Perhaps the most perplexing of all our biological rhythms is the one governing sleep and wakefulness. Sleep, after all, puts us at risk: Muscles that are usually ready to respond to danger relax, and senses grow dull. As British psychologist Christopher Evans (1984) once noted, “The behavior patterns involved in sleep are glaringly, almost insanely, at odds with common sense.” Then why is sleep such a profound necessity?
Let's start with some of the changes that occur in the brain during sleep. Until the early 1950s, little was known about these changes. Then a breakthrough occurred in the laboratory of physiologist Nathaniel Kleitman, who at the time was the only person in the world who had spent his entire career studying sleep. Kleitman had given one of his graduate students, Eugene Aserinsky, the tedious task of finding out whether the slow, rolling eye movements that characterize the onset of sleep continue throughout the night. To both men's surprise, eye movements did occur but they were rapid, not slow (Aserinsky & Kleitman, 1955). Using the electroencephalograph (EEG) to measure the brain's electrical activity, these researchers, along with another of Kleitman's students, William Dement, were able to correlate the rapid eye movements with changes in sleepers' brain-wave patterns (Dement, 1992, 2005). Adult volunteers were soon spending their nights sleeping in laboratories, while scientists measured changes in their brain activity, muscle tension, breathing, and other physiological responses.
As a result of this research, today we know that during sleep, periods of rapid eye movement (REM) alternate with periods of fewer eye movements, or non-REM (NREM) sleep, in a cycle that recurs every 90 minutes or so (Iber et al., 2007). The REM periods last from a few minutes to as long as an hour, averaging about 20 minutes in length. Whenever they begin, the pattern of electrical activity from the sleeper's brain changes to resemble that of alert wakefulness. Non-REM periods are themselves divided into stages, each associated with a particular brain-wave pattern (see Figure5.2).
Brain-Wave Patterns During Wakefulness and Sleep
Most types of brain waves are present throughout sleep, but different ones predominate at different stages.
When you first climb into bed, close your eyes, and relax, your brain emits bursts of alpha waves. Compared to brain waves during alert wakefulness, on an EEG recording alpha waves have a somewhat slower rhythm (fewer cycles per second) and a somewhat higher amplitude (height). Gradually, these waves slow down even further, and you drift into the Land of Nod, passing through three stages, each deeper than the previous one:
Stage NREM-1. Your brain waves become small and irregular, and you feel yourself drifting on the edge of consciousness, in a state of light sleep. If awakened, you may recall fantasies or a few visual images.
Stage NREM-2. Your brain emits occasional short bursts of rapid, high-peaking waves called sleep spindles. Minor noises probably won't disturb you.
Stage NREM-3. Your brain emits delta waves, very slow waves with very high peaks, and you are in deep sleep. Your breathing and pulse have slowed down, your muscles are relaxed, and it will probably take vigorous shaking or a loud noise to awaken you. Oddly, though, if you walk in your sleep, this is when you are likely to do so. No one yet knows what causes sleepwalking, which occurs more often in children than adults, but it seems to involve unusual patterns of delta-wave activity (Zadra et al., 2013).
This sequence of stages takes about 30 to 45 minutes. Then you move back up the ladder from Stage 3 to 2 to 1. At that point, about 70 to 90 minutes after the onset of sleep, something peculiar happens. Stage 1 does not turn into drowsy wakefulness, as one might expect. Instead, your brain begins to emit long bursts of very rapid, somewhat irregular waves. Your heart rate increases, your blood pressure rises, and your breathing gets faster and more irregular. Small twitches in your face and fingers may occur. In men, the penis may become somewhat erect as vascular tissue relaxes and blood fills the genital area faster than it exits. In women, the clitoris may enlarge and vaginal lubrication may increase. At the same time, most skeletal muscles go limp, preventing your aroused brain from producing physical movement. You have entered the realm of REM.
