1. National Children’s Study Speaker Series SEPTEMBER 28, 2011
POsT-tRAUMATIC STRESS IN THE NICU PARENT MARK BERGERON, MD, MPH ASSOCIATE Medical Director, NICU AssociateS IN NEWBORN MEDICINE, PA CHILDREN’S HOSPITALS AND CLINICS OF MINNESOTA ASSISTANT PROFESSOR, PEDIATRICS UNIVERSITY OF MINNESOTA MEDICAL SCHOOL Adjunct assistant professor, Epidemiology and community health University of minnesota school of public health
National Children’s Study Speaker Series
SEPTEMBER 28, 2011

2. Objectives
Describe features by which parents in the NICU experiencing acute or post-traumatic stress may be recognized.
Describe effective and supportive communication strategies when encountering NICU families in crisis.
Identify resources available to NICU parents suffering from emotional trauma.
All slides are available on our website (

3. Disclosures
I will not be discussing any experimental or off-label uses for any therapies during this presentation.
I have no relevant financial relationships to disclose.

4. One last disclaimer…
I am by no means an expert on mental health or psychological trauma.
I am a neonatologist who bears witness to the stress the NICU environment exerts on babies, their parents, and families.

5. A little story…

6. What is trauma?

7. Trauma?

8. Trauma?

9. Trauma?
Yes! (For some.)

10. Trauma
“Experience of a threatening situation that goes beyond the bounds of the individual coping strategies and is accompanied by a sense of helplessness and defenseless abandonment.” (Yehuda, 2002).

11. Post-traumatic Stress Disorder (PTSD) (DSM-IV-TR)
A: Exposure to a traumatic event
(a) loss of "physical integrity", or risk of serious injury or death, to self or others, and
(b) an intense negative emotional response.
B: Persistent re-experiencing
One or more of these must be present in the victim:
Flashback memories, recurring distressing dreams, subjective re-experiencing of the traumatic event(s), or intense negative psychological or physiological response to any objective or subjective reminder of the traumatic event(s).
C: Persistent avoidance and emotional numbing
This involves a sufficient level of:
avoidance of stimuli associated with the trauma (thoughts, feelings, or talking about the event(s);
avoidance of behaviors, places, or people that could lead to distressing memories;
inability to recall major parts of the trauma(s), or decreased involvement in significant life activities;
decreased capacity to feel certain feelings;
an expectation that one's future will be somehow constrained in ways not normal to other people.
D: Persistent symptoms of increased arousal not present before
These are all physiological response issues, such as difficulty falling or staying asleep, or problems with anger, concentration, or hypervigilence.
E: Duration of symptoms for more than 1 month
If all other criteria are present, but 30 days have not elapsed, the individual is diagnosed with Acute Stress Disorder.
F. Significant impairment
The symptoms reported must lead to "clinically significant distress or impairment" of major domains of life activity, such as social relations, occupational activities, or other "important areas of functioning”

12. Fundamental question #1
Are all the diagnostic criteria necessary for the traumatic event(s) to be important to a parent’s ability to cope and function?

13. Fundamental question #2
How commonly are features of post-traumatic stress experienced by NICU parents?

14. Impact of NICU experience on parents
Sense of loss of personal control over events
Especially related to infant survival
Loss of role as decision maker and care giver
When is this regained?
discharge or beyond?
Appearance of fragile or sickly infant
Elevated distress leading to
Depression and anxiety
ASD and PTSD
Emotional distress correlated with
Infant maturity and complications (DeMeier, RL et al. (1996))

15. Literature Review

16. Literature review Search criteria: Primary research papers English
Published in peer-reviewed journals
Participants: parents/caregivers of premature infants
Related to
Post-traumatic symptomatology following preterm birth
Traumatic experiences of parents with premature infants and/or
Effectiveness of interventions/treatment of post-traumatic symptomatology in parents following preterm birth

17. Wereszczak et al. (1997) Objective: Method: Findings:
Study vividness of memories recalled by primary caregivers after 3 years post preterm birth
Method:
Qualitative: Semi-structured interviews of 44 mothers or grandmothers
Findings:
At 3 years post-birth, caregivers report vivid memories related to infant appearance and behavior, pain, procedures, illness severity, and uncertainty of outcomes

