Wakefulness and Sleep

Biological Psychology
Thirteenth Edition
Chapter 8
Wakefulness and Sleep
© 2019 Cengage. All rights reserved.

8.1 Rhythms of Waking and Sleeping
• Early psychologists believed that cycles of wakefulness

and sleep were dependent upon external stimuli
• Curt Richter in 1922 proposed that the body generates
its own cycles of activity and inactivity

Endogenous Circannual Rhythms
• Some animals generate endogenous circannual

rhythms, internal mechanisms that operate on an
annual or yearly cycle
– Example: birds migratory patterns; animals storing food
for the winter

Endogenous Circadian Rhythms
• All animals produce endogenous circadian rhythms,

internal mechanisms that operate on an approximately
24-hour cycle
– Sleep cycle
– Frequency of eating and drinking
– Body temperature
– Secretion of hormones
– Urination
– Sensitivity to drugs

Setting and Resetting the Biological Clock
(1 of 2)
• The purpose of the circadian rhythm is to keep our
internal workings in phase with the outside world
• The human circadian clock generates a rhythm slightly
longer than 24 hours when it has no external cue to set
it
• Resetting our circadian rhythms is sometimes
necessary

Setting and Resetting the Biological Clock
(2 of 2)
• Zeitgeber: German meaning “time giver”; refers to the
stimulus that resets the circadian rhythm
– Examples: sunlight, tides, exercise, meals, arousal of
any kind, meals, temperature of environment, and so on.
– Depression, irritability, and impaired job performance are
effects of using something other than sunlight as a
zeitgeber

Jet Lag
• Refers to the disruption of the circadian rhythms due to

crossing time zones
– Stems from a mismatch of the internal circadian clock
and external time
– Sleepiness during the day, sleeplessness at night, and
impaired concentration
• Traveling west “phase-delays” our circadian rhythms
• Traveling east “phase-advances” our circadian rhythms

Jet Lag—More Difficult Flying East

Shift Work
• Sleep duration depends on when one goes to sleep

• Working at night does not reliably change the circadian
rhythm
– Even after long periods of working at night, people can
still feel groggy, sleep poorly during the day, and body
temperature peaks while sleeping instead of while
working
• People adjust best to night work if they sleep in a very
dark room during the day and work under very bright
lights at night

Morning People and Evening People
• Cycles can differ between people and lead to different

patterns of wakefulness and alertness
• Change as a function of age
– Young children are morning people
– Adolescents are often night people
• As an adult, it partially depends upon genetics

Mechanisms of the Biological Clock
• Mechanisms of the circadian rhythms

– The suprachiasmatic nucleus (SCN)
– Genes that produce certain proteins
– Melatonin levels

The Suprachiasmatic Nucleus (SCN)
• The main control center of the circadian rhythms of

sleep and temperature
– Located above the optic chiasm and part of the
hypothalamus
• Damage to the SCN results in less consistent body
rhythms that are no longer synchronized to
environmental patterns of light and dark

The Suprachiasmatic Nucleus (SCN)
of Rats and Humans

The Suprachiasmatic Nucleus (SCN) and
the Retinohypothalamic Path
• Light resets the SCN via a small branch of the optic
nerve called the retinohypothalamic path
– Travels directly from the retina to the SCN
• The retinohypothalamic path comes from a special
population of ganglion cells that have their own
photopigment called melanopsin
– The cells respond directly to light and do not require any
input from the rods or cones

The Biochemistry of the Circadian Rhythm
• Two types of genes are responsible for generating the

circadian rhythm
– Period: produce proteins called PER
– Timeless: produce proteins called TIM
• PER and TIM proteins increase the activity of certain
kinds of neurons in the SCN that regulate sleep and
waking
– Mutations in the PER gene result in odd circadian
rhythms or decreased alertness if deprived of a good
night’s sleep