Because the brain is extremely active while the body is entirely inactive, REM sleep has also been called “paradoxical sleep.” It is during these periods that vivid dreams are most likely to occur. People report dreams when they are awakened from non-REM sleep, too; in one study, dream reports occurred 82 percent of the time when sleepers were awakened during REM sleep, but they also occurred 51 percent of the time when people were awakened during non-REM sleep (Foulkes, 1962). Non-REM dreams, however, tend to be shorter, less vivid, and more realistic than REM dreams, except in the hour or so before a person wakes up in the morning.
Occasionally, as the sleeper wakes up, a curious phenomenon occurs. The person emerges from REM sleep before the muscle paralysis characteristic of that stage has entirely disappeared, and becomes aware of an inability to move. About 30 percent of the general population has experienced at least one such episode, and about 5 percent have had a “waking dream” in this state. Their eyes are open, but what they “see” are dreamlike hallucinations, most often shadowy figures. They may even “see” a ghost or space alien sitting on their bed or hovering in a hallway, a scary image that they would regard as perfectly normal it if were part of a midnight nightmare. Instead of saying, “Ah! How interesting! I am having a waking dream!” some people interpret this experience literally and come to believe they have been visited by aliens or are being haunted by ghosts (Clancy, 2005; McNally, 2003).
Because cats sleep up to 80 percent of the time, it is easy to catch them in the various stages of slumber. A cat in non-REM sleep (left) remains upright, but during the REM phase (right), its muscles go limp and it flops onto its side.
REM and non-REM sleep continue to alternate throughout the night. As the hours pass, Stage 3 tends to become shorter or even disappear, and REM periods tend to get longer and closer together (see Figure5.3). This pattern may explain why you are likely to be dreaming when the alarm clock goes off in the morning. But the cycles are far from regular. An individual may bounce directly from Stage 3 back to Stage 2 or go from REM to Stage 2 and then back to REM. Also, the time between REM and non-REM is highly variable, differing from person to person and also within any given individual.
A Typical Night's Sleep for a Young Adult
In this graph, the thin horizontal red bars represent time spent in REM sleep. REM periods tend to lengthen as the night wears on, but Stage 3, which dominates during non-REM sleep early in the night, may disappear as morning approaches.
If you wake people up every time they lapse into REM sleep, nothing dramatic will happen. When finally allowed to sleep normally, however, they will spend a longer time than usual in the REM phase, and it will be hard to rouse them. Electrical brain activity associated with REM may burst through into non-REM sleep and even into wakefulness, as if the person is making up for something he or she had been deprived of. Some researchers have proposed that this “something” is connected with dreaming, but that idea has problems. For one thing, in rare cases, patients with brain damage have lost the capacity to dream, yet they continue to show the normal sleep stages, including REM (Bischof & Bassetti, 2004). Moreover, nearly all mammals experience REM sleep, but many theorists doubt that rats or moles have the cognitive abilities required to construct what we think of as dreams. REM is clearly important, but it must be for reasons other than dreaming, as we will see. (Table5.1 lists the sleep stages we have discussed.)
Characteristics of Sleep Stages
Generally speaking, sleep appears to provide a time-out period, so that the body can eliminate waste products from muscles, repair cells, conserve or replenish energy stores, strengthen the immune system, and recover abilities lost during the day. When we do not get enough sleep, our bodies operate abnormally. Hormone levels necessary for normal muscle development and immune system functioning decline (Leproult, Van Reeth, et al., 1997).
Although most people can still get along reasonably well after a day or two of sleeplessness, sleep deprivation that lasts for four days or longer becomes uncomfortable and soon becomes unbearable. In animals, forced sleeplessness leads to infections and eventually to death, and the same seems to be true for people. In one tragic case, a 51-year-old man abruptly began to lose sleep. After sinking deeper and deeper into an exhausted stupor, he developed a lung infection and died. An autopsy showed that he had lost almost all the large neurons in two areas of the thalamus that have been linked to sleep and hormonal circadian rhythms (Lugaresi et al., 1986).
The driver of this truck crashed when he apparently fell asleep at the wheel. Thousands of serious and fatal motor vehicle accidents occur each year because of driver fatigue.
