Near-Infrared Spectroscopy for Neonatal Sleep Classification

Abstract

Sleep, notably active sleep (AS) and quiet sleep (QS), plays a pivotal role in the brain development and gradual maturation of (pre) term infants. Monitoring their sleep patterns is imperative, as it can serve as a tool in promoting neurological maturation and well-being, particularly important in preterm infants who are at an increased risk of immature brain development. An accurate classification of neonatal sleep states can contribute to optimizing treatments for high-risk infants, with respiratory rate (RR) and heart rate (HR) serving as key components in sleep assessment systems for neonates. Recent studies have demonstrated the feasibility of extracting both RR and HR using near-infrared spectroscopy (NIRS) in neonates. This study introduces a comprehensive sleep classification approach leveraging high-frequency NIRS signals recorded at a sampling rate of 100 Hz from a cohort of nine preterm infants admitted to a neonatal intensive care unit. Eight distinct features were extracted from the raw NIRS signals, including HR, RR, motion-related parameters, and proxies for neural activity. These features served as inputs for a deep convolutional neural network (CNN) model designed for the classification of AS and QS sleep states. The performance of the proposed CNN model was evaluated using two cross-validation approaches: ten-fold cross-validation of data pooling and five-fold cross-validation, where each fold contains two independently recorded NIRS data. The accuracy, balanced accuracy, F1-score, Kappa, and AUC-ROC (Area Under the Curve of the Receiver Operating Characteristic) were employed to assess the classifier performance. In addition, comparative analyses against six benchmark classifiers, comprising K-Nearest Neighbors, Naive Bayes, Support Vector Machines, Random Forest (RF), AdaBoost, and XGBoost (XGB), were conducted. Our results reveal the CNN model's superior performance, achieving an average accuracy of 88%, a balanced accuracy of 94%, an F1-score of 91%, Kappa of 95%, and an AUC-ROC of 96% in data pooling cross-validation. Furthermore, in both cross-validation methods, RF and XGB demonstrated accuracy levels closely comparable to the CNN classifier. These findings underscore the feasibility of leveraging high-frequency NIRS data, coupled with NIRS-based HR and RR extraction, for assessing sleep states in neonates, even in an intensive care setting. The user-friendliness, portability, and reduced sensor complexity of the approach suggest its potential applications in various less-demanding settings. This research thus presents a promising avenue for advancing neonatal sleep assessment and its implications for infant health and development.

Keywords: brain monitoring; heart rate; near-infrared spectroscopy; neonatal sleep; respiratory rate; sleep classification.

Figure 1

Schematic representation of the data acquisition protocol in this study.

Figure 2

Graphical representation of the CNN model proposed in this study.

Figure 3

(a) Scatter plot between the reference HR and the extracted HR from NIRS when all measurements are concatenated (in BPM, which stands for beats per minute). (b) scatter plot between the reference RR and extracted RR from NIRS when all measurements are concatenated together (in EPM, which stands for events (i.e., breaths) per minute). Each green dot corresponds to a 30-s signal segment.