Melatonin (1 of 2)
• The SCN regulates waking and sleeping by controlling

activity levels in other areas of the brain
• The SCN regulates the pineal gland, an endocrine
gland located posterior to the thalamus
• The pineal gland secretes melatonin, a hormone that
increases sleepiness

Melatonin (2 of 2)
• Melatonin secretion usually begins two to three hours

before bedtime
• Melatonin feeds back to reset the biological clock
through its effects on receptors in the SCN
• Melatonin taken in the afternoon can phase-advance
the internal clock and can be used as a sleep aid

8.2 Stages of Sleep and Brain Mechanisms
• Sleep is a specialized state evolved to serve particular

functions
• What are the mechanisms for producing sleep?

Sleep
• Sleep is a state that the brain actively produces

– Characterized by a moderate decrease in brain activity
and decreased response to stimuli
• Sleep differs from the following states:
– Coma, vegetative state, minimally conscious state, and
brain death

Other Interruptions of Consciousness
(1 of 2)
• Coma: extended period of unconsciousness
characterized by low brain activity that remains fairly
steady
– Person shows little response to stimuli
• Vegetative state: person alternates between periods of
sleep and moderate arousal but no awareness of
surrounding
– Some autonomic arousal to painful stimulus
– No purposeful activity/response to speech

Other Interruptions of Consciousness
(2 of 2)
• Minimally conscious state: one stage higher than a
vegetative state marked by occasional brief periods of
purposeful action and limited speech comprehension
• Brain death: no sign of brain activity and no response to
any stimulus

Stages of Sleep—EEG
• The electroencephalograph (EEG) allowed researchers

to discover that there are various stages of sleep
– Allows researchers to compare brain activity at different
times during sleep
• A polysomnograph is a combination of EEG and eye-
movement records

Brain Activity Recorded on an EEG
During Sleep

Relaxation and Stage 1 Sleep
• Alpha waves are present when one begins a state of

relaxation
• Stage 1 sleep is when sleep has just begun
– The EEG is dominated by irregular, jagged, and low
voltage waves
– Brain activity begins to decline

Stage 2 Sleep
• Stage 2 sleep is characterized by the presence of:

– Sleep spindles: 12- to 14-Hz waves during a burst that
lasts at least half a second
– K-complex: a sharp wave associated with temporary
inhibition of neuronal firing

Slow Wave Sleep—Stage 3 and Stage 4
• Stage 3 and stage 4 together constitute slow wave

sleep (SWS) and is characterized by:
– EEG recording of slow, large amplitude wave
– Slowing of heart rate, breathing rate, and brain activity
– Highly synchronized neuronal activity

Paradoxical or REM Sleep
• Rapid eye movement sleep (REM) describes periods

characterized by rapid eye movements during sleep
– Also know as paradoxical sleep: deep sleep in some
ways, but light sleep in other ways
• EEG waves are irregular, low-voltage, and fast
• Postural muscles of the body are more relaxed than
other stages

Polysomnograph Records

NREM and REM Cycles (1 of 2)
• Stages other than REM are referred to as non-REM

sleep (NREM)
• When people fall asleep, they progress through stages
1, 2, 3, and 4 in sequential order
– After about an hour, the person begins to cycle back
through the stages from stage 4 to stages 3 and 2 and
then REM
– The sequence repeats with each cycle lasting
approximately 90 minutes

NREM and REM Cycles (2 of 2)
• Stages 3 and 4 sleep predominate early in the night

– Length of stage decreases as the night progresses
• REM sleep is predominant later at night
– Length increases as the night progresses
• REM is strongly associated with dreaming, but people
also report dreaming in other stages of sleep

Typical Sequences of Sleep Stages

Brain Mechanisms of Wakefulness and
Arousal—The Reticular Formation
• Various brain mechanisms are associated with
wakefulness and arousal
• The reticular formation is a part of the midbrain that
extends from the medulla to the forebrain and is
responsible for arousal

