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The Relationship of Prenatal and Perinatal

Complications to Cognitive Functioning at Age 7 in


the New England Cohorts of the National
Collaborative Perinatal Project

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by Larry J. Seidman, Stephen L. Buka, Jill M. Qoldstein, Nicholas J. Horton,
Ronald O. Rieder, and Ming T. Tsuang

Abstract factors include family history of illness (Tsuang and


Faraone 1996); PPCs or OCs (Geddes and Lawrie 1995);
Previous literature shows that children who later poor childhood social or school adjustment (Watt 1978;
develop schizophrenia have elevated rates of prenatal Marcus et al. 1987); and cognitive and neuromotor capaci-
and perinatal complications (PPCs) and neuropsycho- ties in childhood, particularly attentional dysregulation
logical deficits in childhood. However, little is known (Cornblatt and Keilp 1994) and motor incoordination (Fish
about the relationship of these risk factors to each et al. 1992). Each of these factors has been found to be
other. We evaluated the relationship between PPCs associated with subsequent illness. However, little is
and neuropsychological functioning at age 7 in a large known about the relationship of these risk factors to each
epidemiological study of pregnancy, birth, and devel- other and whether these reflect common or distinct etio-
opment: the National Collaborative Perinatal Project logic pathways (Tsuang and Faraone 1995).
(NCPP). Thirteen standardized measures of cognitive A consistent body of literature shows that offspring of
abilities were acquired on 11,889 children at approxi- parents with schizophrenia ("high-risk" study design) have a
mately age 7. Principal components analysis was used syndrome of neuropsychological abnormalities and social
to create three neuropsychological measures: academic impairments that is predictive of subsequent psychosis (Fish
achievement skills, verbal-conceptual abilities, and et al. 1992). A number of these studies report attentional dys-
perceptual-motor abilities. We measured the relation- function in offspring of parents with schizophrenia compared
ship between these factors and three measures of to offspring from unaffected families (Nuechterlein 1983;
PPCs: low birth weight (LBW), probable hypoxic- Erienmeyer-Kimling and Comblatt 1992). Deficits have been
ischemic complications, and chronic hypoxia. All three reported in tests of concept formation and object sorting and
measures of PPCs were significantly associated with on the similarities subtest of the Wechsler Intelligence Scale
lower neuropsychological performance, after control- for Children (Wechsler 1949), suggesting disturbances in
ling for various confounders. LBW had the strongest abstract reasoning. Low childhood intelligence quotient (IQ)
association with neuropsychological performance, fol- and other measures of general intellectual ability (such as IQ
lowed by an index of presumed hypoxic insults. The decline) were also predictors of psychosis (Kremen et al.
effect sizes between PPCs and cognitive factors at age 1998) and schizophrenia, in high-risk and followup studies
7 were consistently largest with perceptual-motor abil- (Lane and Albee 1964; Rieder et al. 1977; Aylward et al.
ities, followed by academic achievement skills and ver- 1984; Jones et al. 1994; Crow et al. 1995; Russell et al.
bal-conceptual abilities. Future studies will evaluate 1997). Neuromotor deficits and soft neurologic signs have
the effects of specific PPCs and genetic risk factors for been found consistently in children at high risk for schizo-
psychosis on cognitive functioning in childhood. phrenia (Orvaschel et al. 1979; Lifshitz et al. 1985; Marcus
Keywords: Obstetric complications, cognition, et al. 1987; Auerbach et al. 1993). However, these childhood
hypoxia, low birth weight neuropsychological abnormalities have yet to be linked to
Schizophrenia Bulletin, 26(2):309-321,2000. PPCs because existing studies typically have not evaluated
both types of precursors to schizophrenia.
Epidemiological studies have identified a number of
Progress in understanding the etiology of schizophrenia
has been slow, but one fruitful strategy has been to exam-
Reprint requests should be sent to Prof. LJ. Seidman, Massachusetts
ine the developmental precursors and risk factors of the ill- Mental Health Center, Neuropsychology Laboratory, 74 Fenwood RA,
ness (Buka et al. 1999). Some of the most established risk Boston, MA 02115; e-mail: larry_seidman@hmsJiarvard.edu.

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Schizophrenia Bulletin, Vol. 26, No. 2, 2000 L J. Seidman et al.

biological-environmental factors associated with increased cally relevant variables because hypoxia or more acute
risk of schizophrenia. These factors are mainly associated instances of anoxia have a particularly pernicious effect
with the pregnancy period or the birth process itself and are on the hippocampus (Hedner 1978) and basal ganglia
usually called OCs (McNeil 1991). In fact, schizophrenia is (Lou 1996), two of the brain structures considered to be
considered to have the strongest association with OCs of all abnormal in schizophrenia (Shenton et al. 1997). Thus,
adult onset psychiatric disorders (Jablensky 1995). The conditions that adversely affect the fetal blood supply of
obstetric risk factors most consistently observed in the pre- oxygen—either of prolonged duration (chronic fetal
histories of people who later develop schizophrenia are hypoxia) or severe acute episodes—constitute subsets of
labor and delivery abnormalities (Verdoux et al. 1997), win- PPCs that may be of particular developmental importance

