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  1. (School of Computer and Information Engineering, Kwangwoon University / Seoul, Korea {bjybs123, shchoi}@kw.ac.kr )
  2. (Department of Computer Engineering, Kwangwoon University / Seoul, Korea jaewonan95@gmail.com )



Sleep stage classification, Deep learning, Biosignals, Non-contact sensing

1. Introduction

Sleep is an essential time for physical and mental health recovery, and people spend more than one-third of their lives sleeping. Sleep quality plays a crucial role in learning, fatigue recovery, and daily life. Furthermore, insufficient sleep can decrease concentration during the day, contribute to daytime sleepiness, and increase the risk of cardiovascular disease [1,2] and obesity [3]. Furthermore, prolonged sleep deprivation causes insomnia, which interferes with work, family, and healthy life. The paradigm of global healthcare is changing from diagnosis and treatment to prevention, prediction, and personalization. Sleep must be monitored accurately to prevent sleep disorders and provide customized solutions.

Polysomnography (PSG) is a systematic process for assessing sleep. PSG measures the following biosignals during the night: electroencephalogram (EEG), electrooculogram (EOG), electrocardiogram (ECG), electromyogram (EMG), respiration, SpO2, and other signals. The sleep stages are classified based on these signals. They are divided into five distinct stages based on the American Academy of Sleep Medicine (AASM) [4]: wake, non-rapid eye movement (NREM stages 1-3), and rapid eye movement (REM). The sleep stages are scored in 30-second units based on the characteristics of the biosignals. Sleep scoring is a time-consuming and labor-intensive process. To solve these limitations, an automatic sleep scoring studies have been published. Automatic sleep classification research is divided into studies that classify sleep stages into three, four, or five stages. When the sleep stages are divided into three, they are classified as wake, NREM, and REM. In the case of four stages, they are classified as wake, light sleep (NREM1+NREM2), deep sleep (NREM3), and REM sleep. With five stages, the stages are classified as wake, NREM1-3, and REM sleep. The classification of sleep stages three, four, or five in the papers to be reviewed later means the above division.

Many studies have been conducted to classify sleep stages using conventional machine learning algorithms. For example, Adnane et al. [5] classified the sleep-wake stages using a support vector machine (SVM) with single-lead ECG signals; the mean classification accuracy was 79.31%. Fraiwan et al. [6] proposed a random forest-based sleep scoring method with a single EEG signal with an accuracy of 83%.

Structural shallowness is a challenging issue in machine learning approaches. Pei et al. [7] reported that machine-learning algorithms could not extract deeply hidden properties from biomedical signals due to the shallow single-layer structure. Furthermore, conventional machine learning methods require feature engineering, which is a process of converting given data into features that can represent issues in predictive models to improve the model performance. Feature engineering is essential in machine learning and significantly affects model performance. For that, domain knowledge and expertise is needed. Deep learning methods are becoming more popular because they generate features automatically in multiple layers. Deep neural networks have recently been used to classify sleep stages by extracting properties from biomedical signals.

As deep learning research has accelerated, deep learning approaches for sleep stage classification studies have been published. This review paper examines the methods of deep learning model architectures. Furthermore, sleep stage classification research using EEG, ECG, and multi-fusion biosignals based on deep learning were reviewed. In addition, studies using non-contact radar, which are presented as alternatives for long-term sleep monitoring at home, were reviewed.

2. Deep Learning Architectures

Many deep learning models have been proposed for sleep research. This chapter introduces the characteristics of representative deep learning models. Convolutional neural networks (CNN) are deep learning architectures that learn directly from data without manual feature extraction. Simard et al. [8] proposed a simplified CNN architecture that extracted features by converting them to coarse resolutions through convolution with high-resolution filters of different sizes. Furthermore, CNN is used widely in image and video classification [9]. In addition, they can be used to classify time series, audio signals, and nonimage data. A CNN consists of dozens or hundreds of layers that extract the features of the input. A filter was applied to the input at each layer, and the output was used as an input at next layer. Krizhevsky et al. [9] trained high-resolution images on a large-scale CNN to classify them into 1000 different classes from the ImageNet LSVRC-2010 contest. The authors reported a low margin error of 15.3%. Zhao et al. [10] classified ten different time-series data groups using CNN and obtained better results than previous methods from accuracy and noise tolerance. This model is used in sleep stage classification research based on the characteristics of CNNs that automatically learn features from 1D or 2D signals.

