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Transcript
The Sleep Cycle
Running head: THE SLEEP CYCLE
The Sleep Cycle:
Normalcy, Insomnia, and its Relationship to Depression
Amanda Baker
University of Evansville, Indiana
1
The Sleep Cycle
2
Personal Relevance Preface
My educational goal is to pursue a graduate degree either
in the field of clinical social work or clinical psychology. As
a professional, I hope to work in a clinical setting. In either
of the professions that I plan to pursue, I will treat a variety
of clients with problems ranging from children experiencing
adjustment problems in school to older adults facing their own
mortality. One need that all of my clients will share is the
need for adequate, quality sleep.
My goal in researching insomnia and depression was to learn
what researchers have found regarding the need for sleep. I
examined the normal sleep cycle and discussed the nature of
insomnia. I also described the correlations between insomnia and
depression to gain a better understanding of the relationship
between the two. Finally, I examined the most prominent
treatment options for both insomnia and depression so that I
will be better prepared to treat my clients.
The Sleep Cycle
Abstract
Several disciplines have contributed to our working
understanding of sleep. As researchers in this field,
psychologists are typically most interested in studying sleep
disturbances. One of the most prevalent of these disturbances is
insomnia, a condition that is often accompanied by other
psychological problems, including depression. A thorough review
of the existing literature will provide the basis for
conclusions regarding the relationship between insomnia and
depression. Specifically, this paper will address the
connections among the human sleep cycle, insomnia, depression,
and successful methods of treating patients with both insomnia
and depression.
3
The Sleep Cycle
4
Table of Contents
Personal Relevance Preface.....................................2
Abstract.......................................................3
Table of Contents..............................................4
Physiology of Sleep............................................5
Human Biological Clock....................................6
Stages of Sleep Cycle.....................................7
Insomnia.......................................................9
Classification...........................................11
Effects of Sleep Deprivation.............................12
Clinical Diagnosis.......................................13
Relationship between Depression and Insomnia..................14
The Role of Serotonin....................................15
Cause and Effect Relationship............................15
Viable Treatment Options......................................17
Conclusion....................................................19
References....................................................21
The Sleep Cycle
5
The Sleep Cycle:
Normalcy, Insomnia, and its Relationship to Depression
Sleep is a biological need shared by all humans, yet it is
only vaguely understood by researchers. We do know that healthy
sleep patterns are related to other signs of physical and mental
wellness. Conversely, problems sleeping are symptomatic of other
health risks. In extreme cases, disordered sleep can be
attributed as the cause of other serious disorders. It can lead
to disastrous accidents. Therefore, the importance of sleep, and
of understanding sleep, is vital.
Physiology of Sleep
The theory of sleep as a biological process is relatively
new, dating back to the 1950’s when REM sleep was first
discovered (Aserinsky & Kleitman, 1953). Until that time, there
were a couple of central misconceptions regarding the sleep-wake
cycle. Sleep was commonly thought to be a mechanism through
which the body compensated for a daily build-up of hypnotoxins.
A person was thought to fall asleep when the level of
hypnotoxins in the blood became too high. The person would then
awaken when these toxins were expelled. A second problem with
early sleep research was the faulty notion that the sleep-wake
cycle was not endogenous. That is, some researchers attributed
the sleep-wake cycle to environmental factors that acted upon a
person rather than a person’s intrinsic biological rhythm. They
The Sleep Cycle
6
thought that factors such as levels of light caused the cycle to
occur, when in reality this is not the case (Lavie, 2001). The
cycle persists even when external cues are eliminated (Weiten,
2004).
When Aserinsky and Kleitman (1953) discovered REM sleep,
scientific studies of sleep became more common. Still, it was
not until the 1980’s that sleep researchers began to focus on
the sleep-cycle, its causes, and dreaming (Lavie, 2001).
Today, researchers have adopted a perspective that is
similar to the view of early researchers. Although the notion of
hypnotoxins has been abandoned, it is still thought that
wakefulness over a period of time causes the body to develop a
“sleep debt” which can be paid through sleep (Espie, 2002).
Human Biological Clock
The sleep-wake cycle is a type of circadian rhythm, which
is a biological cycle that repeats itself approximately every 24
hours (Lavie, 2001). Physiologists have identified a network of
structures and chemicals in the brain which control the sleepwake rhythm. Collectively, this network serves the function of
the human biological clock.