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ter birth (Torrey et al. 1997), prematurity (Hultman et al. to schizophrenia (Buka et al. 1993). In this study we
1997), and conditions associated with hypoxia (McNeil investigate three measures of PPCs in relation to cognitive
1991; Buka et al. 1993; Dalman et al. 1999). Famine during functioning at age 7: LBW, probable hypoxic-ischemic
pregnancy, implicating nutritional factors, has recently been complications, and chronic hypoxia.
reported (Susser et al. 1996). Schizophrenia has also been
linked to exposure to infectious agents during the perinatal
period and in early infancy (Mednick et al. 1994; Yolken PPCs and Childhood
and Torrey 1995). These data suggest that adverse events of
pregnancy, birth, and the early infancy period may alter
Neuropsychological Deficits
brain development, resulting in a vulnerable brain that is
more likely to develop schizophrenia in adolescence or LBW. LBW is considered to be a marker for newboms at
adulthood. This vulnerability is hypothesized to be high risk for later neurological, psychiatric, and neuropsy-
increased in persons who are genetically susceptible to the chological problems because it is a likely indicator of
illness, which is inferred from the presence of a family his- fetal growth problems and has been associated with pre-
tory of illness in first-degree relatives (Tsuang and Faraone natal risk factors, intrapartum complications, and neonatal
19%). disease (Breslau 1995). LBW is a particularly attractive
As noted by Zornberg et al. (2000), the inconsistency marker because, compared with other neonatal measures
in reports about whether there is an association between such as gestational age, it has the advantage of routine
PPCs and schizophrenia may be due to various method- and accurate measurement. LBW has been suggested to
ological differences. One possible problem is that most be associated with a variety of cognitive difficulties and
definitions of PPCs reflect only indirect measures of psychiatric outcomes in children (Buka et al. 1992),
insults to the brain. Moreover, PPCs are heterogeneous in including the diagnosis of schizophrenia in adults (Rifkin
their etiology. While they may represent a "family" of et al. 1994), although the results are not consistent for this
abnormalities, the specific nature of different PPCs may association (cf. McNeil 1995).
be of considerable relevance to the onset of diseases like There is a substantial literature on IQ and LBW (cf.
schizophrenia (Zornberg et al. 2000). This suggests that it Breslau 1995), much of it focusing on very low birth
may be valuable to evaluate the independent and simulta- weight. In all 10 studies reviewed by Breslau (1995),
neous effect of a number of PPCs corresponding to differ- LBW children between the ages of 6 and 14, compared
ent events or conditions of pregnancy. with normal birth weight children, had lower mean IQ
A number of PPCs are candidates for study in rela- scores, after controlling for social class and demographic
tionship to schizophrenia or to precursors of schizophre- indexes (e.g., age, sex, race, mother's education, socioe-
nia, such as cognitive and neuromotor deficits in child- conomic class). These samples ranged from small (n = 28)
hood. Given the range of possible PPCs, the selection of to moderately large (n = 591). Among a number of perina-
particular variables should be based on a number of char- tal factors studied in relationship to IQ at age 7 in a large
acteristics that would make them biologically plausible subsample (n = 6,582) of the Boston cohort of the NCPP,
and methodologically feasible to investigate as risk fac- Rieder et al. (1977) reported that the strongest correlation
tors for schizophrenia. Among the general requirements was with LBW (r = 0.12). Rifkin et al. (1994) showed that
are whether the PPCs occur frequently enough, whether LBW was associated with cognitive dysfunction in
they can be measured adequately, and whether they have a patients with schizophrenia.
plausible etiological impact on the brain abnormalities The question of whether LBW is associated with gen-
commonly found in schizophrenia. LBW clearly meets eralized or specific cognitive deficits is not completely
the first two criteria, and fetal hypoxia is relevant to the resolved. However, increasing research indicates that
latter criterion. For example, events of pregnancy or birth LBW is associated with roughly equal effect sizes on both
and delivery that cause hypoxia are considered biologi- verbal and performance IQ (Klein et al. 1989; Breslau et

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Prenatal/Perinatal Complications and Cognitive Functioning Schizophrenia Bulletin, Vol. 26, No. 2, 2000

al. 1994; cf. Breslau 1995). Breslau et al. (19%) demon- were no significant associations of IQ with labor, delivery,
strated that LBW children scored lower on tests measur- or neonatal variables, or with early pregnancy events that
ing various aspects of language (syntax, semantics, can produce acute fetal hypoxia. On the other hand, they
phonology) and spatial, fine motor, tactile, and attention found that antenatal disorders and conditions that can pro-
abilities. Moreover, a linear trend (a gradient relationship) duce subacute or chronic fetal hypoxia correlated with
between birth weight and cognitive functioning has been low IQ scores. These conditions and disorders included
observed, with IQ (Breslau et al. 1994; Hack et al. 1994) maternal gestational anemia, hypotension, hypertension,
and other neuropsychological measures (Breslau et al. multiple births, and fetal growth retardation.
1996). While the current literature is not conclusive, Zornberg et al. (2000) have argued that PPCs associ-

