data collec on circle, we emphasize the need to a end to ethical considera ons across the phases.

Figure 7.1 Data Collec on Ac vi es An important step in the process is to find people or places to study and to gain access to and establish rapport with par cipants so that they will provide good data. A closely interrelated step in the process involves determining a strategy for the purposeful sampling of individuals or sites. This is not a probability sample that will enable a researcher to determine sta s cal inferences to a popula on; rather, it is a purposeful sample that will inten onally sample a group of people that can best inform the researcher about the research problem under examina on. Thus, the researcher needs to determine which type of purposeful sampling will be best to use. Once the inquirer selects the sites or people, decisions need to be made about the most appropriate data collec on approaches. Increasingly, a qualita ve researcher has more choices regarding forms of data and modes of collec on and recording—for example, the various types of interviews generate different interac ons and subsequently influence the informa on recorded. Typically, the qualita ve researcher will collect data from more than one source. To guide data collec on, the researcher develops protocols for recording the informa on and needs to pilot the forms for recording the data, such as interview or observa onal protocols. Also, the researcher needs to an cipate and respond to arising fieldwork issues of data collec on, such as experiencing recruitment challenges or needing to prematurely conclude fieldwork. Finally, a qualita ve researcher must decide how they will store data securely so that it can be easily retrieved and protected from damage or breaches. We now turn to each of these seven data collec on ac vi es and ethical considera ons, and we address each for general procedures and within each approach to inquiry. As shown in Table 7.1, these ac vi es are both different and similar across the five approaches to inquiry. Table 7.1 Data Collec on Ac vi es by Five Qualita ve Approaches

Ethical Considera ons for Data Collec on Regardless of the approach to qualita ve inquiry, a qualita ve researcher faces many ethical issues that arise during fieldwork data collec on and in analysis and dissemina on of qualita ve reports. In Chapter 3, we discussed some of these issues, but ethical issues loom large in the data collec on phase of qualita ve research (see Table 3.1 for a summary of ethical issues in qualita ve research). Planning and conduc ng an ethical study means that the researcher considers and addresses all an cipated and emergent ethical issues in the study. Typically, these ethical issues relate to three principles guiding ethical research: respect for persons (i.e., privacy and consent), concern for welfare (i.e., minimize harm and augment reciprocity), and jus ce (i.e., enhance inclusivity and equitable treatment). A researcher protects the anonymity of the par cipants, for example, by assigning numbers or aliases to individuals. To gain free and informed consent from par cipants, a qualita ve researcher conveys the voluntary expecta ons of par cipa ng in the study, explains the purpose of the study and that par cipants can withdraw from the study, and does not engage in decep on about the study nature, procedures, or expected outcomes.

What if the study is on a sensi ve topic and the par cipants decline to be involved if they are aware of the topic? The researcher needs to allow the par cipant to decline involvement. Another issue likely to develop is when par cipants share informa on off the record. Although in most instances this informa on is deleted from analysis by the researcher, the issue becomes

problema c when the informa on, if reported, harms individuals. Finally, we point to the increased focus on how we elicit and record informa on in appropriate ways for par cipants. In doing so, it is the responsibility of the researcher to become familiar with the research context and par cipants and to respect different knowledge systems and ways of interac ng. Many excellent resources exist with help for situa ng research in diverse contexts and/or with marginalized and vulnerable popula ons (e.g., Chilisa, 2020; Clandinin et al., 2006; Stanfield, 2011). Ins tu onal Review Boards Prior to beginning data collec on, a key ac vity involves the researcher seeking and obtaining the permission of ins tu onal review boards (Creswell & Creswell, 2023; Hatch, 2002; Iphofen & Tolich, 2018; Mertens, 2018). The purpose of this ac vity is to provide evidence to the review boards that the study design follows guidelines for conduc ng ethical research. Most qualita ve studies are exempt from a lengthy review (e.g., the expedited or full review), but studies involving individuals who are minors (i.e., 18 years or under) or studies of vulnerable popula ons (e.g., those who have experienced trauma, or those with addic ons, disabili es, or illnesses) require a thorough review—a process involving detailed, lengthy applica ons and an extended me for review. The review process involves submi ng a proposal that details project procedures for selec on, access, and permissions for sites and individuals; the selec on, sampling, and collec on strategies for data; and the management of recording, storage, and use of informa on. Table 7.2 summarizes the ethical issues by the data collec on ac vi es where each of these procedures will be further described. See also Mertens (2018) for an in-depth discussion of the ethics of qualita ve data collec on. Table 7.2 Ethical Situa ons to An cipate and Address by Data Collec on Ac vity

The Site or Individual We are o en asked how a researcher locates a site or an individual to study, and our answer typically refers to the approach we have decided to use. In a narra ve study, one needs to find one or more individuals to study—individuals who are accessible, willing to provide informa on, and dis nc ve for their accomplishments and ordinariness or who shed light on a specific phenomenon or issue being explored. Plummer (1983) recommends two sources of individuals to study. The pragma c approach is where individuals are met on a chance encounter, emerge from a wider study, or are volunteers. Alterna vely, one might iden fy a “marginal person” who lives in conflic ng cultures, a “great person” who impacts the age in which they live, or an “ordinary person” who provides an example of a large popula on. An alterna ve perspec ve is available from Gergen (1994), who suggests that narra ves “come into existence” (p. 280) not as a product of an individual, but as a facet of rela onships, as a part of culture, and as reflected in social roles such as gender and age. Thus, to ask which individuals will par cipate is not to focus on the right ques on. Instead, narra ve researchers need to focus on the stories to emerge, recognizing that all people have stories to tell. Yet Daiute (2014) suggests that sensemaking of the narra ves begins with sampling relevant me and space dimensions. Also instruc ve in considering the individual in narra ve research is to consider whether first-order or second-order narra ves are the focus of inquiry (Ellio , 2005). In first-order narra ves, individuals tell stories about themselves and their own experiences, while in second-order narra ves, researchers construct a narra ve about other people’s experiences (e.g., biography) or present a collec ve story that represents the lives of many. In a phenomenological study, the par cipants may be located at a single site, although they need not be. Most important, they must be individuals who have all experienced the phenomenon being explored and can ar culate their lived experiences (van Manen, 2023). The more diverse the characteris cs of the individuals, the more difficult it will be for the researcher to find common experiences, themes, and the overall essence of the experience for all par cipants. In a grounded theory study, the individuals may not be located at a single site; in fact, if they are dispersed, they can provide important contextual informa on useful in developing categories in the axial coding phase of research. They need to be individuals who have par cipated in the process or ac on the researcher is studying in the grounded theory study. For example, Creswell and Brown (1992) interviewed 32 department chairpersons located across the United States who had mentored faculty in their departments. In an ethnographic

study, a single site, in which an intact culture-sharing group has developed shared values, beliefs, and assump ons, is o en important (Fe erman, 2019). The researcher needs to iden fy a group (or an individual or individuals representa ve of a group) to study, preferably one to which the inquirer is a “stranger” (Agar, 1986) and can gain access. For a case study, the researcher needs to select a site or sites to study, such as programs, events, processes, ac vi es, individuals, or several individuals. Although Stake (1995) refers to an individual as an appropriate “case,” we turn to the narra ve biographical approach or the life history approach in studying a single individual. However, the study of mul ple individuals, each defined as a case and considered a collec ve case study, is acceptable prac ce. Self-Study Considera ons A ques on that students o en ask is whether they can study their own organiza on, place of work, or themselves. Such a study may raise issues of power and risk to the researcher, the par cipants, and the site. To study one’s own workplace, for example, raises ques ons about whether good data can be collected when the act of data collec on may introduce a power imbalance between the researcher and the individuals being studied. Although studying one’s own “backyard” is o en convenient and eliminates many obstacles to collec ng data, researchers can jeopardize their jobs if they report unfavorable data or if par cipants disclose private informa on that might nega vely influence the organiza on or workplace. A hallmark of all good qualita ve research is the report of mul ple perspec ves that range over the en re spectrum of perspec ves (see the sec on in Chapter 3 on the characteris cs of qualita ve research). We are not alone in sounding this cau onary note about studying one’s own organiza on or workplace. Glesne and Peshkin (1992) ques on research that examines “your own backyard—within your own ins tu on or agency, or among friends or colleagues” (p. 21), and they suggest that such informa on is “dangerous knowledge” that is poli cal and risky for an “inside” inves gator. When it becomes important to study one’s own organiza on or workplace, we typically recommend that mul ple strategies of valida on (see Chapter 10) be used to ensure that the account is accurate and insigh ul. Studying yourself can be a different ma er. As men oned in Chapter 4, autoethnography provides an approach or method for studying yourself. Several helpful books are available on autoethnography that discuss how personal stories are blended with larger cultural issues (see Ellis, 2004; Muncey, 2010). Ellis’s (1993) story of the experiences of her brother’s sudden death illustrates the power of personal emo on and the use of cultural perspec ves around one’s own experiences. We recommend that individuals wan ng to study themselves and their own experiences turn to autoethnography or biographical memoir for scholarly procedures in how to conduct their studies. Access and Rapport Qualita ve research involves the study of a research site(s) and gaining permission to study the site in a way that will enable the easy collec on of data. Gaining access to sites and individuals also involves several steps. All qualita ve approaches to inquiry, if collec ng data from par cipants, require permissions from a human subjects review board. This means obtaining approval from university or college ins tu onal review boards as well as individuals at the

research site—and in some cases from an organiza onal body such as a school board or hospital-based research review commi ee. Evidence of having gained approval(s) should be stated in a research report or proposal (if applicable). While the approval processes are dependent upon the individual study and par cipant circumstances and as a result the necessary evidence can vary greatly, we offer four examples from journal ar cles to examine in Example 7.1.

Le er of informa on As part of the review process applica on, researchers include examples of materials that will be used in their study including a le er of informa on and a consent form for par cipants. The importance of such materials is noted by Poth (2021):

A le er of informa on can also be used as a recruitment tool and needs to be carefully constructed and wri en in clear and concise language. Unfortunately, all too many researchers do not provide sufficient informa on. This need not be the case, so we have created the following “script” for a le er of informa on containing several sentences and blanks that a researcher can fill in (see also Poth, 2021).

As this script shows, several terms can be used to encode a passage for a specific approach to qualita ve research by iden fying the approach when introducing the study, the central

phenomenon in the study descrip on, the focus of the study in the purpose statement, and the study outcome in the benefits details. Documen ng Consent A key procedure for ensuring free and informed consent to par cipate involves par cipants affirming their willingness to par cipate and documen ng their consent to par cipate. It is helpful to examine a sample consent form that par cipants need to review and sign in a qualita ve study. Examine the example of a consent form in Figure 7.2.

Figure 7.2 Sample Human Subjects Consent-to-Par cipate Form This consent form o en requires that specific elements be included, such as the following:

The right of par cipants to voluntarily withdraw from the study at any me (and have no obliga on to par cipate) and how par cipants can withdraw if they so choose The right of par cipants to contact someone if they have ques ons or need clarifica ons The central purpose of the study and the procedures to be used in data collec on The protec on of the confiden ality of the respondents

The known risks associated with par cipa on in the study The expected benefits for study par cipants The instruc ons for par cipants to access the findings The signature of the par cipant as well as the researcher

While it has been typical prac ce for par cipants to document wri en consent by signing a paper-based form, there may be situa ons where alterna ves might be offered and so it is important to become familiar with other common approaches described by Poth (2021):

Typing their name to a digital consent form may be a reasonable alterna ve to providing a digital signature. Sta ng their name verbally may be preferable if the research involves par cipants for whom wri ng is a challenge, who are not accustomed to signing their names, or who wish, by not documen ng their consent in wri ng, to remain anonymous in the data records. Providing an overt ac on may be sufficient if the data is being collected anonymously such as clicking ‘yes’ to begin an online interview. Offering a waiver and having a second eyewitness if the research has no other record of par cipants’ iden es and where their iden ty is the main risk for poten al harm. Protec ng vulnerable par cipants such as minors (i.e., 18 years or under) might involve a designate providing consent verbally or in wri ng on their behalf.

Gaining access also means finding individuals who can provide access to the research site and facilitate the collec on of data. The permissions and building of rapport will differ depending on the type of qualita ve approach being used and the par cipants sought. For a narra ve study, inquirers gain informa on from individuals by obtaining their permission to par cipate in the study. Study par cipants should be apprised of the mo va on of the researcher for their selec on, granted anonymity (if they desire it), and told by the researcher about the purpose of the study. This disclosure helps build rapport. As in the Chan (2010; see Appendix A) narra ve study of a single individual, access to family and community members, biographical documents, and archives required permission from the individual(s). In a phenomenological study in which the sample includes individuals who have experienced the phenomenon, it is also important to obtain par cipants’ consent to be studied. This is the case in the Chance (2022; see Appendix B) study of the lived experiences of adversity as Black women in higher educa on leadership. In such a study of a sensi ve topic, it was important to have in place measures to protect the iden es of par cipa ng individuals. In a grounded theory study, the par cipants need to provide permission to be studied, while the researcher should have established rapport with the par cipants so that they will disclose detailed perspec ves about responding to an ac on or a process. The grounded theorist starts with a homogeneous sample and individuals who have commonly experienced the ac on or process. In the grounded theory study of the caregiving rela onship process of aging people with intellectual disabili es in families, Trip and colleagues (2019; see Appendix C) ini ally approached residen al and voca onal intellectual disability service providers to seek their guidance to ascertain if people accessing their services met the inclusion criteria. In an ethnography, access typically begins with a gatekeeper, an individual who is a member of or has

insider status with a cultural group. This gatekeeper is the ini al contact for the researcher and leads the researcher to other par cipants (Atkinson, 2015). An example of such a gatekeeper are the two young men who provided the ini al access point to the group studied in the ethnography described by Mac an Ghaill and Haywood (2015; see Appendix D). A gatekeeper can be especially important when seeking access to vulnerable groups because of the trust, culture, and language concerns iden fied by Creswell and Gue erman (2019). Approaching this gatekeeper and the cultural system of a community slowly is necessary. See Chilisa (2020) and Tuhiwai Smith (2023) to learn about how Indigenous ways of knowing and being can inform your work with Indigenous communi es and help you gain awareness about the harm of colonial prac ces and the promise of current decolonizing prac ces. For both ethnographies and case studies, gatekeepers require informa on about the studies that o en includes answers from the researchers to the following ques ons, as Bogdan and Biklen (1992) suggest:

Why was the site chosen for study? What will be done at the site during the research study? How much me will be spent at the site by the researcher(s)? Will the researcher’s presence be disrup ve? How will the results be reported? What will the gatekeeper, the par cipants, and the site gain from the study (reciprocity)?

In case study, it is o en the researchers who are seeking access to a specific bounded system. Similar to other qualita ve approaches, rapport must be built, and par cipants must consent to be studied if the researchers are going to collect data. In situa ons where researchers rely on exis ng data, such as the one described in Goodrum et al., (2022; see Appendix E) inquirers must nego ate data access but not site access or permissions from par cipants. See Poth (2019) for guidance about what methodological details (including ethical procedures followed in the original study) to report when using exis ng (also referred to as reusing) qualita ve data. Purposeful Sampling Strategies Three considera ons go into the purposeful sampling approach in qualita ve research, and these considera ons vary depending on the specific approach. They include whom to select as par cipants (or sites) for the study, the specific type of sampling strategy, and the size of the sample to be studied. Such decisions are essen al to enhance equity and promote diversity in recruitment and sampling (Poth, 2021). Par cipants in the Sample In a narra ve study, the researcher reflects more on whom to sample—the individual may be convenient to study because they are available; a poli cally important individual who a racts a en on or is marginalized; or a typical, ordinary person. All of the individuals need to have stories to tell about their lived experiences. Inquirers may select several op ons, depending on whether the person is marginal, great, or ordinary (Plummer, 1983). The schoolgirls, who consented to par cipate and provided insigh ul informa on about gender-based violence, poverty, and HIV/AIDS (Simmonds et al., 2015), were convenient to study but also provided a

cri cal illustra on of the types of challenges surrounding broader issues of gender within an African society. Ai Mei Zhang was a Chinese immigrant student in Canada who could inform an understanding of the ethnic iden ty through student, teacher, and parent narra ves (Chan, 2010; see Appendix A). We have found, however, a much narrower range of sampling strategies for phenomenological studies. It is essen al that all par cipants have experience of the phenomenon being studied. Criterion sampling works well when all individuals studied represent people who have experienced the phenomenon. Par cipants in the Chance (2022; see Appendix B) phenomenology were recruited by blending convenience, purposive, and snowball sampling techniques. All par cipants met the following three criteria for par cipa on: (a) Black women; (b) president/chancellor, vice president/vice chancellor, or provost of a 4-year college or university in the United States; (c) individuals who had obtained or had been comple ng a terminal degree. Chance (2022) describes her sampling popula on as unique, small, and limited. However, they all experienced leadership, the phenomenon under study. In a grounded theory study, the researcher chooses par cipants who can contribute to the development of the theory. Corbin and Strauss (2015) refer to theore cal sampling, which is a process of sampling individuals who can contribute to building the opening and axial coding of the theory. This begins with selec ng and studying a homogeneous sample of individuals (e.g., all women who have experienced childhood abuse) and then, a er ini ally developing the theory, selec ng and studying a heterogeneous sample (e.g., types of support groups other than women who have experienced childhood abuse). The ra onale for studying this heterogeneous sample is to confirm or disconfirm the condi ons, both contextual and intervening, under which the model holds. The Trip et al. (2019; see Appendix C) grounded theory study used nonprobability sampling and recruited using “adver sements placed in a religious publica on, a carers newsle er, and public no ces in local newspapers and on websites” (p. 1597). The 19 people with intellectual disabili es met specific criteria of being approximately 40 years of age, having a mild to moderate level of intellectual disability, having expressive language, having the ability to consent to par cipate, and having lived with or been supported by someone they iden fied as “family” for at least 5 years. These par cipants then nominated 28 family members to contribute their perspec ves to develop a theory of the caregiving rela onship process of aging people with intellectual disabili es in families that explains naviga ng transi ons across the life course. In ethnography, once the inves gator selects a site with a cultural group, the next decision is who and what will be studied. Thus, within-culture sampling proceeds and several authors offer sugges ons for this procedure. Fe erman (2019) recommends proceeding with the big net approach, where at first the researcher mingles with everyone. Ethnographers rely on their judgment to select members of the subculture or unit based on their research ques ons. They take advantage of opportuni es (i.e., opportunis c sampling; Miles et al., 2019) or establish criteria for studying select individuals (criterion sampling). The criteria for selec ng who and what to study, according to Hammersley and Atkinson (2019), are based on gaining some perspec ve on chronological me in the social life of the group, people representa ve of the

culture-sharing group in terms of demographics, and the contexts that lead to different forms of behavior. In their ethnography of Bri sh-born, Pakistani and Bangladeshi young men, Mac an Ghaill and Haywood (2015; see Appendix D) a ribute their access as “greatly enabled by our being known for our social commitment to the local area, working with families in the local community” (p. 100) and snowball sampling from the ini al two young men as effec ve for iden fying par cipants. In a case study, we prefer to select unusual cases in collec ve case studies and employ maximum varia on as a sampling strategy to represent diverse cases and to fully describe mul ple perspec ves about the cases. Extreme and deviant cases may comprise a collec ve case study, such as the study of the unusual user experience of the Silk Road, the virtual drug marketplace (Van Hout & Bingham, 2013; see also Example 4.5) and the unusual case studied by Goodrum et al. (2022; see Appendix E) as one of only two known cases where a school threat assessment was conducted with a student prior to a deadly school a ack. Types of Sampling Strategies The concept of purposeful sampling is used in qualita ve research. This means that the inquirer selects individuals and sites for study because they can purposefully inform an understanding of the research problem and central phenomenon in the study. Decisions need to be made about who or what should be sampled, what form the sampling will take, and how many people or sites need to be sampled. Further, the researchers need to decide if the sampling will be consistent with the informa on within one of the five approaches to inquiry. We will begin with some general remarks about sampling and then turn to sampling within each of the five approaches. The decision about who or what should be sampled can benefit from the conceptualiza on of Marshall et al. (2021), who provide an example of sampling four aspects: people, ac ons, events, and/or processes. They also note that sampling can change during a study and that researchers need to be flexible; but despite this, researchers need to plan ahead as much as possible for their sampling strategy. We like to think in terms of levels of sampling in qualita ve research. Researchers can sample at the site level, at the event or process level, and at the par cipant level. In a good plan for a qualita ve study, one or more of these levels might be present, and each one needs to be iden fied. On the ques on of what form the sampling will take, we need to note that there are several qualita ve sampling strategies available (see Table 7.3 for a list of possibili es). These strategies have names and defini ons, and they can be described in research reports. Also, researchers might use one or more of the strategies in a single study. Looking down the list, maximum varia on sampling is listed first because it is a popular approach in qualita ve studies. This approach consists of determining in advance some criteria that differen ate the sites or par cipants and then selec ng sites or par cipants that are quite different from the criteria. This approach is o en selected because when a researcher maximizes differences at the beginning of the study, it increases the likelihood that the findings will reflect differences or different perspec ves—an ideal in qualita ve research. Other sampling strategies frequently used are cri cal cases, which provide specific informa on about a problem, and convenience

cases, which represent sites or individuals from which the researcher can easily access and collect data. Table 7.3 Types of Sampling Strategies in Qualita ve Inquiry

Source: Miles and Huberman (1994, p. 28). Reprinted with permission from Sage. Sample Size The size ques on is an important decision in sampling. One general guideline for sample size in qualita ve research is to study a few sites or individuals and collect extensive detail about each site or individual studied. The intent in qualita ve research is not to generalize the informa on (except in some forms of case study research) but to elucidate the par cular, the specific (Pinnegar & Daynes, 2007). Beyond these general sugges ons, each of the five approaches to research raises specific sample size considera ons. See also Guest et al. (2013) for their discussion of sampling considera ons across data forms. In narra ve research, we have found many examples with one or two individuals, unless a larger pool of par cipants is used to develop a collec ve story (Huber & Whelan, 1999). In phenomenology, we have seen the number of par cipants range from 1 (Padilla, 2003) up to 325 (Polkinghorne, 1989). Dukes (1984) recommends studying 3 to 10 par cipants, and in one phenomenology, Edwards (2006) studied 33 individuals. In grounded theory, we recommend including 20 to 30 individuals to develop a well-saturated theory, but this number may be much larger (Charmaz, 2014). In ethnography, we like well-defined studies of single culture-sharing

groups, with numerous ar facts, interviews, and observa ons collected un l the workings of the cultural group are clear. For case study research, we would recommend four or five cases in a single study (Yin, 2017). This number should provide ample opportunity to iden fy themes of the cases as well as conduct cross-case theme analysis. Wolco (2008a) maintains that any case over one dilutes the level of detail that a researcher can provide. Forms of Data New forms of qualita ve data con nually emerge in the literature (see Creswell & Creswell, 2023; Creswell & Gue erman, 2018; Fielding et al., 2017; Merriam & Tisdell, 2015; Paulus & Lester, 2021; Warren & Xavia Karner, 2014), but all forms might be grouped into basic types. They may be interviews ranging from synchronous (where online exchanges may occur at the same me) to asynchronous (where we may post or send a message not knowing when a response will be received online or in-person). Also interviews may range from one-to-one to group interac ons. Observa ons are also popular in qualita ve research (ranging from nonpar cipant to par cipant). Researchers also collect documents and ar facts (ranging from personal to public), and audiovisual and social media materials (ranging from photographs to social media posts). Over the years, a compendium with an evolving list of data types has emerged, as shown in Figure 7.3.

Figure 7.3 A Compendium of Data Forms in Qualita ve Research We organize the list into the four basic types, although some forms may not be easily placed into one category or the other. Once considered new forms of data such as journaling in narra ve story wri ng, interviewing via e-mail messages, and observing through examining

videos and photographs are now joined by journaling in text messaging, observing using social media posts, and interviewing using avatars. Par cularly noteworthy have been the emergence of procedures for qualita ve research using online, visual, social media, and arts-based research methods (Morris & Paris, 2022; Pauwels & Mannay, 2019; Quan-Haase & Sloan, 2022). Common formats of computer-mediated data collec on for qualita ve research include virtual focus groups and asynchronous interviews via e-mail or text-based chat rooms, weblogs and life journals (such as open-ended diaries online), and social media posts and interac ons (Halfpenny & Procter, 2015; Paulus & Lester, 2021; Warren & Xavier Karner, 2014). Some ethnographic researchers have conducted advanced qualita ve studies online, collec ng data through e-mail, chat room interac ons, instant messaging, videoconferencing, and the images and sounds of the websites (Garcia et al., 2009). Paulus and Lester (2021) describe the widespread benefits of adop ng new digital technologies in our data collec on for cost and

me efficiency in terms of reduced costs for travel and data transcrip on and increased ease of collabora on and communica ons. Asynchronous data collec on can provide temporal flexibility that allows more me for par cipants to consider and respond to requests for informa on. Virtual focus groups (when compared to face-to face) can create a nonthreatening and comfortable environment, providing greater ease for par cipants discussing sensi ve issues (Nicholas et al., 2010). Importantly, online data collec on can increase the pool of poten al study par cipants by reaching individuals who are geographically dispersed, socially isolated, and hard-to-reach (due to prac cal constraints, disability, or language or communica on barriers). Reaching these groups leads to more equitable qualita ve research procedures and outcomes (Salmons, 2022). There are, however, increased ethical concerns with online data collec on, such as par cipants’ privacy protec on, new power differen als, ownership of the data, authen city, and trust in the data collected (Marshall et al., 2021; Nicholas et al., 2010; Salmons, 2022). This is par cularly noteworthy when working with children, such as the ethnographic study conducted by Jachyra et al. (2015) with adolescent boys using social media. See Figure 7.4 for an innova ve visual representa on by Salmons of the interconnectedness of online research ethics among the researcher, human par cipants, data quality, and online research site.

Source: Salmons (2022, p. 79). Used with permission from Sage. Moreover, online qualita ve research brings new requirements to both par cipants and researchers. For instance, par cipants are required to have some technical skills, access to the Internet, and necessary reading and wri ng proficiency. Online qualita ve researchers have to adapt to new data quality and ethical responsibili es (Tiidenberg, 2018) and ways of interac ng (Salmons, 2022), for example, conduc ng screen-based observa ons, building rapport virtually, and using wri en chat func ons. We encourage individuals designing qualita ve projects to explore and include new and crea ve data collec on methods that will encourage readers and editors to examine their studies. While the choice of crea ve qualita ve data collec on methods depends upon the individual study and par cipant circumstances, we offer four examples from journal ar cles in Example 7.2.

The par cular approach to research o en directs a qualita ve researcher’s a en on toward preferred approaches to data collec on, although these preferred approaches cannot be seen as rigid guidelines. Researchers need to consider visual ethnography (Marion & Crowder, 2013; Pink, 2013) or the possibili es of narra ve research to include living stories, metaphorical visual narra ves, and digital archives (see Clandinin, 2007). Czarniawska (2004) men ons three ways to collect data for stories: recording spontaneous incidents of storytelling, elici ng stories through interviews, and asking for stories through such mediums as the Internet. Clandinin and Connelly (2000) suggest collec ng field texts through a wide array of sources—autobiographies, journals, researcher field notes, le ers, conversa ons, interviews, stories of families, documents, photographs, and personal-family-social ar facts. The conflic ng stories of Ai Mei’s ethnic iden ty were generated through personal observa ons, interviews, field notes, and a endance at events (Chan, 2010; see Appendix A). For a phenomenological study, the process of collec ng informa on involves primarily in-depth interviews (e.g., the discussion about the long interview in McCracken, 1988) with as many as 10 individuals. The important point is to describe the meaning of the phenomenon for a small number of individuals who have experienced it. O en mul ple interviews are conducted with each of the research par cipants. The unprecedented study circumstances of the COVID-19 pandemic for higher educa on leaders was a probable barrier to mul ple interviews for Chance (2022; see Appendix B). To personalize the semi-structured interview protocol ques ons ahead of her interviews, Chance asked par cipants to complete the Lived Experiences Timeline ac vity and demographic survey. Besides interviewing and self-reflec on, Polkinghorne (1989) advocates gathering informa on from depic ons of the experience outside the context of the research projects, such as descrip ons drawn from novelists, poets, painters, and choreographers. We recommend Lauterbach (1993), the study of wished-for babies from mothers, as an especially rich example of phenomenological research using diverse forms of data collec on. Interviews play a central role in the data collec on in a grounded theory study. This was the case for Trip et al. (2019; see Appendix C) with the interview protocols informed by the Family Quality of Life ques onnaire. In another study, each interview with 33 academic chairpersons lasted approximately an hour (Creswell & Brown, 1992). Other data forms besides interviewing, such as par cipant observa on, researcher reflec on or journaling (memoing), par cipant journaling, and focus groups, may be used to help develop the theory (Birks & Mills, 2023; Corbin & Strauss, 2015). In an ethnographic study, the inves gator collects descrip ons of behavior through observa ons, interviews, documents, and ar facts (Atkinson, 2015; Fe erman, 2019; Spradley, 1980), although observing and interviewing appear to be the most popular forms of

ethnographic data collec on. In the study by Mac an Ghaill and Haywood (2015; see Appendix D), group and life history interviews provided the framework through which to explore a range of cri cal incidents experienced by the Bri sh-born Pakistani and Bangladeshi young men. Ethnography has the dis nc on among the five approaches, we believe, of advoca ng the use of quan ta ve surveys and tests and measures as part of data collec on. For example, examine the wide array of forms of data in ethnography as advanced by LeCompte and Schensul (1999). They reviewed ethnographic data collec on techniques of observa on, tests and repeated measures, sample surveys, interviews, content analysis of secondary or visual data, elicita on methods, audiovisual informa on, spa al mapping, and network research. Like ethnography, case study data collec on involves a wide array of procedures as the researcher builds an in-depth picture of the case. We are reminded of the mul ple forms of data collec on recommended by Yin (2017) in his book about case studies. He referred to six forms: documents, archival records, interviews, direct observa on, par cipant observa on, and physical ar facts. This was the case for Goodrum et al. (2022; see Appendix E) whose study drew upon deposi on tes mony, inves ga on reports, and exhibits. To represent the extensive data collec on involved in a campus gun incident case study, Asmussen and Creswell (1995) used a matrix of informa on of the four types of data (interviews, observa ons, documents, and audiovisual materials) in the columns and the specific forms of informa on (e.g., students at large, central administra on) in the rows. The use of a matrix, which is especially applicable in an informa on-rich case study, might serve the inquirer equally well in all approaches of inquiry to convey the depth and mul ple forms of data collec on. Of the four forms of data collec on in Figure 7.3, documents, audiovisual material, and social media are typically used to supplement interviews and observa ons. Yet it is important to recognize the important historical and contextual informa on generated by a review of exis ng individual and organiza onal documents and ar facts (Prior, 2003). To mi gate many of the challenges of reviewing documents, audiovisual, and social media materials, we recommend nego a ng access to materials ahead of me, defining clear inclusion or exclusion criteria based on the purpose for the data, and alloca ng adequate me for review and synthesis. Interviewing and observing deserve special a en on because they are frequently used in all five of the approaches to research. En re books are available on these two topics (e.g., on interviewing: Brinkman, 2018; Brinkmann & Kvale, 2015; Rubin & Rubin, 2012; on observing: Angrosino, 2007; Bernard, 2017); thus, we highlight basic procedures that we recommend to prospec ve interviewers and observers. Interviewing An interview is a social interac on based on a conversa on (Rubin & Rubin, 2012; Warren & Xavia Karner, 2014). According to Brinkmann and Kvale (2015), an interview is where “knowledge is constructed in the interac on between the interviewer and the interviewee” (p. 4). The qualita ve research interview is further described as “a empts to understand the world from the subjects’ point of view, to unfold the meaning of their experience, to uncover their lived world” (p. 3). Who is interviewed and what ques ons are asked depends on the purpose

of the study and research ques ons guiding the study. It is not surprising given the complex skills necessary for conduc ng a good interview, that interviewing is o en referred to as a “cra ” that is developed through prac ce (Brinkmann & Kvale, 2015; Rubin & Rubin, 2012). One might view interviewing as consis ng of a series of steps. As shown in Figure 7.5, authors have specified the steps necessary to conduct qualita ve interviews.

Figure 7.5 Procedures for Preparing and Conduc ng Interviews The Brinkmann and Kvale (2015) seven stages of an interview inquiry report a logical sequence star ng with thema zing the inquiry; designing the study; interviewing; transcribing the interview; analyzing the data; verifying the validity, reliability, and generalizability of the findings; and finally, repor ng the study. The seven steps described by Rubin and Rubin (2012), called the responsive interviewing model, are similar in scope to Brinkmann and Kvale (2015), but they view the sequence as not fixed, allowing the researcher to change the ques ons asked, the sites chosen, and the situa ons to study. Both approaches to the stages of interviewing sweep across the many phases of research from deciding on a topic to the actual wri ng of the study. In the approach presented here, we focus on the data collec on process in some detail, recognizing that this process is embedded within a larger sequence of research. The steps are as follow:

Determine the research ques ons that will be answered by interviews. These ques ons are open-ended, general, and focused on understanding your central phenomenon in the study. Iden fy interviewees who can best answer these ques ons based on one of the purposeful sampling procedures men oned in the preceding discussion (see Table 7.3). Dis nguish the type of interview by determining what mode is prac cal and what interac ons will net the most useful informa on to answer research ques ons. We recommend assessing the types available and deciding the best fit for the context.

Collect data using adequate recording procedures when conduc ng one-on-one or focus group interviews. We recommend microphone equipment that is sensi ve to the acous cs of the room from its loca on, such as the use of lapel microphones or headsets. We also recommend using more than one recording device placed at different loca ons in a group environment. Design and use an interview protocol, or interview guide (Brinkmann & Kvale, 2015). Use approximately five to seven open-ended ques ons and ample space between the ques ons to write responses to the interviewee’s comments (see the sample protocol in Figure 7.6). Refine the interview ques ons and the procedures through pilot tes ng. In an ethnography of boat pilots aboard cargo vessels, Sampson (2004) used pilot tes ng to refine and develop research instruments, assess the degrees of observer bias, frame ques ons, collect background informa on, and adapt research procedures. In case study research, Yin (2017) recommends a pilot test to refine data collec on plans and develop relevant lines of ques ons. These pilot cases are selected based on convenience, access, and geographic proximity. Locate a distrac on-free place for conduc ng the interview. Find, if possible, a physical se ng where a private conversa on can be held that lends itself to audiotaping. Obtain consent from the interviewee to par cipate in the study by comple ng a consent form approved by the human rela ons review board. At the beginning of the interview, review the purpose of the study, the amount of me that will be needed to complete the interview, their right to withdraw from the study, and plans for using the results from the interview (offer a copy of the report or an abstract of it to the interviewee). As an interviewer, follow good interview procedures. Stay within the study boundaries you have reviewed, use the protocol to guide your ques ons, complete the interview within the me specified, be respec ul and courteous, and offer few ques ons and advice. This last point is an important reminder of how a good interviewer is a good listener rather than a frequent speaker during an interview. Decide on transcrip on logis cs ahead of me. For example, what will be transcribed if needed? If so ware will be used, then how will it be checked? Decisions here need to be made about verbal cues and extraneous words and u erances (e.g., “hmms”). Analysis will be limited if you don’t include certain things.