The Mental Consequences of Sleeplessness Sleep is also necessary for normal mental functioning. Chronic sleep deprivation increases levels of the stress hormone cortisol, which may damage or impair brain cells that are necessary for learning and memory (Minkel et al., 2014). Also, new brain cells may either fail to develop or may mature abnormally (Guzman-Marin et al., 2005). Perhaps in part because of such damage, after the loss of even a single night's sleep, mental flexibility, attention, and creativity all suffer. After several days of staying awake, people may even begin to have hallucinations and delusions (Dement, 1978).
Of course, sleep deprivation rarely reaches that point, but people do frequently suffer from milder sleep problems. According to the National Sleep Foundation, about 10 percent of adults are plagued by difficulty in falling or staying asleep. The causes of their insomnia include worry and anxiety, psychological problems, physical problems such as arthritis, and irregular or overly demanding work and study schedules. In addition, many drugs interfere with the normal progression of sleep stages—not just the ones containing caffeine, but also alcohol and some tranquilizers. The result can be grogginess and lethargy the next day.
Another cause of daytime sleepiness is sleep apnea, a disorder in which breathing periodically stops for a few moments, causing the person to choke and gasp. Breathing may cease hundreds of times a night, often without the person knowing it. Sleep apnea is seen most often in older males and overweight people but also occurs in others. It has several causes, from blockage of air passages to failure of the brain to control respiration correctly. Over time, it can cause high blood pressure and irregular heartbeat; it may gradually erode a person's health and is associated with a shortened life expectancy (Young et al., 2008).
With narcolepsy, an even more serious disorder that often develops in the teenage years, an individual is subject to irresistible and unpredictable daytime attacks of sleepiness lasting from 5 to 30 minutes. The cause is not well understood, but the disorder has been associated with reduced amounts of a particular brain protein, possibly brought on by an autoimmune problem, a viral infection, or genetic abnormalities (Baumann et al., 2014; Kornum, Faraco, & Mignot, 2011; Mieda et al., 2004). When the person lapses into sleep, he or she is likely to fall immediately into the REM stage. Some people with narcolepsy experience an unusual symptom called cataplexy, which brings on the paralysis of REM sleep although they are still awake; as a result, they may suddenly drop to the floor. Cataplexy is often triggered by laughing excitedly, but it can sometimes be induced by telling a joke or even having an orgasm (Overeem et al., 2011). You can learn more about these conditions by watching the video Sleep Disorders.
Sleep Disorders
Other disorders also disrupt sleep, including some that cause odd or dangerous behavior. In REM behavior disorder, the muscle paralysis associated with REM sleep does not occur, and the sleeper (usually an older male) becomes physically active, often acting out a dream without any awareness of what he is doing (Randall, 2012; Schenck & Mahowald, 2002). If he is dreaming about football, he may try to “tackle” a piece of furniture; if he is dreaming about a kitten, he may try to pet it. Other people may consider this disorder amusing, but it is no joke; sufferers may hurt themselves or others, and they have an increased risk of later developing Parkinson's disease and dementia (Mariotti et al., 2015).
However, the most common cause of daytime sleepiness is the most obvious one: simply not getting enough sleep. Some people do fine on relatively few hours, but most adults need more than 6 hours for optimal performance, and many adolescents need 10. In the United States, drowsiness is involved in 100,000 vehicle accidents a year, causing 1,500 road deaths and 71,000 injuries. Sleep deprivation also leads to accidents and errors in the workplace, a concern especially for first-year doctors doing their medical residency. Although federal law limits work hours for airline pilots, truck drivers, and nuclear-plant operators, in many states, medical residents often still work 24- to 30-hour shifts (Landrigan et al., 2008).
Don't doze off as we tell you this, but lack of sleep has also been linked to reduced alertness in school and lower grades. In 1997, a high school in Minneapolis changed its start time from 7:20 a.m. to 8:30 a.m. Teachers watched in surprise as students became more alert and—according to their parents—“easier to live with” (Wahlstrom, 2010). Since then, many other school districts in the United States and other countries have followed suit by starting school later in the morning (Vedaa et al., 2012). Children and teenagers who start school later sleep more, have improved mood, are able to pay more attention in class, and get better test scores; teenage drivers even have fewer car accidents (Fallone et al., 2005; Vorona et al., 2011).