18. Pierrhumbert et al. (2003) Objective: Methods: Findings:
Examine effects of PTSD reactions of parents on sleeping and eating problems of former preterm infants.
Methods:
Perinatal PTSD questionnaire (PPQ, by DeMeir and Hynan et al, 1996) administered to 50 families (mothers and fathers) of former preterm infants and 25 families of full term infants at 18 months post-birth
Findings:
67% of mothers of preemies vs. 6% controls exhibited clinical post-traumatic reactions at 18 mos.
Intensity of those reactions correlated with eating/sleeping problems of infants

19. Holditch-Davis et al. (2003)
Objective:
Investigate post-traumatic stress responses of mothers with premature infants
Methods:
Mixed qualitative-quantitative design w/ semi-structured interview screening for PTS features at enrollment and at 6 months corrected age
30 mothers of high-risk preterm infants
Findings:
All mothers had at least one PTS symptom
12 had two symptoms
16 had three symptoms
Infant illness severity was significantly correlated with PTS symptoms

20. Kersting et al. (2004) Objective: Methods: Findings:
Investigate PTS responses of mothers of premature infants
Methods:
Prospective longitudinal
50 mothers of premature infants assessed with Impact of Events Scale (IES) (Horowitz et al. 1979) at 1-3 days, 14 days, 6 mos. and 14 mos. post-birth vs. 30 mothers of uncomplicated term infant births
Findings:
Higher rates of traumatic symptoms in mothers of preemies at all time points persisting without reduction at 14 mos. (p < .05)

21. Jotzo and Poets (2005) Objective: Methods: Findings:
Investigate effectiveness of a trauma-preventative psychological intervention for parents of premature infants during hospitalization
Methods:
Sequential control-group design
50 mothers of preemies enrolled: 25 in intervention group/25 in control group
Single session crisis intervention w/ psychologist w/ additional support throughout hospitalization when needed
Assessment at discharge w/ Impact of Event Scale (IES)
Findings:
19 mothers in control group showed symptoms of clinical trauma post- birth compared to 9 in the intervention group

22. Shaw et al. (2009)
“The Relationship Between Acute Stress Disorder and Posttraumatic Stress Disorder in the Neonatal Care Unit”

23. “For Parents in NICU, Trauma May Last” By Laurie Tarkan August 25, 2009

24. Shaw et al. (2009) Objective: Methods:
Examine the prevalence of PTSD in parents 4 months after the birth of preterm or sick infants
Examine the relationship between ASD symptoms immediately following birth and PTSD later on
Methods:
18 parents completed completed a self-report assessment of ASD at baseline
Self-report assessment for PTSD and depression completed at 4 months.

25. Shaw et al. (2009)
Findings:
33% of fathers and 9% of mothers met criteria for PTSD
ASD symptoms highly correlated with development of PTSD and depression
Fathers showed a more delayed onset in PTSD symptoms, but were at greater risk by 4 months than mothers

26. Feeley et al. (2011) Objective: Methods: Results:
examine how mothers’ PTSD symptoms affect mother-infant interaction
Methods:
self-report of 21 mothers of very low birthweight (<1500g) infants with (Perinatal PTSD Questionnaire (PPQ)) and Emotional Availability Scales at 6 months post discharge
Results:
24% mothers attained scores c/w PTSD and these higher scores correlated with impaired effectiveness in structuring play with infant

27. Lefkowitz, et al. (2010) Objective: Methods: Findings:
assess the prevalence and correlates of ASD and PTSD in mothers and fathers of NICU infants
Methods:
86 mothers, 41 fathers self-reported ASD symptoms at enrollment and at PTSD +/- PPD via questionnaire at 30 days
Findings:
35% of mothers and 24% of fathers met ASD criteria and 15% of mothers and 8% of fathers met PTSD criteria at 30 days. 39% of mothers met PPD criteria

