Resilience (Republished)

Author(s): Carl Folke

Source: Ecology and Society , Dec 2016, Vol. 21, No. 4 (Dec 2016)
Published by: Resilience Alliance Inc.

Stable URL: https://www.jstor.org/stable/26269991

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Copyright © 2016 by the author(s). Published here under license by the Resilience Alliance.
Folke, C. 2016. Resilience (Republished). Ecology and Society 21(4):44. https://doi.org/10.5751/ES-09088-210444

Invited Manuscripts

Resilience (Republished)
Carl Folke 1,2

ABSTRACT.

Resilience thinking in relation to the environment has emerged as a lens of inquiry that serves a platform for interdisciplinary dialogue
and collaboration. Resilience is about cultivating the capacity to sustain development in the face of expected and surprising change
and diverse pathways of development and potential thresholds between them. The evolution of resilience thinking is coupled to social-
ecological systems and a truly intertwined human-environment planet. Resilience as persistence, adaptability, and transformability of
complex adaptive social-ecological systems is the focus, clarifying the dynamic and forward-looking nature of the concept. Resilience
thinking emphasizes that social-ecological systems, from the individual, to community, to society as a whole, are embedded in the
biosphere. The biosphere connection is an essential observation if sustainability is to be taken seriously. In the continuous advancement
of resilience thinking there are efforts aimed at capturing resilience of social-ecological systems and finding ways for people and
institutions to govern social-ecological dynamics for improved human well-being, at the local, across levels and scales, to the global.
Consequently, in resilience thinking, development issues for human well-being, for people and planet, are framed in a context of
understanding and governing complex social-ecological dynamics for sustainability as part of a dynamic biosphere.

This invited article is a republication of Folke, C. 2016. “Resilience” of the Oxford Research Encyclopedia of Environmental Science
(http://dx.doi.org/10.1093/acrefore/9780199389414.013.8)
Key Words: development; resilience; social-ecological; sustainability; transformation

INTRODUCTION Society as the natural venue, because resilience is one of the core
The last fifteen years have seen an explosion of resilience research. concepts of the journal and persuasively encouraged me to
The number of scientific publications on resilience in relation to proceed.
the environment has during this period increased from some 250
To make it clear, this invited article is a reproduction of the article
to well over 6000 publications. The annual citations have jumped
“Resilience” published in the Oxford Research Encyclopedia of
from less than 100 in year 1995 to more than 20,000 citations in
Environmental Science (Folke 2016). The only major difference
2015 (ISI Web of Science December 2015). A search on resilience
is the new introduction and a reference list in line with Ecology
and the environment at Google Scholar presents over one million
and Society. Permission to republish the article in Ecology and
hits (February 2016). Resilience is a concept and lens found in
Society has been granted by Oxford University Press USA.
many academic fields and disciplines. Resilience has become part
of practice, policy, and business, ranging from poverty alleviation The focus of the article is on resilience and the environment in
to political frameworks and business strategies to anticipate and relation to development and in particular on the evolution and
respond to change and crisis, not only to survive, but also to evolve. spread of resilience thinking in this context (e.g., Walker and Salt
Resilience is widely spread. 2006). The article opens with a section on “what is resilience?”
that reports on early work on resilience and the environment, as
I was invited to contribute an article on this vibrant research field
well as the current definition of resilience in resilience thinking.
for the Oxford Research Encyclopedia of Environmental Science.
The following section connects resilience with social-ecological
The work with the article provided a welcoming opportunity to
systems in the context of sustainability science and complex
reflect on the state-of-the-art of resilience thinking 10 years after
adaptive systems raising issues like “resilience of people or planet
the review that Elinor Ostrom and Marco Janssen invited me to
in development?” The next section is about social-ecological
write for Global Environmental Change (Folke 2006). After
resilience and the Anthropocene, which embraces issues on how
submission to the Oxford Research Encyclopedia of
to capture resilience, resilience in stewardship, and the significance
Environmental Science, the contribution was shared with
of expecting the unexpected as well as enhancing resilience in
colleagues for comments and reflections. Several colleagues
general for the unknown and unknowable.
strongly recommended that it would be very valuable to have the
Encyclopedia article also appearing as a journal article in open- Resilience thinking emerged from the discovery, based on
access format offering the work to a broader readership. I turned observation, that living systems have multiple basins of attraction
to Oxford University Press and asked about their views. They were (Holling 1973). It has developed into an approach for
very positive about having selected articles of the Oxford Research understanding complex adaptive systems and serves as a platform
Encyclopedias, like this one, reprinted in scientific journals. My for interdisciplinary and transdisciplinary research with an
coeditor-in-Chief Lance Gunderson argued for Ecology and emphasis on social-ecological systems (e.g., Levin et al. 2013).

1
Stockholm Resilience Centre, Stockholm University, Sweden, 2Beijer Institute, Royal Swedish Academy of Sciences, Sweden

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 Ecology and Society 21(4): 44
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Social-ecological systems are intertwined systems of people and of relationships within a system, as a measure of the ability of
nature embedded in the biosphere, the thin, fragile layer of life systems to absorb changes of state variables, driving variables,
around planet Earth (e.g., Folke et al. 2011). The biosphere and parameters, and still persist (Holling 1973).
connection is a central observation that has to be visible in work
The early days of resilience thinking draw on empirical
on resilience and social-ecological systems if sustainability is to
observations of ecosystem dynamics often interpreted in
be taken seriously.
mathematical models. Hence, inductive observations and
WHAT IS RESILIENCE? empirical work led to the formulation of resilience as a feature of
In some fields the term resilience has been used in a narrow sense dynamic systems. Classic early work includes, for example,
to refer to the return rate to equilibrium upon a perturbation. Ludwig et al. (1978), Walker et al. (1981), some of which are
Others tend to interpret resilience as bouncing-back after compiled in Gunderson et al. (2009). The pioneering
disturbance or recovery time, or recovery to what you were before interdisciplinary volume Sustainable Development of the
in more general terms. In this way of looking at the world there Biosphere, edited by Clark and Munn (1986) included Holling’s
is often an implicit focus on trying to resist change and control it (1986) classic chapter developing the theoretical basis for
to maintain stability. The resilience approach of resilience resilience dynamics emerging from the comparison of the
thinking is much richer. It deals with complex adaptive system ecosystem studies. In that chapter, the adaptive cycle of system
dynamics and true uncertainty and how to learn to live with development was introduced.
change and make use of it. Resilience thinking is the focus of this The multibasins of attraction and resilience as the science of
article. surprise became the theoretical foundation for the work with
In popular terms, resilience is having the capacity to persist in the active adaptive management of ecosystems where Buzz Holling,
face of change, to continue to develop with ever changing Carl Walters, Bill Clark, and colleagues mobilized a series of
environments. Resilience thinking is about how periods of gradual studies of large scale ecosystems subject to management (Holling
changes interact with abrupt changes, and the capacity of people, and Chambers 1973, Holling 1978, Walters and Hilborn 1978,
communities, societies, cultures to adapt or even transform into Clark et al. 1979, Walters 1986, Walters and Holling 1990). The
new development pathways in the face of dynamic change. It is adaptive management process allowed for comparative analyses
about how to navigate the journey in relation to diverse pathways, of the theoretical foundations of ecosystems behavior and
and thresholds and tipping points between them. In resilience ecosystems management. The conceptual underpinnings of
thinking, adaptation refers to human actions that sustain adaptive management are simple; there will always be inherent
development on current pathways, while transformation is about uncertainty and unpredictability in the dynamics and behavior of
shifting development into other emergent pathways and even complex systems, as a result of nonlinear interactions among
creating new ones. components and emergence, yet management decisions must still
be made, and whenever possible, learning should be incorporated
Deliberate transformation involves breaking down the specific into management (e.g. Allen et al. 2011). The resilience approach
resilience of the old and building the resilience of the new (Folke began early to influence work and discussions in fields outside
et al. 2010). Specified resilience concerns resilience of what to ecology like anthropology, ecological economics, environmental
what (Carpenter et al. 2001) and also for whom (Lebel et al. 2006, psychology, human geography, the management literature, and
Robards et al. 2011, Brown 2014). General resilience is for the others (reviewed in, e.g., Scoones 1999, Abel and Stepp 2003,
unknown and the unknowable (Kates and Clark 1996, Peterson Davidson-Hunt and Berkes 2003, Folke 2006).
et al. 2003a, Polasky et al. 2011a), for having the capacity to deal
with complexity, uncertainty, and surprise (Walker et al. 2009a, The Beijer Institute of the Royal Swedish Academy of Sciences
Biggs et al. 2012a, Carpenter et al. 2012a). General resilience was restarted in 1991 with a focus on the interface of ecology and
provides sources of memory, flexibility, options, and innovations economy. In the diverse research programs of the Institute,
for transformation and can help turn a crisis into an opportunity resilience appeared and reappeared as a central feature for
(e.g., Gunderson and Holling 2002, Nykvist and von Heland understanding complex system dynamics (e.g., Costanza et al.
2014). 1993). The volume Biodiversity Loss (Perrings et al. 1995)
presented an ecological primer on functional diversity, regime
Early work on resilience and the environment shifts, and ecosystem services in an ecosystem resilience and cross-
Resilience as a concept in relation to the environment, or more scale context (Holling et al. 1995, see also Folke et al. 1996,
specifically to ecosystems, was proposed by Holling (1973) as a Peterson et al. 1998, Nyström et al. 2000, Elmqvist et al. 2003,
way to understand the capacity of ecosystems to absorb change Lundberg and Moberg 2003, Hughes et al. 2007). Several papers
(reviewed by, e.g., Gunderson 2000, Desjardins et al. 2015) or as part of the Biodiversity Program (e.g., Perrings et al. 1992,
more specifically, how to persist developing in the original state Gadgil et al. 1993, Hammer et al. 1993, Walker 1993) and a
subject to disturbances and changing conditions (Holling 1973). recognized paper on economic growth (Arrow et al. 1995)
Holling introduced resilience in the context of multiple stability incorporated resilience as a significant feature for human and
domains or multiple basins of attraction in ecosystems, a radical environmental interactions (see also Levin et al. 1998). Holling
idea at that time (Folke 2006). His discovery of multiple basins and colleagues released the innovative book Barrier and Bridges
of attraction in ecosystem dynamics challenged the, at that time, to the Renewal of Ecosystems and Institutions in 1995 (Gunderson
dominant stable-equilibrium view of ecosystems. He investigated et al. 1995). The Beijer Institute program property rights and the
how ecosystems relate to random events and heterogeneity of performance of natural systems (Hanna et al. 1996) generated the
temporal and spatial scales and defined resilience as persistence Berkes and Folke (1998) volume Linking Social and Ecological

