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Sleep Medicine 6 (2005) 2936

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Original article
Topographic mapping of the spectral components
of the cyclic alternating pattern (CAP)
Raffaele Ferria,*, Oliviero Brunib, Silvia Mianoa, Mario G. Terzanoc
a
Department of Neurology I.C., Sleep Research Centre, Oasi Institute for Research on Mental Retardation and Brain Aging (IRCCS), Troina, Italy
b
Department of Developmental Neurology and Psychiatry, Centre for Pediatric Sleep Disorders, University of Rome La Sapienza, Rome, Italy
c
Department of Neurology, Sleep Disorders Center, University of Parma, Parma, Italy
Received 30 March 2004; received in revised form 28 June 2004; accepted 30 June 2004

Abstract

Background and purpose: The aim of this study was to define quantitatively the spectrum content of the sleep pattern termed cyclic
alternating pattern (CAP) A phases, their scalp topography and their probable cortical generators, by using data from sleep polygraphic
recordings that included a large number of scalp EEG channels.
Patients and methods: Polysomnographic recording that include 19 EEG channels were obtained from 5 normal healthy young controls.
After sleep staging, for each subject, 5 different CAP A phase subtype epochs were selected, which served for subsequent analysis. Following
the analysis of power spectra calculated on the C4 channel by means of the fast Fourier transform, two different frequency bands were
detected: 0.252.5 and 712 Hz, representing the frequency peak in the profiles of the different CAP subtypes. All the subsequent analyses
were performed on these two bands. Scalp topographic color mapping was carried out using the data from all the 19 EEG channels recorded,
and by means of the 4-nearest neighbor algorithm. Individual average maps were obtained for both frequency bands. Finally, we used the low
resolution brain electromagnetic tomography (LORETA) functional imaging for the source analysis of the two EEG frequency components
of CAP A phases.
Results: The quantitative spectral analysis of the different A phase subtypes shows the existence of two distinct spectral components
characterizing CAP subtypes A1 (0.252.5 Hz) and A3 (712 Hz). These two components coexist in CAP A2 subtypes. The topography of
these two components shows a clear prevalence over the anterior frontal regions for the 0.252.5 Hz band and over the parietaloccipital
areas for the 712 Hz band. Finally, the generators of the low-frequency component of CAP seemed to be localized mostly over the frontal
midline cortex; on the contrary, those of the high-frequency band involved both midline and hemispheric areas within the parietal and
occipital areas.
Conclusions: The results of this study confirm the presence of two fundamentally distinct frequency bands which are expressed
individually (A1 and A3) or in association (A2) in the different CAP A phase subtypes. The analysis of scalp distribution maps indicates that
the two frequency components recognized are distributed over clearly different areas of the scalp. Moreover, the LORETA analysis indicates
that also the probable cortical generators of these two frequency bands are different and well separated and distinct.
q 2004 Elsevier B.V. All rights reserved.

Keywords: Cyclic alternating pattern (CAP); Scalp EEG topography; Cortical generators; EEG bands; Low resolution brain electromagnetic tomography

1. Introduction during NREM sleep with a specific form described as


cyclic alternating pattern or CAP [1,2], which consists
Sleep EEG contains a large amount of phasic events, of transient arousal complexes (phase A) which interrupt
such as sleep spindles, K-complexes, vertex waves, short- periodically the tonic theta/delta activities of NREM
lasting arousals, etc. These phasic events can occur sleep (phase B). Functionally, CAP is believed to
indicate a condition of sustained arousal instability
* Corresponding author. Tel.: C30-935-936111; fax: C39-935-653327. oscillating between a greater arousal level (phase A)
E-mail address: rferri@oasi.en.it (R. Ferri). and a lesser arousal level (phase B). In this view,
1389-9457/$ - see front matter q 2004 Elsevier B.V. All rights reserved.
doi:10.1016/j.sleep.2004.06.010
30 R. Ferri et al. / Sleep Medicine 6 (2005) 2936

