TWIGS 2005

UNDERGRADUATE PAPER ON
THE POLYVAGAL THEORY

Heres something I wrote 10 years ago as part of an immersive

independent study of the Polyvagal Theory.
Im happy to share it with you now but please know this is a pretty
simple piece. I think it holds up well enough but dont expect profundity.
I hope it helps some of you.
~ Anthony Twig Wheeler [Fall 2015]

1
A Brief Note to the Reader,
Did you have a chance to check out the Polyvagal theory
by Stephen Porges yet?
Its a truly special piece of work. It can help us in
countless areas from Therapy to Medicine to Parenting to
Policy.
It can also be a bit challenging to understand and is
sometimes cursed for being filled with difficult words. That
must be necessary at first. Its new big time science after all.
I dont think that will last much longer. Soon helping
professionals everywhere will appreciate that our
autonomic nervous system (ANS) is hierarchically
arranged with three subsystems that have particular
influences on us physically and psychologically
depending on how safe (or not) we feel.
The previous view of our ANS being a balancing act
between the Sympathetic and the Parasympathetic branches
is giving way to a new mapping of 3 branches working in a
dynamic yet ordered relationship. In the end this explains
much more about human behavior, stress response and the
ability to access well-being than we had access to before.
Getting all the potential out of the Polyvagal Theory will
ultimately be a cultural effort thatll take place over time as
more people read the official literature by Stephen Porges;
more therapy modalities like Somatic Experiencing,
Sensorimotor Psychotherapy and Organic Intelligence
incorporate its insights; more scientific research is done; and
2
more and more common conversations are held
about its relevance.
Sharing this paper, and helping to animate the
conversation around the Polyvagal theory in my other works,
is one small part of that cultural conversation. Its nice that
youre checking this out, I hope it encourages you to add
your interest and voice to this transformative appreciation of
our biology. Were mammals. Its good to know what that
means.
I wrote this paper as a returning undergraduate at the
Evergreen State College in Fall 2005. I was doing an
independent study of the psychobiology of trauma and was
head over heals for the Polyvagal theory which I credited for
giving Somatic Experiencing therapy the scientific support I
needed in order to trust that modality as fully as I wanted to.
I was - and still am - also keen on the theory for use in social
and historical critique and used it extensively while working
on my central project Somewhere Something Went Terribly
Wrong where I investigated the Origins of Trauma in our
species.
With this initial paper offered in its original form we can
see why I didnt pursue a life in academia. I dont have the
rigor for it. In the end this paper reads as a general
introduction to the Polyvagal theory and early literature
associated with Somatic Experiencing therapy through Peter
Levine and Dr. Robert Scare.

3
 Perhaps its simplicity will be this articles
greatest strength.

Since writing this paper Ive continued to work on other

pieces to help translate and animate the Polyvagal Theory.
Some of these are playful. Some are serious. Some cost
money. Most are free. You can find out more about these by
visiting:

Twigs Resources to Yelp You with the Polyvagal Theory

My best wishes on your journey of studying the Polyvagal

theory. I hope youll be able to see some of the remarkably
helpful insight it provides us about how and why humans do
so much of what we do.

Warmly,

Anthony Twig Wheeler

November 1st, 2015

4
 Co m ing
Soon!

TWIGS SUPER SIMPLE GUIDE TO

THE POLYVAGAL THEORY
Is being released as interest grows...help build the momentum by telling others.

Click to Email a Friend

1
 The Polyvagal Theory
A psychophysiological approach to an understanding of
Self Regulation

Anthony Twig Wheeler

The Evergreen State College
Fall Quarter 2005
2

Table of Contents:

1) Introduction: Defining Self Regulation

2) Changing Paradigms: A New Perspective
3) The Polyvagal Theory
4) The Ventral Vagal Complex
5) The Sympathetic Nervous System
6) The Dorsal Vagal Complex
7) Neuroception: The Evaluation of Threat; an integrating element of the
polyvagal theory
8) Human Development and Self Regulation
9) Conclusion
10) Appendix:
a. Elements of the Ventral Vagal Complex
b. Elements of the Sympathetic Nervous System
c. Elements of the Dorsal Vagal Complex
11) Works Cited
12) Bibliography
 3

1) Introduction: Defining Self Regulation

At the heart of this study is the concept of self regulation. Self regulation, is here,

hypothesized to be a mosaic of emotional, physiological and neural regulation as well as

psychological differentiation.

Porges notes the difficulty in defining emotional regulation while acknowledging that

those in the field know it when they see it. He borrows form Thompson (1994):

What is regulated (p. 30) includes: (a) neurophysiological processes underlying

emotional arousal and its management; (b) attentional processes, such as selective

attention and focused attention; (c) interpretation processes involving both external

cues and internal cues; (d) coping strategies; and (e) environmental selection

strategies. Each of these regulatory processes plays a role in monitoring, evaluating

and modifying emotional reactionsto accomplish ones goals (Porges 1999 p.61)

The focus of this work is to note the physiological relationship between the above

definition of emotional regulation, psychological viability and neurophysiological state.