Arousal—The Pontomesencephalon
• The pontomesencephalon, a part of the reticular
formation in the midbrain, contributes to cortical arousal
– Axons extend to the hypothalamus, thalamus, and basal
forebrain, which release acetylcholine, glutamate, or
dopamine
– Produce excitatory effects to widespread areas of the
cortex
– Stimulation of the pontomesencephalon awakens
sleeping individuals and increases alertness in those
already awake

Arousal—The Locus Coeruleus
• The locus coeruleus is a small structure in the pons
whose axons release norepinephrine to arouse various
areas of the cortex and increase wakefulness
– Usually dormant while asleep

Arousal—The Hypothalamus
• The hypothalamus contains neurons that release
“histamine” to produce widespread excitatory effects
throughout the brain
– Antihistamines produce sleepiness

Arousal—Orexin
• The lateral and posterior nuclei of the hypothalamus
releases orexin
– Orexin is a peptide neurotransmitter and is sometimes
also called hypocretin
– Needed to stay awake rather than wake up
– Orexin is released by cells into the basal forebrain to
stimulate neurons responsible for wakefulness and
arousal
– The basal forebrain is an area just anterior and dorsal to
the hypothalamus

Arousal—GABA and Acetylcholine
• Cells of the basal forebrain release the inhibitory
neurotransmitter GABA
– Inhibition provided by GABA is essential for sleep
• Other axons from the basal forebrain release
acetylcholine, which is excitatory and increases arousal

Brain Mechanisms of Sleeping
and Waking

Sleep and the Inhibition of Brain Activity
• Functions of the inhibitory neurotransmitter GABA are

also important for:
– Decreasing the temperature and metabolic rate
– Decreasing the stimulation of neurons

Sleep as a Local Phenomenon
• Sleep can be localized within the brain

– Sleepwalkers: awake in one part of the brain and asleep
in others
– Lucid dreaming: dreaming but aware of being asleep and
dreaming
– The pons remaining in REM while other brain areas wake
up: causes the inability to move

Brain Structures for Arousal and Sleep
Neurotransmitter(s)
Structure Effects on Behavior
It Releases
Acetylcholine,
Pontomesencephalon Increases cortical arousal
glutamate
Increases information storage during
Locus Coeruleus Norepinephrine
wakefulness; suppresses REM sleep
Excites thalamus and cortex;
Basal Forebrain
Acetylcholine increases learning, attention; shifts
(Excitatory Cells)
sleep from NREM to REM
Basal Forebrain
GABA Inhibits thalamus and cortex
(Inhibitory Cells)
Hypothalamus (parts) Histamine Increases arousal
Maintains wakefulness
Hypothalamus (parts) Orexin
Dorsal Raphe and Pons Serotonin Interrupts REM sleep

Brain Activity in REM Sleep (1 of 3)
• During REM sleep:

– Activity increases in the pons and the limbic system
– Activity decreases in the primary visual cortex, the motor
cortex, and the dorsolateral prefrontal cortex

• REM sleep is also associated with a distinctive pattern

of high-amplitude electrical potentials
• Waves of neural activity are detected first in the pons,
then in the lateral geniculate of the hypothalamus, and
then the occipital cortex

• Cells in the pons send messages to the spinal cord,

which inhibits motor neurons that control the body’s
large muscles
– Prevents motor movement during REM sleep
• REM is also regulated by serotonin and acetylcholine
– Drugs that stimulate acetylcholine receptors quickly
move people to REM

https://www.youtube.com/watch?v=Of
cP2vuje-Q
Click icon to add picture

Sleep Disorders
• Insomnia: A sleep disorder associated with inadequate

sleep
– Caused by a number of factors, including noise, stress,
pain, diet, and medication
– Can also be the result of disorders such as epilepsy,
Parkinson’s disease, depression, anxiety or other
conditions
– Dependence on sleeping pills or alcohol and shifts in the
circadian rhythms can also result in insomnia