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results seem to favor the proposition that there is a ated with fetal hypoxia are heterogeneous in etiology, and
roughly uniform association between LBW and a range of some are only indirectly related to fetal brain develop-
cognitive abilities. ment, such as maternal hypertension (Buka et al. 1993).
They suggest that measures of fetal and neonatal compli-
Hypoxic Conditions. A number of investigators have cations linked more explicitly to neurological abnormali-
hypothesized that a set of perinatal conditions indicating ties of mild to moderate severity, and which have been
prolonged or acute oxygen deprivation (hypoxia) to the associated clinically with hypoxic-ischemic encephalopa-
fetus would be a significant risk factor for adult psychosis thy in full-term infants, may represent a more homoge-
(cf. Buka et al. 1993) or other neuropsychological or neu- neous set of conditions of particular relevance to the etiol-
ropsychiatric disturbances (Naeye and Peters 1987; Msall ogy of schizophrenia. They tested this hypothesis by
et al. 1998). It is important to emphasize that no single examining the strength of association of various indexes
measure (e.g., Apgar scores) is sufficient to diagnose of fetal and neonatal complications with adult psychoses
hypoxia. Pediatricians have demonstrated that a variety of in a sample of 693 subjects from the Providence cohort of
prenatal and perinatal events can cause hypoxic-ischemic the NCPP. Schizophrenia and other nonaffective psy-
damage to the neonate (Msall et al. 1998). The outcomes choses were most strongly associated with a theoretically
of these conditions can range from absence of abnormal derived measure of probable hypoxic-ischemic complica-
neurological features or evidence of brain injury to signif- tions, defined later (Zornberg et al. 2000).
icant neurological disease such as cerebral palsy or severe In sum, there is evidence that LBW, both subacute or
mental retardation, or death (Robertson and Finer 1993). chronic hypoxia, and complications associated with prob-
Hypoxic-ischemic damage to the neonate can result able hypoxic-ischemic encephalopathy can have signifi-
in germinal matrix hemorrhage, a complication of prema- cant consequences for childhood behavior and cognitive
turity that is periventricular in location and, when severe, problems, including the later development of schizophre-
can extend into the lateral ventricle. The relevance to nia. In this study, we evaluated the relationship of two risk
schizophrenia is twofold. First, children with these abnor- factors for schizophrenia—PPCs and cognitive function-
malities show persistent ventricular enlargement, behav- ing at age 7—derived from the NCPP, a large epidemio-
ioral deviations, and neuropsychological deficits, as well logical study of pregnancy, birth, and development. We
as soft neurological signs—common characteristics of assessed three measures of PPCs in relation to cognitive
children at risk for schizophrenia or features identified in functioning at age 7: LBW, presumed hypoxic insults, and
adults with schizophrenia (Murray and Harvey 1989). conditions reflecting possible chronic hypoxia. In addi-
Second, Murray and Harvey (1989) report that three tion, to determine whether the consequences on cognition
regions of the brain are especially linked to perinatal dam- were relatively selective or widespread, rather than focus-
age (i.e., the basal ganglia, the hippocampus, and the lat- ing solely on IQ we studied a wide range of 13 measures.
This investigation was designed as a prelude to analyses
eral ventricles), and these three regions are frequently
of the relationship between PPCs and family history of
shown to be different in samples of patients with schizo-
psychosis and cognitive functioning at age 7.
phrenia than in controls in neuroimaging and autopsy
studies (Shenton et al. 1997).
Naeye and Peters (1987) analyzed prospectively col-
lected pregnancy and perinatal data, as well as cognitive Methods
data collected at age 7, from 19,117 children participating
in the NCPP to determine if fetal, intrapartum, and neona-
tal hypoxia were associated with low IQ values. Study Design and Baseline Data Collection. The NCPP
Consistent with other studies, they found that socioeco- was initiated 40 years ago to investigate prospectively the
nomic status (SES) strongly correlated with IQ. When prenatal and familial antecedents of pediatric, neurological,
controlling for SES and other demographic factors, there and psychological disorders of childhood. Twelve univer-

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Schizophrenia Bulletin, Vol. 26, No. 2, 2000 L.J. Seidman et al.

sity-affiliated medical centers participated in this national obtained from the mother at intake and the 7th year. Study
study, including two in New England (Harvard Medical physicians prepared diagnostic summaries following the
School and Brown University). The NCPP entailed a single- 1st and 7th year.
study design involving the systematic collection of data In the New England cohort, standardized measures of
through the prospective observation and examination of cognitive abilities were acquired on 11,889 children at
over 50,000 pregnancies through the first 7 years of life. approximately age 7. Of those assessed, 98.1 percent were
Obstetrical intake occurred between January 2, 1959, and tested between 6.75 and 8 years of age. A few children
December 31, 1965. Cases were selected on the basis of a were tested when they were as young as age 6 or as old as
sampling frame defined for each study center (Broman et al. 11. In many cases, the sample included multiple children

