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Marie Bruyneel
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Department of Pneumology, CHU Saint-Pierre and CHU Brugmann, and Université Libre de Bruxelles, Brussels, Belgium marie.bruyneel@stpierre-bru.be
Bertien Buyse Department of Respiratory Diseases, UZ Leuven, Leuven, Belgium bertien.buyse@uzleuven.be
Louise Byrne Department of Respiratory Medicine, St James’ Hospital, Dublin, Ireland 1byrnelouise@gmail.com
Francesca Casoni Sleep Disorders Center, Vita-Salute San Raaele University, Milan, Italy casoni.francesca@hsr.it
Silvia V. Conde Universidade Nova de Lisboa Faculdade de Ciencias Medicas, Lisbon, Portugal silvia.conde@nms.unl.pt
Sarah Cullivan Department of Respiratory Medicine, St James’ Hospital, Dublin, Ireland sarahkcullivan@gmail.com
Sonia Deweerdt Department of Pneumology, UZ Brussel, and Vrije Universiteit Brussel, Brussels, Belgium Sonia.DeWeerdt@uzbrussel.be
Marijke Dieltjens Department of ENT, Antwerp University Hospital and University of Antwerp, Antwerp, Belgium marijke.dieltjens@uza.be
Marta Drummond Faculty of Medicine, University of Porto, and Centro de Responsabilida de Integrada de Sono e VNI, Centro Hospitalar Universitário de São João, Porto, Portugal marta.drummond@gmail.com
Marieke L. Duiverman Department of Pulmonary Diseases/ Home Mechanical Ventilation, University of Groningen, University Medical Center Groningen, Groningen, and Groningen Research Institute of Asthma and COPD, University of Groningen, University Medical Center Groningen, The Netherlands m.l.duiverman@umcg.nl
Refika Ersu Division of Pediatric Respirology, Children’s Hospital of Eastern Ontario, University of Ottawa, Ottawa, ON, Canada rersu@yahoo.com
Francesco Fanfulla Respiratory Function and Sleep Unit, Scientific Institutes of Pavia and Montescano IRCCS, Istituti Clinici Scientifici Maugeri, Pavia, Italy francesco.fanfulla@icsmaugeri.it
Brigitte Fauroux Pediatric Noninvasive Ventilation and Sleep Unit, AP-HP, Hôpital Necker-Enfants malades, Paris, France brigitte.fauroux@aphp.fr
Luigi Ferini-Strambi Department of Clinical Neurosciences, Neurology – Sleep Disorders Center, IRCCS San Raaele Scientific Institute, Milan, and “Vita-Salute” San Raaele University, Milan, Italy ferinistrambi.luigi@hsr.it
Andrea Galbiati Department of Clinical Neurosciences, Neurology – Sleep Disorders Center, IRCCS San Raaele Scientific Institute, Milan, and “Vita- Salute” San Raaele University, Milan, Italy andrea.galbiati.unisr@gmail.com
Sergio Garbarino Department of Neuroscience, Rehabilitation, Ophthalmology, Genetics and Maternal/Child Sciences (DINOGMI), University of Genoa, Genoa, Italy sgarbarino.neuro@gmail.com
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Robin Germany Division of Cardiovascular Diseases, University of Oklahoma, Oklahoma City, OK, USA robin-germany@ouhsc.edu
Maelle Guellerin
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University Grenoble Alpes, Grenoble, and Service Hospitalo-Universitaire Pneumologie et Physiologie, Grenoble, France MGuellerin2@chu-grenoble.fr Anna Heidbreder Department of Neurology, Medical University Innsbruck, Innsbruck, Austria anna.heidbreder@i-med.ac.at
Shahrokh Javaheri Montgomery Sleep Laboratory, Bethesda North Hospital, Cincinnati, OH, and University of Cincinnati, College of Medicine, Cincinnati, OH, USA shahrokhjavaheri@icloud.com
Athanasios Kaditis Division of Pediatric Pulmonology, Sleep Disorders Laboratory, First Department of Pediatrics, University of Athens School of Medicine and Agia Sofia Children’s Hospital, Athens, Greece kaditia@hotmail.com
Alexandros Kalkanis Department of Respiratory Diseases, UZ Leuven, Leuven, Belgium alexandros.kalkanis@uzleuven.be
Ulf Kallweit Clinic of Sleep and Neuroimmunology, Institute of Immunology, and Center for Biomedical Education and Research (ZBAF), University Witten/Herdecke, Witten, Germany Ulf.Kallweit@uni-wh.de