the absence of CAP might coincide with a condition of 2. Subjects and methods
arousal stability, characterized by the lack of arousal-
related phasic events and defined as non-CAP.
2.1. Subjects and polysomnographic recording
With the terms synchronization and desynchronization,
Terzano et al. [1,2] referred mostly to the frequency content
Five normal healthy controls (4 females and 1 male, aged
of CAP A phases; synchronization was expressed by the low
2032 years) were included in this study. They all had
frequency components of K-complexes and delta bursts
regular life routine, did not smoke and did not take any
during sleep stages 24, and desynchronization was
alcohol drink in the 3 days preceding the study.
reflected by the high frequency components (in the alpha
All subjects underwent one overnight polysomnographic
and beta bands) in all sleep stages. recording, after one adaptation night, which comprised
The different frequency content of CAP A phases is one EOG (2 channels), EEG (19 channels, electrodes placed
of the most important features allowing their visual according to the 1020 International System referred to
subclassification into three subtypes [3]: linked earlobes, see Fig. 1 for channel details), EMG of the
Subtype A1. A phases in which EEG synchrony is the submentalis muscle and ECG (see Fig. 1). Recordings were
predominant activity. In A1 phases the following carried out using a Brain Quick Micromed System 98
activities are included: intermittent alpha rhythm and recording machine and signals were sampled at 256 Hz and
vertex sharp waves during stage 1, and sequences of stored on hard disk in European data format (EDF) [5] for
K-complexes or delta bursts in other NREM stages. If further analysis. EEG signals, in particular, were digitally
present, EEG desynchronization occupies less than 20% band-pass filtered at 0.1120 Hz, 12-bit A/D precision.
of the entire phase A. Subtype A1 is generally associated Sleep stages were scored following standard criteria [4]
with mild autonomic and somatomotor activity. on 30-s epochs; subsequently, CAP and NCAP sequences
Subtype A2. A phases which contain a mixture of slow were visually detected in each recording, during S2 and
and rapid EEG activities. In A2 phases the following SWS, according to the rules defined by Terzano et al. [3],
activities are included: K-alpha, arousal preceded by and manually marked on screen by means of the sleep
slow wave synchronization and polyphasic bursts with analysis software Hypnolab 1.2 (SWS Soft, Italy). For each
more than 20% but less than 50% of EEG desynchro- subject, five different CAP A phase subtype epochs were
nization. Subtype A2 is linked with a moderate increase selected, with a minimum duration of 4 s. This number was
of muscle tone and/or cardio-respiratory rate. chosen because the number of A3 CAP subtypes (without
Subtype A3. A phases with predominant EEG desyn- evident movement and/or muscle artifacts) usually found in
chronization, including arousals, transient activation normal sleepers is low; this would have not allowed the
phases or polyphasic bursts with more than 50% of collection of a bigger number of epochs. Consequently, also
EEG desynchronization. Subtypes A3 are coupled with the number of the other subtypes was kept the same, in order
an enhancement of muscle tone and/or cardiorespiratory to have a reliable comparison between them.
rate.
2.2. Spectral analysis of CAP a phase subtypes
CAP rate is generally defined as the percentage of
NREM sleep or of each NREM sleep stage occupied by Power spectra were calculated for the C4 channel using
CAP sequences [1,2]. This type of approach has been the sleep analysis software Hypnolab 1.2 (SWS Soft, Italy),
conditioned by the common practice in sleep labs of after Welch windowing wn Z 1K n1=2N K 1=1=2
including only a limited number of derivations in the N C 12 ; in order to minimize the truncation error and
polysomnographic recordings and by the internationally reduce spectral leakage by suppressing sidelobes [6], by
accepted rules which only request one EEG channel [4], means of the Fast Fourier Transform [7], on the first 4-s
even if additional EEG channels are required [3] for artifact-free epochs from the different CAP A phase
CAP scoring. However, the significant advancements in subtypes selected before. Individual averages were
computer technology of the last years now allows the obtained, followed by group averages; these final averages
recording and analysis of a large number of channels (and SD) were plotted for frequencies between 0.25 and
with limited additional effort. 32.0 Hz. After a first analysis of the power spectra profiles,
In this paper we present the results of the analysis of the two different frequency bands were detected: 0.252.5 and
CAP A phases in a group of healthy normal controls, by 712 Hz, representing the low-frequency peak in the
means of a computerized approach in order to define profiles of the A1 and A2 CAP subtypes and the high-
quantitatively their spectrum content, their scalp topography frequency peak observed in the spectral profiles of the A2
and their probable cortical generators and relative inter- and A3 subtypes, respectively (see Section 3). All the
connecting pathways, by using data from sleep polygraphic subsequent analyses were performed on these two bands
recordings that include a large number of scalp EEG calculated, respectively, from the A1 and A3 CAP subtypes
channels. previously selected.
R. Ferri et al. / Sleep Medicine 6 (2005) 2936 31

2.3. Scalp topographic mapping of the spectral


components of CAP

Scalp topographic mapping was carried out, for the


two bands described above, using the data from all the
19 EEG channels recorded and using the 4-nearest

Fig. 1. Example of our multichannel polygraphic recordings in which a typical sequence of CAP A phases is evident, marked by boxes; 60 s of recording are shown.
neighbor algorithm. With this approach, for every point
of the output map, a weighted average of the four closest
recorded data points (EEG channels) is performed; the
weighting factor used was 1/d2i , where di is the distance
from the point being interpolated to the data point i [8].
Different levels of spectral density were represented on a
color scale adjusted for each subject. Maps consisted of
128!128 pixels on the axial and sagittal planes (right
and left side views) and were obtained by means of the
sleep analysis software Hypnolab 1.2 (SWS Soft, Italy).
Also in this case, individual average maps were obtained
for both frequency bands.

