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Adaptive Wake and Sleep Detection for Wearable Systems

by Walter Karlen
Communications (2009)

Abstract

Sleep problems and disorders have a serious impact on human health and wellbeing. The rising costs for treating sleep-related chronic diseases in industrialized countries demands efficient prevention. Low-cost, wearable sleep wake detection systems which give feedback on the wearer's "sleep performance" are a promising approach to reduce the risk of developing serious sleep disorders and fatigue. Not all bio-medical signals that are useful for sleep wake discrimination can be easily recorded with wearable systems. Sensors often need to be placed in an obtrusive location on the body or cannot be efficiently embedded into a wearable frame. Furthermore, wearable systems have limited computational and energetic resources, which restrict the choice of sensors and algorithms for online processing and classification. Since wearable systems are used outside the laboratory, the recorded signals tend to be corrupted with additional noise that influences the precision of classification algorithms. In this thesis we present the research on a wearable sleep wake classifier system that relies on cardiorespiratory (ECG and respiratory effort) and activity recordings and that works autonomously with minimal user interaction. This research included the selection of optimal signals and sensors, the development of a custom-tailored hardware demonstrator with embedded classification algorithms, and the realization of experiments in real-world environments for the customization and validation of the system. The processing and classification of the signals were based on Fourier transformations and artificial neural networks that are efficiently implementable into digital signal controllers. Literature analysis and empiric measurements revealed that cardiorespiratory signals are more promising for a wearable sleep wake classification than clinically used signals such as brain potentials. The experiments conducted during this thesis showed that inter-subject differences within the recorded physiological signals make it difficult to design a sleep wake classification model that can generalize to a group of subjects. This problem was addressed in two ways: First by adding features from another signal to the classifier, that is, measuring the behavioral quiescence during sleep using accelerometers. Conducted research on different feature extraction methods from accelerometer data showed that this data generalizes well for distinct subjects in the study group. In addition, research on user-adaptation methods was conducted. Behavioral sleep and wake measures, notably the measurement of reactivity and activity, were developed to build up a priori knowledge that was used to adapt the classification algorithm automatically to new situations. This thesis demonstrates the design and development of a low-cost, wearable hardware and embedded software for on-line sleep wake discrimination. The proposed automatic user-adaptive classifier is advantageous compared to previously suggested classification methods that generalize over multiple subjects, because it can take changes in the wearer's physiology and sleep wake behavior into account without adjustment from a human expert. The results of this thesis contribute to the development of smart, wearable, bio-physiological monitoring systems which require a high degree of autonomy and have only low computational resources available. We believe that the proposed sleep wake classification system is a first promising step toward a context-aware system for sleep management, sleep disorder prevention, and reduction of fatigue.

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Adaptive Wake and Sleep Detection for Wearable Systems

POUR L'OBTENTION DU GRADE DE DOCTEUR ÈS SCIENCES
PAR
acceptée sur proposition du jury:
Suisse
2009
Prof. S. Süsstrunk, présidente du jury
Prof. D. Floreano, directeur de thèse
Prof. J. d. R. Millán, rapporteur
Prof. J. Príncipe, rapporteur
Prof. R. Riener, rapporteur
Adaptive Wake and Sleep Detection for Wearable Systems
Walter KARLEN
THÈSE NO 4391 (2009)
ÉCOLE POLYTECHNIQUE FÉDÉRALE DE LAUSANNE
PRÉSENTÉE LE 27 AVRIL 2009
À LA FACULTÉ DES SCIENCES ET TECHNIQUES DE L'INGÉNIEUR
LABORATOIRE DE SYSTÈMES INTELLIGENTS
PROGRAMME DOCTORAL EN INFORMATIQUE, COMMUNICATIONS ET INFORMATION
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Abstract
Sleep problems and disorders have a serious impact on human health and well-
being. The rising costs for treating sleep-related chronic diseases in industrial-
ized countries demands efficient prevention. Low-cost, wearable sleep / wake
detection systems which give feedback on the wearer’s "sleep performance" are a
promising approach to reduce the risk of developing serious sleep disorders and
fatigue.