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 Ecology and Society 21(4): 44
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Systems: Management Practices and Social Mechanisms for Now, the resilience concept has spread and this is not the place
Building Resilience, one of the first volumes focusing on social- to review the large and expanding literature (e.g., Brand and Jax
ecological systems and resilience thinking (e.g., Ostrom 1999, 2007, Janssen 2007, Brown and Westaway 2011, Xu and Marinova
Curtin and Parker 2014). 2013, Baggio et al. 2015, Desjardins et al. 2015, Meerow and
Newell 2015, Pu and Qiu 2016), close to an impossible task. But
As a reflection of the significance of a resilience lens for
resilience is influencing the environmental sciences from
understanding complex social-ecological systems, the research
agriculture to oceans as well as global environmental and climate
program The Resilience Network was initiated through a
change reflected in, e.g., Intergovernmental Panel on Climate
collaboration of the Beijer Institute (Mäler and Folke) and
Change (IPCC) reports (e.g., O’Brien et al. 2012) and in risk and
University of Florida (Holling and Gunderson), a program that
disaster management (e.g., Berkes 2007, Tidball et al. 2010,
engaged pioneering resilience thinkers and that triggered a lot of
McSweeney and Coomes 2011, Djalante et al. 2013). Resilience
interesting and path-breaking work on resilience including the
thinking is raised in the development literature and in diverse
rich Panarchy volume (Gunderson and Holling 2002), a volume
ontologies and epistemologies of the social sciences and the
on the significance of nonlinear dynamics and regime shifts in
humanities (e.g., Hamel and Välikangas 2003, Redman 2005,
economics, The Economics of Non-Convex Ecosystems (Dasgupta
Hegmon et al. 2008, Simmie and Martin 2010, Robards et al.
and Mäler 2004), and the Berkes, Folke, Colding 2003 book
2011, Crépin et al. 2012, Plieninger and Bieling 2012, Ebbesson
Navigating Social-Ecological Systems: Building Resilience for
and Hey 2013, Hall and Lamont 2013, Lorenz 2013, Lyon and
Complexity and Change emphasizing the challenge of governing
Parkins 2013, Barrett and Constas 2014, Chandler 2014, Tidball
dynamic interactions between gradual and abrupt changes in
2014, Bourbeau 2015, Hobman and Walker 2015, Marston 2015,
social-ecological systems. This book presented a major synthesis
Sjöstedt 2015, Weichselgartner and Kelman 2015) and with
of resilience challenges for social-ecological systems (Folke et al.
diverse reactions from excitement to those that oppose the
2003).
approach for diverse reasons (reviewed by, e.g., Brown 2014,
The Resilience Network later developed into the Resilience Cretney 2014, Stone-Jovicich 2015).
Alliance (RA), founded in 1999, with a coherent group of
After all, respect for pluralism (e.g., Norgaard 1989),
researchers oriented toward common intellectual goals who
epistemological agility (the capacity to work productively across
worked together at the fringe of scientific understanding (Parker
knowledge domains; McWilliam 2009), and an open mind capable
and Hackett 2012). The RA has contributed with insights on
of moving out of and dynamically modifying one’s preanalytic
resilience in complex social-ecological systems (e.g., Peterson
vision (e.g., Costanza 2001) are assets with the potential to
2000, Janssen 2002, Walker et al. 2006, Norberg and Cumming
augment collective understanding of complex social-ecological
2008, Chapin et al. 2009), developed resilience thinking (e.g.,
challenges. Attempts to integrate diverse perspectives or
Carpenter et al. 2001, Folke 2006, Walker and Salt 2006, Nelson
incorporate all dimensions into one unitary approach runs the
et al. 2007, Quinlan et al. 2015), and also linked it to development
risk of undermining the intellectual wealth and dialogues
agendas (e.g., Brown 2016). For example, Elinor Ostrom, engaged
necessary to meet the challenges of the globally intertwined
on the Beijer Institute Board and later on the Stockholm
Anthropocene (e.g., Bousquet et al. 2015, Arora-Jonsson 2016).
Resilience Centre Board, became part of the Resilience Alliance,
Resilience thinking serves as one useful lens among many to ask
inspired by resilience thinking and the work on social-ecological
questions, learn, and improve understanding of social-ecological
systems (Ostrom 1999, 2007, 2009). Ostrom’s discussions at the
systems.
Beijer Institute with Brian Walker and others on functional
diversity and redundancy in ecosystem dynamics and regime Current definition of resilience thinking: integrating resilience,
shifts (e.g., Walker 1992, Peterson et al. 1998, Elmqvist et al. 2003) adaptability, transformability
inspired her book on institutional diversity (Ostrom 2005). Resilience reflects the ability of people, communities, societies,
Major syntheses on resilience and regime shifts in ecosystems were and cultures to live and develop with change, with ever-changing
published (e.g., Scheffer et al. 2001, Carpenter 2003, Bellwood et environments. It is about cultivating the capacity to sustain
al. 2004, Folke et al. 2004). Resilience work expanded from development in the face of change, incremental and abrupt,
adaptively managing ecosystems (e.g., Gunderson and Pritchard expected and surprising (Folke 2006). The resilience approach
2002, Curtin and Parker 2014) to adaptively governing complex emphasizes that social-ecological systems need to be managed
social-ecological systems (e.g., Folke et al. 2005, Armitage et al. and governed for flexibility and emergence rather than for
2007, 2009), bringing in the role of institutions, organizations, maintaining stability (e.g., Peterson et al. 2003a, Carpenter et al.
networks, and agency in this context (e.g., Adger 2000, Dietz et 2015a). Hence, resilience, as in focus here, is a dynamic concept
al. 2003, Olsson et al. 2004, Galaz 2005, Tompkins 2005, Crona concerned with navigating complexity, uncertainty, and change
and Bodin 2006, Lebel et al. 2006, Westley et al. 2006, Berkes across levels and scales (e.g., Berkes et al. 2003, Cash et al. 2006,
2009, Bodin and Crona 2009), social learning elements and Cumming et al. 2013) on a human-dominated planet (e.g.,
knowledge systems (e.g., Berkes et al. 2000, Olsson and Folke Lubchenco 1998, Steffen et al. 2007).
2001, Chapin et al. 2006, Fazey et al. 2007, Pahl-Wostl 2007, Resilience is about persisting with change on the current path of
Forbes et al. 2009), ancient cultures (e.g., Redman and Kinzig development (stability domain or basin of attraction) adapting,
2003, Hegmon et al. 2008), and political and power dimensions improving, and innovating on that path. It is about having the
of sustainability (e.g., Adger et al. 2005a, Gelcich et al. 2006, capacity to continue to learn, self-organize, and develop in
Michon 2011).

