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Volume 16, Number 10,
Issue of May 15, 1996
pp. 3500-3506
Copyright ©1996 Society for Neuroscience
The Echidna Tachyglossus aculeatus Combines REM and
Non-REM Aspects in a Single Sleep State: Implications for the
Evolution of Sleep
J. M. Siegel1,
P. R. Manger2,
R. Nienhuis1,
H. M. Fahringer1, and
J. D. Pettigrew2
1 VAMC Sepulveda and UCLA School of Medicine,
Neurobiology Research, Sepulveda, California 91343, and
2 Vision, Touch and Hearing Research Centre, University of
Queensland, Brisbane, Australia
ABSTRACT
INTRODUCTION
MATERIALS AND METHODS
RESULTS
DISCUSSION
FOOTNOTES
REFERENCES
ABSTRACT
Placental and marsupial mammals exist in three states of
consciousness: waking, non-REM sleep, and REM sleep. We now report that
the echidna Tachyglossus aculeatus, a representative of the
earliest branch of mammalian evolution (the monotremes), does not have
the pattern of neuronal activity of either of the sleep states seen in
nonmonotreme mammals. Echidna sleep was characterized by increased
brainstem unit discharge variability, as in REM sleep. However, the
discharge rate decreased and the EEG was synchronized, as in nonREM
sleep. Our results suggest that REM and non-REM sleep evolved as a
differentiation of a single, phylogenetically older sleep state. We
hypothesize that the physiological changes that occur during postnatal
sleep development parallel certain aspects of the changes that have
occurred during the evolution of sleep-waking states in mammals.
Key words:
sleep;
monotreme;
evolution;
phylogeny;
development;
REM
INTRODUCTION
Living monotremes such as the echidna and
platypus represent the earliest offshoot of the mammalian evolutionary
line. For this reason, these egg-laying mammals have provided many
insights and constraints that have contributed to our understanding of
mammalian evolution. Their structural stasis deduced from the fossil
record, their plesiomorphic physiological mechanisms, and the lack of
speciation in the monotreme line all indicate that monotreme species
have modes of physiological function that are more similar to those of
the common mammalian ancestor than any other existing group of mammals
(Griffiths, 1968 , 1978 ; Kemp, 1982 ; Archer et al., 1992 ; Pasqual et
al., 1992; Westerman and Edwards, 1992 ).
There are three monotreme species, the duck-billed platypus,
Ornithorhynchus anatinus, the long-beaked echidna,
Zaglossus bruijni, and the short-beaked echidna (spiny
anteater), Tachyglossus aculeatus. The platypus is aquatic
and presents many technical difficulties for chronic recording. The
long-beaked echidna of New Guinea is not readily available for study.
The short-beaked echidna is the only monotreme in which sleep has been
studied.
Allison et al. (1972) found high-voltage cortical electroencephalograms
(EEG) throughout sleep in the echidna, resembling the EEG of the
non-REM sleep state seen in placental and marsupial mammals. Arousal
threshold was elevated during periods of high-voltage EEG, as in sleep
in other mammals, and was lowest during periods of low-voltage EEG, as
in waking. Periods of low-voltage EEG occurring immediately after
high-voltage sleep, called PS?, were studied carefully to determine
whether they might represent REM (paradoxical) sleep. Pyriform cortex
rhythmic activity and hippocampal theta are maximal in active waking
and REM sleep and are reduced or absent in quiet waking (QW) in all
mammals in which these parameters have been studied. Whereas the active
waking pattern of other mammals was seen in echidna active waking, the
pyriform rhythmic activity and hippocampal theta seen in REM sleep was
not seen in PS?. Brain temperature did not increase in PS? as it does
in most mammals in REM sleep. Deprivation of PS? did not result in a
rebound as it does for REM sleep. Somatic evoked responses in PS?
resembled the waveform seen in QW rather than that of REM sleep.
Finally, the arousal threshold in PS? was not elevated as it is in most
mammalian species in REM sleep, but was similar to that of waking.
These findings led Allison et al. to conclude that PS? was QW. Based on
their observations, they concluded that the echidna does not have REM
sleep. They hypothesized that REM sleep evolved after non-REM sleep in
the mammalian line. Their conclusions have been an important
consideration in subsequent theories of REM sleep function (Crick and
Mitchison, 1983 ; Vertes, 1986 ; Siegel and Rogawski, 1988 ; Winson,
1990 ).