The suprachiasmatic nucleus (SPN) is a small structure in
the hypothalamus and is the central pacemaker of the body.
Lesions of the area of the brain disrupt circadian rhythms,
demonstrating the great importance of this area in the
The Sleep Cycle
7
regulation of the sleep-wake cycle (L. Becker, personal
communication, March 1, 2004). When certain retinal receptors
are exposed to light, they send information to the SPN. The SPN
sends input to the pineal gland, which is responsible for the
secretion of a hormone called melatonin. Secretion of melatonin
from the pineal gland helps to resynchronize the body’s
biological clock (Weiten, 2004). Melatonin is produced only at
night; light inhibits its synthesis (Lavie, 2001).
Stages of Sleep Cycle
When the rhythm is properly synchronized, an individual
will cycle through several hours of wakefulness followed by a
period of sleep. The sleep cycle can be divided into five
stages.
Non-REM sleep. The first four stages of sleep are
categorized together as non-REM sleep because there are no rapid
eye movements during these stages. Non-REM sleep is also
characterized by varying degrees of brain activity, which is
measured by an electroencephalograph (EEG). Stage one is a brief
transitional period of light sleep. During this stage, breathing
and heart rate begin to slow. Body temperature decreases and
muscles begin to relax. Theta waves are prominent in the brain
during this stage. While the amount of time it takes to fall
asleep varies from person to person, most people spend 1-7
minutes in the first stage of sleep. Stage two follows and is
The Sleep Cycle
characterized by sleep spindles, which are brief bursts of
higher frequency waves. EEG studies reveal mixed brain activity
during stage two sleep, which lasts approximately 10-25 minutes
(Weiten, 2004).
Finally, about 30 minutes after falling asleep, individuals
reach slow wave sleep, which is comprised of stages three and
four. Slow wave sleep receives its name from the high amplitude,
low frequency delta waves that are present during sleep stages
three and four. Sleep is deeper in stages three and four than in
the first two stages. A person will remain in slow wave sleep
for about 30 minutes before cycling back through the lighter
stages of sleep and finally into REM sleep (Weiten, 2004).
REM sleep. REM sleep is somewhat mysterious. During REM
sleep, the brain demonstrates high frequency beta waves that
mimic wakefulness. Blood pressure rises and respiration
increases. Another characteristic of this stage of sleep is the
presence of rapid eye movements, which is how REM sleep got its
name. In spite of the apparent burst of activity during this
phase, individuals are actually in a deep sleep. Their muscles
are very relaxed and they are difficult to awaken. The beta
waves and eye movements, therefore, are attributed to the
process of dreaming. Indeed, most dreaming does occur during REM
sleep, although it is possible to dream in non-REM sleep as well
(Weiten, 2004).
8
The Sleep Cycle
9
Variations in the cycle. Slow wave sleep is most prominent
early in the night. Individuals will spend gradually less time
in slow wave sleep and more time in REM sleep as they cycle
through the sleep stages. The first REM period during the night
lasts only a few minutes, while the last one or two periods may
last up to an hour (Weiten, 2004).
The sleep-wake cycle varies significantly with age. Young
adults spend about 20% of their total sleep time in slow wave
sleep and 20% in REM sleep, suggesting that fluctuations in slow
wave and REM duration even themselves out during the night.
However, this is not true of other age groups. Infants spend a
great deal more time in REM sleep than adults. In addition,
older adults spend dramatically less time in slow wave sleep
than younger adults (Weiten, 2004). There is also a decrease in
total time spent sleeping in the elderly, despite an increase in
the amount of time spent in bed (Morin & Gramling, 1989).
Clearly, the sleep-wake cycle has variations according to
individual differences. Stimuli outside the individual also have
the potential to disrupt the rhythm. These factors include
periods of stress, illness, or mental dysfunction. When the
sleep-wake cycle becomes irregular, sleep may become disturbed.
