Effective prevention programs can reduce risk factors, strengthen protective factors, and decrease psychiatric symptoms and disability and the onset of some mental disorders. They can also improve positive mental health, contribute to better physical health and generate social and economic benefits. The prevention of mental disorders targets those determinants that have a predisposing or causal influence on the onset of mental disorders.
There is strong evidence on risk and protective factors and their links to the development of mental disorders. “Risk factors”are associated with an increased probability of onset, greater severity and longer duration of major health problems. “Protective factors”refer to conditions that improve people’s resistance to risk factors and disorders; they modify, ameliorate or alter a person’s response to some environmental hazard resulting in an adaptive outcome. The cumulative effect of the presence of multiple risk factors, the lack of protective factors, and the interplay of risk and protective situations predisposes individuals to move from a mentally healthy condition to increased vulnerability, then to a mental problem and finally to a full-blown disorder. Risk factors are not static. They can change in relation to a developmental phase or to a new stressor in one’s life. Both risk and protective factors can be individual, family-related, social, economic and environmental in nature. Some risks such as gender and family history are fixed; others such as lack of social support, inability to read, and substance abuse can be altered or ameliorated. There is also interplay between biological and psychosocial risk factors as well between mental and physical health risk factors.
Prevention programs and interventions should be designed to counteract risk factors and reinforce protective factors along the lifespan in order to disrupt those processes that contribute to human mental dysfunction. They should encompass disease-specific as well as more generic risk and protective factors. “Disease-specific” risk and preventive factors are those that are mainly related to the development of a particular disorder, such as the relationship of major depression to suicide.
“Generic” risk and protective factors are those that are common to several mental health problems and disorders. Interventions that successfully address such generic factors may generate a broad spectrum of preventive effects. For example, risk factors that are common to many disorders include individual factors such as difficult temperament, chronic physical illness, and below-average intelligence; family factors such as severe marital discord, paternal criminality, maternal mental disorder, and admission into foster care; and community factors such as living in an area with a high rate of disorganization and inadequate schools.
Risk and protective factors in the Prevention on Mental Disorders
Individual and Family
Individual and family-related risk and protective factors can be biological, emotional, cognitive, behavioral, interpersonal or related to the family context. They may have their strongest impact on mental health at sensitive periods along the lifespan, and even have impact across generations. The more influence individual factors have on the development of mental disorders and mental health the greater the preventive effect that can be expected when they are addressed successfully. Individual protective factors are nearly identical to features of positive mental health such as self-esteem, emotional resilience, positive thinking, problem-solving and stress management skills, and feelings of mastery. For this reason, preventive interventions aiming to strengthen protective factors overlap largely with mental health promotion. Refer to the table below for some examples of individual and family risk and protective factors related to the onset of mental disorders.
Individual and Family Risk and Protective Factors Related to the Onset of Mental Disorders
Risk Factors |
Protective Factors |
Academic failure |
Ability to cope with stress; face adversity |
Attention deficits |
Self-esteem |
Caring for chronically ill patients |
Problem-solving skills |
Child abuse or neglect |
Adaptability |
Chronic pain |
Literacy |
Medical Illness |
Social and conflict management skills |
Excessive substance use or substance abuse |
Feelings of security |
Exposure to aggression/violence/trauma |
Feelings of mastery, control |
Family conflict or disorganization |
Positive attachment and early bonding |
Low birth weight |
Autonomy |
Parental mental illness or substance abuse |
Positive parent-child interaction |
Emotional Immaturity |
Exercise |
Bereavement/Grief |
Early cognitive stimulation |
Perinatal complications |
Emotional resilience |
Reading disabilities |
Social support of family and friends |
Social incompetence |
Effective communication skills |
Substance use during pregnancy |
Decision-making skills |
Below-average intelligence |
Good physical health |
Criminality/criminal justice involvement |
Pro-social behavior |
Social, Environmental and Economic
Major socioeconomic and environmental determinants for mental health are related to macro issues such as poverty, war and inequity. Changes in legislation, policy formulation and resource allocation can provide substantial improvements in the mental health of a population. In addition to improving mental health and reducing the risk for mental disorders, such legislative changes have also been proven to positively impact on the health, social and economic development of societies.
For example, according to the World Health Organization there is strong evidence that improving nutrition and development in socio-economically disadvantaged children can lead to healthy cognitive development, improved educational outcomes and reduced risk for mental disorders. Thus, macro-level prevention strategies focused on nutritional interventions not only reduce the risk for onset of mental disorders associated with poor nutrition but also provide protection in the form of improved cognition and education.
Implementation of effective regulatory interventions for addictive substances can include taxation, restrictions on availability and bans on advertising. By reducing the harm from use of addictive substances, these policy interventions can lead to the prevention of substance use disorders. Examples include laws that raise the minimum drinking age and the subsequent decrease in alcohol sales; and problem use among young drinkers and the enforcement of laws prohibiting the sale of tobacco to minors, thereby decreasing access and the use of tobacco by young people. The reduction in risk factors associated with substance abuse and access to drugs and alcohol occurs at both the individual/family and social/environmental/economic levels. Refer to the table below for some examples of social, environmental, and economic risk and protective factors related to the onset of mental disorders.
