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Ann S.

Masten University of Minnesota–Twin Cities

Resilience Theory and Research on Children


and Families: Past, Present, and Promise

Origins and advances in the history of resilience Yehuda, 2014; Walsh, 2016). Global concerns
science with children and families are high- about climate change, natural and technolog-
lighted in this article, with a focus on intercon- ical disasters, economic instability, war, and
nections and integration. Individual and family terrorism have spurred intensified attention to
resilience scholarship reflect interwoven roots, resilience, because hopes for addressing these
and there is a growing impetus to integrate challenges rest in the capacity of many systems
knowledge and strategies to inform practice and to adapt, often in concert with one another (Mas-
policies to mitigate risk and promote resilience ten, 2014a). Concomitantly, although theory and
in systems that shape human adaptation over the research on resilience in families and in individ-
life course. Resilience is defined as the capacity ual human development emerged decades ago,
of a system to adapt successfully to significant there is a new urgency to calls for integrating
challenges that threaten its function, viability, or science and practice across these levels (Doty,
development. Research evidence is summarized Davis, & Arditti, 2017; Henry et al., 2015; Mas-
to illustrate parallels in concepts and findings ten, 2015; Masten & Monn, 2015; Masten &
from studies of child and family resilience, with Palmer, in press).
special emphasis on parenting processes. Inte- The goal of this article is to highlight ori-
grating models, findings, methods, and training gins and advances in theory and research on
across multiple systems and levels holds great resilience in human development in support
promise for elucidating resilience processes that of efforts to integrate models, knowledge, and
will inform efforts to build capacity for healthy applications pertaining to the adjustment and
adaptation in the face of rising threats to families development of children and their families. First,
and societies around the world. the history of resilience theory and research in
studies of children and families is briefly
The study of resilience has surged over the past described and historical challenges for defining
decade in many disciplines, including studies resilience are delineated. Effects of the broad
of individuals and families in the social sci- shift to a developmental systems framework in
ences (Henry, Morris, & Harrist, 2015; Mas- multiple disciplines are then described, along
ten, 2014b; Panter-Brick & Leckman, 2013; with a scalable definition of resilience for inte-
Southwick, Bonanno, Masten, Panter-Brick, & grating ideas across disciplines, levels, and sys-
tems. Next, key unifying concepts are discussed,
including promotive and protective processes,
University of Minnesota–Twin Cities, 51 East River Road,
pathways, and cascades. Parenting is reviewed as
Minneapolis, MN 55455 (amasten@umn.edu). a central set of processes linking child and family
Key Words: Adaptive systems, cascades, developmental sys-
resilience theory and research, and the transfor-
tems theory, family resilience, family systems theory, path- mational effects of resilience models on inter-
ways. vention are considered, as well as the importance
Journal of Family Theory & Review (2018) 1
DOI:10.1111/jftr.12255
2 Journal of Family Theory & Review

of experimental intervention research for families exposed to similar trauma or family cri-
corroborating resilience theory. Conclusions sis. Sometimes these buffering effects reflected
underscore the promise of integrating theory the positive end of a continuum (e.g., good
and research on resilience across the levels of emotion regulation or problem-solving) along
individuals, families, and other interconnected a dimension already known to exacerbate risks
systems of human life and development. posed by adversities such as poverty or violence
in children or families (e.g., poor emotion regu-
lation or problem-solving). In other cases, pro-
Origins of Resilience Science tective influences (e.g., a supportive friend or
Systematic theory and research on human mentor) differed from vulnerabilities typically
resilience emerged around 1970, following studied in earlier models of stress.
decades of observations, theory, research, and The systematic study of individual resilience
practice concerned with the impact of trauma emerged in clinical sciences concerned with
and stress on the function and development of effects of adversity on mental health and
individuals and families (Masten, 2001; Masten development, led by investigators in search
& Cicchetti, 2016; Nichols, 2013; Walsh, 2016). of understanding the origins and etiology of
Theories on variations in human adaptation mental health problems (Masten, 1989, 2007,
to experience were profoundly shaped by the 2012, 2014b). These investigators included
19th-century ideas of Darwin and Freud on Anthony (Anthony & Cohler, 1987), Garmezy
natural selection and personality, respectively (1983), Murphy (Murphy & Moriarty, 1976),
(Masten & Coatsworth, 1995). In the 20th Rutter (1979, 1987), and Werner (Werner
century, global calamities affecting tens of mil- & Smith, 1982). These influential scholars
lions of children and families worldwide—most recognized the significance of the striking vari-
notably the Great Depression and World War ation in adaptive functioning and life course
II—inspired clinicians and scientists to seek a of young people considered “at risk” due to
better understanding of how adversity threatens their family or genetic history, exposure to
human adaptation and what could be done to trauma, and/or poverty. Positive adjustment in
mitigate risk or support recovery. Soon, stud- high-risk samples, as well as individual case
ies were launched of individuals and families studies, suggested that there must be impor-
suffering effects of traumatic loss, violence, tant influences on coping and adapting that
separation, injury, torture, homelessness, and were not captured by focusing exclusively on
other consequences of economic, natural, and risk and pathological processes. At first, such
political disasters (Masten, Narayan, Silverman, phenomena were described as invulnerability
& Osofsky, 2015; Nichols, 2013). or stress resistance, but eventually leading
Initially, the focus of research was concen- scholars settled on the term resilience to refer
trated on the negative consequences of adver- broadly to the study of capabilities, processes,
sity and conceptualized primarily in terms of or outcomes denoted by desirable adaptation
risks for psychopathology, dysfunction, break- in the context of risk or adversities associated
down, and other problematic outcomes. Vari- with dysfunction or adjustment problems. Early
ations in the impact of similar adversities on prominent resilience investigators knew one
individuals and families were recognized and another and often interacted with one another
often conceptualized in terms of vulnerability, and many other colleagues and students, spread-
based on diathesis-stressor models of disease ing their ideas through dialogue, presentations,
and mental illness (Gottesman, 1974; Henry publications, collaboration, and student training
et al., 2015; Masten & Cicchetti, 2016). The (Masten, 2012, 2014b).
great insight of pioneering scholars of resilience Similarly, the origins of family-centered
in child and family studies was in recognizing resilience studies have roots in research on
the importance of understanding influences that stress, adversity, and/or crisis, although with
promoted positive adaptation or mitigated the a focus on the family unit rather than individ-
effects of risk or adversity. While acknowledg- uals (Becvar, 2013; Boss, Bryan, & Mancini,
ing that some individuals or families appeared 2017; Hawley & DeHaan, 1996; Henry et al.,
to be more vulnerable to adversity, they noted 2015; Hill, 1949, 1958; Masten & Monn, 2015;
others who appeared to be better protected or Nichols, 2013; Walsh, 2016). Studies of suc-
to have recovered better than individuals or cessful adaption to family crises dating back
Resilience Theory and Research 3

