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Behavioral Management of Sleep Problems in Infants Under 6 Months - What Works?
Behavioral Management of Sleep Problems in Infants Under 6 Months - What Works?
ABSTRACT: Objective: Crying and unsettled behavior in infancy is common. Prolonged disturbed infant sleep
can have significant negative effects on the development of the child, and on the psychological well-being of
the mother. Compared to studies examining the effects of behavioral sleep programs such as extinction-
based techniques in infants over 6 months of age, fewer studies have looked at such strategies in infants
under 6 months of age. The aim of this article is to summarize the literature examining the effects of be-
havioral techniques on infant sleep outcomes in the first 6 months of life and provide evidence based rec-
ommendations for the management of infant sleep disturbance. Method: An electronic search of the
literature was performed to identify studies which examined the effects of a behavioral intervention aimed at
improving sleep in infants under 6 months of age. Results: Eleven studies were identified, of which 8
demonstrated improvements in infant sleep outcomes subsequent to the implementation of an educational
behavioral program. Conclusion: Education directed to parents about the use of simple, prescriptive, be-
havioral techniques is effective in improving infant sleep. Long term follow-up studies have failed to find any
negative effects on the child, either from a psychological or physical perspective.
(J Dev Behav Pediatr 37:164–171, 2016) Index terms: infant sleep, infant crying, behavioral intervention, sleep disturbance, night waking.
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Copyright Ó 2016 Wolters Kluwer Health, Inc. Unauthorized reproduction of this article is prohibited.
Table 1. Behavioral Intervention Studies in Infants Under 6 Months
166 Behavioral Sleep Management in Infants Under 6 Months
Age of
Country, Infant at
Authors Study Design Setting Baseline n Intervention Key Information Given Relevant Findings
Adair et al51 Prospective USA 4 mo 164 One sleep discussion/education Sleep onset associations, sleep At 9 mo: intervention infants had 36%
cohort (not session with paediatrician diaries, instructed to put infant to less NW per wk compared with
blinded) bed awake controls, controls had twice amount of
frequent NW as intervention infants.
Wolfson RCT (not USA, Hospital Prenatal, 60 4 group education sessions: Sleep physiology, routines, At 6–9 wk: intervention infants had longer
et al42 blinded) newborns prenatal and postbirth; written independent sleep, focal feed*, sleep episodes, fewer waking episodes,
material differentiate night and day fewer feedings than controls; no
difference at 16–20 wk.
Pinilla and RCT (not USA, Own Prenatal, 26 Pre-birth home visit: verbal and Focal feed*, differentiate night and At 3 wk: intervention infants significantly
Birch50 blinded) home newborns written education, weekly day, self-settling, try to avoid longer night sleep. At 8 wk: 100%
home visits post-birth holding, rocking, nursing infant to intervention infants sleeping through
sleep, at 3 wk: stretch night time the night vs 23% of controls.
feeding intervals
Kerr et al49 RCT (not Scotland, 3 mo 169 One home visit: verbal education, Settling methods, routine At 9 mo: Significantly fewer NW and
blinded) Own home booklet settling difficulties in intervention
group than controls: 46% of controls
woke $2 times/night, compared to
23% of intervention babies.
St James- RCT (not UK, hospital, Newborns 610 One home visit: Behavioral Prescriptive program: feed on At 9 wk: 77% babies in behavior group,
Roberts blinded) own home program group: booklet demand, focal feed*, self- compared to 66% controls slept for $5
et al39 outlining prescriptive program, settling, minimal interaction at hr at night. Focal feed not
Journal of Developmental & Behavioral Pediatrics
Education group: written night, differentiate night and day; implemented. Fewer behavioral
advice, not prescriptive, phone from 3 wk increase feeding program parents sought help for
helpline intervals at night crying/sleeping problems between 3
and 9 mo of age.
Symon RCT (not Australia, 2–3 wk 268 One 45-min education sessson Infant sleep patterns, cues of sleep, At 6 and 12 wk: total sleep, day and
et al41 blinded) Hospital with nurse, booklet influence of fatigue, independent night sleep, per 24 hr significantly
sleep skills and self- higher in intervention group than
settling, minimal parent response controls,.
Stremler RCT (not Canada, Newborn 30 One 45-min education session Infant sleep strategies: maternal sleep At 6 wk: intervention infants fewer NW,
et al38 blinded) Postnatal with nurse, booklet, weekly hygiene, relaxation techniques, longest nocturnal sleep period greater
hospital phone contact infant sleep structure and cues, in intervention infants than controls.
unit self-soothing, culturally sensitive.
Smart and Pre-post Australia, 2 wk 27 mo 131 1 hr consultation with Infant sleep patterns, self-settling, use At 3 wk post-intervention: significantly
Hiscock37 intervention Pediatric paediatrician of behavior diaries, advice fewer parents reported presence of
(not blinded) outpatient regarding maximising social primary problem; parental depression
clinic support, written management plan scores significantly decreased; infant
temperament less difficult post-
intervention; sleep quality improved
for mothers.
