Effects of Varying Laboratory Conditions on Behavioral-State Organization in Two- and

Eight-Week-Old Infants
Authors(s): Anita Miller Sostek and Thomas F. Anders
Source: Child Development, Vol. 46, No. 4 (Dec., 1975), pp. 871-878
Published by: Wiley on behalf of the Society for Research in Child Development
Stable URL: http://www.jstor.org/stable/1128392
Accessed: 28-03-2016 02:26 UTC

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 Effects of Varying Laboratory Conditions on

Behavioral-State Organization in Two- and

Eight-Week-Old Infants

Anita Miller Sostek

Georgetown University School of Medicine

Thomas F. Anders

Stanford University School of Medicine

SOSTEK, ANITA MILLER, and ANDERS, THOMAS F. Effects of Varying Laboratory Conditions on

Behavioral-State Organization in Two- and Eight-Week-Old Infants. CHILD DEVELOPMENT,

1975, 46, 871-878. Previous studies have found that laboratory conditions influence sleep-

waking behavior in older infants, children, and adults. The present study employed videotape

recordings to monitor continuous 2.4-hr sleep-waking activity in 2- and 8-week-old infants

before, during, and after 12 hr of polygraphic recordings. Sleep- and waking-state organization

were affected by laboratory conditions. At both age levels, increased fussy-crying and decreased

alertness occurred during the first 4 hr in the laboratory when they were video recorded only

and during the first 4 hr that the leads were in place. Decreased fussy-crying and increased

alertness were noted in the following periods, indicating adaptation. Latency to sleep was

shorter, and drowsiness increased immediately following lead application and removal. At 8

weeks, quiet sleep increased and active sleep decreased while the leads were in place. These

data suggest that the unfamiliar laboratory conditions inherent in both observational and

polygraphic studies are stressful and that time for adaptation is needed.

In studies of adult sleep, it is common to Various investigators have reviewed the

discard the data obtained on the first night the literature on the development of sleep patterns

subject is in the laboratory. Agnew, Webb, and (Anders & Weinstein 1972; Parmelee & Stern

Williams (1966) studied REM and NREM 1972; Roffwarg, Muzio, & Dement 1966). Re-

sleep parameters in adults and found extensive duced REM and total sleep time has been

changes in sleep patterns in response to the observed in children during the first night in

first night in the laboratory. The subjects dem- the laboratory (Kales, Kales, Jacobson, Po, &

onstrated more awake time, less REM sleep, Green 1968; Schmidt & Kaebling 1971).

delayed onset of stage 4 NREM ("deepest

sleep") and REM sleep, and more state Bernstein, Emde, and Campos (1973)

changes. The subjects were generally more investigated the effects of laboratory study on

aroused on the first night in the laboratory sleep states in 4-month-old infants. They ob-

but adapted by the following night. Similar served naps at home on 4 mornings and

evidence of state disturbance during the first compared them with one morning nap ob-

night in the laboratory has been noted for served in the laboratory. The laboratory

the periodicity of sleep states and eye move- procedure included preparation for sham re-

ment density in adults (Clausen, Sersen, & cordings of sleep states according to standard

Lidsky 1974; Globus 1970). polygraphic procedures. Sleep states were as-

This research was funded in part by W. T. Grant Foundation grant 345.48 and in part

by the Department of Psychology, State University of New York at Buffalo, where it was

carried out. We would like to acknowledge the generous cooperation of the administration and

staff of Our Lady of Victory Infant Home, Lackawanna, New York. We also appreciate the

valuable help and advice offered by Edward S. Katkin, Ellen J. Watson, Gayle Mallwitz

Herbsman, Arnold J. Sameroff, Victor A. Harris, and Norman Solkoff. Reprints can be obtained

from Dr. A. M. Sostek, Department of Obstetrics and Gynecology, Georgetown University

Medical School, 3800 Reservoir Road, N.W., Washington, D.C. 20007.

[Child Development, 1975, 46, 871-878. @ 1975 by the Society for Research in Child Development, Inc. All

rights reserved.]

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872 Child Development

sessed both in the home and in the laboratory a longitudinal and a cohort group. The longi-

tudinal group was studied twice, at 2 weeks

by means of behavioral observations. Bernstein

et al. (1973) found more quiet sleep onsets, (M = 13.3 days, SD = 1.8) and 8 weeks

decreased active sleep, shorter latency to quiet (M = 56.3 days, SD = 2.3), and the cohort

sleep, and shorter final active sleep periods in group was studied once only, at 8 weeks

the laboratory. These state alterations largely (M = 55.2 days, SD = 4.3). The cohorts were

paralleled the first-night effect widely observed included as a control for the effects of prior

experience. There were 12 infants in each

in adults and were labeled a "first-nap effect."

group and a total of 36 experimental sessions.