In order to suggest that there is something we can identify as self-regulation.

2) Changing Paradigms: A New Perspective

Many of the perspectives in this article arise out of recent work preformed by

developmental psychologist and neuroscientist Dr. Stephen Porges, neurologist Dr.

Robert Scaer and traumatologist Dr. Peter Levine. Supporting evidence is also gleaned

from other researchers in the growing field of traumatology and psychophysiology.

4

Porges explains the method and emphasis of psychophysiology thus:

psychophysiology emphasizes a continuity between neurophysiological and

psychological processing and link psychological process with neurophysiological

processes and brain structures by measurement not just theory, furthermore the

systematic investigation of mind-body relations forms the scientific basis for the science

of psychophysiology. (Porges 1994)

At the center of this discussion is a growing body of evidence that suggests that

genetics and environment interact in the process of making a Self and that the Body,

Brain, Mind is an integrated system which we can recognize as a Self.

This is in stark contrast to various behavioral or genetic approaches to the study

of humans, typified by the classic dualism of nature vs. nurture. In the making is a

revision and challenge to this classic dialectic and a reintegration of body and mind and

self and other.

A note to the reader: Much of this revision remains theoretical. Although supported

by clinical, laboratory and observational studies, including detailed comparative

anatomy, comparative evolutionary biology, as well as controlled measurement studies of

physiologic process, much remains unknown about the structures and process of the

autonomic nervous system and its relationship to self regulation. This theoretical

warning is particularly true for the exciting new understanding of the Polyvagal Theory

offered by Dr. Porgesthe foundation of this work. Therefore, caution is recommended

in referring to these insights as scientific fact or law while still accepting that they

provide a sound and working understanding of the concepts herein.

 5

3) The Polyvagal Theory

The Autonomic Nervous System (ANS) is responsible for the maintenance of

homeostasis and survival in response to threat. (Scaer 2001; Levine 1997)

Historically, the ANS has been seen as being made of two distinct reciprocal systems

(Sapolsky 2003 p. 22): the sympathetic nervous system (SNS) with its focus on

mobilization, activation, stress and fight-flight responses to threat; and the

parasympathetic nervous system (PNS) with its focus on digestive, calming and

restorative processes. There is a rare, yet growing, appreciation that the PNS freeze-

immobility response compliments SNS fight-flight behavior. (Levine 1997 p.95)

The Vagas nerve provides the bulk of pathways for innervation of the PNS. Porges

recent polyvagal theory has illuminated and described that the PNS in itself is divided

into two subsystems (Porges 1995); key to this split is a number of phylogenetic

modifications which take place in utero:

In the human embryo, during the first weeks and months of development, the head

and neck go through a stage where gills appear on each side of the neck, much like

those of fish and amphibians.1 As the embryo develops, the gills disappear, and the

muscles that move the gills gradually transform into many of the muscles of the face,

jaw, mouth and neck. These are the only voluntary muscles that are supplied

specifically by the ANS, which otherwise innervates the involuntary muscles of the

viscera: the heart, lungs, and digestive muscles (Scaer p. 50).

1
This is in fact an evolutionary echo to a phylogenetic relationship with ancient jawless fish. (Porges 1995,
Porges 2001)
6

Also during embryonic development, source motor nuclei from the Dorsal Motor

Nucleus (DMNX), a posterior (dorsal) structure in the brainstem and source of the dorsal

vagal complex (DVC), migrate to the Nucleus Ambiguus (NA), also a brainstem structure

and source of the ventral vagal complex (VVC). (Porges 1995, Porges 1999)

This migration from the DMNX to the NA, which takes place only in mammals,

effectively splits the parasympathetic branch of the ANS into two distinct subsystems.

These have their own structures, functions, responsibilities, and behavioral responses to

threat. This provides the basis of the polyvagal theory (Porges 1995). The polyvagal

theory further links the evolution of the neural regulation of the heart to affective

experience, emotional expression, facial gestures, vocal communication, and social

behavior in response to the behavior of others [and environmental conditions]. The theory

points out that the neural control of the heart is neuroanotomically linked to the neural

control of the muscles of the face and head (Porges 1999 p. 22). [italics added]

Porges further explains that as the autonomic nervous system changed through the

process of evolution, so did the interplay between the autonomic nervous system and the

other physiological systems that respond to stress, including the cortex, the

hypothalamic-pituitary-adrenal axis, the neuropeptides of oxytocin and vasopressin, and

the immune system. From this phylogenetic orientation, the polyvagal theory proposes a

biological basis for social behavior (Porges 2001 p. 123). Because of these

phylogenetic (evolutionary) changes the autonomic nervous system [in response to

threat] passes through three global states, each with an associated behavioral strategy

(Porges 2001 p.123). These states are hierarchically established so that the more recent

adaptations will be engaged first and the more primitive last (Porges 2001). This process
 7

follows a nervous system principle first explicated by John Hughlings Jackson (1958)

termed dissolution. Jackson explicates dissolution as a process by which the higher

nervous arrangements inhibit (or control) the lower, and thus, when the higher are

suddenly rendered functionless, the lower rise in activity (As quoted in Porges 2001 p.

