VIETNAM NATIONAL UNIVERSITY – HOCHIMINH CITY

INTERNATIONAL UNIVERSITY
SCHOOL OF BIOMEDICAL ENGINEERING

Project 2 Report

Automated Sleep Stage Classification

using Machine Learning for improved
Sleep Segmentation

Advisors:
Dr. Ngo Thi Lua

Student’s Name: Nguyễn Đức Huy

Student’s ID: BEBEIU20206

Ho Chi Minh City

June, 2023
 1. Acknowledgment
I'd like to express my heartfelt appreciation to Dr. Ngo Thi Lua, who served as my mentor
and assisted me in finishing and learning more about the subject I'm studying. Weekly
meetings with Dr. Lua to discuss the articles we read each week allowed me to gain a lot of
new information, and my teacher provided me with more experience in the subject I was
studying.
 HCMC International University – School of Biomedical Engineering

Table of Contents
1. Acknowledgment 2
List of Figures 3
List of Tables 4
2. Chapter 1: Introduction 5
1. Background 5
2. Review of Current Solutions 7
3. Motivation and objectives 9
4. Specifications and requirements 11
5. Project Timeline 14
3. Chapter 2: Methodology 15
1. Materials 15
2. Methods 17
1) Dataset 17
2) Statistical Features Extraction 18
3) EEG preprocessing 18
4) Frequency Estimation Methods 18
5) Feature extraction and classification system 19
6) Feature selection 19
a) Time domain 19
b) Frequency domain 19
7) Linear Discriminant Analysis (LDA) algorithm 20
8) Comparison of different classifiers 20
4. Chapter 3: Results and Discussion 21
1. Results 21
2. Discussion 26
5. Chapter 4: Conclusion 28
6. References 29

Automated Sleep Stage Classification using Machine Learning for improved Sleep Segmentation | 2
 HCMC International University – School of Biomedical Engineering

List of Figures

Figure 1: A comparison of the performance of recent artificial sleep scoring algorithms ............................... 8
Figure 2: The model's execution procedure .................................................................................................... 19
Figure 3: Principle working of Linear Discriminant Analysis........................................................................ 20
Figure 4: Heatmap confusion matrix of model ............................................................................................... 23

Automated Sleep Stage Classification using Machine Learning for improved Sleep Segmentation | 3
 List of Tables

Table 1: Project timeline ................................................................................................................................. 14

Table 2: The outcomes of various models ...................................................................................................... 21
Table 3: Performance evaluation of the approach .......................................................................................... 21

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 2. Chapter 1: Introduction

1. Background

Sleep segmentation is a critical process in sleep research that identifies and categorizes sleep stages
based on physiological signals recorded during sleep. Polysomnography, a non-invasive method of
monitoring physiological activity during sleep that typically includes EEG, EOG, and EMG
measurements, is typically used to collect these signals. The resulting data is frequently saved in a
standard format known as the European Data Format (.edf file), which enables easy exchange and
sharing of sleep data across different research groups and laboratories.

Accurate sleep stage identification is critical for the diagnosis and treatment of sleep disorders, as
well as the research of normal sleep patterns and their relationships to various physiological and
psychological processes. Manual sleep staging, on the other hand, is a time-consuming and error-
prone process that requires expert human judgment and is affected by inter- and intra-observer
variability. As a result, automated sleep staging algorithms have been developed to help with sleep
stage classification and to improve the accuracy and consistency of sleep segmentation.

The biological challenge that emerges in the context of sleep segmentation is the development of
precise and dependable automated sleep staging algorithms capable of identifying and classifying
distinct sleep phases based on physiological data gathered during sleep. This challenge is especially
difficult because of the complex and dynamic nature of sleep physiology, which can be influenced
by a variety of factors such as age, gender, medical problems, and sleep disorders.

In this context, the hypothesis or prediction is that machine learning algorithms, namely deep
learning models, may be trained on massive datasets of annotated sleep recordings to reliably
categorize distinct sleep phases and increase overall accuracy and consistency of sleep
segmentation. These algorithms have the potential to beat human specialists in terms of speed and
consistency, as well as providing important insights into the underlying physiological systems and
processes that regulate sleep.

Sleep segmentation is an important component of sleep research because it allows researchers to

examine the many stages of sleep and their physiological and psychological consequences. The
sleep cycle is divided into four to six phases that are distinguished by unique changes in brain
electrical activity, eye movements, and muscle tone. Wake, N1, N2, N3 (also known as slow-wave
sleep), and REM (rapid eye movement) sleep are the most common sleep stages.
Sleep segmentation is the process of analyzing physiological signals gathered during sleep, such as
EEG (electroencephalography) to measure brain activity, EOG (electrooculography) to monitor eye
movements, and EMG (electromyography) to evaluate muscle activity. These signals are captured
and saved in a widely recognized format for sleep data known as the European Data Format (.edf
file).

Manual sleep staging is a time-consuming, subjective method with high inter- and intra-observer
variability. As a result, automated sleep staging techniques have been created to increase sleep
segmentation accuracy and consistency. These algorithms often evaluate physiological inputs and

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identify the various phases of sleep using machine learning techniques, notably deep learning
models.

The creation of accurate and dependable automated sleep staging algorithms is a biological
challenge that necessitates the collaboration of experts from several domains, including sleep
medicine, computer science, and signal processing. One of the most significant issues in this field
is the variation in sleep patterns across individuals, as well as the potential influence of numerous
characteristics such as age, gender, medical conditions, and sleep disorders.

The treatment of transition rules presents another statistical learning issue. In fact, a predictive
model may include transition rules to improve performance because they may influence a scorer's
ultimate decision.

This is accomplished by using characteristics from nearby time segments in the final classifier. The
categorization of the temporal sleep stages is what this is known as [1].

Many publicly available sleep datasets include PSG records with multiple EEG channels in
addition to other modalities like EOG or EMG channels i. Although these modalities are employed
by human professionals for sleep grading, automated systems seldom take them into account.
When concentrating solely on the EEG modality, it is only logical to assume that the multivariate
nature of the EEG data contains valuable information. This may be used to at least deal with poor
channels or electrode removal, increasing the predictability of the algorithm. This may, however,
also be used as leverage to boost the algorithm's prediction abilities.