to the 1930s set the stage for later adoption Family-focused scholars also are moving in this
by family theorists of a resilience framework integrative direction (Henry et al., 2015; Walsh,
(Hawley & DeHaan, 1996). Additionally, family 2016). As this new frontier of integrative work
resilience concepts were strongly influenced by on resilience opens, there is growing attention
theories that guided family therapy, in addition to harmonizing definitions of resilience and
to concepts from individual resilience and fam- aligning concepts across disciplines and levels
ily stress studies (Henry et al., 2015). Much of analysis.
has happened for individual-focused resilience
science, influential scholars played a key role
in infusing resilience perspectives into family Defining Resilience: Past and Present
theory and practice. These scholars included Challenges
McCubbins and collaborator J. M. Patterson Theory and research on resilience in the individ-
(H. I. McCubbin & Patterson, 1982, 1983; H. ual and family literatures have been plagued with
McCubbin & McCubbin, 1988; M. A. McCub- challenges related to varying definitions of key
bin & McCubbin, 1993; J. M. Patterson, 2002), concepts (Hawley, 2013; Luthar, 2006; Masten,
Boss (2006), and Walsh (1993), among others. 2014b; Masten & Cicchetti, 2016). Resilience
Resilience concepts in individual and family as a concept has been viewed and defined as
scholarship shared some of their roots. Gen- a trait, a process, an outcome or pattern of the
eral systems theory (von Bertalanffy, 1968) life course, or a broad conceptual domain that
influenced family resilience ideas as well as encompasses all these ideas (Luthar, 2006; Mas-
individual resilience theory (Goldenberg & ten, Best, & Garmezy, 1990; Boss et al., 2017;
Goldenberg, 2013; Hawley & DeHaan, 1996; DeHaan et al., 2013; Masten, 1999; Masten &
Masten, 2014b). Moreover, both fields of study Cicchetti, 2016; Panter-Brick & Leckman, 2013;
were spurred in many ways by the devastating Patterson, 2002).
effects of World War II on families and their For some scholars, resilience (or resiliency)
children (see Masten & Cicchetti, 2016; Masten was defined as a traitlike characteristic of an
& Palmer, in press; Nichols, 2013). individual or family; others viewed resilience
Nonetheless, over the years, investigators as the inferred capacity for adapting to adver-
focused on family resilience and individual sity that derived from observable success in
resilience pursued their work with limited overcoming challenges. From the latter perspec-
overt integration, although there was ongoing tive, resilience was inferred on the basis of two
cross-fertilization of ideas (Hawley & DeHaan, observable criteria: challenges (risks, stressors,
1996; Masten & Monn, 2015; J. M. Patterson, or adversities) confronting a child or family and
2002). This largely separate development of posing a significant threat to their well-being or
scholarship on individual and family resilience function and positive adaptation (how well the
was particularly surprising in light of the geo- person or family is doing by designated criteria),
graphic proximity of leading scholars studying typically judged by indicators of good function
resilience in each domain of scholarship. Boss, or competence in the development of the person
Garmezy, Masten, H. I. McCubbin, and Patter- or family (Masten & Cicchetti, 2016).
son, for example, overlapped at the University Research on resilience required operational
of Minnesota. definitions and measures. Again, investigators
Now, multiple pathways of resilience theory chose a variety of measures aligned with their
and science are converging in conjunction with conceptual definitions of resilience. A wide
the emergence of developmental systems the- variety of challenges were studied, ranging from
ory as an integrative framework in resilience divorce to natural disasters. At the same time,
science (Criss, Henry, Harrist, & Lazrelere, positive adaptation was also variously measured.
2015; Masten, 2014b, 2016b; Masten & Monn, Some investigators defined resilience in terms
2015; Henry et al., 2015; Masten & Palmer, of the competence of the family or individual
in press). Masten and Wright (Masten, 2007, in meeting normative expectations of family or
2014b; Wright, Masten, & Narayan, 2013) child function. Often, competence was defined
have described this direction in theory and by multidimensional criteria, because it was well
research as the fourth wave of resilience sci- recognized that families and individual children
ence in the psychosocial literature focused on were expected to be competent in multiple ways.
individual resilience in human development. Investigators studying individual resilience often
4 Journal of Family Theory & Review