Insomnia
Insomnia, the most reported of all sleep disturbances
(Ruyak, Bilsbury, & Rajda, 2004), affects millions of people in
The Sleep Cycle
10
the United States each year. Estimates of its prevalence vary
widely. Some survey studies indicate complaints of insomnia in
30-45% of adults. Primary insomnia occurs in 1-10% of adults and
accounts for 15-25% of cases of chronic insomnia (American
Psychiatric Association, 2000). Insomnia is more common in women
than in men (Pallesen, Nordhus, Havik, & Nielsen, 2001). As
noted previously, the elderly are at greater risk for developing
insomnia than younger adults (Morin & Gramling, 1989).
A problem with the epidemiological data is that some people
who report subjective insomnia have no objective sleep
deficiency; conversely, people who report themselves as normal
sleepers may demonstrate significant sleep disturbances. These
people may not be aware of the disturbance because it produces
no detriments to daytime functioning, or they may simply choose
not to report it (Edinger, Fins et al., 2000). Nevertheless, the
prevalence of insomnia is great enough to merit further
investigation.
However, before proceeding with a more detailed description
of insomnia, it should be noted that sleep needs vary
dramatically among individuals. Research tells us that the
average adult needs 7-8 hours of sleep a night. Still, we must
take this figure for just what it is: a statistical average with
deviations in each direction. Many adults can function normally
on less than seven hours of sleep. Others may need more than
11
The Sleep Cycle
eight hours a night to feel adequately rested. The important
thing to remember is that insomnia is not strictly defined
according to the number of hours a person sleeps each night
(Espie, 2002).
Classification
Insomnia can be subdivided into categories according to
either (1) the cause of the insomnia or (2) the characteristics
of the sleep disturbance. In the first case, insomnia is divided
into primary insomnia and secondary insomnia. Primary insomnia
refers to insomnia that is caused by a psychological disorder,
such as conditioned arousal to the bedroom. Secondary insomnia
refers to insomnia with a medical or psychiatric basis. For
example, a patient suffering from severe pain would likely
experience sleep loss. In this case the disturbance in sleep
would be labeled secondary insomnia. The remainder of this paper
will focus on primary insomnia, as most research focuses on this
type of insomnia (Lichstein, Durrence, Riedel, & Bayen, 2001)
and it is the type of insomnia most related to the field of
psychology.
The Diagnostic and Statistical Manual of Mental Disorders,
a publication by the American Psychiatric Association (2000),
defines primary insomnia as:
a complaint of difficulty initiating or maintaining sleep
or of nonrestorative sleep that lasts for at least 1 month
The Sleep Cycle
12
(Criterion A) and causes clinically significant distress or
impairment in social, occupational, or other important
areas of functioning (Criterion B). The disturbance in
sleep does not occur exclusively during the course of
another sleep disorder (Criterion C) or mental disorder
(Criterion D) and is not due to the direct physiological
effects of a substance or a general medical condition
(Criterion E). (p. 599)
Primary insomnia can be further characterized according to the
onset and duration of the sleep disturbance. This method of
classification produces four types of insomnia. Sleep onset
insomnia involves difficulty falling asleep. Sleep maintenance
insomnia is characterized by difficulty falling back to sleep
after waking during the night. Terminal insomnia is similar to
sleep maintenance insomnia except the patient does not return to
sleep for even a short time after waking during the night or
early morning. Finally, nonrestorative sleep is characterized by
feeling unrefreshed after sleep (Pallesen et al., 2001).
Effects of Sleep Deprivation
People who suffer from insomnia report a variety of
detrimental effects, the most common being decreased daytime
functioning. Chronic insomniacs report more memory difficulties,
increased work absenteeism, and fewer promotions at work than do
their coworkers who receive adequate rest. Further, insomnia has
The Sleep Cycle
13
detrimental effects on society as a whole, including loss of
productivity, increased occurrence of accidents, and even rising
costs of healthcare (Ruyak, Bilsbury, & Rajda 2004).
A recent report by Harrison and Horne (2000) examined the
effects of sleep loss on the decision-making process. The
authors list several problem areas for sleep-deprived decision
makers, including:
impaired language skills communication, lack of innovation,
inflexibility of thought processes, inappropriate attention
to peripheral concerns or distraction, over-reliance on
previous strategies, unwillingness to try out novel
strategies, unreliable memory for when events occurred,
change in mood including loss of empathy with colleagues,
and inability to deal with surprise and the unexpected. (p.
246)
These results, though not surprising, are cause for concern.
