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ACKNOWLEDGEMENTS:
I should like to thank Dr Jake Empson
(my MSc Supervisor) of Hull University for providing me with
a knowledge of sleep-research technique , and my current
Supervisor, Dr Graham Wagstaff, for his valuable comments on
my work.
I should especially like to thank the
main subject in this study, Alan Worsley of Hull, for his
great co-operation over the 3 years of experimentation.
Also, all the other subjects who volunteered to spend nights
in the sleep-laboratory with no remuneration.
The Department’s workshop staff,
under Eric Britton, deserve credit for their friendly
efficiency in providing equipment, and I am grateful to
Brian Mitchell and Eddy Cookson for designing and
constructing the 'CEMOS' device to my
specifications.
Keith M.T.Hearne
Dept. of Psychology
University of Liverpool. May
1978.
ABSTRACT
:
The aim of this
research was to make original investigations into
‘lucid-dreams’ (those in which the dreamer has
insight that the experience is a dream). A new method of
ocular signalling from these dreams was discovered, so
circumventing the bodily paralysis of Stage REM sleep, and
establishing a mode of communication from the sleeping
subject.
All-night Polygraphic
recordings were obtained from 18 subjects who reported
having lucid-dreams. However, after extensive monitoring
only two of the eighteen subjects were able to produce
lucid-dreams in the laboratory. Much physiological and
psychological information on these dreams in the best
subject was made available using the new technique. All the
lucid-dreams occurred in Stage REM sleep and had a mean
duration of 4 minutes. There were no differences in the
sleep-patterns between Control and lucid-dream nights. The
temporal order of events reported on waking corresponded in
general to the signalled information. A group of simulating
Control subjects were unable to reproduce ocular signals
with REM EEG on waking from Stage REM sleep. Additional data
was analysed concerning home lucid-dreams. A 4-day cycle
accounted for 25% of the subject’s lucid-dreams and
they tended to occur more after days of above average
stimulation.
A large group of
persons who reported having lucid-dreams provided
questionnaire data. Personality and intelligence factors
were also studied in relation to these dreams, but no
significant findings resulted.
A method of induction
of lucid-dreams was tried unsuccessfully on a group of
subjects, but a later technique showed promise. A study of
2-way communication between subject and experimenter was
inconclusive.
Three inventions were
devised as a result of this research: a switching device
operated by ocular signals; a device for waking persons at
the early stage of nightmares ; a device to induce
lucid-dreams and false-awakenings.
CHAPTER I
I.1 AIMS OF THIS
RESEARCH
The purpose of this
programme of research was to investigate a remarkable type
of dream (the 'lucid' dream) in which, reportedly,
consciousness and volitional control are present i.e. the
dreamer has insight whilst dreaming that the experience is a
dream and can, to some extent, manipulate dream content and
course of action. Very little appeared to be known about
lucid-dreams, yet it seemed that, potentially, they held the
key to unravelling much about dreams generally, and also
could assist the understanding of other psychological
processes such as memory and thought.
It seemed not
unreasonable to suppose that suitable subjects could report
information from ongoing lucid-dreams in some way. This
would provide knowledge on dreams from within the dream for
the first time. Obviously, a signalling technique (from the
subject) would first have to be devised, though.
A primary aim of the
research programme therefore was to obtain subjects who
report having lucid-dreams and perform all-night polygraphic
monitoring on them. Providing a signalling method could be
established, basic electrophysiological data was to be
ascertained about lucid-dreams, together with
psychological information. One objective was to
determine whether lucid-dreams are in fact true dreams
occurring in Stage REM sleep, or whether they are a
phenomenon of imagery experienced on waking.
Electrophysiological monitoring of subjects could answer
that question. Since no previous work appeared to have been
conducted on lucid-dreams, the actual course of
experimentation in that respect would develop as findings
became available.
In addition to
polygraphic monitoring of lucid-dream subjects, it was
planned to attempt the artificial induction of lucid-dreams
in subjects in order to make research more efficient. Also,
questionnaire data from lucid-dreamers would be obtained and
analysed to seek any connections between various imagery and
sleep phenomena, in the hope of finding clues as to any
possible causes of lucid-dreams. Another aim would be to
develop any devices which might be useful regarding the
induction of lucid-dreams or as aids in
experimentation.
CHAPTER I
I.2
THE FORMAT
This thesis consists
of four main parts. The first is introductory, consisting of
information on : The methodology concerning the
electrophysiological study of sleep and dreams ; general
sleep-research findings ; the history of dreams and various
dream theories ; collated data on the waking accounts of
lucid-dreams ; philosophical aspects of dreams. These areas
are covered in five Chapters.
In the second part,
the experiments are described in detail. The programme
followed the plan outlined in I.1. One of the lucid-dreamers
was particularly co-operative and produced much valuable
sleep-lab and questionnaire data. Once a method of
signalling was perfected, one precautionary study involved
seeing whether simulating Controls could reproduce the same
type of signal when woken from Stage REM sleep. Another
study which later suggested itself on the basis of earlier
findings was that of testing personality and intelligence
factors of subjects in relation to their reported frequency
of experiencing lucid-dreams. In all, 10 Chapters catalogue
the experimentation performed in this research.
Part 3 (three
Chapters) consists of descriptions of three devices which
were developed as a direct result of this research. The
first would aid lucid-dream research, but is still in the
developmental stage. Another device is designed to wake
persons from the early stage of nightmares. The third device
is intended to induce lucid-dreams and false-awakenings.
Part 4 of this thesis consists of two Chapters in which the
experimental results are discussed and various theoretical
speculations are proposed, and overall conclusions are
listed and suggestions for further research are
stated.
CHAPTER II
II.1 BRIEF
HISTORICAL BACKGROUND TO ELECTRO-PHYSIOLOGY
Galvani (c 1790)
discovered that the current generated by two dissimilar
metals applied to the crural nerve in the leg of a frog
caused twitching of the attached muscle. This demonstration
showed that nerves conduct electrical impulses rather than
some 'vital fluid' - a view that had held for centuries and
was most elaborately propounded by Descartes (Lindsley &
Wicke, 1974 ; Sheer, 1961.) Later, Nobili (1827) first
measured electrical activity in frog muscles.
When technical
developments in current detection permitted, Caton (1875) at
Liverpool university performed the first published
experiments in monitoring the very small electrical activity
from the exposed brains of rabbits and monkeys. Caton
observed a constantly changing background current and
changes at the sensory surface of the brain during sensory
stimulation.
At the beginning of
this century, several investigators began to study muscles
and nerves electrically, and in the 1920s electronic
amplification became available for electro-physiological
work following the development of the vacuum
tube.
The neuro-psychiatrist
Hans Berger (1929) at the university of Jena published an
account of the recording of electrical activity from the
scalps of human subjects (Gloor, 1969). He reported the
discovery of rhythmic 10Kz waves (which he termed 'alpha
waves') in subjects with eyes closed. In addition, he
observed smaller amplitude faster frequency activity which
he called 'beta waves'.
He also termed the
whole record the 'Elektrenkephalogram' (EEG). For
electrodes, Berger used two large saline pads on the
forehead and occiput.
His findings were
treated sceptically by other electro-physiologists until
Adrian & Matthews (1934) replicated his results. Many
varied investigations then began and the rapid advancements
in equipment (e.g. multiple channel recording, cathode-ray
oscilloscope monitoring) aided this work.
Apart from animal
studies, investigations were initiated to seek
physiological, psychological and pathological correlates of
the EEG in humans. Loomis, Harvey & Hobart (1935, 1936)
observed the EEG of sleep and noted vast changes during that
state.
Berger's original
observation that epilepsy and other neurological disorders
produced an abnormal EEG was taken up by others. Dawson
(1951) introduced an 'averaging' technique for teasing out
minute evoked responses from the background EEG. W.G.
Walter, Cooper, Aldridge, McCullum & Winter (1964) first
observed a slow negative potential (d.c.) shift associated
with anticipation - the Contingent Negative Variation
(CNV).
From the point of view
of sleep research, a most important discovery was that of
the different sleep-stages - including REM
(Rapid-Eye-Movement) sleep, which was shown to be associated
with subjective reports of dreaming (Aserinsky &
Kleitman, 1953) ; Aserinsky & Kleitman, 1955 ; Dement
& Kleitman, 1957b).
CHAPTER II
II.2
ELECTRO-PHYSIOLOGICAL MEASUREMENT
- a. Technical
points
AMPLIFIERS
The minuteness of
electro-physiological measures, especially the
electro-encephalogram (measured in millionths of a volt),
necessitates the use of very sensitive high-gain amplifiers
for monitoring and recording purposes. In modern research,
multiple-channel high quality instruments (polygraphs),
often linked to computers, enable the sophisticated
recording and analysis of data. A typical instrument is
equipped with variable time-constant, variable chart speed
and electronic filtering facilities.
ELECTRODES
The interface between
skin and recording instrumentation is of crucial importance
in obtaining accurate measurement. High-conductivity silver
electrodes coated with silver-chloride are commonly employed
in electro-physiological work. Their relative non-polarising
characteristic permits direct-current potentials to be
recorded without a constant signal shift. Electrodes need to
be firmly attached with collodion glue (where hair is
present) or surgical tape to the skin.
ELECTRODE
GEL
Electrolytic past or
gel - a chloride salt of a formula consistent with the
chemistry of the epidermis, is placed between the electrode
and skin, to conduct the electrical potentials. A grease
solvent such as acetone is used to cleanse the skin so
reducing skin-resistance before attachment of
electrodes.
ARTEFACTS
A number of sources of
artefact exist which can obliterate or modify measured
potentials. For instance, skin-stretching occurring when the
subject moves, can cause high-voltage transients. Electrical
interference ('mains hum') is another potential bug-bear
which may be present when electrodes are poorly attached or
the subject not grounded.
Bias potential results
from two electrodes having an imbalance in ionic transfer,
due to different metallic properties or surface
contamination.
Polarisation is a
back-electromotive force occurring as a result of
electrolysis between the electrode and electrolyte - in one
direction, so either increasing or decreasing the true
potential. (Thompson & Patterson, 1974 ; Greenfield
& Sternbach, 1977).
CHAPTER II
- b. The
electro-encephalogram (EEG), electro-oculogram (EOG) and
electro-myogram (EMG)
The
electro-encephalogram is a graph of voltage plotted over
time, measured from the most superficial layers of the
cerebral cortex (Stevens, 1974). The frequency and amplitude
of the monitored brain activity provide the basic data for
the encephalographer. Two modes of electrode placement exist
i.e. monopolar (referential) or bipolar. In the former case
there is an active recording electrode which is 'referred'
to an 'indifferent' electrode positioned on a supposedly
electrically neutral site such as ear-lobe. In bipolar
recording, the signal represents the difference electrically
between the two electrodes.
The international
10/20 system of electrode placement (Jasper, 1958) has been
widely adopted for EEG recording. This uniform system
enables a better comparison of studies from different
laboratories. Electrodes are positioned at points on
imaginary circles 10 or 20 percent of the distance along the
axes from nasion to inion and preauricular points coronally
(Figure I.1, page 17). Gibbs & Gibbs (1964) criticised
the 10/20 system as being geometric rather than satisfying
the requirements for the best electrical placements. Remond
& Torres (1964) modified the 10/20 system for use with
infants and small children.
In the normal EEG
there are four main frequency bands. Changes in the
predominance of different bands occur during maturation
(Lindsley & Wicke, 1974). These bands are :
DELTA
W.G. Walter (1937)
introduced this term to describe certain 'high voltage'
(perhaps a few hundred microvolts) slow waves of a frequency
of 0.5 to 3Hz. Delta activity is found in the waking EEG of
infants and young children, but is abnormal in adults.
Factors which cause an increase in intra-cranial pressure,
for instance a brain tumour, are linked with the presence of
Delta waves. They are also present in Stage 4 sleep
(slow-wave sleep) and unconsciousness (Lindsley & Wicke,
1974).
THETA
This term was also
introduced by W.G. Walter (1953). Theta waves have a
frequency range of 4-7Hz. During maturation, theta
predominates in all head regions, though mainly from
posterior and temporal areas. The frequency is slightly
higher in the frontal lobes. Theta activity is abundant in
childhood and early adult life but decreases in the 20s and
is abnormal beyond the age of 30. The presence of theta from
the temporal regions of adults and teenagers is thought to
be associated with delayed cerebral maturation and is often
found in persons with severe behavioural disorders and
psychopathy (Hill, 1952). Theta waves are linked with the
hippocampus and limbic system (Green & Arduini, 1954) ;
amplitude is usually under 20 microvolts.
ALPHA
Alpha activity, of a
frequency range 8 - 13Hz, first appears in mid-childhood. It
is prominent posteriorly over the visual cortex. Typically,
it appears in bursts or 'spindles' of 20-100 microvolts.