132).

Each stage within this hierarchy has its own structure, including particular metabolic,

physiological, psychological and behavioral elements which provide an instinctively

based, non-conscious response to various levels of threat. The response strategy is not

all-or-none, and may include transitional blends between the boundaries of the three

hierarchical stages. These transitional blends may be determined by both visceral

feedback and higher brain structures (Porges 2001 p132).

4) Ventral Vagal Complex (VVC)

The newest evolutionary change in ANS organization is emergent with mammals.

This is the ventral vagal complex2 (VVC). The VVC is characterized by a myelinated3

vagus that can rapidly regulate cardiac output to foster engagement and disengagement

with the environment. The mammalian vagus is neuroanotomically linked to the cranial

nerves that regulated social engagement via facial expression and vocalization (Porges

2001 p. 131).

The VVC allows for the unique mating, pair bonding, infant-caregiver attachment and

sociability characteristics of mammals, which finds its greatest refinements in primates,

2
Ventral: the front of the body.
3
Myelin: is a fatty sheath surrounding some nerves. This sheath provides insulation which supports nearly
instantaneous transmission of nerve impulse; this in comparison to unmyelinated nerves which are
uninsulated and therefore substantially slower.
8

particularly humans. (Porges 1995; Porges 2001; Porges 2003) The VVC controls all the

muscles necessary of social engagement. For humans this includes the head, neck, eyes,

and facial muscles (for orientation to novel stimulus and affective4 expression). The

muscles of the inner ear (which extracts the human voice from the environment), the

larynx/pharynx (for the production of sound, language, and tone), and a significant

influence on the lungs. Of particular importance is the VVCs control of the sinoatrial

node.5 (Porges 1995; Porges 1999; Porges 2001)

There is general agreement that in mammals cardioinhibitory motorneurons originate

in the NA (Porges 1994). This VVC control on the sinoatrial node, which creates a

metaphoric brake on the pace of the heart, is a key element in a mammals ability to

engage or disengage with the environment, including the social environment, and is of

particular importance when engaging novel stimulus without mobilizing the SNS with its

costly metabolic demands. (Porges 1999) This vagal brake promotes incremental

changes in heart rate to support regulated emotional responses (Porges 1999 p.59).

Because of the vagal brake, the VVC plays a fundamental regulatory role within the

process of arousal6 and self regulation.

Intrinsic heart rate, the pace of the heart without neural influence, is faster than

resting heart rate. Indeed if the heart is allowed to run at its own pace the effect is

heightened arousal and engagement of sympathetic nervous system responses. The VVC

is responsible for this difference in pace, serving to calm the animal by keeping the heart

rate within a variable set point below the level of arousal. (Porges 1999)

4
Affect: referring to feeling and emotion
5
Sinoatrial node: the heart (cardiac) pacemaker.
6
Arousal here is used to describe the rise in nervous system activation where an animal instigates fight-
flight behavior.
 9

One cannot efficiently and affectively engage with the environment under heightened

arousal conditions (Levine 1997; Porges 1998); thus the potential for pair bonding,

infant/caregiver attachment bonding, and alliance building requires appropriate vagal

tone. Vagal tone is a hallmark of the VVC via its neurophysiological relationship with

the neural control of the face (i.e., facial expression and vocalization) and the heart

provid[ing] the physiological foundation for appropriate and controlled emotional

responsivity (Porges 1999 p. 60).

With novel stimuli mammals, like reptiles, have an initial reflexive response to

novelty, [called] the orienting reflex (Porges 1999 p.58). To accomplish this, mammals

utilize the vagal brake which momentarily decreases heart rate, enacting a momentary

freeze response. This freeze arrests previously enacted motor sequences making the

animal less visible to predators. (Levine 2004) This is quickly followed by a lifting of the

vagal brake and a concomitant orienting response toward the source of novelty. This

orientation is a directed assessment of the relative danger of the stimulus and includes eye

scanning, ear tuning and stereotyped head turning movements. (Porges 1995; Levine

2004)

Determined by that assessment, a mammal may chose to engage or disengage with

the environment. The animal may either vocalize or be silent, and physically approach or

withdrawal. It is the attenuated response of the VVC which allows the heart to mobilize

necessary metabolic resources for this approach/withdrawal behavior without activation

of the reactive and metabolically costly SNS. Because of the precise control of the

myelinated nerves of the VVC over the vagal brake, mammals have the ability to

participate in a broad spectrum of approach-withdrawal behaviors in relationship to the

10

environment. (Porges 1997) Hence, vagal tone keeps mammals from, literally, bouncing

off the walls (Porges 1995 p. 306) in response to novel stimulus, as well as allowing

them to appropriately engage with that stimulus.