Georgios Kaltsakas Lane Fox Unit, Sleep Disorders Centre, Guy’s & St Thomas’ NHS Foundation Trust, and Centre for Human and Applied Physiological Sciences (CHAPS), School of Basic and Medical Biosciences, Faculty of Life Sciences & Medicine, King’s College London, London, UK georgios.kaltsakas@gstt.nhs.uk
Barry Kennedy Department of Respiratory Medicine, St James’ Hospital, Dublin, Ireland Bkennedy@stjames.ie
Brian D. Kent Department of Respiratory Medicine, St James’ Hospital, Dublin, and School of Medicine, Trinity College Dublin, Dublin, Ireland briankent@physicians.ie
Marie Marklund Department of Orthodontics, Faculty of Medicine, Umeå University, Umeå, Sweden marie.marklund@umu.se
Juan F. Masa Jiménez CIBER of Respiratory Diseases (CIBERES), Madrid, and Pneumology Service, San Pedro de Alcántara Hospital, Cáceres, Spain fmasa@separ.es
Frederik Massie ResMed Science Center, Leuven, Belgium, and Department of Engineering, Natural Interaction Lab, University of Oxford, Oxford, UK frederik.massie@eng.ox.ac.uk
Gisèle Maury Department of Respiratory Diseases, Université Catholique de Louvain, Yvoir, Belgium gisele.maury@chuuclnamur.uclouvain. be
Walter T. McNicholas School of Medicine, University College Dublin, and Department of Respiratory and Sleep Medicine, St. Vincent’s Hospital Group, Dublin, Ireland walter.mcnicholas@ucd.ie
Ludovico Messineo Division of Sleep and Circadian Disorders, Brigham and Women’s Hospital and Harvard Medical School, Boston, MA, USA ludovico.messineo@yahoo.it
Imran Johan Meurling Sleep Disorders Centre, Guy’s & St Thomas’ NHS Foundation Trust, London, UK johan.meurling@gstt.nhs.uk
Maria Paola Mogavero Sleep Disorders Center, Vita-Salute San Raaele University, Milan, Italy paola_mogavero@libero.it
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Emilia C. Monteiro
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CEDOC, Chronic Diseases Research Center, NOVA Medical School/ Faculdade de Ciências Médicas, Universidade Nova de Lisboa, Lisbon, Portugal
emilia.monteiro@nms.unl.pt Timothy I. Morgenthaler Center for Sleep Medicine, Division of Pulmonary, Critical Care, and Sleep Medicine, Mayo Clinic, Rochester, MN, USA tmorgenthaler@mayo.edu
Annabel H. Nickol Oxford Centre for Respiratory Medicine, Oxford University Hospital NHS Foundation Trust, Oxford, UK Annabel.nickol@ndm.ox.ac.uk
Dimitrios Papadopoulos Department of Respiratory Diseases, UZ Leuven, Leuven, Belgium dimitrios.papadopoulos@uzleuven.be
Athanasia Pataka Respiratory Failure Unit G Papanikolaou Hospital Thessaloniki, Aristotle University of Thessaloniki, Thessaloniki, Greece patakath@yahoo.gr
Jean-Louis Pépin University Grenoble Alpes, Grenoble, France jpepin@chu-grenoble.fr
Elisa Perger Istituto Auxologico Italiano, IRCCS, Sleep Disorders Center & Department of Cardiovascular, Neural and Metabolic Sciences, San Luca Hospital, and Department of Medicine and Surgery, University of Milano-Bicocca, Milan, Italy elisaperger@hotmail.com
Dirk Pevernagie Department of Respiratory Medicine, Ghent University Hospital, and Department of Internal Medicine and Paediatrics, Faculty of Medicine and Health Sciences, Ghent University, Ghent, Belgium Dirk.Pevernagie@UGent.be
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Victor R. Ramírez Molina Hospital H+ Querétaro, Querétaro, Mexico victorraul_26@hotmail.com
Renata L. Riha Department of Sleep Medicine, Royal Infirmary of Edinburgh, and University of Edinburgh, Edinburgh, UK rlriha@hotmail.com
Ivana Rosenzweig Sleep and Brain Plasticity Centre, Neuroimaging, IoPPN, King’s College London, London, UK ivana.1.rosenzweig@kcl.ac.uk
Silke Ryan School of Medicine, University College Dublin, and Pulmonary and Sleep Disorders Unit, St Vincent’s University Hospital, Dublin, Ireland silke.ryan@ucd.ie