Figure 7.6 Sample Interview Protocol or Guide One step in the procedure we will highlight: designing an interview protocol. Earlier (in Chapter 6) we spoke about how the research subques ons could be used as the key ques ons during an interview. An interview protocol, contains these key ques ons, and they are bounded on the front end by ques ons invi ng the interviewee to open up and talk and located at the end by ques ons about “Whom should I talk to in order to learn more?” or comments thanking the par cipants for their me for the interview. Figure 7.6 illustrates a sample interview protocol or guide. How the interac ons take place depends on the choice of interview approach. A basic considera on is the degree to which the researcher structures the interview. In a structured interview the researcher predetermines the ques ons and provides response op ons. This approach is typically used in quan ta ve research. In semi-structured interviewing, the research uses some structured ques ons as well as open-ended ques ons without response op ons. In unstructured interviews, the researcher asks open-ended ques ons without specifying in advance the response op ons. For qualita ve research, we favor using unstructured interviews, providing open-ended ques ons, and learning par cipant views about the central phenomenon being explored. The type of interview op ons vary considerably. Varia ons for one-on-one interviews include both the interviewee and interviewer being physically located in the same room, talking face-to-

face using technology (e.g., Zoom or avatars in a virtual environment), or talking over the phone. An alterna ve to talking is to interact in wri ng using text messaging or an online chat func on. Focus groups are advantageous when the interac on among interviewees will likely yield the best informa on, when interviewees are similar and coopera ve with each other, when me to collect informa on is limited, and when individuals interviewed one-on-one may be hesitant to provide informa on (Krueger & Casey, 2014; Morgan, 1997, 2019). Krueger and Casey (2014) discuss the use of focus groups on the Internet, including the use of chat room and bulle n board groups. They discuss how to manage the Internet groups as well as how to develop ques ons for the groups. Problems that require planning for online focus groups include scheduling across interna onal me zones, documen ng informed consent, and ensuring par cipants avoid talking “over” one another. Regardless of interview mode, care must be taken to create an environment as comfortable as possible and, in group se ngs, to encourage all par cipants to talk and to monitor individuals who may dominate the conversa on. Observing Observa on is one of the key tools for collec ng data in qualita ve research. It is the act of no ng a phenomenon in a field se ng through the five senses of the observer, o en with a note-taking instrument, and recording it for scien fic purposes (Angrosino, 2007). The observa ons are based on the research purpose and ques ons. During observa ons, researchers watch the physical se ng, par cipants, ac vi es, interac ons, conversa ons, and their own behavior. Researchers also use their senses, including sight, sound, touch, smell, and taste. Wri ng down everything is impossible. Thus, we recommend star ng the observa on broadly and then concentra ng on addressing the research ques ons. To one degree or another, the observer is usually involved in that which they are observing. The extent to which the observer is engaged in terms of par cipa ng and observing is usually dis nguished into four observa on types:

Complete par cipant. The researcher is fully engaged with the people he or she is observing. This engagement may help the researcher establish greater rapport with the people being observed (Angrosino, 2007). Par cipant as observer. The researcher is par cipa ng in the ac vity at the site. The par cipant role is more salient than the researcher role. This involvement may help the researcher gain insider views and subjec ve data. However, it may be distrac ng for the researcher to record data when they are integrated into the ac vity (Bogdewic, 1999). Nonpar cipant observer. The researcher is an outsider of the group under study, watching and taking field notes from a distance. As an observer, the researcher records data without direct involvement with the ac vity or people (Bernard, 2017). Complete observer. The researcher is neither seen nor no ced by the people under study.

As a good qualita ve observer, changing roles during an observa on may occur, such as star ng as a nonpar cipant and then moving into the par cipant role, or vice versa. Par cipant observa on, for example, offers possibili es for the researcher on a con nuum from being a complete outsider to being a complete insider (Fe erman, 2019). The approach of changing

one’s role from that of an outsider to that of an insider through the course of the ethnography is well documented in ethnographic fieldwork (Bernard, 2017). Wolco ’s (1994) study of the Principal Selec on Commi ee illustrates an outsider perspec ve, as he observed and recorded events in the process of selec ng a principal for a school without becoming an ac ve par cipant in the commi ee’s conversa ons and ac vi es. Observing in a se ng involves special researcher skills such as impression management to not disclose reac ons. The researcher may also experience marginaliza on in a strange se ng or decep on by the people being interviewed (Atkinson, 2015). Like interviewing, we also see observing as a series of procedural steps that involve preparing for and conduc ng observa ons as summarized in Figure 7.7.

Figure 7.7 Procedures for Preparing for and Conduc ng Observa ons

Select a site to be observed and gain access. Obtain the required permissions needed to gain access to the site. At the site, iden fy who or what to observe, when, and for how long. A gatekeeper helps in this process. Select an observa onal role as an observer. This role can range from that of a complete par cipant (going na ve) to that of a complete observer. We especially like the procedure of being an outsider ini ally, followed by becoming an insider over me. Design and use an observa onal protocol as a method for recording field notes. Include in this protocol both descrip ve and reflec ve notes (i.e., notes about your experiences, hunches, and learnings). Make sure the protocol is headed by the date, place, and me of observa on (Angrosino, 2007). See Figure 7.8 for a sample observa onal protocol.

Record aspects such as portraits of the par cipants, the physical se ng, par cular events and ac vi es, and personal reac ons (Bogdan & Biklen, 1992). Describe what happened including personal reflec ons, insights, ideas, confusions, hunches, ini al interpreta ons, and breakthroughs. Build ini al rapport by being introduced by someone if an outsider, having a passive and friendly a tude, and star ng with limited objec ves in the first few sessions of observa on. The early observa onal sessions may be mes in which to take minimal notes and simply observe. As an observer, follow good observa onal procedures. A er observing, slowly withdraw from the site, thanking the par cipants and informing them of the use of the data and their access to the study. Prepare mely notes that are thick and rich in narra ve descrip on a er the observa on. Give a full descrip on of the people and events under observa on (Emerson et al., 2011).

Figure 7.8 Sample Observa onal Protocol Recording Informa on Procedures

In discussing interviewing and observing procedures, we men on the use of a protocol, a predesigned form used to guide informa on collec on during an interview or observa on. The interview protocol helps a researcher organize thoughts on interviewee responses to par cular ques ons, items such as headings, informa on about star ng the interview, concluding ideas, informa on on ending the interview, and thanking the respondent. Figure 7.6 provided the interview protocol used in the gunman case study (Asmussen & Creswell, 1995). Besides the five open-ended ques ons in the study, this form contains several features we recommend. The instruc ons for using the interview protocol are as follows:

Use a header to record essen al informa on about the project and as a reminder to go over the purpose of the study with the interviewee. This heading might also include informa on about confiden ality and address aspects included in the consent form. Place space between the ques ons in the protocol form. Recognize that an individual may not always respond directly to the ques ons being asked. For example, a researcher may ask Ques on 2, but the interviewee’s response may be to Ques on 4. Be prepared to write notes on all of the ques ons as the interviewee speaks. Memorize the ques ons and their order to minimize losing eye contact with the par cipant. Provide appropriate verbal transi ons from one ques on to the next. Write out the closing comments that thank the individual for the interview and request follow-up informa on, if needed, from them.

During an observa on, use an observa onal protocol to record informa on. As shown in Figure 7.8, this protocol contains notes taken by a student on a class visit by the late professor Harry Wolco . We provide only one page of the protocol, but this is sufficient for one to see what it includes. It has a header giving informa on about the dura on of the observa onal session and then includes a “descrip ve notes” sec on for recording a descrip on of ac vi es. The sec on with a box around it in the “descrip ve notes” column indicates the observer’s a empt to summarize, in chronological fashion, the flow of ac vi es in the classroom. This can be useful informa on for developing a chronology of the ways the ac vi es unfolded during the class session. There is also a “reflec ve notes” sec on for notes about the process, reflec ons on ac vi es, and summary conclusions about ac vi es for later theme development. A line down the center of the page divides descrip ve notes from reflec ve notes. A visual sketch of the se ng and a label for it provide addi onal useful informa on. Recording informa on is essen al and can take various forms, such as observa onal field notes, interview write-ups, and documents as well as mapping responses onto a protocol, photographing, shoo ng video, and recording sound. An informal process may occur in recording informa on comprising ini al “jo ngs” (Emerson et al., 2011). These on-the-spot notes, daily logs, or summaries build upon the jo ngs, and can be useful during data analysis. See Marshall et al. (2021) and Sanjek (1990) for examples of field notes. These forms of recording informa on are popular in narra ve research, ethnographies, and case studies. Once informa on is recorded, consider “member checking,” taking themes or stories back to par cipants to check for accuracy (see also Chapter 10). Fieldwork Issues

Researchers engaged in studies within all five approaches face fieldwork issues when gathering data that need to be an cipated. Resources for guiding fieldwork and arising issues have expanded considerably in scope and number as interpre ve frameworks (see Chapter 2) have been widely discussed. Beginning researchers are o en overwhelmed by the amount of me needed to collect qualita ve data and the richness of the data encountered. As a prac cal recommenda on, we suggest that beginners start with limited data collec on and engage in a pilot project to gain some ini al experiences (Sampson, 2004). This limited data collec on might consist of one or two interviews or observa ons so that researchers can es mate the me needed to collect data and revise their protocols accordingly. One way to think about and an cipate the types of issues that may arise during data collec on is to view the issues as they relate to several aspects of data collec on, including entry and organiza onal access, procedures for par cipant observa ons, dynamics between interviewer and interviewee, and availability of documents and audiovisual or social media materials. Entry and Organiza onal Access Gaining access to organiza ons, sites, and individuals to study has its own challenges. Recrui ng individuals to par cipate in the study, building trust and credibility at the field site, and engaging people from a site are all important access challenges. Factors related to considering the appropriateness of a site need to be considered as well (see Weis & Fine, 2000). For example, researchers may choose a site that is one in which they have a vested interest (e.g., employed at the site, a study of superiors or subordinates at the site), thus limi ng the researcher’s ability to develop diverse perspec ves on coding data or developing themes. A researcher’s own par cular “stance” within the group may limit acknowledging all dimensions of the experiences. The researcher may hear or see something uncomfortable when collec ng data. In addi on, par cipants may be fearful that their issues will be exposed to people outside their community. Also related to access is the changing nature of situa ons and appropriate

ming for specific contexts. For example, in K–12 educa on se ngs avoid trying to access sites at the beginning or the end of the year, which are mes of school transi ons. Procedures for Par cipant Observa ons The types of challenges experienced during observa ons will closely relate to the role of the inquirer in observa on, such as whether the researcher assumes a par cipant, nonpar cipant, or middle-ground posi on. There are challenges as well with the mechanics of observing, such as remembering to take field notes, recording quotes accurately for inclusion in field notes, determining the best ming for moving from a nonpar cipant to a par cipant (if this role change is desired), keeping from being overwhelmed with informa on, and learning how to funnel the observa ons from the broad picture to a narrower one in me. Differences in researcher experiences as par cipant observers is highlighted by the commentaries of Labree (2002) and Ezeh (2003). Labaree (2002), who was a par cipant in an academic senate on a campus, noted the advantages of this role and discussed dilemmas associated with entering the field, disclosing oneself to the par cipants, sharing rela onships with other individuals, and a emp ng to disengage from the site. Ezeh (2003), a Nigerian researcher who studied the Orring, a li le-known minority ethnic group in Nigeria, found that being of the same na onality

did not reduce challenges at the research site. Although he found that during his ini al contact the group was suppor ve, the more he became integrated into the host community, the more he experienced human rela ons problems, such as being accused of spying, pressured to be more generous in his material gi s, and suspected of trysts with women. Dynamics Between Interviewer and Interviewee Challenges in qualita ve interviewing o en focus on the mechanics of conduc ng the interview. Roulston et al. (2003) chronicled the challenges in interviewing encountered by postgraduate students during a 15-day intensive course. These challenges related to unexpected par cipant behaviors and students’ ability in crea ng good instruc ons, nego a ng ques ons, dealing with sensi ve issues, and developing transcrip ons. Suoninen and Jokinen (2005), from the field of social work, asked whether the phrasing of interview ques ons led to subtle persuasive ques ons, responses, or explana ons. Undoubtedly, conduc ng interviews is taxing, especially for inexperienced researchers engaged in studies that require extensive interviewing, such as phenomenology, grounded theory, and case study research. Equipment issues loom large as a problem in interviewing, and both recording and transcribing equipment need to be organized in advance of the interview. The process of building rapport and asking ques ons during an interview (e.g., saying li le, handling emo onal outbursts, using icebreakers) includes problems that an interviewer must address. Many inexperienced researchers express surprise at the difficulty of conduc ng interviews and the lengthy process involved in reviewing transcripts and (if applicable) transcribing interview recordings. In addi on, in phenomenological interviews, asking appropriate ques ons and relying on par cipants to discuss the meaning of their experiences require pa ence and skill on the part of the researcher. Recent discussions about qualita ve interviewing highlight the importance of reflec ng about the rela onship that exists between the interviewer and the interviewee (Brinkmann & Kvale, 2015; Nunkoosing, 2005; Weis & Fine, 2000). For example, the research interview o en raises the power asymmetry (unequal power dynamic) between interviewer and interviewee. A research interview should not be regarded as a completely open and free dialogue between egalitarian partners, because the interview is directed by the interviewer. The interview is dialogue that is conducted one-way, provides informa on for the researcher, is based on the researcher’s agenda, and leads to the researcher’s interpreta ons. It can also contain “counter control” elements by the interviewee, who may withhold informa on. To correct for this asymmetry, Brinkmann and Kvale (2015) suggest more collabora ve interviewing, where the researcher and the par cipant approach equality in ques oning, interpre ng, and repor ng. On the problems of power and resistance, Nunkoosing (2005) dis nguishes truth from authen city, the impossibility of consent, and projec on of the interviewers’ own self (their status, race, culture, and gender). Weis and Fine (2000) raise addi onal ques ons for considera on: Are your interviewees able to ar culate the forces that interrupt, suppress, or oppress them? Do they erase their history, approaches, and cultural iden ty? Do they choose not to expose their history or go on record about the difficult aspects of their lives? These

ques ons and the points raised about the nature of the interviewer–interviewee rela onship cannot be easily answered for all interview situa ons. They do, however, sensi ze us to important challenges in qualita ve interviewing that need to be an cipated. A final issue is whether the researcher shares personal experiences with par cipants in an interview se ng such as in a case study, a phenomenology, or an ethnography. This sharing minimizes the “bracke ng” that is essen al to construct the meaning of par cipants in a phenomenology and reduces informa on shared by par cipants in case studies and ethnographies. Availability of Documents and Audiovisual and Social Media Materials In document research, many issues involve loca ng materials, o en at sites far away, accessing public materials, and obtaining permissions to use the materials (Marshall et al., 2021). For biographers, the primary form of data collec on might be archival materials from documents that may be online. New and emerging online qualita ve research methods and data forms con nue to raise important ethical considera ons (Paulus & Lester, 2021; Salmons, 2022). When researchers ask par cipants in a study to keep journals or to create audiovisual materials and documents during the process of research, addi onal fieldwork issues emerge. Journaling is a popular data collec on process in case studies and narra ve research. What instruc ons should be given to individuals prior to wri ng in their journals? Are all par cipants equally comfortable with journaling? Is it appropriate, for example, with small children who express themselves well verbally but have limited wri ng skills? The researcher also may have difficulty reading the handwri ng of par cipants who journal. Video recordings raise issues for the qualita ve researcher such as deciding on the best loca on for the camera and determining whether to provide close-up shots or distant shots. Data Storage and Security We are surprised at how li le a en on is given in books and ar cles to managing data storage of qualita ve data. Richards (2021) states that the usefulness of data storage systems is dependent on whether qualita ve researchers can find and retrieve the records: “Mountains of transcripts of interviews will distance any researcher from an understanding of the topic if there is no way of finding the data needed” (p. 93). Technology advances con nue to drama cally shi data management and storage prac ces, with Evers (2018) no ng, “storing informa on in and working ‘from the cloud’ is becoming standard procedure” (p. 67). The approach to storage will reflect the type of informa on collected, which varies by approach to inquiry and mode of collec on. In wri ng a narra ve life history, the researcher needs to organize researcher field notes, ar facts, and interview recordings. Crea ng backup copies of digital files requires the researcher to ensure the files are in the appropriate form (i.e., de-iden fied), in the proper loca on (e.g., external storage devices such as flash drives or cloud-based storage), and secure (i.e., password protected and encrypted), as described in the research ethics review board applica on. With large databases being created and used by some qualita ve researchers, data storage and security assumes major importance.

Some common data storage and handling procedures for qualita ve research include the following:

Create backup systems for all digital files. Use more than one audio recording device for interviews. Develop a data collec on matrix as a summary of informa on gathered, including file names for a study and storage loca on. Protect the anonymity of par cipants by masking their names and using pseudonyms in the data files for analysis. Develop a source list of par cipant names and pseudonyms. Store the source list separately from the data files for analysis.

COMPARING THE FIVE APPROACHES IN DATA COLLECTION Returning to Table 7.1, we see there are both differences and similari es among the ac vi es of data collec on for the five approaches to inquiry. Among the differences, certain approaches seem more directed toward specific types of data collec on than others. For case and narra ve studies, the researcher uses mul ple forms of data to build the in-depth case or the storied experiences. For grounded theory studies and phenomenological projects, inquirers rely primarily on interviews as data. Ethnographers highlight the importance of par cipant observa on and interviews, but as noted earlier, they may use many different sources of informa on. Unques onably, some mixing of forms occurs, but in general these pa erns of collec on by approach hold true. Second, the unit of analysis for data collec on varies among the five approaches. Narra ve researchers, phenomenologists, and grounded theorists study individuals; case study researchers examine groups of individuals par cipa ng in an event or ac vity or an organiza on; and ethnographers study en re cultural systems or subcultures of systems. Third, we found the amount of discussion about field issues to vary among the five approaches. Ethnographers have wri en extensively about field issues (e.g., Atkinson, 2015; Hammersley & Atkinson, 1995). This may reflect historical concerns about imbalanced power rela onships, imposing objec ve, external standards on par cipants, and failures to be sensi ve to marginalized groups. Narra ve researchers are less specific about field issues, although concerns have been voiced about how to conduct the interviews (Ellio , 2005). Across all approaches, ethical issues are widely discussed.

Fourth, the approaches vary in their level of intrusiveness in data collec on. Conduc ng interviews seem less intrusive in phenomenological projects and grounded theory studies than in the high level of access needed in personal narra ves, the prolonged stays in ethnographic fieldwork, and the immersion into programs or events in case studies. These differences do not lessen some important similari es that need to be observed. All qualita ve studies sponsored by public ins tu ons need to be approved by a human subjects review board, at least in the United States and in many countries around the globe. Also, the use of interviews and observa ons is central to many of the approaches. Furthermore, observa onal and interview protocols can be similar regardless of approach (although specific ques ons on each protocol will reflect the language of the approach). Finally, the issue of data storage of informa on is closely related to the form of data collec on and the basic objec ve of researchers, regardless of approach, and requires some management system for organized retrieval of informa on and secure storage. In Chapter 8, we build upon the data collec on circle with a data analysis spiral (see Figure 8.1) that provides essen al guidance for qualita ve researchers, before we detail specific analysis procedures for each of the five approaches.

SUMMARY In this chapter, we addressed several components of the data collec on process. The process involves loca ng a site or person to study; gaining access to and building rapport at the site or with the individual(s); sampling purposefully using one or more of the many approaches to sampling in qualita ve research; collec ng informa on through many forms, such as interviews, observa ons, documents, audiovisual and social media materials, and newer forms emerging in the literature; establishing approaches for recording informa on such as the use of interview or observa onal protocols; an cipa ng and addressing fieldwork issues; and developing a system for storing and securely handling the databases. The five approaches to inquiry differ in the diversity of informa on collected, the unit of study being examined, the extent of field issues discussed in the literature, and the intrusiveness of the data collec on effort. An essen al aspect for researchers, regardless of approach, is the collec on and management of data in an ethical manner. This typically involves gaining ins tu onal approvals—and in some cases, organiza onal and community approvals—from review boards prior to beginning the research and then following the consent, recording, and storage protocols that are described in the applica on. CHAPTER KEY TERMS Gatekeeper Maximum varia on sampling Observa onal protocol Purposeful sampling Sample size FURTHER READINGS Several readings extend this introduc on to data collec on, beginning with general resources and then by specific data forms. The list should not be considered exhaus ve, and readers are encouraged to seek out addi onal readings in the end-of-book reference list.

Chilisa, B. (2020). Indigenous research methodologies (2nd ed.). Sage. Bagele Chilisa describes diverse Indigenous research methodologies and provides illustra ve case studies from around the globe. She also provides prac cal guidance for researchers within Indigenous contexts. Creswell, J. W., & Gue erman, T. G. (2018). Educa onal research: Planning, conduc ng, and evalua ng quan ta ve and qualita ve research (5th ed.). Pearson. John W. Creswell and Timothy G. Gue erman introduce the steps for conduc ng qualita ve research alongside those for conduc ng quan ta ve research. This approach can be especially helpful for the researcher who has some exis ng research exper se or experience and finds the discussions about sampling and data collec on to be essen al reading. Flick, U. (Ed.). (2018). The SAGE handbook of qualita ve data collec on. Sage. As the handbook editor, Uwe Flick has compiled an excellent resource. Noteworthy chapters include Chapter 3 on “Ethics in Qualita ve Research Data Collec on” by Donna Mertens and Chapter 30 on “Ethics in Digital Research” by Katrin Tiidenberg. Salmons, J. E. (2022). Doing qualita ve research online. Sage. Janet Salmons offers prac cal guidance for ge ng started in online qualita ve data collec on. Of par cular note is the chapter on online interviews. FOR GUIDANCE RELATED TO INTERVIEWING Brinkmann, S., & Kvale, S. (2015). InterViews: Learning the cra of qualita ve research interviewing (3rd ed.). Sage. Svend Brinkmann and Steinar Kvale describe seven stages of an interview inves ga on to structure their comprehensive guidance for conduc ng interviews. Krueger, R. A., & Casey, M. A. (2014). Focus groups: A prac cal guide for applied research (5th ed.). Sage. A good overview for planning and conduc ng focus groups, this new edi on expands guidance on developing ques ons. Par cularly useful is the discussion on modera ng skills in different contexts (e.g., young par cipants, cross-cultural se ngs). Rubin, H. J., & Rubin, I. S. (2012). Qualita ve interviewing: The art of hearing data (3rd ed.). Sage. Herbert Rubin and Irene Rubin describe their seven-step responsive interviewing approach. The wri ng is accessible and provides access to the lessons learned from their extensive interview experiences. For Discussions About Making Observa ons and Taking Field Notes Angrosino, M. V. (2007). Doing ethnographic and observa onal research. Sage. Michael Angrosino provides a comprehensive guide to the process of conduc ng ethnographic research. Of par cular note is his discussion of ethical considera ons and descrip ons of a variety of data collec on techniques for par cipant observer field researchers. Bernard, H. R. (2017). Research methods in anthropology: Qualita ve and quan ta ve approaches (6th ed.). Rowman & Li lefield. In this comprehensive resource, Russ Bernard

outlines procedures for sampling, collec ng, and analyzing data. We find his guidance for observa onal procedures to be par cularly helpful. Emerson, R. M., Fretz, R. I., & Shaw, L. L. (2011). Wri ng ethnographic fieldnotes (2nd ed.). University of Chicago Press. Robert Emerson, Rachel Fretz, and Linda Shaw outline prac cal guidance for crea ng and interpre ng field notes. Through embedding illustra ve examples, they make accessible a difficult process to describe. For Informa on About Issues and Use of Documents, Audiovisual, and Social Media Materials Bauer, W. M., & Gaskell, G. D. (Eds.). (2007). Qualita ve research with text, image and sound: A prac cal handbook for social research. Sage. Noteworthy within this handbook are chapters related to the use of video, film, and photographs (Chapter 6), analysis guidance of conversa ons (Chapter 11), images (Chapters 13 and 14), and music (Chapter 15). Merriam, S. B., & Tisdell, E. J. (2015). Qualita ve research: A guide to design and implementa on (4th ed.). Jossey-Bass. This is a useful resource for designing, conduc ng, and repor ng qualita ve research. Of par cular note is their descrip on of documents including popular culture documents (e.g., cartoons, movies), visual data (e.g., video, web-based media), physical materials (e.g., personal, favorite objects), and ar facts (e.g., tools, electronics) Warren, C. A., & Xavia Karner, T. (2014). Discovering qualita ve methods: Ethnography, interviews, documents, and images (3rd ed.). Oxford University Press. Carol Warren and Tracey Xavia Karner describe the decisions and processes involved in sampling, collec ng, and analyzing a variety of types of documents and images. Descrip ons of Images and Figures Back to Figure In the center lies, “A end to Ethical Considera ons” surrounded by other circles in a circular sequence including “Loca ng site/individual,” “Gaining access and developing rapport,” “Sampling purposefully,” “Collec ng data,” “Recording informa on,” “Minimizing fieldwork issues” and “Storing data securely.” Back to Figure “Experiences in Learning Qualita ve Research: A Qualita ve Case Study” Dear Par cipant, The following informa on is provided for you to decide if you wish to par cipate in the present study. You should be aware that you are free to decide not to par cipate or to withdraw at any

me without affec ng your rela onship with this department, the instructor, or the University of XX. To withdraw contact the research assistant (listed below) at any me as the instructor will not have access to data or know who is par cipa ng un l the course is completed.

The purpose of this case study is to understand the process of learning qualita ve research in a doctoral-level college course. At this stage in the research, the process will be generally defined as the percep ons of the course and making sense out of qualita ve research at different phases in the course. Data will be collected at three points—at the beginning of the course, at the midpoint, and at the end of the course. Data collec on will involve documents (journal entries made by students and the instructor, student evalua ons of the class and the research procedure), audiovisual material (a video of the class), interviews (transcripts of interviews between students), and classroom observa on field notes (made by students and the instructor). Individuals involved in the data collec on will be the instructor and the students in the class. Do not hesitate to ask any ques ons about the study either before par cipa ng or during the

me that you are par cipa ng. We would be happy to share our findings with you a er the research is completed and we will send a summary to the en re class. However, your name will not be associated with the research findings in any way, and only the researchers will know your iden ty as a par cipant. There are no known risks and/or discomforts associated with this study. The expected benefits associated with your par cipa on are the informa on about the experiences in learning qualita ve research, the opportunity to par cipate in a qualita ve research study, and coauthorship for those students who par cipate in the detailed analysis of the data. If submi ed for publica on, a byline will indicate the par cipa on of all students in the class. The plan for this study has been reviewed for its adherence to ethical guidelines and approved by Research Ethics Board at the University of XX. Please sign your consent with full knowledge of the nature and purpose of the procedures. A copy of this consent form will be given to you to keep. Date Signature of Par cipant John W. Creswell, PhD, University of XX, Principal Inves gator, XX@XX Sara Johnson, MEd, University of XX, Research Assistant, XX@XX Back to Figure Interviews • Conduct one-on-one synchronous interviews online or in person • Conduct synchronous focus group interviews online or in person

• Conduct asynchronous interviews through e-mail, chat rooms, listservs Observa ons • Conduct an observa on as a par cipant • Conduct an observa on as an observer • Conduct an observa on shi ing posi ons from par cipant to observer (and vice versa) Documents • Keep a research journal during the study • Have a par cipant keep a wri en journal, diary, or blog during the research study • Examine autobiographies and biographies • Collect personal le ers from par cipants • Have par cipants take photographs, record audio messages or videos • Analyze organiza onal documents (e.g., reports, strategic plans, charts, medical records) • Analyze public documents (e.g., official memos, minutes, records, archival informa on) • Conduct chart audits and reviews of medical records Audiovisual and Social Media Materials • Examine physical trace evidence (e.g., footprints in the snow) • Video or film a social situa on or an individual or group • Have a par cipant keep a video journal or blog during the research study • Examine photographs or videos • Examine websites, social media posts • Collect e-mails or electronic text messages • Collect sounds (e.g., musical sounds, a child’s laughter, car horns honking) • Examine possessions, ar facts, or ritual objects

Back to Figure In the center lies, “Online Research Ethics: It’s all connected! “In the surrounding area lies the key elements such as, “Researcher” which is connected to “Integrity,” “Credibility,” and “Clear communica on to inform par cipants.” The “Human Par cipants” are connected to “Iden ty,” “Avatars,” “Pseudonyms,” “Consent,” “User expecta ons” and “Recrui ng.” The “Online Research Site” are connected to Terms of Service,” “Permissions,” “Public vs. Private,” “Communica ons styles & norms,” “Archives,” “Profiles,” “Text posts & docs” and “Images & media.” The “Data Quality” is connected to “Data ownership” and “Coherent research design.” All the ethics are interconnected to one another in the visual representa on of the map. Back to Figure In the center lies, “A diagram depicts the methods for ge ng ready for and performing interviews” surrounded by the steps are, “Iden fy interviewees based on sampling procedures,” “Dis nguish type of interview based on mode and interac ons,” “Collect data using adequate recording procedures,” “Design and use an interview protocol to guide interac ons,” “Refine interview procedures through pilot tes ng,” “Locate a distrac on free place for interviews,” “Obtain consent from the interviewee to par cipate,” “As an interviewer, follow good interview procedures,” “Decide on transcrip on logis cs” and “Determine the open ended research ques ons to be answered.” Back to Figure Interview Protocol Project: University Reac on to a Campus Shoo ng Incident Time of interview: Date: Place: Interviewer: Interviewee: Posi on of interviewee: (Briefly describe the project) Ques ons: 1. What has been your role in the incident? 2. What has happened since the event that you have been involved in?

3. What has been the impact on the university community of this incident? 4. What larger ramifica ons, if any, exist from the incident? 5. To whom should we talk to find out more about campus reac on to the incident? Thank the individual for par cipa ng in this interview. Describe the measures to ensure par cipant of confiden ality of responses and poten al future interviews. Back to Figure In the center lies, “Procedures for Preparing for and Conduc ng Observa ons” surrounded by the steps “Iden fy who or what to observe with help from gatekeeper,” “Select an observa onal role as an observer,” “Design and use an observa onal protocol to guide notes,” “Record aspects including descrip ons and interpreta ons of the observa ons,” “Build ini al rapport by being introduced,” “As an observer follow good observa onal procedures,” “Prepare mely notes that are thick and rich in narra ve descrip on” and ““Select a site to be observed and gain access.” Back to Figure The guidelines are as follows:

APPENDIX A NARRATIVE RESEARCH STUDY—“LIVING IN THE SPACE BETWEEN PARTICIPANT AND RESEARCHER AS A NARRATIVE INQUIRER: EXAMINING ETHNIC IDENTITY OF CHINESE CANADIAN STUDENTS AS CONFLICTING STORIES TO LIVE BY” Elaine Chan ABSTRACT Schooling experiences of lst-genera on Canadians interact with cultural experiences in their immigrant households to shape a sense of ethnic iden ty both as Canadians and as members of an ethnic community. This long-term, school-based narra ve inquiry is an examina on of ways

in which expecta ons for academic performance and behavior by teachers and peers at school and immigrant parents at home contributed to shaping the ethnic iden ty of an immigrant Chinese student as conflic ng stories to live by. A narra ve approach revealed challenges of suppor ng immigrant students in North American schools, and contributed to understanding of the nuances of mul cultural educa on. KEYWORDS narra ve inquiry, ethnic iden ty, curriculum, mul cultural educa on, student experiences Author’s Note: Address correspondence to Elaine Chan, Department of Teaching, Learning, and Teacher Educa on, College of Educa on and Human Sciences, University of Nebraska–Lincoln, 24 Henzlik Hall, Lincoln, NE 68588-0355. (E-mail: [email protected]) Source: The material in this appendix originally appeared in The Journal of Educa onal Research, 103(2), 133–122 (2010). Reprinted with permission of Taylor & Francis Ltd, h p://www.tandfonline.com. For children, school has enormous implica ons for their sense of iden ty as members of society, of their families, and of their ethnic communi es. Each individual brings to their school context experiences shaped by their par cipa on in schools, whether in Canada or in their home country, whether posi ve or nega ve, enriching or demoralizing. For a child of immigrant parents, tensions between home and school, the interac on of parent and teacher experiences of schooling, and their own experiences of schooling may be felt especially strongly, to the point of being experienced as conflic ng stories to live by (Connelly & Clandinin, 1999). These students have their own ideas of how they should be in their school context, shaped by interac on with peers, exposure to popular culture and media, and prior experiences of schooling, schools, and teachers. At the same me, they are evaluated by teachers and supported by parents whose experiences of schooling may be vastly different, by nature of social and poli cal influences as well as personal circumstances of the socie es of which their own childhood schools were a part. In the present study, I examined the experiences of one Chinese immigrant student, Ai Mei Zhang. I explore her par cipa on in her Canadian middle school curriculum as the interac on of student, teacher, and parent narra ves, a story of interwoven lives (Clandinin et al., 2006). I examined ways in which her sense of ethnic iden ty may be shaped by expecta ons for her academic performance and her behavior in her school and her home. I focus in par cular on ways in which par cipa on in her urban, mul cultural school se ng may contribute to shaping her sense of affilia on to family members and members of her ethnic and school communi es, and contribute to her maternal-language development and maintenance. I also examined ways in which she experienced well-intended school prac ces and curriculum ac vi es designed to support her academic performance in ways not an cipated by policymakers and educators. I explored these influences as conflic ng stories to live by (Connelly & Clandinin, 1999). I examined experien ally the intersec on of school and home influences from the perspec ve of one middle school student as a long-term, school-based narra ve inquirer. I explored features

of narra ve inquiry, such as the cri cal role of researcher–par cipant rela onships, and the role of temporal and spa al factors (Clandinin & Connelly, 2000) of the research context in contribu ng to a nuanced understanding of mul cultural educa on in this diverse school context. The present study is holis c, in that I examined the impact of mul ple influences in a connected way as they intersected in the life of one student rather than as examples of ways in which an issue or theme may be experienced by different members of the same ethnic group. Given the increasing diversity of the North American popula on (Sta s cs Canada, 2008; U.S. Census Bureau, 2002) that is in turn reflected in North American schools (Chan & Ross, 2002; He, Phillion, Chan, & Xu, 2007), addressing the curricular needs of students of minority background and suppor ng the professional development of teachers who work with them is essen al. The present study contributes to exis ng research in the area of mul cultural educa on and, in par cular, curriculum development for diverse student popula ons, and student experiences of mul cultural educa on. To date, research addressing the interac on of culture and curriculum is o en presented as an argument for the inclusion of culture in the school curriculum or as documenta on for ways in which the inclusion of culture in the curriculum was successful (Ada, 1988; Cummins et al., 2005). There is an abundance of research highligh ng the importance of culturally relevant and responsive pedagogy (Gay, 2000; Ladson-Billings, 1995, 2001; Villegas, 1991) and a culturally sensi ve curriculum that builds on the experiences and knowledge of immigrant and minority students (Ada; Cummins, 2001; Igoa, 1995; Nieto & Bode, 2008). Acknowledging the cultural knowledge of minority students in the classroom has been found to have important implica ons for their well-being outside of school. For example, Banks (1995) highlighted the inclusion of culture in the curriculum as a means of helping students to develop posi ve racial a tudes. Rodriguez (1982), Wong-Fillmore (1991), and Kouritzin (1999) presented compelling accounts of ways in which the failure to support the maintenance and development of maternal-language proficiency for students of minority background had dire consequences for their sense of ethnic iden ty and their sense of belonging in their families and ethnic communi es. McCaleb (1994), Cummins (2001), and Wong-Fillmore elaborated on some of the dangers, such as increased dropout rates among immigrant and minority youth as well as increased likelihood of gang involvement, or failing to recognize the cultural communi es from which students come. Exis ng research has been invaluable in highligh ng the importance of acknowledging the cultural knowledge that immigrant and minority students bring to a school context, and the work of educators as they develop curricula and teach an increasingly diverse student popula on (Banks, 1995; Cummins, 2001; Moodley, 1995). Research has also accentuated the need to develop ways of learning about the ethnic, linguis c, and religious backgrounds of students to inform curriculum development and policymaking for students of diverse backgrounds. Cochran-Smith (1995), Ladson-Billings (1995, 2001), and Conle (2000) explored the prac ce of drawing on the cultural knowledge of preservice teachers as a resource for preparing them to teach in culturally diverse classrooms. It is interes ng to note that although

there is research that has acknowledged the poten al difficul es of moving from home to school for students of a minority background, and the difficul es of moving from school back home when minority students have assimilated to the school and societal expecta ons that differ from those of their home cultures, the day-to-day transi on as minority and immigrant students move from home to school and back home again seems to have been overlooked. In the present study, I examine the nuances that one student lives as she makes this transi on on a daily basis. This work addresses the need for experien al research, focusing specifically on exploring the intersec on of home and school influences from the perspec ve of the students themselves. Presently, there is a surprising lack of research examining ways in which students, in general (Cook-Sather, 2002), and immigrant and minority students, in par cular, personally experience their school curriculum and school contexts (He et al., 2007). Bullough’s (2007) examina on of a Muslim student’s response to curriculum and peer interac ons in his U.S. school is among the few pieces examining school-curriculum ac vi es from the perspec ve of a student of ethnic- minority background. Feuerverger’s (2001) ethnographic work exploring tensions that Israeli and Pales nian youth experience in their Israeli-Pales nian school is among few studies documen ng and exploring student perspec ves of their schooling experiences. Sarroub (2005) and Zine’s (2001) accounts of Muslim students in American and Canadian schools, respec vely, illustrate the complexi es of nego a ng a sense of iden ty among peers in a school context when values in the home differ significantly. Within the rela vely limited body of exis ng research addressing student experiences of schooling and curriculum presented, I present examples of student experiences thema cally to address specific issues, topics, or arguments rather than ways that acknowledge mul ple facets and tensions interac ng at once to shape the experiences of an individual student. Smith- Hefner (1993), in her ethnographic study of female high school Khmer students, presented examples of Puerto Rican female students whose limited academic success was shaped by cultural and sociohistorical influences in their ethnic communi es. Rolon-Dow (2004) examined tensions Puerto Rican students and their teachers experience when values supported in their home and in their ethnic communi es seem to conflict with those encouraged in school. Lee’s (1994, 1996) ethnographic study focused on ways in which Asian high school students’ sense of iden ty and academic achievement was influenced by self-iden fied labels and membership in specific peer groups. There does not exist a large body of research examining the experiences of one student in the context of their North American school in a way that presents the stories to illustrate ways in which the interac on of mul ple influences and issues of relevance may impact on an immigrant or minority student. This narra ve inquiry is intended to provide a glimpse of the intersec on of complex influences shaping the life of an immigrant student. I drew on exis ng narra ve and ethnographic accounts of immigrant and minority students a ending North American schools to inform this work. Valdes’s (1996) work documen ng the experiences of a small number of La no and Mexican American families in their school and community and Li’s (2002) ethnographic study with Chinese families as they supported their children’s literacy development provide a glimpse of

ways in which transi ons between home and school may be challenging, and even overwhelming, due to differences in expecta ons about the school curriculum and the work of teachers. Carger’s (1996) long-term narra ve account of a Mexican American family’s experiences provides an organiza onal structure for the present study, in that it is an in-depth account of one family’s experiences of suppor ng their child in school, taking into considera on the intersec on of mul ple influences shaping the child’s educa on. Ross & Chan’s (2008) narra ve account of an immigrant student, Raj, and his family’s academic, financial, and familial difficul es highlighted the many challenges the family encountered in the process of suppor ng their children’s adapta on to their Canadian school and community. This examina on of Ai Mei’s experiences contributes to the growing but s ll limited body of research addressing Chinese students in North American schools (Chan, 2004; Kao, 1995; Kim & Chun, 1994; Lee, 1994, 1996, 2001; Li, 2002, 2005). Theore cal Framework Given the focus on experience in contribu ng to Ai Mei’s sense of ethnic iden ty, I used Dewey’s (1938) philosophy of the interconnectedness between experience and educa on as the theore cal founda on for this study. I examined, in par cular, ways in which the many influences in her home, school, and neighborhood life with family members, peers, teachers, administrators, and school curriculum events intersected to contribute to her overall experience or learning of a sense of ethnic iden ty as an immigrant student in a Canadian school context. Ai Mei’s stories are set into the framework of a three-dimensional narra ve inquiry space (Clandinin & Connelly, 2000), with Bay Street School as the spa al dimension, the years 2001– 2003 as the temporal dimension, and my interac ons with Ai Mei, her classmates, her teachers, her parents, and other members of the Bay Street School community as the sociopersonal dimension. The stories are a means of exploring the interac on of influences contribu ng to Ai Mei’s sense of iden ty; they highlight the extent to which this intersec on of narra ves may be interpreted as conflic ng stories to live by (Connelly & Clandinin, 1999). METHOD I first met Ai Mei when I began observa ons in her seventh-grade class as a classroom-based par cipant observer for a research project exploring the ethnic iden ty of first-genera on Canadian students. The focus on examining the intersec on of culture and curriculum as experienced by Chinese Canadian students over the course of their 2 years in middle school was deliberate from the beginning. As I learned about the details of the students’ experiences, the complex interac on of factors contribu ng to Ai Mei’s sense of ethnic iden ty became apparent and merited further analysis. Ai Mei’s homeroom teacher, William, told me about how she had arrived at Bay Street School from an urban area of Fuchien province in China as a 7-year-old. Although she did not ini ally speak English at all, she was rela vely proficient by the me I met her 4 1/2 years a er her arrival. Her English was dis nct from that of her na ve-English-speaking peers by the unusual turns of phrases and unconven onal uses of some words, but the animated way in which she spoke about her experiences caught my a en on from the beginning. I later appreciated this quality even more as I began to work more closely with her as a research par cipant. Her dark

eyes, par ally hidden behind wisps of hair, seemed to flicker and dance as she elaborated on details of interac ons with peers and family members, especially when she recounted amusing or troublesome events pertaining to difficul es she had experienced in communica ng with others. She also seemed to enjoy telling me about incidents that had occurred at home, at school, or in the community. As I learned about Ai Mei’s stories of immigra on and se lement, the conflic ng influences and expecta ons of her family members, peers and teachers at school, and members of her ethnic community became more apparent, thus further contribu ng to my decision to focus on her stories in this study. As a narra ve inquirer, I learned about Ai Mei’s stories of experience (Connelly & Clandinin, 1988) using a variety of narra ve approaches, including long-term, school-based par cipant observa ons, document collec on set into the context of ongoing conversa onal interviews with key par cipants, and the wri ng of extensive field notes following each school visit, interview, and interac on with par cipants (Clandinin & Connelly, 1994, 2000; Clandinin et al., 2006) to explore the interwoven quality of Ai Mei, her teacher, her classmates, and her family members’ lives. I observed and interacted with her in the context of regular classroom lessons as I assisted her and her classmates with assignments, accompanied them on field trips, a ended their band concerts and performances, and took part in school ac vi es such as Mul cultural Night, Curriculum and Hot Dog Night, school assemblies, and fes vals. School visits began during the fall of 2001 as Ai Mei and her classmates began seventh grade and con nued un l June 2003 when they graduated from eighth grade at Bay Street School. I conducted interviews as well as ongoing informal conversa ons with Ai Mei over the course of the 2 years I spent in her homeroom classroom. I also collected documents such as school no ces, announcements of community and school events, no ces from bulle n boards and classroom walls in the school, agendas and minutes from School Council mee ngs, and samples of student work. Descrip ve field notes, interview transcripts, researcher journals, and theore cal memos wri en following school visits were computerized and filed into an exis ng research project archival system. I examined field notes pertaining to Ai Mei’s experiences numerous mes to iden fy recurring themes. Her stories were set into the context of field notes wri en about her classroom teacher, her peers, and her school community since I began research at the school in 2000. RESULTS Ai Mei’s Stories of Home and School: Conflic ng Stories to Live By I subsequently present some of Ai Mei’s stories of experience to explore challenges and complexi es, harmonies and tensions (Clandinin & Connelly, 2002) she lived as she a empted to balance affilia on to her peers while at the same me accommoda ng for expecta ons placed on her by her teachers and parents. I explore ways in which parent, teacher, and peer expecta ons may contribute to shaping her sense of iden ty, and examine the contribu on of narra ve methodology in revealing nuances of the intersec on of mul ple influences in her life. Bay Street School Context

Ai Mei’s stories were set in the context of Bay Street School, a school known to consist of a diverse student community from the me of its establishment (Cochrane, 1950; Connelly, He, Phillion, Chan, & Xu, 2004), located in an urban Toronto neighborhood where the ethnic composi on of residents is known to reflect Canadian immigra on and se lement pa erns (Connelly, Phillion, & He, 2003). Accordingly, the student popula on at the school reflects this diversity. An Every Student Survey administered to students during the 2001–2002 school year (Chan & Ross, 2002) confirmed the ethnic and linguis c diversity of the students. More specifically, 39 countries and 31 languages were represented in the school. This was the context in which Ai Mei’s stories played out. Home Language Conflic ng with School Language I subsequently present the story, “I was trying to hide my iden ty,” as a star ng point for examining Ai Mei’s experiences of her academic program at Bay Street School. “I was trying to hide my iden ty” Ai Mei: When I first came to Bay Street School, I stayed with the IL (Interna onal Language)1 teacher, Mrs. Lim . . . I stayed with her for the whole week, and she taught me things in English. Elaine: What did she teach you? Ai Mei: You know, easy things, like the alphabet, and how to say “Hello.” Then I went to Ms. Jenkins’ class. I sat with a strange boy. Elaine: A strange boy? Ai Mei: Well, he wasn’t that strange. My desk was facing his desk, and he did this to me (Ai Mei demonstrates what the boy did), he stuck his tongue out at me. I didn’t know what it meant. He had messy orange hair. Elaine: Did you make any friends? Ai Mei: No, not for a long me. Some people tried to talk to me but I didn’t understand them. Then Chao tried to talk with me in Fujianese and I pretended I didn’t understand her. She tried a few mes, then gave up. Then one day, my sister said something to me in Fujianese and Chao heard. She looked at me—she was really surprised because she tried to talk with me and I pretended I couldn’t understand her. She didn’t like me at all. Elaine: Why did you do that? Why did you pretend you couldn’t understand her? Ai Mei: I don’t know. I was trying to hide my iden ty. Ai Mei: (calling over to Chao): Chao, remember how I didn’t talk with you, how I pretended I didn’t understand you?

Chao: Yeah, I remember. (Chao scowls at Ai Mei.) I didn’t like you for a long me. Ai Mei: Yeah, a long me. (Fieldnotes, April, 2003) When Ai Mei arrived at Bay Street School, new students coming into the school spent a week or two with the respec ve Interna onal Language (IL) teacher prior to placement into a classroom. The new student orienta on provided teachers the opportunity to assess the English and maternal-language proficiency of new students, iden fy poten al learning difficul es, and learn about their previous schooling experiences. The orienta on also provided students an opportunity to learn about school rou nes in their home language while being gradually introduced into their age-appropriate classroom. Ai Mei’s response to the new student orienta on, however, was surprising for a number of reasons. From her teachers’ perspec ve, Chao would have seemed like an ideal friend for Ai Mei—both girls were from the same rural province of southern China, grew up speaking Fujianese at home and Mandarin in school, and Chao could help Ai Mei to adapt to Bay Street School because she had arrived two years earlier. However, Ai Mei did not seem to welcome the opportunity to speak with Chao in Fujianese. Her teachers were also likely puzzled that she would try to “hide [her] iden ty,” because, from their perspec ve, they worked hard to create programs that would acknowledge students’ home cultures in a posi ve way. In this context, it is possible that Ai Mei, similar to many students featured in research on immigrant and minority students (Cummins, 2001; Kouritzin, 1999), perceived her affilia on to her family’s home language as a hindrance to acceptance by English-speaking peers. She seemed to appreciate learning English from her IL teacher and perhaps felt that her inability to speak in English was an obstacle to forming friendships with English-speaking peers. One day, as we were walking back to her homeroom classroom a er art class, she has told me about an incident when she felt embarrassed when she a empted to order drinks at a shopping mall and the vendor could not understand her because “[her] English accent was so bad!” Ai Mei may have been a emp ng to distance herself from those she perceived as non-English-speaking when she said she “tried to hide [her] iden ty.” Wong-Fillmore (1991) elaborated on how a language minority child might abandon the home language when she or he realizes the low status of this language in rela on to the English that is used by peers in school. At the same

me, in choosing not to respond to her Fujianese-speaking classmate who a empted to befriend her, Ai Mei was giving up the opportunity to make a friend at a me when she did not have the English proficiency to build friendships easily with English-speaking peers. School Language Conflic ng with Home Language In addi on to pressure to achieve a higher level of English proficiency, Ai Mei seemed to be under pressure from her IL Mandarin teacher, Mrs. Lim, to maintain and to develop her Mandarin proficiency. She was in a high level of language within her grade-level Mandarin

program,2 and she was doing well in the class, judging from the grades I saw when she showed me her Mandarin language textbook and workbooks. Her teacher has said that she did well in her assignments and tests, and that she was a strong student in Mandarin. She stated that it was important for Ai Mei to work hard to maintain the advantage she had over her Canadian- born Chinese peers. Mrs. Lim believed that Ai Mei has an easier me learning the characters that many Canadian-born Chinese students have difficulty with, due to her early years of schooling in China before arriving in Canada. She also felt that Ai Mei had an advantage over her Chinese-born peers, in that her schooling prior to leaving China was regular and uninterrupted in a way some of her Chinese-born peers had not experienced. Maintenance of her Mandarin language proficiency is an achievement her parents support. At the same me, they would like her to maintain fluency in her family’s home dialect of Fujianese. For Ai Mei and her parents, maternal language maintenance has important implica ons for communica on within the family. Ai Mei told me about the following meal me conversa on involving her mother and her younger sister, Susan. “Susan doesn’t speak Fujianese” Ai Mei: We were ea ng supper and my mother said to my sister, “(phrase in Fujianese).” My sister asked me, “What did she say?” so I told her, “She wants to know if you want more vegetables.” Elaine: Your sister doesn’t understand Fujianese? Ai Mei: She does but not everything. Elaine: What did your mother say? Is she worried that your sister doesn’t understand her? Ai Mei: She looked at her like this—(Ai Mei showed me how her mother gave her sister a dirty look). (Fieldnotes, April, 2003) From the fieldnote, it seems that Ai Mei’s parents were beginning to feel the effects of maternal language loss within the family. Fujianese is not easy to develop and maintain because its use in Canada is not widely supported outside the home, with the excep on of exposure to the dialect through other recent immigrants from Fuchien Province. Susan’s inability to understand basic vocabulary in her home language likely worried her and Ai Mei’s parents, but given the limited resources to support it and limited me to encourage her themselves, they might wonder what can be done. Ai Mei spoke about how her parents reminded her o en to speak with her sister in Fujianese. Meanwhile, the sisters had long grown into the habit of speaking to one another in English; communica on in their home language of Fujianese would have been s fled at that point due to the lack of ease both felt in using it as well as Susan’s limited vocabulary. It might be the case that their parents, as they began to realize the extent of their daughter’s maternal

language loss, might already be too late to stop it. This pressure to develop and to maintain language proficiency interacted with other factors contribu ng to Ai Mei’s sense of iden ty and affilia on in her school and in her home and ethnic communi es. Parent Values Conflic ng with Peer Values In addi on to pressure to succeed academically, Ai Mei was also under pressure to behave according to the expecta ons of her peers, teachers, and parents. Through interac on with Ai Mei at Bay Street School over the course of two full academic years, it became apparent that being included within her peer group was very important to her. Like her peers, Ai Mei was becoming more firmly entrenched into popular movies, music, and fashion trends as she moved into adolescence. These influences were coupled with increasing pressure from peers to scoff at school success and downplay the importance of academic work. During the fall of 2001, there were a number of days when I arrived at Ai Mei’s classroom to find her friends trying to console her a er a popular and outspoken male classmate, Felix, had made unfla ering comments about her appearance. Her homeroom teacher also told me about incidents when she had le school in tears a er being excluded from an a er school ac vity that had been planned by classmates. Another day, I overheard Felix mimicking one of the stories from Ai Mei’s Mandarin IL text; although he spoke in English, the tone and storyline were along the lines of what might be found in the text. Ai Mei laughed at Felix’s a empts and seemed to appreciate that he knew a li le about what she did in IL class but I also wondered whether she was embarrassed or annoyed with him. In addi on to concerns about being excluded by her peers and feeling the pull of mul ple influences in school to behave in certain ways, Ai Mei also seemed to live the tensions of parental expecta ons and standards for her behavior and comportment that, at mes, conflicted with those of her peers, and ways in which she saw herself. I wrote the following fieldnote a er a conversa on with Ai Mei in which she complained about her mother’s comments about her in rela on to her mother’s friend during a family ou ng.

The interac on between Ai Mei and her mother highlighted the poten al for tensions to develop when expressing differences in perspec ve about the value of certain kinds of behaviors over others. It sounded as if Ai Mei resented that her mother did not think she was quiet or helpful or tall enough when compared with her friend’s daughter. Although a genera onal gap might account for some of the tension about what cons tuted appropriate

behavior and goals for Ai Mei with respect to what she did to contribute to the family, some of this tension might also have been shaped by the very different contexts in which Ai Mei and her mother have spent their childhood. Ai Mei has spent a good por on of her childhood living in different homes in an urban, commercial district of Toronto. Her percep on of appropriate behavior and prac ces has likely been shaped by influences different from what her mother experienced in rural Fuchien province of China where she spent her own childhood. Teacher Expecta ons Conflic ng with Parent Expecta ons Moreover, although Ai Mei’s parents and her teachers had in common the goal of academic success for her, tensions surfaced about the me commitment needed to fulfill these school and family responsibili es. Ai Mei seemed to be caught between pressures to help in the family business and teacher expecta ons for completed homework and thorough prepara on for tests and assignments. Ai Mei’s family acquired a dumpling restaurant during the fall of her eighth-grade year, and since then, the whole family had devoted much me and energy toward building a successful business. I knew that Ai Mei’s family owned a dumpling restaurant because she had told me about what she did to help. Ai Mei: There’s a door that no one can close but me. Elaine: What’s wrong with it? Ai Mei: It’s stuck, so I have to kick it shut. (She demonstrates as she says this, kicking to one side as she leans over.) Then, we go home, me, my mom, and my dad. Elaine: How about your sister? Ai Mei: She goes home a li le earlier, with my grandmother and grandfather. (Fieldnotes, October, 2002) Each day a er school, Ai Mei and her sister, Susan, a er spending some me with their friends in the classroom or in the school yard, headed to the dumpling restaurant to spend the evening there helping their parents. Ai Mei’s sister, Susan, has told me about how she helped their father by standing outside the restaurant where the family sells vegetables and fruits to watch for people who a empted to take food without paying for it. When I asked her whether this o en happened, she nodded gravely. The importance of Ai Mei and Susan’s par cipa on in the family business could be denied, but Ai Mei’s teachers had ques oned the me commitment involved. Late in the fall a er the family acquired the dumpling restaurant, Ai Mei’s teacher, William, no ced that she had begun to come to school looking very red, and without her homework done. One day while he was mee ng with her to discuss the report card that would soon be sent home to her parents, he

told her that she could have done be er had she submi ed all of her homework and done a be er job on recent tests. Ai Mei surprised him by burs ng into tears. Li le by li le, William learned that Ai Mei had li le opportunity to do her homework or to study because she was helping out at the restaurant during evenings and weekends. By the me the family had closed up the restaurant, traveled home, and eaten supper, it was past 11:00 pm or 12:00 am, beyond what William thought was appropriate for a 12-year-old. With a sense of professional responsibility to report poten ally negligent situa ons to officials and the support of school board policies guiding his ac ons, William spoke with his principal about the situa on. Both decided it was a borderline case, and with the principal’s knowledge, William contacted the Children’s Aid Society (CAS) about Ai Mei’s family. I wrote the following field note the day William told me about his call to the CAS.

The dumpling restaurant was ed to Ai Mei’s family’s dreams of financial success and family reunifica on. Ai Mei had spoken about how her parents had sponsored her maternal grandparents to come to Toronto from Fuchien province, and were in the process of trying to bring her paternal grandparents over to join the family as well. The importance of helping her family with their business could not be denied from her parents’ perspec ve and, from what Ai Mei has said about the ways in which she helped the family, it could be assumed that she also recognized the importance of her role as well. At the same me, it was beginning to become apparent that assis ng her parents in the family business might have diverted her a en on away from fulfilling her parents’ desire for her to do well in school, in that me spent in the restaurant helping her family was me that she could have otherwise devoted to her school work. Ai Mei was caught between her parents’ dreams of financial and business success, her sense of responsibility, as the oldest daughter in the family, to help them achieve this success, her parents’ desire for her to perform well academically to secure her own future economic success, and her teacher’s professional responsibility to report poten ally negligent situa ons to officials. She lived the tensions of deciding how best to use her me to assist her parents in the family business as well as to perform well academically. This situa on also needed to be examined in terms of her teacher’s professional tensions and ways in which these tensions might have contributed to Ai Mei’s sense of iden ty. Her teacher, William, was aware that the cultural and social narra ves guiding his professional prac ces might have differed from those guiding the prac ces of the parents of his students, and had expressed a commitment to acknowledging the diversity of his students. The poten al for conflict between teacher, student, and parent perspec ves pertaining to Ai Mei’s use of me in the evenings and on weekends became apparent when William contacted child-protec on

officials to report that Ai Mei’s me in the family’s restaurant in the evenings was contribu ng to her late arrival at school in the mornings, without her assigned homework completed. He did so with the belief in the importance of protec ng Ai Mei’s me to ensure that she had adequate

me and necessary condi ons in her home to complete her school work. William’s call to the CAS, however well inten oned, had the poten al to cause difficul es in Ai Mei’s family as well as a ri in his own rela onship with Ai Mei. In fact, he later told me about how Ai Mei, on realizing that he had reported her parents to the CAS, neither came around a er school to spend me in his classroom nor did she tell him about what was happening in her life as she was accustomed to doing up un l that me. He felt he had lost her trust and believed that his call to the CAS had been the cause. This example highlights some of the tension William felt as he a empted to balance his professional obliga on to report poten ally negligent situa ons to child protec on officials and his ideal of the role of teacher as an advocate who supported students in ways they would appreciate. Learning About Ai Mei’s Experiences as a Narra ve Inquirer These stories highlight some of the complexi es of the interac on of mul ple influences in contribu ng to Ai Mei’s sense of iden ty. Underlying these accounts of Ai Mei’s experiences with her peers, teachers, and parents in the context of school and community-based events are accounts of my interac ons with Ai Mei as a narra ve inquirer. The narra ve inquiry approach used in this study facilitated the iden fica on of the many nuances of living as an immigrant student in a North American school context, and provided a framework in which to ponder these complexi es. To begin, the stories of experience documen ng Ai Mei’s experiences as an immigrant student at Bay Street School were gathered over a long period of me as I spent 2 full school years in her homeroom classroom with her, her teachers, and her peers as a par cipant observer. During this me, I became a member of the classroom, joining the class for ac vi es such as field trips, special school events, band concerts, and school assemblies. More importantly, however, I was a part of their class during the uneven ul days of lessons and regular school ac vi es. It was during these mes that I was able to build a rela onship with Ai Mei and her peers and teachers. They grew to see me as an addi onal teacher in the classroom who was able to help them with assignments, act as an adult supervisor during in-school ac vi es or field trips, and as a listening ear when they had disagreements with friends or with teachers. I learned about the details of Ai Mei’s life as she told me about her classmates, her parents, her family’s dumpling restaurant, her sister, and family ou ngs. I heard about her percep ons of how she fit into her peer group, her ethnic community, and her family as she told me about specific interac ons, such as the family dinner when her sister did not understand what her mother had said in Fujianese, her mother’s cri cisms of her in comparison with her mother’s friend’s daughter, or her impressions of the new student orienta on that was in place to ease her transi on into the school as a new student from China.

As the students came to realize my interest in learning about their school lives, they began to update me on events I had missed between visits, and to fill me in on what they referred to as “gossip” at school. At one point partway through my second year with Ai Mei’s homeroom class, I conducted interviews with the students. As I planned the ques ons and discussed them with William, I remember wondering whether this shi to a more formal kind of interac on with the students would change the rela onship we had established. My concern about nega vely impac ng the rela onship turned out to be unfounded. In fact, I was pleased to realize one day when Ai Mei approached me to tell me about a family dinner (see “Susan doesn’t speak Fujianese”) that the process had opened up further opportuni es to learn about the students’ lives. Realizing that I was interested in hearing about their interac ons at home and in the community with members of their ethnic groups, the students began to tell me more about them. Our exis ng rela onship had provided a founda on such that I could talk with the students about their experiences with family and members of their ethnic communi es, and the interviews provided an opportunity for the students to learn, in a more explicit way, about my interest in hearing about out-of-school aspects of their lives. Our rela onship was such that they knew they could trust that I would treat their stories and their percep ons of these stories with interest and respect. I also saw Ai Mei in the neighborhood with her friends during the a er school hours as they moved from house to house visi ng one another in the housing project while their parents worked in nearby restaurants and shops, and on weekends as she shopped with her sister and her parents in the stores that lined the commercial area near the school. These brief interac ons provided further glimpses of influences interac ng in her life to contribute to shaping a sense of iden ty in ways that would not be possible through formal interviews or a more structured schedule of research observa ons. In addi on, these interac ons provided an opportunity for Ai Mei’s friends and family to become familiar with my presence and par cipa on in the school. Tensions of ac ng as a researcher with a focus on learning about the experiences of my par cipants became more apparent as my role as researcher became less clear. As I got to know Ai Mei and her family, I felt the tensions she experienced as she balanced the mul ple influences in her life and wanted to advocate for her. I felt a sense of responsibility to Ai Mei, to support her learning and to a empt to ease some of the tensions she experienced as she balanced affilia on to her home and school cultures. I understood a li le of the betrayal she felt when her parents were reported to child protec on officials, and the fear her parents might have felt. When she told me about how her parents would not be able to a end her eighth- grade gradua on because they needed to work, I wanted to be sure to a end and to take photos of her with her sister so that she would have a record of the event. The nature of the researcher-par cipant rela onship in contribu ng to understanding about the nuances of experiences lived by my student par cipant heightened my understanding of what the events might mean for her. The role of narra ve inquiry, and, more specifically, the role of long-term par cipa on in the day to day school life of an immigrant student that was cri cal to this narra ve inquiry,

contributed to the researcher-par cipant rela onship I was able to develop with Ai Mei, her peers, and her teachers. Careful a en on to the details of life in classrooms (Jackson, 1990) and within the school, and respect for the ongoing nego a on so cri cal to building a research rela onship from ini al nego a on of entry into the school-research site to nego a on of exit towards the comple on of school-based narra ve inquiries—features founda onal to Clandinin & Connelly’s (2000) approach—further contributed to the development of a research rela onship based on trust and familiarity with Ai Mei. This trust, in turn, engaged me in careful considera on of the poten al implica ons of telling and retelling Ai Mei’s stories, and what they might mean for her, as well as other immigrant and minority students who may struggle with similar challenges of balancing tensions of affilia on to home and school cultures in a North American school context. It was also through this commitment to examining these tensions narra vely from mul ple perspec ves of others in Ai Mei’s school, as well as in rela on to temporal, spa al, and sociopersonal dimensions at play in her school, that enabled me to see some of the nuances and complexi es of the conflic ng influences in Ai Mei’s life. In the process of examining Ai Mei’s experiences narra vely, I also became a par cipant, in that my experiences and interpreta ons of Ai Mei’s stories were con nually being examined and reflected on as I shared my interpreta ons with Ai Mei in an ongoing process to be er understand the stories she told. This rela onship, in turn, was cri cal to my learning about the complexi es of Ai Mei’s experiences. In this way, this long-term, school-based narra ve inquiry approach contributes not only to knowledge about the experiences of my par cipants as I focus on examining nuances of the research phenomenon at hand but it also raises awareness about the intricacies, and the impact, of the work of researchers in the lives of our par cipants. DISCUSSION Conflic ng Student, Teacher, and Parent Stories to Live By: Implica ons for Prac ce, Research, and Theory This examina on of the intersec on of home, school, and ethnic community influences in Ai Mei’s life provided a glimpse of the challenges immigrant or minority students might encounter as they nego ate a sense of ethnic iden ty. More specifically, examining Ai Mei’s stories reveals ways in which immigrant and minority students may be pulled in many direc ons, with some of these influences experienced as conflic ng stories to live by as teacher, peer, and parent expecta ons intersect on a school landscape. The stories highlight the poten al for conflict when immigrant students have values shaped by interac on with family and members of their ethnic community as well as values shaped by interac on with peers, teachers, and other members of their North American school communi es. As Ai Mei grows up, she needs to determine which aspects of her home and school communi es she incorporates into her own set of values. The age-old tension between children and their parents as children move toward adulthood and make decisions pertaining to their educa on and the kind of life they see themselves leading is exacerbated by differences in perspec ve that are influenced by differences in culture between their new host society that the children are naviga ng and the landscape that their immigrant parents experienced as

children in their home countries. This tension is further complicated by struggles that their parents have endured in the immigra on process as they se le into new countries. Ai Mei’s stories revealed the extent to which ideas for innova ve curricula and the good inten ons of teachers, administrators, researchers, and policymakers may unfold in unexpected ways. Learning about Ai Mei’s conflic ng stories to live by highlighted the importance of examining ways in which curriculum and school events may contribute to shaping the ethnic iden ty of immigrant and minority students in ways much more complex than an cipated by their teachers, their parents, and even the students themselves. This knowledge, in turn, informs the work of teachers and administrators as they a empt to meet the needs of their increasingly diverse student popula ons. Teachers need to learn to meet the academic and social needs of their immigrant and minority students in a school context with some mes li le knowledge about the cultures and educa on systems from which they are coming. In this way, knowledge gained from this study has implica ons for teachers working in diverse school contexts, professional development for in-service and pre-service educators, and decision making pertaining to the development of curriculum policies for mul cultural school contexts. Examining Ai Mei’s experiences of the intersec on of home and school influences informs the development and implementa on of programs designed to facilitate the adapta on of immigrant students in North American schools. Ai Mei’s stories of experience may be referred to as an example of a life-based literary narra ve (Phillion & He, 2004), and contribute to the body of student lore introduced by Schubert and Ayers (1992) and recognized by Jackson (1992) in Pinar, Reynolds, Sla ery, and Taubman’s book, Understanding Curriculum (1995). A en on to the narra ves of students and their families is a reminder not to lose sight of the diversity in student popula ons and highlights the need for a en on to issues of social jus ce and equity in educa on. Not only does this research address the dearth of research focused specifically on students’ experiences from their perspec ve, but it also contributes to understanding of the experiences of immigrant and minority students to provide insights into the experiences of a group about which educators and policymakers involved in developing and implemen ng school curriculum are desperately in need of be er understanding. CONCLUSION Teachers and administrators with whom I shared this piece appreciated the acknowledgment of the challenges they encounter in their work with their students. William, as a beginning teacher, recognized the need for further a en on to prepare teachers for diverse classrooms and felt that stories such as those presented in this ar cle contributed to raising awareness of difficul es teachers may encounter; he recognized the poten al of the stories as a forum to generate discussion among teachers and administrators. His administrators spoke of the challenges inherent to mee ng the needs of their student popula on, and referred to the tensions of needing to abide by exis ng policies even as they lived the difficul es of implemen ng some of the policies with their students and teachers. Exploring the mul tude of influences shaping student par cipa on in school curriculum using a narra ve inquiry approach to examining student experiences is also a means of acknowledging

the complexity of schooling and teacher prepara on (Cochran Smith, 2006), and the need for guidance about how best to develop curriculum and pedagogy for students of minority background, and the challenges associated with working with diverse student popula ons. Given the increasingly diverse North American context, is it essen al that educators and policymakers are well informed about the students for whom educa onal prac ces and policies are developed. Notes 1. Students at Bay Street School chose from IL classes in Cantonese or Mandarin Chinese, Vietnamese, Arabic, Swahili/Black History, or Spanish that were integrated into their regular school day. 2. The Mandarin texts used in the IL program were based on a mul -grade format in which each grade level was in turn divided into six levels of difficulty ranging from beginner to advanced to accommodate for differences in language proficiency among students in the same grade level. REFERENCES Ada, A. F. (1988). The Pajaro Valley experience: Working with Spanish-speaking parents to develop children’s reading and wri ng skills in the home through the use of children’s literature. In T. Skutnabb-Kangas & J. Cummins (Eds.), Minority educa on: From shame to struggle (pp. 223–237). Clevedon, UK: Mul lingual Ma ers. Banks, J. A. (1995). Mul cultural educa on: Its effects on students’ racial and gender role a tudes. In J. A. Banks & C. A. McGee Banks (Eds.), Handbook of research on mul cultural educa on (pp. 617–627). Toronto, Canada: Pren ce Hall Interna onal. Bullough, R. V., Jr. (2007). Ali: Becoming a student—A life history. In D. Thiessen & A. Cook- Sather (Eds.), Interna onal handbook of student experience in elementary and secondary school (pp. 493–516). Dordecht, The Netherlands: Springer. Carger, C. (1996). Of borders and dreams: Mexican-American experience of urban educa on. New York: Teachers College Press. Chan, E. (2004). Narra ves of ethnic iden ty: Experiences of first genera on Chinese Canadian students. Unpublished doctoral disserta on, University of Toronto, Ontario, Canada. Chan, E., & Ross, V. (2002). ESL Survey Report. Sponsored by the ESL Work-group in collabora on with the OISE/UT Narra ve and Diversity Research Team. Toronto, Canada: Centre for Teacher Development, Ontario Ins tute for Studies in Educa on, University of Toronto, Ontario, Canada. Clandinin, D. J., & Connelly, F. M. (1994). Personal experience methods. In N. K. Denzin & Y. S. Lincoln (Eds.), Handbook of qualita ve research in the social sciences (pp. 413–427). Thousand Oaks, CA: Sage.