Indeed, Harrison and Horne (2000) mention the connection between
sleep deprivation and disasters such as the explosion of the
Challenger space shuttle. Prevention of serious accidents like
this may begin with a better understanding of the effects of
sleep deprivation.
Clinical Diagnosis
Confusion may arise when the DSM-IV-TR definition of
primary insomnia is compared with researchers’ reports of it. As
The Sleep Cycle
14
mentioned, Lichstein et al. (2001) listed psychological
disturbance as the cause of primary insomnia. This statement
should not be considered contradictory to the criteria for
diagnosis listed in the DSM-IV-TR (American Psychiatric
Association, 2000) which state that the diagnosis of primary
insomnia must not be made if the disturbance occurs exclusively
with a mental disorder.
For example, a patient who suffers from depression may
spend a great amount of time in bed, yet experience difficulty
sleeping. Eventually, the patient becomes negatively conditioned
for sleep and may experience insomnia even after the depression
has been resolved. According to the DSM-IV-TR, this situation
would be grounds for a diagnosis of primary insomnia because the
patient exhibits insomnia that stems from a psychological
disorder but does not occur exclusively with the psychological
disorder (American Psychiatric Association, 2000). The
relationship between insomnia and depression will now be
addressed in greater detail.
Relationship between Depression and Insomnia
Researchers, clinicians, and even patients have all
identified sleeping disorders with depression for many years.
Direct correlations between self-reports of sleep difficulty and
levels of anxiety and depression are commonly reported in the
literature (Edinger, Fins et al., 2000). However, this
The Sleep Cycle
15
correlation does not give us any insight into the cause-effect
relationship (if any exists) between insomnia and depression. To
develop a better understanding of this relationship, a
comparison will first be made between depression and insomnia at
the physiological level.
The Role of Serotonin
Serotonin is a neurochemical that is known to be associated
with depression. Research indicates that patients with
depression frequently have lower levels of serotonin in the
brain than nondepressives. Common antidepressant medications
include a family of selective serotonin reuptake inhibitors, or
SSRIs (Buysse, 2004), designed to extend the amount of time that
serotonin is present in synaptic clefts in the brain. The
medications successfully reduce or eliminate depressive symptoms
for many patients.
However, SSRIs have mixed effects on sleeping patterns.
They can cause insomnia in some patients, while inducing
drowsiness in others (Buysse, 2004). When SSRIs are
discontinued, either gradually or abruptly, insomnia can result
(Rivas-Vazquez, Johnson, Blais, & Rey, 1999). These effects may
be attributed to serotonin’s role in the regulation of REM sleep
(L. Becker, personal communication, March 1, 2004).
Cause and Effect Relationship
The Sleep Cycle
16
Many studies have found a direct correlation between
depression and some type of sleep disturbance. Allgower, Wardle,
and Steptoe (2001) found that 27% of survey respondents who met
criteria for depressive symptoms also reported irregular sleep
hours (less than seven or more than 9 hours of sleep each
night). Monroe, Thase, and Simons (1992) reported similar
findings. Self-reports of depressive symptoms and stress were
directly correlated to REM sleep latency. Often, these
correlations are explained by listing the sleep disturbance
among the symptoms of depression. In fact, clinicians,
researchers, and even patients themselves often view problems
sleeping as simply extensions of depression (Krakow et al.,
2000).
Other studies indicate that symptoms of insomnia are more
likely to be observed by clinicians in patients who report
themselves as depressed, but lack a clinical diagnosis of
depression than in patients who are clinically depressed (Santor
& Coyne, 2001). A study on the relationships of light, insomnia,
and depression found that greater illumination during the day
was negatively correlated with both sleep latency and depressed
mood (Wallace-Guy et al., 2002). The results of these two
studies demonstrate the close and complex relationship between
insomnia and depression.
The Sleep Cycle
17
One study (Buchwald & Rudick-Davis, 1993) found that sleep
disturbance was reported in 98% of patients in a major
depressive episode. Further, 94% of the control group reported
no sleep disturbance, suggesting not only that disturbed sleep
is a symptom of depression, but it may also be useful in
predicting a future diagnosis of depression. Another study found
that insomnia may result in subsequent mood dysfunction
(Nicassio & Wallston, 1992). These mixed results indicate that
labeling insomnia as a symptom of depression may be hasty.