Bernstein et al. chose to study 4-month-

old infants because they were old enough to

Sleep-waking activity was monitored for

have formed attachments with their mothers

one 24-hr period during each experimental

but not old enough to display stranger anxiety.

session. During the entire 24 hr, a Panasonic

Testing in the laboratory required a trip from

model NV 8020 time-lapse videotape recorder

home, separation from the mother, and what-

filmed the infants' sleep-waking activity con-

ever discomfort is inherent in polygraphic

tinuously. The videotape recorded 11/2 frames

recording procedures. While their study clearly

per second, and 24 hr of data played back in

demonstrates a first-nap effect, a number of

approximately 40 min. The videotape camera

questions remain unanswered. It is impossible

was placed approximately 4 ft above the in-

to distinguish reactions to maternal separation,

fant's body and was focused on the face and

reactions to the laboratory itself, and responses

upper trunk. The 24 hr were divided into six

to recording procedures. Additionally, only one

interfeeding intervals of approximately 4 hr

laboratory session was observed, and the pos-

each. A clock was placed outside the bassinet

sibility of adaptation was not investigated.

so that the time was visible in the videotape

picture. Because the infants were fed on a de-

The present study focused on the first-nap

mand basis, the mean durations for the six

effect in younger infants. The subjects were

interfeeding periods ranged from 204.8 min

studied longitudinally and cross-sectionally for

(3.4 hr) to 307.1 min (5.1 hr). Occasionally

24-hr sessions during the first 2 months of life.

an infant slept for short periods of time inter-

Sleep-waking states were observed before, dur-

spersed with partial feedings and other care-

ing, and after polygraphic procedures using

taking activities. These shorter interfeeding

videotape recordings of the infant's activity.

intervals were grouped together to keep the

It was hypothesized that both sleep and

periods as close to 4 hr as possible.

waking changes would follow preparation for

The first two periods were used to collect

polygraphic recordings but that adaptation

baseline information based on videotape obser-

would occur and the alterations would not last

vation without polygraphic instrumentation and

beyond one interfeeding interval. Since the

are referred to as "Pre 1" and "Pre 2." The

infants were institutionalized, being in the lab-

next three periods, totaling 12 hr, are called

oratory did not involve maternal separation

"Poly 1," "Poly 2," and "Poly 3." During these

or a trip from home. Any alterations that oc-

periods, nine Beckman silver-silver chloride

curred would therefore be attributable to the

microelectrodes were attached to the infant's

experimental procedures alone.

scalp and face with surgical tape and collodion

prior to a feeding. Polygraphic recordings were

Method

obtained following the feeding according to

standard procedures (Anders, Emde, & Parme-

Subjects.-The subjects were 24 normal

lee 1971), and video recording continued

infants 11-60 days of age who were residents

of a foundling nursery. Informed consent was simultaneously. Handling was kept to a mini-

obtained from their mothers prior to delivery. mum during electrode applications. The elec-

The infants were born between 36 and 43 trodes were removed prior to the sixth inter-

feeding interval, and sleep-waking activity was

weeks of gestational age with birth weights

monitored solely by the videotape recorder for

greater than 2,300 g and without major pre-

natal or perinatal complications. Eleven girls 4 additional hours. These last 4 hr are referred

and 13 boys were studied. No sex differences to as the "Post" period.

were observed.

Preparation for polygraphic recording and

Apparatus and procedure.-The subjects the experience of being recorded constitute

were randomly assigned to one of two groups: the experimental manipulation in this study.

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 Sostek and Anders 873

The actual assessment of sleep-waking activity

ments and REMs. Two observers independently

was therefore done using the videotape record-

scored the videotapes, and interrater reliability

ings alone, and the polygraphic information for state was .92.

was not analyzed. Preliminary analysis of the

validity of the videotape technique, however,

Results

indicated an overall correlation of .79 with the

polygraphic recordings. All of the data were converted to percent-

ages in order to study the proportions of each

Some environmental changes were neces-

state during interfeeding intervals of unequal

sary in order to study the infant's sleep-waking

length. The durations of the five basic states

activity. The subjects were moved to a labora-

(active sleep, quiet sleep, drowsy, alert, and

tory which was equipped with a bassinet

fussy-crying) were computed as percentages of

smaller than the one to which they were ac-

two general states (total sleep and total

customed. The infant was also placed on his

awake), which in turn were tabulated as per-

back whenever possible in order to remain

centages of total recording time.

