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The Journal of Nutrition Vol. 127 No. 7 July 1997, pp. 1422-1427
Copyright ©1997 by the American Society for Nutritional Sciences

Caffeine Enhances Modulation of Parasympathetic Nerve Activity in Humans: Quantification Using Power Spectral Analysis1,2

Gaku Hibino, Toshio Moritani*, Teruo Kawada, and Tohru Fushiki3

Department of Food Science and Technology, Faculty of Agriculture, Kyoto University, Kyoto 606-01, Japan, and * Laboratory of Applied Physiology, College of Liberal Arts and Sciences, Kyoto University, Kyoto 606-01, Japan

ABSTRACT
INTRODUCTION
SUBJECTS AND METHODS
RESULTS
DISCUSSION
FOOTNOTES
LITERATURE CITED


ABSTRACT

We investigated changes in autonomic nerve activity following caffeine intake by power spectral analysis of R-R intervals of heartbeats in humans. A beverage containing 240 mg of caffeine or a control beverage was given to 10 healthy volunteers, and R-R intervals were measured while subjects were sitting and controlling their respiration at a constant rate. After consumption of the caffeine-containing beverage, a transient and significant increase (P < 0.001) in spectral integrated values (areas under the curve) of high frequency power (high component, HC) was observed, and at 30 min the value was significantly greater than in controls (P < 0.02), suggesting an increase in vagal autonomic nerve activity. The effect of caffeine was also examined using decaffeinated coffee supplemented with exogenous caffeine (2 mg/kg body wt). A transient and significant increase (P < 0.0001) in HC was observed, and the value was significantly greater (P < 0.02) than when subjects consumed decaffeinated coffee without supplemental caffeine. The ratio of HC to total integrated value (which is also used as a selective indicator of vagal activity) was also significantly higher (P < 0.04) after caffeine consumption. Physiological variables accompanying the change in autonomic nerve activity (i.e., blood pressure, surface body temperature and heart rate) were not significantly affected by caffeine intake. These results suggest that power spectral analysis of heartbeat R-R intervals is an effective and noninvasive method for detecting subtle changes in autonomic nerve activity in response to food intake.

KEY WORDS: autonomic nerve · caffeine · R-R intervals · power spectral analysis · humans


INTRODUCTION

Various foods are believed to affect autonomic nerve activity (Daly 1993, Fernstorm and Fernstorm 1984, Thelle 1993). Some herbal teas and coffee, for example, are consumed for their supposed ability to reduce stress or to energize. Coffee, in particular, is widely consumed both to induce wakefulness and to relax.

Many physiological variables have been considered for noninvasively detecting changes in autonomic nerve activity, e.g., body surface temperature, skin blood flow rate, blood pressure, response of the pupil to a flash of light and peripheral sweat measured by analyzing air sampled from the surface of the skin. However, few studies have reported the effects of foods on these variables, mainly because the signals of changes in autonomic functions following food intake are so small that it is difficult to measure them with high reproducibility. Moreover, the contributions of sympathetic and vagal activities to these variables have been difficult to evaluate separately.

To separately evaluate sympathetic nerve and vagal activity, an analysis of R-R intervals (the temporal durations between each heart beat) has been developed. The heart acts in a discrete fashion, with the successive heartbeats leading to a series of fluctuating values of R-R intervals and arterial systolic and diastolic pressures. In recent years, the possibility of quantifying these fluctuations or oscillations (particularly the variability of R-R intervals) by using computer techniques has been considered for human studies (Arai et al. 1989), deBoer et al. 1987, (Dixon et al. 1992, Moritani et al. 1993, Pagani et al. 1986, Pomeranz et al. 1985, Yamamoto et al. 1991). The time course of variability of R-R intervals is a wave form. A wave form can be considered to be constituted from some periodic frequency components by applying power spectral analysis (PSA),4 by which the relation between the frequency component included in wave forms and its magnitude is visualized as a spectral curve. Studies have demonstrated two major frequency components of heart rate variability (HRV): the high frequency, respiration-linked component (HC, >0.15 Hz) and the low frequency component (LC, <0.15 Hz). Pharmacological blockades of sympathetic or parasympathetic nerves and ganglionectomy experiments in animals indicate that the LC reflects mainly sympathetic activity and partly vagal activity. The HC generally is accepted as being modulated purely by vagal activity. Each magnitude is considered to be related to the degree of each autonomic activity (Akselrod et al. 1981 and 1985, Pagani et al. 1986, Pomeranz et al. 1985).