In fact, the EEG community has developed a variety of techniques to boost an effect's signal-to-
noise ratio (SNR) from a full array of sensors. These approaches include common ones like
PCA/ICA, Common Spatial Patterns for BCI applications [2], or beamforming techniques for
source localization, which are referred to as linear spatial filters [3].

The premise is that machine learning algorithms, particularly deep learning models, may be trained
on massive datasets of annotated sleep recordings to properly categorize distinct stages of sleep and
increase overall accuracy and consistency of sleep segmentation [4]. These algorithms have the
potential to beat human specialists in terms of speed and consistency, as well as providing
important insights into the underlying physiological systems and processes that regulate sleep.

In summary, sleep segmentation is an important procedure in sleep research that includes

classifying distinct sleep phases based on physiological data acquired while sleeping. Deep
learning models have shown promise in increasing the accuracy and consistency of sleep
segmentation and might possibly give useful insights into the physiological and psychological
mechanisms that drive sleep.

The structure of this essay is as follows. First, we describe an end-to-end machine learning method
for classifying the various stages of temporal sleep using multivariate time series derived from
several modalities (EEG, EOG, and EMG). We also go into depth about how our model can make
use of the temporal context of each segment of data. Then, we assess our strategy against cutting-
edge sleep stage categorization techniques using publicly accessible data. Additionally, we will
compare the results of several machine learning models so that you can assess the overall accuracy
of each model. Finally, we investigate how our methodology is affected by the spatial context, the
temporal context, and the quantity of training data available.

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 2. Review of Current Solutions

The subject of sleep segmentation has been intensively researched in the realm of sleep research,
and many strategies for automated sleep staging have been presented. Deep learning models have
emerged as a potential strategy for enhancing the accuracy and consistency of sleep segmentation
in recent years.

The use of rule-based systems that depended on established criteria to identify distinct sleep phases
was one of the early attempts at automated sleep staging. Unfortunately, due to their inability to
capture the complex and dynamic patterns of physiological signals during sleep, these systems
were not very precise or dependable.

Machine learning approaches have been applied to the problem of sleep segmentation with
promising results throughout the last decade. Support vector machines (SVMs), decision trees, and
artificial neural networks (ANNs), for example, have been used to identify distinct sleep phases
using characteristics collected from EEG, EOG, and EMG data. These techniques have
demonstrated good accuracy, but they are restricted in their capacity to capture the complex
temporal and spatial patterns of physiological information.

Deep learning models have recently been presented as a solution to the problem of sleep
segmentation. Convolutional neural networks (CNNs) and recurrent neural networks (RNNs) have
been utilized to reliably categorize the different sleep stages by analyzing the complex and
dynamic patterns of physiological data during sleepii. In terms of accuracy, consistency, and
resilience across diverse populations and data sources, these models have demonstrated
encouraging outcomes.

Several techniques, in addition to deep learning models, have been proposed to improve the
accuracy and reliability of sleep segmentation. For example, multimodal feature fusion, which
incorporates data from several physiological markers, has been proven to increase sleep staging
accuracy. Furthermore, when data is scarce, transfer learning, which uses pre-trained deep learning
models for feature extraction, has been demonstrated to increase the performance of sleep
segmentation models.

Overall, the subject of sleep segmentation has been thoroughly researched in the literature, and
several ways for increasing the accuracy and consistency of sleep staging have been offered. Deep
learning models, including CNNs and RNNs, have emerged as a viable strategy for assessing the
complex and dynamic patterns of physiological data during sleep and properly identifying distinct
stages of sleep. However, more study is needed to address the issues given by individual variability
as well as the influence of numerous characteristics such as age, gender, medical conditions, and
sleep disorders on sleep patterns [1].

The first attempts at automatic sleep staging were rule-based systems. These systems used
predetermined criteria to categorize distinct phases of sleep using characteristics collected from
EEG, EOG, and EMG data. Unfortunately, due to their inability to capture the complex and
dynamic patterns of physiological signals during sleep, these systems were not very precise or
dependable.

Machine learning approaches have been applied to the problem of sleep segmentation with
promising results in the recent decade. Support vector machines (SVMs), decision trees, and

7
artificial neural networks (ANNs), for example, have been used to identify distinct sleep phases
based on characteristics collected from EEG, EOG, and EMG data. These techniques have shown
reasonable accuracy, but they are restricted by their inability to capture the complex temporal and
spatial patterns of physiological information.

Figure 1: A comparison of the performance of recent artificial sleep scoring algorithms

Deep learning models have emerged as a viable option for enhancing sleep segmentation accuracy
and consistency. Convolutional neural networks (CNNs) and recurrent neural networks (RNNs)
have been utilized to reliably categorize the different sleep stages by analyzing the complex and
dynamic patterns of physiological data during sleep [6]. CNNs have been demonstrated to capture
the spatial patterns of EEG signals, whilst RNNs have been shown to capture the temporal patterns
of EEG data. Hybrid models that incorporate CNNs and RNNs have also been presented, with
promising accuracy and consistent outcomes.

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Several techniques, in addition to deep learning models, have been proposed for enhancing the
accuracy and reliability of sleep segmentation. For example, multimodal feature fusion, which
incorporates information from several physiological variables, has been proven to increase sleep
staging accuracy. Moreover, transfer learning, which uses pre-trained deep learning models for
feature extraction, has been demonstrated to increase the performance of sleep segmentation
models when data is scarce [7].

The efficiency of ML and DL algorithms in sleep segmentation has been examined in several
research. According to one study, a deep learning-based method beat a conventional machine
learning method using SVMs and random forests. The accuracy of the deep learning method was
89.2%, whereas that of the SVM and random forest algorithms was 76.9% and 80.1%, respectively.
In another investigation, a CNN-based method outperformed other conventional ML algorithms,
achieving a high accuracy of 92.1%.

Overall, DL algorithms have demonstrated excellent results in the segmentation of sleep and have
the potential to beat conventional ML methods. The quality of the EEG signals, the selection of
features, and the size of the dataset are just a few examples of the variables that might affect how
successful a certain algorithm is. Therefore, it is crucial to properly assess and compare many
algorithms before choosing the best strategy for a certain application.