Slow wave variables suggest that sleep in the echidna resembles non-REM
sleep. However, cortical EEG is just one indicator of sleep state. The
two sleep states seen in nonmonotreme mammals, REM and non-REM sleep,
are the product of different patterns of neuronal activity. The
difference in discharge pattern in REM and non-REM sleep can be seen
most easily in the brainstem reticular formation.
In nonmonotreme mammals, the great majority of brainstem reticular
neurons have high and irregular discharge rates during active waking.
Rate is reduced and more regular during QW. Discharge rate is minimal
and most regular during non-REM sleep. This discharge pattern underlies
the regularity of physiological control in this state (Siegel, 1994 ).
REM sleep is characterized by fast and irregular discharge in most
brainstem neurons. This discharge pattern produces the rapid eye
movements, twitches, and other aspects of REM sleep (Siegel, 1994 ;
Zepelin, 1994 ). The postural eye movement and other ``epiphenomena''
of sleep may differ in their expression among mammalian species.
However, the underlying pattern of unit activity change during REM and
nonREM sleep is similar in all placental and marsupial mammalian
species, in all brainstem reticular and cortical areas (Huttenlocher,
1961 ; Evarts, 1964 ; Findlay and Hayward, 1969 ; Desiraju, 1972 ; Hobson
et al., 1974 ; Siegel et al., 1977 , 1979 , 1983 ; Siegel and Tomaszewski,
1983 ; Chase and Morales, 1990 ; Steriade et al., 1993 ; Siegel, 1994 ;
Zepelin, 1994 ).
The finding of a single sleep state in the echidna characterized by
cortical slow waves raises the question of the nature of neuronal
activity during sleep in this monotreme mammal. Does brainstem neuronal
discharge show the non-REM sleep pattern of other mammals? Or might the
cortical slow waves accompany a REM sleep-like state in the brainstem?
The answer to this question would shed light on the issue of how the
neuronal activity patterns of REM and non-REM sleep evolved.
In the present studies, we examined brainstem neuronal activity in the
unrestrained echidna across the sleep cycle to determine the nature of
the echidna sleep state. Some of this work has been presented in
preliminary form (Siegel et al., 1994 ).
MATERIALS AND METHODS
Three short-beaked echidnas, one male and two female, were
captured near Brisbane, Australia. The echidnas were all adults
weighing between 2.3 and 3.2 kg. Echidnas are found in all regions of
Australia and are not considered threatened or endangered. They are
maintained easily in captivity. However, the use of echidnas for
exhibition in zoos and for scientific purposes in Australia is tightly
regulated by the State Minister of Environment and Heritage.
The echidnas were adapted to an enclosure at the University of
Queensland that measured 1 m2. The enclosure was
in a room with an opening in the roof that allowed natural light cycles
and temperature conditions. Infrared LEDs provided illumination for
video observation using a charge-coupled video camera with the infrared
filter removed (Manger and Pettigrew, 1995 ). The enclosure was covered
with dirt or shredded paper to a depth of 15 cm. Echidnas were fed a
mixture of Chum dog food, uncooked egg, and milk. Studies were
performed in December, January, and February between 7 A.M. and 11 P.M., with temperatures in the enclosure ranging from 20 to 28°C.
Animals were active during the night, typically eating all their food
between 11 P.M. and 7 A.M.
After an adaptation period of at least 2 months, the animals were
anesthetized with Ketamine-Xylazine. Echidnas cannot be held in a
standard stereotaxic frame. Their ear canals are at an acute angle to
the stereotaxic planes and are of such small size that they will not
permit the introduction of ear bars. The small size and lateral
placement of the eyes also prevent use of the orbits as a restraint
point. To use stereotaxic technique, we cemented a stainless steel bar
to the frontal portion of the skull to immobilize the head during
surgery. The bar, attached to a lockable universal joint, was clamped
with Nicad magnets to the stereotaxic frame. The skull then was
oriented with the ventral surface of the upper beak in the horizontal
plane. The intersection of the sagittal sinus and cerebellum then was
exposed to provide a stereotaxic reference point. A stereotaxic atlas
was developed using the skulls and brain of two additional echidnas.