Originating at the NA and innervated by various cranial nerves,7 all the structures of

the VVC are interrelated; to have access to one is to have access to all. In order for

mammals to participate affectively with others and the environment, through visual or

auditory means, they must have access and regulatory capacity over the VVC and vagal

brake. (Porges 2003)

Of primary importance to the VVC is the intake of oxygen. The VVC musculature

retains its original purpose in this regard. As gill arches of primordial fish or as the VVC

of mammals the primary objective [of these structures]is to maintain oxygenation

(Porges 1995 p. 311). Porges notes: the VVC is involved in the control and

coordination of sucking, swallowing, and vocalizing with breathing (Porges 2001 p.

131). [italics added]

The evolution of the vagus is believed to parallel behavioral as well as metabolic

regulatory ability (i.e. control over the heart). This includes the VVCs dramatic

relationship with oxygen resources. As the nervous system gets more complex, there are

greater demands for oxygen. in particular the neo-cortex is very vulnerable to shifts

in oxygen (Porges 1994 p. 310).

The VVC is, in effect, an oxygen regulator; vagal fibers originating in NA(ex) and

terminating in both bronchi (Haselton et al. 1992) and the sino-atrial node (Spyer and

7
Various cranial nerves make up the VVC including cranial nerve; XI (head turning), IX and X
(vocalizing), VII and V (facial expressing), VII (muscles within the inner ear for exctracting the human
voice from sound within environment) and V (for masticating). Cranial nerve X modulates the vagal break
and influences the bronchi (Porges 2001 p. 133)
 11

Jordan, 1987) have a respiratory rhythm, thus suggesting that RSA8 may reflect a

common respiratory rhythm originating in or at least incorporating NA (Porges 1994 p.

311).

The importance of this should be made clear. A complex organisms heightened

demands for oxygen require a complex response to both attend to and maintain

oxygenation during novel stimulus.9 Thus: withdrawal of cardiac vagal tone10 through

NA mechanisms is a mammalian adaptation to select novelty in the environment while

coping with the need to maintain metabolic output and continuous social communication

(Porges 1995 p.310). Because of these demands the social engagement system

[synonymous with VVC11] is directly coupled to stress responsivity (Porges 2001).

This understanding of the VVC provides a new appreciation of various neural and

muscular structures, the process of social engagement and its importance in maintaining

8
RSA: Respiratory Sinus Arythmia is a spontaneously occurring reflex in which respiratory afferents
both peripherally and centrally modulate the medullary vagal efferents to the heart (Porges 1997 p. 259).
RSA is generally understood to be a measurable marker of VVC activity and reactivity (modulating
capacity). The establishment of RSA as a direct correlate of VVC tone has been statistically substantiated
in various tests with infants, toddlers, youths, and adults in controlled studies. In these studies VVC tone
and reactivity were compared between various clinical populations (including preterm infants, autistic
children and adults with symptoms of post-traumatic-stress-disorder) and healthy populations.
Measurements are taken through biofeedback equipment and have shown relationships between VVC
activity (high or low tone), responsivity (high or low modulation capacity) and heart rate period with an
associated predictable affective and behavioral response to various levels of stress induction such as the
well accepted approach-withdrawal tests and mental tests associated with a perception of stress. (Porges
1997; Porges 1999) Porges notes that the heart is used for VVC assessment: because regulation of the
heart determines the availability of the metabolic resources required for mobilization, as well as for growth
and restoration. For example, cardiac output must be regulated to remain calm in safe environments, to
mobilize for flight or flight behaviors, or to immobilize for feigning death or avoidance behaviors (Porges
2001 p.127) and is thus a ideal indicator of self regulatory capacity in relationship to stress.
9
This in contrast to reptiles who have a low oxygen demand and respond to novelty first by orienting and
secondly by freezing; this response requires minimal oxygen consistent with their low oxygen dependant
neural organization.
10
Releasing of the vagal break.
11
In this sense social engagement is taken to be more than talking or smiling between people. It is the act
of spontaneous communication and the capacity of the organism to remain in a calm state during social
interactions; with active metabolic regulation provided by the vagal brake. All aspects of the VVC play a
role in this. Thus social engagement is broader, and physiologically more important, than simple pleasantry
between people, which may be characterlogically based and not authentically spontaneous and self-
regulating.
12

homeostasis. The VVC regulates interaction with the environment while keeping

metabolic demands within the range of homeostatic viability, including vital oxygen

resources. All parts of the VVC play an integrated role in this, hence emotion, defined

by shifts in the regulation of facial expressions and vocalizations, will produce changes in

RSA and bronchomotor tone mediated by NA (Porges 1995 p 313) and vice versa.