Lindsley (1938, 1939) found the mean frequency from a large
adult population to be 10.2Hz. Its frequency may vary by
about half a cycle, however in hypothyroidism for instance,
the frequency is much reduced. In fevers, the frequency may
be elevated one or two cycles.
There is much
individual variation in the amount of alpha present in the
waking EEG. A few persons show virtually continuous alpha
('P' type of Golla, Hutton & Walter, 1943) ; a minority
have little or none ('B' type of Davis, 1941). Most people
fit between these two extremes.
The generator sites
are not yet known (Andersen & Andersson, 1968). The
activity is stronger over the sensory and associated areas
of the posterior cortex but is also present over frontal
regions. It has an underlying pacemaker mechanism in the
thalamus which is linked to the ascending reticular
activating system. Sensory input of any kind can
de-synchronise alpha - this is termed 'alpha-blocking'.
Lindsley & Wicke (1974) state that alpha is sensitive to
unexpected sensory stimuli, to factors which modify the
state of arousal and alertness or vigilance and events which
elicit or demand specific attention whether they be external
events or internal events such as thoughts, ideas, worries,
etc. A laterality effect or asymmetrical effect is observed
I about 30% of adults i.e. one hemisphere has a greater
amplitude - usually the right or 'dominant' hemisphere
(Cobb, 1963). In recent years, the volitional control of
alpha using biofeedback methods has become popular (Kamiya,
1962, 1967, 1969 ; Hart, 1967).
BETA
This common
low-voltage (usually under 20 microvolts) activity of
frequency range 14 to 30Hz is prominent from the frontal
lobes during adulthood. Their study has been much neglected
(Lindsley & Wicke, 1974). Jasper & Penfield (1949)
found that in a patient with an exposed part of the motor
cortex, beta waves at local regions could be blocked by
voluntary effort.
GAMMA
Jasper & Andrews
(1938) divided up the beta activity described by Berger
(1929) as 20-50Hz into beta waves of 14-30Hz and gamma waves
of 30-50Hz.
KAPPA
Kennedy, Gottsanker,
Armington & Gray (1948) found a frequency similar to
alpha (8-12Hz) of about 20 microvolts at the temples, which
seemed to be associated with intellectual activity. The
bursts of kappa are supposed to increase with reading,
memory and arithmetic tasks, and problem-solving. Not all
subjects evince the waves, but Chapman (1972) suggests that
where present it is a reliable effect.
MU
Gastaut (1952)
described this 9-11Hz rhythmic bursts of which appear in the
EEG of about 7% of subjects (Other names are : 'comb',
'wicket', 'rythme en arceau') : It is rare after the age of
30. It is found in the Rolandic area, usually bilaterally
asynchronous. The rhythm is apparently decreased by movement
or intention to move the contralateral limb.
LAMBDA
These are single
positive waves of 'sawtooth' appearance (over 250mS)
recorded at the occiput in some people (Gastaut, 1951 ;
Evans, 1952). They seem to be linked with visual
perception.
VERTEX
WAVES
These are single sharp
negative waves (generally under 25 microvolts) over the
vertex. They occur randomly - especially in children
(Gastaut, 1953) ; 20% of normal adults show them (Roth, Shaw
& Green, 1956).
The electro-oculogram
(EOG) is a recording of eye-movements obtained from
electrodes placed usually above and under the outer canthus
of each eye. The electrode arrangement can be varied
according to the type of ocular activity being studied e.g.
vertical, horizontal or oblique movements. The electrodes
pick up potentials caused by movements of the dipole moment
of the electrical charge on the retina and cornea of the
eye. The cornea is positive (by 1 millivolt) relative to the
retina because of the higher metabolic activity of the
latter (Greenfield & Sternback, 1972).
The electromyogram
(EMG) is a recording of muscle potentials. Electrodes placed
over a muscle indicate the general level of tonus as well as
monitoring discrete contractions (Greenfield &
Sternbach, 1972).
CHAPTER II
II.3 HUMAN
SLEEP-STAGES AND SCORING CRITERIA
Oswald (1962) defined
sleep as a healthy recurrent condition of inertia and
unresponsiveness. Its study was somewhat limited until
all-night polygraphic monitoring of subjects was performed
and the various sleep-stages discovered (Aserinsky &
Kleitman, 1953 ; Dement & Kleitman 1957b). In general
terms there are two sleep states : Rapid eye movement sleep
(REM) and non-REM (NREM). The terminology of sleep states
has varied remarkably over the years so that even totally
contradictory terms refer to the same state. Freemon (1972)
found 25 different nomenclatures for REM and NREM sleep
states in the literature (Table II.1, page 18).
Four NREM stages have
been distinguished by their different appearance in the
polygraphic record. In human sleep there is a roughly 90
minute cycle during sleep in which the different stages
appear sequentially.
Typically, the subject
enters NREM stages 1 through to 4, then reverses back to
stage 2, after which stage REM occurs. This pattern is
repeated several times throughout the night, but the amount
of stage 4 decreases each time and the duration of the REM
state increases (Figure II.2, page 19).
Rechtschaffen &
Kales (1958) published a manual for scoring sleep stages so
as to standardise scoring criteria. The authors suggested,
among other things, a minimum chart speed of 10mm/sec for
clear identification of EEG frequencies, a minimum
time-constant of 0.3 secs and a minimum pen deflection of
7.5 - 10mm for 50 microvolts. EEG monitoring from positions
C4/A1 or C3/A2 (according to the 10/20 system) was proposed.
In EMG recording, high amplification is suggested (20
microvolts or higher) with a fast time-constant to eliminate
slow potentials from other sources which could cause
amplifier blocking at high gain. Records are scored by
judging which sleep stage is present on each page (epoch) -
usually of about 20-30 seconds ; this judgement sometimes
depends on preceding or following epochs. The total
percentage of the different stages can then be computed.
The sleep stages are
:
STAGE 1 :
This stage occurs
first when falling asleep, or after gross body movements in
sleep. The EEG is low-voltage mixed-frequency activity, with
many 2-7Hz waves. In its latter part, vertex sharp waves may
occur. There are often large slow rolling eye-movements in
the EOG. The EMG level is usually lower than that of relaxed
wakefulness (Roth, 1961).
STAGE 2 :
This stage has
'k-complexes' (Loomis et al, 1938) and/or sleep-spindles
present, but the EEG amplitude is still generally low (under
75 microvolts). A k-complex is an EEG wave having a sharp
negative front followed by a positive component : for
scoring purposes it should exceed 0.5 secs. They occur in
response to sudden external stimuli - but may also occur
spontaneously (Johnson & Karpam, 1968).
Sleep-spindles are
bursts of 12-14Hz activity occurring often with a
k-complex.
STAGE 3 :
This stage has been
arbitrarily defined as one in which the EEG shows a minimum
of 20% and maximum of 50% f 2Hz or slower waves (delta)
having an amplitude of at least 75 microvolts peak-to-peak.
K-complexes and spindles may be present in stage
three.
STAGE 4 :
Here, the EEG record
shows 50% or more of 2Hz or slower waves with a minimum
amplitude of 75 microvolts ; sleep-spindles may or may not
occur.
STAGE REM :
The EEG here is of
low-voltage mixed frequency, like that of Stage 1, with -
very often - distinctive 'saw-tooth' waves (Schwartz &
Fischgold, 1960 ; Berger, Olley & Oswald, 1962). Alpha
is usually a little more prominent than in stage
1
But the frequency is
slower by 1-2Hz than during wakefulness (Johnson, Nute,
Austin & Lubin, 1967). No k-complexes or spindles are
present in stage REM. A main characteristic is the presence
of episodic REMs. Stage REM sleep is not so scored if
mental-submental muscle tonus is high in the EMG (Berger
1961 ; Jacobson, Kales, Lehman & Hoedemaker, 1964).
Complicated and specific rules for scoring stage REM under
all conceivable conditions are stated in the sleep-manual of
Rechtschaffen & Kales (1958).
The basic
electro-physiological criteria of sleep having been stated,
in the next chapter an overall view of general
sleep-research findings will be reviewed to illustrate the
nature of sleep and the various experimental
approaches.
(Keith Hearne's PhD
thesis, pages 17 - 21)
Page 17 : Figure of
the 'ten-twenty' electrode system of electrode
placement
Page 18 : List of
nomencalture of sleep stages
Page 19 : Figure of
typical night of sleep in a young adult (sleep
stages)
Pages 20 - 21 : Figure
of EEGs of different sleep stages.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.1 THE
PHYSIOLOGY OF SLEEP
Numerous physiological
changes are correlated with sleep, reflecting the alteration
in level of metabolism associated with the rest / activity
cycle. Body temperature is affected by metabolic rate
(measured by oxygen consumption or rate of heat-loss).
In sleep, oxygen consumption falls off gradually reaching a
nadir after some 6 hours : at that point the curve shows a
small inflection (Brebbia & Altshuler, 1965) ; rectal
temperature shows a similar decline curve (Kreider, Busirk
& Bass, 1958). Pulse rate begins to decline before sleep
when the body is fairly inactive and falls sharply at first
(Schaff, Marbach & Vogt, 1962). Respiratory depression
is another characteristic of sleep and the expired air
contains increased levels of carbon dioxide (Kleitman, 1963
). These metabolic measures are usually quite stable in NREM
sleep, but fluctuations are apparent in Stage REM
(see p 24 ). Basal skin resistance appears to alter too
throughout the night ; workers have reported that resistance
increases i.e. conductivity is decreased (Farmer &
Chambers, 1925 ; Batini, Fressy & Coquery, 1965). Landis
(1927) attributed this to drying of electrodes and
polarisation. Other experimenters have reported
different curves depending on whether a continuous or
intermittent current was used (Wenger, 1962 ; Tart, 1967).
This measure therefore remains controversial ; studies of
blood-pressure in sleep have been inconclusive for the
technical reason of accompanying sleep disturbance.
Generally though, there is evidence that systolic pressure
is positively correlated with depth of sleep (Snyder &
Scott, 1972 ). Plethysmographical studies have shown that
vascular dilation of the hands and feet occurs during sleep
(Howell, 1897; Johnson & Lubin, 1967).
Body movement is
limited during NREM sleep although motility is higher in
Stage REM. Overall, the number of movements increases slowly
after the first hour or so (Snyder & Scott, 1972 ).
Kleitman, Cooperman & Mullin (1933) reported that a
person may make 20-60 postural re-adjustments during the
night, but these total a mere 3-5 minutes. Brazier &
Beech (1952) found that 6 minutes before a movement, cardiac
acceleration occurs. During movement the EEG becomes less
synchronised. Auditory thresholds are lowest after a
movement and highest some 16-20 minutes later (Mullin,
Kleitman & Cooperman, 1937). Motility decreases with
'depth' of sleep although much individual variation is found
(Cathala & Guillard, 1961 ; Rohmer, Schaff, Collard
& Kurtz, 1965). Lienert & Othmer (1965) stated that
emotionally stable persons have more body movements than
unstable subjects.
The physiological and
psychological phenomena of REM sleep are so distinct that
the Stage is now considered by many to constitute a
separate third State, along with NREM sleep and wakefulness
(Oswald, 1962 ; Dement, 1974). Aserinsky and Kleitman (1953)
observed that pulse and respiration are generally
higher in REM than NREM sleep. Further, much variability
occurs in REM (Batini et al. 1965 ; Snyder, Hobson, Morrison
& Goldfrank, 1964). Blood pressure behaves in a similar
manner (Khatri & Fries, 1967 ; Snyder, Hobson &
Goldfrank, 1963). Mean increase of these measures in REM
sleep from the mean NREM level, was 50% (Snyder & Scott,
1972). Fluctuations also are seen in plethysmographic pulse
amplitude and finger skin-temperature (Snyder, 1967),
however the Galvanic Skin Response (GSR) and basal
skin resistance remain relatively more stable in REM than
NREM sleep (Asahina, 1962). The pupil, an index of autonomic
activity when awake, remains constricted during sleep and
REM (Rechtschaffen & Foulkes, 1965). Brain temperature,
which stays fairly constant in NREM sleep, increases
significantly in Stage REM sleep (Kawamura & Sawyer,
1965). In males penile erections are associated with Stage
REM (Ohlmeyer, Brilmayer & Huellstrung,1944) ; Fisher,
Gross & Zulch (1965a) found evidence that the phenomenon
is not affected by sexual gratification. Karacan,
Goodenough, Shapiro & Starker (1966) found, though, that
if Stage REM is prevented by wakening, the erection cycle
appears in other Stages at the expected times i.e. in the 90
minute cycle. A phenomenon associated with the phasic REM
bursts is activity of the stapedius muscle of the middle ear
(Baust & Rohrwasser, 1964). In REM sleep (but not NREM)
bodily paralysis is present, as indicated by EMG
suppression. Actively induced tonic non-reciprocal motor
inhibition occurs which blocks the frenzied activity of the
brain during REM (Dement & Mitler,1974). Only small
twitches are observed occasionally. Electrically induced
reflexes are suppressed in REM indicating active motor
inhibition (Hodes & Dement, 1964 ; Pompeiano, 1965,
1970), Tendon reflexes are abolished and voluntary movement
is impossible. Sometimes, a person may wake from Stage REM
to find the body paralysed (Sleep-paralysis, page 47).