The present study was undertaken to investigate the possibility that PSA of HRV can be used to detect changes in autonomic nerve activity secondary to food intake. We used caffeine, which has many pharmacological properties, such as enhancing thermogenesis and the pressor effect, in this experiment.


SUBJECTS AND METHODS

Subjects and experimental protocol. Data were collected from healthy, normotensive Japanese volunteers, nine males and one female, ranging in age from 21 to 25 y (mean, 22.1 y), including habitual caffeine consumers and excluding smokers. None had a history of any sleep disturbances, including difficulty in falling asleep, or frequent or long phases of wakefulness. Their body weights were within 10% of normal (Burton et al. 1985), ranging from 45 to 75 kg (mean 59.9 kg). The subjects were required to get up before 0800 h on the days of the experiment. Informed consent was obtained from all subjects according to the guidelines established by the declaration of Helsinki.

Measurements were made in a quiet room with about 50% humidity and temperature of 21 ± 1°C. The subjects abstained from food, drink and exercise for the previous 3 h. Before measurements, the subjects were instructed to rest more than 15 min in the sitting position wearing an ear sensor in a quiet and relaxing atmosphere. Because respiration greatly influences HRV (Brown et al. 1993, Novak et al. 1993), subjects were instructed to breathe at a frequency of 1 breath/4 s (0.25 Hz) in synchrony with the sound of an electric metronome. The subjects breathed at comfortable tidal volume levels.

To avoid the influences of circadian rhythm, each measurement was taken between 1500 and 1600 h.

Experiment 1. The subjects received two bottles of a caffeine-containing beverage (120 mg caffeine/120 mL, supplied by House Food Industrial Co., Osaka, Japan) cooled to 4°C. The beverage was carbonated, with added grapefruit flavoring to hide its bitter taste. A control beverage that did not contain caffeine but otherwise with the same ingredients was used for comparison. The measurements were made in a crossover procedure in which, each subject consumed either beverage on a separate day. The order of treatments was randomized. The investigator but not the subjects knew which beverage was being consumed.

The R-R intervals were measured two to five times for each subject at rest (baseline values) and at timed intervals of 5-20 min after the test beverage was consumed. The subjects drank them within 2 min. Each measurement was made for 128 s in sitting subjects.

Sleepiness was estimated from the subjective report (5 = very wakeful, to 1 = very sleepy) of each volunteer in another test performed under the same conditions. Every 5 min, the subjects chose an appropriate grade that reflected their degree of sleepiness.

Experiment 2. The subjects received 150 mL of decaffeinated hot coffee (Nescafe Gold Blend, red label, 2 g added to boiling water, Nestlé Japan Co., Kobe, Japan) without or supplemented with 2 mg/kg body wt caffeine. The measurements were made in a crossover procedure such that each subject consumed either kind of decaffeinated coffee (with or without caffeine) on a separate day. The order of treatments was randomized, and only the experimenter was aware of the coffee being consumed.

In addition to R-R intervals and subjective estimation of sleepiness, either blood pressure or surface body temperature was recorded. Either a blood pressure cuff or a thermometric probe was placed on the upper left arm. The subjects were instructed to drink the beverage within 4 min. The first minute of the following 5-min respiratory control period was for learning metronomic respiration. Following this 5-min period, the subjects rested for about 3 min with spontaneous breathing. Postural changes such as standing up were forbidden. This 8-min measurement cycle was repeated nine times.