Bernardo Selim Respiratory Care Unit, Division of Pulmonary, Critical Care, and Sleep Medicine, Mayo Clinic, Rochester, MN, USA selim.bernardo@mayo.edu
Marco Sforza Department of Clinical Neurosciences, Neurology – Sleep Disorders Center, IRCCS San Raaele Scientific Institute, Milan, and “Vita- Salute” San Raaele University, Milan, Italy marco.sforza@gmail.com
Neeraj M. Shah Lane Fox Unit, Sleep Disorders Centre, Guy’s & St Thomas’ NHS Foundation Trust, and Centre for Human and Applied Physiological Sciences (CHAPS), School of Basic and Medical Biosciences, Faculty of Life Sciences & Medicine, King’s College London, London, UK neeraj.shah@gstt.nhs.uk
Ambra Stefani Department of Neurology, Neurological Clinical Research Institute, Massachusetts General Hospital, Boston, MA, USA, and Department of Neurology, Sleep Disorders Clinic, Medical University of Innsbruck, Innsbruck, Austria astefani2@mgh.harvard.edu, ambra. stefani@i-med.ac.at
Joerg Steier
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Lane Fox Unit, Sleep Disorders Centre, Guy’s & St Thomas’ NHS Foundation Trust, and Centre for Human and Applied Physiological Sciences (CHAPS), School of Basic and Medical Biosciences, Faculty of Life Sciences & Medicine, King’s College London, London, UK joerg.steier@kcl.ac.uk
Renaud Tamisier University Grenoble Alpes, Grenoble, and Service Hospitalo-Universitaire Pneumologie et Physiologie, Grenoble, France rtamisier@chu-grenoble.fr
Hui-Leng Tan Department of Pediatric Respiratory Medicine, Royal Brompton Hospital, London, UK H.Tan@rbht.nhs.uk
Luigi Taranto-Montemurro Division of Sleep and Circadian Disorders, Brigham and Women’s Hospital and Harvard Medical School, Boston, MA, USA ltarantomontemurro@bwh.harvard.edu
Dries Testelmans Department of Respiratory Diseases, UZ Leuven, Leuven, Belgium dries.testelmans@uzleuven.be
Michel Toussaint Centre de Référence Neuromusculaire, Department of Neurology, Cliniques Universitaires de Bruxelles, Hôpital Erasme, Université libre de Bruxelles (ULB), Brussels, Belgium Michel.Toussaint@erasme.ulb.ac.be
Ha Trang University of Paris; AP-HP, University Hospital Robert Debré; Paediatric Sleep Centre, Centre of reference for CCHS, Paris, France ha.trang@aphp.fr
Piet-Heijn van Mechelen Stichting Apneu Research, Bentveld, the Netherlands phvanmechelen@gmail.com
Olivier Vanderveken Multidisciplinary Sleep Disorders Centre, Antwerp University Hospital and University of Antwerp, Antwerp, Belgium olivier.vanderveken@uantwerp.be
Johan Verbraecken Multidisciplinary Sleep Disorders Centre, Antwerp University Hospital and University of Antwerp, Antwerp, Belgium johan.verbraecken@uza.be
Stijn Verhulst Department of Pediatrics, Antwerp University Hospital and Lab of Experimental Medicine and Pediatrics, University of Antwerp, Antwerp, Belgium stijn.verhulst@uantwerpen.be
Maria Pia Villa Department of Pediatrics, Sleep Disease Centre, University of Rome La Sapienza-Sant’Andrea Hospital, Rome, Italy mariapia.villa@fondazione.uniroma1.it
Steven Vits Faculty of Medicine and Health Sciences, University of Antwerp, Antwerp, and ResMed Science Center, Leuven, Belgium Steven.Vits@student.uantwerpen.be
Peter J. Wijkstra Department of Pulmonary Diseases/ Home Mechanical Ventilation, University of Groningen, University Medical Center Groningen, Groningen, and Groningen Research Institute of Asthma and COPD, University of Groningen, University Medical Center Groningen, The Netherlands p.j.wijkstra@umcg.nl
Conflicts of interest
Disclosures for all authors are given at https://doi.org/10.1183/9781849841641.coi
xiii
List of abbreviations
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AHI apnoea–hypopnoea index ASV adaptive servo ventilation BMI body mass index BP blood pressure BPAP bilevel positive airway
pressure
CHF congestive heart failure CPAP continuous positive airway
pressure
CSA central sleep apnoea CSR Cheyne–Stokes respiration CVD cardiovascular disease COPD chronic obstructive
