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Ordinary MagicResilience Processes in Development

Ann S. MastenUniversity of Minnesota, Twin Cities Campus

The study of resilience in development has overturnedmany negative assumptions and deficit-focused modelsabout children growing up under the threat of disadvan-tage and adversity. The most surprising conclusion em erg-ing from studies of these children is the ordinariness ofresilience. An examination of converging findings fromvariable-focused and person-focused investigations ofthese phenomena suggests that resilience is common andthat it usually arises from the normative functions of huma nadaptational systems, with the greatest threats to humandevelopment being those that compromise these protectivesystems. Th e conclusion that resilience is made of ordinaryrather than extraordinary processes offers a more positiveoutlook on human development and adaptation, as well asdirection for policy and practice aimed at enhan cing thedevelopment of children at risk for prob lems and psycho-pathology.

During the 1970s, a group of pioneering psycholo-gists and psychiatrists be gan to draw the attentionof scientists to the phenomenon of resilience inchildren at risk for psychopathology and problems in de-velopment due to genetic or experiential circumstances.

These pioneers argued that research on children who de-veloped well in the context of risk or adversity held thepotential to inform theories of etiology in psychopathologyand to learn what m akes a difference in the lives of childrenat risk that could guide intervention and policy (Anthony,1974; Garmezy, 1971, 1974; Murphy, 1974; Murphy &Moriarty, 1976; Rutter, 1979; Werner & Smith, 1982).Their calls to action inspired two decades of investigationthat has yielded models, methods, and data about thisfamily of phenomena, as well as controversies, criticisms,and media attention (Luthar, Cicchetti, & Becker, 2000;Masten, 1999b; Masten & Coatsworth, 1998).

The recognition and study of resilient children hasoverturned many negative assumptions and deficit-focused

models about the development of children growing upunder the threat of disadvantage and adversity. At the sametime, the picture emerging from the systematic study ofresilience suggests that some of the original assumptionsabout this class of phenomena were wrong, or at leastmisleading. Early images of resilience in both scholarlywork and mass media implied that there was somethingremarkable or special about these children, often described

by words such as invulnerable, or invincible. One of theearliest news articles about resilience in Am erican psychol-ogy was about "the invulnerables" in the APA Monitor(Pines, 1975). Similarly, a headline about this new researchfield in the Washington Post on March 7, 1976, read,"Trouble's a Bubble to Some Kids." The idea of resilientchildren as remarkable individuals possessing extraordi-nary strength or inner resiliency has lingered, even inscholarly work. In 1995, "Superkids of the Ghetto" ap-peared as the title for a book review on resilience ininner-city children published in Contemporary Psychology(Buggie, 1995).

The great surprise of resilience research is the ordi-nariness of the phenomena. Resilience appears to be acommon phenomenon that results in most cases from theoperation of basic human adaptational systems. If thosesystems are protected and in good working order, develop-ment is robust even in the face of severe adversity; if thesemajor systems are impaired, antecedent or consequent toadversity, then the risk for developmental problems ismuch greater, particularly if the environmental hazards areprolonged. In this article, I highlight recent evidence accu-mulating from two major approaches to the study of resil-ience, one focused on variables and one focused on peop le.

I also discuss the implications of resilience models andfindings for research, practice, and policies aimed at un-derstanding and changing the life course of children indevelopmental jeopardy.

Editor s note. Kennon M. Sheldon and Laura King developed thisPositive Psychology section.

Author s note. I have had the great fortune of interacting with manyresilience researchers over the years who have contributed im measurablyto my thinking about this class of phenomena. Most particularly, I want tothank the following for our illuminating conversations: Norman Garmezy,Suniya Luthar, Michael Rutter, Auke Tellegen, Emmy Werner, and Mar-garet Wright. Thanks also go to Marie-Gabrielle Reed, Jenifer Powell,John Curtis, Art Sesma, and Robin Mathy for their comments on this

article. The writing of this article, as well as m y research on resilience, hasbeen facilitated by National Science Foundation Grant NSF/SBR-9729111, the William T. Grant Foundation Grant 97-1845-97, and mem-bership in the Research Network on Psychopathology and Development,funded by the John D. and Catherine T. MacArthur Foundation.

Correspondence concerning this article should be addressed to AnnS. Masten, Institute of Child D evelopment, University of Minnesota, 51East River Road, Minneapolis, MN 55455-0345. Electronic mail may besent to [email protected].