Equipment and data analysis. In power spectral analysis, the variable measured is instantaneous heart rate (HR) (the R-R interval). Each cardiac impulse was detected by an ear sensor (photoelectric pulse wave detection method, Senoh Co., Tokyo, Japan) that detects changes in lobe blood flow. The data were then analyzed according to the method of Moritani et al. (1993) as follows. Impulses were processed on a real-time basis with a personal computer (PS-9020F, TEAC, Tokyo, Japan) via a 13-bit analog-to-digital converter (R-R/V converter, Senoh Co.) at a sampling rate of 2 Hz. The DC component and linear trend (components unrelated to autonomic nerve activities) were removed by subtraction of these trends from the original data. After passing through the hamming type data window, power spectral analysis by means of a fast Fourier transform was performed on consecutive 128-s or 256-s time series of R-R interval data. If any noise was observed in signals from the ear sensor, the time period including that noise was eliminated from the analysis. Periodically fluctuating components included in HRV and its amplitude were calculated, and the power spectral curve was then obtained. The time courses of HR and of integrated values (areas under the curve) for LC, HC and the total (T, LC + HC, considered to reflect total autonomic nerve activity) were calculated. Spectral intergrated values after beverage intake were compared with the pre-treatment level of each subject. Because basal spectral integrated values differ greatly among individuals, the mean value before drinking was standardized as 100%, and relative values after drinking each of the beverages were compared. In addition, the HC/T ratio was calculated as a selective indicator of parasympathetic nervous system (PNS) activity, and the LC/HC ratio was calculated as an indicator of sympathetic nervous system (SNS) activity.

Statistical analysis. In Experiment 1, measurements were made one to five times for each subject. The effects of time, treatment and time × treatment were evaluated by repeated measures ANOVA; for comparisons between caffeine-containing beverages and controls at certain time points, we used a nonparametric Mann-Whitney U test (Mann and Whitney 1947), which makes no assumption about the scatter of the data. Statistics were calculated with the StatView software package (Macintosh Version J4.5, Abacus Concepts, Berkeley, CA). For the comparison of median wakefulness scores, Welch's test was used (Furukawa 1994). We considered differences significant when P < 0.05. Sleepiness was expressed as a median of the subjectively estimated values.

In Experiment 2, measurements were made one to three times for each subject. The effects of time, treatment and time × treatment were evaluated by repeated measures ANOVA; for comparisons between the two groups at certain time points, Student's t test was used. When the scatter of the data was not equal, the nonparametric Mann-Whitney U test (Mann and Whitney 1947) was used. P < 0.05 was considered significant. Data obtained when the subjects estimated their sleepiness as grade 1 (very sleepy) were excluded.


RESULTS

Effects of caffeine-containing beverage on the power spectrum of R-R intervals. Drinking caffeine-containing beverage induced a rise in HC (P < 0.001) and T (P < 0.02) with time and reached the maximum about 20-30 min after drinking. The time effect was not found for LC after consumption of either caffeine or control or for HC or T after control beverage ingestion. For HC, the increase with time was greater when subjects consumed the caffeine-containing beverage than when they consumed the control beverage (time × treatment effect, P < 0.05). The difference was significant (P < 0.02, Mann-Whitney U test) between the caffeine and control beverages at 30 min after drinking the beverage (Fig. 1). For PNS and SNS activities, neither time nor treatment effect was found because of their wide variability (data not shown).
Fig. 1. Effects of drinking a caffeine-containing beverage on the power spectra of R-R intervals in low (LC) and high (HC) frequency regions in humans. Basal spectral integrated values (areas under the curve before drinking, t = -1) are standardized as 100%. Values are expressed as mean percentages of baselines ± SEM (n = 7-9). Each time plotted on the horizontal axis is defined as the midpoint of each R-R interval measurement. For HC, the increase with time was greater when subjects consumed the caffeinated beverage than when they consumed the control beverage (time × treatment effect, P < 0.05 by repeated measures ANOVA). *The difference was significant (P < 0.02 by Mann-Whitney U test) between caffeine and control beverages.
[View Larger Version of this Image (28K GIF file)]

Influences of sleepiness on the pattern of heart rate wave forms. Sleepiness is one of the greatest factors that influence HRV. Sleepiness (wakefulness) was estimated in five grades (5 = very wakeful, 1 = very sleepy). When a subject felt very sleepy (self-estimated by the subject as grade 1), the HR wave form showed a characteristic fluctuation with sometimes greater amplitudes, as shown in Figure 2 (in this instance, the amplitude increased three times during the sleepy state). In the present study, wave forms showing the irregular fluctuation that is characteristic when subjects felt sleepy were not used in the power spectral analysis shown in Figure 1 because of difficulties in distinguishing the effect of sleepiness on the spectrum from that of beverage ingestion. Reported degree of wakefulness began to be greater than the control score about 25 min after consumption of the caffeine-containing beverage (Fig. 3) in accordance with the increase in HC of the power spectrum at 30 min.
Fig. 2. Comparison of heart rate wave forms obtained from measurements of a subject's different degrees of sleepiness: normal (not sleepy) and sleepy state. When the subject is sleepy, the wave form fluctuates irregularly with sometimes greater amplitudes. In this figure, the amplitude increased three times during measurement.
[View Larger Version of this Image (20K GIF file)]