pulmonary disease
DBP diastolic BP EDS excessive daytime
sleepiness
EEG electroencephalography EMG electromyography ENT ear, nose and throat EOG electrooculography EPAP expiratory positive airway
pressure
ESS Epworth Sleepiness Scale FVC forced vital capacity FRC functional residual capacity FEV1 forced expiratory volume
in 1 s
HF heart failure ICSD International Classification
of Sleep Disorders
IPAP inspiratory positive airway
pressure
MRI magnetic resonance imaging MSLT Multiple Sleep Latency Test NIV noninvasive ventilation NREM non-rapid eye movement OHS obesity hypoventilation
syndrome
OSA obstructive sleep apnoea OSAS OSA syndrome OSLER Oxford Sleep Resistance Test
P
arterial carbon dioxide
aCO
2
tension
P
arterial oxygen tension
aO
2
PAP positive airway pressure PSG polysomnography
P
transcutaneous carbon
tcCO
2
dioxide tension
REM rapid eye movement SAHS sleep apnoea–hypopnoea
syndrome
S
arterial oxygen saturation
aO
2
SDB sleep disordered breathing SBP systolic blood pressure V'E minute ventilation
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Preface
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Respiratory sleep medicine is a rapidly evolving discipline in pneumology. Since the first edition of the ERS Handbook of Respiratory Sleep Medicine, we have seen significant progress in the pathophysiological understanding of the various endotypes of obstructive sleep apnoea, described distinct phenotypes based on symptoms and comorbidities, and gained insights into the limitations and potential of biomarkers. This helps us to reformulate a pure mechanistic understanding of the disease. Moreover, we have proceeded from a generic definition of the disease based on the apnoea–hypopnoea index to its replacement by outcome-oriented or patient-related biomarkers. Similarly, we are currently discovering important information about the dierent phenotypes of central sleep apnoea and its optimal, personalised treatment. Finally, large randomised controlled studies have produced unexpected results, that underline the urgent need for a change in study design and use of refined statistical analysis based on large number of patients. Therefore, an update of the ERS Handbook of Respiratory Sleep Medicine is clearly necessary.
Sleep medicine is a true multidisciplinary field. Sleep physicians are referred and treat patients from all specialties of medicine. Therefore, we are grateful for the contributions from colleagues, not only from pulmonary medicine, but also from neurology, paediatrics, psychiatry and ENT, among others.
We have worked to ensure the book provides a valuable update, not only for experienced sleep specialists, but also for trainees, nurses and allied healthcare professionals. Our aim is to focus on practical aspects, tips and advice based on clinical practice and up-to-date guidelines.
We are really grateful to everyone who contributed to this edition.
Maria R. Bonsignore, Winfried Randerath, Sophia E. Schiza and Anita K. Simonds Chief editors
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Neurobiology and
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physiology of sleep and breathing
Ivana Rosenzweig, Silvia V. Conde and Emilia C. Monteiro
Sleep has been defined as a recurring, reversible neurobehavioural state of psychomotor arrest with increased arousal threshold. This neurobehavioural state is facilitated by relative perceptual disengagement and unresponsiveness to the environment. Sleep involves sets of complex interactions in the central nervous system and all other body systems that are still far from being fully understood. As humans, we spend up to third of our lives in this universal neurobehavioural state that has been observed in all species of animals and which is commonly accompanied by postural recumbence, behavioural quiescence and closed eyes.