Sleep Disorders as a Result of
Phase Delay

Sleep Apnea
• A sleep disorder characterized by the inability to

breathe while sleeping for a prolonged period of time
– Consequences: sleepiness during the day, impaired
attention, depression, and sometimes heart problems
– Causes: genetics, hormones, old age, obesity and
deterioration of the brain mechanisms that control
breathing
– Effects: cognitive impairment may result

Medical Options to Improve
Sleep Apnea

https://www.youtube.com/watch?v=Uc
pf_OYvs4E
Click icon to add picture

Narcolepsy (1 of 2)
• A sleep disorder characterized by frequent periods of

sleepiness
– Attacks of sleepiness during the day
– Gradual or sudden attack of sleepiness
– Occasional cataplexy: muscle weakness triggered by
strong emotions
– Sleep paralysis: inability to move while falling asleep or
waking up
– Hypnagogic hallucinations: dreamlike experiences

Narcolepsy (2 of 2)
• Seems to run in families, although no gene has been

identified
• Caused by lack of hypothalamic cells that produce and
release orexin
• Primary treatment is with stimulant drugs (i.e., Ritalin),
which increase wakefulness by enhancing dopamine
and norepinephrine activity

Periodic Limb Movement Disorder
• The repeated involuntary movement of the legs and

sometimes the arms while sleeping
– Legs kick once every 20–30 seconds for periods of
minutes to hours
– Usually occurs during NREM sleep

REM Behavior Disorder
• Associated with vigorous movement during REM sleep

– Usually associated with acting out dreams
• Research suggest that inadequate GABA and other
inhibitory neurotransmitters may be responsible

Night Terrors and Sleepwalking (1 of 2)
• Night terrors are experiences of intense anxiety from

which a person awakens screaming in terror
– Usually occurs in NREM sleep
• “Sleepwalking” runs in families, mostly occurs in young
children, and occurs mostly in stage 3 or 4 sleep
– Not associated with dreaming

Night Terrors and Sleepwalking (2 of 2)
• It is not dangerous to wake a sleepwalker

• A condition similar to sleepwalking is sexsomnia:
engaging in sexual behavior while asleep
• Can pose a threat to romances and marriages

8.3 Why Sleep? Why REM? Why Dreams?
• We’ve evolved mechanisms to force us to sleep

• Inhibitory processes in our brains force us to become
less aroused and less alert, and thus to sleep

Functions of Sleep
• Some of the many functions of sleep include:

– Resting muscles
– Decreasing metabolism
– Performing cellular maintenance in neurons
– Reorganizing synapses
– Strengthening memories

Sleep and Energy Conservation
• The original function of sleep was probably to conserve

energy
• Conservation of energy is accomplished via:
– Decrease in body temperature of about 1–2 Celsius
degrees in mammals
– Decrease in muscle activity

Hibernation is Analogous to Sleep
• Decrease in body temperature to only slightly above

that of the environment
• Heart rate and brain activity drop to almost nothing
• Neuron cell bodies shrink, and dendrites lose almost a
fourth of their branches
– Replaced later when body temperature increases

Species Differences in Sleep (2 of 2)

Sleep and Memory (1 of 2)
• Sleep also plays an important role in enhancing

learning and strengthening memory
– Performance on a newly learned task is often better the
next day if adequate sleep is achieved during the night
• Increased brain activity occurs in the area of the brain
activated by a newly learned task while one is asleep

Sleep and Memory (2 of 2)
• Patterns of activity in the hippocampus during learning

were similar to those shown during sleep
– Suggests that the brain replays its daily experiences
during sleep
• The brain strengthens some synapses and weakens
others during sleep
• Sleep spindles increase in number after new learning:
correlated with nonverbal IQ

Functions of REM Sleep
• Research is inconclusive regarding the exact functions

of REM
• During REM:
– The brain may discard useless connections
– Learned motor skills may be consolidated
• Maurice (1998) suggests the function of REM is simply
to shake the eyeballs back and forth to provide
sufficient oxygen to the corneas