Not all bio-medical signals that are useful for sleep / wake discrimination
can be easily recorded with wearable systems. Sensors often need to be placed
in an obtrusive location on the body or cannot be efficiently embedded into a
wearable frame. Furthermore, wearable systems have limited computational and
energetic resources, which restrict the choice of sensors and algorithms for on-
line processing and classification. Since wearable systems are used outside the
laboratory, the recorded signals tend to be corrupted with additional noise that
influences the precision of classification algorithms.
In this thesis we present the research on a wearable sleep / wake classifier
system that relies on cardiorespiratory (ECG and respiratory effort) and activity
recordings and that works autonomously with minimal user interaction. This
research included the selection of optimal signals and sensors, the development
of a custom-tailored hardware demonstrator with embedded classification algo-
rithms, and the realization of experiments in real-world environments for the
customization and validation of the system. The processing and classification of
the signals were based on Fourier transformations and artificial neural networks
that are efficiently implementable into digital signal controllers.
Literature analysis and empiric measurements revealed that cardiorespiratory
signals are more promising for a wearable sleep / wake classification than clin-
ically used signals such as brain potentials. The experiments conducted during
iii
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iv ABSTRACT
this thesis showed that inter-subject differences within the recorded physiologi-
cal signals make it difficult to design a sleep / wake classification model that can
generalize to a group of subjects.
This problem was addressed in two ways:
First by adding features from another signal to the classifier, that is, measur-
ing the behavioral quiescence during sleep using accelerometers. Conducted re-
search on different feature extraction methods from accelerometer data showed
that this data generalizes well for distinct subjects in the study group.
In addition, research on user-adaptation methods was conducted. Behavioral
sleep and wake measures, notably the measurement of reactivity and activity,
were developed to build up a priori knowledge that was used to adapt the clas-
sification algorithm automatically to new situations.
This thesis demonstrates the design and development of a low-cost, wearable
hardware and embedded software for on-line sleep / wake discrimination. The
proposed automatic user-adaptive classifier is advantageous compared to pre-
viously suggested classification methods that generalize over multiple subjects,
because it can take changes in the wearer’s physiology and sleep / wake behavior
into account without adjustment from a human expert.
The results of this thesis contribute to the development of smart, wearable,
bio-physiological monitoring systems which require a high degree of autonomy
and have only low computational resources available. We believe that the pro-
posed sleep / wake classification system is a first promising step toward a context-
aware system for sleep management, sleep disorder prevention, and reduction of
fatigue.
Keywords: Sleep / wake classification; wearable devices; cardiorespiratory sig-
nals; neural networks; adaptive systems; human centered systems; context aware-
ness; sleep management.
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Zusammenfassung
Schlafstörungen beeinträchtigen das menschliche Wohlbefinden und die Gesund-
heit. Die steigenden Kosten zur Behandlung schlafabhängiger chronischer Er-
krankungen in den Industrieländern erfordern eine effiziente Prävention. Gün-
stige, tragbare Systeme zur Schlafüberwachung, welche den Benutzer über sein
Schlafverhalten aufklären, könnten dem Auftreten von gesundheitsschädigen-
den Schlaferkrankungen vorbeugen.
Leider ist es noch nicht möglich, alle wertvollen bio-medizinischen Parameter
mit tragbaren Systemen aufzuzeichnen und zu klassifizieren. Vielfach sind die
Sensoren dem Träger hinderlich und die Prozessorleistung zu eingeschränkt. Aus-
serhalb des Labors sind die Signale oft sehr verrauscht, was die Qualität von
Klassifikationsalgorithmen stark beeinträchtigen kann.