The neural regulation of the sleep–wake cycle
During sleep, the brain continues to be active in complex series of stages that repeat itself in a characteristic pattern. Healthy human sleep comprises two states, REM and NREM sleep, which alternate cyclically across a sleep episode. The timing and quality of sleep are determined by intricate interplay of ultradian, homeostatic and circadian factors.
Circadian and homeostatic signals are integrated in diencephalic brain structures. Circadian sleep rhythm is among several intrinsic body rhythms modulated by the hypothalamus. Its rhythmicity is based on an interlocking positive–negative feedback mechanism that controls gene transcription in the suprachiasmatic nucleus (SCN) of
Key points
• Glutamatergic neurons in the parabrachial nucleus provide main ascending arousal influence from the brainstem.
• Cycles of NREM and REM sleep alternate throughout the night in a predictable manner.
• HRV varies with gender, age, previous hypoxic exposures and sustained CO2 tension, and can be modified if hypoxia is sustained or intermittent.
• Reductions in BP and heart rate occur during NREM sleep phase (dipping phenomenon).
• Peaks in BP and heart rate variability are characteristic of REM and transitions from NREM sleep, and associated to high cardiovascular morbidity in the early morning.
1ERS Handbook: Respiratory Sleep Medicine
Neurobiology and physiology
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the hypothalamus. The physiological mechanism of the circadian rhythm is probably initiated by light striking particular cells in the retina of the eye. These cells then secrete a hormone that causes the SCN to signal the pineal body to stop secreting melatonin. The SCN sets the body’s ‘clock’ to 24.2 h; light exposure and schedule clues entrain this to the 24-h cycle. Circadian rhythm disruption can have severe health implications in multiple organ systems. Recently, the presence of secondary or peripheral oscillators has been demonstrated throughout the body. Whilst they act independently, they are all nonetheless synchronised with the SCN, as well as other external cues, such as temperature and timing of meals. The best method of measuring the circadian rhythm includes monitoring the core body temperature and salivary or plasma melatonin levels.
Previous models of brain circuitry controlling homeostatic wake–sleep focused on monoaminergic and cholinergic arousal systems. However, recent evidence suggests that these may play a modulatory role, and that the backbone of the wake–sleep regulatory system depends upon glutamate and γ-aminobutyric acid (GABA) fast neurotransmitters (figure 1).
The brain transitions from a slow-wave state to REM sleep (figure 2), the brain state with a faster, low voltage EEG and loss of muscle tone (atonia), associated with REMs. The REM sleep is likely generated by a population of glutamatergic neurons in the region just ventral to the locus coeruleus, in the region oen referred to as the subcoeruleus region. The ventrally based neurons from this region instigate motor atonia due to activation of inhibitory interneurons in the medulla and the spinal cord. REM sleep is associated with EEG desynchronisation, the source of which is yet unknown. However, all the nearby regions that project to the forebrain, namely the parabrachial nucleus, pedunculopontine and laterodorsal tegmental nucleus, also contain REM-active neurons. Similarly, it is not known which circuitry underlies the activation of eye movements but some studies suggest that they may be due to short projections to the paramedian pontine reticular formation. A main control over the REM generator is through inhibitory, mostly GABAergic neurons in the nearby ventrolateral periaqueductal grey matter, at the level where the cerebral aqueduct begins to open into the fourth ventricle.
Normal sleep architecture
Sleep has a unique structure with a cyclical pattern composed of dierent sleep stages and transitions between them. Sleep architecture is traditionally represented by a graph called a hypnogram (figure 3). Sleep architecture and stages can be evaluated by PSG, which evaluates brain activity using specific scalp EEG channels and eye movements with EOG electrodes. Other EMG electrodes, and respiratory and cardiac monitoring are also required.
In 1968, Rechtschaen, Kales and a committee of experts established the rules for the scoring of sleep in normal human adults, on which the current American Academy of Sleep Medicine (AASM) scoring is based. The sleep scoring assesses data seen in sequential 30-s images (epochs) of PSG.