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Sta s cs Canada. (2008). Canada’s ethnocultural mosaic, 2006 census. Retrieved July 1, 2008, from h p://www12.statcan.ca/english/census06/analysis/ethnicorigin/pdf/97-562- XIE2006001.pdf U.S. Census Bureau. (2002). United States Census 2000. Washington, D.C: U.S. Government Prin ng Office. Valdes, G. (1996). Con respeto: Bridging the distances between culturally diverse families and schools. An ethnographic portrait. New York: Teachers College Press. Villegas, A. M. (1991). Culturally responsive pedagogy for the 1990’s and beyond. Princeton, NJ: Educa onal Tes ng Service. Wong-Fillmore, L. (1991). When learning a second language means losing the first. Early Childhood Research Quarterly, 6, 323–346. Zine, J. (2001). Muslim youth in Canadian schools: Educa on and the poli cs of religious iden ty. Anthropology & Educa on Quarterly, 32, 399–423. AUTHOR NOTE Elaine Chan is an assistant professor of Diversity and Curriculum Studies in the Department of Teaching, Learning, and Teacher Educa on at the College of Educa on and Human Sciences, the University of Nebraska–Lincoln. Her research and teaching interests are in the areas of: narra ve inquiry, culture and curriculum; mul cultural educa on; ethnic iden ty of first- genera on North Americans; student experiences of schooling; and educa onal equity policies. She has taught and conducted long-term classroom-based research in Canadian, Japanese, and American schools. She is currently co-authoring a book on engaging ELL students in arts educa on with Margaret Macintyre La a. APPENDIX B RESILIENT LEADERSHIP: A PHENOMENOLOGICAL EXPLORATION INTO HOW BLACK WOMEN IN HIGHER EDUCATION LEADERSHIP NAVIGATE CULTURAL ADVERSITY Nuchelle L. ChanceI IFort Hays State University, Hays, KS, USA Source: The material in this appendix originally appeared in the journal of Humanis c Psychology, 62(1), 44–78. h ps://doi.org/10.1177/00221678211003000. Copyright 2022, Sage Publica ons, Inc. Corresponding author(s): Nuchelle L. Chance, Department of Psychology, Fort Hays State University, 600 Park Street, 208 Mar n Allen Hall, Hays, KS 67601-4099, USA. Email: [email protected] ABSTRACT

This ar cle explores adversity and the lived experiences of Black women in higher educa on leadership. Using phenomenology, this study specifically explores how Black women in higher educa on leadership navigate the adverse challenges of intersec onality, stereotype threat, and tokenism. Black women in leadership undergo adversity including limited role models, the concrete ceiling, and the intersec onality of racism, sexism, and ageism, as well as tokenism. The current findings validate that Black women in higher educa on leadership experience adversity. Some of the more salient codes that emerged were discrimina on such as racism, sexism, ageism, and the intersec on of these challenges with iden ty, cultural diversity and belonging, resilience, and leadership callings. Referred to as “superwomen,” Black women are resilient and strong. The results of this study reveal that Black women use adversity as fuel, thus helping them develop the necessary skills to prepare them for leadership. Their strength through adversity is driven by the resilience that has manifested as mo va on factors such as family and rela onships, mentorship and sponsorship, as well as the support of cultural iden ty and diversity. The current findings support the no on that adversity shapes Black women into leaders with an emphasis on higher educa on leadership. KEYWORDS resilience, adversity, leadership development, Black women, higher educa on, tokenism, stereotype threat, intersec onality, phenomenology, qualita ve research INTRODUCTION Black women are con nually emerging as leaders across all industries, organiza ons, nonprofits, government agencies, and academia (“The state of women-owned businesses,” 2018). Leadership ambi ons of this group are high, such that Black women are nearly three mes more likely to aspire to senior leadership with pres gious tles than their counterparts (Hewle & Green, 2015). With these goals, however, come intrinsic and extrinsic challenges. As a collec ve, Black people have and con nue to face substan al adversity both personally and professionally. Nevertheless, overcoming adversity is rou ne of the Black community. Black women; however, are doubly affected when adversity and challenges are rooted in race and gender differences. Iden ty markers such as being a “woman” and being “Black” do not exist independently of each other, thus crea ng a complex intersec on of poten al adverse experiences. Black women experience more adversity and are given less opportunity such that they perceive that failure is not an op on (Rose e & Livingston, 2012). With that said, Black women who have reached leadership success have done so by bea ng the odds. Although there has been a significant amount of research on leadership through mes of crisis and adversity (Banutu-Gomez, 2004; Beaudan, 2002; Boin & Hart, 2003; Burne , 1998; Goleman, 2000; Pillai & Meindl, 1991; Valle, 1999) and on women in higher educa on leadership (Dean et al., 2009; Longman & Madsen, 2014; Madsen, 2008; Wolverton et al., 2009); research specifically inves ga ng minori es in higher educa on leadership is limited (Bower & Wolverton, 2009; Gu érrez y Muhs et al., 2012; Valverde, 2003). Furthermore, research on the adverse experiences of Black women serving in college and university leadership is minimal (Davis & Maldonado, 2015; Jean-Marie, 2006).

Black women in higher educa on leadership face significant challenges and adversity; therefore, there is a need to examine what that adversity looks like and how it has influenced professional Black women and their leadership development. The purpose of this phenomenological study was to explore and describe how Black women in higher educa on leadership navigate intersec onality, stereotype threat, and tokenism. The following ques ons guided this study:

1. What influence does a Black women’s iden ty have on her ability to lead in higher educa on administra on?

2. What influence does stereotype threat have on Black women’s leadership in higher educa on administra on?

3. What influence does tokenism have on Black women’s leadership style and ability in higher educa on administra on?

While White men con nue to dominate higher educa on leadership, the current research sheds light on Black women’s methods of advancement and reten on in higher educa on leadership by exploring the adverse lived experiences unique to Black women. Ul mately, this research a empts to provide direc on and guidance to all women while emphasizing the challenges of specific underrepresented groups a emp ng to advance in the pipeline of higher educa on administra ve leadership. REVIEW OF THE LITERATURE There has been a great deal of emphasis placed on the need to increase the number of women in higher educa on administra on posi ons in American colleges and universi es based on the equality of civil rights (American Council on Educa on [ACE], 2017). There are recent trends in examining leadership research to help leaders in higher educa on and those striving for leadership to thrive in the mul faceted global environment and effec vely prepare for the challenge of leading complex ins tu ons. Thus, focusing on Black women who serve in leadership roles at colleges and universi es will help expand the knowledge base on higher educa on leadership, Black women in leadership, resilience, and overcoming adversity, therefore opening up the door for more access by this popula on. Black women have had to overcome significant adversity to achieve professional success (Assari, 2017). Some of the challenges the Black women in higher educa on leadership have faced include underrepresenta on (ACE, 2017; Bower & Wolverton, 2009; Davis & Maldonado, 2015; T. B. Jones et al., 2012) due to White male/male dominance (Chun & Evans, 2016; T. B. Jones et al., 2012) limited ver cal mobility and the concrete ceiling (Baxter-Nuamah, 2015; Davis, 2012) perpetuated by racism, sexism, ageism (and the intersec on of these), stereotype threat, isola on, and tokenism (Bower & Wolverton, 2009; Bright, 2010; Kanter, 1977; Sobers, 2014; Woods-Giscombé, 2010). Underrepresenta on and White Male Dominance Findings from the American College President Study reported that women are s ll underrepresented, accoun ng for only 30% of all president posi ons in 2016, which is slightly

up from 26% in 2012 (ACE, 2017). The emerging changes in this field are allowing women to make strides; however, of this 30%, only 9% represent Black women compared with the 83% who are White women. The posi ons of chancellor or president have tradi onally been held by older, White men (Kirschman, 2009). However, even when controlling for race, males s ll dominate this senior higher educa on leadership popula on. Of the 8% of Black college presidents, only 34% were women compared with 66% who were men (ACE, 2017). Furthermore, Black women in these leadership posi ons serve almost exclusively at community colleges and historically Black colleges and universi es (HBCUs; ACE, 2017). Thus, the barriers and obstacles that Black women in higher educa on administra on face are not only personal, but also systemic. Despite a few gains by women and minori es, leadership in U.S. higher educa on has consistently been dominated by White males (Chun & Evans, 2016). Western society is gradually moving toward equality between genders (Inglehart et al., 2003), yet there is a dispropor onal number of male versus female senior leaders of colleges and universi es. That gap widens severely when specifically evalua ng Black women compared to White men in higher educa on leadership (ACE, 2017). Limited Ver cal Mobility and the Concrete Ceiling In academia, the glass ceiling has been restructured as the “concrete ceiling” for many Black women (Baxter-Nuamah, 2015; Davis, 2012). The concrete ceiling is a unique adverse obstacle that Black and other minority women face limi ng their ascension into posi ons of leadership in business and academia. This concept is a metaphor for limi ng upward career mobility and hindering Black women’s ability to coexist in an organiza on, depic ng that Black women are underrepresented and face adversity in seeking or being in senior levels of leadership in higher educa on. Although similar, this differs from the concept of the glass ceiling that all women have faced for years. With the glass ceiling, women can at least see what they were being blocked from as well as have the ability to see, sha er, and breakthrough glass. Concrete however; blocks vision and is nearly impenetrable. There are several factors that perpetuate the challenges associated with the concrete ceiling; one being the lack of posi ve Black women role models (Galloway, 2016). This opens the door to increased exposure with no guidance to adverse experiences that include discrimina on, which is reliant on stereotyping (S. Jackson & Harris, 2007), racism, sexism (Galloway, 2016), and their intersec onality. Ver cal mobility for Black women in higher educa on has been limited due to these dueling forms of discrimina on. Discrimina on works not only to keep women of color out of posi ons of leadership but also works against their authen c inclusion when they make it into those posi ons. The literature further suggests that discrimina on increases for Black women, the higher they climb in higher educa on leadership. (Baxter-Nuamah, 2015). The levels of mental and emo onal labor that is required for a Black woman in a posi on of leadership while maintaining her authen c racial and sexual iden ty has been iden fied as exhaus ng (Erskine et al., 2020). Alas, once the hurdle of the concrete ceiling has been overcome for these female leaders a new series of challenges present. Higher educa on’s power structure, gender-pay gap, and the limited access to power and privilege can result in

feelings of tokenism and isola on, leading to diminished resilience thus presen ng unique challenges for Black women in senior higher educa on leadership (Becks-Moody, 2004). The Many Faces of Discrimina on Discrimina on refers to the harmful and some mes dangerous ac ons of some based on nega ve prejudice that is expressed in escala ng levels of violence to others, ranging from spoken abuse to genocide, according to the seminal research of Allport (1954). Discrimina on is fueled by stereotype threat and fear and is expressed as racism, sexism, ageism, classism, or ableism. Professional discrimina on speaks to people’s unfair and unethical treatment based on race, sex, age, religion, health, socioeconomic status, and class. It looks like harassment, preferen al hiring prac ces, wrongful termina ons, inten onal demo ons, or unjustly denied promo ons, to name a few. One of the real dangers of racial discrimina on that people of color experience is racial trauma or race-based stress. Experiences of discrimina on compounded with fear of a real or perceived threat can lead to symptoms that mirror those of pos rauma c stress disorder (Comas-Díaz et al., 2019). Black women have to manage their iden es of people of color and as women when naviga ng society and leadership. Intersec onality. For Black women naviga ng iden ty, “race does not exist outside of gender . . . and gender does not exist outside of race” (Parker & Lynn, 2002, p. 12) as such, they face the dual discrimina on of the of racism and sexism. The overlap or interac on of the various categories of iden ty discrimina on is referred to as intersec onality (Crenshaw, 1989). Studies have found that the intersec on of racism and sexism in the workplace can result in biases that alter the percep ons of Black women’s competencies thus limi ng their ascension into leadership (Hughes & Dodge, 1997; Moorosi et al, 2018; Pa erson, 2006; Sco , 2011; Smith, 2016). This intersec onality has led to more examina on and cri que for Black women in administra ve leadership, making it more difficult for them to succeed (Hughes & Dodge, 1997, Pa erson, 2006). Stereotype Threat. Stereotype threat is a construct that refers to the risk of self-confirming nega ve beliefs or stereotypes about one’s racial, ethnic, gender, or cultural group in the eyes of others or one’s self and has hindered professional advancement for Black women in and out of academic leadership. A growing body of evidence supports the no on that stereotype threat leads to the reduced performance of individuals that iden fy as part of the nega vely stereotyped group. Other nega ve outcomes of stereotype threat include anxiety and increased use of self- defea ng strategies (Stone, 2002), disengagement and disiden fica on (J. Steele et al., 2002), lowered academic performance (Croizet & Claire, 1998; Inzlicht & Ben-Zeev, 2000; C. M. Steele, 1997), and narrowed career op ons (Gupta & Bhawe, 2007; Murphy et al., 2007). C. M. Steele and Aronson (1995) speculated that decreased task performance caused by stereotype threat could specifically be due to factors such as narrowed a en on, distrac on, anxiety, self- consciousness, and reduced effort or over-effort. Alas, stereotype threat can adversely affect Black women’s experiences in higher educa on senior leadership and the workforce in general. As it pertains to stereotype threat, Black women who hold senior leadership posi ons in various organiza ons, including higher educa on, ba le with the inner turmoil of self-doubt, nega ve

beliefs, low self-esteem. They further struggle with external forces of a hos le environment of racism and sexism daily (Alexander-Lee, 2014). Black women have unique experiences that other groups of women cannot relate to regarding the impact of stereotype threat and nega ve stereotypes. In a study exploring the experiences of Black women as part of the African American Women’s Voices Project, which collected data from 333 Black women from all over the United States between the ages of 18 and 88 years, C. Jones and Shorter-Gooden (2003) reported that 80% of Black women had been affected by a nega ve stereotype. For Black women in higher educa on leadership, the s gma of stereotypes has contributed to their underrepresenta on and challenges in their climb to higher educa on senior leadership. Stereotype threat can further present a dissonance between what these women are perceived as opposed to how they feel they have to be as leaders instead of who they truly are and want to be as leaders (Beckwith et al., 2016; Brown, 2016). If stereotypes define these women’s leadership capabili es, it can be mentally and physically damaging to these leaders (Hill et al., 2016), poten ally leading to isola on and tokenism. Isola on and Tokenism: The Ba le Between Invisibility and Hypervisibility. As a woman of color working in an industry predominantly run by White men, tokenism’s conflic ng thoughts can further complicate an already difficult adjustment. Black women in academic leadership describe the challenges of discrimina on and how it leads to marginaliza on and feelings of isola on and tokenism (Bower & Wolverton, 2009; Cho et al., 2013; Kaba, 2008; Miller & Groccia, 2011). Kanter (1977) described tokenism as the feelings and experiences of being one or few of a group in which they are the extreme minority, such as Black women in higher educa on. These feelings and experiences can include isola on, loneliness, limited support, and solo status associated with the organiza onal prac ces of mee ng minimal legal and administra ve compliance and public scru ny in minority use and placement (Bright, 2010; Sobers, 2014). As a social concept, tokenism stems from discrimina on, marginaliza on, and oppression, as it refers to the prac ce of including a limited number of minori es to give the appearance of equality instead of true equality and diversity (Bower & Wolverton, 2009; Bright, 2010; Kanter, 1977; Sobers, 2014; Woods-Giscombé, 2010). Tokenism emerges from organiza onal calls for diversity and inclusion without genuine feelings of belongingness and equal access to resources. Tokenism in the workplace and, specifically, higher educa on can present in many ways. It can poten ally look like hiring a minority person because of their race or ethnicity or an organiza on marke ng their 1% minority popula on on their website to appear more diverse. In higher educa on leadership, Black women appointed to serve as a college/university president are con nuously challenged and denied by their governing board at every impasse (Davis & Maldonado, 2015). In the world of White academia, Black women, regardless of prepara on, qualifica ons, or competency in administra on, are invisible and isolated (Becks-Moody, 2004). Although the duality of invisibility and hypervisibility plague women in social se ngs, it significantly affects Black women in leadership posi ons (Dickens et al., 2019). Black women in higher educa on

leadership are accounted for and visible when it comes to sta s cal repor ng; however, they are discounted or deemed invisible when it comes to intelligence or academic ability (Baxter- Nuamah, 2015). The sociocultural phenomenon of Black women being invisible or going unno ced or unheard is not rare. Sesko and Biernat (2010) found that Black women are more likely to be unheard, unno ced, and least likely to be recognized in social situa ons. According to Benjamin (1997, as cited in Davis, 2012), the number of Black women in academia has increased; yet, they remain largely invisible, thus presen ng as further adversity to overcome to have their voices heard. Black women in higher educa on leadership are constantly challenged to prove that their success is justly due and achieved and not an effect of affirma ve ac on, opportunity hiring, or tokenism (Baxter-Nuamah, 2015). Edwards (1997) notes that Black women are “more visible and equally isolated” because of their race and gender differences. Increased cogni ve conflict can occur due to the token Black woman finding herself in situa ons where she is cognizant of her posi on as the only Black woman; however, she must “behave as though these differences do not exist” (p. 33). Tokenism has significant effects and consequences. Lord and Saenz (1985) suggested that the token minority status in a group can cause deficits in cogni ve func oning and memory, even in cases where a performance-relevant stereotype does not target that individual. It is further suggested that this is likely due to the outgrowth of the self-consciousness tokenism causes. Tokenism also leads to feelings of loneliness, isola on, and aliena on; receiving heavy blame when there are adverse outcomes (Miller & Groccia, 2011); and exhaus on (Becks-Moody, 2004; Walker, 2016). These outcomes are all validated by early repor ng’s from Kanter (1977), finding poor social rela onships, dismal self-imagery, frustra ons from conflic ng demands, inhibi on of self-expression, feelings of inadequacy, and self-hatred. There are significant and cri cal challenges for Black women associated with tokenism in higher educa on specifically. For instance, Holmes (2003) explored the experiences of mid-through senior-level Black women student affairs professionals employed by predominantly White ins tu ons [PWIs] and found that these women experience feelings of aliena on and isola on. The study par cipants further indicated that they felt their race dictated their ac ons in and outside of the university. Research intensive ins tu ons (R1s and R2s) of higher educa on and PWIs such as the University of Pennsylvania and the University of Kentucky have been notorious for crea ng environments where people of color, specifically women, have extreme difficulty feeling accepted and becoming successful (Kelly et al., 2019). Tokenism affects the hiring prac ces of ins tu ons (Trusteeship, 2002). Tokenism further leads to Black female higher educa on leaders struggling to feel accepted and treated somewhat as equals and not just an object of compliance in the reality of the White, male-dominated world of higher educa on (J. F. L. Jackson & O’Callaghan, 2009). People of color in higher educa on administra on and leadership posi ons are almost always the liaisons on all issues dealing with diversity (Becks-Moody, 2004). Kanter (1977) suggested that this is because the member(s) of the token group will become the representa ve of the

group in general, thus being viewed and treated as symbols rather than individuals. The number of Black women in higher educa on senior leadership is essen ally due to these challenges, which hinders these women’s advancement and limits role models. Black women have faced these challenges over the years yet, con nued to strive for leadership success in all industries. With a focus on higher educa on administra on and leadership, these adversi es have been collec vely examined to understand their influence on Black women in higher educa on and how they shape their leadership development. By exploring how these women overcome adverse experiences and applying that knowledge to the world of higher educa on leadership, we a empt to build the profile of a Black woman in higher educa on leadership. Understanding the processes and strategies these women have implemented will help develop and provide training and mentoring programs for Black women seeking leadership and advancement in higher educa on administra on. METHODOLOGY The purpose of the current study was to understand be er how Black women in higher educa on leadership navigate the adverse challenges of intersec onality, stereotype threat, and tokenism. The inves gator employed a qualita ve methodology using a phenomenological research design as most appropriate to understand the lived experiences of Black women in higher educa on leadership. The inves gator explored the impact of adversity on the leadership development of Black women in higher educa on leadership with a phenomenological inquiry. This approach allowed the inves gator to explore and understand the par cipants’ lived experiences while maintaining reflexivity. Objec vity was achieved by bridling personal subjec vity and personal bias throughout the data collec on and analysis processes (Vagle, 2018). The inves gator ascribed to the hermeneu c school of thought, and although personally vested and experienced with the phenomenon, maintaining objec vity allowed the inves gator the ability to interpret the data as appropriate (Moustakas, 1994). Par cipants Par cipants in the study were recruited by blending convenience, purposive, and snowball sampling techniques. The criteria for par cipa on were (a) Black women, (b) President/Chancellor, vice president/chancellor, or provost of a 4-year college or university in the United States, which have/had been (c) obtained or comple ng a terminal degree. The inves gator conducted an exhaus ve internet search to iden fy poten al par cipants. Convenience sampling like, the name suggests, is the request for par cipa on based on par cipant availability; however, the par cipants had to meet the criteria as outlined, which is purposive by defini on. Purposive sampling is also found to increase representa veness in field research (Vogt & Johnson, 2011). With such a unique and small popula on to sample, the pool of par cipants was already limited, thus allowing snowball sampling to access more par cipants that met the criteria for par cipa on (Naderifar et al., 2017). By networking with peers and colleagues in various colleges and universi es, as well as professional organiza ons, social media, and affinity groups associated with higher educa on, the inves gator was able to

generate a list of poten al par cipants and ask for a direct reference or recommenda on to connect them with the poten al par cipant. The inves gator successfully recruited nine par cipants for the study outlined in Table 1.

Procedures and Data Collec on A er successfully recrui ng each par cipant, the researcher then emailed preinterview documents that included the (a) Lived Experiences Timeline Ac vity (Figure 1), (b) a link to the demographic survey, and (c) a calendar request to schedule the interview. The results of the demographic survey are summarized in Table 1. The inves gator required that the Lived Experiences Timeline ac vity and demographic survey be returned at least 2 to 3 days before the interview for adequate review me to personalize the semistructured interview protocol ques ons (see Table 2). Once all the preliminary documents were collected, semistructured interviews were scheduled and conducted via Zoom videoconference so ware.

Figure 1 Lived experiences meline ac vity Table 2 Interview Protocol

The use of Zoom video conferencing so ware allowed the inves gator to observe and recognize social cues such as body language and voice inflec on during the interview (Opedenakker, 2006). This was beneficial as social distancing guidelines due to the COVID-19 pandemic has recommended avoiding unnecessary contact with people outside your immediate home. Along with using the interview ques ons and the meline ac vity responses, the inves gator took notes during the interviews as the par cipants shared their lived experiences. The notes helped guide the interview flow and assisted the inves gator in understanding and preserving emerging themes during data analysis (Oltmann, 2016). The interviews were recorded digitally to allow for adequate and precise transcrip on. The study included the interview ques ons listed in Table 2. Data Analysis The audio recordings of the interviews were uploaded to Rev, an online professional transcrip on service. Once transcrip on was completed, the inves gator u lized member checking by asking the par cipants to review the transcripts to verify the data’s content and accuracy. The par cipants were able to confirm truthfulness, which increases validity. Member checking has been described as “the most crucial technique for establishing credibility” (Lincoln & Guba, 1985, p. 314). The researcher u lized Moustakas’s (1994) modified Stevick-Colaizzi-Keen phenomenological data analysis method to organize, analyze, and describe the findings. The inves gator manually reviewed each transcript to iden fy possible codes and themes then used the qualita ve data coding and analysis so ware, Dedoose, to further analyze the transcripts. Horizonalizing the

transcripts’ data allowed the inves gator to move from naïve descrip ons to specific examples, thus revealing the essen al structures of the experience. The inves gator first developed textural descrip ons of what the par cipants experienced, followed by structural descrip ons concerning the context and se ng that affect how they experienced the phenomenon. These general descrip ons revealed the composite essen al structure of the lived experience of the par cipants. The inves gator further engaged in the reflexive process of epoché through note taking, which involved reviewing bracketed informa on and reflec on on the context for each code (Creswell, 2013). This bracke ng prac ce of se ng aside personal beliefs, experiences, biases, and preconceived no ons about the phenomenon helped the inves gator to capture the ideas essen al to the research (Moustakas, 1994). Vagle (2014) expanded on the prac cality of this process and further described it as bridling. Dahlberg (2006, as cited in Vagle, 2014) suggested,

This data analysis method further included interpre ve pre-reflec on by the inves gator and the par cipants’ reflec ve descrip ons to reach a “universal descrip on of the experience” (Moustakas, 1994, p. 122). The intersec onality framework was used as a lens to observe, understand, and describe the themes that emerged. Mul dimensional, phenomenological themes that expressed the par cipants’ meanings of their lived experience by iden fying recurring content and pa erns in the transcripts and drawing connec ons among the transcripts’ pages are discussed in the findings below. Addi onally, the inves gator further used member checking by asking the par cipants to validate the iden fied themes, strengthening the validity of the findings. FINDINGS This study suggests that leadership development for Black women in higher educa on administra on is a result of overcoming adversity fueled by resilience. On coding and analyzing the data, four primary themes and two subthemes emerged that addressed how Black women in higher educa on leadership navigate the adversity of intersec onality, stereotype threat, and tokenism: (1) Intersec onality: Naviga ng the -isms; (2) Iden ty, Cultural Diversity, and Belonging; (3) Doing what we have to do: The many faces of resilience . . .; (3a) “I am strong, I am invincible, I am woman”: Mo va ons of the strong Black woman (SBW)/Superwoman; (3b) Networking, Mentoring, and Professional Support; and (4) Leadership: “I am the master of my fate, I am the captain of my soul.” Table 3 illustrates the themes and invariant meanings derived from the research ques on, connec on to the theore cal framework, and frequency of men ons. Table 3 Invariant Meanings and Themes

Theme 1: Intersec onality: Naviga ng the -isms As previously discussed, intersec onality refers to the overlap or interac on of the various categories of discrimina on (Crenshaw, 1989), such as the intersec on of racism and sexism in Black women. This study’s par cipants have shared several experiences where they have had to navigate discrimina on on various fronts, whether on sex, race, age, educa on level, social class, and so on. Ruby discussed dealing with ageism, sexism, and racism in several of her lived experiences. When reflec ng on her legal career before entering higher educa on, Ruby dealt with sexism in situa ons such as [women] being unable to “wear pants to the courthouse.” When referencing challenges due to her race, Ruby shared the following:

Once in higher educa on, Ruby further experienced not only racism and sexism but also ageism:

Amethyst shared the unique experience of being both supported and yet marginalized by a White, male superior at a point in me in her career:

She further recalled a conversa on with the same boss which she was reminded of a er ge ng off a plane:

Jade came to a great epiphany during the interview when considering her ac ons and the impact of ins tu onal oppression on her thoughts and behaviors:

However, sexism and ageism are some of the most prominent expressions of discrimina on she experienced, according to Jade. She discussed a par cular experience that led to her being temporarily unemployed a few years a er undergraduate educa on:

When evalua ng her experiences in higher educa on, Jade shared that she has

Fluorite echoed some of these sen ments as she discussed her transi on from [University] to [University]:

Professionally, Diamond experienced significant discrimina on:

Naviga ng professional environments can be challenging when your physical self is not congruent to the expecta ons set on you; however, Opal is conscious that “it’s the intersec on of race and gender that is a challenge. Showing up as a Black woman who believes in presen ng her true and authen c self is challenging.” Although adversity can be subjec ve as it differs from person-to-person, there are overlapping similari es in these Black women leaders’ experiences in higher educa on. Some of the overarching similari es lie in the discrimina on experienced, intersec onality, and iden ty, cultural diversity, and belonging for this group of par cipants. Theme 2: Iden ty, Cultural Diversity, and Belonging Second-guessing yourself, imposter syndrome, and tokenism are just a few of the challenges associated with these par cipants’ iden es and belonging in academic and professional environments. Ruby summed up the no on of what it feels like to second-guess your talents and skills even when others see them:

Jade echoed this sen ment as she discussed working in her role as a vice president:

Amethyst, who “grew up around almost en rely White people . . . in a mixed-race family in West Virginia, which is a 3% minority state,” talks about the challenge of reaching success based on iden ty and appearance as perceived by a subordinate:

Wonderstone shared that although she “always know[s] that [she’s] coming in and being a token . . . a twofer right, you get a female, and you get a person of color,” expressed how she has pondered at mes “Do I belong, can I fit? What do I need to do? And you do have to learn how to check the boxes.” She was ever reminded of her uniqueness as she states, “I could look around myself and see, there weren’t many people that looked like me in the academy that were administra ve posi ons.” Morganite discusses the challenges of the sense of not belonging and wrestling with imposter syndrome as she stated, “I was something of a unicorn for them,” and being told by peers, “Oh, I like you, you’re Black. I like you, but I don’t like most Black people.” She goes on to say:

For Black women in society in general, and specifically women in higher educa on senior leadership, this is a reoccurring theme. Wonderstone, cognizant of her posi on, goes on to say,

“I was never a quiet token, so you’re not going to just mistreat me” when dealing with adversity in her posi ons. On the concept of tokenism, Diamond states, “it’s a very isolat[ing] experience,” whether in classes back in school or in the board room. The par cipants are highly aware of their posi ons and how their race, gender, and age impact that. The ability to successfully lead in the face of discrimina on sets these women apart from those who shy away from leadership due to being marginalized by their demographics. Regardless of the industry, Black women are expected to navigate the compounding discrimina ons they face daily flawlessly. Theme 3: Doing What We Have to Do: The Many Faces of Resilience Resilience looks different for all people. In the face of trauma, adversity, and the stresses of life, developing and maintaining resilience has helped these women get through difficult experiences and promote personal and professional growth. Resilience does not imply that a person will not experience adversity, trauma, or distress—on the contrary, this author finds that resilience refers to those protec ve factors and posi ve adapta ons a person makes in light of those situa ons. The women in this study have iden fied several resilience techniques and resources they have used in the face of adversity. These women have been mo vated to be the best from their early academics up through their career development. For instance, Ruby recalled part of her mo va ons in undergrad that pushed and built her for success:

Wonderstone was significantly mo vated by her grandparents as a child during the civil rights movement of the 1960s. Her grandparents ins lled in her the “importance of educa on . . . [and] service,” and her grandmother would say, “people can take your house, your car, everything from you, but they can never take away your educa on.” Emerald echoed the group’s sen ments when reflec ng on work ethic in that “you do it well or you don’t do it at all.” Some par cipants recalled being mo vated and inspired by their families (i.e., parents, siblings, children, and spouses), whereas others reflected on external and outside mo vators. Ruby spoke of being able to see and hear Shirley Chisholm, the first Black woman elected to Congress, and to successfully run a full campaign for President of the United States, in person. She described it as a “galvanizing . . . life changing” experience that finalized her career goals of being “in service to others.” Amethyst, while naviga ng her iden ty issues, spoke of being mo vated by people such as her mother-in-law. She was inspired to become a member of several public service organiza ons, as well as to strive for leadership in her respec ve career field as she “sought out Black women that [she] thought could teach [her] how to be a Black woman.” Several of the par cipants spoke of the suppor ve nature that their friends had

provided them throughout their life and 1/3 of the par cipants referenced the suppor ve sisterhood of joining a Black Greek Le er Organiza on. Wonderstone summarized it best when she said, “you have different people in your life that you go to, depending on what it is that you’re dealing with. Whether it’s . . . in your personal life, you know you have a support system of others that are around you that you know will challenge you, listen to you . . . ” Last, but not least, the par cipants unapologe cally revealed their faith and spirituality as personal mo va ons through adversity. Having the mentality to remain steadfast, or #unbothered as the youth call it, in the face of adversity has served these Black female leaders well as they reached and con nue to reach professional success. Subtheme 3a: “I am Strong, I am Invincible, I am Woman”: Mo va ons of the SBW/Superwoman. According to the literature, the SBW schema “is a race-gender schema that prescribes culturally specific feminine expecta ons from [Black] women, including unyielding strength, assump on of mul ple roles, and caring for other” (Liao et al., 2020, p. 84). However, to the women who live it, it is just the norm, as indicated by this study’s results. Each par cipant men oned their strength and resilience in overcoming adversity at least once. Diamond shared the no on that “ . . . Black women can’t slow down” as she reflected on the resolve of her mother, that even a er separa on from her husband, she “kept working and

relessly juggled mul ple tasks.” Diamond further stated that as Black women, “ . . . that’s what we do, and we learned to do it. We learned to be superwomen.” Being a superwoman comes with its own unique set of drawbacks, however. In reflec ng on professional experiences, Jade described it as “ . . . there’s always this ever-moving bar of jus fica on and explana on of why you’re in this space, why you should be allowed to make decisions.” Se ng clear boundaries of what will and will not be tolerated and accepted is cri cal. In reflec ng on collec ve experiences of adversity, Amethyst wondered if Black women are “giving people license to treat [them poorly] because [their] resilience meter tends to be a li le higher,” however, “that’s a coping mechanism, not nature.” However, having a strong work ethic does not translate into being unbreakable for anyone, and having to always be the “SBW” as a source of resilience has its drawbacks and benefits. Resilience is o en seen or defined as overcoming hardships or something easily obtainable; however, that does not paint the whole picture. This par cular defini on of resilience does not consider systems of power, privilege, and oppression that impact marginalized people’s lives every day. Black women in leadership have had to specifically take on the stereotypical role of the SBW or Black superwoman, uphold a ridiculous work ethic, and live by the mantra of having to work twice as hard to get half as far (or half the acknowledgment) than their White counterparts. Strength is undoubtedly a factor of resilience for Black women in higher educa on leadership. Subtheme 3b: Networking, Mentoring, and Professional Support. These women’s resilience has further been supported by networking rela onships, advocates, mentors, sponsors, and professional support systems. Having the right support system has helped the par cipants in this group reflect on their setbacks and learn from them, allowing

them to do be er in the future. Having the right mentors helped the par cipants see failures as learning experiences. Each par cipant spoke of a mentor, a teacher, spiritual leader, or administrator while they were in college, a colleague, or a supervisor. Opal spoke of her mentors and how they “provide[d] advice in the roles [she held] . . . helped [her] job search, not only to think about what [she’d] need to look for in a posi on but the social aspect of the city too.” Fluorite had this to say of her mentors:

Ruby describes the benefits of mentorship as follows:

In summarizing the par cipants’ thoughts, having the right support system, whether it is mentors, sponsors, or advocates, is a valuable asset and resource to help advance professionals’ success in all fields and industries, with higher educa on being no excep on. It is necessary to state that although professional sponsorship is similar to mentorship, sponsorship goes to the next level of advocacy. Whereas a mentor is someone you value with career experience and the ability to help shape and drive career goals, a sponsor is a senior-level execu ve that helps their protégés network. For Black women in leadership, it has been stated that other Black women in leadership make great mentors (Grant, 2012); however, White male allies in senior leadership posi ons are the most influen al sponsors. This group of Black women leaders has further found that networking and having sufficient mentors, sponsors, and professional support systems have contributed to their resilience and leadership success. These support systems have helped the par cipants in this group reflect on their setbacks and learn from them, allowing them to do be er in the future, thus helping them view their failures as transforma onal learning experiences. Mentors and sponsors have provided them the necessary resources, knowledge, skills, and mo va ons to climb the leadership ladder. Theme 4: Leadership: “. . . My Head Is Bloody, but Unbowed.” Leadership for these women is not about a tle but about fulfilling a calling. Ruby stated, “you can lead wherever you are . . . it doesn’t have to be huge, you don’t have to have a tle in order to be a leader.” For Black women in leadership,

according to Amethyst. Similarly, Wonderstone advises that one

Jade understands that leadership comes with responsibility beyond the tradi onal workload as well. She states,

While Diamond suggests that one must “Lead with courage and integrity,” Morganite iden fies as “ . . . a leader who thinks you have to connect with, engage, and see the humanity of the people you lead.” Opal further recommends as a leader remaining