within camera range. Additionally, the over-

head light in the laboratory was brighter than

The experimental design includes longi-

the nursery and continued for 24 hr for filming

tudinal analyses across two age levels and

purposes. It was thought, however, that the

cross-sectional analyses for two groups of 8-

videotape-recording procedures would be a

week-olds. Responses to the six laboratory

relatively nonobtrusive form of measurement

periods are therefore presented in two sections.

and that these alterations in environmental

Data for the longitudinal subjects at 8 weeks

conditions would be less disturbing than the

of age are common to both sets of analyses.

polygraphic-recording procedures. It was hoped

Longitudinals at two age levels.-Although

that if the infants had any reactions to the

age differences similar to Wolff's (1973) find-

video-recording procedures, they would adapt

ings were noted for state durations, there were

before the two baseline periods were com-

no age differences in degree of responsivity to

pleted.

the laboratory conditions (see fig. 1). The

The infants were studied for 24 hr begin-

pooled responses of the longitudinal subjects

ning at one of three staggered onset times dur-

at 2 and 8 weeks were limited to shifts in

ing the day: 2 A.M., 10 A.M., or 6 P.M. Table 1

waking-state proportions. As indicated in table

outlines the schedule that accompanied each

2, which lists the mean percentages for each

of the three starting times. If the starting times

state across periods, there were no main effects

were not staggered, diurnal rhythms might

for active sleep, quiet sleep, total sleep, or total

superimpose themselves on the data collected,

awake. Latency to sleep was also unrelated to

and it would be impossible to separate the

laboratory procedures. Thus, sleep activity for

effects of the laboratory experiences from the

the longitudinal subjects at 2 and 8 weeks

effects of the times of day at which they oc-

taken together did not differ prior to, during,

curred.

or after polygraphic recording in the labora-

tory.

Behavioral states were scored from the

videotapes according to an adapted version

While the amount of total wakefulness did

of Wolffs (1973) criteria. The states scored

not change in response to laboratory conditions,

were active sleep, quiet sleep, drowsy, alert,

waking time was organized differently across

and fussy-crying. The aspects of physiologic

periods. Drowsiness differed across the six

activity best observable on the time-lapse

periods, F (5,45) = 6.75, p < .0005 (see table

videotapes were generally phasic body move-

2 and fig. 1). The longitudinal infants reacted

TABLE 1

THREE TIME SCHEDULES OF LABORATORY CONDITIONS

Poly

Starting Time Pre 1 and 2 1, 2, and 3 Post

10 AM. ............ .......10 A.M.- 6 P.M_ 6 P.M.- 6 A.M. 6 A.M.-10 A.M.

6 P.M. ................... 6 P.M.- 2 A.M. 2 A.M.- 2 P.M. 2 P.M.- 6 P.M.

2 A.M. ....................2 A.M.-10 A.M. 10 A.M.-10 P.M. 10 P.M.- 2 A.M.

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 874 Child Development

Alertness also differed during the series of

60 .FUSSY-CRYING

manipulations, F(5,45) = 8.42, p < .001.

40 ,

Alertness was low when the infants first experi-

enced being in the laboratory and then in-

20-.._, 2 wks

creased after 4 hr (Pre 1 vs. 2, p < .05).

8 wks

20 8 wks
After the electrodes were applied, alertness

decreased to an even lower level (Pre 2 vs.

Poly 1, p < .01; see table 2 and fig. 1). Alert-

ness again increased after 4 hr (Poly 1 vs.

2, p < .05; Poly 1 vs. 3, p < .01).

100 - ALERT

Fussy-crying comprised the balance of

waking time and also differed across periods,

80

F (5,45) = 7.58, p < .0001. The infants reacted

8 wks

60 A with a high level of fussy-crying in Pre 1,

which decreased by Pre 2 (Pre 1 vs. 2, p <

S40 2 wks
.05). Fussy-crying became even higher after

electrode application (Pre 2 vs. Poly 1, p <

.01). During the next 8 polygraph hours, fussy-

20

crying decreased sharply as the infants adapted

0IIIIII
to having the electrodes in place (Poly 1 vs.

2, p < .05; Poly 1 vs. 3, p < .01). Fussy-crying

remined at a low level during Post.

40 DROWSY

Longitudinals and cohorts--The experi-

ence of previous sleep recordings did not

20 -t 2 wks

affect the organization of behavioral states dur-

- "" 8 wks

ing a subsequent recording 6 weeks later. There

were no group differences between the longi-

12123

tudinal and cohort subjects at 8 weeks of age.