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1985). Women in the study were representative of the from the same family: 2 siblings, n = 1,740; 3 siblings, n
patients receiving prenatal care in each participating center. - 455; 4 siblings, n = 83; 5 or 6 siblings, n = 10. The sex
At the conclusion of the study, a total of 55,908 births had of the children was approximately equal (51.1% males,
been recorded nationally, approximately 17,000 of which 48.9% females).
occurred in Boston and Providence (the New England
cohorts). In the total population, followup rates for survivors Cognitive and Academic Achievement Measures at
were 88 percent at 1 year of age, 75 percent at 4 years, and Age 7. The 7-year assessment included a battery of 13
79 percent at 7 years. Major findings from the NCPP have psychological tasks relevant to the study of cognition
been summarized by Niswander and Gordon (1972), (table 1). Those included in our analyses are seven sub-
Broman et al. (1975), Nichols and Chen (1981), and tests of the Wechsler Intelligence Scale for Children
Broman etal. (1985). (WISC; Wechsler 1949); three tests from the Wide Range
Trained staff at each site recorded data from exami- Achievement Test (WRAT; Jastak and Jastak 1965); the
nations and interviews beginning at the time of registra- Bender Gestalt Test for Young Children (Koppitz 1964);
tion for prenatal care, using standardized protocols, forms, the auditory-vocal association test from the Illinois Test of
manuals, and codes. At the time of the first prenatal visit, Psycholinguistic Abilities (ITPA; Kirk et al. 1968); and
a complete reproductive and gynecological history, a the tactile finger recognition test (TFRT; Reitan 1964)
recent and past medical history, a socioeconomic inter- from the Reitan-Indiana Neuropsychological Battery. All
view, and a family history were recorded. An SES index, variables had adequate ranges and approximately normal
adapted from the Bureau of the Census and derived from distributions, with the exception of the TFRT. All vari-
the education and occupation of the head of household ables were scored in the same direction (higher is better)
along with household income (Myrianthopolous and with the exception of the Bender Gestalt, where a higher
French 1968), was assigned to each pregnancy. Prenatal score meant more errors. As throughout the NCPP, data
clinic visits were scheduled every month during the first 7 quality for these measures was enhanced through system-
months of pregnancy, every 2 weeks during the 8th atic training, monitoring, and data-checking procedures.
month, and every week thereafter. An interval prenatal We have conducted analyses demonstrating the psy-
history was recorded at each prenatal visit, along with chometric properties of the cognitive measures used at
results of pertinent laboratory tests and physical exams. age 7. We compared published normative data with the
After the mother's admission for delivery, trained results for the Boston and Providence cohorts. The sample
observers recorded the events of labor and delivery, and has somewhat lower mean scores for the WISC (mean
the obstetrician in charge completed a summary of labor full-scale IQ - 95.3, standard deviation [SD] = 14.1) and
and delivery protocols. The neonate was observed in the the WRAT (mean reading standard score = 99.0, SD =
delivery room and examined by a pediatrician at 24-hour 15.6, range 45—165) than the normative sample, but val-
intervals in the newborn nursery. A neurological examina- ues are consistent with expectations because of the ethnic
tion was performed at 2 days of age. Nurses' observations composition and lower SES of the sampling frame. The
and laboratory test results were recorded, and a study intercorrelations between the WISC verbal and perfor-
physician completed a diagnostic summary of the nursery mance scales are essentially identical to those from the
period. sample on which the measure was developed (Wechsler
After the neonatal stage, the child was scheduled for 1949), as are the intercorrelations among the WRAT sub-
at least five subsequent assessments at ages 4 months, 8 tests (Jastak and Jastak 1965). Finally, 3-month test and
months, 12 months, 4 years, and 7 years. Psychological retest results for full-scale IQ with the Providence cohort
examinations were conducted at 8 months, 4 years, and 7 are identical to published data for a separate community
years of age. In this article, we are addressing neuropsy- sample of youth ages 5-14 (Pearson correlation coeffi-
chological data collected at the final standardized data cient = 0.82) and superior for the stability of WRAT read-
point, at age 7. Family and social history information was ing and spelling (0.91 and 0.84, respectively) (Brown et

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Prenatal/Perinatal Complications and Cognitive Functioning Schizophrenia Bulletin, Vol. 26, No. 2, 2000

Table 1. Neuropsychologlcal battery of tests given at age 7


Teal Description
WISC verbal tests
Vocabulary A measure of fund of knowledge as reflected in word definitions (scale score)
Information A sample of acquired knowledge gained through education (scale score)
Comprehension A measure of verbal knowledge of social mores, judgment, and reasoning
(scale score)

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Digit span A measure of short-term verbal memory, including working memory (scale
score)
WISC performance tests
Picture arrangement A measure of the ability to interpret and reorder out-of-sequence cartoons
(scale score)
Block design A measure of visual-constructional ability (scale score)
Digit symbol/coding A measure of psychomotor processing (scale score)

WRAT tests
Reading A measure of single word 6ral reading (raw score)
Spelling A measure of written spelling (raw score)
Arithmetic A measure of written calculations and number knowledge (raw score)
ITPA auditory-vocal association test A measure of analogical reasoning using an oral sentence completion tech-
nique (raw score)
Bender Gestalt Test for Young A measure of visual-motor integration, copying figures with a pencil, using the
Children Koppitz scoring system (total score: distortions, rotations, integrations, per-
severations)
Tactile finger recognition test1 A measure of tactile perception (total number of fingers recognized)
Note.—ITPA - Illinois Test of Psycholinguists Abilities; WISC . Wechsler Intelligence Scale for Children; WRAT - Wide Range
Achievement Test
1
From the Reitan-lndiana Neuropsychological Battery.