Due to evolutionary shifts of neural organization in mammals, and in particular

primates, social engagement is regulated by visceral and nervous system state. This

change includes muscles capable of greater complexity of movement and thus enriched

social experience. For instance one of these behavioral shifts is the addition of activity

of voluntary attention and complex emotions characterized by facial gestures and

vocalizations (Porges 1999 p 58); it is noted again with this new vagal system [unique

to mammals], transitory incursions into the environment or withdrawals from a potential

predator can be initiated without the severe biological cost of the metabolic excitation

associated with sympathetic-adrenal activation (Porges 2001 p. 129).12

5) Sympathetic Nervous System (SNS)

12
These transitory incursions are a broad continuum, describing predator-prey interactions on one hand
and simple listening (withdrawal) and speaking (approach) interactions on the otherthe finely tuned VVC
allows for metabolic changes needed for these interactions.
 13

The sympathetic nervous system (SNS)13 is a branch of the ANS which works in

reciprocity with the PNS to maintain homeostasis. Sometimes referred to as the

ergotropic or energy spending system, the SNS is responsible for the well known fight-

flight responses to threat. This response includes increased mobilization of metabolic

processes and innervations of muscles for movement. The SNS is the fundamental

mobilization system of the body. (Scaer 2005)

SNS nerves originate in the brain and exit the spine between the 12 thoracic vertebra

and the first 2 or 3 lumbar segments along the spinal cord. (Sapolsky 2004, Britannica

2003), investing each muscle and most glands and organs with afferent and efferent nerve

fibers. Efferent fibers convey activation impulses from the brain to these organs and

muscles while afferent fibers return messages related to cold, heat and pain back to the

brain. The sympathetic nervous system has a long history of being associated with

emotion and stress. (Porges 2001)

Although the SNS plays an important role in normal day to day activity, the most

commonly understood role of the SNS is in the fight-flight response to threat and is the

focus of the discussion here, particularly as it applies to mammals and humans.14

In response to threat, mammals first orient and then may choose to attend through

active social engagement. This attending requires a lifting of the vagal brake and an

increase in metabolic output. If this increase is sufficient in intensity and/or duration the

SNS may become engaged, initiating fight-flight behavior. (Porges 1995)

13
Phylogenetically much older than the VVC, the SNS finds its evolutionary origins in Telests (bony fish);
therefore predating and used by amphibians, reptiles and mammals.
14
Note, the SNS is the primary nervous system that predators use in the hunt as well.
14

When threatened, animals and humans, respond with fighting when a response of

aggression is most appropriate. If winning the fight in unlikely, the animal will run if it

can. These responses are not cognitive in origin but are instinctively15 enacted by the

reptilian and limbic brains16. (Levine 1997) This fighting and fleeing demand immediate

and intense activation of the cardiovascular and motor systems of the body (Scaer 2005

p. 44). To support this activation the SNS alters the bodys physiology from the

regulatory sine wave rhythms of homeostasis to the more metabolically costly stress

response.(Levine 1997; Scaer 2005; Sapolsky 2004) In a healthy individual this shift is

enacted only under a valid17 perception of threat. (Porges 2004)

During fight-flight the SNS quickly moves blood from the surface layer of the skin

(to guard against loss of blood if one is cut) while simultaneously increasing sweat

production to lubricate and protect the skin. There is decreased blood flow

(vasoconstriction) to the organs of digestion and elimination (including decreased saliva

production) and vasodilation (increased blood flow) to the large muscles necessary for

defensive movements (arms for fighting, legs for fleeing).There is also a concomitant

increase in heart rater, blood viscosity, blood pressure, bronchial dilation and respiratory

rate (as is necessary for increased mobility and metabolic up take). Furthermore, pupils