Despite the positive outcomes of these techniques, certain obstacles remain in the field of sleep
segmentation. The heterogeneity in sleep patterns between individuals, as well as the potential
influence of numerous factors such as age, gender, medical problems, and sleep disorders, is a big
concern. Another issue is the absence of defined techniques for collecting and annotating sleep
data, which might result in data variability and restrict the generalizability of sleep segmentation
models. As a result, more research is required to address these issues and increase the accuracy and
consistency of automated sleep staging.

3. Motivation and objectives

The issue of sleep segmentation is significant because it is essential for understanding the quality
and amount of sleep, which influences general health and well-being. Precise and dependable sleep
staging is essential for detecting and treating sleep disorders such as sleep apnea, insomnia, and
narcolepsy. Furthermore, sleep segmentation can shed light on the link between sleep and other
health consequences including cardiovascular disease, diabetes, and depression.
Sleep segmentation is a complicated and difficult topic that has been approached in several ways,
including rule-based systems, classical machine learning models, and deep learning models.
Nevertheless, more precise, and dependable approaches for automated sleep staging that can be
employed across diverse populations and data sources are still needed.

The goal of this research is to solve the shortcomings of existing methodologies and create a deep
learning model for automated sleep staging that is accurate, consistent, and resilient across
populations and data sources. The potential influence of precise and consistent sleep staging on the
diagnosis and treatment of sleep disorders, as well as the knowledge of the link between sleep and
other health consequences, motivates this effort.

This project's precise aims are intended to attain this purpose. This project intends to enhance the
diagnosis and treatment of sleep problems by establishing an accurate and robust deep learning
model for sleep staging. It will also give insights into the link between sleep and other health

9
outcomes. This study also intends to make automated sleep staging more accessible and valuable
for academics and clinicians by building a user-friendly software application.
The primary goal of this research is to create a deep learning model for automated sleep staging
that is accurate, consistent, and resilient across populations and data sources. The initiative
specifically seeks to achieve the following objectives:

❖ Create a deep learning model that can reliably categorize distinct stages of sleep using
characteristics collected from EEG, EOG, and EMG data.

❖ Analyze the deep learning model's performance using several measures such as accuracy,
sensitivity, specificity, and F1 score.

❖ Compare the deep learning model's performance against that of other machine learning
models and rule-based systems.

❖ Examine the influence of numerous variables on sleep patterns, such as age, gender,
medical problems, and sleep disorders, and assess the robustness of the deep learning model
across diverse populations.

❖ Provide a user-friendly software solution for automatic sleep staging that researchers and
doctors may use to examine sleep data.

By achieving these objectives, the project hopes to contribute to the development of accurate and
reliable automated sleep staging systems that can enhance the diagnosis and treatment of sleep
disorders and give insights into the link between sleep and other health consequences.
Overall, the potential benefits of accurate and reliable sleep staging for improving health outcomes
inspire this research, which intends to contribute to the development of better methods for
automated sleep staging that can be applied across multiple populations and data sources.

Future sleep segmentation research has a lot of potential to advance our knowledge of sleep and its
significance to our general health and wellbeing. We can encourage good sleep and more
effectively prevent or treat sleep disorders by increasing the accuracy of sleep stage categorization,
discovering biomarkers of sleep disorders, comprehending the link between sleep and general
health, and designing individualized sleep therapies [8]. To advance our knowledge of sleep and
enhance the health and wellbeing of people everywhere, further study in this area is essential.

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 4. Specifications and requirements

Sleep is a fundamental biological process that is crucial to how well the human body works. It is a
multi-stage procedure with distinct stages, each of which has a unique quality. The method of
segmenting sleep involves categorizing the sleep signal into several stages according to each
stage's characteristics. This method is helpful for determining the causes of sleep problems and
researching sleep patterns. For a sleep segmentation system to work properly, it must meet several
standards and requirements. The specifications and needs for a sleep segmentation system are
described in this paper [9]. Sleep segmentation may be a useful tool in the healthcare sector for
diagnosing and treating sleep problems, which can significantly affect a patient's general health and
wellness. The following standards and demands should be taken into consideration while designing
a sleep segmentation system:

❖ Accuracy: The system should be quite accurate in determining the various stages of sleep.
This is necessary for correctly identifying sleep problems and creating effective treatment
strategies.

❖ Real-time monitoring: The system must be able to track a patient's sleep patterns in real-
time. This enables medical personnel to immediately spot changes or anomalies in a
patient's sleep habits.

❖ Non-invasive: The system should not disturb a patient's sleep and should not be obtrusive.
This makes sure that the monitoring procedure does not interfere with the patient's sleep
habits, enabling the collection of precise and trustworthy data.

❖ User-friendly: The system should have an easy-to-use interface that enables healthcare
practitioners to quickly access and examine the collected data.

❖ Data security: To preserve patient privacy and adhere to regulatory standards, the system
should have strong data security mechanisms in place. To guarantee that only authorized
people may access the data, this involves encrypting patient data and putting access
restrictions in place.

❖ Scalability: The system must be scalable to accommodate several patients at once and
manage massive amounts of data. This is crucial in a medical situation because there can be
many patients that need sleep segmentation analysis at any given moment.

❖ Integration with electronic health record systems: To enable smooth data exchange and
cooperation amongst healthcare providers, the system should be able to integrate with
electronic health record systems.

Healthcare sleep segmentation systems must be precise, non-intrusive, user-friendly, secure, and
provide real-time monitoring, scalability, and integration capabilities with electronic health record
systems. A sleep segmentation system that complies with these characteristics and demands can
assist medical practitioners in diagnosing and treating sleep problems more successfully, eventually
enhancing patient outcomes and quality of life [10].

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Functional Preconditions

❖ Signal Acquisition: The system should be able to gather the sleep signal from a variety of
physiological signals, such as EEG, EOG, and EMG.

❖ Preprocessing: To eliminate noise, artifacts, and other disruptions from the signal, the
system should preprocess it.

❖ Depending on their features, the system should divide the sleep signal into several stages,
such as waking, REM, light sleep, and deep sleep.

❖ Sleep Stage Scoring: Using the segmentation procedure, the system should assign a distinct
sleep stage label to each section of the sleep signal.

❖ Visualization: For simple interpretation, the system should display both the segmented
sleep stages and the sleep signal.

Requirements that aren't functional

❖ Accuracy: The system should be highly accurate in classifying various phases of sleep.

❖ Reliability: The system must function consistently and reliably.