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 Ecology and Society 21(4): 44
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dynamic environments faced with true uncertainty and the Transformability and transformation trajectories are the subject
unexpected, like steering a vessel in turbulent waters (e.g., Olsson of growing interest (e.g., Future Earth) and literature (e.g., Geels
et al. 2006). and Kemp 2006, Loorbach 2007, Chapin et al. 2010, Westley et
al. 2011, Leach et al. 2012, O’Brien et al. 2012, Olsson et al. 2014).
But sometimes navigation leads to induced isolation and
Some scholars see transformation as the consequence of societal
intensification of particular paths and to traps that are difficult to
collapse, and others see the capacity to actively transform as an
get out of (e.g., Holling and Meffe 1996, Sterner et al. 2006). The
essential property of long-lasting functioning social-ecological
resilience of the system has become too robust and rigid (e.g.,
systems (Feola 2015). There are several different ways of
Allison and Hobbs 2004, Janssen and Scheffer 2004, Österblom et
approaching transformations (e.g., Fischer-Kowalski and
al. 2011, Steneck et al. 2011, Cumming et al. 2014). In such
Rotmans 2009, Pelling 2011, Kates et al. 2012, O’Brien 2012, Park
situations the challenge is to reduce or even break resilience of the
et al. 2012, Moore et al. 2014). All concepts of transformation
current system to enable shifts away from the current pathway(s)
recognize that transformative processes are characterized by
into new ones, into alternative basins of attraction (Carpenter and
discontinuities, thresholds, or tipping points and do not generally
Brock 2008, Walker et al. 2009a, Marshall et al. 2012, Enfors 2013).
proceed smoothly, and therefore these “cycles” or “phases”
Sometimes those shifts may be smooth, other times revolutionary.
represent attempts to “make sense” (Westley et al. 2006) of the
As resilience declines, it takes progressively smaller disturbances
complex behavior of social-ecological systems rather than strictly
to push the system into a different regime, or basin of attraction
defining features of transformation (Feola 2015).
(Scheffer and Carpenter 2003). Such regime shifts are at the core
of resilience thinking (e.g., Biggs et al. 2012b, Rocha et al. 2015). The resilience approach to transformations is less about planning
and controlling but more about preparing for opportunity or
Resilience is the capacity of a system to absorb disturbance and
creating conditions of opportunity for navigating the
reorganize while undergoing change so as to still retain essentially
transformations (Chapin et al. 2010). The resilience approach
the same function, structure, and feedbacks, and therefore identity,
allows the new identity of the social-ecological system to emerge
that is, the capacity to change in order to sustain identity; resilience
through interactions of individuals, communities, and societies,
is a dynamic concept focusing on how to persist with change
and through their interplay with the biosphere within and across
(Walker et al. 2004, Folke et al. 2010), how to evolve with change.
scales (e.g., Cumming and Collier 2005, Sendzimir et al. 2007,
Adaptability refers to human actions that sustain development on
Folke et al. 2010). It concerns encouraging arenas for safe-to-fail
current pathways. Adaptation is a process of deliberate change in
experimentation, facilitating different transformative experiments
anticipation or in reaction to external stimuli and stress (Nelson
at small scales, and allowing cross-learning and new initiatives to
et al. 2007). Adaptation and adaptive capacity of people,
emerge and spread across levels and scales, constrained only by
communities, and societies are concepts in use in global
avoiding trajectories undesirable from a sustainability
environmental change in general and in climate change in
perspective, especially those with known or suspected thresholds
particular (e.g., Smit and Wandel 2006, Engle 2011, Wise et al.
that challenge the capacity of the biosphere to sustain societal
2014) with overlap with resilience thinking. The adaptability
development and human well-being (Westley et al. 2011, Biggs et
concept in resilience thinking captures the capacity of people in a
al. 2015). Enhancing resilience of the new stability domain is part
social-ecological system to learn, combine experience and
of the transformation strategy (Chapin et al. 2010). The
knowledge, innovate, and adjust responses and institutions to
transformability insights of resilience thinking have largely
changing external drivers and internal processes. Adaptability has
emerged from case studies of social-ecological systems and
been defined as “the capacity of actors in a system to influence
human behavior in the real world (e.g., Olsson et al. 2004, 2006,
resilience” (Walker et al. 2004) and is about adapting within critical
2008, Sendzimir et al. 2007, Gelcich et al. 2010, Marshall et al.
social-ecological thresholds. Adaptability is central to persistence.
2012, Enfors 2013).
It helps turn changes and surprises into opportunities and, hence,
is an important part of social-ecological resilience (Berkes et al. Resilience whether for adaptability or transformability operates
2003, Nelson et al. 2007). and needs to be addressed across levels and scales (Gunderson
and Holling 2002). Shifting pathways or basins of attractions at
Transformability is about shifting development into new pathways
one level or scale does not take place in a vacuum. Any
and even creating novel ones. It is about having the ability to cross
transformation draws on resilience from multiple scales and
thresholds and move social-ecological systems into new basins of
diverse sources of actors, organizations, institutions, recombining
attractions, into new, emergent, and often unknown development
experience and knowledge, learning with change, turning crises
trajectories (e.g., Walker et al. 2009a, Marshall et al. 2012). Such
into windows of opportunity, and allowing space for or even
ability draws on sources of resilience from other levels and scales
governing transformations for innovative pathways in tune with
than the one in focus for the transformation of the existing system.
the resilience of the biosphere (Folke et al. 2003, 2005, 2010).
Crises can open up space for transformations, for new ways of
Hence, in addition to emergence, resilience thinking emphasizes
thinking and operating. Here, experiences can be revitalized,
that humanity is embedded within the biosphere and that any
recombined for novelty, and help in navigating the arising
attempt that takes sustainability seriously will require
transformative opportunities (e.g., Gunderson and Holling 2002,
sustainability transformations with stewardship that operates in
Folke et al. 2009). Transformability has been defined as “the
synergy with the biosphere foundation (Folke et al. 2011).
capacity to create a fundamentally new system when ecological,
Sustainability transformations seem to be necessary to achieve a
economic, or social structures make the existing system untenable”
just society that thrives within planetary boundaries and a
(Walker et al. 2004, Folke et al. 2010).
biosphere resilient for humanity (Westley et al. 2011, O’Brien
2012).

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 Ecology and Society 21(4): 44
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RESILIENCE, COMPLEX ADAPTIVE SOCIAL- linked (Norgaard 1994, van der Leeuw and Aschan-Leygonie
ECOLOGICAL SYSTEMS, AND SUSTAINABILITY 2005, Reyers et al. 2013, Biggs et al. 2015). It is the feedback loops
SCIENCE amongst them, as interdependent social-ecological systems, that
To many, the resilience approach is a subset of sustainability determine their overall dynamics (Folke et al. 2002, 2010, Ostrom
science (e.g., Anderies et al. 2013, Takeuchi et al. 2014). 2009, Bots et al. 2015, Carpenter et al. 2015a, Fischer et al. 2015).
Vulnerability research also has strong links to sustainability And in fact, they have been linked for a long time (e.g., Ellis 2015).
science (e.g., Turner et al. 2003a) and there are differences and Theoretical and empirical analyses show how intertwined social-
similarities with resilience thinking (e.g., Miller et al. 2010, Turner ecological systems are more than the sum of the ecological or the
2010). Sustainability science is defined by the problems it social or their combination, and provide new explanations to
addresses rather than by the disciplines it employs. A core focus regime shifts and tipping points (e.g., Liu et al. 2007, Bodin and
of sustainability science is on transitions toward sustainability, Tengö 2012, Lade et al. 2013, 2015, Hentati-Sundberg et al. 2015)
including improving society’s capacity to use the earth in ways
The resilience approach, as part of complex systems
that simultaneously meet the needs of a much larger but stabilizing
understanding (e.g., Holland 1995, Cillier 2008), emphasizes that
human population, that sustain the life support systems of the
systems of humans and nature exhibit nonlinear dynamics,
planet, and that substantially reduce hunger and poverty (Clark
thresholds, uncertainty, and surprise, and in particular how
2007, Matson et al. 2016).
periods of gradual change interplay with periods of rapid change
Berkes and Folke (1998) started to use the concept of social- and how such dynamics interact across temporal and spatial scales
ecological systems as an integrated approach of humans-in- (e.g., Gunderson and Holling 2002, Berkes et al. 2003). Complex
nature and related the concept to resilience. In this approach the systems have multiple attractors and there may be shifts from one
social refers to the human dimension of people, communities, attractor on a certain pathway to a new attractor and a contrasting
societies in its diverse facets (e.g., economic, political, pathway (stability domain or basin of attraction). Sharp shifts
institutional, cultural) and the ecological to the biosphere, the take place in ecosystems that stand out of the blur of fluctuations
thin layer around planet Earth where there is life, human life around trends and may have different causes (e.g., Scheffer and
included. They pointed out that in the social-ecological approach Carpenter 2003, Scheffer 2009). The likelihood of such shifts
the “the delineation between social and natural systems is artificial increases with loss of resilience (e.g., Scheffer et al. 2001). During
and arbitrary” (Berkes and Folke 1998:4). In essence, the social- the last decades it has become clear that human actions cause
ecological approach emphasizes that people, communities, such shifts by altering resilience and disturbances (e.g., Folke et
economies, societies, cultures are embedded parts of the biosphere al. 2004, Biggs et al. 2012b, Schoon and Cox 2012) as is now
and shape ecosystems, from local to global scales, from the past illustrated from a growing set of examples of both ecosystems
to the future. At the same time people, communities, economies, and social-ecological systems (Rocha et al. 2015) and even large-
societies, cultures are fundamentally dependent on the capacity scale reorganizations like historical shifts from foraging to
of the biosphere to sustain human development (Folke et al. farming (Ullaha et al. 2015). The Regime Shifts DataBase
2011). It represents a biosphere-based sustainability science with provides examples of different types of regime shifts that have
resilience thinking as a central ingredient. been documented. The database focuses specifically on regime
shifts that have large impacts on ecosystem services and therefore
Baggio et al. (2015) in their citation network analysis of resilience
on human well-being. Hence, in resilience thinking, social and
found that “the social-ecological systems field stands out as an
ecological systems are intertwined, exhibiting emergent properties
emerging interdisciplinary arena where resilience can effectively
and they can exist in qualitatively different states or basins of
act as a bridging concept and facilitate a discussion of dynamics
attraction.
of complex systems within varied contexts, informed by diverse
perspectives, to provide potentially innovative theoretical and Humans as agents in social-ecological systems shape emergent
applied insights” (Baggio et al. 2015:8). Biggs et al. (2015) define structures in different ways based on their cultural systems. Geertz
resilience of a social-ecological system as the capacity of a social- (1973) presents culture as a historically transmitted pattern of
ecological system to sustain human well-being in the face of meanings embodied in symbols, a system of inherited conceptions
change, both by buffering shocks but also through adapting or expressed in symbolic forms by means of which humans
transforming in response to change. communicate, perpetuate, and develop their knowledge about and
their attitudes toward life. Cultural systems consist of concepts
To understand the dynamics of intertwined social-ecological
linked in complicated ways that can form consistent world views,
systems taking into account that the very nature of systems
can contain inconsistencies, and may or may not accurately model
changes over time (e.g., Carpenter et al. 2015a), complex adaptive
the properties of a social-ecological system. Consequently,
systems come increasingly into focus (e.g., Holland 1992, Levin
human influence will differ, depending on cultural systems
1998, Norberg and Cumming 2008). Social-ecological systems are
(Trosper 2005). Deep cultural identities or cultural resilience may
complex adaptive systems. Complex adaptive systems possess
both constrain and be essential for adaptation or transformation
critical thresholds, multiple drivers of change, and reciprocal
(e.g., Walker et al. 2009a, Rotarangi and Stephenson 2014, von
feedbacks between social and ecological components (Levin et al.
Heland and Folke 2014). The apparent stability and integrity of
2013).
institutions and other social phenomena is not inherent, but an
Resilience and complex adaptive social-ecological systems illusion created by the choice of a scale of observation that is
Many recurring environmental and natural resource challenges shorter than the time over which the complex dynamics of the
tend to be reinforced by the lack of recognition that ecosystems social-ecological system plays out (van der Leeuw and Aschan-
and the social systems that use and depend on them are intimately Leygonie 2005). Humans as agents operate in diverse social and