28. Systematic review - findings
Research on the perspectives of NICU parents is limited
Studies had methodological limitations
Small size, high attrition rates
Single site
Little diversity
Time of assessment
Mothers vs. fathers
Lack of control for illness severity, length of stay, etc.
No clinician-administered assessment tool for PTSD
Intervention studies are particularly lacking
Limited information on effective strategies of support

29. What about fathers?

30. Mackely, et al. (2010) Objective: Methods: Results:
evaluate presence of perceived stress in fathers of preterm infants over time
Methods:
self-report questionnaires (Parent Stressor Scale Infant Hospitalization (PSS:IH)) on DOL 7, 21, and 35 given to 35 fathers of preemies (less than 30 wks)
Results:
elevated stress scores persist over time without diminishing and do not correlate with demographic characteristics (marriage, education, insurance)

31. Future research
Standardized clinical scales along with open-ended interview schedules to obtain pre-post birth data
More long-term follow-up data needed
MORE FATHERS!!! in sampling; more racial diversity
Infant illness severity should be recorded
Attempt to correlate PTS symptoms with depression
Enhances recall bias of events?

32. Fundamental question #3
Given a lack of evidence, what strategies of support/intervention should be offered in the NICU and after discharge?

33. Step one: Recognize the feelings
Terror
Grief
Impotence
Depression
Jealousy
Anger
“Even the most well-adapted appearing couple with an infant in the NICU is undergoing the most stressful crisis of their lives”
Rachael, Social Worker

34. POST- NATAL STRESS INVENTORY DeMeier et al. (1996)
PLEASE CIRCLE "Y" IF YOU HAVE HAD ANY OF THESE EXPERIENCES SINCE
THE BIRTH OF YOUR HIGH- RISK BABY. CIRCLE "Y" ONLY IF THE PARTICULAR
EXPERIENCE LASTED FOR MORE THAN 1 MONTH DURING THIS TIME.
Y N 1. Did you have several bad dreams of giving birth or of your baby's hospital stay?
Y N 2. Did you have several upsetting memories of giving birth or of your baby's hospital stay?
Y N 3. Did you have any sudden feelings as though your baby's birth was happening again?
Y N 4. Did you try to avoid thinking about childbirth or your baby's hospital stay?
Y N 5. Did you avoid doing things which might bring up feelings you had about childbirth or your baby's hospital stay (for example, not watching a TV show about babies)?
Y N 6. Were you unable to remember parts of your baby's hospital stay?
Y N 7. Did you lose interest in doing things you usually do? (For example, did you lose interest in your work or in your family?)
Y N 8. Did you feel alone and removed from other people? (For example, did you feel like no one understood you?)
Y N 9. Did it become more difficult for you to feel tenderness or love with others?
Y N 10. Did you have unusual difficulty falling asleep or staying asleep?
Y N 11. Were you more irritable or angry with others than usual?
Y N 12. Did you have greater difficulties concentrating than before you gave birth?
Y N 13. Did you feel more jumpy? (For example, did you feel more sensitive to noise, or more easily startled?)
Y N 14. Did you feel more guilt about the childbirth than you felt you should have?
Mothers of babies hospitalized in a NICU answer between 6 and 7 of the 14 items "Yes"; mothers of full-term, healthy infants answer 2.5 of the 14 items, "Yes"

35. Step two: Validate
Reassure parents that their emotions are a NORMAL response to severe stress
Mothers and fathers are more alike than different
Be wary of stereotyping
Use communication that focuses on the individual parent’s experience and emotions
Empathy
Encourage verbalization

36. A unique parent perspective
“You are going to be disorganized and upset for months—some of us for years. We feel crazy, and we want to return to normal quickly. But that is the worst thing that we can try to do, because we can’t stop or reverse the natural, healing process of our emotional reactions without doing damage to ourselves. The only things that are normal for high- risk parents are terror, grief, impotence, and anger… And experiencing these lousy emotions are signs that we parents are doing well, not poorly.”