March 2001 American PsychologistCopyright 2001 by the American Psychological Association, Inc. 0003-066X/01/$5.00Vol. 56, No. 3, 227-238 DO I: 10.1037//0003-066X.56.3.227

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Ann SMasten

Defining ResilienceResilience refers to a class of phenomena characterized bygood outcomes in spile of serious threats to adaptation ordevelopment. Research on resilience aims to understand theprocesses that account for these good outcome s. Resilienceis an inferential and contextual construct that requires twomajor kinds of judgmen ts (Masten, 1999b; Masten Coats-worth, 1998). The first judgment addresses the threat sideof the inference, individuals are noi considered resilient ifthere has never been a significant threat to their develop-ment; there must be current or past hazards judged to havethe potentiai to derail normative development. In otherwords, there must be demonstrable risk. In many cases,risks are actuarially based predictors of undesirable out-comes drawn from evidence that this status or condition isstatistically associated with higher probability of a "bad"outcome in the future (Kraemer et at, 1997; Masten &Garmezy, 1985). Many risk factors, ranging from statusvariables such as biological child of a parent with schizo-phrenia or low socioeconomic status to direct measures ofexposure to maltreatment or violence, are well-establishedstatistical predictors of subsequent developmental prob-lems, either specific problems or a broad spectrum ofdifficulties (Masten & Garmezy, 1985; Masten & Wright,1998).

In studies of resilience, the risk side of the definitionhas been operationally defined in diverse ways, includingsocioeconomic status (SES) measures, tabulations of thenumber of life events that have occurred in recent monthsor a lifetime, massive community trauma, low birth weight,divorce, and cumulative risk calculations that combinethese different kinds of risk factors. The diversity of the

risks studied in this literature presents a problem for com-paring and interpreting results across studies (Kaufman,Cook, A my, Jone s, & Pittinsky, 1994; Luthar, 1999; Lutharet al., 2000). On the other hand, convergent findings in thecontext of such diversity are compelling (Luthar et al.,2000).

Investigators quickly realized that risks for specific orgenera problems in development often c o-occur and thatcumulation of these risks at one point in time or over timeis strongly related to rising risk for poor outcomes onmultiple indicators of development, including psychosocialcompetence, psychopathology, and health (Masten &Wright, 1998; Rutter, 1979, 1990; Seifer & Sameroff,1987). Such risk gradients are p ervasive, and the processesunderlying them remain elusive, as evident in recent at-tempts to understand SES gradients for a wide variety ofchild and adult criteria of health (broadly defined) andwell-being (Keating & Hertzman, 1999). Singular and ag-gregated risk indices often predict many kinds of undesir-able outcomes. The lack of specificity observed in studiesof risk (Coie et al., 1993) may reflect in part the tendencyfor measured and unmeasured risks to co-occur.

Furthermore, most risk gradients can be inverted tocreate an "asset" or "resource" gradient showing that highlevels of assets are associated with better outcomes (Ben-son, Scales, Leffert, & Roehlkepartain, 1999; Sameroff,Seifer, & Bartko, 1997). This is because most risk indica-lors are arbitrarily labeled this way (Kraemer et al., 1997;Masten, 1994; Rutter, 1990; Sameroff et al., 1997;Stomhamer-Loeber el al., 1993). Pure risk factors undoubt-edly exist (predicting negative outcomes when they occur),such as a car accident, and purely positive assets areconceivable, such as a (alent or friend (or a fairy godmother).However, most risk factors actually index continuous,bipolar dimensions that have a po sitive end associated withpositive outcomes (e.g., good parenting vs. poor parenting,high education vs. low educa tion), as well as a negative endassociated with negative outcomes. Thus, low risk on a riskgradient indicates high assets in many cases, because of thearbitrary naming of bipolar predictors. However, it is alsopossible for risks and assets to be inversely related for otherreasons, such as a third causal factor, even when they arenot opposite ends of the same dimensions (Jessor, Van D enBos, Vanderryn, Costa, & Turbin, 1995). Competent par-ents (causal factor), for example, may produce fewer stress-ful family life events (risks), choose to live in neighbor-hoods with low crime rates (risks) and good communityresources (assets), and be more likely to hire tutors for theirchildren (assets).