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 Ecology and Society 21(4): 44
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cultural contexts that are all an embedded part of the biosphere governance of social-ecological systems. Issues of inequality and
and that, consequently, will shape the biosphere in complex and diverse aspects of power and politics in social-ecological systems
different ways in continuous coevolution (e.g., Norgaard 1994). and sustainability are explicitly addressed through collaboration
across knowledge domains and in the continuous evolution of
In complex adaptive systems agents interact and connect with
resilience thinking (e.g., Lebel et al. 2006, Crona and Bodin 2010,
each other often in unpredictable and unplanned ways but from
Raudsepp-Herne et al. 2010a, Smith and Stirling 2010, Michon
such interaction broader scale patterns with new properties
2011, Robards et al. 2011, Enfors 2013, Fischer et al. 2015, Stone-
emerge, which then feeds back on the system and influences the
Jovicich 2015, Boonstra 2016). In this context, Brown (2016)
interactions of the agents (e.g., Lansing and Kremer 1993, Levin
argues that resilience can help understand and respond to the
et al. 2013). Hence, the properties of complex adaptive systems
challenges of the contemporary age, challenges characterized by
change because of the interplay between the adaptive responses
high uncertainty, globalized and interconnected systems,
of the parts and the emergent properties of the whole that then
increasing disparities, and limited choices.
feed back to the parts (e.g., Levin et al. 2013). The resilience of
individuals, groups, and communities is tightly coupled to this Resilience is increasingly having an impact on development
interplay and the emergent properties of the whole. research, from the individual, to community, to society as a whole.
Development research with a resilience connection is becoming
Because complex adaptive systems portray radically disproportional
abundant, theoretically and empirically (e.g., Hall and Lamont
causation (i.e., small causes do not always produce small effects)
2013, Béné et al. 2016). For example, development resilience has
or “nonlinearity,” they may depict periodic and chaotic dynamics,
been defined as “the capacity over time of a person, household
multiple basins of attraction, and potentially irreversible regime
or other aggregate unit to avoid poverty in the face of various
shifts (e.g., Biggs et al. 2009, 2012b, Norström et al. 2009).
stressors and in the wake of myriad shocks. If and only if that
Multiple slow and fast drivers of change make it difficult to
capacity is and remains high over time, then the unit is resilient”
predict when such dramatic changes will occur and to pinpoint
(Barrett and Constas 2014). The theory of development resilience
cause-and-effect mechanisms (e.g., Scheffer et al. 2012, Hughes
approaches poverty dynamics of individuals in a way that makes
et al. 2013). Living with such complexity and change is facilitated
the literature of economics and social science on poverty and
by collaborative and adaptive approaches to management and
poverty traps more explicit when considering issues of risk,
governance of the biosphere with decision making subject to high
dynamics, and appreciation of ecological feedback. This
degrees of uncertainty and with continuous learning as an
definition of resilience at the microscale puts the individual agents
important feature (e.g., Ludwig et al. 2001, Folke et al. 2005).
and their basic rights and aspirations for improved living
Resilience of people or planet in development? conditions in focus.
In resilience thinking and social-ecological systems research There is work on poverty, adaptability, food security, social
people are viewed as part of the planet, as part of the biosphere protection, adaptive capacity, and resilience of individuals,
and consequently development issues, whether for poverty households, and groups in relation to ecosystem and
alleviation, reduced inequality, or diverse aspects of power, are environmental change in general, and climate change in particular
embedded in a biosphere context. But it has to be stressed that (e.g., Kelly and Adger 2000, Berkes and Jolly 2001, Thomas and
even if a social-ecological system may seem to be on a sustainable Twyman 2005, Andrew et al. 2007, Boyd et al. 2008, Davies et al.
biosphere pathway for human well-being, actions to improve 2013, Marshall and Stokes 2014, Nayak et al. 2014, Cinner et al.
resilience on that pathway may benefit resilience of some and 2015). For example, Béné et al. (2016) in their review of resilience
undermine resilience and increase vulnerability of others (e.g., in food security, nutrition, and development, employ the
Lebel et al. 2006, Leach et al. 2010). In contrast, actions aimed definition of resilience as used here (see above) in relation to short-
at increasing resilience of individuals, communities, nations as the term humanitarian interventions, climate change projects, and
core focus may reinforce unsustainable pathways, undermine long-term development programs. They argue that resilience
biosphere resilience and challenge sustainability (e.g., Arrow et results from the combination of absorptive capacity leading to
al. 1995, Westley et al. 2011). Determining when resilience is on persistence, adaptive capacity leading to incremental
a desirable or undesirable path, and for whom, is an inherently adjustments/changes and adaptation, and transformative
value-laden, subjective and political question, a question that, if capacity leading to transformational responses.
sustainability is in focus, needs to be connected to human well-
being as part of the biosphere. From this perspective, sustainable Community resilience has surfaced as a vibrant area (e.g.,
development for humanity needs to be guided by approaches Amundsen 2012, Berkes and Ross 2013). For example, it has been
based on epistemologies and ontologies of development that found that communities can seize on the window of opportunity
appreciate the human-biosphere relationship. created by climate-induced shocks to generate sustained social-
ecological improvement, implying that management should foster
Although on the table, issues of distribution, inequality, and local capacities for endogenous institutional change to enhance
diverse aspects of power and politics in their own right were not community resilience to climate shocks (McSweeney and Coomes
the core in the emergence of resilience thinking. Rather, they were 2011). Norris et al. (2008) argue that community resilience
incorporated as part of analyses of complex adaptive social- emerges from four primary sets of adaptive capacities, namely
ecological systems, reflected in the abundant resilience work on economic development, social capital, information and
agency, actors, participation, diverse knowledge systems, communication, and community competence and as a whole they
learning, coproduction, adaptive management, social networks, help provide community capacity to deal with change, like
collective action, institutions, stewardship, social-ecological disasters. Robards and Alessa (2004) note that Arctic
innovation, transformation, and multilevel and adaptive