Microwire electrodes, diameter 32 µ, mounted on movable microdrives,
were constructed using techniques described previously (Siegel et al.,
1977 ).
Unit recording electrodes were placed in the pontine tegmentum, an area
that has been shown to be critically involved in REM-sleep generation.
Electrodes also were placed in the midbrain reticular formation, the
brain region in which sleep-cycle discharge has been most thoroughly
studied in placental mammals (Huttenlocher, 1961 ; Hobson et al., 1974 ;
Siegel et al., 1979 , 1983 ; Siegel and Tomaszewski, 1983 ; Steriade et
al., 1993 ; Siegel, 1994 ). The recording arrays sampled from a 6 mm
rostro-caudal and 4 mm medio-lateral expanse of the reticular
formation, including midbrain, pontine, medial and medio-lateral
regions of the nucleus reticularis pontis oralis, and midbrain
reticular formation, as defined by the location of the cranial nerve
nuclei and other brainstem anatomical landmarks. Pairs of 1 mm diameter
screw electrodes with 3 mm separation were placed on the dura mater
over parietal and sensorimotor cortex for EEG recording. The eyes of
the echidna face laterally. Wire hook electrodes were placed just
lateral and medial to the orbit of the left eye with a 6 mm separation
for electro-oculogram (EOG) recording. Four stranded stainless steel
wires were placed in the dorsal neck musculature for electromyogram
(EMG) recording. A thermocouple was placed in the cerebellum to
continuously monitor brainstem temperature. A counterbalance system
supported the recording cables and allowed the echidna to move freely
throughout the enclosure during spontaneous waking and sleep episodes.
Physiological variables were recorded and digitized for subsequent
computer analysis. Animals were healthy and maintaining or gaining
weight over the course of the study.
RESULTS
As reported by Allison et al. (1972) , we saw long periods of high-
voltage EEG during behavioral quiescence. The time course of EEG power
changes during sleep was similar to that of non-REM sleep in
nonmonotreme mammals (Fig. 1). Allison et al. previously
had emphasized a lack of EEG spindles in the echidna. With our
sensorimotor cortex recording derivations, we did see activity in the
6-9 and 10-14 Hz range. However, the distinct waxing-waning envelope
of the feline spindle wave was not seen in the raw EEG signal.
Fig. 1.
Power distribution of sensorimotor EEG recorded
continuously for 2 hr during sleep in the echidna. Sample A,
Indicated on the power distribution plots and expanded below is from
sleep; sample B is from waking.
[View Larger Version of this Image (44K GIF file)]
Neck muscle tone was absent whenever the echidna was not actively
moving. Thus, there was little or no additional reduction in tone with
the high-voltage EEG of sleep.
We saw no periods of EOG activity during sleep with high-voltage EEG
waves. In an attempt to elicit waking eye movement, we held an
implanted echidna and rotated it rapidly in the sagittal and horizontal
planes in a manner that elicits vigorous vestibulo-ocular reflexes in
the cat (Siegel et al., 1983 ). We saw no eye movement by direct visual
observation of the eyes or with our EOG recordings. We saw no periods
of EOG activity with low-voltage EEG when the animal was not actively
locomoting. These observations are in accord with the conclusion of
Allison et al. (1972) that the echidna does not have large-amplitude
eye movements. Periods during which the echidnas had little movement or
EMG activity but showed a low-voltage EEG tended to follow active
periods during which the echidnas ate, locomoted, and explored the
environment. Gross movements of the body produced significant activity
on the EOG leads. This appeared to be a movement artifact. The sharp
quills of the echidna, which cover its entire body and head, are
movable. They are another source of EMG artifact recordable on the EOG
channel. The tongue of the echidna, used to capture ants, can be
projected 18 cm from its mouth. The tongue movement path runs close to
the eyes and also is a potential source of activity in electrodes
placed to record eye movements. We acquired usable brain temperature
data on one of the animals and found decreased brain temperature during
sleep, as reported by Allison et al. (1972) .
A total of 43 units were recorded, 26 from the midbrain reticular
formation and 17 from the subcoeruleus/reticularis pontis oralis region
of the pons. Units were recorded for a minimum of 3 hr and a maximum of
30 hr.