focused on “developmental task” expectations, for integrated resilience science (Masten, 2015,
or criteria for positive behavioral develop- 2016a). As noted earlier, global challenges
ment that change over the life course (Masten, involving multiple systems, such as climate
Coatsworth, & Douglas, 1998; Wright et al., change, natural disaster, war and terror, and
2013). Depending on the period of development pandemics, may have sparked this rapid trans-
under study, these tasks might include academic formation (Boss et al., 2017; Masten, 2014a).
achievement, peer friendships, or work success. Definitions and models of resilience have
Family investigators also focused on roles and changed in concert with this broad shift to
the basic functions families are expected to per- systems thinking. In the sciences focused on
form, but in this case at the level of the family human development, the prevailing integrative
unit (Henry et al., 2015; J. M. Patterson, 2002). model is described as a “relational develop-
Family tasks also vary over the family life cycle, mental systems” framework (Overton, 2013;
such as parenting, caring for aging family mem- Lerner et al., 2013; Zelazo, 2013). This frame-
bers, providing a sense of meaning or belonging, work drew on ideas from multiple disciplines
and carrying out community responsibilities (J. and theories, including ecological theory (Bron-
M. Patterson, 2002; Goldenberg & Goldenberg, fenbrenner, 1979; Bronfenbrenner & Morris,
2013; Harkness & Super, 2012; McCubbin & 2006), developmental systems theory (Gottlieb,
Patterson, 1983; Walsh, 2016). 2007; Lerner, 2006; Sameroff, 2010), family
Some investigators in the family and individ- systems theory and therapy (Cox & Paley, 1997;
ual research on resilience defined adaptation cri- Goldenberg & Goldenberg, 2013; Hawley &
teria in negative rather than positive terms. The DeHaan, 1996; Walsh, 2016), models of fam-
criteria for positive adaptation sometimes took ily stress (Hill, 1949, 1958; Boss, 2002; Boss
the form of “not developing symptoms” rather et al., 2017; Conger & Elder, 1994), develop-
than meeting a positive standard of function or mental psychopathology (Cicchetti, 2006, 2010,
competence. This approach has been criticized, 2013; Egeland, Carlson, & Sroufe, 1993; Gottes-
but it is understandable in light of the origins man, 1974; Masten & Kalstabakken, in press;
of resilience studies within clinical studies of Sroufe, Egeland, Carlson, & Collins, 2005), and
individual trauma or family crisis. In the con- resilience theory (Masten, 2001, 2014b; Rutter,
text of extreme trauma, such as the adversities 1987, 2012).
endured by maltreated children or by families Masten and Cicchetti (2016) summarized
in war zones, observers may find the absence of salient themes of a systems framework into
expected suffering, breakdown, or trauma symp- eight principles. At the heart of these principles
toms more notable than the manifestation of are the following core ideas:
good function.
• Many interacting systems at multiple levels
These variations in the concepts and oper-
shape the function and development of living
ational definitions of resilience in the litera-
systems.
ture have complicated the aggregation of knowl- • The capacity for adaptation of a system and its
edge. Meta-analyses on resilience remain scarce development are dynamic (always changing).
because of inconsistencies in the literature on • Because of interconnections and interactions
how resilience is defined and measured (Masten inherent to living systems, change can spread
& Cicchetti, 2016). This problem has been fur- across domains and levels of function.
ther complicated by the emerging consensus that • Systems are interdependent.
resilience is a systems concept.
These attributes of complex adaptive sys-
tems have profound implications for individual
Resilience in a Developmental Systems
and family resilience. Individuals are embed-
Framework
ded in families and other systems (e.g., peer
Both individual- and family-centered concepts groups, schools), and families in turn are embed-
of resilience have roots in systems theory as ded in other systems (e.g., cultures, communi-
well as in models of stress and coping (Hawley ties). Interactions of individuals, families, and
& DeHaan, 1996; Henry et al., 2015; Masten larger contexts affect all of the interacting sys-
& Monn, 2015; Walsh, 2016). Over the past tems, although some systems may have greater
decade, systems theory has permeated many directional influence (e.g., parents have greater
fields of study, offering a unifying framework responsibility for the care of infants than infants
Resilience Theory and Research 5

do, although infants engage and signal parents Cicchetti, 2016; Masten et al., 2015). Over the
in many ways). From a systems perspective, life course of an individual or a family life cycle,
resilience of a system at one level will depend the developmental status of each interacting sys-
on the resilience of connected systems. Thus, tem has the potential to alter the effects of chal-
individual resilience will depend on other sys- lenges and recovery or transformation, as well
tems interacting with the individual, particularly as the nature of cascades that can be expected
on systems that directly support that individual’s or averted. Individuals develop and change in
resilience, such as a parent or extended family. multiple ways over time that can influence indi-
A prominent implication of this systems vidual or family capacity to adapt to challenges
framework is that resilience should not be con- (Henry et al., 2015; Kerig, in press; Masten &
strued as a singular or stable trait, as it arises Monn, 2015; Walsh, 2016). Normative develop-
from dynamic interactions involving many ment, health, family structure, economic circum-
processes across and between systems. The stances, and many other changes in the family or
resilience of a child or a family is distributed its members can be expected to alter the capabil-
across levels and interacting systems, including ities of family members as individuals or in rela-
relationships (Masten, 2015; Masten & Monn, tional roles to facilitate resilience. Timing issues
2015). The resilience of a child at a given point in have many implications for intervention designs
time will depend on the resources and supports and preparations to build resilience in advance
available to the child through many processes, of calamities.
both within the child and between the child
and the many systems the child interacts with.
Caregiving adults are likely to play a substantial Scalable Definition of Resilience
role in that capacity. As children grow older, The systems framework emerging in develop-
their internal capacities will grow, and they will mental and family theory, as well as numerous
connect with many resources and relationships other fields concerned with adaptation to
outside the caregiving system. Similarly, family challenges—for example, ecology, engineering,
resilience in a systems framework draws on and disaster response—indicated a need to
capacity through processes of interaction within define resilience for scalability across system
the family and processes involving interactions levels. As a result, resilience scholars in differ-
of the family with other systems in the commu- ent disciplines, including this author, adopted
nity, culture, or environment (Boss et al., 2017; a basic systems definition of resilience with an
Henry et al., 2015; Walsh, 2016). eye toward scalability and the goal of commu-
Dynamic, interactional systems models also nicating ideas and knowledge across disciplines
suggest that there will be cascading changes (Masten, 2011, 2014a, 2014b, 2015, 2016a).
over time across systems and system levels In keeping with these goals, resilience can be
of function (Cox, Mills-Koonce, Propper, & defined as follows: The capacity of a system to
Gariépy, 2010; Masten & Cicchetti, 2010, 2016; adapt successfully to significant challenges that
G. R. Patterson, Reid, & Dishion, 1992). With threaten the function, viability, or development
respect to risk and resilience, the capacity of of the system.
a family to adapt to a challenge may cascade When a person or a family manifests posi-
through processes that alter parenting, for tive adaptation (defined by some criteria) in the
example, changing how an individual child face of significant challenges, we infer that the
is functioning in positive or negative ways. individual or family had (and likely still has) the
Examples will be discussed later here. Con- capacity for resilience. Before challenges occur,
comitantly, positive adaptation of an individual it is theoretically possible to judge resilience or
parent or an individual child can alter how assess the capacity for responding effectively to
well a family is maintaining communication, system disturbances, either from a broad per-
emotional support, routines, and other family spective (e.g., the system is ready to respond
roles that reflect family resilience or stress. to a wide range of adversities) or from a nar-
These core principles and implications of row one (e.g., prepared for a flood, a job loss,
conceptualizing individual or family resilience or an impending divorce). Given enough knowl-
in a systems framework also underscore the edge of the processes involved in resilience, it is
significance of developmental timing (Hawley conceivable that resilience can be promoted by
& DeHaan, 1996; Masten, 2015; Masten & enhancing or building capacity for responding
6 Journal of Family Theory & Review