Bremer (1974) remarks that the state of paralysis resembles
the 'apparent death' of lower vertebrates and that perhaps
nature uses this archaic inhibitory apparatus for protection
of the dreamer.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.2 THE CHANGING
CONCEPT OF SLEEP
Early ideas of sleep
inclined to a 'passive' theory that sleep occurs to prevent
fatigue or is caused by a lack of sensory stimulation
(Claparède, 1908 ; Coriat, 1912). 'Active' theories
also appeared i.e. that the brain actively inhibited
consciousness. Pavlov (1923) thought that sleep was the
result of cortical inhibition spreading from certain areas,
and Hess (1931) discovered that cats could be put to sleep
by electrical stimulation of the diencephalon. Bremer (1935)
invoked the passive notion to explain his finding that the
cerveau isolé cat (having a cut through the upper mid
brain) remained in virtually continuous sleep. He thought
the animal was not receiving enough sensory stimulation to
keep awake. In encéphale isolé animals (where
the cut is in the lower mid-brain) the sleep-wake cycle
persists (Bremer, 1935). Thus, the sleep mechanism seems to
be located between these brain areas. Moruzzi & Magoun
(1949) discovered that electrical stimulation of the
reticular formation roused a sleeping or anaesthetised cat.
'Reverberating loops' were supposed to keep the animal awake
in the absence of stimulation (Magoun, 1952).
It became generally
accepted that the reticular formation stimulates the cortex
to consciousness. Sensory information from the sense organs
is routed to the cortex whilst collateral afferents from
these nerves link with the reticular formation. Lesions of
the pathways to the cortex do not cause sleep, whereas
lesions between the reticular formation and the cortex do
(Lindsley, Schreine, Knowles & Magoun, 1950).
Apparently, impulses from the collateral afferents excite
the reticular formation to send diffuse 'activating'
impulses to the cortex, so maintaining
wakefulness.
There seems to be an
inherent rhythmic sleep-wake cycle in the upper reticular
formation but wakefulness is aided by external sensory
stimulation (Oswald, 1962). Animals without sense organs
tend to sleep excessively (Hagamen, 1959). Several factors
assist in maintaining wakefulness by stimulation of the
reticular formation, the 'gating' function of which controls
consciousness. For instance, a decrease in blood oxygen
content stimulates chemoreceptors in the carotid body which
in turn stimulate the reticular formation. An excess of
carbon dioxide in the blood also causes mid-brain
stimulation (Bonvallet et al, 1955). Hypothalamic
thermodetectors can affect the reticular formation too
(Hagamen, 1959), and various influences may also diminish
mid-brain activity, so promoting sleep. Baroreceptors in the
carotid sinus and aortic arch dampen the reticular formation
(Bonvallet, 1955). Heating of the hypothalamus encourages
sleep unless excessive (Euler & Söderburg, 1957.)
The cerebral cortex itself is capable of influencing the
organism’s own state of wakefulness (Hugelin &
Bonvallet, 1957a,b ; 1958). Worries can keep a person awake
and Cannon (1942) stated that in primitive cultures (eg
Aborigines) sudden death can occur in persons on the
receiving end of meaningful symbolic acts (eg pointing
a bone). Obviously, networks of feedback loops operate
between the activating reticular formation and the cerebral
cortex.
Not everyone
subscribes to the concept though ; Freemon (1972) states
that stimulation of the brain stem near the reticular
formation can lead to slow waves ; this is the opposite of
the Moruzzi and Magoun finding.
Freemon also says that
the reticular formation does not project diffusely to the
neocortex, but to the limbic areas and orbito frontal
cortex, returning then to the reticular formation (Scheibel
& Scheibel,1967.) Hippocampal arousal (shown by
de-synchronisation of the EEG) occurs several seconds before
neocortical arousal on external stimulation in NREM sleep
(Freemon & Walter, 1970). Some argument exists therefore
over the notion of the reticular formation’s direct
involvement in causing sleep.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.3 DEVELOPMENTAL
ASPECTS OF SLEEP
Differences have been
discussed between sleep EEG waveforms for different ages
(II.2.(b)). Studies of premature babies show that a
virtually constant EEG pattern exists before full-term
(Parmalee & Wenner, 1967).
Slow waves do not
become evident in the sleeping EEG, along with spindles and
K-complexes, until 3 months of age, although Stage REM is
present at birth and may constitute 50% of the 16 hours or
so daily sleep for the first few weeks (Gibbs & Gibbs,
1950b).
The total amount of
sleep and the relative amount of REM decrease steadily until
approximately 4 years of age after which it varies within
some 2-3% over the years, averaging about 2-3% (Roffwarg,
Dement & Fisher, 1966). Kales, Kales, Jackson, Po &
Green (1967) found 30% Stage 4 and 29% Stage 3 in children
compared to 11% and 10% respectively for young
adults.
Significant changes in
the distribution of sleep also occur in the early
years of life. The new-born baby has 5 or 6 periods of
wakefulness which reduces to 3 or 4 by 6 months (elimination
of night feeding is probably responsible Kleitman 1939). At
1 year most infants have a solid 12-14 hour sleeping period
with some day sleep (Gessel & Ametruda, 1945.) Thus,
early polyphasic sleep is altered by socialisation and
maturational factors to a monophasic form. No sex
differences appear to exist between the various sleep Stages
in young adults (Williams, Agnew & Webb, 1964,
1966).
The main change in EEG
of the aged is gradual loss of Delta activity (Agnew, Webb
& Williams, 1967 ; Kales, Jacobson, Kales, Kun &
Weissbuch, 1967) although this could reflect a reduced need
for deep sleep. The percentage of Stage REM in the sleep of
aged persons has varied in different studies. Feinberg,
Koresko & Heller (1967) found over 20% Stage REM,
whereas Lairy, Cor-Mordret, Faure & Ridjanovic (1962)
give a figure of 14%. However, old persons often take
'cat-naps' during the day which may affect the natural sleep
pattern - thus a polyphasic distribution of sleep may
recur.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.4 THE
PHARMACOLOGY OF SLEEP
The two states of
sleep (NREM & REM) appear to be governed by different
neurochemical systems. Injections of 5-hydroxytryptophane
(5-HTP) (a precursor of 5-HTP or serotonin) in cats causes
NREM sleep (Jouvet, 1967). Injections of reserpine in cats
suppresses both states, but subsequent injections of 5-HTP
selectively restores NREM sleep (Matsumoto & Jouvet,
1964 ). Parachlorphenylalanine (p-PCA) selectively blocks
5-HTP synthesis, and Weitzman, Rapport, Mc Gregor &
Jacobs (1968) discovered that when injected into monkeys it
decreased the amount of sleep by reducing NREM sleep : REM
sleep was unaffected. Significantly, anaesthetics increase
the amount of serotonin in the brain (Freemon, 1972). Thus,
5-HT appears to be important regarding the presence of the
NREM state.
It is possible that
the cholinergic system however is important for the
production of REM sleep. For instance, the REM state is
enhanced in cats by carbachol (a cholinomimetic) and reduced
by atropine (a cholinergic blocking agent. In addition,
injections of acetylcholine near the locus coeruleus trigger
REM sleep in cats (George, Haslett & Jenden, 1964).
Jouvet (1969) though, implicated the nor-adrenaline system
in the control of REM sleep. Thus, after depletion of
nor-adrenaline by reserpine, Dopa (a nor-adrenaline
precursor) restored REM sleep (Matsumoto & Jouvet, l964
). The paradoxical finding that persons are hard to rouse
from REM sleep (despite the high cortical arousal) could be
supported by assuming the nor-adrenaline system is involved
in behavioural arousal and that the ascending nor-adrenaline
pathways are inactive during REM sleep. Jouvet (1967)
thought a link existed between the nor-adrenaline system of
the pontine part of the brain stem (ventral and caudal to
the locus coeru1eus) and ponto-geniculo-occipital spikes
occurring in the EEG of cats. Jouvet considered that dreams
may be initiated by PGO spikes produced by the release of
mono-amines at this site. Perhaps both neurotransmitter
substances are operating in Stage REM.
Hypnotics affect the
cerebral cortex, the reticular formation or the medulla.
Anxiety, causing insomnia may be treated by tranquillisers
such as chlordiazepoxide (Librium). Depression, which often
results early morning wakening is often alleviated by
antidepressants e.g. amitriptyline (Laroxyl), or
trimipramine (Surmontil). This latter drug does not decrease
REM or result in a rebound effect (Oswald, 1974 ). Pain
which prevents sleep can be treated with morphine or
pethidine. The barbiturates are the most effective soporific
drugs in use. Unfortunately they are lethal in overdose and
can interact with other drugs : they are also addictive
(page 44). It is not known exactly how barbiturates work
except that they produce widespread inhibition in the
cortex. They are either 'long-acting' (e.g. phenylbarbitone)
or 'short-acting' (e.g. quinal-barbitone). Newer drugs have
appeared, such as the benzodiazepines (e.g. Mogadon) or
flurazepam (e.g. Dalmane). These drugs suppress the
reticular formation and overdose is not fatal since the
medulla (controlling breathing) is not affected. The famous
'Micky-Finn' consisted of alcohol and chloral. A modern
version is dichloralphenazone (Welldorm). Sleeping tablets
frequently lead to many problems. Dement & Villablanca
(1974) stated that "with one or two exceptions, all sleeping
pills will always cause or worsen insomnia".
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.5 SLEEP
DEPRIVATION
Some persons claim to
require little or no sleep (Jones & Oswald, 1968 ;
Meddis, Pearson & Langford, 1973), however, for most
people total sleep deprivation leads after several days to
visual illusions and hallucinations, speech slurring,
inability to concentrate and memory lapses (Ross, 1925 ;
Kollar, Namerow, Pasnau & Naitoh, 1968 ; Cappon &
Banks, 1960 ; Bliss, Clark & West, 1959 ; Morris,
Williams & Lubin, 1960). Paranoid symptoms may also
occur in some subjects (Tyler, 1947, 1955). Boring test
situations produce, not surprisingly, the lowest
performance scores in sleep deprived subjects. Thus, such
persons, when told to signal when they observed a light spot
at any one of 8 points on a screen, over 40 minutes,
performed steadily worse though watching the screen
(Wilkinson, 1960). During auditory tasks errors of omission
occurred with the loss of alpha rhythm (Williams, Lubin
& Goodnow, 1959). Oswald (1962) attributed such
phenomena to falls in cerebral vigilance. Mental
capacities can be improved temporarily to waking
levels on some tasks if subjects can take their time and
amend mistakes.
The EEG of sleep
deprivation shows a decrease in the alpha rhythm of relaxed
wakefulness (Tyler, Goodman & Rothman, 1947).
Additionally, biochemical changes occur, probably due to
lack of restoration which mostly occurs in sleep. Plasma
iron level and plasma cholesterol both decline (Kuhn,
Brodan, Brodancva, & Friedman, l967). Amphetamines
temporarily improve the performance of sleep deprived
subjects on rote tasks (Weiss & Laties,
1962).
On the first recovery
night after sleep deprivation a marked increase in NREM
sleep is observed (Berger & Oswald, 1962 ; Williams,
Hammack, Daly, Dement & Lubin, 1964), whilst the REM
percentage remains the same (Kales, Tan, Kollar, Naitoh,
Preston & Malmstrom, 1970). On subsequent nights REM
sleep is higher. Thus, NREM sleep has priority in the
recovery process. Studies have been conducted on the
selective suppression of REM sleep by means of waking the
subject at its onset, or pharmaceutically by drugs which
suppress the state. A remarkable finding is that a 'rebound'
effect occurs when uninterrupted sleep is once again
permitted. In the case of drugs (most suppress REM), a sharp
decrease in the percentage of REM is seen at first.
Gradually, the percentage rises to normal, due to
physiological tolerance. On cessation of the drug, a rebound
occurs (and the amount is larger than by selective
awakenings) so that it amounts to 150-200% of the loss. A
'need to dream’' has been postulated on such evidence.