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 Ecology and Society 21(4): 44
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communities have maintained their existence over time by their of how individuals, communities, and societies secure their well-
ability to recognize gradual or rapid changes and to adapt to those, being in the face of its challenges, how well-being is secured by
rather than to any specific outcomes of a change. Resilience as a groups of people more or less bound together in an organization,
dynamic concept is reflected in the definition of community class, group, community, or country. More specifically, they see
resilience as the existence, development, and engagement of social resilience in dynamic terms as the achievement of well-being
community resources by community members to thrive in an even when that entails significant modifications to behavior or to
environment characterized by change, uncertainty, unpredictability, the social frameworks that structure and give meaning to behavior.
and surprise and adapt and occasionally transform (Margis 2010). Well-being in this context refers broadly to physical and
It is about planning for not having a plan, which requires psychological health, material sustenance, and the sense of dignity
flexibility, decision-making skills, and trusted sources of and belonging that comes with being a recognized member of the
information that function in the face of unknowns (Norris et al. community or society. Hence, in focus is the capacity of individuals
2008). The cross-scale dimension of community and social or groups to secure favorable outcomes (material, symbolic,
resilience and in relation to globalization processes is gaining emotional) under new circumstances and when necessary by new
attention and striking the right balances between communities means. Consequently, social resilience is used to denote an outcome
and their scalar interactions, and dependencies on global in which members of a group sustain their well-being in the face
economic processes is key for social-ecological resilience (e.g., of challenges to it (Hall and Lamont 2013).
Wilson 2012, Scholes et al. 2013, Crona et al. 2015).
The additional argument from resilience thinking is that well-being
Brown and Westaway (2011) provide an excellent resilience review of individuals, communities, and societies is tightly coupled to the
synthesizing knowledge on agency, adaptive capacity, and capacity of the biosphere to sustain it. This is an obvious fact in a
resilience across human development, well-being, and disasters situation when the scale, connectivity, spread, and speed of human
literature to provide insights to support more integrated and actions shape the dynamics of the biosphere and the earth system
human-centered approaches to understanding environmental as a whole (e.g., Turner et al. 1990, Steffen et al. 2007, 2015, Folke
change. They find first, that there has been a shift away from the et al. 2011).
notion that central concepts of resilience thinking—adaptive
capacity, resilience, and well-being—can be objectively measured RESILIENCE AND THE ANTHROPOCENE
by a set of quantifiable indicators to a much more complex, The scale of human actions and the speed, spread, and connectivity
nuanced view that understands them as comprising subjective, of globalization create new complex dynamics across levels and
relational, as well as objective aspects. Second, there is a growing domains that play out in new ways (e.g., Young et al. 2006, Walker
recognition that dynamic systems approaches, including et al. 2009b, Biggs et al. 2011, Homer-Dixon et al. 2015).
ecological or social-ecological in its broadest sense, and cross- Interconnections of humans in a globalized society can propagate
scale perspectives are necessary. Third, in the human and cascade across countries and regions (e.g., Adger et al. 2009,
development, well-being, and disasters fields, there is a move away Galaz et al. 2011, Liu et al. 2013, Eriksson et al. 2015, Österblom
from deficit models to ideas about assets and capacities (Brown et al. 2015), shaping landscapes, seascapes, the well-being of people
and Westaway 2011). and social-ecological systems worldwide (e.g., Holling 1995,
Hughes et al. 2003, Berkes et al. 2006, Fairhead et al. 2012, Galaz
Brown (2016) in the recent book on resilience in development 2014, Lazarus 2014, Merrie et al. 2014. Keys et al. 2016). These
argues that a resilience-based approach to development might interactions and feedbacks are not just global but cross-scale (e.g.,
radically transform responses to climate change, to the dilemmas Deutsch et al. 2007, Lambin and Meyfroidt 2011, Thyresson et al.
of managing ecosystems, and to rural and urban poverty in the 2011, Crona et al. 2015, Galaz et al. 2015) and their speed may
developing world. She elaborates the notion of everyday forms of even make the global operate faster than the local. It implies that
resilience as part of a new development agenda with three core studies and action of the local should not only focus on endogenous
components: resistance, rootedness, and resourcefulness. relations, but also account for and prepare for living and
Resistance puts concerns for politics and power at the heart of collaborating with influences from other levels, be it political
resilience, how new spaces for change can be opened up and how decisions, economic drivers, transnational companies, migration
positive transformation might be shaped and mobilized. policies, altered rainfall patterns, or climate change (e.g., Walker
Rootedness is about locating culture and place, both as et al. 2009b, Folke et al. 2011, Rockström et al. 2014a). Some of
biophysical environment and context and as identity and those may be slow creeping influences, others abrupt and surprising
attachment, whilst also working at and across multiple scales. (e.g., Hansen et al. 2012, Hughes et al. 2013, Homer-Dixon et al.
Resourcefulness concerns capacities, types of knowledge, 2015). It is a truly intertwined social-ecological planet we are living
innovation, and learning and how resources can be accessed and on.
used in response to change.
The great acceleration of the human dimension on earth, in terms
In a classic paper, Adger (2000) compares social and ecological of people and activities, and diverse reasons behind it from the
resilience and defines social resilience as the ability of groups or discovery of fossil fuels to power dynamics between nations and
communities to cope with external stresses and disturbances as a regions, has placed humanity in new terrain as a major force in
result of social, institutional, political, and environmental change. shaping biosphere processes. This scale increase in relation to the
Hall and Lamont (2013) present a systems-oriented definition of life-supporting biosphere (e.g., Boulding 1966, Odum 1989, Daily
social resilience that, very much like resilience thinking, and Ehrlich 1992, Arrow et al. 1995) has moved humanity into a
emphasizes adaptation or transformation over return to an earlier proposed new geological era, the Antropocene, the age of man
state. They are interested, in general terms, in the understanding (Steffen et al. 2007, Brondizio et al. 2016). Resilience and regime

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 Ecology and Society 21(4): 44
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shifts are part of the challenges humanity is facing in the In recent years progress has been made in understanding signals
Anthropocene, from regional tipping points (e.g., Lenton et al. of regime shifts and critical transitions. Resilience research has
2008, Österblom and Folke 2015) to possible shifts at planetary clarified how phenomena such as flickering, critical slowing
scales (e.g., Steffen et al. 2011, Barnosky et al. 2012) and down, increased autocorrelation, decreasing recovery rates, and
assessments of dynamic planetary boundaries in this context increased variance can serve as “early warnings” of loss of
(Rockström et al. 2009, Steffen et al. 2015). It has been suggested resilience and regime shifts in nature, from ecosystems to the
that to sustain the planet in a Holocene-like state (the geological dynamics of the planet as a whole (e.g., Dakos et al. 2008,
era of the last 11 thousand years of favorable condition for Scheffer et al. 2012), and how such signals relate to management,
development of human civilizations), transformations at local human behavior, and the safe-operating spaces of ecosystem
and regional scales will be needed (e.g., Steffen et al. 2015). In regimes (e.g., Biggs et al. 2009, Crépin et al. 2012, Scheffer et al.
other words, to sustain resilience of favorable biosphere 2015, Schill et al. 2015). The safe-operating space was proposed
conditions for humanity as a whole, there will have to be in relation to zones of uncertainty with potential thresholds of
transformations toward new ways of development, not just critical processes at the global level, or planetary boundaries,
incremental tweaking of business as usual on current where loss of resilience and regime shifts may challenge essential
development pathways (e.g., Folke et al. 2010, Westley et al. 2011). favorable conditions for human life on Earth (Rockström et al.
Views on good or bad pathways of transformations differ and 2009).
often depend on values and political positions on issues like
Several studies aim at developing resilience indicators in relation
globalization, power inequalities, and distribution conflicts of
to regime shifts in diverse ecosystems, often with a focus on the
development, uneven environmental degradation included (e.g.,
interplay of fast and slow variables and feedback management
Hornborg et al. 2007). A resilience approach would emphasize
(e.g., Carpenter et al. 2001, Nyström et al. 2008, 2012, Graham
flexibility and opportunity of diverse pathways and keeping
et al. 2013, Jouffray et al. 2015) and how those are connected in
options open to be able to shift between those, in a manner that
dynamic landscapes and seascapes and across scales, i.e., spatial
remains within the safe operating space of the biosphere, and with
resilience (e.g., Nyström and Folke 2001, Bengtsson et al. 2003,
prosperity and abundance for humans in collaboration with
Cumming 2011, Sundstrom et al. 2014) or with broader processes
biosphere resilience.
like rainfall patterns (Gordon et al. 2008, Keys et al. 2012) or
Capturing resilience fisheries and global seabird populations (Cury et al. 2011). There
Resilience as an approach for analyzing, understanding, and are efforts aimed at capturing resilience in economic terms and
managing change in social-ecological systems is different from models in relation to regime shifts (e.g., Mäler and Li 2010,
resilience as a property of a social-ecological system (e.g., Nelson Walker et al. 2010, Polasky et al. 2011a, Crépin et al. 2012, de
et al. 2007, Biggs et al. 2015). Resilience as a system property is, Zeeuw 2014, Richter and Dakos 2015).
as discussed earlier, the capacity of a specific social-ecological Others are developing metrics of change in ecosystem services
system to continually self-organize and adapt in the face of and natural capital in relation to social-ecological systems and
ongoing change in a way that sustains the system in a certain human well-being and with connections to resilience (e.g.,
stability domain or development path. When analyzing resilience Raudsepp-Hearne et al. 2010b, Guerry et al. 2015). Some focus
as a system property in relation to regime shifts it is useful to on measuring resilience for whom at the individual level and
consider resilience of what to what (Carpenter et al. 2001). Biggs often in relation to poverty (e.g., Barrett and Constas 2014) or
et al. (2015) see resilience as the capacity of a social-ecological on understanding how communities can transform out of
system to sustain human well-being in the face of change, by poverty traps (e.g., Enfors 2013) or on how to break resilience
persisting and adapting or transforming in response to change. A of one development path and transform to another and build
central challenge in this context is the capacity of social-ecological resilience of that path (e.g., Moore et al. 2014). Crisis turning
systems to continue providing key ecosystem services that into windows of opportunity and aligning actors and networks
underpin human well-being in the face of unexpected shocks as across multilayers of governance at critical moments seem to be
well as gradual, ongoing change (e.g., Bennett et al. 2009, of significance in such social-ecological regime shifts (e.g.,
Carpenter et al. 2009a, Biggs et al. 2015). Olsson et al. 2004, Chapin et al. 2010, Schultz et al. 2015).
How can resilience as a property be captured? There is a search There are those who concentrate on adaptation and adaptive
for metrics and indicators of resilience, not an easy task because capacity in relation to change with links to resilience thinking
social-ecological systems are complex adaptive systems, with (e.g., Wise et al. 2014) and there have been attempts to identify
moving targets continuously developing and evolving. It is surrogates for resilience (e.g., Carpenter et al. 2005) as well as
important to avoid the trap of developing metrics of what is easy sources of resilience (e.g., Adger et al. 2005b, 2011, Goulden et
to measure rather than what is important (Carpenter et al. 2009b). al. 2013). The latter concept is closely related to the theoretical
Developing a set of indicators of resilience as a system property concept of “remember” for reorganization (Gunderson and
may block the deeper understanding of system dynamics needed Holling 2002), which has inspired studies on social-ecological
to apply resilience thinking and navigate a turbulent world (e.g., memory as critical for resilience building as well as the role of
Quinlan et al. 2015). Therefore, resilience as a system property biocultural refugia as pockets of social-ecological memory in
should not be reduced to a simple metric, but different types of times of change (Barthel et al. 2010, 2013, Barthel and Isendahl
metrics and indicators need to be used and combined to capture 2013). The role of memory and sources of resilience are
facets of resilience and help guide management and governance. addressed in work on cultural landscapes and with links to sense-
A snapshot of approaches is presented below. of-place and deep identities as resilience features in adaptations