Pre Poly Post

Their responses to the experimental procedures

were pooled and resemble the reactions of the

FIG. 1.-The organization of waking activity

longitudinal subjects at 2 and 8 weeks reported

under different laboratory conditions; longitudinals

above. Total sleep and total awake did not vary

at 2 and 8 weeks.

significantly in response to the laboratory con-

ditions, but the states were organized differ-

with increased drowsiness during the first Poly

ently. These state changes were more extensive

period (Pre 2 vs. Poly 1, p < .01). After a

than the combined reactions of the longitudinal

reduction in drowsiness during Poly 2 and 3, it

subjects at two age levels, and were not limited

increased again during the Post period (Poly 3

to the waking states.

vs. Post, p < .05). The infants, therefore, dem-

onstrated increased drowsiness following elec-

Active sleep and quiet sleep (which are

trode application and removal.

reciprocals of one another) both differed across

TABLE 2

SLEEP-WAKING-STATE PERCENTAGES ACROSS PERIODS: LONGITUDINALS AT 2 AND 8 WEEKS (COMBINED)

PERIODS

STATE Pre 1 Pre 2 Poly 1 Poly 2 Poly 3 Post

Total sleep ................... 46.44 56.83 53.53 59.68 53.94 67.58

Total awake .................. 53.56 43.17 46.47 40.32 46.06 32.42

Active sleep .................. 55.78 54.04 50.01 57.73 49.67 58.04

Quiet sleep .................... 44.22 45.96 49.99 42.27 50.33 41.96

Drowsy* ..................... 7.68 4.93 14.65 10.68 7.90 14.23

Alert* ....................... 57.02 76.20 44.44 62.93 71.71 62.50

Fussy-crying* ................ 35.30 18.87 40.91 26.39 20.39 23.27

* p< .001.

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 Sostek and Anders 875

TABLE 3

SLEEP-WAKING-STATE PERCENTAGES ACROSS PERIODS: LONGITUDINALS AND COHORTS

AT 8 WEEKS (COMBINED)

PERIODS

STATE Pre 1 Pre 2 Poly 1 Poly 2 Poly 3 Post

Total sleep ................... 47.68 53.01 56.11 48.88 50.54 63.93

Total awake .................. 52.32 46.99 43.89 51.19 49.46 36.07

Active sleep* ................. 53.26 57.48 44.49 52.08 42.18 54.81

Quiet sleep* .................. 46.74 42.52 55.51 47.92 57.82 45.19

Drowsy* ..................... 6.94 5.91 12.55 8.27 7.20 19.76

Alert** ...................... 59.84 77.16 56.75 71.73 73.90 64.55

Fussy-crying*** .............. 33.22 16.93 30.70 20.00 18.90 15.69

* p <.05.

** p<.01.

** p <.001.

periods, F (5,90) = 3.02, p < .05. As reflected The data on active sleep indicate that,

in table 3 and figure 2, active sleep comprised although the amount of sleep was not affected

well over 50% of sleeping time prior to elec- by polygraphic-recording procedures, active

trode application but decreased to less than sleep was reduced in 8-week-old infants while

45% during Poly 1. Active sleep increased standard sleep electrodes were in place. Active

during Poly 2, which may be a form of REM sleep comprised less than 50% of total sleep

rebound, since it decreased again during Poly time during polygraphic recording, although it

3 (Poly 1 and 3 vs. the four other periods, was well over 50 % before and after the session.

F[1,90] = 13.5, p < .01). The proportions of

An additional index of the responsivity of

active and quiet sleep following electrode re-

sleep-waking states is the measure of latency to

moval were similar to the levels prior to elec-

sleep in minutes. Latency to sleep differed ac-

trode application.

cording to the laboratory conditions, F(5,90)

= 2.85, p < .05. The mean values for the six

periods were: 63.79, 58.71, 44.79, 61.58, 56.79,

80 - ACTIVE SLEEP

and 29.38 min (see fig. 3). The shortest

sleep latencies occurred during Poly 1 and Post,

with the least time needed to fall asleep fol-

lowing the acute stress of having the leads

60 applied and removed.

Changes in the waking activity of the lon-

gitudinals and cohorts at 8 weeks of age were

similar to the longitudinal data reported above.

- 40
Drowsiness differed across periods, F (5,90) =

3.56, p < .01 (see table 3 and fig. 4). The

infants reacted with increased drowsiness fol-

lowing electrode removal (Pre 2 vs. Post,

p < .01; Poly 3 vs. Post, p < .05). Drowsiness

20

following electrode application was at a high

(though not significantly different) level, and

the increase in drowsiness occurred during

those periods when latency to sleep was short-

est.