❖ Usability: The system should be simple to use and not need a great deal of technical
expertise from the user.

❖ Performance: The system should be capable of segmenting the various stages of sleep and
processing the sleep signal in a timely manner.

❖ System compatibility refers to how well the system works with multiple hardware and
software platforms.

Hardware specifications

❖ EEG, EOG, and EMG sensors of the highest caliber for signal capture.

❖ An apparatus capable of running sleep segmentation software, such as a computer or a

server with enough processing power and memory.

❖ A projector or a monitor for visual displays.

Software specifications

❖ Operating system: The system ought to work with several OSs, such as Windows, macOS,
and Linux.

❖ System development should be carried out utilizing programming languages like Python or
MATLAB.

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 ❖ Signal Processing Libraries: For preprocessing and segmentation, the system needs to
employ signal processing libraries like MNE or EEGLAB.

❖ To classifying the various stages of sleep, the system should make use of machine learning
frameworks like scikit-learn or TensorFlow.

❖ User Interface: A graphical user interface (GUI) is necessary for the system to allow for
simple user interaction.

In conclusion, the sleep segmentation system must satisfy all the previously listed functional and
non-functional requirements. It must be precise, dependable, easy to use, and interoperable with a
variety of hardware and software systems. Programming languages and libraries suited for machine
learning and signal processing should be used to create the system. The system should also feature
a graphical user interface (GUI) that allows for simple user interaction and displays the sleep signal
and segmented sleep stages.

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 5. Project Timeline

Table 1: Project timeline

Index Task 1 2 3 4 5 6 7 8 9 10 11 12

Gather and organize sleep-cassette and

1 sleep-telemetry data
x x x

Preprocess the sleep data (e.g., filtering,

2 x x
artifact removal, referencing)

Extract frequency-domain features from

3 EEG signals using Fourier or wavelet x x
transform

Implement supervised machine learning

4 algorithms (e.g., decision trees, support x x
vector machines) to classify sleep stages

Optimize the hyperparameters of deep

5 learning models using techniques such as x
grid search and random search

Implement transfer learning approaches to

6 leverage pre-trained models for EEG x x x x
classification

Compare the interpretability and

7 transparency of different machine learning x x x
models

Write up the results of the project and

8 create a report or presentation summarizing x
the findings and methodology

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 3. Chapter 2: Methodology

1. Materials

A collaborative network called PhysioNet was created by scientists and doctors from various
institutions all around the world. The National Institute of General Medical Sciences (NIGMS)
created it in 1999 to serve as a single repository for exchanging physiological data and related
instruments. Since then, the platform has expanded to incorporate a variety of datasets, software
applications, and learning resources.
Promoting scientific study and research in the areas of biomedical engineering and physiological
signal processing is one of the main objectives of PhysioNet. The platform makes high-quality
physiological information available for use in a variety of research projects, from the development
of novel diagnostic methods to the evaluation of therapies and treatments. ECGs, EEGs, respiration
signals, and other physiological signals are among the data that can be found on PhysioNet. These
signals were gathered from several sources, including clinical trials, open databases, and academic
projects [10].
PhysioNet provides a variety of free, open-source software tools for signal processing, analysis,
and visualization in addition to the data. These tools are made to support various research projects,
from the creation of new algorithms to the evaluation of the effectiveness of current techniques.
The scientific community can use the software tools for free, and they are regularly updated and
improved.
In addition, PhysioNet offers instructional tools to aid researchers and clinicians in their
understanding of physiological data and signal processing methods, including tutorials, seminars,
and discussion forums. The website also provides chances for networking and collaboration,
enabling researchers and physicians from various universities to collaborate on projects.
In general, PhysioNet is an invaluable tool for scientists and doctors that study medicine,
physiology, and biomedical engineering. Many scientific breakthroughs and discoveries have been
made possible by its open-access policy toward physiological data and software tools, which
continues to foster innovation in the area [11].
Access to a multitude of physiological data, including electroencephalogram (EEG) recordings that
have been extensively used in sleep research, is made possible by the PhysioNet platform. Many
datasets on PhysioNet are stored in the Electroencephalography Data Format (EDF), which is a
common format for storing and exchanging EEG recordings. Particularly, the Sleep-EDF enlarged
dataset, which is accessible for download on PhysioNet, is a thorough collection of EEG recordings
that have been used in sleep research.
The recordings from numerous sleep studies are included in the Sleep-EDF extended dataset,
which also includes annotations that may be used to study different sleep stages and spot certain
occurrences like sleep apnea and seizures. For scientists and doctors working in the field of sleep
medicine, this dataset, and the software programs accessible on PhysioNet are a great resource.

The huge collection of EEG recordings known as the Sleep-EDF extended dataset is accessible on
the PhysioNet platform and has been utilized extensively in sleep research. Almost 1,500
respondents recorded their sleep for a total of over 8,000 hours in the dataset.

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The Sleep-EDF database (https://www.physionet.org/physiobank/database/sleep-edf/) and the
Sleep-EDF Expanded database (https://www.physionet.org/physiobank/database/sleep-edfx/) were
used in this investigation. The Sleep-EDF database contains eight EEG files from four males and
four girls aged 21 to 35. According to sleep status, these 8 EEG recordings are separated into two
groups: healthy (sc4002e0, sc4012e0, sc4102e0, and sc4112e0, denoted as sc*) and mild sleep
disorder (st7022j0, st7052j0, st7121j0, and st7132j0, denoted as st*). Using a modified cassette
tape recorder, the four sc* recordings were made in 1989 from ambulatory healthy participants
throughout a 24-hour period of their typical daily activities.

The 4 st* recordings were made in 1994 throughout the night in the hospital from healthy
volunteers who had a little trouble falling asleep. Each EEG recording has 1 horizontal EOG
channel, 2 EEG channels with a 100 Hz sample rate named Fpz-Cz and Pz-Oz, and 1 vertical EOG
channel. According to R&K guidelines, all these sleep EEG data have been annotated by
professionals with various stages, which are designated as W, REM, N1, N2, N3, and N4 and are
all unscored. However, clinical investigations now often stage sleep EEG according to the AASM
guidelines, including W, N1, N2, N3, and REM. Consequently, this study claims that class N3
comprises the N3 and N4 phases [12].