Diese Dissertation beschäftigt sich mit der Entwicklung eines tragbaren, au-
tonomen Schlaf / Wach Detektors basierend auf der Messung von kardiorespi-
ratorischen Signalen und Aktivität. Es werden die Auswahl und Integration von
Sensoren und Elektronik, die Entwicklung eines angepassten Algorithmus zur
Klassifikation und die nötigen Experimente zur Validierung des neuartigen Sys-
tems beschrieben. Zur Klassifikation der EKG-, Atmungs- und Bewegungssig-
nale wurden spektrale Merkmale mittels Fourier Transfomation ermittelt und an-
schliessend mit Neuronalen Netzwerken klassifiziert.
Individuelle physiologische Differenzen zwischen verschiedenen Personen er-
schwerten die Entwicklung eines generell anwendbaren Klassifizierungsalgorith-
mus. Deshalb wurde zusätzlich zu den physiologischen Daten auch das Bewe-
gungsmuster der Probanden verarbeitet.
Um den Algorithmus anpassungsfähiger zu gestalten, wurden zwei zusät-
zliche Messungen eingeführt, welche zwei typische Schlaf / Wach Verhalten (Re-
aktion und Aktivität) erfassen. Diese Messungen erlaubten in regelmässigen Ab-
v
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vi ZUSAMMENFASSUNG
ständen, den Klassifikationsalgorithmus automatisch auf neue Benutzer oder an-
dere Veränderungen anzupassen.
Die Resultate dieser Dissertation tragen zu neuen Entwicklungen im Bere-
ich von intelligenten, tragbaren bio-medizinischen Geräten bei, welche auf einen
geringen Stromverbrauch und Rechenleistung angewiesen sind.
Schlüsselwörter: Schlaf / Wach Klassifikation; anpassungsfähige Systeme; Men-
schzentrierte Systeme; Künstliche Intelligenz; Neuronale Netzwerke; Schlafman-
agement
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Contents
Acknowledgements i
Abstract iii
Zusammenfassung v
Contents ix
Acronyms xvii
1 Introduction 1
1.1 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Hypothesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Achievements and Contributions . . . . . . . . . . . . . . . . . . . . 4
1.4 Structure of the Thesis . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2 Sleep, Wake and Fatigue 7
2.1 Definition of Sleep . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.1.1 Sleep Debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.1.2 Sleep Inertia . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.2 Differentiation between Sleep and Wake . . . . . . . . . . . . . . . . 12
2.2.1 Physiological Methods . . . . . . . . . . . . . . . . . . . . . . 13
2.2.2 Cardiovascular Measurements . . . . . . . . . . . . . . . . . 15
2.2.3 Active and Passive Behavior Based Detection . . . . . . . . . 17
2.3 Sleepiness, Attention and Fatigue . . . . . . . . . . . . . . . . . . . . 20
2.4 Fatigue Management . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
2.4.1 Readiness-to-perform Technologies . . . . . . . . . . . . . . 21
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x CONTENTS
2.4.2 Vehicle-based Performance Technologies . . . . . . . . . . . 22
2.4.3 In-vehicle, On-line, Operator Status Monitoring Technologies 22
2.4.4 Mathematical Models of Alertness Dynamics Joined with
Ambulatory Technologies . . . . . . . . . . . . . . . . . . . . 23
2.5 Related Projects and Products . . . . . . . . . . . . . . . . . . . . . . 24
2.5.1 Alertness Monitoring Helmet’s . . . . . . . . . . . . . . . . . 25
2.5.2 Optalert . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.5.3 Gentle Wake-Up Devices . . . . . . . . . . . . . . . . . . . . 26
2.5.4 US Army SleepWatch . . . . . . . . . . . . . . . . . . . . . . 27
2.5.5 European Project SENSATION . . . . . . . . . . . . . . . . . 28
2.6 Context Awareness and Personal Health . . . . . . . . . . . . . . . . 29
2.7 Wearable Fatigue Prediction Approach . . . . . . . . . . . . . . . . . 31
3 The Problem of Automated, Wearable Sleep and Wake Discrimination 33
3.1 Useful Signals for Wearable Sleep and Wake Classification . . . . . 34
3.1.1 Recording System . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.1.2 Recordings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.1.3 Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3.1.4 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
3.1.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
4 Automatic Sleep and Wake Classification 47