al. 1989). These analyses indicate that the administration 2. Postterm birth with preeclampsia.
and results of cognitive assessments in the New England B. Neonatal neurological abnormalities in full-term baby
NCPP cohorts are consistent with, and as reliable and without seizures.
valid as, other published normative samples. 3. Hyperactivity (suspected or definite).
4. Hypotonia (suspected or definite).
PPCs. We used three variables as measures of PPCs:
LBW (weight less than 2,500 grams at birth), probable The following operational definitions were used:
hypoxic-ischemic complication (HI-P; see below), and
chronic hypoxia (see below). • SGA: lowest 10th percentile of birth weight for each
We classified participants as demonstrating HI-P week of gestational age.
according to signs of abnormal fetal and neonatal devel- • Postterm birth: 42 or more weeks of gestational age.
opment obtained during a neonatal neurological examina- •Preeclampsia: clinical rating of mild to severe
tion and/or based on the presence of a pattern of condi- preeclampsia, based on blood pressure readings, protein-
tions suggesting compromise to intrauterine growth and uria, and edema.
development. Participants were coded as evidencing HI-P • Meconium staining and uterine bleeding (during any
if they were bom at 37 weeks or more of gestation and trimester): clinical rating based on obstetrician report
met at least one of the following four criteria, which can • Hyperactivity and hypotonia: clinical rating based on
be grouped under two categories, A and B: pediatric neurological examination at birth.

A. Patterns of disordered growth and development dur- This classification approach is a minor modification of
ing a pregnancy with complications. recent work by our group (Zomberg et al. 2000).
1. Small for gestational age (SGA), with preeclampsia, Possible chronic hypoxia was defined as it was in
meconium staining of the amniotic fluid, or uterine previous analyses from the NCPP (Naeye and Peters
bleeding. 1987) and our previous work (Buka et al. 1993, 1998).

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Schizophrenia Bulletin, Vol. 26, No. 2, 2000 L J. Seidman et al.

Subjects were coded as positive for presumed chronic Results


fetal hypoxia if prenatal records indicated one or more of
the following: (1) mild to severe preeclampsia (see Principal Components Analysis of Cognitive Variables.
above), (2) maternal hypertension (i.e., diastolic blood We determined that a three-factor solution wiui a varimax
pressure during pregnancy of 95 mm Hg or greater), (3) rotation provided considerable variable reduction with a
maternal hypotension (i.e., diastolic blood pressure during reasonable conceptual interpretation, although we also
pregnancy of less than 60 mm Hg), or (4) gestational dia- applied our regression model to all 13 individual mea-
betes (based on insulin therapy, insulin reaction, or blood sures. One of the subtests (WISC block design) loaded
sugar 200 mg or greater during pregnancy). very similarly on factors 2 (verbal-conceptual abilities)

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and 3 (perceptual-motor abilities). We chose to include
Data Analysis. We performed principal component analy- that subtest as a variable in factor 3 because it appeared to
sis with varimax rotation in SAS PROC FACTOR (SAS be conceptually closer to other variables on that factor.
Institute 1997) using the 13 cognitive variables to create Table 2 provides the factor loadings, along with our labels
our age 7 outcome variables. The scree plot and eigenval- for these factors. We repeated the factor analysis, partial-
ues very close to or above 1 were used to determine the ing out age at assessment, as well as excluding subjects
final factor solution. We also report the relationship of with full-scale IQ less than 70, but the resulting factor
PPCs to me 13 test scores that compose the factor analysis. structure was very similar.
In evaluating the relationship of PPCs to the cognitive fac- New cognitive variables were constructed by sum-
tors, we controlled for possible confounders of the rela- ming each of the z-scored (normalized) individual mea-
tionship between PPCs and cognitive measures, including sures with factor loadings that exceeded 0.45 in absolute
SES, race (Caucasian vs. non-Caucasian), mother's age at magnitude with weight equal to 1. For the Bender Gestalt
birth, age of child at assessment, and NCPP site test, the negative of the score was used. These new factors
(Providence vs. Boston). These variables were selected were normalized so that they had a mean of 0 and a vari-
because they have been found to be associated with cogni- ance of 1. The new cognitive factors showed a moderately
tive measures in other studies and frequently used as high degree of intercorrelation: factor 1 (academic
covariates in analyses of PPCs in relationship to cognitive achievement skills) and factor 2 (verbal-conceptual abili-
outcome measures. The relationship of PPCs and age 7 ties), r = 0.648; factor 1 and factor 3 (perceptual-motor
cognitive measures was assessed using the general linear abilities), r = 0.571; factor 2 and factor 3, r = 0.545. As
mixed model (Cnaan et al. 1997). We performed a series of expected, the correlations between observations on sib-
linear regression models using SAS PROC MIXED (SAS lings within a given family were moderate (r = 0.34 for
Institute 1997) adjusting for the correlation of observations factor 1; r = 0.42 for factor 2; r = 0.27 for factor 3). For
from siblings nested within a family. We specified a com- the TFRT, we also fit regression models where the out-
pound symmetry (exchangeable) covariance structure, come was dichotomized, so that a score of 9 or higher was
which assumes that measurements on any two siblings considered to be normal, and a score of 8 or less was
within a given family have the same covariance (i.e., are abnormal. These results were consistent with those where
interchangeable). All pairwise interactions between the the outcome was continuous. The results from the contin-
potential confounders and main effects for PPCs were uous outcome are reported.
included in all of these regression models.
We performed separate analyses for each of the PPCs. The relationship of PPCs to each other was tested
derived factors. For each factor, we fit five models: one to determine their agreement in the full study sample. We
with no PPC, one with just LBW, one with just HI-P, one calculated the co-occurrence (kappa coefficient) of the
with just chronic hypoxia, and one with all three main three indicators of PPCs. We found that the co-occurrence
effect terms for PPCs. We also calculated approximate was relatively low: HI-P and chronic hypoxia, 0.13; HI-P
measures of how much variance is accounted for by the and LBW, 0.12; chronic hypoxia and LBW, 0.01. The
model (pseudo-^? squared, ignoring the correlation prevalence of the PPCs in the sample was HI-P, 10.2 per-
between the siblings) to qualitatively assess how much cent; chronic hypoxia, 12.7 percent; and LBW, 8.2 percent
additional information is accounted for by each measure
of PPC independently and together. To assess the sensitiv- Relationship Between PPCs and Cognition. All three
ity of our results to certain influential subjects, the regres- measures of PPCs are significantly associated with
sion models were refit having excluded 12 subjects with lower cognitive performance for each of the three fac-
large residuals and/or high influence (measured using tors, after controlling for the various confounders. The
Cook's distance). The results remained very similar, so all results were similar in the Providence and Boston sites.
subjects were included in the final models. Table 3 displays the results for the models for the fac-