The second judgment involved in an inference aboutresilience is the criteria by which the quality of adaptationor developmental outcome is assessed or evaluated as"good" or "OK." There is little debate aboui whether suchcriteria exist, but much controversy remains about whoshould define resilience by what standards {Luthar et al.,2000; Masten, 1999b). This is a highly complex issue ihatis only beginning to be addressed empirically.

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Many developmental investigators have denned resil-ience on the basis of an observable track record of meetingthe major expectations of a given society or culture inhistorical context for the behavior of children of that ageand situation. These expectations are termed salient devel-opmental tasks, competence criteria, or cultural age expec-tations in developmental and life-span theory (Elder, 1998;Masten & Coatsworth, 1995, 1998; Waters & Sroufe,1983). However, other investigators, particularly in fieldsconcerned with prevention of substance abuse and psycho-pathology, have focused on the absence of psychopathol-ogy or a low level of symptoms and impairment as thecriterion for resilience, rather than the presence of aca-demic or social achievements (Conrad & Hammen, 1993;Tiet et al., 1998). Still others include both kinds of criteria(Dubow, Edwards, & Ippolito, 1997; Felner et al., 1995;Greenberg, Lengua, Coie, & Pinderhughes, 1999). A re-lated issue is whether to define resilience on the basis ofexternal adaptation criteria (such as academic achievementor the absence of delinquency) or internal criteria (psycho-logical well-being or low levels of distress) or both (Luthar,1999; Luthar et al., 2000; Masten, 1999b). Clearly, thechoices made about the adaptation criteria defining resil-ience will influence who is included in studies and willreflect cultural norms, whether or not these are articulatedin the study. Questions raised by efforts to define "good"development in resilience research warrant their own in-vestigation, which has been rare to date (see D urbrow,1999; D urbrow, Pefia, Masten, Sesma, & Williamson, inpress).

Models of ResilienceTwo major approaches have characterized the designs ofresilience studies aimed at explaining the variation in out-comes among high-risk children. Variable-focused ap -proaches use multivariate statistics to test for linkagesamong measures of the degree of risk or adversity, out-come, and potential qualities of the individual or environ-ment that may function to compensate for or protect theindividual from the negative consequences of risk or ad-versity. Person-focused approaches compare people whohave different profiles within or across time on sets ofcriteria to ascertain what differentiates resilient childrenfrom other groups of children. Each approach has advan-tages and disadvantages, leading some investigators to in-clude both. The variable focus often maximizes statisticalpower and is well suited to searching for specific anddifferential links between predictors and outcomes thathave implications for intervention. Yet this approach canfail to capture striking patterns in the lives of real people,losing a sense of the whole and overlooking distinctiveregularities across dimensions that can indicate who is atgreatest risk or needs a particular intervention. The personfocus keeps variables assembled in naturally occurringconfigurations and is well suited to searching for commonand uncommon patterns in lives through time that resultfrom multiple processes and constraints on development(Bergman & M agnusson, 1997). On the other hand, person-

focused approaches can obscure specific linkages that pro-vide valuable clues to explanatory processes (Shiner, Tel-legen, & Masten, in press).

Variable-Focused Studies of ResilienceMain effects in variable-oriented models theoretically re-flect the independent contribution of risks or assets orbipolar attributes to the course of the outcome criterionvariable, although causality cannot be determined in thesekind of correlational studies (Masten, 1999b). Figure 1shows two com mon ways to illustrate a main effect foundin multivariate, correlational analyses. In Figure 1A, re-gression lines are plotted for two values of an asset variable(representing high vs. low levels of a continuous asset or"present" vs . "absent" conditions for a dichotomous asset).The lines are parallel because the relation of this asset to

Figure 1Examples of Main Effect Models Based onMultivariate nalyses in Resilience Research

AHigh

High on asset Low on assetO

O3

Lo w

Lo w High

Adversity

B

Note . In A regression lines are plotted for two values on an asset with a maineffect on the criterion; the lines are parallel because this asset is an advan tageregardless of adversity or risk level. Adversity also has a main effect in thisexamp le so that the criterion falls as adversity increases. B shows a pathdiagram with the same main effects for an asset variable and an adversity-riskvariable plus an additional bipo lar predictor with a main effect on this criterion.