15
The word instinct is commonly used here although it should be noted that experience, stored in
procedural memory, does play a part in enhancing potential responses in this processtherefore self
defense by fighting and fleeing is more elaborate than simple instinct and includes influence from past
experience.
16
The brain is widely understood to be a sequential elaboration on more primitive structures; this is an
example of the process of phylogeny. Hence the reptilian or instinctual brain, which sits at the core of the
brain and is responsible for autonomic processes, is the substrate for the emotional or limbic brain
associated with mammals. Primates have a further refinement of these structures with the addition of the
cortex or rational brain. These structures work in concert to a greater or lesser degree based on the health
of the animal, however in all cases stress response is mediated by the lower structures of the reptilian and
limbic systems. (Levine, Scaer, Perry, Porges)
17
A valid perception of threat is of intimate concern to the polyvagal theory and self-regulation. This
concept will be touch on below, however the questions and permeations which arise with this concept are
beyond the scope of this work. These questions describe a dramatic and potent debate on the process of self
regulation.
 15

dilate increasing visual acuity to attend to the threat (fighting) in a directed fashion or

toward a source of safety (fleeing) in the case of directed running18. (Sapolsky 2003;

Scaer 2005; Levine 2004). In addition, glucose is released from the liver to supply energy

to muscles and the brain. (Scaer 2005) During SNS activation there is said to be a greater

tonus to the body; suggestive of tension, intensity and heightened energy. Furthermore,

the neurotransmitters epinephrine and norepinephrine are released in the brain and body.

These mobilize organs and glands to help support the metabolic needs of the body under

stress. (Sapolsky 2004)

Psychological processing is narrowed to focus on the source of threat and possible

safety. The emotional correlates of SNS activation are two of Darwins survival

emotions: the emotions of anger and fear. (Porges 1996) For this reason, during fight-

flight behaviors and sympathetic excitation, both the vagal brake and the behavioral

components of the social engagement system would not be easily accessible (Porges

2001 p. 134), including the higher brain functions of reasoning, explicit memory and

emotional processing. (Scaer 2005)

When under threat which social engagement is incapable of resolving, mammals

mobilize energy resources for fight-flight behavior. As Scaer insists; the animal is fine-

tuned for the vigorous physical activity required to fight or flee(Scaer 2005 p. 44).19

18
Directed Running is the experience of focusing on and moving toward a source of safety. This is
compared to undirected running which denotes a higher level of fear and less coping capacity.
19
It is widely observed that the majority of predator-prey interactions that culminate in a chase end in
escape for the prey animal attesting to the survival suitability of the fight-flight response.
16

6) Dorsal Vagal Complex

The dorsal vagal complex (DVC), a further part of the PNS, is primarily associated

with digestive, taste, and hypoxic responses in mammals (Porges 2001 p. 131).

Phylogenetically the oldest aspect of the ANS20; the DVC controls sub-diaphragmatic

visceral organs promoting, in a healthy individual, digestion and elimination processes

and appropriate tone to the gut. (Porges 2001 p. 131)

The efferent nerves of the DVC originate in the dorsal motor nucleus (DMNX)21.

These nerves, which are unmyelinated and thus less tightly controlled,22 provide a low

tonic influence on the heart and bronchi which is a hold over from the earlier reptilian

organization of vagal control of the heart and lung, as well as the principle control over

digestive organs. However, 80% of the DVC nerves are afferent, relaying visceral state to

the brain, where they terminate in the nucleus of the solitary tract (NTS). (Porges 2001)

In a healthy animal not under stress the DVC has a reciprocal relationship with the

SNS. The PNS provides restorative and growth processes to the body in times of rest by

moderating elements of digestive process; while optimizing the functioning of the

internal viscera. (Porges 2001; Scaer 2005) However, under extreme stress, when the

SNS is overwhelmed (i.e. fight-flight is unsuccessful), the DVC is up-regulated creating a

dramatic arrest in the body known as the freeze-immobility response.

20
Phylogenetically the DVC originates with jawless fish (cartilaginous fish). As much as can be done
within the polyvagal theory, the DVC correlates to what was once regarded as a unified parasympathetic
nervous system or trophotropic (energy conservation) system.
21
DMNX is a brainstem structure and the sight of departure for the migrating NA source nuclei during fetal
development. This association between NA and DMNX closely links their respective restorative
processes.
22
Unmyelinated nerves are evolutionarily older than myelinated nerves. Rather than near instantaneous
impulse conductivity, unmyelinated nerves send waves of information along the nerve; making them
slower to achieve enervation and slower to turn off.
 17

This dramatic shift is seen in animals and people as an instantaneous capitulation to

the source of threat; witnessed as a collapse or sudden freeze in the body; a state called

tonic immobility. Prey animals are immobilized in a sustained (cataleptic-catatonic)

pattern[the] animal is either frozen stiff in a heightened contraction of agonist and

antagonist muscle group, or in a continuously balanced, hypnotic, muscular state

exhibiting what is called wavy flexibility (Levine 2004 p.276) which reflects a hypotonic

or flaccid (low energy) state.