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 Ecology and Society 21(4): 44
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and transformations (e.g., Turner et al. 2003b, Crane 2010, Tidball context with guiding the identification and use of indicators to
et al. 2010, Plieninger and Bieling 2012, Adger et al. 2013, Tidball measure and monitor over time (O’Connell et al. 2015).
and Stedman 2013, Lyon 2014, Fernández-Giménez 2015). There
is work on cultural resilience, often in relation to indigenous groups Resilience and stewardship of social-ecological systems: from the
and cultures subject to change, emphasizing elements (e.g., local to the global
resilience pivots, ancestral contracts) of a social-ecological system Urbanization is a major driver of the Anthropocene (e.g., Seto et
that endure despite adaptation or even transformation of other al. 2012) with well over half of the human population currently
elements and in doing so support the persistence of the system’s living in urban areas. There is a tendency to become mentally
distinctive identity (e.g., Forbes 2013, Rotarangi and Stephenson disconnected from the biosphere in urban settings (e.g., Gómez-
2014, von Heland and Folke 2014). Baggethun and Barton 2013). There is lot of work on urban
resilience (e.g., Pickett et al. 2004, Andersson 2006, Leichenco
Another critical feature concerns the role of functional biodiversity 2011, Elmqvist et al. 2013, Marcus and Colding 2014, Pu and Qiu
and functional groups of species in ecosystem resilience and regime 2016). Green spaces and their stewards and stewardship is an
shifts (e.g., Peterson et al. 1998, Walker et al. 1999, Bellwood et al. exciting area of resilience research in urban social-ecological
2004, Folke et al. 2004, Hughes et al. 2007) with parallels to the systems (e.g., Colding et al. 2006, Andersson et al. 2007, Colding
role of agency and diverse actors and actor groups in social- 2007, Ernstson et al. 2008, Wilkinson et al. 2010, Wilkinson 2012,
ecological system dynamics and their adaptations and Colding and Barthel 2013, Connolly et al. 2014) often with
transformations (e.g., Folke et al. 2003, 2005, Westley et al. 2013). emphasis on how to reconnect people in cities and urban
Functional diversity and social actor strategies are increasingly development to the biosphere and essential ecosystem services in
linked (e.g., Diaz et al. 2011). A critical concept for resilience relation to resilience (e.g., Gómez-Baggethun and Barton 2013,
management in this context is response diversity, defined as the Jansson 2013, Andersson et al. 2014, McPhearson et al. 2015).
diversity of responses to environmental change among species
contributing to the same ecosystem function (Elmqvist et al. 2003). In the globally intertwined social-ecological system everyone is
Response diversity has been found to be particularly important for in everyone else’s backyard, and cities both shape and are
renewal and reorganization in ecosystems following change (e.g., dependent on huge areas across the planet of ecosystems support
Hughes et al. 2007, Winfree and Kremen 2009, Jansson and (e.g., Folke et al. 1997, Grimm et al. 2008) for water, food, and
Polasky 2010, Laliberte et al. 2010). The concept is gaining interest other ecosystem services (e.g., Bennett et al. 2014, Rist et al. 2014,
in research on social-ecological systems including livelihood Rockström et al. 2014b, Troell et al. 2014). It will be in the self-
options across multiple levels (e.g., Leslie and McCabe 2013) and interest of urban dwellers in the Anthropocene to create incentives
in governance and management of urban landscapes and for stewardship of their supporting ecosystems, or social-
ecosystem services (e.g., Andersson et al. 2007, Colding 2007). ecological systems often far away from city borders that secure
the basis of city life.
There will always be tension between the degree of simplification
that measurement and metrics demand and the point at which these The stewardship challenge is of central focus in resilience thinking
make the system understanding fragmented and their (e.g., Folke et al. 2003, Chapin et al. 2009; Fig. 1) from early work
implementation meaningful (Quinlan et al. 2015). Resilience on adaptive management to regime shifts and adaptive
assessments aim at a deep understanding of social-ecological governance of social-ecological systems and ecosystem services.
system dynamics, recognizing that resilience is a dynamic property Ecosystem services are a key emergent outcome of social-
shaped by many different processes of interacting fast and slow ecological interactions (e.g., Reyers et al. 2013, von Heland and
variables, including the larger context and cross-scale dynamics in Folke 2014). But, the stewardship challenge makes clear that,
which the social-ecological system is embedded (e.g., Scholes et al. although people’s management is critical, it is not sufficient to
2013) as well as unintentional changes of unforeseen dynamics focus only on the human dimension if sustainability is central,
(e.g., Quinlan et al. 2015). Building on a theoretical foundation because sustainability requires governance systems and
and case study history, resilience assessments offer guidance development practices in tune with biosphere capacity (e.g., Folke
toward understanding social-ecological dynamics of a given place et al. 2011, Guerry et al. 2015). Therefore, ecological knowledge
and time with the objective to inform management (e.g., Walker and understanding of ecosystem processes and dynamics, of the
and Salt 2012, Mitchell et al. 2014). The practice of resilience natural capital, and the social-ecological interplay of such
assessments has illustrated the value of a shared process of learning processes and dynamics is a prerequisite in this context (e.g. Berkes
and understanding complex social-ecological systems dynamics and Folke 1998, Berkes et al. 2003). Skill sets for stewardship of
(Quinlan et al. 2015). Resilience assessments have been tested and natural capital range from abilities of experimenting, learning,
applied in a number of settings like catchment and mountain and gaining ecological knowledge and experience on the ground
management in Australia and the USA, municipalities and urban (e.g., Olsson et al. 2004, King 2008, Chapin et al. 2009) to
areas in Canada and Sweden, or pasture management in capturing and accounting for broader scales biophysical processes
Afghanistan (e.g., Walker et al. 2009a, Haider et al. 2012, Nemec like rainfall patterns or climate dynamics (e.g., Keys et al. 2012,
et al. 2013, Liu 2014, Lockwood et al. 2014, Sellberg et al. 2015). Rockström et al. 2014a) in the governance and management of
An updated framework based on the Resilience Alliance’s social-ecological systems. Supported by proper institutions and
Workbook for practitioners (Resilience Alliance 2010), originally incentives such skills help build identity, meaning, pride, and
developed by Lance Gunderson, Ann Kinzig, Allyson Quinlan, dignity in being a steward of the ecological foundation for human
and Brian Walker, combines the focus on understanding complex well-being in collaboration with the biosphere.
adaptive social-ecological systems in the new Anthropocene

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 Ecology and Society 21(4): 44
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Fig. 1. Examples of stewardship strategies for dealing with uncertainty and change and strategies to transform from unsustainable
social-ecological pathways to potentially more favorable ones (modified from Chapin et al. 2010).