Regardless, developing leadership through adversity requires resilience. Fluorite summarizes this no on as she stated, “I thoroughly believe that setbacks are setups for comebacks. Everything that happens can teach us something, and at mes we have to be made uncomfortable in order to grow and step out on faith.” Taking ownership and mastering life’s challenges has helped to forge leaders out of this group of women. “My head is bloody, but unbowed” is the final line of the second stanza from the poem “Invictus” wri en by William Earnest Henley (1919, p. 1019). The La n word “Invictus” translates to mean undefeated or unconquerable. There is no group more befi ng this tle than the women in this study. This poem’s theme is resilience, the will to survive in the face of severe adversity, of which these Black female leaders in higher educa on have successfully done. This poem visualizes with metaphors overcoming hardships and personal adversi es. Essen ally, this poem imagines the prac ces of how a transforma onal leader resiliently overcomes adversity to achieve successful leadership. Essence: Adversity Promotes Resilience and Yields Leadership Development These findings suggest that for Black women, leadership development results from resilience, and the cost of resilience is lived adversity. As they have been exposed to greater adversity historically and culturally, Black women have naturally developed greater resilience. Research has suggested that Black women are socialized to be independent, emphasizing self- determina on and educa on (Thomas & King, 2007). This sort of socializa on promotes resilience over the oppression of the nega ve stereotypes and images. Therefore, these women are being taught at an early age to have tough skin and endure. Regardless of the adverse experiences these Black women have faced, they consistently found ways to rise above and overcome. Jade shared that she thinks “part of [her] ability to move up in the ranks” has been due to her resilience. Morganite affirms that her resilience prepared her for her role in higher educa on senior leadership by sta ng, “[it] is a job that will chew you up and you have to be

able every day . . . you have to wake up and bounce back and have a renewed perspec ve, so I think that has helped.” Emerald’s words of advice when dealing with adversity further promote overcoming:

Instead of folding under the pressures of adverse crucible experiences, this group’s resilience supports the development of their leadership poten al. Leadership Development. Learning and adapta on support a posi ve correla on between the lived adverse experiences and leadership development in Black women (Pulley & Wakefield, 2001). The par cipants in this study are no strangers to adversity nor resilience. By not giving up a er experiencing adverse situa ons and events, these women sharpened their swords of resilience and pressed onward and upward, reaching academic, administra ve leadership. When considering her lived experiences with adversity and overcoming with resilience and the impact that adverse experience had on her leadership development, Wonderstone stated that she always ponders “how character and strength is developed. [Her] resounding answer is when you have walked through the valleys of life . . . you grow and hopefully learn how to be resilient in the face of adversity.” Although this group of Black women leaders is in higher educa on, many of them suspect the leadership skills and tools they developed along the way apply to any leadership posi on. Perhaps, Black women who experience adversity and overcome with renewed resilience will indeed make the best leaders (Gaudiano, 2019). DISCUSSION This study explored how Black women in higher educa on leadership navigate the adverse challenges of intersec onality, stereotype threat, and tokenism. The results revealed that Black women in higher educa on leadership experienced and overcame adversity, thus revealing an associa on of their ability to develop the necessary leadership skills to advance their careers. The par cipants described their adversi es as fuel to overcome, thus developing the necessary skills to prepare them for leadership. Their strength through adversity is driven by resilience. Resilience has manifested itself in many ways for this study’s par cipants, varying from mo va on factors such as family and rela onships, mentors, community support, and the support of cultural iden ty and diversity. The data collected from nine par cipants provided various perspec ves and narra ves about their lived experiences, focusing on discrimina on and intersec onality, prejudice and stereotype threat, and tokenism and the impact those had on their leadership development. All of the rich, textural data obtained from the par cipants and the literature provide a wealth of

informa on for young Black women seeking guidance in overcoming adversity and leadership development. Implica ons This study aims to disseminate knowledge to enlighten the next genera on of young Black women struggling through adversity and aspiring leaders to find Black women role models who have successfully broken through the barriers of race and gender (S. Jackson & Harris, 2007). Exploring Black women’s experiences in leadership and higher educa on expands the approach to analyze leadership development programs for women of color. Black women are s ll underrepresented at the top ranks of leadership in the academy and across the board, both domes c and abroad; therefore, educa ng and mo va ng other Black women with leadership poten al to strive for leadership remains a high priority. Closing the racial-gender leadership gap for Black women is impera ve. The majority of leadership development and empowerment programs geared toward women have shortcomings regarding Black women; however, this disparity may not be by design. Conven onal programs that emphasize specific skills such as speaking up, being asser ve, nego a ng, being confident, self-promo ng, se ng career goals, and developing a personal brand or image yield unfavorable responses for women of color. Black women are consistently challenged with the stereotype threat of being perceived as an “angry Black woman,” dressing appropriately to meet European beauty standards, not appearing in mida ng or scary, and not appearing to congregate and socialize unprofessionally. As such, the duality of needing to be an asser ve and confident female leader is con nually struggling against the need to tone it down as a Black woman. The results of the explored experiences of Black women in higher educa on leadership can further provide decision making individuals and bodies such as boards of trustee members, regents, and other key decision makers with informa on essen al in evalua ng Black women in higher educa on poised to assume leadership at 4-year colleges and universi es (Gasman et al., 2015; Rein, 2017). Overall, the current findings intend to inform the readers about the par cipants’ experiences and provide themes or pa erns that can be used to be er understand Black women’s experiences who have assumed these roles. Limita ons and Future Research Limita ons of the current study must be addressed to protect the reliability and trustworthiness of the research. All research has limita ons (Creswell, 2013; Moustakas, 1994), and this study is not an excep on. The following exclusion criteria have delimited the current study: par cipants were Black women working toward or had completed terminal degrees, and par cipants are or previously had served as president/chancellor, vice president/chancellor, or provosts at 4-year universi es in the United States. As there are not many Black women in this role from which to choose, there were challenges recrui ng par cipants for the study. Furthermore, by the study only exploring the experiences of a small group (approximately 8-10) limited by race and sex in a specific and notable career, the findings are not generalizable. Nor can we expect the data to

reflect all Black women’s experiences in higher educa on senior leadership at 4-year colleges and universi es. Although limita ons exist, these findings speak to the inves gator’s best effort to understand the lived experiences of the Black women in higher educa on leadership who par cipated in this study. These findings open the door to future research opportuni es such as those related to the scarcity of Black women in higher educa on leadership in 4-year colleges and universi es that are not HBCUs. It is evident how few Black women have reached higher educa on leadership. Further research is suggested to explore the experiences and percep ons of the Black women that have and do hold these posi ons with par cular emphasis on PWIs and top-

er research schools. More advanced research will help understand the challenges these women face and their recommenda ons to increase Black women’s representa on in these posi ons where they may not have ini ally felt they had a place. Another future sugges on for research involves exploring the lived experiences of Black, Indigenous, People of Color [BIPOC] in leadership outside of academia. BIPOC women have been making significant advances in leadership in industries such as poli cs, government and military, automo ve, retail, finance, technology, and emergency management, to name a few. Inves ga ng how their lived experiences influenced their leadership development will expand the overall understanding of leadership development and women’s studies. CONCLUSION Black women in higher educa on leadership have overcome stereotypes and mul layered intersec onal discrimina on and pushed past organiza onal oppressions such as limited role models, the concrete ceiling, and tokenism with the use of resilience. Fortunately, these challenges have merely been speed bumps on the road to success for this group. They have been diligent in their drive to climb the ranks of leadership in the ivory tower. Factors such as resilience, social support, and leadership development all contribute to that climb. There have been several strategies indicated by the par cipants for Black women to increase their likelihood of successfully achieving higher educa on senior leadership. They will need to be educa onally prepared and creden aled, know themselves, have a mentor/sponsor, develop coping mechanisms to handle adversity, and most importantly, reach back and help others (Baxter-Nuamah, 2015). This interview process allowed the par cipants to be vulnerable and transparent when reflec ng on and sharing their lived adverse experiences and their impact on their resilience and leadership development. This study has made evident that adversi es shared, whether minor or significant, were not enough to break these women’s spirit, drive, and resilience. ACKNOWLEDGMENTS First, I am beyond apprecia ve for the amazing par cipants in my study. You women, who are leaders and decision makers at your colleges and universi es took me out of your extremely hec c and busy schedules to complete this research, and I am forever humbled and grateful. To say that I was inspired and mo vated a er the conversa ons with all these amazing Black

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Henrie a Trip, Centre for Postgraduate Nursing Studies, University of Otago, P.O. Box 4345, Christchurch 8140, New Zealand. Email: henrie [email protected] ABSTRACT Life expectancy is increasing for people with intellectual disability, many of whom live with family. While there has been research about aging and future planning, there is limited evidence about the characteris cs of the caregiving rela onship. The aim of this study was to examine perspec ves of caregiving for older people with intellectual disability and their family. A construc vist grounded theory approach was used, and 19 people with intellectual disability and 28 family members were interviewed. Caregiving was informed by transi ons across the life course. Three interrelated concepts, Riding the Waves, Shi ing Sands—Changing Tides, and Uncovering Horizons comprise the core components of the theore cal model—Naviga ng Ever- Changing Seas. This model informs complex, trans-genera onal rela onships that impact decision-making for people with a long-term condi on. Applica ons within health care indicate a need for systems to include individuals and their networks of care in policy, prac ce, research, and service delivery across the lifespan. KEYWORDS aging, decision-making, families, learning disability, reflexivity, grounded theory, health, communica on, caregivers, caretaking, long-term condi on, qualita ve, New Zealand BACKGROUND In keeping with the general popula on, the longevity of people with intellectual disability has increased though life expectancy is lower and is dependent on the level of impairment or associated condi ons (Coppus, 2013). In New Zealand, this is 18 years less than their nondisabled peers for males with intellectual disability (or 59.7 years of age), while for females, it is 23 years less (or 59.5 years); Ministry of Health [MOH], 2011). Despite lower life expectancy, it is es mated that 12% of people with intellectual disability in the Asia-Pacific region will be over 65 years of age by 2020 (Janicki, 2009). This popula on commonly receives lower levels of health screening and experiences higher rates of ill health than the general popula on (Reichard, Stolzle, & Fox, 2011). Health issues are o en masked due to presen ng overt behavior (Davis & Mohr, 2004), mental health needs, and polypharmacy (McCarron et al., 2011). Lower life expectancy correlates with higher morbidity rates for people with intellectual disability who have comorbid respiratory and neurological condi ons (Leeder & Dominello, 2005; MOH, 2011) and who are at a higher risk for developing cardiac disease (MOH, 2011; van den Akker, Maaskant & van der Meijden, 2006). Health outcomes, however, have not improved in New Zealand for people with an intellectual disability despite accessing health services more frequently than previously. In addi on, there are higher rates of chronic condi ons, including kidney disease and cancer, lower rates for mammography and cervical screening, and reduced access to health-promo on ac vi es. Demen a has a similar prevalence to the general popula on rate with the excep on for those with Down syndrome who are at an increased risk of Alzheimer’s disease (MOH, 2011).

The majority of people with intellectual disability reside with family, may be unknown to specialist services, and/or may be invisible to health and disability systems (Ryan, Taggart, Truesdale-Kennedy, & Slevin, 2014). The nature of care within families can impact an individual’s ability to express their autonomy and par cipate in communi es of choice (Parley, 2010), and those living with a parent as they age may be at risk when trying to access services as it o en takes me to arrange appropriate alterna ve supports (Dodd, Guerin, Mulvany, Tyrrell, & Hillery, 2008). The roles of the carer and recipient present a number of challenges and mutual benefits in regard to household income, social isola on, a lack of informal supports, changes in tradi onal roles, and preferred care op ons (Argyle, 2001). The impact of this on the health of familial carers cannot be ignored as it may affect not only physical well-being but also the way in which roles and decision-making may evolve over me. Yamaki, Hsieh and Heller (2009) found middle aged and older female carers experienced “higher rates of arthri s, high blood pressure, obesity and ac vity limita ons” compared with the general popula on (p. 429), which places them at greater risk for developing cardiovascular disease, stroke, and diabetes. It has also been iden fied that aging carers also experienced depression and anxiety (Taggart, Truesdale- Kennedy, Ryan, & McConkey, 2012). Hence, there may be either sudden or gradual changes in the caregiving rela onship due to illness of family members. As a result, health and social connectedness may impact adversely the future life trajectory of the person with intellectual disability (Cuskelly, 2006). The need for increased awareness of the reali es faced by parents (Dillenburger & McKerr, 2009) and siblings caring for older adults with intellectual disabili es (Dew, Llewellyn, & Balandin, 2004) is evident given that this rela onship “is one of the most durable influences on the development and quality of life” (Esbensen, Seltzer, & Wyngaarden Krauss, 2012, p. 287). Families in these roles cons tute informal carers, and society relies on them to maintain this role in whatever capacity (Dillenburger & McKerr, 2009). In the United Kingdom, a third of carers are over 70 years of age (Department of Health, 2001), and in New Zealand, 69% of all informal carers are aged between 30 and 64 years of age with 12% above 65 years of age—63% of whom are female (Ministry of Social Development, 2008). Similarly, in Australia, those over 65 years of age comprise 10%, the majority of whom have a family member with a severe or profound intellectual disability (Llewellyn, Gething, Kendig, & Cant, 2003), and in Ireland, caregivers in this age group make up 32.7% (Barron, McConkey, & Mulvany, 2006). Cri cally, people living with a mild intellectual disability are likely to have fewer supports, be under represented in sta s cs, and may outlive their carers. The implica ons for appropriate future planning around aging with an intellectual disability, therefore, cannot be ignored (Kelly & Kelly, 2011). Many families have had a lifelong career in caring for their family member, which exists long into middle adulthood (Gilbert, Lankshear, & Petersen, 2008). Families relinquish care for a number of reasons: level of disability and associated support needs (severe or profound 75%), challenging behavior (64.5%), physical and psychological health and well-being (Grey, Totsika, & Has ngs, 2018), exhaus on, and/or the recogni on of natural milestones sugges ng that young adults should move out of home (Nankervis, Rosewarner, & Vassos, 2011). This rela onship can be stressful, and when formal or informal supports are deemed insufficient, it impacts the

family unit (Taggart et al., 2012). For example, access to informa on and respite services that have specific eligibility criteria (Gilbert et al., 2008) can be stressful when the ability of carers to balance their roles may be dependent on gaining such access. Moreover, for the individual with intellectual disability, life-stage transi oning and decision-making may only occur when a crisis arises in the family (Haley & Perkins, 2004) and the opportunity for them to develop new skills may be limited if alterna ve care is perceived as nega ve (Chadwick et al., 2013). It is difficult to fully capture the intricacies of the familial context (Stoneman, 2005), and given the increased life expectancy, the acquired role of siblings, as informal carers, is more widely recognized (Arnold, Heller, & Kramer, 2012). Furthermore, as people with intellectual disability are more likely to be unemployed, socially isolated, less likely to have a partner or children, the caregiver role is more likely to default, to siblings (Ryan et al., 2014), par cularly females who reside nearby (Burke, Taylor, Urbano, & Hodapp, 2012). However, the extent to which siblings are involved in conversa ons about the future or hold knowledge about disability service systems is limited (Heller & Kramer, 2009). Furthermore, 37% of family members may find themselves in a compound caregiving role, paren ng an adult son, daughter, or sibling with intellectual disability as well as caring for parents or others (Perkins & Haley, 2010). While health and disability services are predominantly funded on the basis of standardized algorithms for measuring individual needs, the needs of others in the caregiving rela onship are not always clear (Williams & Robinson, 2001a). It is common to find that family carers have not undertaken specific future planning (O’Grady Reilly & Conliffe, 2002). However, while such planning does not guarantee access to relevant services, having a plan has been found to increase the probability of it occurring (Freedman, Wyngaarden Krauss, & Mailick Seltzer, 1997). Parents may be reluctant to explore the conversa on about future planning with other family members due to the belief that the knowledge they possess is not transferable (Williams & Robinson, 2001b), a recogni on of their own fragility or significance of altered roles (Taggart et al., 2012), the perceived suitability of accommoda on op ons for their rela ve with intellectual disability (Llewellyn et al., 2003), their behavior and vulnerability (Williams & Robinson, 2001b), funding for appropriate caregiving support (Black & McKendrick, 2010), reluctance of the family member to move (Bowey & McGlaughlin, 2005), and service con nuity (Cuskelly, 2006). Many familial carers have thought they would outlive their rela ve with intellectual disability, and that kin and services would take responsibility when needed (Taggart et al., 2012). In addi on, caregiving roles some mes contain a symbio c dynamic, in which neither the rela ve nor the adult with intellectual disability would be able to con nue living independently without the presence of each other (Founda on for People with Learning Disabili es, 2010). Future planning has been explored with people who have an intellectual disability and/or their family. “What the future holds” enabled families to plan what is desirable for the future, while simultaneously ensuring that systems do not negate this when suppor ng transi ons (O’Grady Reilly & Conliffe, 2002). “The future is now” is a peer support interven on, which was important for family members as “was the inclusion of individuals with developmental disabili es in the planning process” (Heller & Caldwell, 2006, p. 198). However, future planning should not be the

sole responsibility of familial carers and should include funders of health and disability services (Janicki, 2009) who are sufficiently knowledgeable, sensi ve, and flexible to allow appropriate responses to idiosyncra c situa ons within longstanding informal caregiving rela onships (Black & McKendrick, 2010). While there is research about the nature of aging and future planning in this field, the complex experiences of caregiving, receiving, and decision-making within familial systems of care have received li le a en on. The aim of this study was to examine the nature and dynamics of caregiving and receiving for older people with intellectual disability and their family. Therefore, a qualita ve approach was needed to explore this social phenomena from the perspec ves of all par es in the caregiving rela onship. This was informed through exploring their individual and collec ve perspec ves about aging and future considera ons. DESIGN From its roots in classical grounded theory (Glaser & Strauss, 1967), the epistemology of the construc vist paradigm within grounded theory necessitates a process of engagement in building a collec ve understanding of experiences (Charmaz, 2006, 2008 2014). This approach was used to explore the dynamic nature of the caregiving rela onship between people with an intellectual and family members. The process was underpinned by axiology, which stems from the transforma ve paradigm of seeking what is ethical for popula ons considered to be vulnerable (Harris, Holmes & Mertens, 2009), and the ontology of rela vism, which requires the researcher to cri que their exis ng knowledge or assump ons while engaging with par cipants’ reali es and the constructs that inform them (Birks & Mills, 2011; Guba & Lincoln, 1994). The purpose of the former is to ques on and understand the conten ons within disability research in regard to inclusion, access, equity and fairness across the lifespan (Harris et al., 2009). Construc vist grounded theory, therefore, required the first author to be cognizant of her own lenses and interac ons in rela on to others (Giles, King, & de Lacey, 2013): This is reflexivity, which enables the social and mutual construc on of experiences (Charmaz, 2008) as understandings that are co-created inform the theore cal perspec ve about “how and some mes why [emphasis in original] par cipants construct meanings and ac ons in specific situa ons” (Charmaz, 2006, p. 130). Construc vist grounded theory is not a linear process, and thus, the core features of theore cal sampling, memo wri ng, concurrent data collec on, and constant compara ve analysis were undertaken (Charmaz, 2006, 2014) (Figure 1).

Figure 1 Constant comparison analy c process Recruitment and Par cipants Using nonprobability sampling, the first author approached residen al and voca onal intellectual disability service providers to ascertain whether people accessing the service met the inclusion criteria. Informa on was also sent to primary health care se ngs in the South Island of New Zealand. Adver sements were placed in a religious publica on, a carers newsle er, and public no ces in local newspapers and on websites. Services discussed the proposed research with prospec ve par cipants before providing them with a Le er of Invita on, Informa on Sheet, and Expression of Interest Form. Snowball sampling was also used as a form of recruitment (Becker, Roberts, Morrison, & Silver, 2004). Par cipants with intellectual disability were to be approximately 40 years of age or older, as recommended by Taggart et al. (2012); have a mild to moderate level of intellectual disability; have some form of expressive language; and who could consent or assent to an interview. They were required to have lived with, or to have been supported by, someone they iden fied as

“family” for at least 5 years. Nineteen individuals with intellectual disability nominated 28 informants to par cipate in the study. Data Collec on Semistructured open-ended ques ons guided the sharing of experiences (Charmaz, 2006) and allowed par cipants to place informa on into a relevant context to reduce the risk of misunderstandings (Gilbert et al., 2008). The interview guide was informed by the Family Life Interview, which iden fies and locates the needs of the family in rela on to the connec ons and conflicts that may exist between them and the wider community (Llewellyn et al., 2010). The Family Quality of Life (FQOL) ques onnaire explores importance, opportunity, ini a ve, and stability across the domains of family life: health, finances, family rela onships, support from other people, support from disability-related services, influences of values, careers and planning for careers, leisure and recrea on, and community interac on (Werner et al., 2009). Ques ons included the following:

How would you describe yourself as a person?

Who is important to you? (Prompt: Tell me about your family/friends)

What do you enjoy doing during the day/week in the community?

What support/help do you get now? And/or provide within the family?

What other caregiving responsibili es do you have or an cipate?

Tell me about your health.

What do you think about ge ng older?

What might change in your body as you get older?

Where would you like to be? What would you like to be doing in the future?

What would be needed? How do you/your family make decisions?

Prior to the study, the first author discussed the dra ques ons with three individuals with intellectual disability (who were not eligible to par cipate), to gauge their understanding and interpreta on (Northway, Howarth, & Evans, 2015). Demographic data for par cipants included age, ethnicity, gender and health status, and rela onship between the person with intellectual disability and the nominated informant. Up to three face-to-face contacts were made by the first author with par cipants with intellectual disability to enable introduc ons, discuss the research, complete the consent process, and undertake the interview, which was digitally audio- recorded and transcribed. Interviews with par cipants with intellectual disability took between 30 and 139 minutes (mean 62 minutes) and for family members 30 and 150 minutes (mean 76

minutes). Six people with intellectual disability chose to be interviewed alone, seven with the nominated family member, and the remaining six with other supports. Eleven par cipants with intellectual disability nominated one person to be invited to contribute to the study, seven par cipants chose two, and one chose three family members. The range of rela onships comprised mother, father, brother, sister, sister-in-law, friend, and aunt. One nominated sister declined to par cipate, and while a son with intellectual disability declined to par cipate, they nominated their mother. No reasons for either were received. Three par cipants with intellectual disability chose to review the transcribed interview with the first author, and family members were sent the transcript and invited to make further comment. Data Analysis Through constant compara ve analysis, ini al and focused coding requires the fracturing of data: This process explores inter-rela onships between the data, enabling it to be reassembled as theory emerges (Mills, Bonner, & Francis, 2006a) while simultaneously ensuring that the emerging codes, categories, and their proper es are grounded in the data (Charmaz, 2006, 2014). This is termed theore cal sensi vity (Birks & Mills, 2011) and safeguards reflexivity by separa ng out the influence of the researcher (Giles et al., 2013). Coding was undertaken by the first author and were named in the ac ve tense (“gerunds”), which reflect both the social and psychological processes (Charmaz, 2006, 2011) and the dynamic nature of the code (Mills, Bonner, & Francis, 2006b), resul ng in categories that evoke “crucial proper es that make data meaningful and carry the analysis forward” (Charmaz, 2014, p. 247). An example of a memo to capture reflexivity by the first author was as follows: As a nurse with over 20 years experience in the specialist field of ID, I have knowledge of health & disability systems—some families struggle with. Not sharing this knowledge could impact interac ons, interpreta on and the co-construc on of their experience . . . Separa ng out the roles of researcher and clinician presents both an ethical obliga on and responsibility to reduce the likelihood of moral distress. Memos also dis lled both the historical, current, and prospec ve context offered by par cipants. This process also illustrates reflexivity in terms of channeling the researcher’s lens to the “tacit knowledge and implicit meanings of par cipants” (Charmaz, 2015, p. 1615), and hence, memos were completed both during data collec on and throughout data analysis. In regard to implicit meanings, for example, the family is in a “holding pa ern,” members are ge ng on with their own lives amidst ongoing influences in which the outlook keeps changing (within and external). They have parallel yet disparate existences—intrinsic knowledge that the situa on would change when Mother got sick or died. All par es capture aspira ons of what they want for themselves, not previously heard by each other. This was a response to interviewing a man with intellectual disability, his mother, and two sisters. The following memo relates to the experiences of several siblings and iden fies that some perspec ves were unique to par cipant groups: Feel like a facilitator of transi ons across and between lifespans—their own and others. Par cipants with intellectual disability spoke of being to others . . . wai ng, wan ng, an cipa ng, hoping things to be different with uncertainty of how to make happen a future for themselves.

Data analysis involved ini al coding, which were managed in Excel. As the constant compara ve process evolved (which included reviewing the wider context in transcripts), the coded data from across par cipants were then printed so that focused coding could ensue, be visualized by the co-authors, and be developed conceptually as subsequent dimensions became evident. In constant compara ve inquiry, there is no defining point at which theory is said to emerge. The process is the progression of evolving theore cal development un l satura on has occurred, which ensures that grounded theory meets the social jus ce criteria of credibility, originality, resonance, and usefulness (Charmaz, 2006). Therefore, a concept must not be solely applicable to the context in which it arose; its u lity is in its transferability (Morse, 2004). These core components of grounded theory underpinned the methodological approach undertaken in this study and were conducted in partnership with the researcher’s supervisors (L.W. and M.C.) and the specialist advisors for the project who have clinical and research exper se in the field (B.M.- V. and C.D.). Ethical Considera ons Ethical approval (URA/11/02/004) was received from the Upper South A Regional Ethics Commi ee, Ministry of Health, New Zealand. Historically, including people with intellectual disability in research was considered inappropriate (Polit & Beck, 2004); such gatekeeping by others excludes par cipa on, and is o en based on unsubstan ated assump ons on the need to protect the individual as well as poten ally percep ons regarding overall capability (McDonald & Kidney, 2012; Morrisey, 2012; Pontero o, 2013). Conversely, without external facilita on by others, the person’s ability to access and par cipate in research would be hindered (Lennox et al., 2005), and the core lived experience would not be heard. Fundamentally, it is important to hear from the people themselves about issues that affect them to ensure transparency of repor ng and equity of representa on, and in turn, society learns about popula ons considered vulnerable (McDonald, Conroy, & Olick, 2016). As with the general popula on, people with intellectual disability must be “assumed to have capacity to consent, unless it is proven otherwise” (Dye, Hendy, Hare, & Burton, 2004, p. 145). Consent by proxy was used by one person with intellectual disability who was able to assent to par cipate but was unable to provide informed consent (Veenstra et al., 2010): This means that their legal guardian could consent to their par cipa on having ascertained their understanding about the project even if the logis cs of research process per se are unclear to them. All the remaining par cipants consented for themselves. FINDINGS The demographics of par cipants are summarized in the supplemental table and Table 1 namely, people with intellectual disability and their nominated family respec vely. What follows is a presenta on of each theore cal concept: Riding the Waves, Shi ing Sands—Changing Tides, and Uncovering Horizons. For each concept, links are provided between the induc ve codes and categories of which each is comprised, together with evidence from the data. The theore cal model, Naviga ng Ever-Changing Seas, is then introduced and explained. Table 1 Demographic Data—Family/Whanau (n = 28)

Demographics of Par cipants Concept 1: Riding the waves. This concept comprises three categories: reciproca ng rela onships, emerging (in)dependence, and taking cognizance, which illustrate and represent the ebb and flow of rela onships, focus on daily living, and is about ge ng on with life and simply taking things as they come. Riding the waves represents the challenges and opportuni es of living alongside and being responsive to others over me (Table 2). Parents spoke about others not understanding their isola on, and commented “we were never invited out . . . my sisters thought he was spoiled.” One sister, however, “thought that every family was just like us . . . it’s hard to tell what life would have been like without her.” Another example of the diversity was expressed by a mother who said this was her job—“I sort of do things myself and take everything in my stride. I used to get a lot of help when he was younger.” Table 2 Riding the Waves

Reciproca ng rela onships denotes connec ons within the caregiving system of support evidenced by the roles, rela onships, sense of duty, and expecta ons. Challenging the common expecta ons about who provides and who receives care, one sister reflected about her brother that “amazingly, it got to a place where he has become a caregiver for Mum.” Conversely, he felt he had to co-ordinate the services involved with his mother as it was like a “train sta on— people coming and going.” Another stated that while it could be trying at mes, her flatmate,

who has intellectual disability and mental health needs, is “a really good friend and you’ve always got company,” thus illustra ng the reciprocity of caregiving rela onships. A number of mothers of people with intellectual disability spoke about the sense of duty, “I must do it” or “I’ve s ll got a child . . . who is dependent,” and similarly, for a sibling, “I felt obligated that it’s my duty as the eldest.” Emerging (in)dependence is reliant on the underlying context, and this changes over me. For example, while some par cipants iden fied aging as a way of moving toward independence, for others, increasing dependence with age was likely. While autonomy was valued, the level at which it was able to be exercised varied. “We really owe him right now otherwise she’d [Mum] be in a home” (sister). Growing up, one sister struggled with understanding why she “always had to keep an eye on him . . . it was always my job. [Other siblings] would not have a clue what he needs now.” The aunt spoke about not having her own life due to her nephew’s support needs whereas some parents said their son kept them young. Notwithstanding, many par cipants iden fied that their life had meaning and, for some family, the person with intellectual disability needed to learn new skills for the future despite the family maintaining the status quo. Taking cognizance was seen to apply only to family members in this study. They weighed up and reflected on finding themselves accommoda ng the disability and ra onalizing their reality. Siblings reflected on this in terms of communica on, for example, “it is quite rewarding [living together] but some mes it’s terrible . . . when he doesn’t have the words to why he’s annoyed,” and another iden fied the need to be pa ent, and contextualize the perceived challenge in terms of the disability to work out what was true and had meaning for her sister with intellectual disability. Accommoda ng the disability extended to the physical environment as one accepted that her sister-in-law does things at a slower pace. The code of reaching satura on was reflected by many family members in terms of recognizing their own limita ons, as one friend said he gets red with being available and feels terrible about feeling that way. Concept 2: Shi ing sands—Changing des. This concept was informed by unknown and known reali es about the past, present, and those s ll emerging (Table 3). While some ambivalence was noted, these reali es are based on how par cipants were configuring aging or an cipa ng change. One elderly mother noted that “life would change very quickly [for her daughter] if I couldn’t drive. . . .” Over the years, family members had seen significant changes in health and disability systems and were not enamored with what was available but resigned themselves to not speak up because “he’s at least got a placement or somewhere to go in the day—so shut up!” These examples mirrored the perspec ves of many par cipants about what the context of the older may be like in terms of service access and delivery, which informed considera ons and decision-making about the future. Table 3 Shi ing Sands—Changing Tides

All par cipants with intellectual disability had specific ideas about configuring aging as defined by me, health, socializa on, and mobility, which could be altered through a person’s change in func on and, therefore, result in poten al changes in life circumstances. One person saw older people as those who “can’t do much . . . Standing, walking and bending down [are harder] . . . slow in their thinking . . . you’ve got to yell—cos they’re deaf . . . They are really slow.” Another thought that people “start to get grumpy,” and a third knew people with demen a who “forget where the toilet is . . . can’t manage ea ng.” One par cipant considered his own aging in comparison with what he could do when he was younger, namely, si ng unaided. When talking about ge ng older, several made the connec on that dying is part of living in that it would be “really sad to be that old . . . To have a walking s ck because they’re dying or don’t want to live.” Others spoke specifically about being scared and “not looking forward to dying . . . I don’t want to be put in a coffin [or] cremated. When I die I want to be buried” (Kate). Leslie added to this conversa on about what happens when one dies, sta ng “it goes up there . . . Your soul [indica ng skywards]. The body goes underground.” For par cipants with intellectual disability and their family members, configuring aging made visible the likelihood that changes in the exis ng caregiving rela onship were inevitable based on their individual and collec ve aging. The category of an cipa ng change reflected a willingness to embrace looming responsibili es, intrinsic and extrinsic factors, and feeling disillusioned. Over me, beliefs within families had been presumed or expected and eventually became an accepted truth. Two mothers were adamant that responsibility should not fall to other offspring nor was this fair to the son or daughter with intellectual disability: “It’s not their job . . . that’s what really started me thinking about it [making a plan].” There were, however, assump ons about the availability of others to step up: “I’m pre y sure [daughter] would take care of him—she wouldn’t put him anywhere” (mother), and for several siblings, this was a clear expecta on. Three daughters felt this role was assumed and inevitable based on their gender, proximity, and the absence of other family members, and they wanted siblings to pitch in: “I do all the donkey work down here, she [sister] can have a turn.” One brother was aware of his own aging and was concerned he would not outlive his sister who has Down syndrome.

Limi ng factors, both intrinsic and extrinsic, impacted how the needs of the person with intellectual disability could con nue to be met by the family. Six siblings and eight other family members, for example, expressed mistrust of health and disability services and were concerned about sustainability of such services in me to come. Two fathers reiterated, “Can you make any plans because things change all the me? You know it’s very difficult. They get homes so far out, no transport . . . those kids miss out on a lot.” Examples were given of “service fa gue” in terms of meframes, who to contact, assessment for access, and then limited receipt of services. Changes in legisla on for the funding and delivery of disability services were also noted as having had a nega ve impact on what was available. Despite this re cence, many carers acknowledged the importance of le ng go and enabling others for change to occur, all the while feeling like unknowing explorers. Despite iden fying the sense of looming responsibili es for themselves, half the family members voiced expecta ons that others step up to support the family member with intellectual disability: “Hopefully we’ve set a precedent for the others to follow” (sister-in-law) and “she’s the mother of my granddaughter . . . I’m s ll mum to her . . . that’s where he’s [brother] going when I die” (sister). The intergenera onal posi oning regarding caregiving responsibility was seen to be ins lled (by parents) and dis lled (by siblings) for individuals, collec ve family, and service systems. Concept 3: Uncovering horizons. Thinking beyond the present saw par cipants uncovering horizons. For some, this was daun ng yet there was an inevitability of a future that held poten al—for everyone. This concept was informed by the categories of entertaining possibili es, crea ng a good life, and mastering decisions (Table 4). These iden fied the facets of safeguarding and enabling the future to become a reality for all concerned. “My hope is that he would be able to live with other people . . . a small group of people” (sister). Table 4 Uncovering Horizons

Entertaining possibili es evoked an cipa on for all par cipants as looking forward to changing circumstances would allow for individual development of iden ty. Mothers spoke about being cau ous as to “whose life you are living” if one does not explore the future and, in preparing

her daughter to move out, thought “I’m looking forward to star ng my life . . . the ton of weight’s already been li ed off my shoulders.” Some par cipants with intellectual disability found it hard to iden fy things they would like to do in the future: Nine had clear goals including “going out more” or wan ng to learn “how to spell, read, and use the phone,” and four wanted to re re, which meant moving into aged care whereas others thought going on an overseas holiday would make re rement worthwhile. While the opportunity to discuss changing life circumstances had been minimal within most families, 15 par cipants with intellectual disability spoke of preferred alterna ve living arrangements. For example, “whatever happens to mum and dad, I’ll probably be staying with my sister for a while,” or wan ng one’s own home: “I’d live there by myself . . . get people in to do the lawns and garden but I’ll do the rest.” Wherever they saw themselves, having an iden ty was a key goal be it a paid part- me job, spending me with friends at the library, or resuming art classes. Crea ng a good life was about keeping well and enjoying living: It was recognized that one is dependent on the other, and par cipants spoke about health and supports needed to achieve these goals. In regard to the aforemen oned, mastering decisions presented ques ons for individuals and their families about when it would be the right me to take the next step, whose interests would be at the forefront, and who should be included in the process. Connec ng with others comprised extended family, neighbors, respite care, friends, church community, and even strangers:

However, this category of mastering decisions also iden fied several concerns that families had about the lack of natural supports as well as staff turnover in services as they trusted them to know the person. For families, the code facilita ng ownership linked percep ons about ability with the manner in which choices are made for, and with, people with intellectual disability. Family shared lessons learned about the ability of the individual and/or response around decision-making. For example, one family member was surprised when her brother suggested he go into respite care when he said, “I think it’s good sister because you’re going to have a break from me and I’m going to have a break from you.” A mother explained about giving her daughter a choice, and while it took two days, she decided who was to stay with her when Mum was away. One set of parents admi ed the family had a discussion about the future, which resulted in the father ge ng a slap across the face. “The next day he apologized and we had a chance to sit down and talk to him about what was going on.” It transpired their son was upset as decisions were being made without him, and this acknowledgement enabled individuals and family, in turn, to consider engaging the system. Decision-making has been, and con nues to be, a fluid, dynamic, and intermi ent process across the lifespan. While family members were grateful for what they were already receiving, the majority found future planning daun ng in

terms of what it would require in terms of their readiness and engagement with complex changing service systems to meet the current and future needs of all family members. Naviga ng Ever-Changing Seas: A Theore cal Model The concepts of Riding the Waves, Shi ing Sands—Changing Tides, and Uncovering Horizons are interpre ve co-construc ons of the par cipants’ narra ve experiences. In other words, as individual perspec ves were given voice within and between systems, it allowed for the overlaying of all contribu ons, which ensured the simultaneous validity of both the individual and the collec ve experiences: A new meta-level of understanding commonal es thus emerged and allowed for the shared evolu on of caregiving experiences. As a result, these three concepts represent dynamic, cyclical, and evolving trans-genera onal rela onships, and illustrate the reali es of individuals and their family who found themselves Naviga ng Ever- Changing Seas (Figure 2). The “sea” as a metaphor represents no defini ve beginning or ending in understanding aging and future planning and in which “naviga on” (decision-making and purpose) is ongoing, and the intrinsic and extrinsic factors that underpin par cipant perspec ves are ever-changing. At the heart of this theore cal model is that decision-making in the frame of health and disability tends to shi , evolve, and devolve as an ongoing func on of the dynamic and fluid intersec ons between rela onships (personal, familial, and formal service systems) and the percep ons and beliefs held by the very occupants of those systems with regard to caregiving and receiving across the lifespan.