Early studies suggested that REM deprivation led to profound
psychological changes such as irritability (Dement, 1960),
extreme hunger (Dement & Fisher, 1963), and oral
behaviour with oral symbolism (Fisher, Gross & Zulch,
1965c). However, Kales, Hoedemaker, Jacobson &
Lichtenstein(1968) failed to detect any psychological
alterations with long term REM deprivation. Also, depressed
patients are not adversely affected by REM deprivation
(Vogel, Traub, Ben-Horin & Meyers, 1968) neither are
schizophrenics (Vogel & Traub, 1968). Indeed,
mono-amine-oxidase-inhibitors (MAOI) which apparently
totally suppress REM do not cause abnormalities (Wyatt, Fram
& Kupfer, 1971).
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.6 MEMORY AND
SLEEP
Jenkins &
Dallenbach (1924) found evidence that rote-learnt material
was recalled better after 8 hours of sleep than wakefulness,
presumably because of the lack of interference by
subsequently learnt material. Empson & Clarke (1970)
discovered that REM sleep seems to be important for the
consolidation process. 20 yoked pairs of subjects listened
to tapes of nonsense phrases before bed. One subject was
later chosen to be REM deprived, by waking. At that time the
other subject was woken too. The Experimental subjects
showed less recall than the Control subjects woken at random
sleep Stages.
The idea of
'sleep-learning' whereby auditory information is supposedly
absorbed and consolidated in the absence of wakefulness is
popularly believed to be an established effect.
However, Simon & Emmons (1956, 1956a) discovered
failings in methodology in such work. They used all-night
EEG monitoring on 21 subjects. After establishing their
baseline general-knowledge, they presented each of 96
questions and, 5 seconds later, the answer. Subjects had to
call out if they heard an answer during sleep. Subjects were
tested the next day to see if they could recall the answers.
When subjects were awake (showing alpha blocking) at the
original presentations, recall was very good - when drowsy
(alpha present) recall was not so good (50%). Recall was
minimal otherwise. The authors also tried repeating stimuli
- in the form of 10 one-syllable numbers (Emmons &
Simon, 1956b). The Experimental subjects performed no better
than Controls. It therefore appears that memory traces
(engrams) are not laid down during sleep.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.7 EXTERNAL
STIMULI AND SLEEP
External stimuli can
affect a sleeping person. In Stage 2 of NREM sleep a sudden
sensory stimulus causes the appearance of a 'K-complex' in
the EEG (Davis, Loomis & Harvey, 1939 ; Roth, Shaw &
Green, 1956).The size of the response appears to be related
to the meaningfulness of the stimulus (Oswald, Taylor &
Treisman (1960) found that subjects responded more to their
name being called than other names or to their name being
played backwards.
In REM sleep external
stimuli may be incorporated into dreams reported on waking.
Berger (1963) found that spoken names were included - often
in a distorted fashion. Thus, 'Naomi' became 'an aim to
ski', and 'Jenny' became 'jemmy'. Dement & Wolpert
(1958) tried stimulating subjects with a tone, light and
water-spray. They found the incorporation amounted to 9%,
23% and 42% respectively. Koulack (1969) used an electrical
stimulator positioned on the median nerve at the wrist and
obtained direct incorporation in 40% of cases and indirect
in 24% , when the stimulus was applied 3 minutes after the
start of the REM and where wakening occurred 3 minutes after
stimulation.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.8 SIGNALLING
FROM SLEEP
Several studies have
claimed to show that animals and humans can make movements
or signals (motor acts or speech) from the 2 states of
sleep. The movements though are of a simple repetitive kind,
or single responses to stimulation, not requiring higher
processing. Oswald (1959c, 1960a) had subjects moving arms
and legs rhythmically to music with eyes closed or taped
open. The movements continued but less vigorously with the
cessation of alpha rhythm, but sometimes movements ceased.
Defensive and reflexive movements may occur in sleep, but
these are also found in decorticate animals (Kleitman &
Camille, 1932).
Vaughan (1963) used
macaca monkeys in an experiment to test whether they could
respond (by pressing a bar) to imagery in sensory isolation
as they had previously been trained to respond to visual
slides. During the long isolation periods some of the
animals pressed the bar when apparently asleep and
displaying REMs. However, no electro-physiological data was
recorded, and of course anthropomorphic inferences cannot be
made regarding any human ability to do this. Other possible
causes of the bar pressing activity could have been stress,
contact-lens irritation (they were used to provide an
amorphous visual field), or desire for stimulation rather
than the observation of imagery and responses to
that.
Williams, Morlock
& Morlock (1966) performed an experiment where subjects
pressed a micro-switch when asleep as an instrumental
response to switch off one of 2 tones or a single tone. The
rate of response was lowest in Stage 1 / REM until
punishment for failure to respond was introduced. Then,
responses from that
Stage improved more
than from any other Stage. The authors believed that
normally external stimuli are blocked by attending to
internal events. It is claimed that some responses in REM
occurred in the absence of alpha activity.
Antrobus, Antrobus
& Singer (1965) performed an experiment in which
subjects were instructed to signal which sleep-state they
judged themselves to be in (Dreaming : 'D' (Stage 1) or
Non-dreaming, 'Non-D' (Stages 2, 3, 4)) by pressing a
micro-switch taped to the hand. It was assumed that the
greater visual imagery of dreaming sleep should provide a
suitable contrast for a decision The volitional signal was
not elicited by any form of external stimulation. Four young
adult females, who were paid, took part in the study for
between 5 and 8 nights each. Two Subjects signalled 2
presses for D sleep, and 5 for Non-D sleep, whilst the
opposite code was used by the other subjects. The authors
anticipated that D signals should occur at the end of a
dreaming period since the subject's attention would be
distracted by the dream during that Stage. A total of 76
signals in all were accepted however the authors state:
'These signals were usually associated with an EEG record
which could be best described as indicating a transient
period of slight sleep disturbance.
Usually some Alpha
activity was present on the record as well as muscle and /
or body movement. The mean number of seconds of muscle and /
or movement artefact preceding the signals was 6.9 seconds ;
following the signals, 4.4 seconds.' (page 396)
No polygraphic
examples were displayed in the paper. In fact, Subjects
could not distinguish between the states. More D
signals were present than Non-D and 32% of the D signals
were at the end of Stage 1.
This author feels that
the stated presence of disturbances at the time of
signalling strongly suggests that the subjects were briefly
roused from their state - perhaps the demand characteristics
(discussed here on page 127) caused an anxiety which
periodically woke the subject. Therefore the study does not
provide sufficient evidence that the subject can produce a
physical movement from true uninterrupted dreaming
sleep.
Max (1935, 1937)
observed finger EMG activity in deaf subjects (who used sign
language) during sleep and claimed that this was not found
in normal subjects. However, Stoyva (1965) discovered
similar activity both in deaf and normal subjects. Finger
twitching occurs in REM sleep, but this does not constitute
elaborate sign-language components in the deaf. Therefore,
the idea of using deaf subjects to communicate ongoing
dreams with sign language is not feasible.
Arkin, Hastey &
Reiser (1966) purported to show that post-hypnotic-
suggestion enabled a subject to describe ongoing nocturnal
dreams. They presented the results from a single paid
subject who was already an habitual sleep-talker.
'Post-hypnotic-suggestion' was supposed to have resulted in
increased NREM talking and to have initiated REM talking
(which occurred after cessation of REMs with muscle-tonus
artefact and low voltage fast frequency EEG i.e. of
wakefulness). It seems in reality that the subject woke at
these points (in response to the heavy demand
characteristics of the situation) and spoke a few words. The
REM-speech was hardly a description of the full ongoing
REMP, since on average it lasted 16 seconds. Since many
phenomena assumed to be solely attributable to 'hypnosis'
have now been demonstrated in non-hypnotized Control
subjects (Barber 1969), it is to be expected that waking
instructions, without 'hypnosis', will achieve the same
effects.
In summary, it appears
possible that despite the massive motor inhibition of REM
sleep (page 25), some simple responsive actions are
possible, but meaningful communication requires a waking EEG
with associated motor functioning.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.9 BORDERLAND
PHENOMENA
There are several
phenomena associated with the process of falling asleep or
waking Imagery
Large individual
differences exist in the imaging ability of persons when
awake (Galton, 1883 ; Mc Kellar, 1957). In its visual form
the capacity varies from being able to conjure up and
perceive, like a photograph, detailed eidetic pictures
(Haber & Haber, 1964 ; McKellar, 1957) to a complete
absence of imagery. Perky (1910) and Segal & Fusella
(1969) found experimentally that subjects were unable to
distinguish between spontaneous imagery and surreptitiously
shown slides of low illumination. Some persons, usually good
imagers, also experience a phenomenon termed 'hypnagogic
hallucinations' in drowsiness before sleep (Maury,
1848 ; Leroy, 1933 ; Mc Kellar & Simpson, 1954). These
are sensory-like experiences, usually visual or auditory,
where for instance a person may observe a sequence of very
clear pictures of distorted human faces, amorphous shapes or
scenes ; or hear one's name called or some meaningless
sentence spoken. Mc Kellar & Simpson (1954) found 67 /
110 students reported hypnagogic phenomena : 50 auditory, 34
visual, 17 mixed. Polygraphic studies indicate that these
events occur during early sleep, when the waking alpha
rhythm has ceased (Davis et al, 1938 ; Dement &
Kleitman, 1957a. Oswald (1962) believes hypnagogic phenomena
to be micro-dreams occurring between fluctuations of
cerebral vigilance, hence the reported 'spectator' attitude
rather than the feeling of participation in the dream. The
images are usually spontaneous and apparently unrelated,
though Silberer (1909) said that they could symbolise
thoughts (the 'autosymbolic' phenomenon). Ladd (1892)
considered that dreams derived from images based on
ideo-retinal light ('entropic light' - 'eigenlicht'). Binet
(1894) thought hypnagogic images were similarly formed.
Other writers have disagreed with that 'peripheralist'
view saying that visions are centrally constituted (Leroy,
1935 ; Alexander, 1909). Oswald (1962) opines that
hypnagogic images are perceptual responses which need not
rely on sense organ stimulation. He cites Money (1960) who
found that patients with transection of the spinal cord can
still experience sexual orgasm, with no changes in the
genitalia. 'Hypnopompic' imagery refers to sensory-like
experiences on waking. Thus for instance imagery from dreams
may linger for seconds or even minutes after waking (Maury,
1848 ; Myers, 1903).
b. The falling
sensation
Mc Keller (1957) found
that 144 / 182 students reported the sensation of falling
when drowsy. Typically the person may have the sensation of
falling from a cliff or high building.
c. The myoclonic
jerk
The falling sensation
may be linked with a bodily jerk which can be mild or
violent (Roger, 1931 ; Oswald, 1959b). They seem to occur in
light sleep. Oswald (1962) states that these phenomena may
be thought of as an abrupt increase in cortical facilitation
accompanying arousal.
d. Sensory
shock
Weir-Mitchell (1890)
described four types of sudden sensory shock occurring to
some persons during drowsiness : being struck, hearing a
sudden noise e.g. a shot, seeing a brief visual phenomenon
e.g. a flash of light, experiencing a sudden odour. A bodily
jerk may result from the experience. A feeling of
tension may precede the episode (Roger, 1931).
Oswald (1962) points
out that the phenomena are comparable to responses to direct
electrical stimulation of the occipital motor
cortex.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.10
ABNORMALITIES OF SLEEP
a.
Insomnia
Idiopathic insomnia is
that condition of sleeplessness uninfluenced by soporific
drugs. Dement (1972) reported that the subjective severity
of this complaint often bears no relation to the actual
amount of sleep obtained by the patient in the sleep-lab. In
fact, half the patients had adequate sleep though believing
themselves to have spent much time awake. This latter
condition constitutes pseudo-insomnia. One explanation of
insomnia is that anxiety causes cortical excitation of the
reticular formation, the activity of which on the cortex
then prevents sleep (Oswald, 1962). Early morning wakening
is a common feature of psychotic or endogenous depression
(Grinker, Miller & Nunn, 1961). Insomnia is also
associated with many pathological conditions which involve
increased metabolism, including hypothyroidism and
Parkinsonism (Litvin, 1950), and high blood-pressure
(Jacobson, 1929). A few persons actually appear to require
little or no sleep at all, and remain healthy (Jones &
Oswald, 1968).
An unfortunate
eventuality of the chronic consumption of most sleeping
tablets (e.g. barbiturates) is drug-dependent insomnia. The
initial effect of the drug declines over a period due to
physiological tolerance ; the dose is then increased to
compensate. This cycle can escalate and if the patient
desists from taking the drug a rebound amount of REM sleep
(which the drug initially suppresses) occurs with
accompanying nightmare dreams. The experience of such
dreams usually causes the patient to continue taking the
hypnotic in order to eradicate them (Gastaut, Luaresi,
Berti, Ceroni & Coccagn, 1968).