Recurrent neural networks (RNN) are deep learning architectures that take variable-length sequential or time-series data. Furthermore, RNNs are used widely in image captioning and natural language processing (NLP) [11,12]. The major difference between RNN and other neural networks, such as CNN, is that RNN extracts information from previous input data that affect the current input and output. On the other hand, RNNs have vanishing gradient problems that interfere with the learning of long data sequences. RNN parameters are updated by gradients that carry information, and as gradients become smaller, parameter updates become insignificant, so there is no real learning.

A long short-term memory (LSTM) network has been developed as an RNN model to solve the vanishing gradient issue [13]. The key to LSTM is cell state. The cell state determines which information should be retained or neglected and which information affects the next time step. Furthermore, LSTM can remove or add information to a cell state regulated by a structure called a gate that moves along the entire chain through linear interaction. Biosignals are affected by the autonomic nervous system and change over a short time or change slowly over a certain period. Based on the AASM manual [4], there is a rule for determining the sleep stage of the current epoch (30s) by considering the characteristics of the previous epoch signals. In this view, the LSTM is an appropriate deep learning model to extract information from previous signals and learn meaningful features.

3. Literature Review

3.1 Sleep Stage Classification using EEG Signal

EEG biosignals play a key role in sleep stages classification based on the AASM manual [4]. The spectral characteristics of the EEG biosignals are used for the main features to determine the sleep stages. The main characteristics of EEG at each stage are as follows. In the wake stage, the alpha rhythm of the 8-13 Hz appears, and in the NREM1 stage, low-amplitude, mixed EEG activity (LAMF) of 4-7 Hz appears. The K complex and sleep spindles, which are distinct sinusoidal waves, are seen in the NREM2. The slow wave activity of 0.5-2 Hz and LAMF activity appears during NREM3 and REM stage, respectively. Because of the above EEG characteristics, various sleep stage classification studies have been performed using the EEG signals only.

Vilamala et al. [14] classified five-class sleep stages using a pretrained visual geometry group deep convolutional network (VGGNet). The spectral image was produced from the EEG signal and then input to the deep learning model. Classification accuracy was 86%. Simonyan et al. [15] proposed that VGGNet improved performance in large-scale image recognition with more layers. First, VGGNet was trained as a feature extractor (VGG-FE). Second, the author updated all the weights in the network and obtained a fine-tuned network (VGG-FT). The EEG signals were fed into both the VGG-FE and VGG-FT. The overall classification accuracies of both models were 83% and 86%, respectively. Ebrahimi et al. [16] suggested an artificial neural network (ANN) model for four-class sleep stages classification. They used the time-frequency domain of single-channel EEG signals with a relatively high accuracy of 93.7${\pm}$3.7%. Michielli et al. [17] proposed two cascaded LSTM models. The first LSTM classified four sleep stages, in which NREM1 and REM are merged, and the second LSTM classifies NREM1 and REM sleep stages. An overall accuracy of 86.7% was achieved for the five-class sleep stages classification. Yildirim et al. [18] adopted a 1-D CNN using PSG signals for the five-class sleep stage classification, and an overall accuracy of 90.82% was obtained.

Table 1. Sleep Stage Classification Studies using EEG signals.