At the moment the DVC takes over SNS activation23 there is a sudden decrease in

heart rate, respiratory excursion and oxygen intake; thus the DVC is an oxygen

conservation system and is associated with hypoxic states; in extreme cases including

apnea, bradycardia24and potentially death. When SNS mobilization, with its high

metabolic costs has failed, the third stage on the phylogenetic hierarchy, a state of

generalized conservation, is enacted following the principle of dissolution. This

response strategyalthough adaptive for the reptilemay be lethal for mammals

(Porges 2001 p.136). This is due to mammals demand for vital oxygen resources as

noted earlier. Indeed, hypoxia or perceived losses of oxygen resources appear to be the

main stimuli to trigger the DVC (Porges 2001 p. 131).25

Due to this low oxygenation and increased vagal tone to the viscera, DVC dominance

is related to states of low mobility, digestive and eliminative dysregulation (i.e. diarrhea,

ulcers, spastic bowl syndrome) and psychological and emotional states ranging from mild

23
This event is a chaotic shift which is best elucidated by elements of chaos theory known as catastrophe
theory.
24
Hypoxic: a condition of low oxygen.
Apnea: temporary pause in breath.
Bradycardia: A slow heart rate characterized by less than 60 beats per minute.
25
This is likely due to CO2 buildup from SNS activation and hyperventilation
18

depression to extreme terror (overwhelm). (Scaer 2005; Porges 1995; Porges 2001)

Under extreme DVC influence there is minimal access to social engagement and its

calming influence on the heart.

DVC is adaptive in the short term, however if expressed for long periods is damaging

to the mammalian nervous system. Under most normal conditions, the DVC maintains

tone to the gut and promotes digestive processes. However, if up-regulated, the DVC

contributes to pathological conditions (Porges 2001 p.131). DVC dominance is

postulated to be the physiological explanation of the subjective experience of

disassociation. (Scaer 2001, Scaer 2005) This is likely due to the low oxygen resources

available to the brain in the DVC state; as well as an associated release of endogenous

opiates that are released in the body and brain during freeze-immobility. (Scaer 2001;

2005)

Freeze-immobility, if appropriately enacted, is a viable and highly adaptive response

to overwhelming threat. Levine explains potential reasons for the efficacy of the freeze-

immobility response:

First, many predatory animals will not kill and eat an immobile animal unless they are

very hungry.Second, predatory animals have a greater difficulty detecting potential

prey that are not movingandin addition, many predators are not stimulated to

attack a motionless prey; an inert body often doesnt evoke aggression.Third, if a

predator comes upon a group of prey animals, the collapse of an individual can

distract the predator momentarily, allowing the rest of the heard to

 19

escape.Fourth,nature provides an analgesic mechanism for minimizing the pain

suffered at death26 (Levine 1997 p.96-97).

There is some debate between Porges and Levine about just what is happening

between the SNS and DVC when the DVC becomes dominant. Porges suggests that there

are transient blends between the two states but seems to indicate that SNS more than

less turns off when DVC becomes ascendant. (Porges 1995; Porges 2001) Levine

however, insists that DVC rises in response to the level of SNS activation as a means of

containing the extreme arousal of fight-flight. Levine likens the state of the nervous

system during freeze-immobility to the accelerator and brake pedal of a car being pressed

at the same time: while the animal is in tonic immobility the SNS charge remains just

under the surface. This is supported by observations of animals in the wild completing

the DVC reaction27 and emerging back into a full blown fight-flight reaction, even if the

predator has moved on.28

7) Neuroception: The evaluation of threat; an integrating element of the

polyvagal theory.

Each interaction with the environment will have its own emotional valance or tone;

the perception of safety is a decisive element in determining this valance. (Porges 2003)

26
Or if wounded, this analgesic may provide pain relief keeping the animal from attending to its wounds
and therefore continuing the state of immobility so as to avoid detection.
27
Immobility is time limited as vital oxygen resources must be regained.
28
During the Vietnam War medical personnel had a saying as they go in, so they come out in reference
to the fact that soldiers who were highly agitated when being anesthetized (forced immobility) would
awaken in the same state of hyper-arousal as they went into immobility with. This is a highly adaptive
response as it provides the animal with another chance for escape.
20

Below conscious thought there is a continuous assessment of the environment and its

relative safety taking place. Porges has coined the term neuroception to describe how

neural circuits distinguish whether situations or people are safe, dangerous, or life

threatening. These assessments relate directly with VVC, SNS or DVC response,

respectively. The ANS evaluates this risk in primitive parts29 of the brain with the

influx of information from the environment derived through the senses (Porges 2003;

Porges 2004). Concurrently the thalamus monitors internal states which also influence

neuroception. (Scaer 2005).