effectively to broad or specific challenges. Par- research efforts to document theoretical path-
ents, communities, and societies all have a con- ways of resilience have expanded. Studies using
siderable stake in the development of resilience growth-curve modeling and trajectory analy-
at multiple system levels as an investment in the sis applied to longitudinal data have begun to
future of their children, families, communities, identify intraindividual pathways at the individ-
and societies. ual and group level that corroborate expected
pathways. Research on posttraumatic stress and
internalizing symptoms in trauma survivors sup-
Pathways of Resilience port the expectation that people follow differ-
System function over time can be described ent patterns of adaptation over time, including
as a pathway of adaptation. Diverse pathways positive-resistant paths (consistently good func-
arise in human or family life because of the tion or low symptoms), recovery paths (function
many interactions involved in shaping the adap- improving, symptoms decreasing), and negative
tive function and development of systems. This or worsening patterns (high or increasing symp-
diversity of pathways has been noted for decades toms). Studies of child soldiers (Betancourt,
in developmental embryology, epigenetics, and McBain, Newnham, & Brennan, 2013) and hur-
behavior genetics (Gottesman, 1974; Gottlieb, ricane survivors (La Greca et al., 2013; Osofsky,
2007; Waddington 1957/2014), developmental Osofsky, Weems, King, & Hansel, 2015) sup-
psychopathology (Bowlby, 1988; Cicchetti, port multiple pathways and also corroborate the
2006; Cicchetti & Rogosch, 1996; Cummings expectation that most young people show posi-
& Valentino, 2015; Masten & Kalstabakken, in tive trajectories over time.
press; Sroufe 1979), and the literature on indi- In family science, some of the best examples
vidual resilience (Bonanno, 2004, 2015; Masten of pathway analyses have been conducted in pre-
et al., 1990; Masten & Reed, 2002; Masten & vention studies linking parent to child function.
Cicchetti, 2016) as well as family resilience Patterson and colleagues at the Oregon Social
(Boss et al., 2017; Hawley & DeHaan, 1996; Learning Center have shown that parent man-
Henry et al., 2015). Individual resilience inves- agement training alters parent behavior with pre-
tigators were keenly interested in the diversity dicted effects on child function (G. R. Patter-
of pathways that emerged over the life course, son, Forgatch, & DeGarmo, 2010). Studies of
particularly in regard to positive changes that the Family Check-Up also have shown inter-
occurred on pathways, when they observed vention effects on children through alterations
dramatic turnarounds and turning points in the in the family (Dishion et al., 2008). Fisher and
lives of individuals who had suffered adversity colleagues have shown that directed improve-
(Masten, 2014b; Masten et al., 1988; Masten & ments in foster parenting forecast normalization
Cicchetti, 2016, Rutter, 1987). Varying patterns in the stress biology of traumatized foster chil-
of resilience were noted in pathway models, dren (Fisher, Gunnar, Dozier, Bruce, & Pears,
including patterns described as breakdown with 2006).
recovery, stress resistance, and posttraumatic
growth (Masten & Cicchetti, 2016, Masten &
Identifying Promotive and Protective
Narayan, 2012).
Processes
Family therapists also have described path-
ways of family adaptive function in the course From the outset, investigators studying
of family therapy (Hawley, 2013; Masten & resilience in children and youth were focused
Monn, 2015; Walsh, 2016). Early models of fam- on learning about the processes that promote
ily adjustment to crisis, such the “roller coaster positive adaptation to adversity, with the goal
model” (Hill, 1958), conveyed a similar pathway of informing practice and policy (Masten,
theme that continues to be salient in contempo- 2014b; Masten & Cicchetti, 2016). Many of
rary models of family stress management (Boss the resilience scientists were trained in clinical
et al., 2017; DeHaan et al., 2013). Hawley and or related applied fields, including psychology,
DeHaan (1996) described family resilience in psychiatry, pediatrics, education, or social work.
terms of “the path a family follows as it adapts Similarly, many of the family social scientists
and prospers in the face of stress” (p. 293). who studied resilience were family therapists
With advances in statistics and expanding lon- seeking to understand promotive and protec-
gitudinal research on adaptation of individuals, tive processes for the purpose of improving
Resilience Theory and Research 7