Study

Architecture

# of Sleep Stages

N

(PSG recordings)

Input Feature

Performance

[16]

ANN

4

7

wavelet packet transformed EEG signal

Acc = 93.7 ± 3.70%

[23]

CNN

4

18

raw EEG signal

Acc = 71.00 ± 2.71%

[14]

VGG-FE

5

20

Fourier Transformed image

Acc = 83%

VGG-FT

Acc = 86%

[17]

Two cascaded LSTM

5

12

power spectral density, energy spectral density,

amplitude spectral density

Acc = 86.70%

[18]

1-D CNN

5

8

Raw EEG signal

Acc = 90.82%

[19]

CNN and BiRNN

5

61

Raw EEG signal

Acc = 84.26%

κ = 0.79

[20]

Two CNN and bi-directional LSTM

5

62

Raw EEG signal

Acc = 86.20%

κ = 0.80

[21]

CNN and uni-directional LSTM

5

62

Raw EEG signal

Acc = 87.50%

κ = 0.82

[22]

MLP

5

154

Power Spectral Density

Acc = 89.00%

${\kappa}$ : cohen’s kappa coefficient

In [19,20], the authors proposed a novel model using a two-step training algorithm that extracted features from raw EEG signals based on neural networks. Mousavi et al. [19] proposed a sequence-to-sequence model with an attention mechanism. The model used a decoder-encoder architecture, where the decoder collects the information for the label, and the encoder captures the dependencies between the inputs and labels. The model classified five-class sleep stages using a CNN as a decoder and bidirectional RNN as an encoder with an overall accuracy of 84.26%. Supratak et al. [20] proposed an architecture consisting of two CNNs with different filter sizes and bidirectional LSTM, where the CNNs extract the time-invariant features and LSTM encodes temporal information. The architecture classified five classes of sleep stages with an accuracy of 86.2%. In addition, Supratak et al. [21] a deep learning model was proposed using a CNN and unidirectional LSTM to classify five-class sleep stages. Better performance was achieved with an accuracy of 87.5% compared to previous studies [19,20] using the same dataset.

Recently, Hussain et al. developed a multi-layer perceptron (MLP) model to classify five-class sleep stages using three-channel EEG signals, and an overall accuracy of 89% was achieved [22]. Zhao et al. [23] trained three LSTM models using EEG, ECG, and both EEG and ECG data to classify four-class sleep stages. The model using EEG signals classified four-class sleep stages with an accuracy of 71.88 ${\pm}$ 2.71%.

Most studies have observed that this approach has the limitations of a single biosignal. In particular, EEG signals cannot capture the patterns related to EOG and EMG, which are significant for classifying the NREM and REM sleep stages. In addition, the NREM1 stage cannot be easily classified because the proportion of its stages is very low and inter-rater variability for NREM1 scoring is higher than the other sleep stages [24].

3.2 Sleep Stage Classification using ECG Signal

An analysis of the ECG data during sleep provides significant information on sleep stage regulation [25]. Autonomic nervous system (ANS) is closely related to the sleep structure, and the sympathetic activity increases during wake and REM sleep, and the parasympathetic activity increases as the NREM stage processes [26,27]. The activity of the ANS affects the regulation of the cardiovascular system, which can be used in the sleep stage classification models.

Urtnasan et al. [28] proposed a deep convolutional recurrent (DCR) model consisting of three CNN and two RNN layers. A single-lead ECG signal was used with no vital intermediate features extracted. The model classified the five- and three-class sleep stages with overall accuracies of 74.2% and 86.4%, respectively. Radha et al. [29] trained an RNN model to classify four-class sleep stages with ECG data. The model classified sleep stages with an accuracy of 71.88 ${\pm}$ 8.34%. The classification was improved using photoplethysmography (PPG) signals by transferring and freezing a subset of the ECG model weights into the PPG model with an accuracy of 76.36 ${\pm}$ 7.57%. In addition, the LSTM model using ECG signals from [23] was used to classify the four-class sleep stages with an accuracy of 68.00 ${\pm}$ 2.54%.