Electro-sleep,
involving electrical stimulation of the scalp and hence
brain has been claimed to be an efficacious method of
inducing sleep. However, Empson (1973) failed to observe any
decrease in sleep latency in normal subjects.
b. Nightmares and
pavor nocturnus
There seem to be 3
forms of nightmare. Firstly, the 'incubus attack' of
Stage 4 sleep, where a sensation of choking or being
assailed is often experienced. Secondly, a similar
phenomenon but in Stage 2 sleep, where the severity is
somewhat reduced. Thirdly, the Stage REM nightmare dream.
The vast majority of nightmares are of the latter type
(Fisher, Byrne & Edwards, 1968). Tachycardia and
hyperpnea occur during the REM nightmare dream, but in the
other types there are no physiological precursors except in
fact a slight decrease in respiratory rate (Fisher et al,
1968).
Pavor nocturnus (night
terror) occurs rarely in young children, usually aged 3-8.
The child wakes terrorised, screams and runs wildly
(Kleitman, 1939), though there is apparent amnesia in the
morning.
A fuller description
of the literature on nightmares is given in Chapter XVIII,
in relation to an invention of the author of a device
intended to wake persons from the early stage of nightmares.
c.
Apnea
Gastaut (1965)
described a condition where the patient exhibited a complete
cessation of breathing at the onset of sleep due to
depression of the respiratory centre. When the blood
carbon-dioxide level reached danger point the respiratory
centre was stimulated and after some choked breathing the
cycle was repeated - throughout the whole of sleep. The
usual complaint of these patients is of hypersomnia, since
obviously sleep is drastically affected. The patients are
usually quite unaware of the hundreds of wakenings in
the night (Dement, 1972).
Somnambulism
Somnambulism is a
disorder of Stages 3 or 4 NREM sleep (Jacobson, Feldman
& Bender, 1965 ; Kales, Jacobson, Paulson, Kales &
Walter, 1966 ; Broughton, 1968). The incidence of this
condition is not accurately known. There appears to be a
genetic factor involved, since Bakin (1970) reports a 47%
concordance in monozygotic twins and 7% in dizygotic twins.
Dement (1972) recounts the story of one of his patients who
woke one Christmas to find a whole roomful of relations -
all apparently sleep-walking. Pierce & Lipcon (1956)
found sleep-walkers in the armed forces to be rather
emotionally unstable - often suffering also from nightmares,
enuresis and phobias. The initial onset often coincided with
a chronic illness of one parent. However, Dement (1972)
urges that the condition should not be treated since with
children anxiety results which could be more
harmful.
e.
Narcolepsy
This is a disorder of
sleep of unknown cause characterised by sleep-attacks,
cataplexy and hypnagogic imagery. Attacks of partial or
complete muscular paralysis occur in response to strong
emotion. During these seizures the person remains conscious
but may fall to the ground and be unable to move. If the
attack is of extensive duration REMs and dreams may occur.
Polygraphic sleep-research has revealed that narcoleptics
enter Stage REM sleep immediately on falling asleep
(Rechtschaffen, Wolpert, Dement, Mitchell & Pisher,
1963). In the daytime seizures, the body suddenly enters
Stage REM sleep. These REM attacks tend to occur at regular
points in the day (Passouant et al, 1968). Pseudo-narcolepsy
is often associated with some underlying brain disease e.g.
multiple sclerosis (Hunter, Blackwood & Bull, 1968).
Dement (1972) reports that some 100,000 persons in USA could
suffer from narcolepsy.
Normal people as well
as narcoleptics occasionally experience sleep paralysis,
especially at times of long vigil. One name of the condition
is 'night nurses' paralysis' (Rudolf, 1946). This author has
experienced sleep-paralysis a few times on waking from
dreaming and has been unable to move any part of the body
except the eyes. The breathing rate though, was voluntarily
variable.
f.
Enuresis
Enuresis tends to
occur in or just after Stage 3 or 4 of NREM sleep (Finley,
1971 ; Schiff, 1965). Temmes & Towalka (1954) claimed
that 70% of enuretics exhibited epileptic patterns in the
EEG. At least 2% of the population are enuretic (Pierce,
Whitman, Maas & Gay, 1961). In enuretic children
Broughton (1968) observed contractions of the detrusor
muscle of the bladder (even in 'dry' nights), but not in
normal children. Baller & Schlock (1956) found roughly
15% of 4-14 year old children are persistent
bed-wetters.
CHAPTER
III
GENERAL
SLEEP-RESEARCH FINDINGS
III.11 THEORIES OF
SLEEP
Numerous theories
exist as to the function of sleep. It is remarkable though
that despite the mass of accumulated data, no single theory
has become generally accepted. The matter is further
complicated because of the existence of the 2 different
states of sleep. Theories attempt sometimes to explain one
but not the other. There is an idea that sleep is an
evolutionary left-over and is not really necessary. Some
people do indeed appear to be able to live with little or no
sleep (Jones & Oswald, 1968), but these people are
exceptions and sleep deprivation is harmful (Morris,
Williams & Lubin, 1960 ; Lubin, 1967 ; Wilkinson, 1968).
Animals deprived of sleep have died after several days
(Licklider & Bunch, 1946).
The finding that
increased NREM sleep results from energetic exercise
supports the concept that renewal of substances occurs then
(Hobson, 1968).
Dement (1964)
suggested that REM sleep occurs periodically to clear toxins
which build up during the day and NREM sleep. A theory that
an oxygen debt builds up during the day and is replenished
in sleep (Wohlisch, 1956) has not been substantiated by
actual measurements (Mangold, Sokoloff, Conner, Kleinerman,
Therman & Kety, 1955). Berger (1969) thought that REM
sleep serves to restore the neuromusculature necessary for
binocular vision. However, conflicting evidence exists
(Herman, Tauber, Rosenman & Roffwarg, 1971). Snyder
(1966) stated that sleep exists to conserve energy and keep
the organism out of danger from predators. The REM periods
of arousal would be useful to detect anything near. In fact
though, cortical thresholds are higher in REM sleep (Benoit
& Bloch, 1960) and waking does not always occur. Meddis
(1975) also proposed that sleep serves to maintain
immobility in animals to aid survival : hence the great
variations between different species. Freemon (1970) asserts
that there are 2 arousal systems for the different sleeping
states, one providing vigilance whilst the other undergoes
'renewal'.
Pavlov (1952) thought
sleep happened when Inhibition radiated through the cortex
from certain areas. Ephron & Carrington (1966) suggested
that NREM sleep may be harmful to the cortex and so
're-afferentation' is periodically introduced in REM sleep.
Ontogenetic
considerations by Roffwarg, Dement & Fisher (1966) led
to the idea that the great amount of REM sleep in the
neonate is necessary to stimulate the cortex during early
development since external stimuli are lacking in utero. In
the adult, REM would be a left-over from this
process.
From a psychological
standpoint, Freud said little on the function of sleep
except that it was probably ‘biological’ (
Hartmann, 1973). Fisher et al (1965 a, b) adopting a
psychoanalytical approach considered that REM sleep
discharges instinctual drives in the adult and physiological
drives in the child.
Numerous notions have
emerged recently concerning memory processing and sleep,
although Jackson (1932) had declared that sweeping-away of
redundant memories and consolidation of new ones could occur
in sleep. Evans & Newman (1964) pointed to a very
superficial analogy between computers and sleep suggesting
that in REM sleep irrelevant information is cleared. Breger
(1967) put forward the view that in dreaming sleep
'perceptual learning' occurs.
Moruzzi (1966),
Gaardner (1966) and Hennevin & Leconte (1971) all
suggest allied memory-consolidation ideas.
Hartmann (1973)
believes that NREM sleep has a physically restorative
function whereas REM sleep has many functions including
neuronal repair, the formation of new links in the cortex,
and consolidation of learned material. Oswald (1969) thinks
protein synthesis and repair are major functions of REM
sleep. He points out that the very long drug rebound
phenomenon ties in with the life-span of brain proteins
(Oswald 1974).
The recent emergence
of a tonic-phasic model for sleep and dreaming (Moruzzi,
1963 ; Jouvet, 1965 ; Hartmann, 1967 ; Grosser & Siegal,
1971) however, has produced a slightly different perspective
of the two sleep states. Phasic activity occurs in both NREM
and REM sleep (e.g. PGO spikes, REMS, k-complexes, myoclonic
twitches). The tonic condition represents the background
state. This model helps to explain, for instance, early
findings of 'variability of heart-rate' in REM sleep (e.g.
Snyder, 1966) Gessel, Marchiafava & Pompeiano (1964)
showed that the heart-rate increased after the first REM
burst and then slowed in tonic REM. Also, it has been found
that gross body movements tend to occur between REM bursts,
whereas 'fine muscle activity' (Baldridge, Whitman &
Kramer, 1965) is associated with REM activity. The gross
body movements appear to act as 'chapter markers' to
separate dreams (Dement & Kleitman, 1957a). The tonic /
phasic concept therefore reveals perhaps that the REM-NREM
dichotomy is too simplistic.
Horne (1976) pointed
out that REM sleep does not appear to be important anyway.
Slow wave sleep (SWS) appears before REM each night and has
priority after total-sleep deprivation (Kales et al, 1970).
In addition, short sleepers show comparatively large amounts
of SWS (Jones & Oswald,1968 ; Meddis et al, 1973). Using
stimulations below the waking threshold Agnew et al (1967)
found SWS much more difficult to shift the subject out of
than REM. They also observed that REM deprivation led to no
behavioural changes whereas SWS deprivation resulted in
lethargy and depression. Significantly, the amount of SWS
seems to be associated with the length of the prior period
of wakefulness (Webb & Agnew, 197l ; Karacan et
al, 1970). Home (1975) believes restitutional activity
concerning the visual system occurs in sleep. Blind persons
show a significantly lower level of SWS than sighted persons
(Krieger & Glick, 1971 ). That view is reinforced by the
demonstration (Horne & Walmsley, 1976) that a high
daytime visual load increases SWS.
In summary, no
clear-cut theory of sleep has yet become universally
accepted.
Having discussed the
main areas of study in sleep research the next Chapter turns
to dreams , observing Man's interest in them from an
historical perspective and stating the major explanations to
account for them.
CHAPTER
IV
DREAMS
IV.1 ANCIENT
INTEREST IN DREAMS
Dreams appear to have
been considered important in several ancient societies as
providing a channel of communication between this world and
other parts of it, with some other existence beyond life, or
the deities.
Information about
ancient Babylonian and Assyrian beliefs has been secured
from archaeological discoveries of cuneiform-script clay
tablets, such as those from the great library at Nineveh
(5000 B.C.). These societies attempted to interpret dreams
e.g. flying indicated disaster for the dreamer (de Becker
1968). Mamu was the Babylonian goddess of dreams. Temples
existed to her, where magical rites were conducted to
counter devils and spirits of the dead which were supposed
to cause unpleasant dreams.
Papyrii (such as the
Chester Beatty papyrus, 1550 B.C.) have survived showing
that the ancient Egyptians believed dreams ('omina') were
messages from the gods. Serapis was the Egyptian god of
dreams. Several serapeums, like those at Thebes and Memphis,
were constructed where oracles (the 'Learned Men of the
Magic Library') interpreted dreams. The technique of dream
incubation was practised whereby a person requiring an
answer to some personal question would sleep at the temple
(or could send a stand-in) probably after magic rituals, and
produce dreams which would then be interpreted by the oracle
(de Becker, 1968). As well as providing answers, dreams
could warn of impending danger or demand penance. A
discourse published in the XIII th dynasty (c 1770 B.C.)
lists many activities in dreams, with simple comments as to
whether or not they are good or bad omens. A concept of
contraries or opposites prevailed in some interpretations.
Thus, if a woman dreamed of kissing her husband, trouble was
imminent for her (Sauneron, 1959). An inscription on the
sphinx at Giza tells of a dream of Thutmose IV (c 1450 B.C.)
in which he was promised the kingdom by the god Hormakhu in
return for clearing away sand from the sphinx.
In early Chinese
society dreams were attributed to wanderings of the 'hun' or
spiritual soul. In the separated state it could communicate
with the souls of the dead. In the Chou-Li (c 400 B.C.)
astrological factors were incorporated into dream
interpretation. In a Taoist work, the Lie-tseu, six
different types of dream are listed : tcheng-mong (ordinary
dreams), ngo-mong (dreams of terror), seu-mong (dreams of
what was thought during the day), wou-mong (dreams of
waking), hi-mong (dreams of joy), kin-mong (dreams of fear).