Active waking was characterized by high and irregular discharge rates.
During QW, the EEG remained low voltage, and reticular formation unit
activity slowed and became more regular. Thus, during waking, echidna
unit discharge was like that of placental mammals.
Mean unit activity rates were 4.7 Hz in QW and 3.3 Hz in sleep. Sleep
discharge rates were significantly lower than the rates in QW
(F = 3.8, p <.05). Therefore, the rate decrease
during sleep in the echidna resembled that seen in brainstem reticular
units in placental mammals during non-REM sleep (Hobson et al., 1974 ;
Siegel and McGinty, 1976 ; Siegel, 1979 , 1994 ; Siegel et al., 1979 ,
1983 ; Siegel and Tomaszewski, 1983 ; McGinty and Siegel, 1992 ; Steriade
et al., 1993 ).
We saw no major difference in the rate or pattern of sleep-cycle
discharge as a function of the location of the units within the medial
reticular formation of the echidna (Figs. 2, 3). Figure
2 includes evaluations of changes in variability in digitized echidna
data (n = 22, with 17 increasing variability in sleep), as
well as in an additional six cells in which a polygraph record of
multiple sleep cycles was made and the change in variability with sleep
assessed by inspection of the paper record (five of six increased
variability in sleep). In nonmonotreme mammals, reticular cells
decrease variability in the transition from waking to non-REM sleep and
increase variability in REM sleep (Huttenlocher, 1961 ; Hobson et al.,
1974 ; Siegel and McGinty, 1977 ; Siegel, 1979 ). In the echidna, 79% of
units increased discharge variability in the transition from
waking to sleep with high-voltage EEG. Cells with this pattern were
distributed throughout the brainstem reticular formation of the
echidna. Therefore, the differences we report cannot be attributable to
our sampling of a different neuronal population.
Fig. 2.
Location of recorded neurons in the echidna, cat,
and dog. Filled circles indicate units that increased
variability in sleep in the echidna or in REM sleep in the cat and dog,
relative to QW.
[View Larger Version of this Image (24K GIF file)]
Fig. 3.
Unit discharge of a representative neuron recorded
in the nucleus reticularis pontis oralis of the echidna during waking
and sleep. Note irregularity of neuronal discharge during sleep. EEG,
EMG-ECG (electromyogram-electrocardiogram) unit, pulse output of
window discriminator triggered by neuron. Duration of recordings is 30 sec.
[View Larger Version of this Image (24K GIF file)]
Figures 3 and 4 show the discharge of
echidna units during waking and sleep. Figure 4 also shows
representative units recorded in the same brainstem regions in the cat
and dog. In placental mammals, virtually all midbrain and pontine units
show unchanged or decreased discharge variability in non-REM sleep
relative to QW and increased variability only in REM sleep.
Fig. 4.
Instantaneous compressed rate plots of
representative units recorded in nucleus reticularis pontis oralis of
the cat, dog, and echidna. Each point represents the discharge rate for
the previous interspike interval. In cat QW and non-REM sleep, the
discharge rate is low and relatively regular. The rate increases and
becomes highly variable during REM sleep. A similar pattern can be seen
in a unit recorded in the dog. In the echidna, sleep is characterized
by variable unit discharge rates.
[View Larger Version of this Image (31K GIF file)]
The increased variability of echidna reticular formation unit discharge
in sleep relative to QW was quantified by calculating the variability
in discharge frequency during consecutive 10 sec epochs. The echidna
data were compared with unit data collected for other studies in our
laboratory. Cat units were recorded in mongrel cats (Siegel and
Tomaszewski, 1983 ; Siegel et al., 1983 ). Dog units were
noncataplexy-related units recorded in narcoleptic Dobermans (Siegel et
al., 1991 ). We selected cat and dog units recorded from anatomical
locations approximating the anatomical locations of the echidna units
(Fig. 2). Both cat and dog units were recorded in unrestrained,
unstimulated, and undrugged animals during spontaneous sleep cycles
using the same 32 µ microwire recording techniques used in the
echidna (Siegel and McGinty, 1976 ; McGinty and Siegel, 1992 ). Ten
reticular cells in the dog, 13 in the cat, and the 22 echidna cells for
which we were able to digitize records across the sleep cycle were
compared.