Fig. 3. Effect of caffeine consumption on subjectively estimated wakefulness scores in humans. Each value is shown as the median of the self-reported scores of three to five measurements [maximal level = 5 (very wakeful), minimal level = 1 (very sleepy)]. *P < 0.01 vs. control.
[View Larger Version of this Image (72K GIF file)]

Effects of decaffeinated coffee containing added caffeine on the power spectrum and other physiological variables of autonomic nerve activity. In all subjects consuming the decaffeinated coffee with or without added caffeine, the spectral integrated values for LC, HC and T increased with time (P < 0.02). The increase for the HC was greater when subjects consumed caffeine-supplemented decaffeinated coffee than when they consumed decaffeinated coffee (time × treatment effect, P < 0.02; Fig. 4), suggesting that parasympathetic activity was enhanced by caffeine. The time course of caffeine-induced stimulation of the HC was similar to that after the caffeine-containing beverage was consumed in Experiment 1 (Fig. 1). In addition, the HC/T ratio reflected parasympathetic nerve activity (vagal activity). The PNS activity similarly differed between the two groups, as shown in Figure 5. The PNS activity at 37 min after consumption of caffeine-supplemented decaffeinated coffee was significantly greater (P < 0.04) than after consumption of decaffeinated coffee. At 20 to 40 min after subjects ingested caffeine-supplemented decaffeinated coffee, PNS activity reached its maximum; SNS activity, in contrast, reached its minimum. The R-R interval wave forms following the consumption of the caffeine-containing decaffeinated coffee showed characteristically regular fluctuations with greater amplitudes compared with the wave forms occurring in subjects before or 30 min after they consumed the decaffeinated beverage (Fig. 6, left). This regular fluctuation of R-R intervals coincided with the peak in power spectra, i.e., the height of the spectral peak around 0.25 Hz increased 20-30 min after subjects consumed caffeine-supplemented decaffeinated coffee (Fig. 6, right). However, this spectral peak did not increase when subjects consumed the decaffeinated coffee. The physiological variables controlled by autonomic nerves, i.e., HR, forearm temperature and blood pressure, were not significantly affected by caffeine intake.
Fig. 4. Time courses of power of the high frequency (HC) and low frequency (LC) components observed in spectral analysis of heart rate variability before and after drinking decaffeinated coffee with or without added caffeine in humans. Means of basal spectral integrated values (areas under the curve before drinking, t = -14 and -2) are standardized as 100%. Each time plotted on the horizontal axis is defined as the midpoint of each R-R interval measurement. Values are expressed as mean percentages of baselines ± SEM (n = 9 to 12). For the HC, the increase was greater when the subjects consumed decaffeinated coffee containing added caffeine than when they consumed the decaffeinated coffee without caffeine supplement (time × treatment effect, P < 0.02, by repeated measures ANOVA). *Significantly different than decaffeinated coffee without caffeine supplement (P < 0.04, by Student's unpaired t test).
[View Larger Version of this Image (30K GIF file)]


Fig. 5. Time courses of parasympathetic nervous system (PNS) activity and sympathetic nervous system (SNS) activity before and after beverage [decaffeinated coffee or decaffeinated coffee containing added caffeine (caffeine-added coffee)] ingestion. Value are means ± SEM (n = 8 to 12). *P < 0.04 vs decaffeinated coffee. Each time plotted on the horizontal axis is defined as the midpoint of each R-R interval measurement. PNS equals the ratio of the integrated value of high frequency power to that of the total (HC/T) and is used as a selective indicator of vagal activity. SNS equals the ratio of the integrated value of low frequency power to that of high frequency power (LC/HC) and is used as a selective indicator of sympathetic nerve activity.
[View Larger Version of this Image (32K GIF file)]