37. A unique perspective
“… the medical staff can do wonderful things to help angry parents, even though I know that angry parents are one of the most troublesome things for you. It is natural for you to want to avoid angry parents, but please stay with us. When we erupt and explode, don’t go away, even though you have pressing obligations. Stay there, nod your heads, and let our anger blow past you like the desert winds. Then, in the next day or two, when you sense that we might be more rational, come back to us and re-establish communications. Go over what we were mad about, and show us that you believe that our feelings are important to you. This is crucial. Many times, trust is the only good feeling a parent has. If that trust ever disappears, then that is the worst crash on the roller coaster for parents.”
Michael Hynan, Ph.D. and parent of ex-preemie

38. Creating a supportive environment
Continuity of care
i.e. primary nurses
Family-centered care practices
Bedside rounding with families
On-site social workers
Parent-to-parent group
Advisor/leader (paid vs. volunteer)
Seamless transition at discharge to home
Engage parents in developmental care early
Encourage parenting competencies
Home nurse visits
Medical Home model
NICU Follow-up clinic

39. Supporting a family: where to refer?
Hospital social worker
Other resources
Pregnancy and Postpartum Support Minnesota (PPSM)
mental health & perinatal practitioners, service organizations, and mother volunteers offering emotional support and treatment to Minnesota families through the perinatal years
Perinatal Mental Health Resource List, 4th Ed.

41. Conclusion
NICU hospitalizations generate stressful experiences for most, if not all, parents
Many will exert signs of acute and post-traumatic stress
Manifestations and likely effects vary among individuals
Future research needed to better understand the nature of ASD and PTSD in NICU parents and how we can best support these families

42. References
Hoditch-Davis, D; Bartlet, TR; Blickman, AL; Shandor Miles, M. (2003). Posttraumatic stress symptoms in mothers of premature infants. JOGNN, 32:
DeMeier, RL; Hynan, MT; Harris, HB; et al. (1996). Perinatal stressors as predictors of symptoms of posttraumatic stress in mothers of infants at high risk. Journal of Perinatology, 16:
Feeley, N; Zelkowitz, P; Cormier, C; Charbonneau, L; Lacroix, A. (2011). Posttraumatic stress among mothers of very low birthweight infants at 6 months after discharge from the neonatal intensive care unit. Applied Nursing Research, 24:
Jutzo, M; Poets, CF. (2005). Helping parents cope with the trauma of premature birth: An evaluation of a trauma-preventive psychological intervention. Pediatrics, 115:
Kersting, A; Dorsch, M; Wesselmann, U, et al. (2004). Maternal posttraumatic stress response after the birth of a very low- birth-weight infant. Journal of Psychosomatic Research, 57:
Lefkowitz, DS; Baxt, C; Evans, JR. (2010). Prevalence and correlates of posttraumatic stress and postpartum depression in parents of infants in the neonatal intensive care unit (NICU). J Clin Psychol Med Settings, 17:
Mackely, AB; Locke RG; Spear, ML; Joseph, R. (2010). Forgotten parent: NICU paternal emotional response. Advances in Neonatal Nursing, 10:
Pierrhumbert, B; Nicole A; Muller-Nix, C; Forcada-Guex, M; Ansermet, F. (2005). Parental post-traumatic reactions after premature birth: Implications for sleeping and eating problems in the infant. Archives of Disease in Childhood and Fetal and Neonatal Education, 88:
Shaw, RJ; Bernard, RS; DeBlois, T; Ikuta, LM; Ginzburg, K; Koopman, C. (2009). The Relationship between acute stress disorder and posttraumatic stress disorder in the neonatal intensive care unit. Psychosomatics, 50:
Wereszczak, J; Shandor Miles, M; Holditch-Davis, D. (1997). Maternal recall of the neonatal intensive care unit. Neonatal Network, 16:33-40.
Yehuda, R. (2002). Clinical relevance of biologic findings in PTSD. Psychiatric Quarterly, 73:23-33.

43. References
With much gratitude to Michael Hynan, Ph.D., University of Wisconsin – Milwaukee for his generous sharing of his insight, personal stories and research as a clinical psychologist and parent of a former NICU patient. (

44. Discussion