interventions (Bogenschneider, 1996; Masten & may connect individual with family function,
Monn, 2015; Walsh, 2016). although efforts to explicitly study processes
Classic studies of resilience in children and linking family to individual resilience are only
youth identified a set of factors often associated recently gaining attention. Research on parent-
with positive outcomes in the context of adver- ing in relation to child resilience is one of the
sity. As resilience science advanced, the role of leading edges of this work, discussed further
these factors were separated into “promotive” later in this article. Another frontier can be found
and “protective” factors on the basis of func- in recent humanitarian efforts to advance child
tional roles. Promotive factors (Sameroff, 2000), survival and thriving, which increasingly take
also described as “assets” or “resources,” were a two-generation or multigeneration approach,
generally associated with desirable outcomes at encompassing child, parent, and grandpar-
nearly all levels of risk, whereas protective fac- ents or other family members (Black et al.,
tors appeared to play a special role when adver- 2017; Huebner et al., 2016; Masten & Palmer,
sity was high. This distinction corresponds to the in press).
difference between “main” effects and “moder- Table 1 provides a parallel list of resilience
ating” or “interaction” effects in statistical ter- factors often reported in the literature on
minology (Masten, 2001). These functions often resilience in children or youth and families,
are confused or confusing, primarily because as suggested by scholars in individual or fam-
many widely reported protective factors, such as ily resilience theory or science. This table
good parenting or good problem solving, also was inspired by interactions of the author
show promotive effects, whether conceptualized with numerous scholars (cited in this article)
at the individual or family level. Parents who in involved in research on resilience in children
general are doing a good job of rearing children, (e.g., Cicchetti, Egeland, Garmezy, Luthar,
for example, also can respond to a child or fam- Murphy, Rutter, Sroufe, Werner, M. Wright),
ily crisis by taking additional actions to protect family resilience (e.g., Boss, Henry, H. McCub-
child or family functioning. bin, J. M. Patterson, Walsh), cultural processes
A surprising outcome from the first wave of (Motti-Stefanidi, Theron, Ungar), and resilience
individual resilience science was how often the in disaster or war (Betancourt and Osofsky,
same factors emerged as promotive or protective Panter-Brick, Silverman; see Masten, Narayan,
despite the varying definitions, measures, and Silverman, & Osofsky, 2015).
situations that were studied. These common Similar parallels could be drawn comparing
factors associated with resilience included individual or family processes and school or
individual, relational, family, and community community processes associated with resilience.
attributes that presumably reflected power- Although such comparisons are beyond the
ful human adaptive processes (Masten, 2001, scope of this article, it has been noted for some
2014b; Wright, Masten, & Narayan, 2013). Indi- time that there are parallels in the factors and
vidual attributes varied by age but often included processes associated with effective schools or
problems-solving skills, self-regulation skills, communities or other kinds of human organiza-
hope or faith, mastery motivation, and a sense tions challenged by adversity (Masten, 2014b).
that life has meaning. Relational attributes With the rapid expansion of literature on the
included secure attachment relationships, ini- resilience of schools, communities, cities, busi-
tially with a reliable caregiver and later with ness organizations, and other social systems
extended family, friends, mentors, and romantic to challenges and disasters, one might expect
partners. Connections to effective schools and further delineation of parallels across systems
community supports for children and families and system levels.
were often noted. There also is a large and growing body of
Studies of resilience in individuals and in research on potential processes that may account
families suggest striking parallels in the factors for resilience as well as vulnerability linking
associated with resilience, though framed at dif- individual child function or development to fam-
ferent levels of analysis (Bonanno, 2015; Boss, ily systems function. Examples of such pro-
2006; Henry et al., 2015; Masten, 2016; Masten cesses include the following: prenatal stress
& Monn, 2015; J. M. Patterson, 2002; Walsh, wherein maternal health, nutrition, or exposure
2016; Wright, Masten, & Narayan, 2013). This to adversity has an impact on fetal develop-
is not surprising given the many processes that ment, epigenetic changes induced by prenatal
8 Journal of Family Theory & Review

Table 1. Comparison of Resilience Factors Frequently Identified by Scholars Studying Resilience from the Perspective of Child
or Family Systems

Individual Resilience Literature Family Resilience Literature

Nurturing, sensitive caregiving Nurturing, protective care for vulnerable members


Attachment relationships, emotional security, belonging Family cohesion, sense of belonging
Skilled parent management and discipline tailored to child Maintaining boundaries, family integrity, family authority,
rules
Agency, motivation to adapt Active coping, mastery
Problem solving, planning, executive function skills Collaborative problem solving, family flexibility
Self-regulation, emotion regulation Co-regulation, balancing family demands, emotion
regulation
Hope, faith, optimism Hope, faith, optimism, positive outlook
Meaning making, belief life has meaning Coherence, family meaning making, collective meaning,
family purpose
Positive views of the self or identity Positive views of family, family identity
Routines and rituals Family routines and rituals, family role organization
Note. Major sources for the listed factors include the following: Boss, 2006; Boss et al., 2017; DeHaan et al., 2013; Fernandez
et al., 2013; Garmezy, 1985; Hawley, 2013; Hawley & DeHaan, 1996; Henry et al., 2015; Luthar, 2006; Masten, 2014b, 2016a;
Masten & Cicchetti, 2016; Masten et al. 1990, 2015; H. I. McCubbin & McCubbin, 1988; J. M. Patterson, 2002; Rutter, 1987;
Walsh, 2016; Werner & Smith, 1982; Wright et al., 2013.

or postnatal experiences of children in families, Parent–child interactions have played such


parent–child relationships and interactions, post- a central role in resilience probably because
partum depression and parent well-being, many parenting serves so many functions in child
roles of parents in development (elaborated in development, cultural transmission, and the
the next section), “toxic stress” exposure in early well-being of societies (Becvar, 2013; Born-
childhood that alters brain development and stein, 2015; Masten & Shaffer, 2006; Masten
behavior, economic policies for families rear- & Palmer, in press). Doty, Davis, and Arditti
ing children, cultural practices, and community (2017) have described a model of cascading
services for families with children (Black et al., resilience that focuses on parenting as a lever
2017; Huebner et al., 2016; Masten & Cicchetti, for change. It is not surprising that many of
2016; Masten & Monn, 2015; Masten & Palmer, the interventions intended to promote resilience
in press; Walsh, 2016). in children, families, and communities have
focused attention on the multiple roles of
parenting.
Parenting and Parent–Child Within an integrated resilience framework,
Relationships in Resilience parents nurture and protect children in the early
Of all the potential processes that connect decades of their development; they foster the
child and family resilience, parenting and development of the fundamental adaptive sys-
parent–child relationships have received the tems that individuals utilize over the life course
greatest theoretical and empirical attention to adapt to challenges; and they transmit the
for many decades. From the earliest days of cultural knowledge and practices that support
individual resilience science, parenting and resilience at multiple levels, from individuals to
the caregiver–child relationship were iden- societies (Masten & Palmer, in press). Because
tified as central to child resilience and its of the multiple roles played by parents in human
development (Masten & Palmer, in press). development, effective caregiving and social-
Concomitantly, family theorists and therapists ization by parent figures are explicitly linked,
often have focused on parenting as central to theoretically and empirically, to all the protec-
family resilience in families with children (Cox tive factors described in Table 1 for individual
& Paley, 1997; Fernandez, Schwartz, Chun, resilience and implicitly linked to the family
& Dickson, 2013; Masten & Palmer, in press; resilience factors through developmental theo-
J. M. Patterson, 2002). ries about the influence of parenting in early life
Resilience Theory and Research 9