Work on distribution, equality, fairness, justice, power are of learning, and developing understanding for stewardship (e.g.,
major significance in the resilience and stewardship context, but Allen et al. 2011). The literature on adaptive comanagement of
seldom the core focus in their own right. They enter resilience ecosystem and complex social-ecological systems is also rich (e.g.,
thinking as significant features of understanding and governing Armitage et al. 2007, 2009, Berkes 2009, Cinner et al. 2012). There
social-ecological dynamics for biosphere stewardship, human is resilience work on the role of indigenous and local knowledge
well-being, and sustainability (e.g., Lebel et al. 2006, Robards et systems as experienced-based knowledge for ecosystem
al. 2011, Fischer et al. 2015). management of social-ecological systems including shocks (e.g.,
Berkes et al. 2000, Forbes et al. 2009, Gómez-Baggethun et al. 2013,
The challenge of biosphere stewardship and resilience was raised
Rumbach and Foley 2014) and how to connect diverse knowledge
in the Millennium Ecosystem Assessment and through the
systems, the role of coproduction of knowledge, and collaborative
engagement of resilience-oriented scholars in the development of
learning among communities and stakeholders and their
the assessment, especially in the case studies of the subglobal
significance in stewardship of ecosystem services (e.g., Fazey et al.
assessment as well as the scenarios work (e.g., Capistrano et al.
2007, Raymond et al. 2010, Schultz and Lundholm 2010, Bohensky
2006, Reid et al. 2006). Here, the role of people as part of
and Maru 2011, Mathevet et al. 2011, Goldstein 2012, Boyd et al.
ecosystem dynamics and stewardship of dynamic landscapes and
2013, Tengö et al. 2014, Daw et al. 2015, Reyers et al. 2015). Social-
seascapes and their ecosystem services were in the forefront as well
ecological inventories have been used to set such processes in
as the challenge of bringing in diverse knowledge systems as part
motion (e.g., Schultz et al. 2007, Baird et al. 2014) and the concept
of stewardship and governance across institutions at multiple
of ecological solidarity highlights the intertwined interplay of
levels (Carpenter et al. 2009a).
social-ecological systems (Mathevet et al. 2010, 2016) .
There is a lot of work on management of ecosystem resilience for
Resilience work has studied institutions and governance structures
ecosystem services (e.g., Moberg and Folke 1999, Scheffer et al.
that allow for ecosystem-based management in some detail and
2015) with adaptive management as a way of experimenting,

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 Ecology and Society 21(4): 44
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has focused especially on the emergence of flexible governance emphasizing the dynamics, links, and complexity of social-
arrangements that have shifted and transformed human activities ecological systems is also part of the resilience discourse (O’Brien
toward adaptive governance of social-ecological systems (e.g., et al. 2009). As stated by Cosens (2013) the recognition of the
Folke et al. 2005, Huitema et al. 2009, Chaffin et al. 2014, complexity in the social-ecological system, coupled with a
Karpouzoglou et al. 2016). This work has been particularly well growing realization of the complete dependence of the human
developed with regard to the stewardship of landscapes and race on the ability of the ecological system to serve it, requires
seascapes (e.g., Olsson et al. 2004, 2006, 2008, Gelcich et al. 2010, reform of the administrative state to allow society to responsibly
Cosens and Williams 2012). Several studies illustrate the role of respond to the challenge of managing human interaction with
institutional entrepreneurs in this context (e.g., Folke et al. 2005, ecosystems.
Ernstson et al. 2010, Meijerink and Huitema 2010, Rosen and
Scenario planning is a forward looking approach aimed at
Olsson 2013, Westley et al. 2013, Merrie and Olsson 2014). In these
articulating multiple alternative futures in a way that spans a key
situations actors start interacting and connecting with each other,
set of critical uncertainties, using qualitative and quantitative
often in unpredictable and unplanned ways, and from such
methods and data (e.g., Peterson et al. 2003b, Swart et al. 2004,
interactions broader scale patterns with new properties emerge,
Carpenter et al. 2006) and engaging diverse stakeholder in
which than feed back on the social-ecological system and influence
participatory processes for stewardship of social-ecological
the actors and their interactions (Levin et al. 2013). Such a dynamic
systems subject to change (e.g., Enfors et al. 2008, Plieninger et
interplay of actors, social networks, bridging organizations, and
al. 2013, Carpenter et al. 2015b, Oteros-Rozas et al. 2015).
diverse and multilevel institutions, continuously learning with
Scenario work is an important part of the Future Earth
change, are found to be significant features of social-ecological
Programme on Ecosystem Change and Society (PECS), a
system dynamics, often emerging in relation to crisis (perceived or
program with a strong focus on social-ecological systems,
real) as well as the opening of windows-of-opportunity for change
resilience, and stewardship of ecosystem services in dynamic
toward stewardship of ecosystem services (e.g., Olsson et al. 2004,
landscapes and seascapes, operating in the context of the
2008, Hahn et al. 2006, Pahl-Wostl et al. 2007, Bodin and Crona
challenges of the Anthropocene (Carpenter et al. 2012b, Fischer
2009, Crona and Parker 2012, Rathwell and Peterson 2012,
et al 2015).
Österblom and Folke 2013, Schultz et al. 2015). Such “adaptive
waves” of moving up scales of social-ecological systems occur both Expect the unexpected
inadvertently and deliberately in response to both rapid and In their paper “Environmental surprise: expecting the
gradual changes and may lead to increased resilience on a higher unexpected?” Kates and Clark (1996) make clear that in a complex
governance scale (e.g., Olsson et al. 2007, Luthe and Wyss 2015). and intertwined world surprise is to be expected. Resilience
However, restructuring current institutions and governance thinking has been characterized as the science of surprise.
systems for resilience is no small task and the challenge in relation Surprise—when perceived reality departs qualitatively from
to social-ecological systems and resilience is subject to a growing expectation—is strongly shaped by underlying metaphors,
literature (e.g., Dietz et al. 2003, Young 2010, 2011, Schlüter and models, and belief systems (Holling 1986).
Herrfardt-Pähle 2011, Sjöstedt 2015). Such restructuring raises Surprise is not just about shocks and extreme events but also about
issues of representative democracy, accountability, and legitimacy slower changing and less visible dynamics (e.g., Gunderson 2001).
in governance (e.g., Hahn 2011, Cosens 2013). There is also the We are not always aware of the sands shifting beneath our feet as
problem of fit between institutions, governance, and social- events change the character of the times in diffuse ways (Hall and
ecological systems (e.g., Galaz et al. 2008, Ekstrom and Young Lamont 2013). Resilience thinking is about the interplay of
2009, Treml et al. 2015) and how institutions and governance incremental and abrupt change, of slow and fast variables in
systems can handle change and stability simultaneously (e.g., Duit complex adaptive systems and how it plays out in uncertain,
et al. 2010, Voß and Bornemann 2011, Green et al. 2013) including surprising, and often unpredictable ways (e.g., Gunderson and
cascading changes of an intertwined world (e.g., Galaz et al. 2011). Holling 2002, Carpenter et al. 2009b). Resilience thinking is about
Global governance challenges are raised in relation to planetary true uncertainty and unknown unknowns and not just about
boundaries and stewardship (e.g., Biermann et al. 2012, Galaz et probabilities around risk and uncertainty (Carpenter et al. 2006,
al. 2012a) and the emergence of new forms of institutions for 2009b, Polasky et al. 2011b).
governance of the biosphere (e.g., Galaz et al. 2012b).
As suggested by Holling (1986) contemporary challenges of the
There is also work on resilience in relation to legal structures, globally intertwined social-ecological systems are indeed system
principles, and processes (e.g., Garmestani et al. 2013), as well as challenges, complex, unpredictable, nonlinear, with discontinuous
core concepts of the rule of law (e.g., Ebbesson 2010) and to the behavior in space and time and where causes, at times simple, are
making of normative choices of public interest, public and private always multiple. The cross-scale challenges are a reflection of
responsibilities, and individual rights including equality before the decadal to centurial accumulation of human influences on air and
law and nondiscrimination (e.g., Ebbesson and Hey 2013). West oceans and transformations of landscapes causing sudden
and Schultz (2015) conclude that the European Court of Human changes in fast environmental variables and affecting the health
Rights constitutes an important site of learning for governance of of people, the vitality of societies, and the essential life-support
social-ecological systems, because it situates knowledge and functions of the biosphere (e.g., Clark and Munn 1986,
experience of environmental change in the context of discussions Gunderson et al. 1995). Indeed, the complex interplay of human
about the relative rights, duties, and responsibilities of social actions shaping biosphere capacity has placed humanity in a novel
actors, facilitating the mutually adaptive evolution of truth and situation of interactions of social-ecological systems across scales
justice across scales. Work on new forms of social contracts, that are expressed in new, intertwined, and often turbulent and

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 Ecology and Society 21(4): 44
http://www.ecologyandsociety.org/vol21/iss4/art44/