Yin and yang (2 opposite energy forces, negative or
positive, male or female) should be in harmony for good
health, and dominance of one of these could lead to
distressing dreams. Yin dominance for instance might
result in dreams of fire. Dreaming of food meant approaching
illness, singing and dancing meant weeping . Again, the
notion of opposites was present (de Becker, 1968). External
stimuli were recognised as being incorporated into
some dreams, so that if one slept on a belt a snake might be
dreamed of. It seems that much empirical evidence was behind
Chinese belief but this has been lost. The Taoist concept
that a knowledge of the cause of a dream destroyed any fear
in it is that of the later psycho-analysts. The Chinese sage
Chuang-tsu (c 350 B.C.) raised philosophical questions by
considering dreams :
'While men are
dreaming, they do not perceive that it is a dream. Some will
even have a dream in a dream and only when they wake they
know it was a dream. And so, when the Great Awakening comes
upon us, shall we know this life to be a great dream. Fools
believe themselves to be awake now.'
'Once upon a time, I,
Chuang-tzu, dreamed I was a butterfly, fluttering hither and
thither, to all intents and purposes a butterfly. I was
conscious only of following my fancies as a butterfly,
and was unaware of my individuality as a butterfly. Suddenly
I was awakened and there I lay myself again. Now I do not
know whether I was a man dreaming I was a butterfly, or
whether I am a butterfly now dreaming I am a man.'
(MacKenzie, 1965 ; pages 57, 58)
A treatise on dreams
in the Atharva Veda (a book of wisdom, 1500-1000 B.C.)
states early Indian beliefs concerning dream interpretation.
Aggressive or power dreams were favourable even if the
dreamer suffered mutilation in them. However, a passive role
or some form of physical loss (e.g. teeth, hair) was a bad
omen. The interpretation by opposites appears here too e.g.
seeing oneself dead meant longevity (de Becker, 1968). The
treatise states a negative correlation between period of
night of the dream and the time until its realisation in
real life. The later in the night the dream the sooner it
would operate. Also, it was suggested that if a series of
dreams occur, only the last should be interpreted -
presumably recognising some form of psychological refining
process. Dream content was also linked to the temperament of
the dreamer (phlegmatic, sanguine or bilious). This
represented a significant advance - the intrusion of
physiological / personality aspects in affecting dream
content.
Dodds (1957) states
that an early Greek idea of dreams was that a god or ghost
visited the dreamer, entering the room through a keyhole
(often the only aperture). Later, (c 500 B.C.) incubation
was practised in temples dedicated to Aesculapius - the god
of healing. The course of treatment or medicine to be used
were supposed to be revealed to the sick person. Oracles
were subsequently present at the temples.
The Greeks recognised
'true' and 'false' dreams. Homer stated that true dreams
came through the gate of horn, false via the gate of ivory
(based on a Greek pun). This true / false, good / bad
dichotomy of dreams is a recurring theme in many
societies.
The Greek philosopher
Heraclitus (540-475 B.C.) made the observation that each man
retreats into a world of his own during sleep. This was a
turning away from the current superstitious ideas. In the
'Treatise on Dreams' (attributed to Hippocrates) symbolism
in dreams is referred to. The universe (macrocosm) may
represent the body (microcosm). Thus, in a dream where the
stars shine brightly, the body is in good health. Or, to
dream of rivers pointed to an excess of blood (de Becker,
1968). Any imminent illness was indicated by a prior
'prodromic' dream. Hippocrates did believe that some dreams
were 'divine', from the gods.
Aristotle also thought
that dreams could be prodromic, but refuted 'divine' dreams
on the grounds that lowly animals have dreams. He pointed
out that apparent precognition in dreams might result from
the dream affecting waking behaviour, so that
self-fulfilling prophecies might occur.
Plato, in his
'Republic', stated that 'In all of us, even in good men,
there is a lawless wild beast nature which peers out in
sleep.' The 'beast' was set loose during sleep because of
the absence of reasoning ability then (Mc Curdy,
1946).
Roman beliefs
regarding dreams were similar to those of Greece. The
Caesars took them very seriously. Calpurnia, wife of Julius
Caesar, was supposed to have dreamed of his assassination
the previous night, according to Plutarch. Lucretius (c 11
B.C.) made the interesting statement that dreams are
composed of sequences of still images observed quickly. A
most outstanding contribution to the study of dreams was
made by the Roman Artemidorus (c 200 A.D.). His work
'Onierocritica' (The Interpretation of Dreams) drew upon
much early information and reflected the state of the art at
that time in a very detailed form. He recognised that each
person has different associations to dream images and so
individual interpretations are necessary. He noted two
classes of dream : Somnium, which have references to the
future, and Insomnium, which are everyday dreams. The
interpreter had to find out certain points initially :
natura (whether the events are natural), lex (lawful),
consuetudo (customary for the dreamer), tempus (conditions
under which it was dreamed), are (occupation), nomen (name).
Associations were obtained and puns noted. Examples of
symbolism are also given : the mouth may represent a house,
the teeth, people in the home. Sowing, planting, tilling,
were said to have a sexual meaning. The recurring notion of
opposites in dreams was further exemplified. Clearly, much
accumulated observation and knowledge from many
civilisations over millenia had crystallised into the Roman
art of dream interpretation (de Becker, 1968 ; Mac
Kenzie, 1965).
CHAPTER
IV
DREAMS
IV.2 EARLY
CHRISTIAN VIEWS
During the Middle-Ages
interest in dreams declined as dream-divination was linked
with sorcery by official Christianity. Nevertheless, some
dream-incubation persisted into this period. A few
Christian writers commented on dreams. The perennial problem
was how to distinguish between divine and demoniacal
types.
Gregory of Nyssa (c
400) in his treatise 'On the Making of Man', accepted divine
dreams, but revived the naturalistic approach (from the
Greeks) stating that while sensation and intellect were
absent in sleep the 'nutritive faculty' prevailed. He
thought dreams could illustrate the dreamer’s
personality. In addition he stated that the driving force of
man’s passions, expressed in dreams also, is the drive
toward sexual reproduction.
St. Augustine
(354-430) believed demons could affect dreams. A prayer
attributed to him asks God to maintain him in 'chaste
desire' in sleep and protect him from dreams which 'owing to
animal images' would result in 'pollution' (de Becker,
l968).
St. Thomas Aquinas, in
'Summa Theologica' wrote that dreams have a prophetic
character. He also suggested the idea (reminiscent of
Jung’s synchronicity concept) that the premonitory
dream may be merely a sign - 'a single cause of both the
dream and the event'.
CHAPTER
IV
DREAMS
IV.3
RELIGIO-POLITICO-CULTURAL DREAMS
Dreams have had a
marked effect on the development of some religions at
crucial stages. In the case of Christianity the early
biblical dreams were accepted as divine revelations yet
later interest in dreams was suppressed as sorcery. There
are about 15 dreams mentioned in the Old Testament,
most of which occurred at critical points in history and
propagandised the Jewish cause. Examples are the dreams of :
Abimelech, regarding the protection of Sarah and the seed of
Abraham; Jacob ; Joseph regarding the expulsion of the Jews
; Daniel ; Solomon. There is a remarkable absence of women
in Old Testament dreams. De Becker (1968) points out that a
common link is a need to compensate for the dreamers a
inferiority by evoking the protection of an omnipotent
personage which psycho-analysts would recognise as a father
figure. Another observation is that dreams were sometimes
repeated until action was taken by the dreamer (e.g.
Pharaoh's dream of the years of abundance and famine.) The
New Testament dreams have a simplicity suggesting
authenticity according to de Becker. Dreams for instance
caused Joseph to tolerate Mary’s pregnancy, and to flee
into Egypt. No dreams of Christ have been recorded (Kelsey,
1968). Macanus and Francis of Assisi, both founders of
orders, had vocational dreams.
The Koran of the
Mohammedans was apparently revealed to Mohammed via dreams,
and dream interpretation was regarded by this group as quite
acceptable. The 'adhan' call to prayers was begun by
Mohammed as the result of a dream of one of his
followers.
Buddha’s vocation
was determined by dreams of Maya (his mother), Cudhodana
(his father) and Gopa (his wife). The latter’s dream of
universal disaster was interpreted (by opposites) by Buddha
to reveal future happiness. De Becker comments that the
Buddha family dreams are different from biblical dreams in
having no 'will to power'. Five of Buddha’s dreams are
recorded which directed his life.
An interesting aspect
of religious dreams is that the major (and minor) characters
in the real situation were reported to have experienced
'convergent' dreams - although 'demand characteristics' (
Orne, 1962) could be behind this, especially in a society
where dream interpretation was common. Thus, Joseph not only
dreamed, so did Jacob, Jacob's father, Pharaoh and his
officers. (If precognitive dreams do exist, perhaps they
could be more readily identified from 'chance' dreams by
seeking this alleged 'convergent effect'.)
Numerous dreams are
supposed to have shaped history by affecting the behaviour
of powerful men, though of course to what extent they are
exaggerated, post hoc, is difficult to ascertain. Another
type of dream allegedly describes historical events
precognitively, without affecting the event. It is said that
Caesar decided to cross the Rubicon and attack Rome after
experiencing a dream of incest with his mother. The oracles
saw this as a symbolic sign of territorial conquest.
Hannibal invaded Italy after an encouraging dream. The
German Chancellor Bismarck was confirmed in his plans for
was with Austria by a dream he communicated to William I.
Ghengis Khan, Cromwell and Hitler had dreams which decided
their vocation.
Hitler, when an NCO in
the First World War apparently dreamed of being buried by a
shell-hit. He was at the Somme and all was quiet. Waking,
and feeling restless, he walked into open country - which
was dangerous. A shell suddenly hit the place where he had
been sleeping, killing all his comrades. From then on the
future Führer was convinced he had a divine mission in
life (de Becker, 1968).
An example of dreams
giving rise to a new philosophical concept is that of
Descartes. He had three dreams one night the first he
interpreted as an exposition of his one-sidedness i.e.
suppressed sexual and religious life. The second expressed
his uncertainty, whilst the third indicated to him that he
should try to join the forces of philosophy and wisdom. On
waking after the second dream he thought he saw sparks in
the room so he opened and closed his eyes to convince
himself he was awake. This author would suggest that perhaps
a false-awakening (See page 113) occurred at that
point.
CHAPTER
IV
DREAMS
IV.4 PRE-FREUDIAN
DREAM NOTIONS
The following
summarises Freud’s (1900) review of the literature
which was directed at certain basic aspects of dreams. (It
was preceded by a description of ancient
beliefs.)
1. Relation of the
dream to the waking state
a. The dream as
'another world'
e.g. Strumpell (1877)
stated that 'he who dreams turns his back on the world of
waking consciousness.'
b. The dream as a
continuation of waking life
e.g. Weygandt (1893)
said 'dreams lead us back into everyday life instead of
releasing us from it.' (Also : Haffner, 1884 ; Jessen, 1855
; Radestock, 1878 ; Hildebrandt, 1875).
2.
The
material of dreams - Memory in dreams
a. Hypermnesia in
dreams
e.g. Delboeuf (1885)
reported that the name of a plant that was in a dream was
traced back to an occasion of having written it 2 years
before. (Also : Maury, 1878 ; Jessen 1856).
b. Childhood
memories in dreams
e.g. Maury (1878) saw
in a dream a man who gave his name. He discovered he knew
him as a small child. (Also : Hildebrandt, 1875 ; Strumpell,
1877 ; Volkelt, 1875).
c. Recent memories
in dreams
e.g. Robert (1886)
stated that normal dreams are usually occupied with
impressions of the days before.
d. Insignificant
material in dreams
(e.g. Hildebrandt,
1875 ; Strumpell, 1877 ; Ellis, 1899 ; Bins,
1878).
3. Dream stimuli
and dream sources
a. External sensory
stimuli
e.g. Maury (1878) had
an assistant produce external stimulation (e.g. bells,
Cologne water) while Maury slept. Some stimuli were
incorporated into dreams. (Also: Jessen, 1856 ; D'Hervey,
1867 ; Hildebrandt, 1875 ; Weygandt, 1893).
Strumpell (1877) and
Wundt (1880) tried to explain the mismatching of dream
images with the external stimulus by proposing that unclear
stimuli gave rise to illusions. (Freud would ask why certain
associations are chosen).
b. Internal sensory
stimuli
e.g. Wundt (1880) said
internal stimuli play an important part in dreams (e.g.
ringing in ears). (Also: Maury, 1878 ; Ladd,
1892).
c. Internal
physical excitation
e.g. Strumpell (1877)
said that in sleep the mind becomes more aware of the body
(as Aristotle had believed). (Also : Radestock, 1878 ;
Spitta, 1892 ; Maury, 1878 ; Simon, 1888 ; Schopenhauer,
1851; Vold, 1896 ; Krause, 1858, 59).