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PrenataiyPerinatal Complications and Cognitive Functioning Schizophrenia Bulletin, Vol. 26, No. 2, 2000

tors, with one PPC in the model and when all PPCs Discussion
were controlled simultaneously. Table 4 displays the
results for the 13 individual test scores when all PPCs
were controlled simultaneously. Because the PPCs were In this study, we evaluated the relationship between two
dichotomous and because the outcomes were standard- classes of risk factors for schizophrenia—PPCs and neu-
ized to have a mean of 0 and variance of 1, the beta ropsychological functioning at age 7—in a large, prospec-
coefficients in tables 3 and 4 can be interpreted as the tive, longitudinal study of pregnancy, birth and develop-
estimated effect in standard units resulting from one ment, and neuropsychological outcome. A principal
PPC while holding the other PPCs and confounders components analysis of 13 test variables led to three fac-

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fixed. tors: academic achievement skills, verbal-conceptual abil-
A review of the effect sizes indicates that LBW had ities, and perceptual-motor abilities. We measured the
the strongest association with all three factors, regardless relationship between these neuropsychological factors and
of whether the regression was run with one or three three measures of PPCs: LBW, HI-P, and chronic hypoxia.
PPCs in the model (see table 3). HI-P was also strongly The measures of PPCs were relatively independent of
associated with the three factors, although its relation- each other. All three PPC measures were significantly
ship to the verbal-conceptual abilities factor was some- associated with lower neuropsychological performance,
what weaker. Chronic hypoxia also had a significant after controlling for various sociodemographic con-
effect on all three factors, although it had the smallest founders and for each other. The effect sizes were gener-
effect sizes. The effect sizes between PPCs and cognitive ally small. LBW had the strongest association with the
factors were consistently largest with factor 3 (percep- neuropsychological functions, followed by HI-P. Maternal
tual-motor abilities) and smallest with factor 2 (verbal- conditions suggesting chronic hypoxia also had a signifi-
conceptual abilities). The largest effects on individual cant effect on all factors (though it was the smallest
tests (all of which are considered to be small effects) effect). The effect sizes between PPCs and cognitive fac-
were noted between LBW and WISC picture arrange- tors were consistently largest with perceptual-motor abili-
ment, WRAT arithmetic, WRAT reading, and the Bender ties, intermediate with academic achievement skills, and
Gestalt test (table 4). smallest with verbal-conceptual abilities.

Table 2. Principal component analysis of 13 cognitive variables at age 7 1


Factor 1 Factor 2 Factor 3
Academic achievement Verbal-conceptual Perceptual-motor
Variables skills abilities abilities
WRAT arithmetic raw score 0.740 0.315 0.278
WRAT reading raw score 0.879 0.243 0.107
WRAT spelling raw score 0.882 0.221 0.157
WISC block design scale score 0.178 0.491 0.461
WISC digit symbol/coding scale score 0.332 -0.132 0.476
WISC comprehension scale score 0.022 0.731 0.042
WISC digit span scale score 0.545 0.313 0.159
WISC information scale score 0.414 0.673 0.047
WISC picture arrangement scale score 0.292 0.542 0.292
WISC vocabulary scale score 0.296 0.770 0.063
ITPA auditory-vocal association raw score 0.435 0.652 0.165
Bender Gestalt Koppitz raw score -0.377 -0.334 -0.501
Tactile finger recognition raw score 0.009 0.149 0.767
Eigenvalue 5.636 1.167 0.946
Variance proportion 0.434 0.090 0.073
Note.—ITPA - Illinois Test of Psycholinguistic Abilities; WISC - Wechsler Intelligence Scale for Children; WRAT = Wide Range
Achievement Test.
1
Boldface denotes variables defining the factor.