for capabilities as a family member in later life a parent promotes positive development and also
(Bornstein, 2015; Labella & Masten, in press; serves protective roles. Numerous studies indi-
Masten & Palmer, in press; Sroufe, Egeland, cate that a positive relationship with a caring
Carlson, & Collins, 2005). parent is associated with better academic, social,
The critical role of parents for child and emotional outcomes for children at risk due
well-being was evident to clinicians and scien- to adverse experiences or deprivation (Masten &
tists alike during and after the devastation of Palmer, in press), even in situations of chronic
World War II, as they observed the profound maltreatment (e.g., Alink, Cicchetti, & Rogosch,
impact of separation and loss on children and the 2009). Laboratory studies of stress show that the
power of even simple proximity to a parent to presence of a caregiver can mitigate stress reac-
ease fear and distress (Masten et al., 2015; Mas- tions (behavioral and physiological) to fright-
ten & Palmer, in press). Decades of research on ening stimuli (Gunnar, Hostinar, Sanchez, Tot-
parenting have corroborated the observational tenham, & Sullivan, 2015; Hostinar, Sullivan, &
lessons of this global adversity, further delin- Gunnar, 2014).
eating the importance of parenting figures and Parents are expected to protect children from
attachment bonds for the resilience of children overwhelming stress that can be harmful to brain
in disasters as well as war (Masten et al., 2015). development, learning, and social competence
Moreover, the observations of these and similar (Blair & Raver, 2016; Lupien, McEwen, Gun-
phenomena by clinician/scholar, John Bowlby nar, & Heim, 2009; McEwen, 2016). Yet there is
and his colleagues (Bowlby, 1969; Bretherton, also evidence that parents can overdo protection,
1992) inspired the elucidation of attachment which suggests that the relation of parenting to
theory, one of the most influential theories in child adaption is nonlinear (Masten & Palmer,
developmental science broadly and resilience in press). Although protecting children from
science more specifically. adversity is important, children also need some
Attachment theorists proposed that a power- exposure to stressful experiences because man-
ful adaptive system, with roots in mammalian ageable doses of exposure help children learn
evolution, emerges during the first year of life as valuable skills and self-confidence for coping
infants interact with their caregivers (Ainsworth, (Skinner & Zimmer-Gembeck, 2016). At an
1989; Bowlby, 1969, 2008; Sroufe, 1979, 2005; unconscious level, neurobiological systems
Sroufe & Waters, 1977). Infants form a spe- that regulate reactions to stress also would
cial bond with caregivers that serves to protect be adapting (Blair & Raver, 2016; Hostinar,
the young child, physically and emotionally, and Sullivan, & Gunnar, 2014; Lupien et al., 2009).
to elicit protection from the caregiver(s). Once Other adaptive systems, such as the immune
the system organizes, threats perceived by any system, work this way as well: some exposure
party to an attachment bond activate attachment to challenges is needed to calibrate and optimize
behaviors, such as seeking proximity and seek- adaptive systems.
ing and/or giving comfort. When there is little or Parents in most societies are expected to nur-
no threat present, then a secure attachment rela- ture their children and to socialize them for life
tionship fosters exploration and learning in the in that society (Bornstein, 2015). Socialization
environment. involves many processes, including direct mod-
The attachment relationship, in the elabo- eling or teaching, discipline, maintaining fam-
rated theory, serves as a template for future ily rules and routines, monitoring children, and
relationships. A secure early attachment bond helping children regulate their arousal and emo-
cascades to foster close relationships in subse- tions until they gain self-regulation skills. These
quent years with friends, mentors, and romantic roles can be very challenging in the context of
partners, serving protective functions for human adversity, yet many parents manage to rear chil-
adaptation over the life course. Research has dren effectively in the context of migration, war,
demonstrated that sensitive, consistent caregiv- homelessness, poverty, and other difficult situa-
ing enhances the quality of the attachment rela- tions (Masten, 2014b).
tionships, forecasting better social and emo- Among the major roles of parents in times of
tional development (Sroufe et al., 2005; Thomp- disruption or disaster is to maintain or restore
son, 2013). family rules and routines that afford a sense
Diverse studies support the central tenets of of coherence, stability, and well-being in the
attachment theory that a close relationship with midst of adversity (Boss, 2006; Fiese, 2006;
10 Journal of Family Theory & Review

Masten, 2014b, 2016b; Walsh, 2016). In the 2014, 2015). Panter-Brick and colleagues stud-
aftermath of major disruptions resulting from ied resilience in conflict-torn Afghanistan, con-
migration, war, dissolution, or death in a family, cluding that Afghan values of faith, family unity,
it may be necessary to reconstruct new rituals service, effort, morals, and honor played key
and routines. protective roles during many years of strife
In addition to facilitating routines and rituals (Eggerman & Panter-Brick, 2010; Panter-Brick,
of family life, parents also serve as external Goodman, Tol, & Eggerman, 2011). Culture was
regulators—or “co-regulators”—of arousal, neglected for a long time in research on indi-
emotion, and behavior for children until they vidual and family resilience, but that is rapidly
learn to regulate themselves (Beeghly & Tron- changing (Masten & Cicchetti, 2016).
ick, 2011; Morris, Silk, Steinberg, Myers, & Given the many roles of parents in families
Robinson, 2007; Thompson, 2015). Parents, for the resilience of children and the family as
for example, soothe and stimulate their young a whole, the resilience of parenting adults in
children, set limits on their aggression, reinforce families becomes crucial to the well-being of
self-control, and help them verbalize frustration children and the family system. Gavidia-Payne
or express emotion in socially acceptable ways. and colleagues have called for a greater focus
In risky or chaotic situations for child rearing, on parental resilience (Gavidia-Payne, Denny,
such as poverty or high cumulative adversity, Davis, Francis, & Jackson, 2015). Scholars and
co-regulation by parents may be particularly clinicians focused on resilience in children and
important. In a study of families experiencing families have recognized that the resilience of
homelessness, observational coding of effective parents was central to observed resilience in
co-regulation by parents of young children many of the children and families they worked
predicted better school adjustment, apparently with in research or practice (Masten et al., 1990).
mediated by self-regulation skills in the chil- However, Gavidia-Payne et al. (2015) argued
persuasively that a more “thorough exploration
dren that were associated with good parenting
of parental resilience is urgently required”
(Herbers, Cutuli, Supkoff, Narayan, & Masten,
(p. 117), particularly to guide improvements in
2014).
programs to support resilience in children and
Parents also can promote a positive ethnic
families.
identity while preparing children for discrim-
ination (Rivas-Drake et al., 2014). Research
on marginalized young people and immigrant Interventions to Promote Resilience
youth shows promotive and protective effects The focus on resilience in both individual and
of positive identity and ethnic socialization family studies has had a transformational impact
(Motti-Stefanidi, 2015; Umaña-Taylor et al., on intervention models and methods in multi-
2014). ple domains of practice, including clinical social
Parents transmit many aspects of culture that work, psychology, pediatrics, and psychiatry;
can contribute to resilience through beliefs, val- family therapy; school psychology and counsel-
ues, routines, rituals, religion, and other tradi- ing; disaster preparedness and response; services
tions influenced by culture (Bornstein, 2012; for military families; child welfare; and human-
Harkness & Super, 2012; Legare & Harris, 2016; itarian aid (Becvar, 2013; Boss et al., 2017;
Masten, 2014b; National Academies of Science, Henry et al., 2015; Masten, 2011, 2013, 2014b;
Engineering, and Medicine, 2016; Ungar, Ghazi- Masten & Cicchetti, 2016; Prince-Embury &
nour, & Richter, 2013). Parents model and teach Saklofske, 2014; Rutter, 2013; Walsh, 2016).
their children about cultural beliefs and prac- At the heart of this transformation is a pro-
tices of their ethnic or religious heritage, includ- found shift away from deficit-based models of
ing ways of celebrating, mourning, and chil- treatment to models focused on positive goals,
drearing, as well as self-regulation practices resources, processes, and outcomes.
such as meditation or prayer. In times of adver- The shift toward models and strategies that
sity, cultural beliefs and practices can provide a are designed to promote or protect healthy func-
sense of continuity, connectedness, hope, posi- tion and development of individuals or families
tive identity, and meaning in life (Cabrera and does not mean that risks, vulnerabilities, and
the SRCD Ethnic and Racial Issues Commit- problematic outcomes are ignored but, rather,
tee, 2013; Kağitçıbaşi, 2012; Motti-Stefanidi, that there is a much more balanced perspective
Resilience Theory and Research 11