Figure 2 Naviga ng ever-changing seas: A theore cal model The three circles in the center of the model signify the interrela onship of people with intellectual disability, those nominated as family (including siblings and subsequent genera ons). While each have their own unique quali es, the spheres of influence repeatedly wax and wane between and across each group. The broken line signifies the permeability between the par es in the caregiving rela onship(s) with six factors influencing their individual and collec ve lives: health and disability philosophy, the socio-poli cal and cultural context, communi es of iden ty, intrinsic features, extrinsic elements and one’s place within the lifespan. The impact of these factors is dependent on variables such as the se ng, ming, and magnitude of the perceived or actual experience. While the proper es of each concept are linked to the respec ve categories, the four-way omnidirec onal arrows illustrate the flexibility of the sta c and dynamic factors within and between the concepts. A number of inherent drivers were evident over the lifespan for families and the member with intellectual disability in respect to how perspec ves about caregiving (as it pertained to aging) were and con nue to be formed. The values intrinsic to the system of care are cri cal to this process, and simultaneously, extrinsic societal factors shaped the experience of caregiving and receiving for all par es that informed retrospec ve and prospec ve decision-making. Without excep on, the influence of changing government policy in terms of funding for, and access to, alterna ve accommoda on op ons and voca onal services, significantly impacted how and why decisions were made by families over me. It also clearly influenced par cipant’s perspec ves about aging and future planning. The socio-poli cal backdrop of disability philosophy over me, such as ins tu onaliza on and community living, provided a context for families and underpinned their approach to decision-making, and thus the theore cal model Naviga ng Ever-Changing Seas. As with all models, encapsula ng the iden fied proper es (within a concept) implies that a finite number of elements exist, which follow a linear process, and are equally applicable for all par cipants. In this study, this was not always the case as evidenced by par cipants’ experiences of caregiving and receiving as they pertained to perspec ves of aging and future planning. Korzybski, cited by Bateson (1973), states “the map is not the territory” (p. 423). In other words, a map is a sta c en ty and only provides an indica on at a specific point in me of what has happened across the lifespan but not the lived, dynamic territory. Theore cal models cannot fully subs tute for the individual’s experience or map and, consequently, it is the territory (or variables in the model) that are the elements of driving and shaping change. Consequently, Naviga ng Ever-Changing Seas reflects the unspoken, yet evolving territory that intersects with the changing maps of others’ lives. Maps, by subjec ve interpreta on, are constantly being redrawn based on “differences [which] are the things that get onto the map” (Bateson, 1973, p. 426). Such differences can refer to how events are remembered, represented, and interpreted across the lifespan and the prac cali es that inform how and why decisions are made. The former are characteris cs unique to individuals, whereas the la er refers to the history and social context of par cipant groups (Shanahan & Profelli, 2002) — in this case people with intellectual disabili es, siblings, parent(s), and others denoted as family.

The territory is what emerges from the differences between expecta ons of the map versus the experiences of par cipants (based on exis ng knowledge, percep ons, interpreta ons, and rela onships), and thus, the map is con nually in a state of flux. Having a map is important, but as the future is unknown, the territory or individual permuta ons intersec ng the network of care are seen to demand and require con nuous naviga on. DISCUSSION While limited, the complexi es of intergenera onal caregiving have been explored from a life- course perspec ve and acknowledges that transi ons in later life are largely influenced by individual, familial, and societal factors (Baumbusch, Mayer, Phinney, & Baumbusch, 2017; Esbensen et al., 2012). This study, however, iden fied the experiences of those in the caregiving rela onship about nego a ng and naviga ng decision-making, in regard to the future, and elicited what informed their respec ve perspec ves. People with intellectual disability and their family may not always be aware of the myriad of co- exis ng iden es, roles, and life-stages, nor be conscious of what has informed their beliefs or posi on, or be able to ar culate why these are important and which factors may help or impede them in moving forward in a preferred direc on. Naviga ng Ever-Changing Seas illustrates a flexible pla orm from which families can explore their individual and collec ve maps to date and recognize the interchange of their respec ve territories through the concepts of Riding the Waves, Shi ing Sands—Changing Tides, and Uncovering Horizons. The proper es of the first concept denote an intrinsic awareness of poten al demands, balanced against taking life as it comes by dealing with each challenge as and when it arises. The second delineates the recogni on of differences between the current territory of one or other party in the system of care, and which prompts a need to iden fy and adjust one’s perspec ve to accommodate these. Hence, through Shi ing Sands—Changing Tides, there are constant opportuni es for an uninten onal yet self-determined emergence of either common or dis nct territories; these find their expression in Uncovering Horizons. In so doing, new territories or perspec ves emerge, which require re-visi ng over me. Hence, Naviga ng Ever-Changing Seas provides a personal and an all-encompassing perspec ve through which the direc on or construc on of individual and family maps and/or territories may be reconfigured as people engage in caregiving rela onships across the lifespan. The applica on of this model is crucial both developmentally and chronologically at each stage of decision-making at an actual or perceived transi on throughout one’s life; caregiver(s) and care recipient(s) can use this model as an external framework through which one iden fies and communicates their current or desired future territory (life stage or direc on). As demonstrated in this study, role-confusion and iden ty-confusion occur when it is not always clear as to who is the carer and who is the recipient. The model is, thus, beneficial to all par es within the caregiving system — including the family member with intellectual disability. There is a transac onal and ever-changing context stemming from intrinsic and extrinsic influences, which can create opportuni es for transi ons and evolu on to occur (Jokinen, Janicki, Hogan, & Force, 2012). Intrinsic influences refer to one’s sense of support from others in the family (Resch et al., 2010) including personal resilience, hopes, and the bank of experiences, which inform the truths or map for each party. Extrinsic influences include philosophical shi s stemming from the prevailing socio-poli cal

context. These have an impact on the individual experience of intellectual disability in rela on to one’s family and/or community, as well as the availability and accessibility of services (Resch et al., 2010). Moreover, families have their own beliefs, culture, and ecology, which inform the way in which they interact and engage with each other, services, and, socio-poli cally, with the community at large (Skinner & Weisner, 2007). It is proposed that, as a theore cal model, Naviga ng Ever-Changing Seas can be applied in the wider context of health care. It is a means of understanding past decision-making, an cipa ng possible future points of transi on and is a framework from which one can be made aware and be guided through. In this study, it evolved from an explora on of perspec ves about future planning from the lenses of the aging person with intellectual disability living with family. The experience of decision-making as informed by the three core concepts that comprise the model could be applied to an individual with a long-term condi on and reflects elements nominated by Wackerbarth (1999). She examined decision-making for those caring for a person with demen a and iden fied styles that resonate here and include those who “take it one day at a

me” (p. 308), recognize intrinsic factors, plan ahead, or require external support to do so. In their review, Devaney et al. (2009) unpacked health barriers to cancer screening and concluded women did not have the:

Using this model with individuals and their families to unpack the nature of caregiving and decision-making could promote engagement with health and disability systems to enable future planning and, poten ally, improve health care outcomes of all members in the system of care. The above two examples highlight the opportunity of the model to serve as a framework for examining and understanding decision-making in a range of long-term condi ons and in which there are reciprocal perspec ves of caregiving and receiving, for example, diabetes, mental health, and neurological condi ons such as epilepsy. LIMITATIONS The majority of par cipants with intellectual disability chose to be interviewed at home, and therefore, it is not clear whether the presence of family impacted their being able to freely express themselves. Conversely, it may have facilitated communica on by having someone who knew them well as families were respec ul of the opportunity to be present and ac vely supported their family member with intellectual disability to par cipate as independently as possible. Access to precise diagnoses for intellectual disability was a further challenge. There is a presump on that those already accessing intellectual disability services must have had confirmed eligibility to government-funded services. Some individuals, however, self-iden fying as having an intellectual disability, had a ended special educa on but had not yet accessed adult disability services. A number of contacts were required to engage par cipants for the purposes of consent and interview, which may have served as both a limita on and a strength.

The inclusion of people with intellectual disability in research is considered best prac ce, and as such, gatekeeping prac ces may be a limi ng factor as autonomy is o en linked with capacity to consent (Lai, Ellio , & Ouelle e-Kuntz, 2006). RECOMMENDATIONS The recommenda ons pertain to aging and future planning in terms of how caregiving or receiving can enhance or limit the promo on of individual and collec ve autonomy and decision-making. They are relevant for (a) people with intellectual disability, their family and wider networks of care; (b) health and disability service systems and policy-makers; and (c) informing further research:

a. Conversa ons about health and aging should include: The subjec ve narra ve of the person to give voice to their decision-making and meaningfully support them in their journey across the lifespan. The colla on of informa on about the person needs to include life history, their likes, dislikes, communica on, and support needs. Appropriate and regular educa on with regard to rights and responsibility, life skills, health literacy, and facilita ve choice and access. Ongoing development of exis ng formal and informal networks of support. The development of regular re-visi ng of inclusive advance-care plans with each party in the caregiving rela onship.

b. Knowing the popula ons: A lifespan approach to the educa on and training of health, disability, and service system providers in regard to the health and aging needs of the popula on. Flexibility and co-ordina on is needed between the disability and aged care sectors as exis ng resources from each may, in isola on, be insufficient for one or both par es to age in place. When responses to increasing care needs occur at the point of crisis, there is a risk of further increasing the vulnerability of individuals (Eley, Boyes, Young, & Hegney, 2009). Informa on management systems to iden fy the composi on of families who have a member with an intellectual or other disability to inform system planning.

c. Further explora on and evalua on of Naviga ng Ever-Changing Seas in regard to its applica on to other popula ons and contexts.

CONCLUSION This study provided a unique insight into the nature of caregiving and receiving for older people with intellectual disability and their family. When the former reside with the la er into their middle-adult years, this may pose a number of addi onal challenges and opportuni es. While some families may be “cri cized if they do not make plans for their future . . . [they may feel] unsupported by the system when they do take posi ve steps” (Grey, Griffith, Totsika, & Has ngs, 2015, p. 55). The interpre ve construc vist grounded theory approach enabled par cipant perspec ves to be shared, and their accounts allowed a co-construc on of their individual and collec ve reali es across both me and with others. There was clear evidence of

an enduring parallel process for par cipants with intellectual disability and their family in recognizing their mul ple roles within the system of care as well as the unique features that shaped it. Hence, it is essen al that caregiving is recognized as being both dynamic and reflexive rather than a linear process. Naviga ng Ever-Changing Seas defines the concepts that comprise the interconnec ng reali es of all par cipants on the journey of living with a long-term condi on, aging, and planning for the future. Furthermore, it provides a flexible map by which the respec ve territories of the individual and collec ve outlooks can (and should) con nue to be iden fied, acknowledged, developed, and shaped over me. Pivotally, this no on of perpetua ng engagement needs to be considered as it applies not only to the study par cipants and their family (regardless of age and stage of life) but also to others in the health and disability sector. Cri cally, Naviga ng Ever-Changing Seas is a theore cal model concerned with an interac ve process of influences, which both enabled and disabled the engagement of people with intellectual disability and their family in conversa ons and/or processes about aging and planning for the future. It draws together three theore cal concepts (Riding the Waves, Shi ing Sands—Changing Tides, and Uncovering Horizons), which together illustrate the ever-evolving inter-rela onships between all par es in the caregiving system. Furthermore, it demonstrates that there exists a core set of elements that can iden fy and/or inform the knowledge and processing gaps that exist in the journey of living, dying, aging, and planning for the future. Naviga ng Ever-Changing Seas acknowledges the dynamic nature of interdependent, transgenera onal rela onships and the influences that permeate these rela onships, perspec ves, and experiences of decision-making across the lifespan. DECLARATION OF CONFLICTING INTERESTS The authors declared no poten al conflicts of interest with respect to the research, authorship, and/or publica on of this ar cle. FUNDING The authors received no financial support for the research, authorship, and/or publica on of this ar cle. ORCID ID Henrie a Trip, h ps://orcid.org/0000-0001-5844-3400 REFERENCES American Psychiatric Associa on. (2013). Diagnos c and sta s cal manual of mental disorders (5th ed.). Washington, DC: Author. Crossref. Argyle E. (2001). Poverty, disability and the role of older carers. Disability & Society, 16, 585-595. Crossref Crossref. Arnold C. K., Heller T., Kramer J. (2012). Support needs of siblings of people with developmental disabili es. Intellectual and Developmental Disabili es, 50, 373–382. Crossref PubMed.

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Werner S., Edwards M., Baum N., Brown I., Brown R.I., Isaacs B.J. (2009). Family quality of life among families with a member who has an intellectual disability: An exploratory examina on of key domains and dimensions of the revised FQOL Survey. Journal of Intellectual Disability Research, 53, 501–511. Crossref Crossref. Williams V., Robinson C. (2001a). More than one wavelength: Iden fying, understanding and resolving conflicts of interest between people with intellectual disabili es and their family carers. Journal of Applied Research in Intellectual Disabili es, 14, 30–46. Crossref Williams V., Robinson C. (2001b). ‘He will finish up caring for me’: People with learning disabili es and mutual care. Bri sh Journal of Learning Disabili es, 29, 56–62. Crossref Yamaki K., Hsieh K., Heller T. (2009). Health profile of aging family caregivers suppor ng adults with intellectual and developmental disabili es at home. Intellectual and Developmental Disabili es, 47(6), 425–435. Crossref PubMed.Appren ces AUTHOR BIOGRAPHIES Henrie a Trip is a registered nurse and senior lecturer with the Centre for Postgraduate Nursing Studies at the University of Otago, Christchurch, New Zealand. Her research interests are long- term condi ons, healthcare accessibility, and vulnerable popula ons, par cularly people with intellectual and other disabili es. Lisa Whitehead is the associate dean research at the School of Nursing and Midwifery, Edith Cowan University, Australia, and an Honorary Professor of Nursing Research with the University of Otago, New Zealand. She has a par cular interest in improving health outcomes for people living with chronic condi ons, self-management interven ons and working with families to support health outcomes within primary care and community nursing contexts. Marie Crowe is a registered nurse and works across the Department of Psychological Medicine and the Centre for Postgraduate Nursing Studies with the University of Otago, New Zealand. She has extensive research experience and clinical exper se par cularly in the areas of psychosocial interven ons for mood disorders and long-term health condi ons. Brigit Mirfin-Veitch is the Director of the Donald Beasley Ins tute, Dunedin and a senior research fellow with the University of Otago, New Zealand. As a sociologist, she has a par cular interest in understanding the lives of people with learning disability and seeks to ini ate and achieve social change through research into physical health and mental wellbeing, deins tu onalisa on, paren ng and the law. Chris Daffue is a consultant clinical psychologist with the Specialist Mental Health Service, Canterbury District Health Board, New Zealand. He specialises in the field of intellectual disability and has a specific interest and exper se in developmental trajectories, ageing, ethics, risk management and systems theory.

APPENDIX D AN ETHNOGRAPHY—“BRITISH-BORN PAKISTANI AND BANGLADESHI YOUNG MEN: EXPLORING UNSTABLE CONCEPTS OF MUSLIM, ISLAMOPHOBIA AND RACIALIZATION” Mair n Mac an Ghaill Newman University, UK Chris Haywood Newcastle University, UK Source: This ar cle originally appeared in Cri cal Sociology, 41, 97–114. Copyright 2015, Sage Publica ons, Inc. ABSTRACT Much recent academic work on making sense of the changing public profile of the Muslim community in Britain operates within an explanatory framework that assumes a shi from ethnicity to religion and an accompanying shi from racializa on to Islamophobia. A key limita on of this work, o en grounded in media representa ons, is that it tends to be disconnected from contemporary lived social rela ons. In response, this paper cri cally engages with these debates, drawing upon qualita ve research that explores a changing cultural condi on that is inhabited by Bri sh born, working-class Pakistani and Bangladeshi young men. It is argued that this emergent cultural condi on cannot conceptually be contained within a singular category of religion as the contours of the young men’s cultural condi on are embedded within a range of intensified and ambivalent rapidly shi ing local, na onal and interna onal geo-poli cal processes. Therefore in contrast to recent theorizing and research on Muslim communi es and iden es, the young men in this study cri cally engage with the contextually-based local meanings of Muslim, Islamophobia and racializa on to secure complex masculine subjec vi es. Alongside this, the ar cle highlights that young men recognize that Islamophobia, displacing a no on of racializa on, is a danger for their community because of the a endant invisibility of the current impact of social class within condi ons of socio- economic austerity, which for them is a central element of their social and cultural exclusions. KEYWORDS Britain, gender, Islamophobia, Muslim, racializa on, class INTRODUCTION For young working-class men born in Britain of Pakistani and Bangladeshi heritage, much Bri sh poli cal, media and academic commentary on Muslims serves to re-inscribe them as a major social problem (Richardson, 2004; Hussain, 2008). This is occurring at a me of the emergence of an asser ve English na onalism involving a forging of a renewed Bri sh iden ty and a European-wide poli cal ques oning about state-led mul culturalism (Fekete, 2004; Ibrahim, 2005; Townsend, 2011). A range of discourses have been projected by government, media and popular culture about failed mul -culturalism, parallel communi es and self-segrega on (Phillips, 2006; Nagle, 2009; Kundnani, 2009). For McGhee (2008: 145):

In response, this ar cle argues for engagement with Pakistani and Bangladeshi young men’s narra ves that focus upon the reduc ve representa ons of Islam, the Muslim community and being a young Muslim man. At the same me, there is an urgent need to cri cally interrogate the assumed social separateness, cultural fixity and boundedness of religious, ethnic and na onal categories of difference that they claim are imputed to them. Within the context of the ins tu onal regulatory produc on of these containing categories, it is important to highlight that iden ty forma on is embedded within the temporal and spa al specificity of a community’s disasporian history and the accompanying making of iden ty affilia ons through diverse sources of na onhood, ethnicity, religion, culture and tradi on (Bauman, 1996; Zaretsky, 1996). In turn, these resources are highly classed, gendered, genera onally and regionally specific within condi ons of late modernity (Brah et al., 2000). Yet we con nue to know li le of the processes that cons tute these posi ons. Therefore, a combina on of materialist and post- colonial theore cal frameworks and young men’s accounts provides an alterna ve representa onal space that cri cally explores debates about the racializa on of religion, the central role that religion plays in the process of racializa on, and Islamophobia as a contemporary form of the racializa on of Muslims. The paper begins by outlining our methodological posi on and the search for an alterna ve representa onal space in response to much recent social and cultural theorizing on Muslim representa on, iden ty forma on and subjec vity that has disconnected from lived rela ons within ins tu ons, specific local contexts and broader social and economic processes. This is followed by a discussion of the shi ing racialized representa ons of young Muslim men, addressing the need to go beyond a singular category of religion in exploring their lives. A major focus of the paper is an explora on of their discussion of the instability of concepts such as Muslim, Islamophobia and racializa on. Finally, we address the students’ nuanced understanding of racializa on that highlights the invisibility of the stra fica on of young Pakistani and Bangladeshi men as classed subjects. RESEARCH METHODS: YOUNG MEN’S NARRATIVES There is a tendency within the academy, government and media to over-generalize about the Muslim diaspora living in Europe and North America. For example, within a North American context the popular representa on of the Muslim is o en portrayed as Arab; within a Bri sh context the popular representa on is o en portrayed as South Asian (Haddad, 2004). In reality, the global Muslim diaspora is na onally and ethnically a highly diverse popula on. Feminist and post-colonial theorists have provided a sophis cated map of Bri sh Muslim young women in late modernity (Shain, 2003; Brah and Phoenix, 2004). This ar cle draws upon this work in focusing on young Muslim men, as a genera onally-specific gendered category that remains an under-researched field of inquiry.

As indicated above, this study is based upon Birmingham-born young men of Pakistan and Bangladesh heritage. It is suggested that 21 per cent (approximately 232,000 people) of the popula on resident in Birmingham Local Authority iden fied as Muslim (Birmingham City Council, 2013) compared to 4.8 per cent in the UK popula on (Office for Na onal Sta s cs [ONS], 2012). This is the highest number of Muslims for a local authority in the UK. Furthermore, in terms of ethnicity, the electoral ward of Birmingham records 144,627 (13.5%) Pakistani, and 32,532 (3%) Bangladeshi within these communi es. Within this context, such communi es are highly diverse, and as a qualita ve and explora ve study, the paper does not seek induc ve validity by sugges ng that the par cipants represent the experiences of the broader Muslim male popula on of the area or the general popula on. Instead, as Crouch and McKenzie (2006: 493) argue:

Our work with a younger genera on of Pakistani and Bangladeshi young men, in Newcastle, London and Birmingham, makes clear their geographically-specific local experiences of growing up in a rapidly changing Britain (Popoviciu and Mac an Ghaill, 2004; Mac an Ghaill and Haywood, 2005). In other words, the young men in this Birmingham-based study inhabit specific lifestyles within a spa al context of diverse social trajectories among a changing Muslim diaspora in Britain. Therefore, it is the explora on of the young Muslim men’s meaningful experiences that was a key objec ve of the research design. Drawing upon our own ethnographic work, we set out to enable the research par cipants to inhabit an alterna ve representa onal space that provides insigh ul narra ves about the complexity of inhabi ng subject posi ons across public and private spaces. During a three year period, 2008–11, we have recorded the experiences of 48 Pakistani (30) and Bangladeshi (18) working-class young men, aged 16–21. Twenty-five of the young men’s narra ves are reported in this paper. The majority of the young men (38) (20 in this paper) a ended local secondary schools, sixth-form colleges and further educa on colleges. However, as suggested in previous work, Bangladeshi and Pakistani young people’s par cipa on in educa on is highly fractured and non-linear (see Bradley and Devadason, 2008). For example, young men stagger their engagement on part- me courses over a number of years, o en to accommodate responsibili es within the home and at work. The interview groups contained a mix of Bangladeshi and Pakistani young men, as indicated by their names, who shared not only in mate friendships but were part of a broader social community that included a ending the same youth and community organiza ons and colleges, sharing the same employers, and par cipa ng together in leisure ac vi es. Furthermore, although they were diverse individuals, in terms of ethnicity, age, past experience and social status with different current experiences of being in educa on, work/training or unemployed, they held a shared cri cal reflexivity of ethnic majority assump ons of Muslim iden es. The

la er emerged as of central importance to the main themes of this paper about Islamophobia and the racializa on of Muslims. While carrying out empirical work with young people, we were introduced to two young men who were poli cally involved in the local area. In turn, they introduced us to other young people that subsequently led to further snowballing of other friends, family and community representa ves (Pa on, 1990). Access was greatly enabled by our being known for our social commitment to the local area, working with families in the local community. Group and life history interviews provided the framework through which to explore a range of cri cal incidents experienced by these young men. The group interviews were carried out at local community centres and the life history interviews were carried out in a variety of places, including at youth and community organiza ons and local cafes. These interviews lasted around 45 to 90 minutes and provided insight into growing up, family, schooling, social life and local community. These interviews were supplemented by a range of other research strategies that included observa ons, informal conversa ons and interviews with parents and local community representa ves (Alvesson and Skoldberg, 2000), as part of a wider cri cal ethnography on the impact of globally-inflected change upon the local forma on of diasporic young men’s subjec vity and iden ty (Appadurai, 1991; Harvey, 2003; Ansari, 2004). The datasets from each of the methods was subject to thema c analysis (Braun and Clarke, 2006) that enabled us to explore ‘the underlying ideas, construc ons, and discourses that shape or inform the seman c content of the data’ (Ussher et al., 2013: 902). The subsequent analysis was taken back to the young people themselves not simply as a form of ‘face validity’ but also as a way of exploring the prac cal and poli cal implica ons of the findings. All interviews throughout the study were both anonymized and the research par cipants were given pseudonyms to protect their confiden ality (Wetherell, 1998). SHIFTING RACIALIZED REPRESENTATIONS OF YOUNG MUSLIM MEN: ‘FROM ETHNICITY TO RELIGION’—BEYOND A SINGULAR CATEGORY OF RELIGION The young men, as post-colonial subjects, have an implicit or explicit understanding of earlier racialized representa ons of their grandparent and parent genera ons that do not make sense of contemporary social and spa al rela ons of their lives in Birmingham (Gilroy, 2004). Importantly, they note that state and public ins tu onal figures have li le understanding of their community, of inter-genera onal changes or, perhaps most significantly, the changing morphology of western urban sites, such as Birmingham, in which new iden es, both minority and majority ethnic, are being manufactured (Bha acharyya, 2008). In a group interview below, Abdul begins a discussion about the genera onal specific experiences of young men in rela on to the racializa on of their ethnici es: Abdul: A lot of people would have heard about how are grandparents/parents were treated really bad when they came from Pakistan. But it’s different for the kids, for us. Like the

stereotypes our parents had are more like what the Somalis, the Yemenis, or even the Poles, cos they’ve just arrived, with different language and all that. MM: So, what about your genera on? Abdul: It’s different for us because we’re born here, so we’re Bri sh and have a Pakistan heritage. And, anyway probably everything changed round here and everywhere a er 9/11. Azam: It’s changed and not changed, white kids will s ll call you ‘Paki’ in certain areas but it’s also that we’re seen as a terrorist or fundamentalist, those kinds of words, those stereotypes. Majid: When you start thinking about it, it’s all mixed up. Like words like Asian, Pakistani, ethnics, what else, and worst of all the BME and all the rest. I don’t know, they’re not really about us are they? They’re about older genera ons. Shabbir: Maybe not about them, just white people giving us labels. Wasim: There is no straight, no straight-forward stereotype of young Muslims because you get all the propaganda stuff about not joining the terrorists. Like you hear government people on telly a er some terrorist stuff has taken place, they’re saying that we need the most help, so as not to be persuaded to go off to Afghanistan and train to become a terrorist. But the main stereotype of us is that we are terrorists. Yusuf: Governments and police and even probably a lot of teachers they don’t know nothing. They don’t really know about us. About people who live around here. They don’t even know anything about our white mates who live here and they’re white. They talk as if we have just arrived in this country but even I can see in a few years this city has really changed and our parents say it’s really changed. It’s not just about us, the whole city has changed. Go and talk to the white kids and their parents and they will tell you. But government and people in charge they don’t know this. They don’t live here. [Group interview] One of the experiences within these young men’s narra ves is the lack of iden fica on with available representa ons and language (Sandhu, 2011). Current a empts by state ins tu ons to contain them within the singular category of religion o en oscillates between representa ons of the responsible, family-orientated hard-working, socially-passive Muslim father and shi ing racialized representa ons that contradictorily posi on them as both poten al terrorists and highly vulnerable to terrorist recruitment. Exploring the experiences of contemporary young Muslim men, we find complex iden fica ons, affilia ons, investments and posi onings of a highly visible diasporic group, of whom we know li le. More specifically, we know li le about the complex processes of subjec vity and accompanying processes of subjec vica on, inter- subjec vi es and social biographies, complex investments/affilia ons and the occupying of mul ple and diverse iden fica ons. This lack of social knowledge begins with the conceptual ambiguity and confusion of the deployment of the term Muslim in the social science literature, including ‘the re-categorisa on of various ethnic (Mirpuri, Bangladeshi, Pakistani) groups into

religious (Muslim) ones’ (Shain, 2011: 15). The young men discussed the suggested shi from ethnicity to religion as the primary official marker of their public (racial) iden ty. For example, Anthias and Yuval-Davis (1993: 55) have claimed that:

For the young men, their social lives are marked by an intensified global surveillance, cultural pathologiza on and social and racial exclusion that is more complex than this suggested shi ing classifica on (Said, 1978). Most importantly, as illustrated in the discussion below, no ons of ethnicity, religion and cultural belonging are not clearly demarcated, and the separa on of these categories is experienced contradictorily: Amir: You … I can’t get my head around it. I can’t even say it. M.M: Say what? Amir: You feel you’re been watched all the me, here comes the Muslim. But you can’t prepare or something for when it happens, or know how to react, cos it’s different, it happens in different ways. M.M: Like how? Amir: Like Yusuf was saying the other day, the teachers, the police would look at you differently. Then again, different teachers will act out differently. Kashif: You can’t separate these things like that. You can’t split people up like that. It don’t work that way. It’s not like our parents are ethnic or Asian or Bangladeshi or Bengali or whatever and now younger people are just religious. These things are all mixed up for everyone. Abdul: Like I said to you the other day, when you said why go to the mosque to pray, you can pray anywhere. That’s very true. But deep in being a Muslim is looking a er your neighbour. So it’s important to meet people, to check out they’re OK. Kashif: So you can’t choose between calling us ethnics or religious. That’s stupid, makes no sense. [Group interview] With the young men’s ambivalence towards genera onally specific ways of being Muslim men, based upon culturally infused religious iden es and their rejec on of masculini es underpinned by violence, iden fica ons have involved the reconfigura on of the meaning of Muslim. From the above discussion, the no on of a singular homogeneous Muslim iden ty is not experienced by these young men. Furthermore, representa onal spaces such as those

projected by the police or teachers, which are o en based on par cular religious and/or poli cal differences, appear not to be connec ng with their lived experiences: Farhad: Do you understand? In the past the word ‘Paki’ was the stereotype. Now people say Muslims are called terrorists but the real stereotype now is to be called a Muslim. Kashif: That’s what’s changed. In the past our parents were seen as good for being religious by white people, well like teachers and police and that, even the government. Now we are seen as bad because of our religion, like we are all extremists or something. Sajid: That is very true. It’s like for these people, religion for them is like a big cage that they try and lock us up in. [Group interview] These ins tu onal representa ons are dependent upon the instan a on of such difference, which it can be argued can consolidate Muslim iden es. For example, Qureshi (2004) found that a group of young Pakistani men in her research made their masculini es through the Othering of young white men. One of the characteris cs of the young men in our research was that the process of Othering of whiteness was seen as a characteris c of an older form of Muslim iden ty; an iden fica on to which these young men held a growing ambivalence. As a consequence, securing masculine subjec vi es appears to be genera onally more complex. Here we focus on the young men securing their masculine subjec vi es through the unstable concepts of being a Muslim young man, Islamophobia and racializa on. THE INSTABILITY OF CONCEPTS: MUSLIM, ISLAMOPHOBIA AND RACIALIZATION During the early 2000s, exploring the forging of ethnic and na onal iden es among young Bangladeshi men and women, we found increasing diversity of masculine forma on in rela on to assumed ethno-religious iden fica ons and social prac ces (Mac an Ghaill and Haywood, 2005). We need to hold onto a socio-historical perspec ve, in order to trace a range of contemporary fragmented male subjec vi es, social trajectories, cultural belonging and contested meanings of the concepts of Muslim, Islamophobia and racializa on within regional spaces. As suggested above, Pakistani and Bangladeshi young men are experiencing a specific cultural condi on that conceptually cannot be contained within the singular iden ty category of religion. Their narra ves serve to cri que the dominant culturalist explana on that the state, including ins tu onal sites, such as schooling and policing, ascribes to them (Faas, 2010). The contours of the young men’s cultural condi on are embedded within intensified and ambivalent rapidly shi ing geo-poli cal processes, involving developments in global economic restructuring and its impact on local and global labour markets, advanced technological systems and increased cultural exchange, a series of western-led wars on Muslim socie es, shi ing pa erns of migra on, new forms of racial exclusion, the restructuring of a new world order and the apparent reclama on of ethno/religious iden es. At the same me, young men in this study are subjec vely experiencing such changes in terms of dynamic dissonances that are (re) cons tu ng their remembering of the past, the living and

doing of the present and their imagined futures. This process is demonstrated through the nego a on of the meanings a ached to being Muslim: Asif: It’s wrong to talk about the Muslim perspec ve and the Muslim community and Muslim young men and women act like this and that. There is no such thing. If you look at young people round here, they have, they take up really different styles, different ways. And, definitely you make friends cos you have things in common that are really different to other groups. M.M: Like what? Asif: Like what? Like everything. Obvious things, like whether you go to college or uni, or you’re not working or those who join gangs, different interests, music, how you dress, where you go with your mates, everything. Wasim: You go up North or down to London and its really different. We always say it at the weddings. These people are not like us. Yasin: When you ask about the future, for young Muslim people, yeah everything is mixed together. When people are planning for the future, it’s very different futures. Just even in our college, the future thinking is kind of linked to how you think about the past, and whether you want to get away from it or how much you know about the past in this country and Pakistan and everything that’s happening now about all the talk about Muslims. But mostly about how you make the future good, same as any younger people. [Group interview] In discussion with the young men, they explain that the increasing mobiliza on of the term Muslim as a collec ve self-referent, that is seen in the research literature as highly significant in terms of their changing self-defini on, does not mean that a young genera on of Pakistanis and Bangladeshis are becoming more religious (Samad, 1998). They also point out that the contemporary deployment of the term Muslim does not displace the terms Asian and Pakistani/Bangladeshi that have historically served to mark difference, but rather are contextually used across different sites. Importantly, regulatory mechanisms of power and control of a ‘suspect community’ are differen ally experienced within ins tu onally specific contexts (Pentazis and Pemberton, 2009). Interes ngly, the young men make a dis nc on between their own self-defini on as Muslims embedded within a genera onally-specific cultural poli cs and ‘white people’s’ racialized use of the term (Pilkington and Johnson, 2003; Said, 1993): Wasim: When you asked us were we proper Muslims, we all laughed and said, no. So, things around prayers, fas ng and going to the mosque, no, not real Muslims for most of us, for younger people. Imran: Groups can label themselves, like we label ourselves Muslim. But it’s not the same as when white people use the label.