Radha et al. [30] extracted the heart rate variability (HRV) features from inter-beat intervals computed from ECG signals. The author classified the four-class sleep stages using multilevel bidirectional LSTM with an accuracy of 77.0 ${\pm}$ 8.90%. Li et al. [31] extracted HRV, and ECG-derived respiration (EDR) features from ECG signals. Four- and three-class sleep stages were classified with CNN with accuracies of 75.4% and 81.6%, respectively. Sridhar et al. [32] proposed a CNN approach using instantaneous heart rate (IHR) derived from ECG to classify four sleep stages with an overall accuracy of 77%. Wei et al. [33] classified five-class sleep stages using LSTM with single-lead ECG signals. The average accuracy of the proposed method was 71.16%. Tang et al. [34] suggested a four-class sleep stage classification model with a CNN and gated recurrent unit (GRU) using an ECG signal. The model exhibited the highest accuracy of 80.6%.

Table 2. Sleep Stage Classification Studies using ECG biosignal.

Study

Architecture

# of Sleep Stages

N

(PSG recordings)

Input Feature

Performance

[29]

RNN

4

584

HRV parameters

Acc = 71.88 ± 8.34%

κ = 0.57 ± 0.12

[23]

CNN

4

18

raw ECG signal

Acc = 68 ± 2.54%

[30]

bi-directional LSTM

4

584

HRV parameters

Acc = 77 ± 8.9%

κ = 0.61 ± 0.15

[31]

CNN

3

18

EDR and HRV parameters

Acc = 81.6%

κ = 0.63

4

Acc = 75.4%

κ = 0.54

[32]

CNN

4

584

IHR time series

Acc = 77%

κ = 0.66

[34]

CNN and GRU

4

2,056

raw ECG signal

Acc = 80.6%

κ = 0.70

[28]

CNN and RNN

3

112

raw ECG signal

Acc = 86.4%

5

Acc = 74.2%

[33]

LSTM

5

373

power spectral density

Acc = 71.16%

κ = 0.52

${\kappa}$ : cohen’s kappa coefficient
Table 3. Sleep Stage Classification Studies using multi-biosignals.

Study

Architecture

# of Sleep Stages

N

(PSG recordings)

Input Feature

Performance

[35]

DNN

2

18

Dispersion entropy

Acc = 73.70%

[23]

CNN

4

18

raw EEG signal and

raw ECG signal

Acc = 80.4 ± 1.03%

[36]

DBN

5

25

raw EEG signal, and

raw EMG signal

Acc = 72.2 ± 9.7%

Most studies using the ECG signal classify sleep stages three and four, and the performance is lower than that of EEG studies results (Tables 1 and 2). The NREM sleep stages were scored based on transient events or frequency band characteristics in EEG signals. It is difficult to identify these characteristics and distinguish NREM1 and NREM2 using only the ECG signal, resulting in lower classification performance than EEG research. In addition, the changes in the HRV parameter values due to movement and external noise also affect the classification performance. Minimizing such noise and extracting appropriate features related to the change characteristics of the autonomic nervous system (ANS) could improve the classification performance.

3.3 Sleep Stage Classification using Multi-biosignals

Most studies were sleep stage classification studies using one biosignal to overcome PSG limitations because PSG requires attaching many sensors to acquire biosignals. Therefore, only a few studies used multi-biosignals.

The classification of sleep stages using different biosignal combinations has been studied to improve the sleep stage classification. Tripathy and Rajendra Acharya [35] classified sleep stages between REM and NREM with DNN using the features derived from the HRV signals extracted from the ECG and EEG signals. They reported an overall accuracy of 73.70%. Längkvist [36] proposed a five-class sleep stage classification with feature-extracted deep belief nets (DBN) using EEG, electrooculogram (EOG), and electromyography (EMG) signals. The overall accuracy was 72.2 ${\pm}$ 9.7%. Furthermore, the LSTM model using the EEG and ECG signals from [23] classified four-class sleep stages with an 80.4 ${\pm}$ 1.03% accuracy.

Table 4. Sleep Stage Classification Studies using Non-contact Signals.