2.4. Cortical source analysis of CAP by low resolution


brain electromagnetic tomography

We used the so-called low resolution brain electro-


magnetic tomography (LORETA) functional imaging for
the source analysis of the two EEG frequency com-
ponents of CAP A phases, which has been extensively
tested with simulation paradigms [9,10] and is presently
used by several independent labs worldwide. LORETA
computes 3-D linear solutions (LORETA solutions) for
the EEG inverse problem within a three-shell spherical
head model including scalp, skull, and brain compart-
ments. The brain compartment is restricted to the cortical
gray matter/hippocampus and is coregistered to the
Talairach probability brain atlas, digitized at the Brain
Imaging Center of the Montreal Neurologic Institute [11].
This compartment includes 2394 voxels (7-mm resol-
ution), each voxel containing an equivalent current
dipole. LORETA solutions consist of voxel current
density values able to predict EEG spectral power
density at scalp electrodes.
Solutions of the EEG inverse problem are under-
determined and ill-conditioned when the number of
spatial samples (electrodes) is lower than that of the
unknowns (current density at each voxel). To account for
that, cortical LORETA solutions predicting scalp
EEG spectral power density are regularized to estimate
distributed rather than punctual EEG sources [9,10]. As a
result, the spatial resolution of regularized
LORETA solutions is much lower than that of SPECT
or PET.
Individual average representations of the LORETA
solution were obtained for both frequency bands
considered in this study (from A1 and A3 CAP subtypes)
which were used to compute group grand averages.
32 R. Ferri et al. / Sleep Medicine 6 (2005) 2936

3. Results between 0.25 and 2.5 Hz. The same peak is also evident in
the spectrum obtained from the A2 subtype, with slightly
Fig. 1 shows an example of the appearance of a typical smaller height than in the spectrum of the A1 subtype. In
CAP sequence in our polysomnographic recordings. In this this case, however, also more power is evident in the
example, the different A CAP subtypes are shown in boxes; frequencies ranging approximately between 7 and 12 Hz.
the gaps between the different boxes correspond to the B The last spectral profile, obtained from the A3 subtype, is
phase of the CAP cycles. dominated by the presence of an evident peak in the alpha
Fig. 2 shows the results the spectral analysis of the band, at around 9 Hz, followed by some power expressed in
different CAP A subtypes. These spectra are the group grand the high alpha and low beta bands (up to 1213 Hz).
averages and also the SD of the mean is shown (dotted Fig. 3 displays the results of the topographic scalp
lines). This analysis clearly shows that, as expected from the mapping of the two frequency bands detected above; in
visual detection rules, the spectrum of the A1 subtype is particular, the low-frequency band (0.252.5 Hz) shows,
characterized by a prominent peak in the low delta range, in the different subjects, a clear prevalence over the
anterior frontal regions, mostly over the midline and
symmetrically spreading over the two hemispheres. On
the contrary, the high-frequency band (712 Hz) involves
mostly the parietaloccipital areas; also in this case, a
symmetrical distribution is evident with the peak over the
midline. In this band, a more variable distribution than
that of the slow-frequency band is evident in the different
subjects.
Fig. 4 shows, on the top, the results (grand average) of this
analysis at 1 Hz, representative of the probable cortical
generators of the slow-frequency component of CAP
obtained in our normal subjects. With this approach, the
generators of the low-frequency component of CAP seem to
be localized mostly over the frontal midline cortex. The same
figure shows, on the bottom, the results of LORETA at 9 Hz,
representative of the probable cortical generators of the high-
frequency component of CAP, which involve both midline
and hemispheric areas within the parietal and occipital areas.
Finally also CAP A2 phase subtypes were individually
analyzed by means of the LORETA method; however, in
this case we subdivided them into two parts: the first
(Fig. 5(a)) contained generally low-frequency components
with a cortical distribution not distinguishable from that
of the low-frequency component of CAP A1 phases, and
the last part (Fig. 5(b)) with high-frequency content and
probable cortical generators not distinguishable from
those of the high-frequency component of CAP A3
phases.