The Relationship Between Age and
REM Sleep for Humans

Biological Perspectives on Dreaming
• Biological research on dreaming is complicated by the

fact that subjects cannot often accurately remember
what was dreamt
• Two biological theories of dreaming include:
– The activation-synthesis hypothesis
– The neurocognitive hypothesis
– https://www.youtube.com/watch?v=h6zQQ3yJa0Q

The Activation-Synthesis Hypothesis
• Suggests that dreams begin with spontaneous activity

in the pons, which activates many parts of the cortex
– The cortex synthesizes a story from the pattern of
activation
– Normal sensory information is sometimes integrated, but
usually is not
– When dreaming, you really can’t move; this is also a
common dream

The Neurocognitive Hypothesis (1 of 2)
• Places less emphasis on the pons, PGO waves, or

even REM sleep
– Suggests that dreams are similar to thinking, just under
unusual circumstances
• Similar to the activation synthesis hypothesis in that
dreams begin with arousing stimuli that are generated
within the brain
– Stimulation is combined with recent memories and
information from the senses

The Neurocognitive Hypothesis (2 of 2)
• Because the brain is getting little information from the

sense organs, images are generated without
constraints or interference
• Arousal cannot lead to action as the primary motor
cortex and the motor neurons of the spinal cord are
suppressed
• Activity in the prefrontal cortex is suppressed, which
impairs working memory during dreaming

The Neurocognitive Hypothesis—
Conditions
• Activity is high:
– In the inferior part of the parietal cortex, an area
important for visual-spatial perception
 Patients with damage report problems in binding body
sensations with vision and have no dreams
– In areas outside of V1, accounting for the visual imagery
of dreams
– In the hypothalamus and amygdala, which accounts for
the emotional and motivational content of dreams

The Neurocognitive Hypothesis—
Summary
• Either internal or external stimulation activates parts of
the parietal, occipital, and temporal cortex
• Lack of sensory input from V1 and no criticism from the
prefrontal cortex creates the hallucinatory perceptions

Wakefulness and Sleep

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Biological Psychology

© 2019 Cengage. All rights reserved.

• Early psychologists believed that cycles of wakefulness

© 2019 Cengage. All rights reserved.

• Some animals generate endogenous circannual

© 2019 Cengage. All rights reserved.

• All animals produce endogenous circadian rhythms,

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• Refers to the disruption of the circadian rhythms due to

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• Sleep duration depends on when one goes to sleep

© 2019 Cengage. All rights reserved.

• Cycles can differ between people and lead to different

© 2019 Cengage. All rights reserved.

• Mechanisms of the circadian rhythms

© 2019 Cengage. All rights reserved.

• The main control center of the circadian rhythms of

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• Two types of genes are responsible for generating the

© 2019 Cengage. All rights reserved.

• The SCN regulates waking and sleeping by controlling

© 2019 Cengage. All rights reserved.

• Melatonin secretion usually begins two to three hours

© 2019 Cengage. All rights reserved.

• Sleep is a specialized state evolved to serve particular

© 2019 Cengage. All rights reserved.

• Sleep is a state that the brain actively produces

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• The electroencephalograph (EEG) allowed researchers

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• Alpha waves are present when one begins a state of

© 2019 Cengage. All rights reserved.

• Stage 2 sleep is characterized by the presence of:

© 2019 Cengage. All rights reserved.

• Stage 3 and stage 4 together constitute slow wave

© 2019 Cengage. All rights reserved.

• Rapid eye movement sleep (REM) describes periods

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• Stages other than REM are referred to as non-REM

© 2019 Cengage. All rights reserved.

• Stages 3 and 4 sleep predominate early in the night

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

© 2019 Cengage. All rights reserved.

• Functions of the inhibitory neurotransmitter GABA are

© 2019 Cengage. All rights reserved.

• Sleep can be localized within the brain

© 2019 Cengage. All rights reserved.