on intervention (Masten, 2014b). Strategies to ways to nurture and regulate infants or toddlers
prevent and protect children or families within in their care (Dozier & Bernard, 2017; Dozier
a resilience framework include efforts to reduce et al., 2006; Dozier, Peloso, Lewis, Laurenceau,
or mitigate exposure to adversity (e.g., avert & Levine, 2008). The ABC intervention targets
new episodes of homelessness or violence, treat parental sensitivity as a strategy for improving
maternal depression), boost resources (e.g., the quality of parenting. Parents are visited at
housing supports, health care, food programs; home, typically over 10 sessions designed to
tax credits or cash transfers; preschool scholar- provide coaching on sensitive interactions with
ships), and mobilize protective processes (e.g., infants or toddlers. Successful intervention has
improve quality of parent–child relationships, been shown at behavioral and biological levels
parenting, or foster care; reunite families after of change. Another example targeting foster par-
disaster) (Masten, 2011). A recent report from enting has demonstrated that intervention can
the U.S. National Academies described the normalize stress biology in traumatized foster
protection of infants in the context of maternal children by improving parenting skills of foster
postpartum depression as a national priority parents (Fisher et al., 2006; Fisher, Van Ryzin,
(England & Sim, 2009). & Gunnar, 2011).
Some of the most effective interventions Prevention experiments also have demon-
documented by randomized controlled tri- strated the efficacy of parent management
als combine two or more of these strategies. training based on social learning and behavioral
One example is home visiting programs for models. Patterson, Forgatch, and their collabora-
families to prepare and care for a newborn tors have shown the efficacy of training parents
(Howard & Brooks-Gunn, 2009; Sandler et al., of children at risk for conduct problems using
2011). The best known of these programs, the models based on their decades of research on
Nurse–Family Partnership (Olds, 2006) com- the origins of behavior problems in the family
bines support and education during pregnancy (Patterson, Forgatch, & DeGarmo, 2010). Their
and the first 2 years of the child’s life. Informa- Oregon Model of Parent Management Training
tion and support include health care, emotional (PMTO) has shown efficacy in multiple studies
support to the caregiver, parenting skills, and and diverse cultures, as well as promising evi-
links to community resources. dence of effectiveness on a large scale (Forgatch
The New Beginnings program for divorc- & Gewirtz, 2017). Another intervention program
ing families with a 9- to 12-year-old child is targeting families with younger children with
another example (Sandler et al., 2015; Sigal, similar roots is the Incredible Years program
Wolchik, Tein, & Sandler, 2012; Wolchik et al., developed by Webster-Stratton and colleagues
2002). The program compared parent groups (Leijten, Raaijmakers, Orobio de Castro, van
with training on how to improve parent–child den Ban, & Matthys, 2017; Webster-Stratton,
relationships, effective discipline, and reducing 1987). Meta-analysis of studies in Europe using
conflict, among other targets; parent group com- this program indicate that it improves parent
bined with a child group, and control groups that use of praise and reduces some negative parent-
received only education about divorce. Inter- ing behaviors, to the benefit of child behavior
ventions with multiple parent-focused targets (Leijten et al., 2017).
(with or without a child component) fared best Research also has targeted family pro-
in the short and longer term, with clear evidence cesses as a strategy for promoting resilience
that the intervention effects were mediated in children (Sandler, Ingram, Wolchik, Tein,
by improved parent–child relationships and & Winslow, 2015; Walsh, 2016). Results sup-
discipline in the families. port the processes often hypothesized to play
Other efficacious interventions have targeted a protective role in child or family resilience,
the quality of the parent–child or attachment including those listed in Table 1, although there
relationship, providing experimental evidence are few randomized controlled trials to date
that this relationship can be a protective influ- (Fiese, 2006; Goldenberg & Goldenberg, 2012;
ence for children at risk. One example is the Henry et al., 2015; Masten & Monn, 2015).
Attachment and Biobehavioral Catch-Up (ABC) These interventions, including family therapy,
intervention, which demonstrates that foster par- often target family communication, emotional
ents and other caregivers benefit from training climate, cohesion, and routines, as well as
in ways to interact in sensitive and synchronous parenting skills.
12 Journal of Family Theory & Review