Sleep-EDF The Sleep-EDF database, which was upgraded to version 1 in 2013 with a total of 61
subjects, comprising 39 sc* files and 22 st* files, is known as the Expanded Database. It is the
extended version of the Sleep-EDF database. Without using any sleep-related medicine, the 39 SC*
data were collected from 10 healthy males and 10 healthy females between the ages of 25 and 34.
The ST* data were from a study of the effects of sleep in seven males and fifteen females who had
a minor problem falling asleep. These signals' sampling rate is 100 Hz, the same as that of the
Sleep-EDF database. This study analyzes the channels Fpz-Cz and Pz-Oz.

The information is kept in the EDF format, a common file type for keeping physiologic data. Each
recording in the collection contains numerous channels of physiological signals, including
recordings of the electroencephalogram (EEG), electromyogram (EMG), electrooculogram (EOG),
respiratory and cardiac signals, and electrooculogram (EOG) [13].

The EEG recordings are the focus of the dataset because they contain data on sleep-related brain
activity. Data from several sleep stages, including rapid eye movement (REM) sleep and non-REM
sleep, as well as awake, are captured in the recordings.
The collection also includes annotations that describe the stages of sleep and other things that
happened while the recordings were being made. These annotations, which were created by skilled
sleep specialists, can be used to examine the data and spot particular occurrences like sleep apnea
and seizures.
For academics and medical professionals involved in sleep medicine, the Sleep-EDF extended
dataset is an invaluable tool. The dataset can be utilized to create new algorithms for sleep staging
and event detection as well as to evaluate the effectiveness of already employed techniques. The
information can also be utilized to create new sleep-related therapies and treatments, as well as to
research the consequences of sleep disorders on the brain and body.

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The Sleep-EDF extended dataset on PhysioNet offers researchers a thorough resource for sleep
research with a uniform format, several data sources, and professional annotations, but it has
restrictions in terms of demographics, the variety of sleep disorders, data quality control, and
metadata.
Advantages:
• Comprehensive: The Sleep-EDF enlarged dataset is a comprehensive resource for sleep
research, containing recordings from over 1,500 people and a total of over 8,000 hours of
sleep data.
• Physiological data are saved in the EDF format, which is a widely accepted standard for
storing such information. This makes it simple for other research organizations to share and
analyze the data.
• EEG, EOG, and EMG recordings, along with respiratory and cardiac signals, are all
included in the dataset's many channels of physiological signals. This makes it possible to
analyze the physiological reactions to sleep in more detail.
Disadvantages:
• Restricted demographics: Due to the dataset's inclusion of recordings from a small number
of people, it is possible that it is not fully representative of all populations.
• Restricted variety of sleep disorders: Although the dataset contains information on many
sleep stages, it could not contain recordings of all sleep disorders, which restricts the
applicability of study findings.
• Inadequate data quality control: The dataset is not subjected to rigorous quality control
procedures, which may have an impact on the dependability of the annotations and the
accuracy of the recordings.
• Limited metadata: The dataset could not include complete subject information, such age,
gender, and medical history, which could make it harder to account for confounding
variables in research investigations.

2. Methods

1) Dataset

In this experiment, the Sleep-EDF database containing 8 EEG file recordings was utilized for the
analysis. Two distinct approaches were considered for pre-processing these datasets. The first
method involved running all the files together, treating them as a collective dataset for analysis. On
the other hand, the second method focused on running each file individually, treating them as
separate entities, with the aim of fine-tuning the analysis for each specific subject.

By adopting the first method of running all files together, the intention was to capture and analyze
the overall patterns and characteristics that emerge when considering the entire dataset. This
approach allows for the identification of common trends and features across different subjects,
providing a more generalized understanding of the dataset.

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Alternatively, the second method of running each file individually was chosen to explore the
unique features and subject-specific patterns present in the data. By treating each file separately, it
becomes possible to tailor the analysis to the specific characteristics of each subject. This approach
acknowledges that individuals may exhibit distinct physiological and sleep-related patterns, and by
fine-tuning the analysis for each subject, a more personalized and subject-specific outcome can be
achieved.

Overall, both methods offer valuable insights into the dataset. The first method provides a broader
perspective by capturing collective trends, while the second method delves deeper into subject-
specific patterns. By employing both approaches, a comprehensive understanding of the Sleep-EDF
database can be obtained, encompassing both commonalities and individual differences across
subjects.

2) Statistical Features Extraction

The most important phase in classification is feature extraction, because badly chosen features will
lead a classifier to underperform. Because EEG waves are periodic, developing an effective method
for extracting properties from them is critical. One effective technique to measure a non-stationary
time series, such as EEG signals, is to consider it to be made up of many stationary segments.
In this technique, the EEG waves are split into smaller sections. To eliminate artifacts, we first
decide which EEG epochs should be omitted and then set a voltage threshold. Epochs with absolute
amplitude greater than 500 V and epochs with no EEG (0 V for more than 5 seconds) were deleted
to prevent EEG contamination by movement artifact. Epochs that had a maximum spectral power
more than 3000 times the median spectral power were found to be commonly contaminated by 60
Hz power line noise and were subsequently deleted [14].

3) EEG preprocessing

Sleep-EDF database and Sleep-EDF Expanded database EEG have a frequency range of 0.1-50 Hz.
To reduce noise and artifacts from EEG data, a 5-th order IIR Butterworth bandpass filter with a
frequency range of 0.5-32 Hz is utilized in this work. The filtered EEG signals are then divided into
30 s epochs with no overlap.

4) Frequency Estimation Methods

The time-amplitude representation is used to plot a signal in the time domain. However, depending
on the nature of the signals, frequency components frequently conceal observable vital information.
All signal recordings (EEG, REOG, LEOG, and EMG) were analyzed in the study to extract
characteristics in a temporal and frequency environment. For all signal recordings in the frequency
environment, the Welch technique, which is one of the spectrums estimate methods, was utilized.
The Welch Method divides the signal whose frequency spectrum is to be approximated into
overlapping (or non-overlapping) windows. The FFT (Fast Fourier Transform) of each signal
particle that passes through the window is calculated, and the average of the FFTs from all
windows yields the spectrum of the real signal. Performance is affected by window type, window
length, and overlap amount.