4.1 Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
4.1.1 Preprocessing and Feature Extraction . . . . . . . . . . . . . 48
4.1.2 Neural Classifier . . . . . . . . . . . . . . . . . . . . . . . . . 49
4.2 Performance Measures . . . . . . . . . . . . . . . . . . . . . . . . . . 52
4.3 Subject-specific Experiments . . . . . . . . . . . . . . . . . . . . . . . 53
4.3.1 Results and Discussion . . . . . . . . . . . . . . . . . . . . . . 53
4.3.2 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
4.4 Multiple Users or the Problem of Generalizing . . . . . . . . . . . . 58
4.4.1 Data Recordings . . . . . . . . . . . . . . . . . . . . . . . . . 60
4.4.2 Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
4.4.3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
4.4.4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
5 From Portable to Wearable 65
5.1 Requirements for a Wearable Sleep and Wake Discrimination System 66
5.2 Wearable Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . 67
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CONTENTS xi
5.2.1 SleePic System . . . . . . . . . . . . . . . . . . . . . . . . . . 67
5.2.2 Recording Sessions and Subjects . . . . . . . . . . . . . . . . 68
5.2.3 Data Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
5.3 User Acceptance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
5.4 Reducing Computational Load of Preprocessing . . . . . . . . . . . 71
5.5 Improving Network Topologies . . . . . . . . . . . . . . . . . . . . . 73
5.5.1 Network Layers . . . . . . . . . . . . . . . . . . . . . . . . . . 74
5.5.2 Network Inputs . . . . . . . . . . . . . . . . . . . . . . . . . . 75
5.6 Classification Results . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
5.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
6 Activity 87
6.1 Accelerometer Preprocessing and Classification Algorithms . . . . 88
6.1.1 Activity Counts . . . . . . . . . . . . . . . . . . . . . . . . . . 88
6.1.2 Body Position . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
6.1.3 Spectral Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 90
6.2 Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
6.3 Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 92
6.4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
7 Adaptation 99
7.1 User Adaptation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
7.2 Adaptation Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
7.2.1 Modifying Classification Threshold . . . . . . . . . . . . . . 102
7.2.2 Updating Neural Weights . . . . . . . . . . . . . . . . . . . . 102
7.3 Automatic Sleep and Wake Labeling . . . . . . . . . . . . . . . . . . 103
7.3.1 Button Feedback . . . . . . . . . . . . . . . . . . . . . . . . . 104
7.3.2 Activity Feedback . . . . . . . . . . . . . . . . . . . . . . . . 105
7.4 Recordings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
7.5 Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
7.5.1 Threshold Experiments . . . . . . . . . . . . . . . . . . . . . 107
7.5.2 Neural Weight Experiments . . . . . . . . . . . . . . . . . . . 107
7.6 Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 108
7.6.1 Threshold versus Adaptation . . . . . . . . . . . . . . . . . . 108
7.6.2 Button versus Activity Feedback . . . . . . . . . . . . . . . . 110
7.6.3 Subject-Specific versus Subject-Independent Systems . . . . 112
7.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
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xii CONTENTS
8 Concluding Remarks 119
8.1 Main Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
8.2 Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
A Physiological Recording Devices 125
A.1 Portable Recording Systems . . . . . . . . . . . . . . . . . . . . . . . 125
A.2 Wearable Recording Systems . . . . . . . . . . . . . . . . . . . . . . 129
B SleePic Development 133
B.1 The SleePic System . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
B.1.1 Wearable Sensor Module . . . . . . . . . . . . . . . . . . . . 134
B.1.2 Core Processing Module . . . . . . . . . . . . . . . . . . . . . 135
B.1.3 Watch Module . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
B.1.4 Energy Considerations . . . . . . . . . . . . . . . . . . . . . . 142
Bibliography 147
Curriculum vitæ 163

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