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based domains; however, these capabilities appear to beparticularly important protective factors against the devel-opment of conduct problems for children growing up inhighly disadvantaged circumstances or with high exposureto adverse life events (Kolvin, Miller, Fleeting, & Kolvin,1988; Masten et al., 1999; White, Moffitt, & Silva, 1989).It is not yet clear what exactly it is about intellectualaptitude variables that accounts for this effect. Tests ofintellectual functioning are inherently complex and couldbe markers of motivation as well as a variety of cognitiveabilities related to attention, m emory, reasoning, and exec-utive functioning.

Effective parenting (e.g., authoritative parenting,monitoring, support) also appears to be protective withrespect to antisocial behavior (Dubow et al., 1997; Mastenet al., 1999). Again, it is not clear what processes m ight beinvolved, including genetic covariance. However, experi-mental intervention designs that demonstrate a change inchild behavior as a function of changes in parenting be-havior (e.g., Forgatch & DeGarmo, 1999, described above)support the conclusion of resilience investigators that par-enting quality has protective power, particularly againstantisocial behavior in risky environments.

These findings hint at the possibility of some speci-ficity for cognitive abilities and parenting as mode rators ofrisk for antisocial or disruptive-aggressive behavior whenrearing conditions are adverse, although each of thesepredictors also has extensive links to many other aspects ofgood and poor developmental outcome, as well as to eachother. One might speculate that the development of effec-tive self-regulation skills are involved in both cases.Clearly, there is empirical and theoretical work to be donebefore specific protective (or vulnerability) processes arelikely to be delineated and adequately tested.

To date, results from variable-focused studies of re-silience underscore the importance of well-established in-dividual and family differences for the course of gooddevelopment. Under conditions of severe adversity, poorcognitive skills and parenting appear to increase the risk ofbad outcomes, particularly in the form of antisocial behav-ior; normative cognition and parenting appear to protect thedevelopment of competence under adverse conditions. Par-enting appears to play a key mediating role linking majorlife stressors to child behavior. In low-threat env ironments,outcomes generally are good, unless the individual hassignificant handicaps. Very little evidence has emergedfrom these studies to indicate that severe adversity hasmajor or lasting effects on adaptive behaviors in the envi-ronment unless important adaptive systems, such as cog-nition and parenting, are compromised prior to or as aresult of the adversity.

Person Focused Studies of ResilienceResilience studies focused on whole individuals rather thanvariables corroborate these conclusions. Person-focusedapproaches attempt to capture the configural patterns ofadaptation that naturally occur, in much the same way s thatclassification systems for mental disorder organize symp-

toms into patterns that have been observed to occur to-gether. Single case studies of resilience (e.g., Masten &O'Connor, 1989), which are person focused and can becompelling for heuristic purposes, have numerous short-comings, particularly in terms of generalizability. Mostperson-focused approaches seek to identify groups of indi-viduals with patterns of good versus poor adaptive func-tioning (judged on multiple criteria simultaneously) in alife context of high versus low risk or threat, in order toexamine what might account for the differences inoutcome.

The classic person-focused approach to resilience ha sbeen the comparison of two groups drawn from the samehigh-risk sample who have adaptive and maladaptive out-comes. The Kauai study by Werner and Smith (1982,1992)has this design, as do the Rochester resilience studies ofCowen, Wyman, and colleagues (Cowen, Lotyczewski, &Weissberg, 1984; Cowen et al., 1997; Cowen, Wyman,Work, & Parker, 1990; Wyman et al., 1999). In the Kauaistudy, a high-risk group was identified from a birth cohort:the risk group had four or more cumulative risk factors byage two (e.g., perinatal problems, low maternal education,poverty). Then a resilient subgroup was identified on thebasis of good competence and few behavior problems atages 10 and 18. Attributes of these children and their liveswere then compared with peers in the high-risk subgroupwho developed significant adjustment problems by ages 10and 18. Many differences were found that favored theresilient group. Resilient individuals had better parentingresources and were more appealing infants. As they grewolder, they had better cognitive test scores, more positiveself-perceptions, and greater conscientiousness than theirmaladaptive peers. The competence of the resilient groupcontinued into adulthood, but it is also noteworthy that theinvestigators have reported a good deal of improvem ent forthe majority of the maladaptive group in the adult years(Werner & Smith, 1992).