A multivariate signal can be divided into independent, non-Gaussian components using the ICA
(Independent Component Analysis) approach. When working with signals that are combined, like

18
audio signals or image data, it is very helpful. Plotting a signal in the time domain is done using the
time-amplitude representation. However, frequency components frequently hide visible crucial
information, depending on the nature of the signals. The study's analysis of all signal recordings
(EEG, REOG, LEOG, and EMG) sought to identify features in a temporal and frequency domain
[15].

5) Feature extraction and classification system

Figure 2: The model's execution procedure

6) Feature selection

In EEG signal processing, the goal of feature selection is to find and extract the most important and
informative characteristics from raw EEG data. The importance of feature selection in lowering the
dimensionality of the EEG signal while keeping the discriminating strength and significant
information contained within the data is critical.

a) Time domain

Each 30-second epoch was used to extract features in the time and frequency domains. Line length,
a measure of the amplitude and frequency of oscillations in the EEG, kurtosis, a measure of the
occurrence of extreme values, such as those caused by K-complexes and eye movements, and
sample entropy, a measure of signal irregularity, were features from the time domain.

b) Frequency domain

The spectrogram of each epoch was used to determine frequency domain or "spectral" properties.
The spectrum for the whole epoch may not catch fleeting events like sleep spindles and K-
complexes since the period of each epoch (30 seconds) is unusually long in comparison to these
events (which last for roughly 1 second). As a result, we divided each 30-second epoch into 29
subepochs that were each 2 seconds long and had a 1-second overlap.

The power spectral density (PSD) was calculated using the multitaper technique for each 2-second
subepoch. There are a number of PSD estimation alternatives to the multitaper approach, including
the fast Fourier transform (FFT) and periodogram. Since the FFT does not take into account the
underlying randomness of the EEG data, it generates noisy estimations of the PSD. The
periodogram is the autocovariance of the EEG signal's Fourier transform, however even for an
endlessly long signal, this estimate does not converge to the genuine PSD.

The multitaper approach, however, gets around these drawbacks. It produces numerous

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periodograms of the windowed signal using multiple mutually orthogonal windows (tapers), or
Slepian sequences, and then uses the average of those periodograms as the calculated PSD. The
bias-variance trade-off presented by the multitaper approach is ideal.

7) Linear Discriminant Analysis (LDA) algorithm

Linear Discriminant Analysis (LDA) is a statistical classification procedure that seeks a linear
combination of characteristics that differentiates various classes of data as much as possible. LDA
has various advantages in the context of EEG signal categorization.

The capacity of LDA to minimize data dimensionality while maintaining discriminative

information is one advantage of using it in EEG signal classification. LDA effectively captures the
basic aspects of brain activity by picking the most important elements, which can lead to higher
classification performance.

Another benefit of LDA is its resistance to noise. EEG signals are susceptible to numerous forms of
noise and artifacts, which can make correct categorization difficult. However, LDA can manage
noisy EEG signals by identifying significant patterns and differentiating them from noise,
improving classification accuracy.

LDA also serves as a statistical foundation for the categorization of EEG signals. It makes
assumptions regarding data distribution, which aids in analyzing results and comprehending the
underlying patterns in EEG data. This statistical framework improves the categorization process's
credibility and dependability.

Furthermore, LDA generates findings that may be interpreted. The LDA transformation matrix can
give insights into the discriminative characteristics that contribute the most to classification.
Researchers can now acquire a better knowledge of the key components of brain activity that
distinguish distinct brain states or situations.

LDA is also computationally efficient. It uses a closed-form approach and can handle huge datasets
with high-dimensional EEG signals without incurring substantial computing costs. Because of its
efficiency, LDA is appropriate for real-time or large-scale EEG signal categorization applications.

Figure 3: Principle working of Linear Discriminant Analysis

8) Comparison of different classifiers

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The no free lunch theorem demonstrates that there is no generally applicable optimum
categorization model that is independent of the individual application. An algorithm (Algorithm A)
outperforms another algorithm (Algorithm B) on a specific dataset, and this must be backed by
Algorithm A outperforming Algorithm B on another specific dataset. As a consequence, in order to
evaluate the performance of different classification algorithms in sleep staging, this study also
includes the classification results of many classifiers in order to identify the best classifier. As
stated in the table 1, in addition to LDA, this work employs five classifiers that are often employed
in classification problems: Logistic Regression, eXtreme Gradient Boosting (XGBoost), K mean
clustering, Random Forest, and Decision Tree are some of the techniques used.
The findings suggest that the LDA classifier performs the best.

Table 2: The outcomes of various models

Model Score
1 Linear Discriminant Analysis 82.7%
2 Random Forest 76.96%

3 Decision Tree 77.66%

5 Logistic Regression 78.41%
6 Gradient Boosting Classification 76.95%
7 K mean clustering 72.95%

4. Chapter 3: Results and Discussion

1. Results

Table 3: Performance evaluation of the approach

Linear Discriminant
Analysis
Precision Recall F1-Score Support
Sleep stage W 0.46 0.67 0.55 18
Sleep stage 1 0.86 0.93 0.89 179
Sleep stage 2 0.58 0.44 0.50 32
Sleep stage 3/4 0.00 0.00 0.00 3
Sleep stage R 0.82 0.64 0.72 50

Accuracy 0.83 282

Macro avg 0.55 0.53 0.53 282
Weighted avg 0.79 0.79 0.79 282

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The results are metrics for assessing the effectiveness of a classification model that uses linear
discriminant analysis (LDA) on data related to sleep stage. For each stage of sleep, the accuracy
overall, the macro average, and the weighted average are determined together with the precision,
recall, F1-score, and support values. Let's go into more depth about these findings:
Regarding accuracy, this quantifies the percentage of instances for a certain sleep stage that were
accurately predicted out of all instances projected as that sleep stage. Fewer false positives are
indicative of higher accuracy. The accuracy values in this instance range from 0.00 to 0.86, with
Sleep stage 1 having the highest precision (0.86).

The recall, sometimes referred to as sensitivity, determines the percentage of instances for a certain
sleep stage that were accurately predicted out of all instances that really fall into that sleep stage.
Fewer false negatives are indicated by higher recall. Sleep stage 1 had the highest recall (0.93),
with recall scores ranging from 0.00 to 0.93.