4. Discussion

The results of this study confirm the visual rules for CAP
detection based on the presence of two fundamentally
distinct frequency bands [3] which are expressed individu-
ally (A1 and A3) or in association (A2) with the different
CAP A phase subtypes. In addition, from the quantitative
spectral point of view, these bands seem to be well
separated, without overlap between them. In this study we
have directed our attention to the computerized analysis of
these two frequency components.
Fig. 2. Results of the power spectrum analysis. Spectra were obtained from The analysis of scalp distribution maps indicate that
the C4 channel. the two frequency components recognized by the visual
R. Ferri et al. / Sleep Medicine 6 (2005) 2936 33

Fig. 3. Scalp topographic mapping of the two frequency components of CAP considered in this study.

and spectral analysis are distinct and map over clearly but analyzed phasic activities, most of which were surely
different areas of the scalp. Moreover, the LORETA part of CAP sequences, such as the study by Happe et al.
analysis indicates that these two frequency bands are [14], who focused their attention on spontaneous
different not only from the frequency and scalp distribution K-complexes and delta waves; also these authors found
points of view but also their probable cortical generators are that the power of the slow component of these waves shows
well separated and distinct. a peak over the medio-frontal regions. Interestingly, these
This is also evident in the analysis of CAP A2 phase authors found that the delta frequency components of
subtypes (Fig. 5), which show in their first part a cortical K-complexes and delta waves are unaffected by spindles;
distribution not distinguishable from that of the low- spindles are not considered in the scoring of CAP [3]. In
frequency component of CAP (characteristic of A1 addition, evoked K-complexes seem to map over the
subtypes) and in their last part probable cortical generators midfrontal areas [15] and the same frontal predominance
not distinguishable from those of the high-frequency of the delta band was reported in another study by Finelli et
component of CAP (typically evident in A3 subtypes). It al. [16] in which spectra were obtained by averaging a large
is important to emphasize that this association is not casual number of epochs.
and that the low-frequency component of CAP precedes the In this respect, one must consider that averaging EEG
occurrence of the high-frequency rhythms in the vast epochs is potentially able to induce a serious distortion of
majority of CAP A2 phases [12,13]. the results because sleep is rich in phasic events which, by
It is important to underline that our results, even if definition, have a short duration and their contribution to
obtained by averaging a relatively small number of epochs, average results can be very variable, depending not only on
seem to be in agreement with those obtained by other the sleep stage but also on the presence or absence of CAP
authors who did not point their attention to the CAP phases sequences. Moreover, in the vast majority of studies on
34 R. Ferri et al. / Sleep Medicine 6 (2005) 2936

Fig. 4. Low resolution brain electromagnetic tomography (LORETA) functional imaging for the cortical source analysis of the two EEG frequency components
of CAP, at 1 and 9 Hz.

sleep many A3 phases (which often contain movement of epochs might have affected seriously the results obtained
artifacts and muscle potential contamination) have been by Coatanhay et al. [17] who applied LORETA to the study
considered as artifacts and excluded from the analysis. We of sleep potentials but averaged a large number of epochs
think that the problems induced by averaging a large amount from REM, stage 2 and slow wave sleep; they indicated

Fig. 5. Low resolution brain electromagnetic tomography (LORETA) functional imaging for the source analysis of the two EEG frequency components of
CAP, at 1 Hz (indicated as A2 (a) and 9 Hz (indicated as A2 (b). In particular, A2 a was obtained from the first 2 s of activity of the A2 CAP phase shown on the
left and A2 b from the following 2 s.
R. Ferri et al. / Sleep Medicine 6 (2005) 2936 35

the left inferior temporal lobe as the cortical generator of the longitudinal association fiber system that connects
delta waves during slow-wave sleep and the left inferior each frontal lobe with its respective hemisphere [31,32]. We
frontal cortex as the cortical generator of delta waves during think that these important bundles might be of crucial
sleep stage 2. However, it is difficult to understand why only importance for the integration of the activity of frontal
these authors obtained lateralized source generators for generators and parieto-occipital generators of CAP. In this
potentials which have repeatedly been described as bilateral respect, it should be noted that through these bundles
and symmetrical in the literature [1416]. nervous signals can be transferred from the frontal lobes to
The significance of the slow components of CAP phase A the parietal and occipital areas (and vice versa) in as few as
subtypes, as EEG expression of cerebral activation during 15 ms or less [33]; this speed might account for the probable
sleep, has been a point of controversy for long time. This is reciprocal inhibition during A1 and A3 CAP phases, which
because the slow EEG components of sleep, such as might be so fast that only one frequency component is
K-complexes and transient delta activities, were excluded evident on the scalp. However, these considerations are
by the criteria of detection of arousals during sleep, defined highly speculative and more research is needed in order to
by the American Sleep Disorders Association [18], unless clarify the complex interactions between sleep and wake-
these patterns are associated with an EEG frequency shift fulness neurophysiological mechanisms, probably taking
towards theta, alpha or beta rhythms; the latter were place during CAP in human sleep.
considered to be the true markers of cortical arousal.
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