The dierent sleep stages of NREM–REM cycling are associated with diverse physiological changes. In adults, sleep is most oen initiated through NREM sleep and is marked by synchronisation of EEG activity. NREM sleep has increased parasympathetic tone with slow heart rate, low BP and decreased respiratory rate. Body temperature is lowest during NREM sleep. During REM sleep, autonomic instability with bursts of sympathetic activity causes irregular heart rate and transient increases in BP. Similarly,
2
ERS Handbook: Respiratory Sleep Medicine
Neurobiology and physiology
a) b)
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LH GABA
BF
SUM
(ACh,
(Glu,
GABA)
GABA)
Hypothalamus
Pons
Medulla
Thalamus
LH
(ORX)
TMN
(Hist)
Raphe (5HT)
vPAG
(DA)
LDT (ACh)
PPT (ACh)
PB, PPT (Glu)
LC (NA)
(GABA, Gal)
Hypothalamus
Cerebellum
Brainstem
MNPO
VLPO
Thalamus
MCH
TMN SUM (Hist,
Glu)
Pons
Medulla
ORX
Raphe (5-HT)
(NA)
LC
(GABA)
PFZ
vPAG (DA)
LDT (ACh)
PPT (ACh)
PB
Cerebellum
Brainstem
Figure 1. a) A schematic presentation of the fast neurotransmitter systems that have the largest role in promoting wakefulness. The monoaminergic, cholinergic and peptidergic neurons in the brainstem and hypothalamus, which were prominent in earlier models, are here shown in brown. They play a modulatory role and lesions in these locations have little eect on wake–sleep amounts. The backbone of the arousal system is shown here in red: this is the glutamatergic input from the parabrachial nucleus (PB) and pedunculopontine tegmental nucleus (PPT) to the basal forebrain, and the GABAergic and cholinergic neurons in the basal forebrain (BF) that diusely innervate the cerebral cortex. Lesions at these sites result in loss of consciousness, whereas lesions of supramammillary (SUM) glutamatergic or dopaminergic (DA) neurons in the ventral periaqueductal grey matter (vPAG) near the dorsal raphe nucleus commonly cause 20% loss of wake time. Additionally, two populations of GABAergic neurons in the lateral hypothalamus (LH), shown in purple, may also promote wakefulness by inhibiting sleep promoting neurons in the thalamus and preoptic area. b) A schematic presentation of the fast neurotransmitter systems that contribute to sleep promotion (purple). Ventrolateral preoptic (VLPO) and median preoptic (MnPO) GABAergic neurons send axons to most components of the arousal system (shown in red, orange and green), and are thought to inhibit them in a coordinated fashion. Parafacial zone (PFZ) GABAergic neurons in the medulla have a pro-hypnotic eect by inhibiting the parabrachial glutamatergic arousal neurons. Melanin-concentrating hormone (MCH) neurons in the lateral hypothalamus contain both GABA and glutamate (Glu), and may be able to release them at dierent terminal sites, including neurons in the brainstem that control REM sleep. 5HT: serotonin; ACh: acetylcholine; Hist: histamine; LC: locus coeruleus; LDT: laterodorsal tegmental nucleus; NA: noradrenaline; ORX: orexin; TMN: tuberomammillary nucleus. Reproduced and modified from Saper et al. (2017) with permission from the publisher.
during REM, respiratory rate increases, but the ventilatory drive responding to hypoxia and hypercapnia decreases. A healthy nocturnal pattern of sleep (figure 3) commonly includes several consistent features. It starts with NREM N1 and progresses through deeper NREM stages (N2 and N3), before the first episode of REM sleep occurs approximately 80–100 min later. Aer that, NREM and REM sleep cycle with a period of 90 min. The 90-min NREM–REM cycle is repeated approximately three to six times during the night, with N3 sleep stages being more concentrated in the early NREM cycles, while REM sleep episodes lengthen through the night. The preferential occurrence of NREM sleep (e.g. slow-wave sleep (SWS)) early in the night is coincidental with sleep homeostasis, while the predominance of REM sleep later in the night is thought to be associated with the circadian rhythm of core body temperature. The transition from wake to sleep can be dicult to determine as there are typically brief periods of drowsiness with transient bursts of wakefulness before sleep consolidation.
3ERS Handbook: Respiratory Sleep Medicine