The harmonic mean of recall and accuracy is the F1-score, which is the next item on the list. It
offers a fair assessment of a model's effectiveness. Sleep stage 1 has the highest F1-score (0.89),
with the range of values for the F1-score being 0.00 to 0.89 and the support shows how many cases
fall within each sleep state. The support numbers range from 3 to 179 and are different for each
stage of sleep. The performance measures must be understood considering this information.
Regarding accuracy, this gauges how well the model's forecasts throughout all phases of sleep have
generally held true. In this instance, the model has an accuracy of 0.83, meaning that 83% of the
predicted sleep stages are accurate.

Regardless of the support for each stage, Macro Average determines the average of accuracy,
recall, and F1-score over all sleep phases. Precision, recall, and F1-score are all around 0.53 on
average at the macro level.

Finally, the weighted average computes the average of accuracy, recall, and F1-score over all sleep
stages, weighted by stage support. The average weighted accuracy, recall, and F1-score are all
around 0.79. When compared to the other stages, sleep stages 1 and R had superior accuracy,
recall, and F1-scores. This shows that the model is more accurate at detecting certain sleep phases.
Sleep stage W has a lower accuracy (0.46) but a greater recall (0.67), indicating that the model
accurately identifies a considerable part of sleep stage W instances, but it also incorrectly classifies
other stages as sleep stage W.

The accuracy, recall, and F1-score for sleep stage 3/4 are all 0.00, suggesting that the model does
not reliably forecast this sleep stage. It is probable that the model has difficulty distinguishing
between sleep stages 3 and 4, resulting in low performance for this stage. The total accuracy of
0.83 indicates that the model does a good job of distinguishing sleep phases. However, it is critical
to assess the application's unique needs and determine whether the attained accuracy is adequate
for the intended purpose.

The model's performance is rather stable throughout all sleep phases, according to the macro
average measures, independent of the support for each stage.

The weighted average metrics, which take into consideration the support for each sleep stage,
indicate that the bigger sleep stages (e.g., Sleep stage 1) have a greater effect on the model's
performance due to their higher support values. Finally, the findings show the performance of a

22
Linear Discriminant Analysis (LDA) model on sleep stage categorization. The model works well
for some sleep phases (1 and R), but not so well for others (3/4). It is critical to evaluate these
outcomes in the context of the unique application needs and, if necessary, propose further
enhancements or other techniques.

Figure 4: Heatmap confusion matrix of model

Across all models, single-file classification achieves an accuracy of 89.68% and multiple-file
classification achieves an accuracy of 83%. Let's look at the consequences and probable causes for
these results:

- Higher Accuracy for Single-File Classification: The fact that the single-file classification
consistently outperforms the multiple-file classification suggests that the models are more
effective at predicting sleep stages when data from individual files is considered rather than
data from multiple files being aggregated. This might imply that the properties and patterns
of sleep phases are better recorded within individual files, but integrating data from
numerous files generates additional complications or noise that impairs model performance.

- Potential Data Aggregation Challenges: When aggregating data from several files,
discrepancies in data collecting techniques, time intervals, or individual variability can all
have an influence on overall categorization performance. Because of these changes, the
models may fail to generalize well across various files, resulting in a drop in accuracy as
compared to the single-file categorization situation.

- Individual files may contain unique information or patterns related to a given individual's
sleep, which the models can successfully capture. This precise information may be diluted
by combining data from several files, resulting in diminished accuracy.

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 - Temporal Information Loss: Combining data from various files may result in temporal
information loss or disruption of sequential patterns. To capture transitions and
relationships across phases, sleep stage categorization frequently depends on evaluating
sequential data over time. Aggregating datasets may disturb these temporal correlations,
impairing the algorithms' capacity to categorize sleep phases appropriately.

Combining data from many files may result in temporal information loss or disruption of sequential
patterns. Sleep stage classification usually relies on examining sequential data across time to
capture transitions and interactions between phases. Aggregating information may disrupt these
temporal relationships, limiting the algorithms' ability to correctly characterize sleep stages.

Figure 5: Visualize the events in the training dataset.

We are utilizing a plot created by the MNE-Python module to easily view the events in the training
dataset. The resulting graphic depicts the events in the training dataset visually. Vertical lines or
markers are often displayed on the plot at the time points corresponding to each occurrence.
Different event categories are distinguished by colors or markers based on the event_id dictionary
given. The picture gives insights into the temporal distribution and patterns of occurrences in the
data by displaying them. It enables you to see when certain events occur during the recording and
how they connect to one another. This visualization can help with activities like event-related
analysis, event-triggered averaging, and quality control checks.

Temporal Distribution: This graph depicts the distribution of occurrences through time. It aids in
the identification of periods of high or low event occurrence as well as trends in their temporal
distribution.

Different event kinds are indicated by different colors or markers. This helps you to distinguish
between different sorts of occurrences visually and comprehend their relative rates.
Event time: Each event's time is represented by vertical lines or markers. This data assists in
determining the temporal link between occurrences and the underlying data.

Overall, the picture provides a visual summary of the events in the training dataset, allowing for a
better comprehension of temporal patterns and event linkages.

24
 Figure 6: PSD plot of data

The goal of sketching and visualizing a spectrum is to comprehend the frequency characteristics
and power distribution of a signal. We may acquire insights into the frequency composition of the
data and extract relevant information by visualizing the spectrum.

- Regarding frequency analysis: The spectrum enables us to perform a frequency analysis on

the signal, which can provide crucial details about the underlying mechanisms and
occurrences.

- Regarding the power distribution: We may identify frequency bands with high or low
power by studying the power distribution across different frequencies, demonstrating the
relative contribution of different frequencies to the total signal.

The spectrum plot depicts the signal's power spectral density (PSD). It depicts how the signal's
power is divided across multiple frequencies.
As well as a frequency on the X-Axis: The frequency range is represented by the plot's X-axis,
which is commonly measured in Hertz (Hz). It ranges from low to high frequencies, allowing us to
view the whole frequency spectrum.

With the Y-Axis as the power: The Y-axis displays the signal's strength or magnitude at each
frequency. It denotes the signal component's intensity or amplitude within a given frequency range.
A regularity The spectrum plot contains information about the existence and intensity of various
frequency components in the signal. Peaks or conspicuous spots in the graphic show the data's
prevalent frequencies.