12123

Alertness also differed in response to the

laboratory conditions, F (5,90) = 4.44, p <

Pre Poly Post

.005. Alertness was lowest when the infant

first came into the laboratory and after elec-

Fro. 2.--Active sleep levels under different

trode application (see table 3 and fig. 4).

laboratory conditions; longitudinals and cohorts

at 8 weeks (combined). Alertness returned to a high level in both cases

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876 Child Development

data on adults. The degree of responsivity that

80 - SLEEP ONSET

we noted was not attributable to age or prior

experience with sleep-recording procedures.

Although the infants' responses to the

laboratory indicate their sensitivity to environ-

60

mental conditions, adaptation of the waking-

state responses did occur. The active and quiet

sleep changes of the 8-week-old infants in

response to the polygraphic procedures did not

adapt, however.
40

The increased fussy-crying that followed

coming into the laboratory and having the

leads applied strongly suggests that the infants

found the procedures stressful. Significantly,

20

the sleep changes observed in the present study

resemble other findings on sleep and stress.

Previous studies on infants (Anders & Chalem-

ian 1974; Emde, Harmon, Metcalf, Koenig, &

Wagonfeld 1971) found increased quiet sleep,

12123

shorter latency to sleep, and increased fussy-

Pre Poly Post

Fic. 3.-Latency to sleep under different

60 -FUSSY-CRYING

laboratory conditions; longitudinals and cohorts

at 8 weeks (combined).

40

20
after 4 hr as the infant became accustomed to

the procedures (Pre 1 vs. 2, p < .05; Poly 1

vs. 3, p < .05). The changes in alertness fol-

lowed the same pattern of reactivity in the

8-week cross-sectional analyses as they did in

the longitudinal data, but the adaptation was

100 ALERT

more rapid for the older groups.

80
Changes in fussy-crying also resembled

the reactions of the longitudinals at 2 and 8

S60 1
weeks of age. Fussy-crying differed for the lon-

gitudinals and cohorts at 8 weeks across the

S40

six experimental periods, F (5,90) = 4.88,

p < .001 (see table 3 and fig. 4). Fussy-crying

20
was highest during Pre 1 and Poly 1 (Pre 1 vs.

2, p < .05; Pre 2 vs. Poly 1, p < .01; Pre 1

0
vs. Post, p < .05). While adaptation was not

complete (Poly 1 vs. 2 or 3, N.S.), the infants

generally settled down 4 hr after the stress of

electrode application.

40 DROWSY

Discussion
20

The results of this study support the hy-

pothesis that a "first-nap" or laboratory effect

12123

exists in response to polygraphic-recording pro-

Pre Poly Post

cedures and also occurs in response to labora-

tory observation alone. Our findings are similar

FIc. 4.-The organization of waking activity

to Bernstein et al.'s (1973) observations of

under different laboratory conditions; longitudinals

4-month-old infants and Agnew et al.'s (1966) and cohorts at 8 weeks (combined).

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 Sostek and Anders 877

Anders, T.; Emde, R. N.; & Parmelee, A. H., Jr.

crying following circumcision. Brackbill (1975)

observed increased quiet sleep and shorter (Eds.) A manual for standardized terminol-

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Miyoshi 1968) and human adults (Baekeland

Health Service, National Institutes of Health,

& Lasky 1966) indicate similar increases in 1971.

NREM sleep, abrupt sleep onsets, and REM

Anders, T. F., & Weinstein, P. Sleep and its dis-

suppression following stress.

orders in infants and children: a review.

Pediatrics, 1972, 50, 312-324.

The immediate stress inherent in electrode

Baekeland, F., & Lasky, R. Exercise and sleep

application and removal produced a different

patterns in college athletes. Perceptual and

cluster of effects than did the prolonged stress

Motor Skills, 1966, 23, 1203-1207.

of being in the unfamiliar laboratory and actu--

Bell, R. Q. Sleep cycles and skin potential in new-

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borns studied with a simplified observation

discomfort involved in lead application and

and recording system. Psychophysiology, 1970,

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6, 778-786.
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chronic stress involved in trying to settle down Bernstein, P.; Emde, R.; & Campos, J. REM sleep

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Brackbill, Y. Continuous stimulation and arousal

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364-369.

Various researchers have emphasized the

Clausen, J.; Sersen, E. A.; & Lidsky, A. Variability

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K. L.; & Wagonfeld, S. Stress and neonatal

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Lewis, Bartels, & Goldberg 1967; Wolff 1973).

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