Social, Environmental, and Economic Risk and Protective Factors Related to the Onset of Mental Disorders
Risk Factors |
Protective Factors |
Access to drugs and alcohol |
Empowerment |
Poverty |
Social participation |
Isolation and alienation |
Social services |
Lack of education, transport, housing |
Social support and community networks |
Neighborhood disorganization |
Positive interpersonal interactions |
Peer rejection |
Ethnic minorities integration |
Poor social circumstances |
Social responsibility and tolerance |
Displacement |
|
Poor nutrition |
|
Racial injustice and discrimination |
|
Violence and delinquency |
|
Work Stress |
|
Unemployment |
|
Social disadvantage |
|
War |
|
Sources:
U.S. Department of Health and Human Services. Mental Health: A Report of the Surgeon General—Executive Summary. Rockville, MD: U.S. Department of Health and Human Services, Substance Abuse and Mental Health Services Administration, Center for Mental Health Services, National Institutes of Health, National Institute of Mental Health, 1999.
World Health Organization
General information on the prevention of mental disorders and intervention strategies is available on the website. © Copyright World Health Organization (WHO), 2010. All Rights Reserved.
Information specific to risk and protective factors associated with the onset of mental disorders can also be found by accessing the report Prevention of mental disorders: effective interventions and policy options: Summary report/A report of the World Health Organization Dept. of Mental Health and Substance Abuse .Copyright World Health Organization 2004.
Additional resources:
PREVENTION OF SUBSTANCE ABUSE AND MENTAL ILLNESS: Create Prevention Prepared Communities where individuals, families, schools, faith-based organizations, workplaces, and communities take action to promote emotional health and reduce the likelihood of mental illness, substance abuse including tobacco, and suicide. This initiative will include a focus on the Nation’s youth, Tribal communities, and military families.
FINDYOUTHINFO.GOV is the U.S. government website that helps you create, maintain, and strengthen effective youth programs. Included are youth facts, funding information, and tools to help you assess community assets, generate maps of local and federal resources, search for evidence-based youth programs, and keep up-to-date on the latest, youth-related news.
BUILDING BLOCKS FOR A HEALTHY FUTUREis an early childhood substance abuse prevention program developed by the Substance Abuse and Mental Health Services Administration (SAMHSA) that educates parents and caregivers about the basics of prevention in order to promote a healthy lifestyle. Designed for parents and caregivers of children ages 3 to 6, Building Blocks will help you open up the lines of communication with young children—and make it easier to keep those lines of communication open as they grow older.
The materials and the Web site, which are designed for parents and caregivers to use with their children, are based on six action steps that relate directly to what researchers and substance abuse prevention professionals term family-related "protective factors." These are situations and conditions that decrease a child's chances for engaging in drug-related and other risky behaviors. The site also includes information about "risk factors" that increase children's risk for using alcohol, tobacco, and illegal drugs. With content focusing on children aged 3 to 6, the site includes topics such as how to better communicate with children, activities for promoting "family time," and what to say when discussing difficult issues.
SEARCH INSTITUTE® is an independent, nonprofit, nonsectarian organization whose mission is “to provide leadership, knowledge, and resources to promote healthy children, youth, and communities.” Search Institute helps people understand what kids need to succeed and to take action based on that knowledge through research and evaluation; the provision of tools and resources; and collaboration with partners. Search Institute serves all sectors of society, including K–12 and higher education, faith communities, youth-serving organizations, social-service organizations, families, businesses, and the public sector.
MONITORING THE FUTURE (MTF) is an ongoing study of the behaviors, attitudes, and values of American secondary school students, college students, and young adults. Each year, a total of approximately 50,000 8th, 10th and 12th grade students are surveyed. The Monitoring the Future Study has been funded under a series of investigator-initiated competing research grants from the National Institute on Drug Abuse, a part of the National Institutes of Health. MTF is conducted at the Survey Research Center in the Institute for Social Research at the University of Michigan.
NATIONAL SURVEY ON DRUG USE & HEALTH (NSDUH) provides the latest data on prevalence and correlates of substance use, serious psychological distress, depression, related problems, and treatment in the civilian population aged 12 or older in the U.S.
Note: formerly called the National Household Survey on Drug Abuse (NHSDA)
YOUTH RISK BEHAVIOR SURVEILLANCE SYSTEM (YBRSS) monitors priority health-risk behaviors and the prevalence of obesity and asthma among youth and young adults. The YRBSS includes a national school-based survey conducted by the Centers for Disease Control and Prevention (CDC) and state, territorial, tribal, and district surveys conducted by state, territorial, and local education and health agencies and tribal governments.