M.M: What do you mean? Imran: It’s hard to explain, we’re both using the same word. But they use Muslim and they don’t even know us, or they mean something bad. For us it’s a definite good thing or just a normal thing. M.M: And do you know what it means? Imran: A good ques on. I think if I’m been honest, then no. I think a lot of the me, we don’t know what Muslim means. Like we’re saying here, it can mean lots of things. [Group interview] A key theme to which the students returned over the period of the research was how to make sense of the range of social and cultural exclusions that they experienced at a me of rapid change within the city. Historically, one of the major ways in which the concept of race and social change and the accompanying social and cultural exclusions has been problema zed in the literature is through the use of the term racializa on. Banton (1977) used the concept of racializa on to refer to the use of the idea of race to structure people’s percep ons of different popula ons. During the 1980s and 1990s the no on was used as a key signifier of racial meanings in a range of discourses (Reeves, 1983; Miles, 1993; Troyna, 1993). Small (1994: 32–3) adopts the ‘racializa on’ problema c in order to unravel the rela ve influence of mul ple factors (economics, poli cs, demography, culture, ideology and myth) in pa erns of ‘racialized rela ons’. As Solomos (1993: 1) argues, a main focus here is ‘the growth of ideologies which have focused upon race as an important poli cal symbol, the role of an -racist and black poli cal mobilisa on and the impact of social and economic restructuring on racial and na onal iden es in Bri sh society’. Changing processes of racializa on are opera onalized through the impact of changing race imagery in a range of ins tu onal se ngs as well as processes of deracializa on (Husband, 1982; Miles, 1989). The usefulness of the concept is indicated by the fact that it has been adopted by theorists from a wide range of perspec ves, including those from a race-rela ons problema c, as well as neo- Marxist and post-structuralist posi ons (Banton, 1977; Reeves, 1983; Miles, 1989; Smith, 1989; Solomos, 1993; Small, 1994; Holdaway, 1996). Theorists have deployed the concept in different ways in order to address the limits of conven onal accounts of race and racism. From a materialist perspec ve, theorists have challenged the no on of dis nct races as biologically given and pointed to the need to explore the condi ons under which specific processes of racializa on result in differen al outcomes. This work has been par cularly successful in examining the cumula ve ins tu onal effects of ascribing reified meanings to minori es, par cularly South Asians and African-Caribbeans. As Green and Carter (1988: 23) have argued, processes of racializa on in post-war Britain were ‘structurally determined, poli cally organised and ideologically inflected . . . within the rela ons of domina on and subordina on’. Miles (1982) provided an early account of this with reference to post-war labour migra on to Britain. Keith (1993: 239) has cogently captured a post-structuralist understanding of race and racializa on, while not losing sight of rela ons of domina on and subordina on. Arguing that race is not an essen al characteris c, he suggests that:

More recently, theorists have suggested that the concept of racializa on is produc ve in capturing the contemporary structural posi oning and subjec ve experiences of Muslims in Britain (Brah and Phoenix, 2004; Mac an Ghaill and Haywood, 2005). However, the last ten years has seen the term Islamophobia emerge as the dominant explana on of Muslim social and cultural exclusions. Among the students various posi ons were taken up in rela on to different understandings of the deployment of racializa on and Islamophobia. For some students, the term Islamophobia was of key strategic importance in highligh ng ques ons of cultural and religious discrimina on that they felt earlier no ons of racism and racializa on did not capture (Halliday, 1999; Kundnani, 2002). Historically, this has been a central argument among sec ons of the Muslim community in Britain, highlighted in two main issues: their campaign for government recogni on and financial support for Muslim schools and their mobiliza on against the publica on of Salman Rushdie’s book The Satanic Verses (see Asad, 1990; Al-Azmeh, 1993). In other words, an -Islamophobia mobiliza on was a response to the under-theoriza on of the concept of racializa on. In the recent past, within the context of an -racist poli cs, the la er term remained locked within the reduc onist black/white colour paradigm that underplayed key elements of South Asian and black lives, including religion, culture and migra on. More specifically, this younger genera on emphasize the role that religious iden es and iden ty- making play in the process of racializa on at a me of ‘faith-hate’ (McGhee, 2005: 92–117). Tahir: When people talked about racism in the past, they meant Black people, not us, not Muslims. Raqib: If you said we were ge ng racism at school, everyone would think of colour, but what about religion? And Islamophobia is like special to us. It explains about bad things happening to Muslim people, and our culture. I ikhar: If you want to talk about racializa on stuff today, it has to include what is really important to us and that is about our religion. [Group interview] Other students addressed what they considered to be some of the limita ons of the pervasiveness of the concept of Islamophobia. A key issue was the extent to which the concept served to disconnect the Muslim community from a wider an -racist movement and the historical benefits of a broader understanding of racializa on. For, example, they iden fied the

effects of the shi from a poli cs of redistribu on to a poli cs of recogni on, and the accompanying limited understanding of processes of racializa on within condi ons of socio- economic austerity (Fraser, 1998) (explored further below). For others, there was much confusion about the meaning of Islamophobia, with some sugges ng that it was a contemporary form of racializa on (Commission on Bri sh Muslims and Islamophobia, 1997). Life history interviews in par cular drew out the differing personal (dis)iden fica ons associated with Islamophobia: Tamim: My father and his uncles were all involved in the an -racist movement in the past. At that me, they would have big campaigns and demonstra ons about things like unemployment and bad housing and crap schooling. As well as all the racist discrimina on. It brought lots of different communi es together. But now our community leaders, they couldn’t get anyone to, or they wouldn’t want to, get people to demonstrate about the recession and what it’s doing to all people round here. [Life History Interview] Yasin: It’s true. The only thing they will demonstrate about now is something they think is kind of very religious or offends our religion. [Life History Interview] Asif: Everyone is really confused about the talk of Islamophobia. Like you listen to racist groups and they say Islam is a threat to the Bri sh na on. But they seem to be confused, one minute talking about religion and then about na onality and the Bri sh state. [Life History Interview] Shoaib: I think it is best to see Islamophobia as a new way of been racist to Muslims. [Life History Interview] In response to the suggested limita ons of the concept of Islamophobia, for many young men there was a further limita on of the deployment of Islamophobia, which they perceived as circula ng in the form of a universal and homogeneous category of exclusion. In contrast, they emphasized the significance of understanding how diverse interna onal changes are mediated at a local (na onal and regional) level. More specifically, illustra ng the demographic diversity within the Muslim faith, the young people emphasize the need to focus on Muslims’ differen ated experiences of discrimina on and how they differ historically and geographically across the interconnec ng categories of genera on, class, and gender (for example, see Tehranian, 2008, for discussion of contemporary American Muslims and Mandeville, 2009, for state responses to Muslims across Europe). Their argument resonates with a major limita on of an abstract no on of ‘othering’ in the academic literature, which has disconnected from empirical work in ‘old’ ins tu onal sites, such as family life, schooling, and workplace, resul ng in the figure of the Muslim male been represented as an over-generalized racial ‘other’ (Said, 1978; Mac an Ghaill and Haywood, 2007). Naqeeb: When it’s used generally, it kind of means that people, western people, hate Muslims and have always hated them. But that’s not true is it? [Life history interview]

Tamim: You hear people saying this is Islamophobic and that is Islamophobic, like everything. It becomes meaningless. One word cannot mean all those things happening in all Muslim countries and everywhere. Ali: Lots of Muslim countries are going through loads of changes. And on the telly, in the papers, they talk in bad stereotyped ways about Afghanistan, Syria, Pakistan. But they talk bad about them in different ways. [Group interview] Many of the young men argued for a complex and nuanced understanding of racializa on that acknowledged the effect of the contemporary posi oning of Muslims, in which they carry the anxie es of the wider society at a me of globally-inflected changes. These anxie es were seen to produce the specificity of current social and cultural exclusions experienced by Birmingham- based Muslims. They iden fied a series of issues that have a common theme of projec ng Birmingham-based Pakistanis and Bangladeshis as marked by social separateness, cultural fixity and boundedness of religious iden ty. In short, they are projected as figures of ‘an -modernity’ in a late modern urban space. There is a long history that at a me of crisis in dominant public forms of Anglo-ethnicity, na onal iden ty and cultural belonging, racial minori es are forced to carry the burden of the na onal and ethnic majority’s sense of moral disorder (Weeks, 1990; Mercer, 1992; McGhee, 2005). The young Muslim men contextualized the specifici es of their highly contradictory masculine iden ty, as indicated above — represented as both poten al terrorists and highly vulnerable to terrorist recruitment — emphasizing how dominant Bri sh responses combine internal doubt and external anxiety that are projected onto them. They suggested that the star ng point for addressing issues of religious iden ty should not focus on their community but rather address the wider Bri sh society’s shi ing meanings of religion, faith and secularism and the assumed crisis in the role of Chris anity in the making of na onal iden ty in a modern era (Woodhead, 2012). They felt that current debates on this issue assumed a highly reduc onist dualism between the projected threatening significance of the emergence of a global Islamic iden ty and a disappearing local allegiance to Chris anity. As a recent editorial in The Guardian newspaper (2012: 34) suggested in its commentary on the latest census results, we are a society that is:

Interes ngly, the instability of the religious categories held by ethnic majori es is recognized by young Muslim men: Parvez: I think people concentrate too much on Islam and Muslims when they talk about Islamophobia. I don’t know, really. But maybe it’s not so much Muslims are the real problem.

Waqar: But maybe the real problem for Bri sh, for white Bri sh people is religion itself. I think if you studied it, you would see. Like for my grandparents when they came here, Britain was s ll a Chris an country, there was a lot more Chris ans about but you ask one of your white mates, he wouldn’t know anything about religion or being a Chris an. Even at Christmas, it’s about shopping and drinking for them. Im az: It’s true when you say it. I don’t think they are thinking about baby Jesus. And for the old white people, you have to feel sorry for them, cos they see their churches empty and no young people. Then they see all these mosques full of people, everyone and the young kids all going off to pray. They must think, what’s going on? Furooq: It’s not just going to church, that they’re not doing. It’s on a bigger scale. It’s the whole culture has changed. You can hear those atheist guys. I think they’re saying if you want to live in Britain today, you should be, have to be modern, you have to move with the mes. Yusuf: That is true, when you think of it. So, when they see all the young Muslim kids especially being religious, they think, these people aren’t modern, these people aren’t Bri sh. Ali: And round here, lots of people are Mir, and a lot of them are religious, so maybe if they say Islamophobia is growing that’s a real reason, a deeper reason, not just ha ng us because we are Muslim but because we are religious and they don’t believe in religion any more. Shoaib: It’s pre y mixed up though, because the older white people round here probably think that young Muslims are like what they were when they were young, and for them Britain has lost this and it’s a bad thing. [Group interview] As illustrated above, in contrast to recent theorizing and research on Muslims, the young men in this study cri cally engage with the contextually-based local meanings of key unstable concepts, including Muslim, Islamophobia and racializa on, through which they are securing complex masculine subjec vi es in a ‘post-secular’ society’ (McGhee, 2013). An important theme that emerges from this, as they highlight in the next sec on, is that Islamophobia displacing a no on of racializa on is a danger for their community because of the a endant invisibility of the current impact of social class within condi ons of socio-economic austerity. For them, class is a central element of their social and cultural exclusions. THE INVISIBILITY OF THE STRATIFICATION OF YOUNG PAKISTANI AND BANGLADESHI MEN AS CLASSED SUBJECTS In an earlier period, drawing upon sociology, class was the central analy cal concept in researching minority ethnic young people’s experiences. For example, Anthias and Yuval-Davis (1993: 65), in their cri cal re-reading of sociological work in the 1970s and 1980s, iden fy a range of materialist posi ons that link race to class: ‘Rex’s underclass thesis, migrant labour theories, racism as an ideology that is rela vely autonomous of class, Gilroy’s view that class forma on is linked to race, and the dual labour market approaches’. This work was poli cally important in establishing commonali es of racism among Asians and African-Caribbeans and

inves gated their different ins tu onalized posi oning, across ins tu onal sites, within a mul - racist industrial-based Britain. It was especially significant in cri quing the dominant culturalist approach, with its focus on ethnic a ributes. As Mercer and Presco (1982: 102) argued: ‘The most significant feature of the minority experience is not their ethnicity but their place in the class structure. Their rela ve powerlessness ensures that they remain in a subordinate posi on poli cally and culturally’. This class-based analy cal work provided explanatory frameworks to make sense of the social and cultural reproduc on of racially structured socie es. More specifically, it illustrated the produc veness of deploying class analysis in highligh ng how racism, which pervasively structured minority ethnic young people’s social world, was mediated through the exis ng ins tu onal frameworks that discriminated against (white) working-class youth and through the opera on of race-specific mechanisms, such as gender-inflected racist stereotyping of Asian and African-Caribbean students (Mac an Ghaill, 1988; Mirza, 1992; Bourdieu and Passeron, 1977). Presently, there is much evidence of the historical con nuity of class-based structural constraints on working-class Pakistani and Bangladeshi men. Their collec ve profile includes highest levels of unemployment and over-representa on in low-skilled employment, over- representa on in prisons, over-representa on in poor housing, high levels of poor health and lowest levels of social mobility (Eade and Garbin, 2002; ONS, 2006; Garner and Bha acharyya, 2011; Barnard and Turner, 2011; Laird et al., 2007; Ahmad at al., 2003). More specifically, reading through the research literature, a main government and academic image of Pakistani and Bangladeshi students is that of underachievement, with Pakistani and Bangladeshi male students, in terms of ethnicity, faith group, class and gender, placed at the bo om of league tables on academic school performance (DfES, 2007). This is a significant shi from earlier representa ons of an assumed homogeneous Asian community of ‘high achievers’. However, several researchers challenged this account, highligh ng the complexity and variability of Asian students’ school a ainment with reference to class, gender and na onal group origins. For example, most importantly, middle-class Indian students’ academic success served to mask the rela vely low examina on a ainment among working-class Pakistani and Bangladeshi boys (Ra ansi, 1992; Mac an Ghaill, 1994). More recently, Archer (2003) has made the argument about the con nuing impact of socio-economic inequali es on the educa on of Muslim boys. Young men in our study ar culate a consciousness of the different social logics that are lived out by working- and middle-class people in the city of Birmingham. More par cularly, they suggest a genera onally-specific iden fica on with local white working-class young people and a (local) place-affilia on around the increasing socio-economic divisions that circumscribe their collec ve social lives. It is difficult to capture the intense anger that they feel about the cultural demoniza on and polariza on that they suggest all young people experience within the most deprived areas in the city. Of significance are the classed divisions within social minori es that contributes to (dis) iden fica ons within and across ascribed ethnic boundaries: Farooq: Lots of people talk about the us and them around religion and segrega on and tension and everything. But no-one talks about, like in this city, people from around here, even our white mates, we’d never go to a posh area. They’d think we’re aliens.

Shoaib: An’ the posh areas have got posher and posher and the poor areas are ge ng really poor every day, more people out of work and kids leave schools and no jobs. Javed: My uncle, he reckons that Asians, Bangladeshi people are really looked down upon much more now than before when he came here because they are poor. And that’s the Asian middle- class people doing that. They’re doing it as well. Parvez: On telly, in the papers, everywhere, poor people are really hated. I think that it’s worse for the poor whites. They have special labels for them, rich people have, like they call them chavs. They’ve made up a word, special word for them. I feel sorry for the white kids around here. No one looks a er them, do you know what I mean? [Group interview] These comments resonate with Farzana Shain’s (2011) work. In response to dominant government and academic representa ons, she provides one of the most sustained cri cal explana ons of contemporary Muslim boys’ experiences in England, arguing for a more theore cally sophis cated approach that includes the development of a socio-economic dimension. She adopts a Gramscian analysis emphasizing the ar cula on of mul ple structures of race, gender and class with socio-economic and poli cal rela ons of domina on and subordina on (Gramsci, 1970). Shain maintains that:

However, as the young men indicated, across government, media, educa on and popular culture there is an absence of class representa on of Pakistani and Bangladeshi young men. Rather, the cumula ve effect of the projected representa ons of social failure that circulates across different sites is, as argued above, to posi on them within the singular category of religion, i.e. exclusively as Muslims rather than bearers of any other iden ty. The invisibility of Pakistanis and Bangladeshis as classed subjects across the poli cal spectrum is discursively achieved through two major explanatory frameworks: that of the underclass (the poli cal right) and Islamophobia (the poli cal le ). Shain (2011: 7) iden fies what have become iconic moments in revisi ng a no on of under-class. She writes: ‘The Gulf War in 1991, the Bradford riots in 1995, the [2011]summer disturbances, 9/11, the London bombings in 2005 and numerous failed bomb plots have all con nued to fuel fears about extremist Muslims, and the discourse conflates the issue of violent Asians and Muslim gangs’. More specifically, she notes how European and Bri sh poli cal commentators ‘conflate educa onal underachievement, criminality and the Islamifica on of Europe through the no on of a Muslim underclass. These three issues form a dominant cultural narra ve of a Muslim underclass that is responsible for its own marginality’ (Shain, 2011: 9). The young men in our study share Shain’s analysis that a

major effect of this cultural narra ve is that class inequali es are displaced, with different sectors of the working class ascribed specific forms of cultural deficit, as government and media discourses serve to blame individual subjects rather than address the structural causes of social and cultural exclusions (Munt, 2000; Bourdieu, 1986). Parvez: In poor areas like around here, why don’t they give us jobs and good educa on? But no, if you’re from this area and you go for a job, they’ll tell you to get lost. Abdul: Somehow the ruling people have turned the world upside down. Nearly everything that Muslim kids are blamed for, the ones that go bad, it could all be sorted if you gave them proper educa on and jobs and got rid of all the discrimina on against us. Asif: I think the bad thing now is that there is this big image and you can’t move it. All the people in charge just see Muslims as one big problem as bombing the world or causing big trouble here. M.M: How does this affect people in the area? Asif: Most of these people are just ordinary people. There’s a lot of poverty, unemployment and things, and nothing for the kids to do, they’re just bored. They’ve nothing to do with the racist stereotypes about being radicals and all that. They wouldn’t even know what any of that means round here. But like all the kids who came out from our year. How many of them got jobs, went to college or anything? My mother thinks there’s much less opportuni es for our genera on. [Group Interview] A second explanatory framework can be found in recent empirical work within schools that reinscribes the cultural invisibility of young Pakistani and Bangladeshi men as classed subjects by selec vely drawing upon a limited range of signifiers, including umma, hijab, jilbab, the war on terror, etc. These signifiers, understood exclusively as religious phenomena, are located within an explanatory framework of Islamophobia, which is projected as a mechanism of entrapment in which it is assumed that young men’s social prac ces can simply be read off as defensive strategies of religious survival. In work using the no on of Islamophobia, subjec vity is under-theorized, reminiscent of early an -racist accounts of the black and white dualism. One consequence of this is that state ins tu ons are conceptualized as reflec ng the possible iden es that can be taken up and lived out. A further limita on of this posi on is that it is unable to realize the significant challenges of new social movements, which are to create theore cal frameworks that can accommodate a range of inequali es, such as those around ethnicity, class, gender, sexuality and disability (Mac an Ghaill and Haywood, 2012). In short, this posi on produces difficul es in ar cula ng an inclusive account of mul ple forms of social power (Anthias, 2008). It could be argued that the young people’s narra ves enable an understanding that challenges the view of Islamophobia as a monolithic force that can be read off from the assumed responses of individuals — the Muslim-‘non-Muslim’ dualism. Rather, within par cular ins tu onal sites,

there are a range of contextually-based (racist) ideologies and discourses that may place subjects in subordinate posi ons. These racialized processes are temporally and spa ally specific, and ar culate in complex ways with other categories of social difference, including class. CONCLUSION The social and cultural uncertain es in contemporary England are crea ng a series of symbolic spaces where na onal anxie es and promises around race/ethnicity are being projected. Miller (2006) has discussed the emergence of fear as a key feature of the governability of na onal otherness. In the context of young Muslim men, one dynamic for such fear is the state’s claim of an unsuccessful inclusion and iden fica on with ‘Bri shness’. In previous historical moments, youth culture has been seen in opposi on to parent cultures. At present, the ins tu onal confla on of young people with radicaliza on and fundamentalism appeals to a poten al hyperbolic re-instatement of ascribed parental values by young people. The narra ves reported in this ar cle suggest a more complex situa on, where the older religious and poli cal designa ons of being Muslim were reworked. At the same me, young Muslim men were concerned with the material basis of their social and economic loca on, through which cultural difference was being read. The fieldwork undertaken with these young men could be understood as a process, where they were given the opportunity to explore and discuss the contradic ons and tensions that were circula ng through their a empts to convey their iden fica ons and subjec vi es. One of the difficul es when listening to their narra ves has been to resist representa on of their iden es though pre-exis ng popular and academic explana ons. Rather, the focus here is on facilita ng ways of understanding how they are par cipa ng in the produc on of ideas of being Muslim, racializa on and Islamophobia. Funding This research received no specific grant from any funding agency in the public, commercial, or not-for-profit sectors. REFERENCES Ahmad F, Modood T and Lissenburgh S (2003) South Asian Women and Employment in Britain: The Interac on of Gender and Ethnicity. London: Policy Studies Ins tute. Al-Azmeh A (1993) Islams and Moderni es. London: Verso. Alvesson M and Skoldberg K (2000) Reflexive Methodology: New Vistas for Qualita ve Research. London: SAGE. Ansari H (2004) ‘The Infidel Within’: Muslims in Britain since 1800. London: C. Hurst and Co. Anthias F (2008) Thinking through the lens of transloca onal posi onality: An intersec onality frame for understanding iden ty and belonging. Transloca ons: Migra on and Social Change 4(1):5–20.

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APPENDIX E LEARNING FROM ERROR IN VIOLENCE PREVENTION: A SCHOOL SHOOTING AS AN ORGANIZATIONAL ACCIDENT Sarah Goodrum1, Jessie Slepicka2, William Woodward1, and Beverly Kingston1 1University of Colorado Boulder, Boulder, CO, USA 2The Pennsylvania State University, State College, PA, USA Source: The material in this appendix is reprinted from Goodrum, S., Slepicka, J., Woodward, W., & Kingston, B. (2022). Learning from error in violence preven on: A school shoo ng as an organiza onal accident. Sociology of Educa on, 95(4), 257–275. h ps://doi.org/10.1177/00380407221120431 Corresponding author(s) Sarah Goodrum, Center for the Study and Preven on of Violence, Ins tute of Behavioral Science, University of Colorado Boulder, 1440 15th Street, Boulder, CO 80309, USA. Email: [email protected] ABSTRACT This ar cle argues that the organiza onal structure and culture of schools may impede the preven on of violence in America’s schools, specifically threat assessment and management for students of concern. The data come from a qualita ve case study of a school shoo ng where two students died; the data include deposi on tes mony from 12 school officials and more than 4,000 pages of school and law enforcement records. The findings illustrate the way the school’s organiza onal structure and culture shaped and hindered violence preven on prac ces. The

ghtly coupled guidelines for threat assessment created an ins tu onal myth of safety and a false sense of security for the school and district, and the loosely coupled structure of the organiza on led educators to modify guidelines and make decisions about the student’s behavior problems and discipline without consul ng others. The school’s culture of autonomy for staff and fresh start mentality for students created uninten onal secrets about the history of the student’s difficul es, which gave educators li le context for understanding the problem behaviors they observed and inhibited the threat assessment team’s ability to adequately evaluate and monitor those behaviors. Recommenda ons for building organiza onal structures and cultures that support violence preven on in schools are discussed. KEYWORDS school organiza on, school policy, violence in schools, at-risk students, tracking School administrators, law enforcement officials, and federal agencies have increasingly taken ac ve measures to prevent targeted acts of school violence in the United States. Over the past 20 years, more than half of middle and high schools in the U.S. have adopted an anonymous p line (Planty et al. 2020), and the U.S. Secret Service has twice issued federal guidelines on threat assessment in schools (Fein et al. 2004; Na onal Threat Assessment Center [NTAC] 2018). From 2014 to 2017, the Na onal Ins tute of Jus ce (2020) awarded approximately $246 million in

grants to support nearly 100 projects on school safety. Despite these preven on efforts, there were 57 ac ve shooter incidents in U.S. schools from 2000 to 2018 (Blair and Schweit 2014; Federal Bureau of Inves ga on 2016, 2018, 2019). In 2020–2021, more school shoo ngs with casual es occurred in the United States than in any other academic year since data collec on began (Irwin et al. 2022); as of July 2022, 27 school shoo ngs have resulted in injury or death in the United States this academic year (“School Shoo ngs This Year” 2022). The inves ga ons that follow these tragic events consistently iden fy “failures of foresight” to recognize and interrupt the a acker’s path toward violence within schools and across communi es (Erickson 2001; Fein et al. 2004; Goodrum et al. 2018, 2019; Goodrum, Woodward, and Thompson 2017; Marjory Stoneman Douglas High School Public Safety Commission [MSDHSPSC] 2019; NTAC 2019; Turner 1976; Virginia Tech Review Panel 2007). Recent reports on the Uvalde school shoo ng at Robb Elementary School, where the a acker killed 19 children and two teachers, show a similar trajectory (Burrows, Moody, and Guzman 2022; Condon 2022). Studies from sociology and organiza onal psychology suggest these failures of foresight arise when an organiza on’s structure creates a culture that inhibits employees from recognizing, evalua ng, and addressing problems or concerns (Doyle 2010; Fox and Harding 2005; Vaughan 2016). In a detailed study of two school a acks, Newman and colleagues (2004) found that the loosely coupled structure of the schools discouraged staff from seeing and interpre ng students’ pain and rage as needing interven on. Building on this work, Fox and Harding (2005) concluded that the schools lacked the resources to help staff recognize and address students’ social and mental health needs. In 2002, the U.S. Secret Service and Department of Educa on released the Safe School Ini a ve, a study of 37 school a acks (Vossekuil et al. 2002). The Ini a ve informed the development of threat assessment guidelines to help school staff iden fy and evaluate students of concern (Fein et al. 2004; NTAC 2018; Randazzo et al. 2006; Reeves and Brock 2018; Vossekuil et al. 2002). Although school a acks are s ll rare in the United States, the number of school a acks with fatali es rose from 5 in 2009–10 to 27 in 2019–20 (Irwin et al. 2021), raising ques ons about our approach to violence preven on. Costa (2012) argues that when complex problems persist even a er the introduc on of straigh orward solu ons, we need to reexamine the organiza onal structure, culture, and beliefs shaping those problems and forestalling the solu ons. Admi edly, the availability of firearms is a key societal factor that accounts for high homicide rates in the United States compared to other Western countries (Wintemute 2015). Thus, individuals intent on using a firearm for criminal purposes are likely to find a way to obtain one (Alper and Glaze 2019; Thrush 2021). Acknowledging this reality, this ar cle focuses on processes that can avert and prevent violence and that have been proven to save lives (Langman and Straub 2019). Using case study evidence from a high school a ack where two students died, this research examines the role of the school’s organiza onal structure on the evalua on and management of the a acker in the weeks and months leading up to his deadly rampage. This study builds on the literature in sociology, organiza onal theory, and violence preven on in general and the work of Newman and colleagues (2004), Fox and Harding (2005), and Vaughan (2016) in par cular.

ORGANIZATIONAL ACCIDENTS Tragic Errors Sociologists and psychologists have argued that major organiza onal accidents, such as wrongful convic ons, avia on disasters, and medical errors, are not the result of one mistake or one bad apple employee; instead, they are the result of a series of smaller mistakes that build on each other and compound to a tragic end (Dörner 1996; Doyle 2010; Vaughan 2016). In these cases, the structure of the organiza on fosters a culture that leads employees to let small problems go unaddressed, some mes repeatedly (Reason 1998; Vaughan 2016). In the preface to the second edi on of her book The Challenger Launch Decision, Vaughan (2016) described her and others’ dismay to learn that the same organiza onal problems she iden fied in 1996 with NASA’s Challenger disaster (1986) contributed to NASA’s Columbia disaster (2003). We feel similar dismay to learn about another targeted school a ack in the United States. Research on targeted school a acks repeatedly finds that a “patchwork of informa on mini- systems” hindered school and university officials from iden fying and discussing students’ concerning behaviors (Erickson 2001; MSDHSPSC 2019; Newman et al. 2004; Virginia Tech Review Panel 2007; see Doyle 2010:124). Prior to their a acks, many a ackers became disengaged from school, experienced difficul es with school or law enforcement, and were recognized as troubled (Vossekuil et al. 2002; see also NTAC 2019). Connec ng these pieces of informa on together to heed the warning signs, however, remains challenging because the problem behavior o en arises across different se ngs and with different personnel (Virginia Tech Review Panel 2007). The solu on to connec ng these pieces of informa on together appeared to be threat assessment and management procedures for students of concern. In 2004, the U.S. Secret Service and Department of Educa on’s federal guidelines on threat assessment and management sought to help schools evaluate the likelihood a concerning student would perpetrate an act of targeted violence (Fein et al. 2004; see also NTAC 2018). The guidelines created a framework for the threat assessment process, and they were meant to address the challenges that Newman, Fox, Harding, and others iden fied in a school’s ability to address a student’s behavioral and mental health issues. States, safety centers, and school districts across the country have used the guidelines to develop school-based threat assessment policies, protocols, and procedures. Organiza onal theorists, however, would note that formal guidelines rarely match actual work ac vity, crea ng an “ins tu onal myth” (Meyer and Rowan 1977). This case study examines the match between guidelines and ac vi es in the threat assessment process for one student of concern and how that match influenced decision- making. The Coupling Con nuum The level of match between an organiza on’s formal bureaucra c guidelines and the staff’s implementa on of those guidelines is called coupling, and the level of match can range from loosely to ghtly coupled (Meyer and Rowan 1978; Paino 2018). In a loosely coupled organiza on, the parts are minimally interdependent of each other for everyday func oning such that a problem in one part does not typically disrupt work in another part (Bidwell 1965; Fox and Harding 2005; Meyer and Rowan 1977, 1978; Paino 2018). In a ghtly coupled

organiza on, the match between policies and procedures is strong and is maintained through formal bureaucra c controls and leaders’ close oversight (Bidwell 1965; Meyer and Rowan 1978; Paino 2018). Schools are frequently characterized as the quintessen al example of a loosely coupled system due to educators’ autonomy over curriculum delivery and classroom management. Recently, however, researchers have provided a more nuanced explana on for the organiza onal structure of schools. Paino (2018) argues that schools have three levels of coupling (not just one):(1) micro-level (i.e., principal–teacher rela onships), (2) meso-level (i.e., district–school rela onships), and (3) macro-level (i.e., government policies–school rela onships). In addi on, decoupling describes the disconnect between bureaucra c rules and work ac vity, and recoupling describes the effort to reset an organiza on from loosely to ghtly coupled so that bureaucra c rules align with work ac vity and uphold “ins tu onal mythical” ideals (Halle 2010). Other researchers have noted that one organiza on can support both loosely and ghtly coupled structures, and all types of coupling have their posi ves and nega ves. Examples of the coupling con nuum and the upsides and downsides of coupling emerge in all types of organiza ons, including schools. As an example of ght coupling, state and federal guidelines provide strict rules for schools on the frequency and repor ng of fire drills, student a endance, and academic tes ng. These rules provide clear guideposts for ac on, but they can also hinder crea vity and autonomy. Examples of loose coupling include teachers’ freedom to manage their classrooms and student conduct with minimal oversight from administrators, which can benefit job sa sfac on and limit communica on (Bidwell 1965; Paino 2018). Sociologists have found that uninten onal silos of informa on can arise when there is li le need for communica on across parts of a loosely coupled system (Doyle 2010; Fox and Harding 2005). Structural Secrecy Fox and Harding (2005) refer to the informa on lost within loosely coupled organiza ons as “structural secrecy” because cri cally important details about a person or case remain unknown to other decision makers (see also Newman et al. 2004; Vaughan 2016). In these organiza ons, the division of labor and hierarchical structure make communica on less necessary and also more difficult. Interes ngly, what starts as a highly efficient organiza onal structure can create bureaucra c and human obstacles to learning about and relaying informa on from one employee to another and from one office to another (Doyle 2010; Fox and Harding 2005; Newman et al. 2004; Vaughan 2016; Weber 1978). For example, schools have access to a plethora of student informa on (e.g., academic records, tes ng scores, family status, immuniza on records), but they do not always have informa on about students’ behavioral, mental health, or criminal histories (Erickson 2001; Fox and Harding 2005; Goodrum et al. 2017; MSDHSPSC 2019; Vaughan 2016; Virginia Tech Review Panel 2007). The concerning behaviors addressed in a teacher’s classroom or documented in a teacher’s email to parents may not carry forward when that student moves from one classroom, grade level, or school to the next (MSDHPSC 2019; Virginia Tech Review Panel 2007).