Fig. 6. Heart rate wave forms and its power spectra before and after consumption of decaffeinated coffee with or without caffeine supplement. Left: Typical sets of R-R interval wave form before and after consumption of decaffeinated coffee or decaffeinated coffee containing added caffeine (Caffeine-added coffee). After the subject drank decaffeinated coffee containing added caffeine, the R-R interval wave form showed characteristically regular fluctuation with constantly increased amplitude (when compared with that before consuming decaffeinated coffee containing added caffeine or compared with that after drinking decaffeinated coffee). Right: Time courses of power spectra of R-R intervals before and after consumption of the beverage [decaffeinated coffee or decaffeinated coffee containing added caffeine (Caffeine-added coffee)]. Although the respiration-linked spectral peak around 0.25 Hz significantly increased 20-30 min after consumption of the decaffeinated coffee containing added caffeine, the peak after consumption of decaffeinated coffee increased only slightly. The two spectra were obtained from the same subject, and the mean of the height of the three spectral peaks before drinking the beverage is adjusted to 100% in both spectra.
[View Larger Versions of these Images (22 + 40K GIF file)]


DISCUSSION

People drink coffee both to be alert and to relax. Heavy coffee drinkers report feelings of pleasant stimulation after drinking coffee (Goldstein et al. 1969). The feeling of alertness is due to excitation of the central nervous system, and the relaxation seems to be due to the calming of the same system. These effects are reflected by changes in sympathetic and parasympathetic nerve activities, respectively, in the peripheral nervous system. We expected to observe an augmentation of both sympathetic and parasympathetic nerve (vagal) activities. The increase in the total area under the spectral curve (T), which reflects the increase in the total autonomic nerve activity, was greater after caffeine consumption than after control beverage consumption in each subject. However, contrary to our expectations, this greater increase was due only to the HC (not LC), which reflects the increase in vagal activity (Malik and Camm 1993). The change in the LC, which reflects mainly the change in sympathetic nerve activity, did not differ between the two groups.

Parasympathetic nerve activity is high when subjects are calm. The present increase in HC or PNS activity reflects calmness induced by coffee intake. An enhancement of sympathetic nerves was not detected in this experiment. Therefore, the present data suggest that only the relaxing effect of coffee was reflected in the power spectrum; the arousal effect was not seen.

Heart rate itself indirectly reflects autonomic nerve activity. However, it is apt to be influenced by too many other controlling mechanisms and physiologic phenomena and cannot be used as a reliable estimator of autonomic nerve activity and tone. The PSA of R-R intervals used in the present study is able to detect autonomic nerve activity more directly; however, PSA has some limitations.

The biggest limitation when we estimate the autonomic nerve activity by PSA is that the increase in spectral power does not directly correspond to the increase in the autonomic nerve activity itself; rather it corresponds directly to the modulation of sympathetic and vagal activities. (The magnitude of vagal activity is directly related to a specific physical situation, e.g., relaxation, but the modulation of the vagal activity shows only the rate of change in the vagal activity.) In potentially nonphysiologic conditions, such as when parasympathetic nerve activity is maximally stimulated [e.g., when blood pressure is increased by phenylephrine (Cerati and Schwartz 1991)], the modulation of vagal activity would disappear and consequently the HC would also disappear. Malik and Camm (1993) pointed out that only under standard physiologic conditions such as those in the present study can the modulation of vagal activity, which is measured as HC, be used to a certain degree as an estimator of that activity. Under potentially nonphysiologic conditions, however, the relation between the HC and the degree of vagal tone is too remote to have any practical value. The same limitation applies to the relation between the LC and mixed sympathetic and vagal influences.

The modulation of vagal activity is closely associated with respiration. In general, R-R intervals are short with inspiration and long with expiration. Accordingly, the HR shows fluctuations with a frequency at least equal to the respiratory rate. This spectral peak usually is observed in the high frequency region in the power spectrum. The peak is abolished by atropine or vagotomy, which means that it is parasympathetically mediated. Thus, the ventilatory pattern (respiratory rate, tidal volume) influences the HC of the power spectrum of R-R intervals.