Around the world, in low- and middle-income Even in the absence of a full understanding
countries, humanitarian interventions to pro- of processes by which threats or protection
mote child development often combine parent occur, efforts to support resilience through
education on how to stimulate child development two-generation (or more) approaches (parents,
with nutritional supplementation and/or health children, and sometimes also grandparents in
care (Black et al., 2017; Britto, Engle, & Super, families) are burgeoning (Annie E. Casey Foun-
2013; Engle et al., 2011). One of the landmark dation, 2014; Chase-Lansdale & Brooks-Gunn,
studies of intervention for children at very high 2014; Masten & Monn, 2015). This trend
risk for stunting in Jamaica demonstrated the appears to be growing in the United States as
efficacy of combining psychosocial stimulation well as in international humanitarian activities
with nutritional supplementation on cognitive for children who experience poverty and other
development and academic potential (Walker, forms of adversity.
Chang, Powell, & Grantham-McGregor, 2005). Doty et al. (2017) proposed a “cascading
resilience model” to explain how interven-
tions focused on parenting can leverage change
Integrating Resilience Science: Future across systems connecting children and families,
Directions reverberating in their impact across domains,
Researchers on resilience in multiple disciplines, individuals, and generations. Behavioral inter-
including individual and family scholars in mul- ventions to improve parenting or parent–child
tiple fields, are calling for integration to advance relationships show promise, as noted earlier, for
knowledge and improve applications to prepare changing the biology and behavior of children
for multisystem disasters and to address impos- in the family, as well as the economic prospects
ing challenges that clearly encompass multi- and well-being of parents, with long-term ben-
ple systems and levels of interaction (Aldrich efits to family members (Masten & Cicchetti,
& Meyer, 2014; Brown, 2014; Folke, 2006; 2016; Patterson et al., 2010). Doty and col-
Doty et al., 2017; Gunderson, 2010; Henry et al., leagues also note that community support for
2015; Masten, 2014a, 2014b; Masten & Monn, families has the potential to promote cascading
2015; Sandler et al., 2015). These investiga- resilience, mediated through better family or
tors hope to see a surge of integrative research parent function.
focused on understanding processes of resilience The wave of interest in integrating knowledge
linking family and child function and on how on resilience across system levels includes grow-
best to leverage those processes to promote ing efforts to delineate processes by which com-
healthy development in individuals as well as munities and cultures support and benefit from
family units. resilience in children and families (Cabrera &
For children and their families, the search Leyendecker, 2017; Doty et al., 2017; Khanlou
intensifies to understand processes that connect & Wray, 2014; Masten & Cicchetti, 2016; Mas-
family-level function with the function of indi- ten & Palmer, in press; Panter-Brick & Leck-
viduals within the family. Investigators focused man, 2013; Theron, Liebenberg, & Ungar, 2015;
on child development, for example, are studying Ungar et al., 2013). Although progress has been
how a pregnant mother’s experiences influence made on these processes spanning levels beyond
in lasting ways the development of her child, the family, much work remains ahead to build a
mediated by stress biology, epigenetic change, sturdy base of evidence on these potential pro-
nutrition, and many other processes (Van den cesses and how they might be leveraged to sup-
Bergh et al., 2017; Lupien et al., 2009). Inves- port the development of individuals, families,
tigators are probing the neurobiology of child and societies.
resilience in the context of maltreatment, adop-
tion, foster parenting, poverty, discrimination,
Conclusions
and other family-related adversities, and also in
the context of interventions designed to counter- For decades, theory and research on how chil-
act these adversities (Cicchetti, 2013; Gabrieli dren and families adapt to adversity, individually
& Bunge, 2017; Karatsoreos & McEwen, 2013; and together, have played leading roles in the
Masten & Cicchetti, 2016; McEwen, 2016; Rut- emergence of human resilience science. Influen-
ter et al., 2010; Zeanah, Humphreys, Fox, & Nel- tial scholars focused on child or family adjust-
son, 2017). ment often were aware of one another’s work
Resilience Theory and Research 13

and likely benefited from the cross-fertilization Translational theory and research to promote
of ideas. Until quite recently, however, each set resilience are undergoing parallel shifts toward
of scholars remained largely anchored in the per- integrative models that align components across
spective of their respective customary or pre- levels or sectors for synergistic impact and focus
ferred levels of expertise. Resilience processes on strategic timing or targeting. Intervention
linking levels, such as parenting or attachment, designers consider not only the potential levers
were articulated and studied by investigators for change in efforts to promote resilience but
from each of multiple disciplines, for example, also optimal levels and timing of interventions
but usually through the lens of one level or the for high return on investments and positive cas-
other (e.g., effective parenting as a promotive or cading effects.
protective factors in child resilience or as a fea- Integrating models, evidence, and strategies
ture of family resilience). Fully integrated mod- across systems and sciences holds great promise
els of resilience linking child- and family-level for elucidating resilience and for translating this
concepts and processes were uncommon and knowledge more effectively into practical action
research spanning levels of analysis rarer still, that will benefit individuals, families, commu-
even though child developmental and family nities, and societies. Realizing this promise will
scholars alike were adopting dynamic systems require collaboration and training to prepare the
thinking into their theories. next generation of researchers with the motiva-
A deep and profound change is under way in tion, skills, and perspectives essential to advanc-
resilience theory and research that appears to be ing the integrative science of resilience and its
facilitated by necessity in the face of large scale translation to better practice and policy.
threats, facilitated by the integrative power of
a dynamic systems framework for defining and
studying adaptation, change, and development, Author’s Note
and supported by advances in methods for The author is deeply grateful to the many men-
modeling complex adaptive systems. Scholars tors, colleagues, and students who shaped her
in multiple sciences concerned with human thinking about resilience over the years, to the
development and adaptation are striving to com- participants who shared their lives to contribute
municate and integrate their ideas, findings, and to resilience science, and to the funders who
methods to achieve better solutions for familiar have supported the growing body of research on
but intransigent problems, such as achievement resilience in children and families. Preparation
disparities and violence, and also to prepare of this article was supported by the Regents Pro-
for anticipated but unpredictable shocks of fessorship and Irving B. Harris Professorship at
large-scale disasters, terror, or pandemics. Scal- the University of Minnesota.
able definitions of resilience that translate across
system levels and disciplines are central to this
effort. References
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