The public health approach to violence preven on recommends that schools and communi es work to “iden fy and assess youth from a very young age . . . [to deliver] effec ve mental health and educa onal service[s], and [facilitate] . . . cross-system communica on among professionals charged with the care of children” (Office of the Child Advocate 2014:3; see also Kingston et al. 2018). This type of “cross-system communica on,” however, may prove difficult to opera onalize in complex educa onal se ngs, where the organiza onal structure (e.g., procedures, policies, staffing, resources) does not include consistent or ins tu onalized support for violence preven on and interven on. In addi on, exis ng procedures and policies may discourage staff from sharing informa on about students in crisis. Some research suggests that misinterpreta ons of the Family Educa onal Rights and Privacy Act (FERPA) can lead school officials to withhold informa on about students’ concerning behavior from other staff or agencies (Chapman 2009; Goodrum et al. 2017). These structural reali es can create gaps in violence preven on in schools, but we have yet to fully understand how these structural reali es shape cultural norms and everyday prac ces for school safety. Using the sociological and psychological literature on organiza ons to examine the evidence from a targeted school a ack, this qualita ve case study asks the following ques ons: (1) How was the school’s organiza onal structure coupled? (2) How did the school’s organiza onal structure influence staff communica on and decision-making? (3) Did the school’s organiza onal structure inhibit violence preven on? If so, how might staff develop strategies to overcome the structural order of schools, and between districts, to prevent violence and support troubled students? By illustra ng the specific ways a school’s organiza onal structure shapes communica on and decisions about students of concern, we iden fy the path toward safer and more aware school systems. DATA AND METHODS Data Collec on Data for the study came from an inves ga ve arbitra on on the circumstances leading to a school a ack where two students died (Goodrum et al. 2017, 2018, 2019). To date, the case remains one of only two known cases where a threat assessment was conducted with a student prior to their deadly a ack (for another case, see MSDHPSC 2019). The inves ga ve arbitra on yielded numerous interviews and thousands of documents, including (1) deposi on tes mony from 12 school and district officials covering more than 2,500 transcript pages, (2) 27 PDF documents containing more than 4,000 pages of text from the sheriff’s office’s inves ga on, (3) 171 PDF documents containing more than 4,200 pages of text from the district, and (4) 64 exhibits produced and introduced during deposi on tes mony. The 12 school and district officials deposed included nine school staff (i.e., principal, two assistant principals, school psychologist, two teachers, counselor, school resource officer, campus security officer) and three district administrators. Nine of the deponents were male, three were female, and all were Caucasian. The deposi ons offer detailed narra ve accounts of the circumstances, interac ons, and communica ons prior to the a ack. Similar to qualita ve interviews, the deposi on tes mony

allowed par cipants to describe their percep ons and experiences in their own words. Each deposi on took between two and eight hours. To emphasize the lessons learned instead of personal iden es, all par cipants are iden fied by their job tle and a number when more than one par cipant held the tle, such as Assistant Principal 1, Assistant Principal 2, District Official 1, School Psychologist, and School Resource Officer. To avoid contribu ng to the subculture of violence, the pseudonym “JD” is used in place of the a acker’s name. The project data provide rich insight on the school shoo ng as an organiza onal accident for two reasons. First, other research on school violence consistently finds that people knew something was wrong with the a acker prior to their a ack, but they did not know who to tell or how to intervene (Erickson 2001; MSDHSPSC 2019; Virginia Tech Review Panel 2007). By examining educators’ decision-making process, we start to understand the organiza on’s management of and response to a troubled student. Second, as the frontline workers o en blamed for these tragic events, educators are in mately knowledgeable about students and schools and are best situated to reflect on and offer lessons learned on threat assessment and school safety. These staff provide detailed informa on on the context for school procedures and decision-making, which can inform the development of effec ve interven on strategies (Harding, Fox, and Mehta 2002; Yin 2014). Case study method. The qualita ve case study method provides a rich and meaningful inves ga on of the structural factors that influenced the situa on and decision-making (Birkinshaw, Brannen, and Tung 2011; Bryman and Bell 2011; George and McKeown 1985; Gephart 2004; Mahoney 1999, 2000; Maxwell 2013). This method provides an in-depth, mul faceted, and contextualized examina on of the phenomenon and detailed insight into an uncommon form of behavior, a targeted school a ack (Crowe et al. 2011; Geis 1991; Harding et al. 2002; McCutcheon and Meredith 1993; Yin 2014). As an extensively u lized research design in sociology, case studies allow researchers to build a knowledge base for how to evaluate abstract theore cal concepts and principles (e.g., coupling, structural secrecy) to inform professional prac ce and scien fic understanding (Crowe et al. 2011; Flyvbjerg 2006; Gill and Stenlund 2006; Keen and Packwood 1995; McCutcheon and Meredith 1993; Yin 2014). More specifically, the case study provides knowledge that transcends the specific case to offer lessons learned for other cases (Mills, Durepos, and Wiebe 2010; Stake 1995, 2005). This approach is par cularly useful when answering what, why, and how research ques ons (Crowe et al. 2011) and when trying to understand and prevent acts of targeted school violence (Harding et al. 2002). To set the stage for the findings, we provide some background informa on on the school, the student, and his family. Case background. In the fall of 2013, an 18-year-old White male senior named JD threatened to kill his debate coach, yelling “I”m gonna kill that guy” in the parking lot of the high school a er he was demoted from a leadership role in the school’s debate club. Another teacher overheard JD’s outburst and reported it to an assistant principal, who requested a threat assessment. The

assistant principal and a school psychologist formed the high school’s two-person threat assessment team, and they met with JD and his parents to ask him ques ons about his threat, risk behaviors, and support system. During the assessment, the team noted that “Mom reports ‘deep seeded anger’” and that the student admi ed he “had anger issues for a while” (School Psychologist). The team evaluated him as a low-level risk for violence. Shortly a er the assessment and unbeknownst to the team, however, the student began keeping a diary on his tablet documen ng his plan to perpetrate violence at the school during finals week. The posta ack inves ga on revealed that JD had a history of low-level behavior problems. In elementary school, he hit students with his lunch box, kicked a student in the stomach, and hit another student in the head. JD’s student behavior records document his claims of being “picked on” (Exhibit 19); however, the inves ga on did not reveal specific instances of vic miza on but instead iden fied mul ple instances where JD verbally and physically bullied classmates (Exhibit 24). In the months following the threat assessment, JD exhibited problem behaviors in several different se ngs and had an enraged outburst in a foreign language class. (For a detailed meline of his behaviors, see Goodrum et al. 2017). Three months a er his threat assessment and two days a er his outburst, he entered the school with a shotgun and other weapons; he was looking for the debate coach, but he killed a classmate and himself instead. The large suburban high school where this shoo ng happened included approximately 2,200 students and a li le more than 100 full- me teachers. Approximately 80 percent of students iden fy as White, and 7 percent of students receive free or reduced-priced lunch. The debate coach described the school’s culture as embracing “perfec onism,” wishing that school staff and students could admit that “it’s not perfect here . . . mistakes are made and [students] can learn from those mistakes. And we tell kids that all the me [but] I wonder how true it is [in this school]” (Debate Coach). The a acker’s parents may have sensed the school’s culture of perfec onism. JD’s parents were not part of the arbitra on agreement or deposed in the case, but the evidence suggests they had a strained rela onship with the school. For example, one teacher described JD’s mother as nonresponsive to her emails about his profane language and inappropriate comments in class and said she arrived 75 minutes late to pick up her son from a cross-country event (Teacher 1). During a parent-teacher conference, this teacher said JD’s father “sat down [with her] and . . . said something like, ‘What horrible things do you have to say about my son, like every teacher in this place?’” (Teacher 1). During the threat assessment, JD’s mother described him as having anger issues, and she requested but did not provide documenta on to support an Individualized Educa on Plan for her son (School Psychologist). As is common in posta ack inves ga ons, we do not have detailed informa on from the a acker’s parents, which may be a limita on of the project data (Fein et al. 2004; NTAC 2019). Data Analysis

The deposi on transcripts are the main data source for the study. To code the transcripts, we relied on Strauss’s (1987) guidelines for qualita ve data analysis and line-by-line coding. Each transcript was read several mes and coded using themes from the literature on organiza onal theory (i.e., a deduc ve approach; Bradley, Curry, and Devers 2007). The codes included ght coupling, loose coupling, and structural secrecy. Coding was executed through a five-step process. First, for each code, the first and second authors conducted a line-by-line review of each deposi on transcript. Second, when an excerpt illustrated a theme, the excerpt was highlighted and labeled with the code, using the qualita ve data management so ware NVivo. This process allowed the coded text to be organized into electronic folders by code while retaining informa on about the deposed witness’s job tle (e.g., Teacher 1). When an excerpt addressed more than one theme, it was coded for all relevant themes with a note about the cross-lis ng. Third, once all transcripts were coded, all of the text excerpts within each code were reviewed to ensure correct placement and to iden fy subthemes. During this review, two new themes emerged: the fresh start mentality and autonomy. In the fourth step, all transcripts were reviewed and coded for the newly iden fied themes. Finally, to consider the possibility that educators’ roles influenced their percep ons, we reviewed and compared the coded data by role (e.g., teacher vs. administrator). These comparisons reveal the compe ng interests (e.g., student privacy, school safety) shaping educators’ decision-making. Here, we present the quotes and case details that most clearly illustrate the findings (Burnard et al. 2008). Addi onal project data from the school’s records, law enforcement inves ga on, and deposi on exhibits provide context for deposi on tes mony. FINDINGS Organiza onal theory provides a powerful tool for examining the circumstances leading to a tragic accident. Schools, like other organiza ons, fall on a coupling con nuum from ght to loose and can use recoupling to ghten up decoupled components (Halle 2010; Meyer and Rowan 1978; Paino 2018). Recoupling allows organiza ons to reestablish the connec on between bureaucra c ideals and actual work ac vity, but these efforts can feel frustra ng to staff (Halle 2010). The findings presented here illustrate the ways the ghtly and loosely coupled components of the school and district influenced the implementa on of federal threat assessment guidelines, encouraged a culture of autonomous decision-making, and created structural secrets about the extent and seriousness of the student’s troubles. Tightly Coupled Guidelines for Threat Assessment On paper, the district’s threat assessment and management policies and procedures were

ghtly coupled to federal guidelines, offering clear steps for ac on with students of concern (Firestone 1984; Weick 1976). For example, in 2004, approximately nine years before the a ack, the district started providing schools with informa on on threat assessment, and by 2008, the district had created “standardized [district] threat assessment protocols . . . [which] aligned with the recommended model from the U.S. Secret Service, the FBI, and Dr. Smith [a pseudonym]” (Exhibit 9). These standards included a two-hour threat assessment team training, a 51-slide threat assessment presenta on, and a four-page threat assessment and ac on plan protocol (Exhibits 9, 4, and 35, respec vely). The district’s threat assessment protocol closely modeled the U.S. Secret Service’s guidelines, which is noteworthy due to the state’s tragic history with

targeted a acks (Erickson 2001; Hamm 2021). In this context, the Secret Service’s framework for threat assessment provided legi macy for the district’s safety prac ces, offering a powerful example of recoupling as a response to tragedy (Halle 2010). The ght match between the Secret Service’s guidelines for threat assessment and the district’s policies on threat assessment started to loosen with implementa on, specifically in the district’s oversight of the school-level threat assessment team and the team’s inves ga on of the student (Goodrum et al. 2018, 2019). For the team, the district’s Coordinator of Student Support Services explained:

This district official did not expect schools to strictly follow federal guidelines for threat assessment teams, crea ng a small buffer between the bureaucra c rules and actual staff ac vi es. In this case, the team included two staff, not three or four as recommended by federal guidelines (Fein et al. 2004). This represented the start of the decoupling between guidelines and ac on on threat assessment. Other research from this case indicates that the implementa on of the U.S. Secret Service’s six principles and 11 ques ons for threat assessment also differed from guidelines such that not all of the principles or ques ons were addressed with the student of concern (Goodrum et al. 2018, 2019). The Coordinator of Student Support Services explained:

This district official’s ra onal explana on for the purpose of the threat assessment training captures the ambivalence schools may feel when trying to balance an outside en ty’s formal guidelines with their informal cultural prac ces. Certainly, strict adherence to guidelines can create consistency in procedures, but it may also depersonalize interac ons and escalate conflict (Meyer and Rowan 1977, 1978). As one example, strict zero-tolerance policies and exclusionary discipline prac ces to crack down on students’ behavior problems have been shown to dispropor onately target students of color (Porowski, O’Conner, and Passa 2014). Loosely applying guidelines for threat assessment, however, may leave uninten onal, and even dangerous, gaps in the school’s knowledge about and understanding of a student’s poten al for violence. This district’s reluctance to ghtly couple threat assessment guidelines with staff ac vi es is not unique. The field of implementa on science consistently finds that the delivery of preven on programs proves challenging in school se ngs (Fixsen et al. 2005; Greenberg 2010; Mihalic and Irwin 2003). In fact, fewer than 50 percent of school-focused preven on programs rely on best- prac ce methods for implementa on (Biglan et al. 2003; Go redson and Go redson 2002;

Ringwalt et al. 2009; U.S. Department of Educa on 2011). Transla ng guidelines into prac ce proves difficult in busy school se ngs, where staff are underresourced and overburdened (Biglan et al. 2003; Go redson and Go redson 2002; Osher 2012; Ringwalt et al. 2009). The district’s Coordinator for Student Support Services described principals’ frustra on with strict threat assessment guidelines:

Schools simply lack the capacity and resources to implement violence preven on programs and prac ces with fidelity (Forman et al. 2009; Mihalic and Irwin 2003). Thus, providing strict mandates and close supervision may seem like a solu on for an effec ve threat assessment process, but ght coupling is likely to falter if the school’s organiza onal structure, staffing, and resources cannot support them. In this scenario, adop ng the Secret Service’s guidelines for threat assessment without the ins tu onal support to manage, support, and monitor a student of concern creates an ins tu onal myth of school safety (Edelman et al. 2011; Halle 2010; Myer and Rowan 1978). Halle (2010:42) explains, “myths are idealized cultural accounts, not necessarily something false . . . and [they] provide legi macy” but o en do not match workers’ ac vity. In this case, the ins tu onal myth of threat assessment provided a false sense of security that the right systems were in place to prevent a targeted school a ack. Loosely Coupled Components and Staff Autonomy In prac ce, the school’s organiza onal structure was loosely coupled. An organiza on or parts of an organiza on are loosely coupled when staff or en es func on independent of one another (Weick 1976). Staff in such systems have the freedom to perform their du es with li le oversight, and this autonomy promotes crea vity and job sa sfac on, but it can also inhibit communica on (Eck and Goodwin 2010; Firestone 1984; Pinelle and Gutwin 2006; Scheid-Cook 1990; Weick 1976). Teacher autonomy. As in other high schools across the country, teachers in this case had the authority to handle student behavior problems in their classrooms (Lor e 2002: Newman et al. 2004; Weick 1976). A foreign language teacher described how she handled JD’s inappropriate behavior prior to his a ack:

When asked if she relayed this incident to the school’s principal or assistant principal, she said:

Although disrespec ul and arrogant, these low-level behavior problems did not warrant an administrator’s involvement (see Durkheim [1895] 1966; Vaughan 2016). This teacher had the authority to handle this and other students’ disrup ve classroom behavior on her own and without input from others (see also Duke, Showers, and Imber 1980; Myers 1973). Halle (2010) argues that this autonomy grants teachers status as professionals and a reassuring sense of order. A teacher’s ability to make these classroom decisions in busy school se ngs is both prac cal and efficient (see Weber 1978). For prac cal reasons, teachers try to address behavior problems quickly and reinforce classroom norms and values consistently. For efficiency reasons, teachers o en need to handle these problems without consul ng an administrator because a teacher who regularly involves administrators in student behavior problems may be viewed as ineffec ve, overwhelmed, or unskilled by both students and administrators. The school’s division of labor supported and the principal reinforced this approach (see Weber 1978). The Principal explained:

Thus, although not a formal school policy, the school’s structure (e.g., division of labor, loose coupling) created a culture (e.g., norms) that encouraged teachers to handle low-level behavior problems without consul ng an administrator (Becker 1953; McPherson 1972). These deeply engrained cultural norms created a small but significant gap in the school’s knowledge about the student’s pa ern of troubling behavior, and these cultural norms represented the glue that connected the school’s structure to staff’s daily work ac vi es. The upside to localizing problems and solu ons is that it empowers staff. Using local control, the system “can isolate its trouble spots and prevent trouble from spreading” to other parts of the school or system (Weick 1976:7). Localizing problems and solu ons for students of concern, however, has two major downsides. The first downside to localiza on is that each teacher has to “nego ate separately” with the student to address and redirect the same behavior problem (Weick 1976:7). As a result, one teacher’s decision about a student’s disrup ve classroom behavior does not address the student’s recurring difficul es, which may emerge in other classrooms. In this case, JD’s difficul es included bullying classmates in Interna onal Rela ons class; talking about his genitals in a debate compe on; showing a teacher and peers a picture of his gun, which he named the “Kurt Cobain”; telling a teacher, “[I have] always been

someone’s bitch . . . why wouldn’t I make him my bitch a er all that has been done to me?”; saying “teachers [are] out to get me” and “my peers have o en pushed me”; and telling a classmate to “go cut yourself.” To address the bullying behavior, JD’s Interna onal Rela ons teacher asked JD to stay a er class; JD did not stay, which struck the teacher as “very unusual” (Teacher 2). Explaining that students rarely disregarded his requests to stay a er class, he decided, “I needed to further inves gate who the student [was] . . . [to figure out] what made him ck and . . . what his problem was . . . [to know] how to reach [him]” (Teacher 2). 1 The teacher talked with other teachers in his department to figure out how to connect with the student and manage his classroom conduct; he developed a plan for JD. These independent nego a ons, however, did not address JD’s underlying issues (e.g., anger) or recurring behavior problems (e.g., threats, inappropriate comments; Weick 1976). This teacher resisted the “normaliza on of deviance” in his classroom, but his efforts did not come to the a en on of the larger school organiza on (Vaughan 2016). When problems and solu ons remain local, “it [can] be difficult for the loosely coupled system to repair the defec ve element” (Weick 1976:7). In the end, each teacher’s separate, independently brokered nego a on did not solve the “real” problem underlying the student’s disrup ve behavior (e.g., anger, grievances). The second downside to teachers’ independent nego a ons with troubled students is that school administrators never learn about the full extent of a student’s behavior problems or boundary tes ng, making it difficult to see a pa ern or escala on. In everyday prac ce, organiza ons support and even take for granted the rou nes that make work efficient. Sociologists, however, note that these rou nes can impede our ability to imagine an alterna ve approach (Edelman et al. 2011; Vaughan 2016). Thus, although educator autonomy is highly valued for classroom management, it may limit the ability of other school staff to learn about and effec vely address a troubled student’s warning signs. By the me JD yelled “I’m going to kill that guy” (referring to the debate coach who had demoted him) in his senior year of high school, the interven on provided by the school’s threat assessment team ended up being “too li le [and] too late” (Weick 1976:7). These examples shed light on the ways a school’s loosely coupled organiza onal structure can foster a culture of autonomy for teachers, suppor ng independent decision-making about students of concern. These examples also reveal the way a student of concern may fall through the cracks between an organiza on’s structure and educators’ prac ces. Administrator autonomy. Like teachers, school administrators have considerable autonomy (Eck and Goodwin 2010; Meyer and Rowan 1978). The principal and assistant principal in this case held discre on over what behavior problems to inves gate, whether and how to discipline students, and whether to no fy staff of student behavior problems. Administrators’ autonomy originated in the school’s organiza onal structure (e.g., procedures, task segrega on, staff hierarchy) and was reinforced through cultural norms and beliefs. For example, the school’s structure did not provide a clear or standardized process for sharing a student’s threat assessment results or reasons for

suspension with teachers (e.g., student database, email no fica ons). During a deposi on, JD’s Interna onal Rela ons teacher was asked, “[I]s that typical for you to not know whether or not a student in your class has been suspended?” He replied:

In a follow-up ques on, he was asked, “[D]o you believe that it would be useful and helpful for the teachers, such as yourself, to be told . . . why [a student was] suspended?” The teacher replied:

This segrega on of tasks across “different jobs” shaped percep ons of roles and responsibili es. In this case, task segrega on fostered the view that teachers did not have the right to know about the problems leading to a student’s discipline even when safety concerns arose (see Fox and Harding 2005; Weber 1978). In another study to come from this case, administrators and teachers noted their widespread confusion about the safety excep on within the FERPA, crea ng a code of silence among staff (Goodrum et al. 2017). The hierarchy of staff in the school also shaped expecta ons and norms about informa on sharing. The a acker’s foreign language teacher was asked if she expected the assistant principal to ask her whether to suspend JD for his outburst in her class. She said, “I didn’t expect to be asked. . . . I think that’s [the administrator’s] job . . . and I didn’t have prior knowledge about [the student’s] behavior” (Teacher 1). An unintended consequence of the task segrega on and staff hierarchy in bureaucra c organiza ons is that lower ranked staff may feel reluctant to ques on a supervisor’s decision. In this case, the organiza on’s policies became ghtly coupled with cultural norms. The debate coach explained: “I wasn’t really in a posi on to agree or disagree [with the assistant principal’s decision to not suspend the student a er he threated to kill me]. All I could do was accept it.” The blanket acceptance of administrators’ decisions likely arises for two reasons. First, teachers may grant administrators a range of decision-making behaviors or “zone of acceptance” they are willing to accept (Kunz and Hoy 1976). The responsibility for student discipline in the school fell to administrators, and the responsibility for student management in classrooms fell to teachers. Second, teachers may hesitate to ques on an administrator’s decision due to expecta ons of “reciprocal autonomy.” Teachers may grant administrators autonomy over disciplinary ac ons in exchange for their own autonomy over classrooms (Duke et al. 1980).

Gran ng a zone of acceptance and reciprocal autonomy foster collegial rela onships among school staff, but they also create a culture where staff cannot review or ques on each other’s decisions. These powerful norms and beliefs about the sanc ty of educators’ autonomy elucidate the way an organiza on’s loosely coupled structure gets embedded in a school’s cultural fabric and daily ac vi es. Edelman and colleagues (2011:890) note, “[C]ertain organiza onal structures become widely ins tu onalized and taken for granted as ra onal forms of organiza onal governance,” making it difficult for workers to ques on and even imagine an alterna ve arrangement. Structural Secrets about a Student of Concern In loosely coupled systems, informa on fails to reach the right people (Doyle 2010; Vaughan 2016). Fox and Harding (2005:73) note, “as a whole, schools have access to a variety of informa on about students—informa on about [their] physical health, academic progress, disciplinary history, rela onships with peers. . . . But since tasks are highly segregated in schools, that informa on is spread over mul ple actors within the school.” This task segrega on creates uninten onal “secrets” within an organiza on’s structure. Fox and Harding (2005:85) con nue, “we prize privacy [in schools]—and for good reason—but we do so occasionally at a high cost.” The cost arises for two interrelated reasons. First, connec ng the dots of concern about a student proves challenging when that concern is sca ered across people, classrooms, and me periods. Second, knowing the context for a student’s current behavior creates the opportunity for the staff encountering the student to provide compassionate understanding and effec ve interven on across the system. Connec ng the dots. The culture of autonomy represents one way that gaps arise between an organiza on’s structure and staff decisions, and informa on silos represent another. Prior research on school a acks notes the silos of informa on that can emerge in school se ngs (Fox and Harding 2005; Newman et al. 2004). These findings highlight how those silos emerged and how they hindered the assessment and management of the student in this case. The foreign language teacher explained:

Thus, this teacher’s and others’ concerns about JD remained in their respec ve departments. Despite exhibi ng a series of warning signs in the months leading up to his deadly a ack, no one understood the seriousness or totality of those warning signs. The debate coach, the a acker’s intended target, explained:

During the law enforcement inves ga on following the a ack, school administrators learned that campus security officers had witnessed the student viewing photos of firearms on his laptop in the cafeteria. Campus security officers reported their observa ons to an assistant principal, but the assistant principal never relayed that informa on to the student’s threat assessment team or the school’s principal. The principal acknowledged:

The assistant principal who conducted the threat assessment expressed frustra on over not learning about campus security’s observa ons: “I wish you would have told me [that the student had been seen viewing photos of guns on his laptop in the cafeteria] . . . you knew we had a threat assessment on [the student] . . . I would have liked to have known that.” Indeed, research on school shoo ngs consistently finds that a ackers exhibited warning signs among classmates, in classrooms, and at home, but these warning signs fell through the cracks in the systems for violence preven on (Goodrum et al. 2017; Langman and Straub 2019; MSDHSPSC 2019; Virginia Tech Review Panel 2007). The posta ack inves ga on in the Marjory Stoneman Douglas case revealed that the a acker had 69 incidents of talking about weapons, engaging in concerning behavior, and threatening or engaging in violence in local law enforcement’s records and 55 incidents of disciplinary referrals in the school district’s records (MSDHSPSC 2019:234, 243). Some might try to blame JD’s teachers for not sounding the alarm sooner in this case, but this response would neglect the fact that the school’s organiza onal structure lacked the procedures and cultural norms to support proac ve communica on about and interven ons for students of concern. The school resource officer in this case lamented:

The public health approach to school violence supports the idea of cross-agency communica on for addressing the difficult challenges facing students and their families (Office of the Child Advocate 2014). To support this type of communica on, schools need policies (e.g., Memorandum of Understanding), trusted partnerships (e.g., law enforcement, social services), and mechanisms (e.g., monthly mee ngs, emails) that can prove difficult to broker in underresourced schools and communi es. Knowing the context.

The second reason structural secrets hinder violence preven on in schools relates to context. When cri cal informa on about a student’s concerning behavior remains unknown to teachers and other staff, they may misinterpret observed behavior problems as isolated incidents, not as evidence of a recurring or escala ng problem. Context is cri cal to the way people perceive and process informa on, par cularly unusual informa on. When we do not know the background or history of a student’s concerning behavior (e.g., threats, anger, aggression, weapons use), it becomes easy to normalize, misinterpret, and dismiss moderately troubling interac ons and communica ons. In violence preven on, having general knowledge of the warning signs for violence proves helpful for iden fying students of concern (Fein et al. 2004; NTAC 2019); having knowledge of a specific student’s history of warning signs proves cri cal to understanding and interpre ng that student’s subsequent behavior and communica ons. The student’s foreign language teacher recalled, “No, absolutely not [the assistant principal did not tell me that JD had been the subject of a threat assessment]. . . . No one in my department knew” (Teacher 1). Without knowing of JD’s threat assessment, teachers and other staff downplayed his angry outbursts as concerning but not alarming. When asked to explain the ra onale for not informing teachers about JD’s threat assessment results, the principal said:

But school staff did not realize they had ques ons about the student’s behavior un l a er the shoo ng because they had no context with which to interpret his problem behavior. Without informa on on the big picture, observers can only see the smaller picture right in front of them (see Costa 2012). The debate coach in the case explained:

This discussion and follow-up can prove cri cal when monitoring and suppor ng a threat- assessed student. The debate coach con nued:

Of course, “trying harder” remains admirable, par cularly for school staff juggling mul ple responsibili es, but it proves incredibly challenging within a system that lacks the organiza onal structure and cultural norms to support those efforts. Expec ng or asking school staff to “try harder” can never compensate for a system ill-equipped to gather and share informa on about a student of concern.

In a loosely coupled organiza on, there are o en reasonable explana ons for the decision not to share informa on (Vaughan 2016). Iden fying these reasonable explana ons helps map the connec on between organiza onal structures and cultural norms. The school’s principal explained:

The “fresh start mentality” means nega ve informa on about the student gets lost within the organiza on’s structure, and as a result, any future nega ve informa on about the student is undervalued and misinterpreted (Fox and Harding 2005). When school staff do not have all the relevant informa on—whether it is mental health concerns, behavioral concerns, or medical history—they cannot effec vely evaluate, intervene, and monitor students. The challenge remains, however, in what informa on should be provided to whom when safety concerns arise. Tightly coupling (or recoupling) the way informa on about students of concern is shared through formal policies and strict oversight may create other problems (Halle 2010). For example, sharing informa on about a student’s threat assessment results could prejudice a teacher against the student so that benign behavior is misinterpreted as malicious; at the same

me, those results could provide a teacher with insight that prompts a compassionate response and tailored interven on. The manner in which this type of sensi ve informa on is treated (e.g., respec ul vs. gossip) is shaped by the culture (i.e., norms and values) and climate (e.g., feelings) of the organiza on (Fein et al. 2004; Reason 1997; Vaughan 2016). Despite the district’s ghtly coupled threat assessment guidelines, the school’s loosely coupled structure shaped cultural beliefs about what informa on could be shared and with whom, hindering the preven on of violence in this case. CONCLUSION Nearly 20 years ago, the U.S. Secret Service and U.S. Department of Educa on developed guidelines for threat assessment and management for students of concern, using findings from 37 school a acks (Fein et al. 2004). These guidelines have provided schools across the country with a framework for how to evaluate and handle students of concern (Fein et al. 2004; NTAC 2018), and several na onal organiza ons have supplemented these guidelines with best prac ces for threat assessment in K–12 se ngs (NASP School Safety and Crisis Response Commi ee 2021). The recent increase in school a acks in the United States (Irwin et al. 2021, 2022), however, raises ques ons about our approach to violence preven on in U.S. schools. How is it possible that school violence could be on the rise despite federal guidance and evidence-based prac ces for school safety?

One answer lies in the structure and culture of the organiza ons where these tragic accidents occur (Fox and Harding 2005; Newman et al. 2004). An “organiza onal accident” refers to a “complex event [where] small mistakes combine with each other and with latent condi ons hidden in the system to produce [an] unexpected traged[y]” (Doyle 2010:145). In this study, the “small mistakes” related to the way the threat assessment team evaluated and managed the troubled student and the way teachers and administrators handled the student’s concerning behavior in isola on. Calling educators’ encounters “mistakes,” however, misrepresents the fact that the school’s organiza onal structure remained ill-equipped to support threat assessment. The latent condi ons in the school system included the ghtly coupled threat assessment guidelines, the loosely coupled organiza onal structure, and the culture of educator autonomy. On paper, ghtly coupling the U.S. Secret Service’s federal guidelines for threat assessment to the school district’s policies on threat assessment gave the appearance of compliance with na onal recommenda ons for safety, crea ng an ins tu onal myth (i.e., symbolic and ceremonial legi macy; Halle 2010; Meyer and Rowan 1977, 1978). In prac ce, the school’s loosely coupled structure created gaps between threat assessment guidelines and workers’ ac vi es. The distance between policy and prac ce is common, par cularly in busy school se ngs where educators juggle compe ng concerns with limited resources (Osher 2012). In their study of more than 3,000 school-based preven on programs in the United States, Go redson and Go redson (2002) found that only 44 percent of evidenced-based programs met a standard for effec ve implementa on. Increasing the bureaucra c controls over threat assessment in schools may sound like the obvious solu on to violence preven on in this and other cases, but research suggests that increasing control does not necessarily yield safety improvements (Perrow 1984), par cularly for complex issues like violence preven on (Costa 2012). In fact, rigid guidelines may produce unintended consequences, such as an increased use of threat assessment with some student groups but not others (e.g., along lines of race/ethnicity) or frustra on and turmoil among staff (see Halle 2010; Porowski et al. 2014). When reflec ng on the lessons learned in this case, the a acker’s foreign language teacher said, “I think there should be a way that we know of every student in trouble in that school. . . . [I]t’s a big school and there’s a lot of kids. And I think the more of us that are watching a er these sweet creatures . . . [the] be er” (Teacher 2). Watching a er concerning students remains challenging when schools and districts do not have the structural or cultural condi ons to support the ins tu onaliza on of evidence-based violence preven on programs and procedures. How can schools and communi es balance the ghtly coupled procedures for threat assessment with personalized strategies for addressing students’ concerning behaviors in underresourced school se ngs? The U.S. Secret Service, U.S. Department of Educa on, and others have argued that a posi ve school culture and climate is key to school safety (Goodrum et al. forthcoming; NTAC 2019; Vossekuil et al. 2002). This emphasis on culture and climate, however, neglects the reality that in bureaucracies, the organiza onal structure shapes the culture and climate. Thus, efforts to prevent violence in schools should start by improving the structure first and the culture and climate second. A school’s organiza onal structure creates a strong force shaping the culture and workers’ ac ons (see Weber 1978).

LIMITATIONS A case study, like other methods of data collec on, has its drawbacks (for a discussion, see Harding et al. 2002; Roth and Mehta 2002). To minimize the effect of these limita ons on the project, we followed Roth and Mehta’s (2002) sugges ons by gathering data from mul ple sources (e.g., law enforcement interviews, deposi ons, school records) and by inves ga ng conflic ng reports through an analysis of school records, deposi on tes mony, and the law enforcement inves ga on. Also, during data analysis, facts were confirmed through a triangula on of data using mul ple deponents and official documents. RECOMMENDATIONS Sociobiologist Rebecca Costa (2012) has argued that difficult and persistent social problems, like school violence, require a comprehensive strategy whereby mul ple solu ons are implemented simultaneously within social ins tu ons and the culture. The findings from this study suggest three recommenda ons for future safety efforts in schools. For fy the Structure First, when exis ng solu ons do not resolve the problem, conduct a gap analysis to consider whether the organiza onal structure has the capacity (e.g., resources, mo va on) to effec vely implement those solu ons. The field of implementa on science consistently finds that delivering evidence-based programs proves challenging in busy school se ngs, where staff remain underresourced and overworked (Greenberg 2010; Mihalic and Irwin 2003; Osher 2012). At the school level, a school’s capacity to implement a new program can be measured and improved, which would likely benefit implementa on and outcomes (Kingston et al. 2018). At the societal level, research should seek to iden fy the common structural weaknesses in violence preven on efforts across U.S. schools. How many other schools have gaps between guidelines and prac ces in threat assessment and other violence preven on programs? Using this evidence, state and federal governments could explore ways to provide schools with the financial support and implementa on assistance needed to help ins tu onalize best prac ces for violence preven on and threat assessment (Greenberg 2010). Finally, schools could use exis ng ins tu onalized procedures in the academic realm, such as the steps for building an Individualized Educa on Program (IEP) for students with learning needs, as a model for how to approach students with behavioral and mental health needs. An IEP-like plan for students with behavioral and mental health needs would provide educators with informa on about and guidance on how to best support these students in a consistent and compassionate manner, which would yield improved academic outcomes. Leverage the Culture Second, schools could consider leveraging the deeply valued culture of autonomy to empower educators to recognize and report the warning signs for violence, including threats, intense anger, weapons interest, bullying vic miza on, depression, and harassing others (NTAC 2019). Educator training on the warning signs for violence could include (a) an explana on of the difference between disrespec ul adolescent behavior and the warning signs for violence, (b) the need to report warning signs to school administrators, (c) the purpose for and role of

teachers in threat assessment, and (d) guidance on how to prevent discrimina on and bias in repor ng warning signs (NTAC 2019; Reeves and McCarthy 2021). Share the Responsibility Finally, as a society, we need to recognize that the preven on of violence is a social problem, not a school problem, and this social problem requires a comprehensive approach with mul component strategies (e.g., reduce access to firearms, educate bystanders on anonymous repor ng, implement programs for violence preven on). To share the responsibility for addressing the warning signs for violence, communi es should consider developing community- based threat assessment teams that work with school-based threat assessment teams to iden fy and manage individuals of concern. The public health approach to violence preven on supports a mul disciplinary perspec ve where community stakeholders (e.g., educators, law enforcement officials, social services professionals, and criminal jus ce officials) come together to define the problem, consider the factors influencing the problem, and create and implement strategies to address the problem (Centers for Disease Control and Preven on 2022). We can no longer expect school administrators, teachers, and school psychologists to address the problem of violence preven on on their own. The complexity of the school violence problem, the financial implica ons of the solu ons, and the fear of an innova ve comprehensive approach must not paralyze us (Costa 2012). We have the knowledge to build organiza onal structures and cultures of safety; it is me to translate that knowledge into ins tu onalized everyday prac ce. ACKNOWLEDGMENTS The authors are grateful to the parents of the vic m in this case, who sought an inves ga ve arbitra on with the school district to learn lessons on how to prevent the type of violence that took their daughter. We are also indebted to the school and district officials who gave tes mony, helping us to reflect on and improve violence preven on prac ces in schools. FUNDING The study was funded by a grant from the Denver Founda on. ORCID IDS Sarah Goodrum, h ps://orcid.org/0000-0002-9529-5563 Jessie Slepicka, h ps://orcid.org/0000-0002-9328-5716 Notes Research ethics Ins tu onal review board approval was not required because the authors did not recruit or interview subjects. In addi on, all par es in the case agreed to the public release of the project data to share lessons learned on violence preven on. 1. The sheriff’s report noted, “[The teacher] wanted to know how to deal with [the student] because [he] was telling other kids they were stupid. [He] was concerned because [the student] is . . . being seen as a ‘ve

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AUTHOR BIOGRAPHIES Sarah Goodrum, PhD, is a senior research associate at the Center for the Study and Preven on of Violence at the University of Colorado Boulder. Her main fields of study include in mate partner violence, homicide vic miza on, and violence preven on. She is currently studying the rela onship between organiza onal culture and violence preven on and the impact of training on threat assessment procedures. Jessie Slepicka is a doctoral candidate in the Department of Sociology and Criminology at The Pennsylvania State University. His research interests include criminological theory, green criminology, compara ve criminology, spa al criminology, and quan ta ve research methods. William Woodward, MPA, is a research associate at the University of Colorado’s Center for the Study and Preven on of Violence and is former Colorado State Director of Criminal Jus ce. He coauthored the Arapahoe High School shoo ng inves ga on study and the Colorado A orney General’s School Safety Guide. He presented a TEDx talk on preven ng school shoo ngs in 2016. Beverly Kingston, PhD, is director and senior research associate at the Center for the Study and Preven on of Violence at the University of Colorado Boulder. Her main fields of interest are comprehensive public health approaches to violence preven on, school safety, neighborhood social processes, and implementa on science. She currently leads several school and community ini a ves and research studies focused on these topics.