Study

Radar

Architecture

# of Sleep Stages

N

(PSG recordings)

Input Feature

Performance

[38]

CW-Doppler radar

ANN

4

-

1D signal

Acc = 76.5%

[41]

IR-UWB radar

TCN + LSTM

4

71

1D signal

Acc = 76 ± 0.07%

[43]

Wi-Fi

CNN +

Bi-LSTM

4

19

Channel State Information signal

Acc = 81.8%            

[40]

FMCW

GBM + LDA

4

32

1D signal

Acc = 63.5 ± 0.08% κ = 0.49 ± 0.12

[44]

RF

CNN + LSTM

4

100

RF Spectrogram

Acc = 79.8%

κ = 0.70

[39]

CW-Doppler radar

k-NN

3

13

1D signal

Acc = 85.8%

4

Acc = 81%

[42]

IR-UWB radar

ATT-LSTM

4

51

1D signal

Acc = 82.6 ± 6.7% κ = 0.73 ± 0.11

${\kappa}$ : cohen’s kappa coefficient; RF : radio frequency;

3.4 Sleep Stage Classification using Non-contact Signal

Unconstrained biosignal measurements are required to monitor sleep stages in a home environment for a long time. This chapter reviews non-contact methods for sleep stage classification. A representative method for non-contact biosignal monitoring is radar, which transmits a signal from a transmitter to the human body and receives a reflected signal from a receiver. Radar is appropriate for non-contact biosignal measurements and does not require direct contact with the human body to measure breathing and heart rates [37]. Radar-based sleep stage classification studies have been conducted using these characteristics. There are a few sleep stage classification studies based on deep learning. Therefore, conventional machine learning methods and deep learning-based studies will be reviewed.

The different kinds of radars include continuous wave (CW), frequency-modulated continuous wave (FMCW), and impulse-radio ultra-wideband (IR-UWB). CW radar has advantages, such as its simplicity and potential minimal spread in the transmitted spectrum to detect heart rate, respiration rate, and body movement. The FMCW radar is characterized by the linear change in the frequency of the output signal in the system over time. In impulse-based radar, pulses are transmitted to a person using a radar transmitter. A receiver captures the reflected echo and processes it in the time domain to obtain human vital signs. A typical impulse-based radar system is an IR-UWB radar system.

Zhang et al. [38] classified four sleep stages using bagged trees, a machine learning algorithm utilizing CW Doppler radar. CW Doppler radar was used to extract six features, which were respiratory and heartbeat signals. After selecting m samples randomly as training sets, the sleep stages were classified with a bagged tree algorithm that was repeated n times. Compared with the PSG results, an accuracy of 78.6% was achieved when tested with a 10-fold cross-validation. Hong et al. [39] extracted data from 13 healthy people using a CW Doppler radar. It was characterized by KNN, a non-parametric method that uses classification and regression by extracting BPM and RPM features from radar signals. At this time, the K-nearest neighbor algorithm was used, and the results were 81% when the sleep stage was classified into four stages and 85.8% when classified into three. Tataraidze et al. [40] extracted four stages of sleep using frequency-modulated CW radar-based GBM+LDA. For sleep stage classification, the gradient-boosted machine (GBM) predicted the epoch class probabilities in the first step and linear discriminant analysis (LDA), a probability between the target epoch and six neighborhood epochs in the second step. This result was verified using the data from 32 people without sleep disturbance breathing, and the accuracy was 63.5${\pm}$ 0.08% and Kappa = 0.49 ${\pm}$ 0.12.

Toften et al. [41] used IR-UWB radar, a model combining temporal convolutional networks (TCN) and LSTM, to derive four sleep stages using Somnofy, a sleep algorithm. The model showed high accuracy in healthy individuals with an epoch-specific accuracy of 0.76 ${\pm}$ 0.07, a sensitivity of 0.97 ${\pm}$ 0.03, and a specificity of 0.72 ${\pm}$ 0.19. Kwon et al. [42] proposed an attention Bi-LSTM model that could remotely monitor vital signs using an IR-UWB radar. In this study, the LSTM and Attention layers were combined to allow the model to focus on specific portions of the time-varying vital sign information and assign heavier weights. They classified four sleep stages to derive the results of Acc = 82.6 ${\pm}$ 6.7% and kappa = 0.73 ${\pm}$ 0.11, which performed much better than conventional LSTMs.