Most of the existing data comparing insomnia and depression
is correlational; therefore, causation of one by the other
cannot be adequately determined. There are a few studies
(Nicassio & Wallston, 1992) which attempt to address a causal
relationship between the two, but they are limited in their
scope and applicability. Further research is needed to develop a
causal link. In addition, researchers should try to explain what
must occur in order for depression to lead to insomnia, or vice
versa. Why does it seem that in some cases, insomnia results
from depression, but in other cases the reverse is true? This
question must be addressed so that treatment can be more
successful.
Viable Treatment Options
Even though a concrete causal relationship is lacking,
insomnia and depression can often be treated at the same time
The Sleep Cycle
through the same types of therapies. Cognitive-behavioral
therapy (CBT) is a popular approach for the treatment of both
depression and insomnia. CBT has been found to reduce sleep
variability, which may provide individuals with more
satisfaction from their sleep (Edinger, Hoelscher, Marsh,
Lipper, & Ionescu-Pioggia, 1992). In a study by Espie, Inglis,
and Harvey (2001), insomnia patients were exposed to 6 weekly
group sessions of CBT. Participants also completed a one-year
follow-up to track the effectiveness of the therapy. Results
indicated that for two-thirds of the patients, CBT led to
normalization of sleep onset latency and time spent awake at
night. These results do not indicate CBT as a cure-all method
for alleviating insomnia. However, the results are encouraging
given that these patients were suffering from significant sleep
disturbances and following treatment were approaching normal
sleeping patterns.
Espie, Inglis, and Harvey (2001) also had an interesting
finding regarding patients with high levels of anxiety and
depressiveness. While it is noted that patients with depressive
illness were excluded from the study, those patients who were
elevated in depressiveness and anxiety but short of clinical
diagnosis experienced greater response to CBT than patients who
were not elevated on these measures. In particular, elevated
patients experienced more improvements in continuity of their
18
The Sleep Cycle
19
sleep. This finding is puzzling because it seems to suggest that
insomniacs will respond better to this form of treatment if they
also suffer from dysfunctions in mood. Yet, why should this be
the case? Again, further research must be done to address the
complex relationship to answer this question.
CBT need not be completed face to face to be successful. A
recent study indicated that telephone consultations were as
successful as both individual and group face-to-face sessions in
treating insomniacs (Bastien, Morin, Ouellet, Blais, & Bouchard,
2004). A pioneering study of internet-based self-help therapy
shows promise in providing a lower-cost alternative to
individual therapy (Strom, Pettersson, & Andersson, 2004).
In spite of success rates of psychological therapies, the
most common treatment of both insomnia and depression is
medication. Pharmacology provides a simple and cost effective
means of treatment, but users of insomnia medications risk
tolerance and dependence over time (Bastien et al., 2004).
Withdrawal effects can bring on rebound insomnia. Perhaps more
importantly, use of sedative medication can lead to decreased
daytime functioning, which is one of the primary difficulties of
insomnia in the first place (Murtagh & Greenwood, 1995).
Conclusion
In order to understand a dysfunction of a given system, one
must first understand the normal functioning of that system.
The Sleep Cycle
20
Therefore, a review of the sleep-wake cycle is necessary when
examining the cycle’s most prominent dysfunction: insomnia. The
prevalence of insomnia is great enough to warrant investigation
of the ways it develops.
A diagnosis of insomnia is often made in conjunction with a
diagnosis of depression. These disorders are intricately
related. The relationship is complex enough to have avoided
causal explanation by researchers. However, with every study
conducted, we are one step closer to unraveling the connection.
Despite the tendency to view insomnia as merely a result of
depression in depressed patients, clinicians should examine each
case carefully before determining any cause-effect relationship.
Studies indicate that depression often leads to insomnia and
other sleep disorders. However, in some cases, insomnia can be
the cause of depression and other disorders. This distinction
must be made in order to ensure proper treatment of each
disorder. While medication remains the most popular treatment
choice, CBT can be a successful and cost effective alternative.
The Sleep Cycle
21
References
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The Sleep Cycle
22
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23
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24
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Note: An * indicates that paper copies of sources are located in the
portfolio. All other sources can be found on the enclosed CD.