The levels of variability of reticular unit discharge in REM sleep did
not differ significantly in the dog and cat; neither did levels of
discharge variability in non-REM sleep (p >0.1,
Mann-Whitney U test). These data were pooled for the
subsequent comparisons. Variability of discharge in QW also did not
differ significantly in the dog and cat. Variability of discharge in QW
in the echidna did not differ from the pooled cat and dog QW values.
The increased variability of reticular unit discharge in sleep in the
echidna differed significantly from the decreased variability seen in
non-REM sleep in the cat and dog (p <0.001, Mann-Whitney
U test comparing the direction of change from waking to
sleep). The level of reticular unit discharge variability in the
echidna during sleep was significantly greater than that during non-REM
sleep in the cat and dog (p <0.027, Mann-Whitney
U test). Variability in echidna sleep was significantly less
than the variability in dog and cat REM sleep (p <0.001).
In summary, whereas the increase of variability in the echidna was in
the direction of the change seen in REM sleep and the variability was
greater than that in dog and cat non-REM sleep, the magnitude of the
variability increase seen in sleep in the echidna was lower than that
in REM sleep.
Figure 5 plots sleep variance against QW variance in the
cat, dog, and echidna. The points for the echidna can be seen to fall
between the points from REM and non-REM sleep in the cat and dog. This
illustrates graphically that the increased discharge variability during
sleep in the echidna is intermediate between the pattern seen in
non-REM sleep and REM sleep in cats and dogs.
Fig. 5.
QW variance of the number of neuronal action
potentials in consecutive 10 sec epochs plotted against sleep variance.
Echidna units are plotted with REM sleep and non-REM sleep values in
the cat (A) and dog (B). Note that the majority
of the points representing echidna sleep fall between those of cat or
dog units recorded in REM sleep and non-REM sleep.
[View Larger Version of this Image (18K GIF file)]
We did not see any periods of phasic motor activity in the EMG or
in our infrared video observations during these periods of unit
discharge irregularity. The complete atonia during sleep may have
blocked the motor expression of phasic brainstem unit activity. Another
explanation for the lack of motor activity is that whereas the bursting
activity of brainstem neurons during REM sleep is synchronized across
the entire neuronal population in placental mammals (Siegel et al.,
1981 ), bursting was not synchronized in the echidna. Cross-correlation
analyses at 1, 25, and 200 msec binwidth of 20 units recorded in 10 pairs revealed that these echidna units, even when recorded from the
same microwire, fired their bursts asynchronously in sleep. Figure
6 compares a cross-correlation of a representative cell
pair recorded from the pontine reticular formation of the echidna with
a cross-correlation of a typical pair of cat pontine reticular units
recorded in our laboratory using identical techniques (Siegel et al.,
1981 ). A peak, indicating correlated firing of units, is present during
REM sleep in the cat, but was not present in any of the echidna pairs
we recorded.
Fig. 6.
Rate histogram and cross-correlogram of discharge
in a pair of cat reticularis pontis oralis units recorded during REM
sleep (top), compared with a pair of echidna reticularis
pontis oralis units recorded during sleep (bottom). Counts
per second on y-axis on left. Cross-correlograms
of each pair computed at 50 msec binwidth are shown at
right. Unit pairs in both the cat and echidna were recorded
from adjacent microwires on a single bundle of 32 µm microwires.
Whereas most cat and dog units fire synchronously and are
cross-correlated during REM sleep (Siegel et al., 1981 ), none of the
echidna unit pairs was cross-correlated in sleep.
[View Larger Version of this Image (46K GIF file)]
DISCUSSION
We find that the pattern of brainstem neuronal activity during
sleep in the echidna does not resemble that seen in the sleep of
placental mammals. While the discharge rate of the neuronal population
decreases, discharge variability increases. This period of increased
variability is accompanied by a high-voltage cortical EEG. The neuronal
activity pattern of REM sleep, which consists of low-voltage EEG,
increased discharge rate and variability, and synchrony of firing in
reticular units does not occur. However, neither does the neuronal
activity pattern seen in nonmonotremes during non-REM sleep, which
consists of decreased discharge rate and decreased variability during a
period of high-voltage cortical EEG. Instead, sleep in the echidna has
aspects of both non-REM and REM sleep states.