surprising ways (e.g., Walker et al. 2009b, Galaz et al. 2011, Biggs In fact, it seem like governance and management aimed at
et al. 2011, Homer-Dixon et al. 2015, Steffen et al. 2015) affecting reducing variance in flows of ecosystem services will lead to loss
people and places in disparate ways. The situation presents major of resilience in social-ecological systems to changing conditions
challenges but also opportunities for adaptation and (Carpenter et al. 2015a). Hence, there are trade-offs between
transformation (e.g., Adger et al. 2011, Westley et al. 2011, resilience of a social-ecological system to a small set of known
Biermann et al. 2012, Galaz et al. 2012a,b, Hill and Engle 2013). kinds of disturbance versus the vast universe of unknown novel
shocks (e.g., Carpenter et al. 2009b). Specified resilience
Solutions that focus on knowledge of small parts or that assume
approaches may be narrowing options for dealing with novel
constancy or stability of fundamental relationships tend to be
shocks and even increasing the likelihood of new kinds of
pathological producing policy and science with a sense of
instability (Carpenter et al. 2015a). It seems like systems that
certainty leading to rigid and unseeing institutions and
become very robust to frequent kinds of disturbance necessarily
increasingly vulnerable social-ecological systems (Holling 1986,
become fragile in relation to infrequent kinds (e.g., Folke et al.
Gunderson et al. 1995, Holling and Meffe 1996). It may even be
2010, Anderies 2015).
possible that recent advances and widespread availability of
information may make people overconfident about the ability to Enhancing resilience in general
anticipate and deal with surprise, and thereby making people General resilience is a more broad-spectrum type of resilience for
more vulnerable to it (Kates and Clark 1996). The challenge is to building capacity of social-ecological systems to adapt or
anticipate change and surprise in a manner that does not lead to transform in response to the unknown. It is about resilience to all
lock-in and loss of future options (e.g., Costanza et al. 2000, kinds of shocks, including extreme, novel, and noncomputable
Berkes et al. 2003, Boyd et al. 2015). ones (e.g., Carpenter et al. 2009b). Among conditions that enable
Managing for resilience enhances the likelihood of sustaining general resilience are diversity, modularity, openness, reserves,
development in a rapidly changing world where surprise is likely feedbacks, nestedness, monitoring, leadership, and trust
(e.g., Folke 2006, Carpenter et al. 2009b, Chapin et al. 2009). When (Carpenter et al. 2012a). General resilience is about having the
transformation is inevitable, resilient social-ecological systems capacity to deal with ongoing diffuse gradual change, with true
contain the components needed for renewal and reorganization, uncertainty and surprise. General resilience envisions a central
reconnecting development to the biosphere for human well-being role in buying insurance against surprises generated by complex
and sustainability (e.g., Folke et al. 2002, Boyd and Folke 2012, intertwined social-ecological systems of the Anthropocene. But,
Biggs et al. 2015). as a public good it has a cost. How much general resilience is
needed, in what dimensions, and how can long-term practices be
Resilience-building management of the Anthropocene is flexible woven into actions that also meet the immediate needs of people
and open to learning. It attends to slowly changing, fundamental and ecosystems?
variables that create memory, legacy, diversity, and the capacity
to innovate in both social and ecological components of the Based on empirical work and case studies, Folke et al. (2003)
system. It also conserves, builds experience, and nurtures the proposed four key features of general resilience-building for
diverse elements that are necessary to reorganize and adapt to adaptive capacity, features that interact across temporal and
novel, unexpected, and transformative circumstances. Thus, it spatial scales and that seem of significance for dealing with
increases the range of surprises with which a social-ecological dynamics in social-ecological systems:
system can cope (Folke et al. 2002) and may even serve to open . learning to live with change and uncertainty;
windows-of-opportunity for societies to increase capacity to . nurturing diversity for reorganization and renewal;
govern social-ecological change over the long term (e.g., Kates
and Clark 1996, Luthe and Wyss 2015). . combining different types of knowledge for learning; and
Often, resilience is applied to challenges relating to particular . creating opportunity for self-organization toward social-
aspects of a social-ecological system that might arise from a ecological sustainability.
particular set of sources or shocks, referred to as specified
resilience (Walker et al. 2009a). Specified resilience arises in The first emphasizes the significance of accepting uncertainty and
response to the question “resilience of what to what?” (Carpenter surprise, taking advantage of change and crisis, and having the
et al. 2001) and for “whom” (e.g., Lebel et al. 2006). Becoming capacity of turning change into opportunity for social-ecological
too focused on specified resilience to increase resilience of development in tune with the biosphere. The second illuminates
particular parts or dimensions of a social-ecological system to the importance of nurturing diversity for social-ecological
specific disturbances may cause the system to lose resilience in resilience, recognizing that diversity is more than insurance
other ways. This observation is critical for, e.g., disaster against uncertainty and surprise. It also provides the bundle of
management or policies aimed at poverty alleviation (e.g., Berkes components, and their history, that makes development and
2007, Djalante et al. 2013). For example, the Pumpa social- innovation following disturbance and crisis possible, components
ecological system of rice-paddy irrigation in Nepal developed into that are embedded in the social-ecological memory. The third is
a socially well-tuned institution for dealing with specific about the significance of peoples’ knowledge, experience, and
fluctuations of climate and hydrology, but in the process the understanding about ecosystem dynamics and their inclusion in
governance structure for water management created vulnerability management practice and institutions. The fourth brings these
to long-term changes in climate and institutional arrangements issues together in the context of self-organization, scale,
(Cifdaloz et al. 2010). governance, and external drivers, stressing the significance of the
dynamic interplay between diversity and disturbance (Folke et al.
2003).

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 Ecology and Society 21(4): 44
http://www.ecologyandsociety.org/vol21/iss4/art44/

Biggs et al. (2012b, 2015) have identified a set of seven generic principle, taking an integrative approach that builds on multiple
and policy-relevant principles for enhancing resilience of critical knowledge systems, shifting away from exclusively managing for
ecosystem services for human well-being in the face of disturbance efficiency toward planning for uncertainty and surprise, creating
and ongoing change in complex social-ecological systems. These spaces for spontaneous exploration, and building trust and social
principles are (P1) maintain diversity and redundancy, (P2) capital (Biggs et al. 2015).
manage connectivity, (P3) manage slow variables and feedbacks,
Such principles, whether for resilience building, collective action
(P4) foster an understanding of social-ecological systems as
dilemmas (e.g., Ostrom 1990), or adaptive governance (e.g., Folke
complex adaptive systems, (P5) encourage learning and
et al. 2005), should not be approached as end goals but rather as
experimentation, (P6) broaden participation, and (P7) promote
processes or mechanisms for generating conditions that allow for
polycentric governance systems. Quinlan et al. (2015) divided the
resolving collective-action challenges associated with multiple
principles along two axes by whether they focus primarily on the
trade-offs in complex social-ecological systems. Such principles
resilience of a social-ecological system or its governance, and by
challenge the presumption that scholars can make simple,
whether they focus on resilience based on system structure or its
predictive models of social-ecological systems and deduce universal
dynamics, strategies that are complementary and can be
solutions, panaceas, to implement a certain principle (e.g., Holling
combined (Fig. 2).
et al. 1998, Ostrom 2007, Pahl-Wostl et al. 2012, Biggs et al. 2015,
Clarvis et al. 2015). Rather, they support reflection, learning, and
Fig. 2. Principles for enhancing resilience in relation to the adaptation in search of deep understanding of complex,
structure and dynamics of social-ecological systems and their multivariable, nonlinear, cross-scale, and changing social-
analysis and management and governance (modified from ecological systems and how to relate this understanding for
Quinlan et al. 2015). biosphere stewardship.

CONCLUDING REMARKS
Resilience thinking is an integrative approach for dealing with the
sustainability challenge. It is about cultivating the capacity to
sustain development in the face of change, incremental and abrupt,
expected and surprising, in relation to diverse pathways and
thresholds and tipping points between them. Resilience thinking
can be viewed as a subset of sustainability science and has a strong
focus on complex adaptive and truly intertwined social-ecological
systems of people, communities, economies, societies, cultures
interacting across spatial and temporal scales with ecosystems as
part of the biosphere. The scale, speed, and connectivity of human
actions in a globalized and intertwined world create new complex
dynamics that play out in new, uncertain, and surprising ways and
differently for different people and places. Resilience of a social-
ecological system refers to the capacity to develop and sustain
Briefly summarized, the principles stress that (P1) high levels of
human well-being in diverse contexts in the face of such change,
diversity and redundancy, but not too high, tend to make social-
both incremental and abrupt, but also through adapting or
ecological systems more resilient to change and provide options
transforming in response to change.
and flexibility for development; that (P2) connectivity needs to
be managed for sources of resilience, for trust in networks, for Social-ecological systems are embedded in the biosphere. The
new information, etc., but that there is a tension between too much biosphere connection is a central observation of resilience thinking,
connectivity versus modularity in complex social-ecological an observation that has to be explicit in work on resilience and
systems operating across levels and scales; that (P3) where known, social-ecological systems if sustainability is to be taken seriously.
changes in slow variables and feedbacks should be monitored with Confronted with planetary boundaries, it will become central for
governance systems that can respond in a timely manner, and human well-being in the urbanized 21st century to create incentives
those supporting biosphere stewardship for ecosystem services for transformation of human actions toward stewardship of
and human well-being should be strengthened; that (P4) fostering complex adaptive social-ecological systems in ways that are in tune
complex adaptive-system thinking entails uncertainty, that with the resilience of the biosphere. Well-being and development
tolerant cultures investigating potential nonlinearities and ultimately rests on biosphere capacity.
thresholds, allowing for diverse types of knowledge, and matching
institutions and governance to complex adaptive system
processes; that (P5) encouraging learning through experimentation Responses to this article can be read online at:
and monitoring is essential for enabling adaptive responses and http://www.ecologyandsociety.org/issues/responses.
it requires social capital; that (P6) participation, and how it takes php/9088
place, is facilitated, and the skills involved, is key for learning,
building social capital and collective action; and finally, that (P7)
polycentricity of governance enables the other resilience
enhancing principles. Their implementation involves clarification Acknowledgments:
of goals and developing and monitoring relevant metrics for each Thanks in particular to Frances Westley, Elin Enfors, Magnus
Nyström, Maja Schlüter, Oonsie Biggs, Lance Gunderson, and several

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 Ecology and Society 21(4): 44
http://www.ecologyandsociety.org/vol21/iss4/art44/

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