Sleep stage studies have been conducted using other non-contact and radar-based methods. Zhao et al. [40] analyzed radiofrequency (RF) signals to extract sleep-specific features and applied the CNN+LSTM model to capture the temporary progression of sleep. This model converted the RF signal into an RF spectrogram and featured an input value for 30 seconds. Sleep was classified into four stages with an accuracy of 79.8% and kappa = 0.70. Bohan et al. [43] used Wi-Fi to propose WiFi-sleep, which combined CNN+BiLSTM with duration and transition constraints. The proposed CNN + BiLSTM model used a multiscale CNN. The model can simultaneously capture features with long and short durations, thereby obtaining extended-duration features and minute features around the present moment. Using Wi-Fi sleep, 81.8% accuracy was achieved compared to PSG data with 19 sleep data points from 12 subjects.

Recently, with the rapid development of IoT technology, studies on non-contact methods for monitoring sleep in a home environment have been reviewed. The main issue when applying non-contact radar signals is noise removal. Compared to the biosignals measured based on a contact sensor, the noise of the external environment has a larger effect on the non-contact signal. Non-contact sleep monitoring techniques could be improved if a deep learning method is applied to an algorithm that removes noise and extracts the user's location and biosignals.

4. Conclusion

This study reviewed automatic sleep stage classification studies using biosignals and non-contact methods. Deep learning methods were examined in sleep monitoring research to overcome the limitations of existing feature engineering-based machine learning methods. In addition, to replace the time-consuming and restrictive PSG method, studies based on single bio- and fusion multi-signals and studies on non-contact methods have been reviewed.

A large number of biosignals accumulated in the sleep research field overnight, and deep learning research using these data will be accelerated. Deep learning models are known as black box models, and it is difficult to interpret the results. Recently, however, the development of explainable AI is increasing the understanding of the model results. Applying this method to sleep research will provide additional sleep information. In addition, research on lightweight AI models that can be used on-devices is needed for the long-term monitoring of sleep in the home environment. Deep learning approaches to sleep research is expected to expand to the dimensions of managing health and preventing disease.

ACKNOWLEDGMENTS

This work was supported by the National Research Foundation of Korea(NRF) grant funded by the Korea government(MSIT) (No. NRF-2021R1F1A1052460). This research was supported by the MSIT(Ministry of Science and ICT), Korea, under the ITRC(Information Technology Research Center) support program(IITP-2022-RS-2022-00156225) supervised by the IITP(Institute for Information & Communications Technology Planning & Evaluation). This research was also supported by the MIST(Ministry of Science and ICT), under the National Program for Excellence in SW (2017-0-00096), supervised by the IITP(Institute of Information & Communications Technology Planning & Evaluation). The authors would like to thank Dr. Seok-heon Cho, a member of the Qualcomm Institute, University of California, San Diego, for the kind guidance.

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Author

Jiyong Park
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Jiyong Park is pursuing a B.S. in the School of Computer and Information Engineering from Kwangwoon University, Seoul, South Korea. His research interests include deep learning and computer architecture.

Jaewon An
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Jaewon An received his B.S. degree in the School of Computer and Information Engineering from Kwangwoon University, Seoul, South Korea. He is currently pursuing an M.S degree in the Department of Computer Engineering from Kwangwoon University, Seoul, South Korea. His research interests include biomedical signaling and machine learning algorithms.

Sang Ho Choi
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Sang Ho Choi received his B.S. degree in biomechatronics and electronic&electrical engineering from Sungkyunkwan University, Suwon, South Korea, and his Ph.D. degree in bioengineering from Seoul National University, Seoul, South Korea. He worked as a senior researcher in the Smart Device Team, Samsung Research, Seoul, South Korea. He is currently an assistant professor in the School of Computer and Information Engineering, at Kwangwoon University, Seoul, South Korea. His research interest includes biomedical signal processing and artificial intelligent algorithm for biomedical applications.