In addition, caffeine stimulates respiration (Higgins and Means 1915) and significantly increases respiratory rate, with the degree of respiratory stimulation closely correlated with the plasma caffeine concentration (Robertson et al. 1978).

However, the influence of changes in respiratory rate was minimal in the present study, because the subjects were instructed to breathe at an indicated rate. There is, moreover, a report (Patwardhan et al. 1995) indicating that when subjects breathe metronomically at their own mean spontaneous breathing frequency, there is no difference in the HC of HRV from that in spontaneous breathing. Consequently, we can rule out the influences of change in respiratory frequency on the change in the HC in the present study.

In spite of subjects trying to breathe at a constant depth and rate, however, there remains the possibility of an indirect effect of caffeine on the HC. In fact, caffeine has a bronchodilatory effect, which may increase tidal volume and cause an increase in the HC. When the tidal volume is larger, the HC tends to be greater (Brown et al. 1993). Although this is not a very serious factor, the augmentation of the HC may in part be due to the bronchodilatory effect of caffeine.

Caffeine has many pharmacologic effects related to the sympathetic nervous system. Caffeine intake induces a transient rise in blood pressure in subjects who abstained from caffeine for a certain period of time (Martin 1988). High caffeine doses cause tachycardia (Starr et al. 1937), a substantial rise in plasma epinephrine (Izzo et al. 1983, Smits et al. 1983 and 1985) and an increase in plasma renin activity (Robertson et al. 1978). In addition, thermogenic (Acheson et al. 1980, Higgins and Means 1915) and lipolytic effects (Acheson et al. 1980) have been reported. In the present study, we did not detect a thermic effect, nor was sympathetic nerve activity significantly enhanced by caffeine-containing beverage intake. However, the involvement of the sympathetic nervous system in such pharmacological phenomena induced by caffeine is controversial. For example, the pressor effect of caffeine was observed even after treatment with a nonselective beta -blocker (Smits et al. 1983) and in subjects with autonomic dysfunction in whom sympathetic responsiveness is lacking (Robertson et al. 1978). Jung et al. (1981) found that a beta -adrenergic blocker did not reduce the thermogenic or lipolytic effect of caffeine. These reports suggest that the contribution of enhanced sympathetic tone to the caffeine-induced increase in these physiological variables may be relatively small. Further investigation is required to determine the effects of caffeine on the sympathetic nervous system.

We demonstrated that caffeine intake enhances autonomic nerve activities. Although a significant effect of caffeine on the increase in the LC or SNS activity was not observed, modulation of the vagal tone was markedly enhanced 20-30 min after consumption of the caffeine-containing beverages. We detected differences between beverages with and without caffeine by using a power spectral analysis of HRV. This method of analysis may not be useful for studying autonomic effects of all kinds of foods and nutrients because of its limited sensitivity. However, for some kinds of spices and herbs thought to have strong influences on autonomic nerves (Kawada et al. 1988, Watanabe et al. 1988), this method of analysis would provide novel clues in investigations of the effects of food on autonomic nerves. Although HRV measurement can be influenced by many factors such as respiratory rate and posture, with proper use the power spectral analysis method can be an effective means of noninvasively detecting changes in autonomic nerve activities following food intake.


FOOTNOTES

1   We express our appreciation for the financial support provided in part by Association Scientifique Internationale du Café, All Japan Coffee Association and Uehara Memorial Foundation.
2   The costs of publication of this article were defrayed in part by the payment of page charges. This article must therefore be hereby marked "advertisement" in accordance with 18 USC section 1734 solely to indicate this fact.
3   To whom correspondence should be addressed.
4   Abbreviations used: HC, high-frequency component observed in spectral analysis of heart rate variability; HR, heart rate; HRV, heart rate variability; LC, low-frequency component observed in spectral analysis of heart rate variability; PNS, parasympathetic nervous system; PSA, power spectral analysis; SNS, sympathetic nervous system; T, the total of low frequency power and high frequency power in the spectral analysis of R-R intervals, or total integrated value, considered to reflect total autonomic nerve activity.

Manuscript received 29 February 1996. Initial reviews completed 28 May 1996. Revision accepted 4 March 1997.


LITERATURE CITED


0022-3166/97 $3.00 ©1997 American Society for Nutritional Sciences




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