We hypothesize that since the divergence of monotreme and nonmonotreme
mammals 130 million years ago, there has been a differentiation of this
primordial sleep state into two states; whereas the primordial state
had reduced discharge rate and increased variability simultaneously,
the subsequently evolved states alternate temporally. Non-REM has a low
discharge rate and low rate variability, whereas REM sleep has a high
discharge rate and very high rate variability.
Our study was aimed at an analysis of neuronal activity during the
echidna sleep state described by Allison et al. (1972) , not at a
reexamination of their conclusion that the echidna lacked a REM sleep
state. A recent abstract reports evidence for REM sleep with
low-voltage EEG and rapid eye movements in the echidna (Berger et al.,
1995 ). However, in contrast to the studies by Allison et al., arousal
thresholds were not tested in this putative sleep state. Therefore,
this criterion for distinguishing sleep from waking was unavailable.
The Berger et al. study used only needle electrodes placed outside the
cranium and, therefore, did not include the hippocampal, pyriform
cortex, and brain temperature measures that allowed Allison et al. to
conclude that the echidna did not have REM sleep. Berger et al. also
did not repeat Allison et al.'s PS? deprivation test or
somatosensory-evoked responses that contributed to the latter's
conclusion that echidnas do not have REM sleep. Our observation of lack
of signal on EOG electrodes placed close to the eye during vestibular
stimulation suggests that the potentials recorded by the more widely
spaced bilateral needle electrode derivations used in Berger's study
were movement artifact rather than eye movement, indicating a waking
state. Our unit recordings indicate reticular bursting during active
waking (as the animal locomoted) and in periods of high-voltage EEG
with the animal quiescent, but uniformly low levels of variability
during periods of low-voltage cortical EEG without movement, as in QW.
All of these considerations are most consistent with the conclusion
that the low-voltage EEG periods are waking rather than REM sleep.
REM and non-REM sleep usually are viewed as completely distinct states.
Thus, an often-quoted statement is that REM sleep is as different from
non-REM sleep as non-REM sleep is from waking (Dement, 1972 ). Indeed,
this appears to be true at the descriptive level. However, there also
are important links between REM and non-REM sleep. Across mammalian
species, REM sleep time is correlated positively with non-REM sleep
time (Zepelin and Rechtschaffen, 1974 ). Studies of REM-non-REM
cyclicity show that even within the cycle of an individual animal, REM
sleep duration is highly correlated with, and can be predicted by,
previous non-REM sleep duration (Uchida et al., 1992 ; Benington and
Heller, 1994 ). The current study is consistent with the idea that REM
sleep and non-REM sleep are linked evolutionarily and, perhaps,
functionally.
Adult nonmonotreme mammals have a high ratio of REM sleep to non-REM
sleep discharge rates in the brainstem reticular formation. Corner and
Bour (1984) have shown that this pattern develops postnatally, in the
first few weeks of life. In the current study, we show that the rate
and variability of discharge in medial reticular cells during sleep in
the echidna are lower than those in REM sleep and higher than those of
non-REM sleep in the cat and dog. This pattern resembles more closely
the neonatal pattern. Therefore, a state of reduced reticular
variability is shared by monotremes and young nonmonotreme mammals. We
hypothesize that the developmental differentiation of this state into
REM and non-REM sleep parallels the phylogenetic differentiation of
these states from the primordial sleep state.
FOOTNOTES
Received Oct. 27, 1995; revised Feb. 29, 1996; accepted Mar. 1, 1996.
This work was supported by the Medical Research Service of the Veterans
Administration, US Public Health Service Grants NS32819 and NS14610,
and the Australian Research Council Special Research Centres Budget. We
thank Joel Benington for help with spectral analysis of the echidna
EEG. This research was carried out according to the Australian Code of
Practice for the Care and Use of Animals for Scientific Purposes under
Queensland National Parks and Wildlife permits T00803 and K01782.
Correspondence should be addressed to Jerome Siegel, Department of
Psychiatry, UCLA, Neurobiology Research 151A3, VAMC, 16111 Plummer
Street, North Hills, CA 91343.
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