The Mental Benefits of Sleep Just as sleepiness can interfere with good mental functioning, a good night's sleep can promote it, and not just because you are well rested. In a classic study conducted nearly a century ago, students who slept for 8 hours after learning lists of nonsense syllables retained them better than students who went about their usual business (Jenkins & Dallenbach, 1924). For years, researchers attributed this result to the lack of new information coming into the brain during sleep, information that could interfere with already-established memories. Today, however, most believe that sleep is a crucial time for consolidation, in which synaptic changes associated with recently stored memories become durable and stable.
One theory is that while we are sleeping, the neurons that were activated during the original experience are reactivated, promoting the transfer of memories from temporary storage in the hippocampus to long-term storage in the cortex and thus making those changes more permanent (Born & Wilhelm, 2012). During sleep, consolidation seems to target important information that we know we might need later. When researchers had people learn new information and then let them sleep, those who were told before sleeping that they would later be taking a memory test did better on it than those who did not know about the upcoming test (Wilhelm et al., 2011). Sleep seems to strengthen many kinds of memories, including the recollection of events, locations, facts, and emotional experiences, especially negative ones (see Figure5.4).
Sleep and Memory Consolidation
When college students studied neutral scenes (e.g., an ordinary car) and emotionally negative scenes (e.g., a car totaled in an accident), sleep affected how well they later recognized the objects in the scenes. Students who studied the scenes in the evening and then got a night’s sleep before being tested did better at recognizing emotional objects than did those who studied the scenes in the morning and were tested after 12 hours of daytime wakefulness (Payne et al., 2008).
Memory consolidation is most closely associated with the slow waves of neural activity that occur during Stage N-REM 3 of sleep. In one study, while scientists taught people the locations of several matching pairs of cards (a memory game), they also presented the scent of roses. Later, some people were exposed to the smell of roses again during slow-wave sleep, REM sleep, or when they were awake. Exposure to the smell during slow-wave sleep, but not REM or wakefulness, improved people's memories for the card locations (Rasch et al., 2007). But REM sleep does seem to be related to some improvements in learning and memory (Mednick et al., 2011). When people or animals learned a perceptual task and were allowed to get normal REM sleep, their memory for the task was better the next day, even when they had been awakened during non-REM periods. When they were deprived of REM sleep, however, their memories were impaired (Karni et al., 1994). Thus, both periods of sleep seem to be important for consolidation, and scientists are now trying to determine their respective roles (Born & Wilhelm, 2012). To find out more about how sleep deprivation affects cognitive functioning, watch the video Sleep, Memory, and Learning.
In the Real World: Sleep, Memory, and Learning
If sleep enhances memory, perhaps it also enhances problem solving, which relies on information stored in memory. To find out, German researchers gave volunteers a math test that required them to use two mathematical rules to generate one string of numbers from another and to deduce the final digit in the new sequence as quickly as possible. The volunteers were not told about a hidden shortcut that would enable them to calculate the final digit almost immediately. One group was trained in the evening and then got to snooze for 8 hours before returning to the problem. Another group was also trained in the evening but then stayed awake for 8 hours before coming back to the problem. A third group was trained in the morning and stayed awake all day, as they normally would, before taking the test. Those people who got the nighttime sleep were nearly three times likelier to discover the hidden shortcut as those in the other two groups (Wagner et al., 2004).
Sleep, then, seems essential in memory and problem solving. The underlying biology appears to involve not only the formation of new synaptic connections in the brain but also the weakening of connections that are no longer needed (Donlea, Ramanan, & Shaw, 2009; Gilestro, Tononi, & Cirelli, 2009; Michel & Lyons, 2014). In other words, we sleep to remember, but we also sleep to forget, so that the brain will have space and energy for new learning. Remember that the next time you are tempted to pull an all-nighter. Even a quick nap may help your mental functioning and increase your ability to put together separately learned facts in new ways (Lau, Alger, & Fishbein, 2011; Mednick et al., 2002). Sleep on it.