315
Schizophrenia Bulletin, Vol. 26, No. 2, 2000 LJ. Seidman et al.

These results are consistent with the literature on


LBW and cognition (Breslau 1995) and with a prior study
from a subsample of the NCPP (Rieder et al. 1977)
CO
demonstrating that LBW is a risk factor for abnormal cog-
O CM
LLT CO CO CO CO CO nitive development, after potential confounders are
o
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O.
o
addressed. It is clear that LBW has a significant effect on
neuropsychological function, even after controlling for
**
Irth

'c ** # « j *
SES and other sociodemographic confounders. LBW may

-0.1 79**
-0.225**

-0.185**
-0.176**

-0.154**
m S ~
-0.211"

have the strongest correlation with cognitive factors

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Low

M because it is more precisely measured than the other fac-


tors. While LBW is undoubtedly associated with some
biological features, it had very little relationship to the
two measures of hypoxia used in this study. The biologi-
cal bases for the observed deficits associated with LBW
might also include other classes of PPCs not evaluated in
this study such as viruses, substance use, or poor nutri-
tion, or with genetic factors, including risk for psychotic
2
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illness.
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J *
sumed hypoxic insults^—based on measures of fetal and
:lent

* *
o
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u
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neonatal complications linked more explicitly to neuro-


a

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iroi

a Sf8 q logical abnormalities of mild to moderate severity in the


o newborn—would have a larger effect on neuropsychologi-
o cal performance than indirect measures of hypoxia based
CO
on maternal conditions of pregnancy. In this study, HI-P
CS showed consistendy larger effect sizes than measures of
V CB chronic hypoxia on neuropsychological function at age 7.
1 schem
orsaft

The two measures of hypoxia co-occurred infrequently


co" o> CO CO o" and had independent effects on cognition, suggesting that
07 CM CM CM CM CM
8
•g o q q q q they may be tapping different sources of presumed
i J2- 2 2
5 hypoxia. Alternatively, the two measures of hypoxia may
* * ** * be weakly associated because of methodological reasons,
c ** * * *
.1 most likely the indirect indication of potential insult in the
.901

107*

133*
153*

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CO S u *
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O
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and Peters (1987).
Itiv

c A question raised by Breslau (1995) is whether cer-


CO tain neuropsychological functions, such as visual motor
o
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: skil
skil

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CD c c •5 <n E :
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ptual-m tor;

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ptual-m tors
imic acl eve

imic acl eve


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^. more strongly associated with LBW and HI-P than were
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o
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r mode

l-conce

o 8 •3. D a verbal-conceptual abilities, all factors had significant rela-


C CO
tionships with PPCs. Thus, while the use of a wide range
redl

en
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cu s of tests and resulting factors provides a more differenti-
•§ ated picture than overall IQ, the significant associations
o o o
o
CD
8. 8 i ? CD
CL
I .1
Ion

o CO
between all three measures of PPCs with all three neu-
CD c\i CO cj CO
CO
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S
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t5
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o
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ropsychological factors suggests relatively generalized
deficits, consistent with the literature (Breslau 1995;
v
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oc
LL LL LL LL LL LL Breslau et al. 1996). Nevertheless, it must be recognized

316
Table 4. OC predictors of age 7 cognitive functioning tests after adjusting for confounders1
Probable Hypoxlc-lschemic
Complication Chronic Hypoxla Low Birth Weight
Regression effects using all 3 OCS Beta Beta Beta
per model for Individual Herns coefficient (SE) coefficient (SE) coefficient (SE)
Factor 1
WRAT reading -0.090** (0.029) -0.049 (0.026) -0.163**** (0.032)
WRAT spelling -0.125**** (0.029) -0.042 (0.025) -0.145**** (0.032)
WRAT arithmetic -0.126**** (0.029) -0.087*** (0.026) -0.185**" (0.032)
WISC digit span -0.099** (0.031) -0.047 (0.027) -0.123*** (0.034)
Factor 2
WISC vocabulary -0.035 (0.028) -0.039 (0.025) -0.106*** (0.031)
WISC comprehension -0.094** (0.031) -0.111"** (0.027) -0.004 (0.034)
WISC information -0.002 (0.030) • -0.070** (0.026) -0.158**** (0.033)
ITPA auditory-vocal association -0.113**** (0.029) -0.061* (0.026) -0.112*** (0.032)
WISC picture arrangement -0.061* (0.030) -0.025 (0.027) -0.215"** (0.033)
Factor 3
Tactile finger recognition -0.001 (0.031) -0.079** (0.027) -0.121*" (0.034)
Bender Gestalt visual-motor 0.137"** (0.030) 0.085** (0.027) 0 . 1 6 0 " " (0.033)
WISC digit symbol/coding -0.127**" (0.032) 0.011 (0.028) -0.050 (0.035)
WISC block design -0.086** (0.030) -0.076** (0.027) - 0 . 1 4 5 " " (0.033)
Note.—ITPA = Illinois Test of Psycholinguists Abilities; OC <= obstetric complication; SE = standard error; WISC = Wechsler Intelligence Scale for Children; WRAT - Wide Range
Achievement Test.
1
Values are adjusted for socioeconomlc status, race, mother's age at birth, age of child at assessment, and National Collaborative Perinatal Project site.
*p < 0.05; "p < 0.01; '"p < 0.001; ""p < 0.0001

i
CD

£
z
o

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Schizophrenia Bulletin, Vol. 26, No. 2, 2000 L J. Seidman et al.