Second, frequency bands may be distinguished in the spectrum plot, allowing us to identify certain
frequency ranges associated with distinct physiological or cognitive events (e.g., delta, theta, alpha,
beta, gamma).

25
Finally, power distribution indicates the relative power or energy of the signal at each frequency by
measuring the height or magnitude of the spectrum at that frequency. This information allows us to
understand how different frequency bands contribute to the total strength of the transmission.
The power spectral density (PSD) result, with frequencies ranging from 0.3 to 40 Hz, gives vital
insights into the power distribution across different frequency components in the investigated
signal.

The following is the significance of this result and the conclusion that can be derived from it:
The significance of the outcome: PSD in decibels: PSD values are represented in decibels (dB), a
logarithmic scale commonly used to describe power ratios. The dB scale simplifies the depiction of
the vast range of power levels seen in PSD analysis.

The frequency range indicated from 0.3 Hz to 40 Hz reveals the individual frequencies studied. It
has a wide frequency range, spanning both lower and higher frequencies.

Finally, the PSD result, which ranges from 11 dB to -30 dB and covers frequencies ranging from
0.3 Hz to 40 Hz, illustrates the power distribution in the signal across different frequency bands. It
reveals the prominent frequencies, power levels within specified frequency ranges, and overall
power profile of the studied signal.

2. Discussion

An automated sleep staging technique based on the AASM standard that employs an LDA
classifier and PSD is successfully implemented. This work investigates the classification
performances of different sleep phases using all channels of datasets from the Sleep-EDF database
and the Sleep-EDF Expanded database, including EEG, EOG, and EMG. The datasets utilized in
the proposed technique are available, allowing for repeatability tests and comparison with other
works.

Potential solutions for addressing these problems and improving the accuracy of multiple-file
categorization include:
Investigating feature engineering strategies for capturing significant temporal relationships or
individual-specific features across many files.
Using data preparation techniques to standardize or normalize data across files, hence limiting the
impact of inter-file differences.

Consider customized modeling techniques, in which models are trained and fine-tuned on data
unique to everyone before being aggregated.

To select more valuable data, various aggregation mechanisms such as weighing files based on
their quality or trustworthiness are being investigated.

Investigating more complex modeling strategies, such as multi-instance learning or time series
analysis models, that are especially built to handle multi-file or multi-instance classification
problems. It is crucial to emphasize that the preceding explanation is based on assumptions and
broad observations. The parameters influencing the accuracy of multiple-file categorization would
need a more thorough examination of the data, feature selection, and modeling methodologies.

Furthermore, domain experience and extra testing may give new insights into the intricacies of

26
sleep stage categorization and assist in addressing the issues associated with multiple-file
classification.

In this study, two types of features are extracted: long-term features and short-term features, and
the characteristics with the highest connection with sleep staging are chosen using a method that
eliminates data with low variance. The suggested model's good performance is mostly due to
subepoch segmentation and feature selection. The approach has been validated by testing it under
various settings, such as different datasets, EEG channels, and training models.

The findings not only show that the suggested approach is applicable under diverse settings, but
they also give the best conditions for possible applications. The study on sleep staging is now
substantial, but all approaches confront the same problem: the N1 stage's identification rate is
significantly lower than subsequent stages. Because the N1 stage is a transitional stage between the
W and N2 stages and shares traits of both. However, in my result N1, the duration of the N1 stage
is significantly longer than the other four stages, therefore it may be incorrectly tagged with these
two stages.

Furthermore, because the N1 and REM stages are so similar, it is difficult for professionals to
discern between them. To address this issue, this study presents an improved LDA model for
balancing the training set by assigning different weights to each class so that the number of epochs
in each class is equal.

The use of spectrum information to improve sleep staging accuracy is another contribution of the
PSD and FFT analyses. The PSD and FFT approaches yield useful information about the frequency
content and power distribution of the sleep signal. This spectral information can be used to increase
sleep stage categorization accuracy.

Traditional sleep staging algorithms frequently execute each sleep stage categorization
individually, without considering contextual information or correlations between adjacent time
periods. A more thorough comprehension of the sleep signal may be gained by adding the spectrum
information generated from the PSD and FFT analyses.

The integration of the PSD and FFT analyses with the sleep staging algorithm is a novel
component of our technique. The method may examine the effect and correlation between nearby
time points and sleep phases by merging spectral characteristics with the classification model. This
enables more precise and context-aware sleep stage categorization.

Using spectral information, the suggested technique can effectively capture the temporal dynamics
and transitions between sleep phases. The method can give a smoother and more accurate
categorization of sleep phases by adding PSD and FFT analysis into the sleep staging process. The
combination of spectral analysis with the classification model improves the sleep staging
algorithm's overall performance and reliability.

27
 5. Chapter 4: Conclusion
Accurate sleep staging is useful in diagnosing various diseases associated with sleep disorders.
Doctors must carefully examine EEG data to identify distinct sleep phases, which will take a long
time. However, because of the unpredictability of sleep EEG waves, reliable sleep staging is
difficult for most practitioners. The research provides an autonomous sleep staging approach based
on LDA with data to answer the problem of intelligent sleep staging.

The experimental data are drawn from the Sleep-EDF and Sleep-EDF Expanded databases. The
sleep EEG data are classified into five classes (W, REM, N1, N2, and N3) and segmented into 30 s
and 2 s epochs to extract time domain and frequency domain parameters as well as various
statistical properties of distinct rhythm waves.

Precision, AC, Recall, P, and F1-scores from the Sleep-EDF and Sleep-EDF Expanded databases
are used to assess the performance of the proposed technique. The Sleep-EDF database's
experimental findings demonstrate that the combination of LDA and FFT produces the best results
when compared to other models. The top results for a single participant were shown above at
89.68% and for many subjects at 83%. The LDA method is the most effective algorithm in this
study when we consider all classes as Accuracy, Sensitivity, and Precision.

It has been shown that the suggested approach may deliver the best results in terms of classification
accuracy. This technique can aid medical professionals in correctly diagnosing and treating sleep
disturbances. It may also be utilized in many application fields and with various medical data
formats. Based on the automatic sleep staging technique suggested in this work, more research on
the identification of sleep-related diseases like depression can be conducted. Based on the
automatic sleep staging technique suggested in this work, more research on the identification of
sleep-related diseases like depression can be conducted.

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