'Typical' dreams were
said to be caused by organic stimulation. Thus, Strumpell
(1877) opined that flying dreams are due to the sensation of
the lungs sinking when the thorax is insensitive.
d. Psychic exciting
sources
Freud stated that
psychic factors in dreams were usually deprecated. However,
Scherner (1861) was an exception and Volkert (1875) had
doubts. Wundt (1880) took a middle course stating there is
co-operation of somatic stimuli and psychic instigations,
which were unknown or day residues.
4. Why the dream is
forgotten on waking
e.g. Strumpell (1877)
gave several reasons : Weak pictures were forgotten soon ;
most dreams occur only once ; dreams lack order ; in-rushing
sensory input on waking swamps memories ; most people are
disinterested in dreams ; there is a change of feeling on
waking.
On the matter of
possible falsification in the dream memory, Strumpell (1877)
stated 'consciousness involuntarily inserts much in the
recollection of dreams'. (Also : Jessen, 1856 ; Eggers, 1895
; Spitta, 1892).
5. The
psychological peculiarities in dreams
a. The state of
falling asleep
e.g. Schleiermacher
(1862) said that when awake we think in ideas, when asleep
psychic activity is thinking in pictures. This latter
process is involuntary and occurs in a state of distraction.
Spitta (1892) termed the transformation of an idea into an
hallucination Dramatization. (Also : Burdach, 1830 ;
Delboeuf, 1885, Strumpell, 1877).
b. Incoherence and
lack of laws of causality in dreams
(e.g. Lemoine, 1885 ;
Maury, 1878 ; Strumpell, 1877 ; Spitta, 1892 ; Radestock,
1878 ; Jodl, 1896 ; Stricker, 1879, 1883).
c. Associations in
dreams
Stimuli were supposed
to awaken thoughts which were presented visually and these
progressed by the laws of association (e.g. Strumpell, 1877
; Wundt 1880 ; Weygandt, 1893). Maury (1878) gave examples
of phonetic links.
(On the matter of
supposedly instantaneous dreams (e.g. Maury’s execution
dream), Freud was non-committal, stating it was a delicate
and far reaching question.)
Chabaneix (1897)
considered that the dream could solve intellectual
problems.
6. The ethical
feelings in dreams
Two views were
presented :
a. Morals do not
exist in dreams
e.g. Jessen (1856)
stated that man has no conscience in dreams e.g. he thinks
nothing of murder (Also : Radestock, 1878 ; Volkelt,
1875).
b. Morals do exist
in dreams
e.g. Schopenhauer
(1851)believed we act and talk in character (Also : Haffner,
1884 ; Hildebrandt, 1875).
Freud commented that
those held the latter opinion were careful not to accept
full responsibility for their dreams.
c. Other
points
Hildebrandt (1875)
said the dream allows us to glance into the inner recesses
of the mind. Kant believed the dream existed to lay bare for
us our hidden dispositions and to reveal to us not
what we are but what we might have been if we had a
different education. To Radestock (1878) the dream often
only reveals to us what we do not wish to accept to
ourselves. Hildebrandt (1875) thought that inhibition
slackens on entering sleep, so the dream shows our real
nature. (Also : Spitta, 1892). Maury (1878) stated that the
dream reveals a repressed immoral disposition of the
dreamer. Stricker (1879) said if we are afraid of robbers in
a dream, the robbers are imaginary but the fear is
real.
7. Dream theories
and functions of dreams
Various loose
groupings of theories existed :
a. Full psychic
activity in dreams
e.g. Delboeuf (1885)
believed the mind to operate in an undiminished way during
sleep. This view says nothing about the function of dreams
though.
b. Partial psychic
activity in dreams
The 'ruling theory of
the time' subscribed to this view (i.e. the dream occurred
in a partial waking state.) Bins (1878) believed that sleep
was caused by fatigued albumen in the brain. In the morning
parts of the brain were operating but others not ; this was
the dream state. Bins, like Maury, considered the dream to
be useless.
c. Other 'extant'
ideas.
Robert (1866) gave the
dream a function : a physical process of elimination or
excretion of useless thoughts.
Delage (1891) noted
that we do not dream of significant events of the day, and
thought that they had not yet been psychically adjusted. He
also believed that strong impressions which had been
accidentally repressed were the subject of dreams. The
function then was to solve psychic tensions. The same author
though supported the 'partial psychic activity' theory of
dreams.
Burdach (1830) thought
the dream had a refreshing function, allowing one to indulge
in free play (Also: Purkinge, 1846).
Freud (1961) stated
that a far reaching and original attempt to explain the
dream was given by Scherner (1861). He stated that
decentralisation occurs in sleep so fantasy dominates. It
builds on waking memories and has to depict thoughts in
symbols. The material is largely derived from sensory
stimuli but this material is subservient to the fantasies.
The fantasy plays a game with stimuli and represents the
organic source by symbolism. Thus, the body is represented
by a house, the lungs by a stove, the penis by a clarinet,
pubic hair by fur, the female thighs by a narrow courtyard,
and a vagina by a slippery footpath. However, Scherner could
ascribe no useful function to the dream.
8. The relation
between dreams and madness
a. Etiological and
clinical relationship
Hohnbraum said that
the first attack of insanity often originates in an anxious
and terrifying dream.
b. Changes to the
dream in madness
A person recovering
from insanity may be normal in the day but the dreams
contain insane themes.
c. The inner
relationship between dreams and psychosis
Kant stated that 'the
lunatic is a dreamer in the waking state'. Maury noted links
between the dream and madness : the suspension or
retardation of self-consciousness, the combination of
ideas by association, changes in personality.
Radestock (1878) said
most hallucinations involve sight and hearing, and pointed
out that fever patients often have hypermnesia. He also
commented that wish fulfilment characterises both dreams and
madness.
Obviously, many ideas
which people often believe were attributable to Freud (e.g.
symbolisation, repression, hypermnesia, childhood memories,
falsification, dramatization, associations, day residues)
already existed at the end of the 19th century.
CHAPTER
IV
DREAMS
IV.5 FREUDIAN DREAM
THEORY (Freud 1900,1961)
The previous section
demonstrated that much of what Freud wrote on dreams was
built on the ideas of earlier writers. Freudian dream theory
ties in with his conceptualisation of personality which
involves a tripartite structure : the unconscious Id,
seeking gratification of basic (primary) instincts,
especially sex and aggression ; the conscious Ego in contact
with the real world and aware of society’s restraints ;
the Super-ego which reminds the person how one ought to
behave. In sleep the Ego is absent, so the Id (like
Plato’s wild beast) obtains vicarious gratification via
dreams. Freud considered the dream to be 'the Via Regis
(Royal road) to the knowledge of the unconscious in mental
life'.
Freud (1961) stated
that dreams have a meaning and that they are
wish-fulfilments. Those are ancient ideas, but Freud added
the important notion that dreams represent disguised wishes.
Another idea of his was that dreams guard (i.e. maintain)
sleep. Dealing with this latter point first, he believed
that the organism basically seeks inactivity and so the
function of dreams was to divert the irritable wishes of the
Id by allowing illusory satisfaction. In that way the
organism need not rouse and expend energy.
In order that the Ego
and Super-Ego should not be shocked by a direct display of
gratification of blatant sexual wishes, the dream had to
achieve this via symbolic subterfuge. Therefore a
discrepancy exists between the reported dream (manifest
content) and the underlying, lascivious, dream thoughts
(latent content). It is the function of the
dream-interpreter to analyse the dream by tracing the
antecedents by a process of free-association. People have
different personal associations so no single interpretation
can be applied to everyone. However, certain universal
symbols in the dream (which Freud claimed could not be
traced back) can have specific meanings. Thus, birth may be
represented by water , male genitals by the number 3, the
penis by machinery, sticks or serpents, female genitals by
pits, caves, bones, landscapes, chests, pubic hair by woods
or thickets, masturbation by sliding or gliding,
(etc.).
Dreams arise either as
a direct suppressed instinctual impulse from the Id, or a
conscious (Ego) desire persisting from the day. The basic,
repressed, dream-thoughts are transformed into acceptable
images by the 'dream work' mechanism, which seeks to evade a
hypothetical censor of the Super-ego. A process of
'secondary elaboration' or revision (whereby the person
attempts to make sense of the strange symbolism and
associations) may cause further distortion, in
reporting.
Freud was adamant that
there were no intellectual operations in the dream work: it
was merely a translating device. Thus, when a person dreams
of performing a calculation, or thinking, or making a
judgement, one has only dreamed of doing such a thing. The
relevant point for analysis is, for instance, 'I made a
judgement'.
Material for the
dreams consists of recent memories, including trivial
incidents, and previously forgotten experiences obtained by
hypermnesia. The dream may be instigated by : a recent
significant event which is directly or indirectly
represented in the manifest content, or some basic repressed
wish which has been aroused by some association with a
recent trivial event.
Freud accepted that
somatic stimuli can be incorporated into dreams, although
they are woven into a theme where there is a basic
instinctual wish. The external stimulus is represented in
such a way as to maintain the dream. Thus, an alarm-clock
can become a telephone which does not have to be
answered.
Some other Freudian
notions are : that all the dreams in one night are supposed
to centre on the same latent dream thoughts ; dream
distortion is not always necessary since the dream of the
death of a loved one may in fact simply state that
unrecognised wish ; often, significant fragments of dreams
are repressed but may emerge in psycho-analysis.
Freud had the greatest
difficulty explaining anxiety dreams as wish-fulfilments. He
pleaded that the dream work may have been incompetent so
that direct latent material is presented , or that the
fulfilment of the wish in itself provokes anxiety, or that
the censor has been overpowered by strong Id
forces.
Definite statements
about affect in dreams were made. It is always toned down in
the manifest content due to inhibition , or the cessation in
sleep of the forward movement of energy from sensory to
motor regions, or by censorial measures. However, the nature
of the affect remains the same in both latent and manifest
content - except in an inversion situation when it could
represent the contrary (The ancient concept of
'opposites'.)
Apart from
symbolization other dream work mechanism are condensation,
dramatization and displacement : condensation fuses
different wishes in the latent content so forming odd
composites ,the multiplicity of latent thoughts was termed
'over-determined'. So, a dream-person might be observed
consisting of the traits of several different people. The
important factor to the interpreter is what these people
have in common. Similarly, names may be combined, joining
two or more persons with something in common. The
condensation process can also demonstrate similarities,
agreement or identity between elements in the latent
content. A suppressed wish for two people to resemble each
other may be represented by a composite person.
Spitta’s (1892 )
notion of dramatization (or representation) was
employed by Freud. This is where thoughts or concepts are
expressed in visual images and the whole is like a
theatrical production. Logical connections between dream
thoughts may be represented by the synchronous appearance of
the elements concerned (i.e. in the same dream). Causal
connections between dream thoughts could be represented by
an introductory dream followed by a main dream, or by a
scene gradually changing into another. Conflicts between
dream thoughts might by the process of opposites represent
them as fused. Reversals greatly aid disguise, thus a woman
dreaming of a child wading into the sea and drowning may be
expressing a birth wish.
A further disguise
device is displacement (or transference) where
significant elements are transferred to an apparently
trivial feature. This transposition also occurs with
affects, so that powerful affect may be focussed on some
insignificant object (as with, for example, a neurotic
phobia). Displacement is supposed to explain much of the
superficial bizarreness of dreams.
Many criticisms have
been made of Freudian dream theory. At a very basic level,
Popper (1959) considered that psycho-analytic theory,
including dream theory, was a myth - that it was too easily
verifiable but not readily falsifiable. Eysenck (1953)
thought Freudian views unscientific since they are based on
unverifiable metapsychological propositions. By today's
standards Freud himself was unscientific in that he did not
quantify data, used no Control groups and simply relied on
his memory for statements made by patients. The
concept of reaction-formation (by which an instinctual wish
can be expressed by its exact opposite) makes the
theory 'slippery' and hypothesizing difficult for
experiments. Kline (1972) however, in a review of
experiments bearing on Freudian theories, claimed that
several empirical propositions were supported. Some of the
studies regarding dream theory will be examined
here.
Symbols are supposed
to be present in dreams according to Freud, but they can
also be expected in waking life since they reflect the
operation of the unconscious mind. Hammer (1953) used a test
of symbolism supposedly representing castration
anxiety on a group of 20 male subjects who had been
sterilised, and compared them to a similar-sized group of
Controls who had undergone other operations (the E group was
of lower intelligence though). Each person was given the HTP
test (Buck, 1948) - in which the subject draws a house, tree
and person - before and after the operation. The test is
claimed to provide a measure of genital symbolism in that a
person with castration anxiety should, say, omit the chimney
(a phallic symbol), show a felled tree, or draw a person
with no head. Using Fisher’s exact probability test the
E group showed significantly more castration anxiety than
the Controls, and significantly more than before the
operation. The concept of symbolism was therefore supported
by Hammer’s study.