Other studies of the classic form base the group cat-egories on a variety of adverse life experiences or condi-tions. The Rochester investigators formed "stress-affected"and "stress-resilient" groups on the basis of major lifestressors (e.g., family violence, death, illness, divorce, pov-erty) and the pattern of scores on adjustment screeningmeasures indexing behavioral competence and problems(Cowen et al., 1997; Wyman et al., 1999). Richters andMartinez (1993) studied children living in dangerousneighborhoods of Washington, D C, who were classified asadaptive successes or not on the basis of cutoff scores onthe Child Behavior Checklist (total problems fell in thenormal range) and teacher ratings of academic progress asaverage or better. Both of these studies found that parentalcompetence and parenting quality were strongly associatedwith resilience, although their measures of risk, parenting,and outcome differed. F ergusson and Lynskey (1996) useda cutoff score on a family adversity index based on 39family risk factors and classified adolescents as resilient onthe basis of the absence of externalizing behavior prob-lems, such as drug use , conduct disorders, delinquency, and



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relationships, and investigating how the individual as acomplex living system interacts effectively and ineffec-tively over time with the systems in which it is embedded.Exciting new work on the linkages among adversity, braindevelopment, and the quality of adaptation in terms of bothcompetence and psychopathology, exemplify this frontier(Cicchetti & Cannon, 1999; Maier & Watkins, 1998; Nel-son, 1999, 2000).

Research on resilience has underscored the impor-tance of integrating studies of competence and psychopa-thology, of individual differences and normative patterns indevelopment, and of how developmental processes unfoldin normative compared with extremely deviant conditions.These goals are fundamental to the integrative science ofdevelopmental psychopathology, which rose to prominenceduring the same period as resilience (Cicchetti, 1984; Mas-ten & Braswell, 1991; Sroufe & Rutter, 1984). Thus, it isnot surprising to find that developmental psychopatholo-gists often have a keen interest in resilience. We are mov-ing toward an integrated science of human adaptation anddevelopment (Masten & Curtis, 2000).

Resilience and Positive PsychologyThe message from three decades of research on resilienceunderscores central themes of the positive psychologymovement (Seligman & Csikszentmihalyi, 2000; Snyder &Lopez, in press). Psychology has neglected important phe-nomena in human adaptation and development during pe-riods of focus on risk, problems, pathology, and treatment.Attention to human capabilities and adaptive systems thatpromote healthy development and functioning have thepotential to inform policy and programs that foster compe-tence and human capital and aim to improve the health ofcommunities and nations while also preventing problems.The study of resilience helped to rekindle positive psycho l-ogy; now the new impetus for research on successful hu-

man functioning should serve to illuminate fundamentalprocesses underlying resilience in development (Masten &Reed, in press). In addition, positive psychology posesimportant questions for resilience investigators about thedifferentiation of challenging experiences that underminedevelopment versus those that promote development. Con-comitantly, the study of resilience raises questions aboutthe nature and development of optimal functioning:whether it arises from an unusual alignment of normativerather than extraordinary processes, what it means underconditions of severe adversity, and how it is scaffolded bythe social context over the course of development.

The Power of the OrdinaryWhat began as a quest to understand the extraordinary hasrevealed the power of the ordinary. Resilience does notcome from rare and special qualities, but from the everydaymagic of ordinary, normative human resources in theminds, brains, and bodies of children, in their families andrelationships, and in their communities. This has profoundimplications for promoting competence and human capital

in individuals and society. Even the most basic of humanadaptational systems are not invulnerable and require nur-turance. All too often, children who contend with thegreatest adversities do not have the protections afforded bybasic resources nor the opportunities and experiences thatnurture the development of adaptive systems. If majorthreats to children are those adversities that underminebasic protective systems for development, it follows thatefforts to promote co mpetence and resilience in children atrisk should focus on strategies that protect or restore theefficacy of these basic systems. Resilience models andfindings also suggest that programs will be most effectivewhen they tap into these basic but powerful systems.

The conclusion that resilience emerges from ordinaryprocesses offers a far more optimistic outlook for actionthan the idea that rare and extraordinary processes areinvolved. The task before us now is to delineate howadaptive systems develop, how they operate under diverseconditions, how they work for or against success for agiven child in his or her environmental and developmentalcontext, and how they can be protected, restored, facili-tated, and nurtured in the lives of children. Fortunately, weknow more than we realized about resilience processesbecause a substantial knowledge base already exists aboutadaptive processes in human development. Our currentknowledge justifies a more positive view of normativehuman capabilities, ordinary parents, and the self-rightingpower of development than either the gloom-and-doom orthe rosy-resiliency perspectives could provide.

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