(Table continues)
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measures, according to the year in which the study was
maternal depression.
Infants Under 6 Months of Age
Age of Infant, Timing and Duration of
Intervention Delivery
Two studies commenced prenatally,42,50 5 studies
groups.
centers 4 wk 781 At 4 wk: booklet, DVD at 6–8 wk: Infant sleep and cry patterns,
parenting
postnatal
hospital
Canada, 2
centres
Australia,
center
child
units
allocation at
intervention
RCT (blinded)
RCT (blind to
group
et al47
et al40
et al48
Stremler
Hauck
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Copyright Ó 2016 Wolters Kluwer Health, Inc. Unauthorized reproduction of this article is prohibited.
to usual care.48 Whilst similar information was given (i.e., reported in 2 studies,37,52 as well as improvements in
infant sleep patterns, independent settling techniques, maternal sleep.37 These 2 studies used education to in-
medical causes of crying, bedtime routines), the advice form parents about self-settling techniques and routines,
was not as prescriptive as the aforementioned with the aim of reducing parental contact. Two studies
studies.39,41 showed no differences in maternal depressive symptoms
The 2 studies which commenced with infants aged 3 between intervention and control groups (usual com-
to 4 months both utilized just one education session, munity care), where the intervention consisted of gen-
assessed sleep outcomes at 9 months of age, and repor- eral sleep education.38,47
ted consistent findings: significantly less night waking in
intervention infants (up to 36%51) compared to Summary of What Works
controls.49,51 Firstly, it is apparent that success is reliant upon the
The final study by Hauck et al47 differed from the information given. Seven studies that used a behavioral
other reviewed studies in a number of ways. Infants intervention demonstrated significant improvements in
were older (4–6 months), parents were seeking help for infant sleep.37,39,41,42,49–51 All provided infant sleep ed-
an identified sleep problem, and the treatment consisted ucation to parents in order to encourage self-settling,
of a “Day Stay.” The Day Stay involves the caregiver and teach independent sleep cues, and to minimize paren-
child attending the parenting center for a 6-hour visit tal contact during the night. No differences in night
with the provision of one-on-one assistance.47 The key awakenings or time to settle at night were observed
information provided was similar: sleep cycles and following a “Day Stay” intervention which encouraged
ranges, understanding cries, the use of routines, the frequent responding to crying.47 Interventions with
sleep environment, and settling techniques. However it a greater focus on maternal behaviors showed in-
differed in that parents were advised to respond to all consistent effects.38,40
infant crying. At 1-month follow-up, there were no dif- The time spent with parents does not appear to be
ferences in night awakenings, time to settle at night, necessarily indicative of the success of the program. The
maternal depression or anxiety between the intervention longest treatment (one 6-hour session), advocating fre-
group and usual care control group. The only differences quent responding, did not result in improved infant
observed were higher perceptions of confidence and sleep,47 whilst multiple studies utilizing just a single 45 to
competence, and less use of active physical comforting 60 minutes consult demonstrated significant improve-
and settling techniques in the intervention group than in ments in infant sleep.37,39,41,49,51 These successful stud-
the control group.47 ies involved infants from newborn to several months of
Type of Recommendations Given age, reinforcing that there is not necessarily a “critical
The active preventive intervention in each study was age window” in which such strategies may be most ef-
the provision of education to parents, typically provided fective. Preventive recommendations given as early as
by a nurse or paediatrician (in individual or group set- the prenatal period and continuing into the newborn
tings) and then reinforced with written material. The period have also been successful, delivered in both
studies fell into 1 of 3 groups in terms of the type of group settings or individually.42,50
recommendations given to parents.
DISCUSSION
1. Focus on self-settling: information is provided on
The findings of these studies provide evidence that
normal sleep patterns in infants, self-settling techni-
active preventive intervention improves sleep in the
ques, sleep cues and use of bedtime routines. The
early months of life. For babies in the first few months of
strategies revolve around parents minimising
life without an established sleep problem, the provision
contact and responding during the night to teach
of education about infant sleep patterns, routines, and
self-settling and independent sleep achieve-
parental behavior to facilitate self-settling has demon-
ment.37,39,41,42,48–51 These studies often also recom-
strated effectiveness. It would appear that the more
mended a focal feed.39,42,50
prescriptive or direct the advice given with regard to
2. Focus on consistent responding: the major empa-
placing the baby down awake and minimizing respond-
hasis is placed on responding to all crying.47
ing, the greater the success of the strategy. In slightly
3. Maternal focus: where the strategies are centered
older infants with an established sleep problem, similar
on behaviors for the mother, such as maternal sleep
succinct and prescriptive techniques have proven ben-
hygiene, relaxation techniques, and optimizing par-
efit. This is consistent with many studies in the literature
ent support.38,40
demonstrating the effectiveness of active extinction
Secondary Outcomes to Infant Sleep techniques in children over 6 months of age.14,15,53–56
In terms of maternal outcomes, behavioral inter- Studies giving less prescriptive advice, or detailed in-
ventions targeting improving infant sleep also had a pos- formation on multiple topics rather than focussing on
itive effect on maternal health in a number of studies. just a few strategies, may not be effective.38,48 Our
Significant reductions in depressive symptoms were search failed to find a study that demonstrated any
168 Behavioral Sleep Management in Infants Under 6 Months Journal of Developmental & Behavioral Pediatrics
Copyright Ó 2016 Wolters Kluwer Health, Inc. Unauthorized reproduction of this article is prohibited.