(Mc Elroy (1954)
found, using Scottish children, that females preferred
‘male’ (pointed) shapes and males preferred
rounded shapes. This was perhaps rather too simple an
experiment though, as different associations for the sexes
could explain the findings. Jahoda (1956) replicated the
study in Ghana, where children are less repressed sexually,
and found sex differences in 5 out of 12 items.
According to Freudian
theory, in psychopathy, repressed primary process
material should be nearer consciousness than in normal
Subjects. Early work did support this (Starer, 1955).However
Moos & Mussen (1959) using matched groups, found that
psychotics, neurotics and normals all attached genders to
symbols better then chance (10 males were used in each group
to assign a gender to certain psycho-analytical symbols ).
In fact though, from the Freudian viewpoint, perhaps the
psychotics should be much superior at symbolism. So the
finding might be said to support symbolism but not
necessarily Freudian theory.
Cameron (1967) used
2000 children aged 3-17 in a study where they had to state
their preferences for symbolic representations of the
genitals. He found that children under 4 (Freudian oral /
anal stage) showed no preference for male or female symbols
; those between 4 and 6 (phallic stage) preferred shapes of
the opposite sex ; those between 7 and 12 (latency period)
preferred symbols of the same sex ; and those between 12 and
17 (genital stage) preferred symbols of the opposite sex.
The chi-squares supporting these findings were small though.
The results do give support to the Freudian concept of
symbolism and psycho-sexual theory , but the latter is of
somewhat dubious validity (Kline 1972).
Hall (1953, 1966) got
Subjects to record their dreams and so collected over 10,000
(manifest-content) reports. He claimed that the dream
represented conflicts in the dreamer. Interpretation
(without recourse to unconscious meanings) involved
examining a series of dreams. His data has been used to test
Freudian hypotheses :
According to Freud,
the dream of being attacked represents the fear of
castration by the father, and the dream of falling means the
fear of losing maternal affection (Freud, 1940). Hall (1955)
asked Subjects whether they had these dreams, which was the
more unpleasant, and which parent they found it easier to
argue with. Results were contrary to Freudian theory in that
females who had only one of the dreams had a greater
incidence of dreams of attack. Also, males with only one
dream had more dreams of falling. Hall pointed out that the
findings were congruent with Freudian theory if one assumes
that the dreams do not represent fear of the action but
rather the action itself. so, he argues, a woman has more
dreams of being attacked because she thinks she has been
castrated. A man dreams more of falling because in the dream
he is castrated and so exhibits femininity - which Freud
characterised by passive aims and masochism (Freud, 1931),
and a sense of inferiority (Freud, 1926). Hall’s post
hoc reasoning though is scientifically
questionable.
Hall (1963)
hypothesized from Freudian oedipal theory that there should
be :
1. More male strangers
in dreams than females.
2. More male strangers
in male dreams than in female dreams.
3. More aggressive
encounters with male strangers than female
strangers.
4. More such
encounters in male than female dreams.
More free-associations
of fathers and authority figures to male strangers in
dreams. He found that the first 4 statements were supported
(at or above the 5% level ) and the last 2 were marginally
supported.
Hall & Van de
Castle (1963) hypothesized that males would have more dreams
on a castration-anxiety theme than of castration-wish or
penis-envy. The opposite would be true of females.
Castration-anxiety was supposed to be symbolised by e.g.
injury, defect of the body, loss of any object, inability to
use the penis (or symbol thereof) and any femininity. With
castration-wish, these themes should apply to another in the
dream. Penis-envy was envisaged to be reported by
acquisition of a penis or symbol, admiration of a man, or
acquisition of masculinity. The results of the experiment
supported the hypotheses at a highly significant
:
On the topic of
wish-fulfilment in dreams Lee (1958) studied 600 rural Zulus
(uncontaminated by knowledge of Freudian or Jungian theories
- although Experimenter bias is still possible). In Zulu
society women who do not produce children are treated with
contempt. Lee found that infertile women experienced more
'baby' dreams. Also, pseudocyesis was common, and sufferers
tended to have direct dreams of babies. Thus the notion of
the dream as representing a basic wish gained support from
this study.
Fisher & Dement
(1963) argued that REM sleep permitted Id discharge and so
any deprivation should lead to psychotic symptoms. A need to
dream was hypothesized (Dement, 1960). However, Dement
(1963) later stated that this could not be so, as among
other arguments, lowly animals also had REM sleep. Further,
in man, mono-amine-oxidase inhibitor drugs abolish REM with
no significant psychological effects (Wyatt et al, 197la)
Thus, it seems there is no need to dream, and perhaps not
even a dire need for REM sleep.
Penile erections have
been observed in REM periods (Fisher et al, 1965). However,
these are not necessarily linked with dreams since erections
can get out of phase with REMPs by waking subjects in REM
(Karacan et al, 1965). Nevertheless, the cyclic erection
could conceivably lie affected by REM content e.g. a
detumescence could occur in an anxious dream. Karacan et al
(1966) tested that hypothesis using 16 subjects, each
spending 6 nights in the sleep-lab. Dreams were subjectively
rated for anxiety on two scales (Gottschalk Scale, Nowlis
Check List ), and a measure of penis size was obtained. 80%
of REMPs were accompanied by erections. The Gottschalk score
linked with erection size indicating that penile size is
related to the dream content - although recent ejaculation
does not affect the erection.
Dement & Wolpert
(1958) found that various external stimuli (i.e. tone,
water-spray, light) were incorporated into dreams on some
occasions. Also, Berger (1963) obtained evidence that names
could be woven into dreams when spoken to the subject in
Stage REM. The incorporation was by assonance, association,
representation or was direct.
Both these studies
might be said to support the Freudian idea that the dream
guards sleep - or rather REM sleep (since the effects are
not observed in NREM).
Foulkes &
Rechtschaffen (1964) studied the effect of a violent T.V.
film, seen before sleep, on dreams, compared to a
non-violent film on Control nights. Dreams after a violent
film were not more violent or unpleasant, but dream reports
were longer, more clear, more imaginative and more
emotional. Hardly any incorporation of the film
occurred.
Dement (1963) found
that anxious subjects in the sleep-lab on the first night,
miss more REM than non-anxious persons. Altshuler (1966)
considered this to be evidence that psycho-analytic theory
is not supported, since greater anxiety should result in
more dreaming.
This author feels that
it is important to consider the historical perspective when
appraising tests of Freudian dream theory. A vast amount of
what he wrote about dreams had already been stated, even in
some cases, for millennia. He pieced together disparate
findings and attempted to link them into a unified theory.
Many of the elements of this fusion probably have some truth
in them (e.g. symbolisation, wish-fulfilment) as they have
been observed over many generations and in several different
cultures. To test these elements and claim to be testing
Freudian theory is not necessarily a correct assumption. The
overall metapsychology could be erroneous. For
instance, his assertion that symbols disguise repressed
sexual wishes could be true, but it could also simply
reflect a primitive visual-symbolic 'mentation' in dreams
(like the autosymbolic phenomenon of Silberer, 1909), with
no ulterior motive. Evidence then of symbolisation is not,
per se, evidence for Freudian theory.
Hall’s
psycho-analytic explanations concerning strangers in dreams
seems to be unnecessary to this author. Men perform more
social interaction with strangers in everyday life, surely,
and so the findings can be understood in terms of our
ordinary patterns of behaviour. The Hall and Van de Castle
study could, too, merely illustrate that man does suffer
more injuries in his life anyway.
The finding that the
erection cycle can be shifted from REM sleep to NREM
(Karacan et al, 1965) is not supportive of psychoanalytic
theory. Since dreams are supposed to be highly sexual at
base, the autonomic erection should be present. Findings of
dream anxiety causing detumescence are not so
important as the fact that erection may be transferred to a
different sleep state.
Thus, in summary,
great care must be exercised in evaluating evidence for
Freudian dream theory - the basic propositions of which may
be untestable.
CHAPTER
IV
DREAMS
IV.6 JUNGIAN DREAM
THEORY (Fordham, 1953)
Jung was an erstwhile
disciple of Freud, but objected to the pan-sexualism of his
approach and so broke away to establish his own school of
psychology. He saw the psyche as self-regulating. A form of
general energy, the libido, flows between two opposing poles
of personality - the opposites. We undergo a process of
individuation in life, which involves the reconciliation of
these opposing trends in our nature. Thus, the unconscious
can be vastly different from the conscious persona. However,
the unconscious is not a repository of repressed instinctual
desires, as in Freudian ideology, but can be a guide and
adviser of consciousness. The means of communication for the
unconscious is via dreams, visions and the like. Thus,
dreams are the 'voice of nature'. They have a compensatory
function attempting to display any one-sidedness in our
nature, so that steps might be taken to remedy this. A
wicked person is supposed to have highly virtuous dreams,
and vice versa. The dream then is a means of information and
control.
In Jungian dream
analysis, a series of dreams is investigated. The dream
itself is treated as being important rather than the distant
associations away from it. A recurring theme indicates a
wrongly interpreted dream. Amplification is Jung’s
process of directed associations (in contrast to
free-association). The analyst keeps the associations
centred on the dream, but associations of both patient and
analyst are considered. In the therapeutic situation, the
first dream is believed to be significant, as it reveals
underlying attitudes regarding the treatment. In the
method of dream-resolution, the patient’s present
conscious situation is assessed, recent events are noted,
and the subjective content of the dream is
recorded.
The structure of the
dream, said Jung, is like that of classical Greek drama. The
time, place and persons involved is first dealt with. Then,
there is the exposition of the dream problem, which is
followed by the peripety where the plot is woven and a
crisis develops. Finally, in the lysis stage, the necessary
solution is indicated. Jung believed that dreams having no
lysis could mean that actual death was imminent for the
dreamer.
Apart from the
compensatory factor, dreams may also be prospective -
anticipating future conscious events and performance, like a
preliminary exercise. This function is in total contrast to
Freud, where dreams constantly hark back to infantile sexual
wishes. Dreams may revert to the 'land of childhood' which
was a period when consciousness had not separated from the
'Collective unconscious'. Natural instincts are supposed to
be lost at separation, but if life becomes difficult, one
may wish to return to a time when the unconscious gave
directions. Jung believed that modern man has forgotten that
the unconscious is autonomous - it should be taken heed
of.
A few experiments have
been conducted either to test Jungian theory, or the results
of which can be related to Jungian concepts. Concerning the
major function of dreams as being compensatory, the
hypothesis can be deduced that introverted persons should
have extraverted dreams, and vice versa. Sarason (1944),
using 25 mentally retarded females as subjects, noted that
TAT (Thematic Apperception Test) themes and dream reports
were very similar - a finding that is contrary to Jungian
theory.
Gordon (1953)
performed a similar study using 29 psychiatric patients, and
despite 11 / 42 significant positive correlations on various
dimensions, believed that compensation does occur in
dreams.
Rychlak & Brams
(1963) used the MMPI (Minnesota Multiphasic Personality
Inventory) and the EPPS (Edwards Personal Preference
Schedule) on 41 College students and compared these scores
with the presence or absence of certain themes in dream
reports. Dream reports and personality measures tended to
centre on the same themes, so not supporting Jungian
theory.
Robbins (1966) used 32
students and compared dream association ratings with EPPS
scores. 3 / 11 dimensions common to both measures gave
significant positive coefficients of correlation. Brender
& Kramer (1967) gave TAT cards to 13 subjects who later
slept in a sleep lab. 78 TAT stories and 34 dream reports
were rated on 20 need dimensions. 4 of these (defence,
sentience, affiliation, play) provided significant positive
correlations, and only 1 (dominance) gave a negative
coefficient.
In a test of Jungian
theory Palmiere (1972) administered, to 114 students, the
Myers-Briggs Type Indicator and selected 25 at each end of
the scale of Introversion / Extraversion. 6 TAT cards were
administered, with questions on personality characteristics
of persons in the stories. Fantasies of extraverts should
have shown more repressed introversion and vice versa.
On the contrary though, introverts chose significantly more
introverted responses.
Finally, Domino (1976)
obtained dream reports from 62 students, which were
rated on 15 personality dimensions and compared with scores
on the same dimensions as measured by the EPPS and ACL
(Adjective Check List). 6 EPPS scores and 10 ACL scores
correlated significantly, and all positively. It therefore
seems that the notion of compensation in dreams, a major
element in Jungian dream theory, is not supported by
experimentation.
One criticism that
might be made of Jungian dream theory is the matter of why
the compensatory message has to be so subtle. Why should not
a direct thought occur in the dream or when awake that 'I am
too one-sided in my nature' ? It is rather like the Roman
belief that dreams were messages from the gods. The
rebellious Cicero asked , 'Why if the gods can warn us of
impending events in dreams, should they not do so when we
are awake ?' (MacKenzie 1965, pages 52-55).
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