that this inference is tentative because it is based on a sin- pendently or interactively (with genetic vulnerability)
gle evaluation at age 7. It is possible that patterns of asso- increase the risk of schizophrenia.
ciation between these PPCs and neuropsychological func- This investigation was designed as a prelude to
tions may change with normal or abnormal development. analyses of the independent and interacting relationship of
For example, as verbal-conceptual abilities become PPCs and family history of psychosis on cognitive func-
increasingly essential in adolescence, a previously latent tioning at age 7. In future analyses we plan to compare the
vulnerability may emerge and be more strongly associated impact of these three PPCs on the neuropsychological
with PPCs. This type of model has been proposed by functions obtained in the factor analysis in interaction
Weinberger (1987) to explain the emergence of frontal with family history of psychotic illness. We intend to

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lobe deficits in persons with schizophrenia who had been extend analyses examining the relationship of PPCs,
previously (relatively) asymptomatic. genetic vulnerability (based on family history of schizo-
We regard the results for the three PPCs investigated phrenia and affective psychoses), and full-scale IQ at age
as a work in progress in terms of our conceptualization 7 (Seidman et al. 1999; Goldstein et al., this issue). It will
and measurement of adverse events during the prenatal also be important to test whether the pattern of conse-
and perinatal periods that may increase the risk for schiz- quences of PPCs will be the same in offspring of parents
ophrenia and premorbid conditions. We and others in the with schizophrenia or affective psychosis as in healthy
field are attempting to move from a broad model of PPCs controls. Rieder et al. (1997) found different effects
as any deviations from a normal course of pregnancy to between PPCs and full-scale IQ in offspring of continuous
more narrow definitions of the class, timing, and types of schizophrenia subjects than in a large sample of unse-
PPCs that are both biologically plausible and empirically lected controls from the NCPP. Such an analysis will
justified risks for schizophrenia. In so doing, those work- enable a test of the specificity of certain PPCs on cogni-
ing with prospective cohorts are challenged to use obstet- tion in schizophrenia.
rical information of 30-40 years past to approximate con-
ditions affecting the fetus that are of contemporary
clinical significance. Furthermore, given the relatively
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Weinberger, D.R. Implications of normal brain develop- The Authors


ment for the pathogenesis of schizophrenia. Archives of
General Psychiatry, 44:660-669,1987. Larry J. Seidman, Ph.D., is Associate Professor of
Yolken, R.H., and Torrey, E.F. Viruses, schizophrenia and Psychology, Harvard Medical School, Department of
bipolar disorder. Clinical Microbiology Review, Psychiatry at Massachusetts Mental Health Center
8:131-145, 1995. (MMHC), and Director of Neuropsychology, MMHC,
Boston, MA. Stephen L. Buka, Sc.D., is Associate
Zornberg, G.L.; Buka, S.L.; and Tsuang, M.T. Hypoxic
Professor, Department of Maternal and Child Health and
ischemia-related fetal/neonatal complications and risk of
Epidemiology, Harvard School of Public Health, Boston,

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schizophrenia and other nonaffective psychoses: A 19-
MA. Jill M. Goldstein, Ph.D., is Associate Professor of
year longitudinal study. American Journal of Psychiatry,
Psychiatry, Harvard Medical School, Department of
157:196-202,2000.
Psychiatry, MMHC. Nicholas J. Horton, Sc.D., is
Postdoctoral Fellow, Department of Biostatistics, Harvard
School of Public Health. Ronald O. Rieder, M.D., is
Acknowledgments Professor of Clinical Psychiatry, Department of
Psychiatry, College of Physicians and Surgeons,
Preparation of this article was supported in part by an Columbia University, and Vice Chairman for Education,
award from the Stanley and National Association for New York State Psychiatric Institute, New York, NY.
Research in Schizophrenia and Affective Disorders Ming Tsuang, M.D., Ph.D., D . S c , is Stanley Cobb
Foundations to Dr. Larry J. Seidman, an award from the Professor of Psychiatry, Department of Psychiatry,
Stanley Foundation to Dr. Stephen L. Buka, National Harvard Medical School, MMHC; Professor, Department
Institute of Mental Health Grants MH 55748 and 56956 to of Epidemiology, Harvard School of Public Health; and
Dr. Jill M. Goldstein, and National Institute of Mental Director, Harvard Institute of Psychiatric Epidemiology
Health Grant MH 50647 to Dr. Ming T. Tsuang. and Genetics, Boston, MA.

321
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E-malli AEP2OOO@kenes.com
Wab: www, kenes .com\aep

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