improvement in infant sleep as a result of repeated children in the intervention group had a sleep problem
responding. (27%) than in the control group (33%),59 and in-
The provision of education to parents, either in verbal tervention mothers had fewer depressive symptoms.
and/or written form, and given either individually or in Longer term follow-ups of the Infant Sleep Study have
a group setting formed the basis for all active preventive also shown that infants who received behavioral inter-
interventions. The key information given to parents was ventions during the first year of life do not have impaired
to ensure the baby is placed in the cot awake to self- child-parent relationships, experience more child-parent
settle, to keep parental interaction within a block of conflict, have emotional or conduct problems, have im-
sleep to a minimum, to include a “focal feed” to help paired psychosocial functioning or stress in later child-
increase feeding intervals at night, and to differentiate hood (up to 6 years of age).31,60
between day and night. Despite evidence for significant benefit from pre-
There is no clear evidence that extinction-based scriptive behavioral approaches, there are a number of
techniques in infants under 6 months of age cause any reasons why parents may not be comfortable or willing
harm psychologically or physically. Raised blood cortisol to implement such strategies. These could include the
levels in response to stress (prolonged crying), is one intervention impacting upon a family’s cultural practices
reason cited by those opposed to extinction strategies.57 (e.g., a desire to co-sleep), potential conflict between 2
Cortisol is a steroid hormone which is released from the parents if one can implement and the other cannot, or
adrenal gland in response to stress or low blood glucose. conflict within the larger family, if grandparents or other
This is no clear evidence regarding the short- or long- relatives are not supportive of using such techniques.
term effects (positive, negative or neutral) of raised Infant sickness or other factors may also adversely im-
cortisol levels during infancy. This unsubstantiated “fear” pact upon adherence despite parents’ interest in trying
may be preventing some parents from trying behavioral such strategies. Other parents or caregivers may not be
techniques. None of the included studies measured or aware of these strategies and of their potential benefit.
reported on cortisol levels, or specifically at infant stress These points must be considered in a clinical setting.
at the time of the intervention. Two studies examined
infant temperament. Pinilla and Birch50 found that con- Future Research
trol parents rated their infants as less predictable, com- None of the studies in the present review measured or
pared with parents in the treatment group. Similarly, reported on parental comfort with regard to the imple-
Smart and Hiscock37 found that parents reported infant mentation of the intervention. Beneficial information
temperament to be less difficult 3 weeks following their would be obtained from future studies that included
behavioral sleep intervention. a measure of how comfortable or willing parents were in
In terms of longer term sleep outcomes, it has been implementing specific behavioral strategies. Other im-
suggested that night waking may commence later in in- portant issues that should be considered in future re-
fancy. For example, Scher58 examined the sleep patterns search include examining the short and long-term effects
of 34 healthy infants and found that sleep was unstable at of raised cortisol, exploring barriers to parents’ willing-
12 months and disruption at this age was unrelated to ness, and including longer term follow-ups of infants into
whether or not the infant woke frequently prior to this childhood and early adolescence.
time. While the majority of reviewed studies assessed
sleep outcomes within 12 weeks of the intervention CONCLUSIONS
delivery, 2 included studies both reported outcomes at 9 The negative consequences of sleep deprivation on
months.49,51 Both studies used one education session to infant and mother have been clearly established.2,8,10
deliver messages around settling and sleep associations at The findings from studies which have employed active
infant age 3 to 4 months, and both reported significantly interventions in infants under 6 months are consistent.
less night waking in the intervention babies than in the Education on preventative behavioral techniques is ef-
control babies at infant age 9 months.49,51 A number of fective in improving infant sleep. Providing education
follow-up studies have been conducted in the Infant about these techniques to parents in the community is
Sleep Study,7 which originally recruited infants at 7 to 8 recommended. Current evidence suggests that the most
months of age with a parent reported sleep problem, and effective programs are prescriptive, concise and clear.
used modified extinction strategies as the primary in- These conclusions may help to guide both future clinical
tervention (“controlled crying” and “camping out” research and practice.
techniques). “Controlled crying” refers to parents
responding to their infant’s crying at increasing time
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