The primary senses30 are housed, innervated, and supported by the VVC, and

communicate directly to the nucleus locus coerulius31. To make an appropriate

assessment of safety one must have the ability to orient to and evaluate stimulus. To do

this one must inhibit the primitive reactionary defenses of the SNS or DVC; thus, one

must have a well regulated vagal brake. (Porges 2001; Porges 2003)

Once an assessment of safety or threat is made, a nearly instantaneous act,

neurobiologically determined prosocial or defensive behaviors (Porges 2004 p. 19) are

triggered. These behaviors are those dominated by the phylogenetic hierarchy of self-

protection elucidated in the polyvagal theory and follow a neuroception of safety (VVC),

danger (SNS) and life threat (DVC). (Porges 1995)

With a neuroception of safety there is an adjustment of metabolic demands; mediated

by the VVC, along with increased ability to affectively and cognitively engage with the

environment. In short the VVC is on line. During periods of appropriate social

communication (e.g. facial expressiveness, oral intonation), the lower motor neurons are

29
Reptilian or brainstem with some limbic influence.
30
Sight, sound, taste, and smell
31
Part of the reticular activating system and the primary activator within the brain for the stress response.
 21

regulated by the upper motor neurons in the frontal cortex. (Porges 2001 p.143) This can

only happen when VVC is dominant. Levine describes this state as an attunedrelaxed

alertness and is emotionally characterized as a sense of well-being. (Levine 1997)

Consistent with the principle of dissolution the [polyvagal] theory states that there is

a degrading of the function of the social engagement system when the individual

perceives the environment as dangerous (Porges 2001); which will hinder the ability for

close proximity between individuals. With an assessment of danger, the SNS is

mobilized: heart and breath rate is increased, the stress response is instigated, cognitive

and affective expressivity is reduced and fight-flight behavior is enacted.

If the assessment of danger becomes one of life threat the DVC is mobilized, enacting

a freeze response with corresponding significant drops in blood pressure and heart rate

and a potentially complete shut down of engagement with the environment. These

assessments, if appropriate, and the ensuing reactions, are adaptive behavior that is

phylogenetically predetermined. (Porges 2001; Scaer 2004; Levine 1997)

Consequently accurate neuroception is the definitive substrate for effective

engagement with the environment and the continuation of any species.32 Whereas, faulty

neuroceptionthat is, an inaccurate assessment of the safety or danger of a situation33

might contribute to the maladaptive physiological reactivity and the expression of

defensive behaviors associated with specific psychiatric disorders (Porges 2004 p. 20).34

32
A neuroception of danger or life threat is not only a personal evaluation but can also be triggered by a
threat to a member of the family, pack, societal grouping, or larger related community (Scaer 2005 p.43).
33
The cause of faulty neuroception, again, is a question of vital significance and fertile ground for
exploration.
34
And as we can reason must play a role in the survival of the fittest through natural selection in wild
animal populations.
22

Faulty neuroception, assessing safety as dangerous, may lead to hyper-reactivity;

triggering SNS or DVC responses with unnecessary expense to homeostasis. Conversely,

inappropriate neuroception which registers a situation as safe when in fact it is dangerous

or life threatening may place one in unnecessary danger. (Porges 2004, Scaer 2005)

Neuroception is a finally tuned and sensitive sensibility: even flat (rather than angry)

facial affect might prompt a neuroception of danger or fear and disrupt the development

of normal spontaneous interactive and reciprocal social engagements (Porges 1999 p.

22). This reciprocal possibility speaks to the feedback process inherent in social

engagement, for example the flat affect of a depressed parent or the flat affect of an ill

child might trigger a transactional spiral that results in compromised emotional regulation

and limited spontaneous social engagement (Porges 2004 p.22). Porges sums the

important role of neuroception:

To survive, mammals must determine friend from foe, evaluate whether the

environment is safe, and communicate with their social unit. These survival-related

behaviors are associated with specific neurobehavioral states that limit the extent to

which a mammal can communicate or establish new coalitions. Thus, environmental

context can influence neurobehavioral state, and neurobehavioral state can limit a

mammals ability to deal with the environmental challenge (Porges 2001 p. 124).
 23

8) Human Childhood Development and Self-Regulation

Early experience plays a vital role in developing neural pathways necessary for

innervation of the VVC and prepares an individual for later self-regulation, resiliency,

affect regulation and psychological differentiation or lack there of.

Ontogeny, the unique developmental process for each species, provides humans with

a genetically determined life cycle. (Shepard 1976; Shepard 1997) In childhood this

process unfolds in a predictable order enhancing and elaborating behavioral repertoire of

the body, brain and mind35. This genetic heritage demands of the environment certain

mirroring experiences for optimum growth and development. In the absence of these

experiences the child must compensate as best she/he can, leading to the possibility of

decreased resiliency, self-regulatory capacity and psychological differentiation. (Perry

1997; Perry 2001; Shepard 1982; Shepard 1998)

Lisbeth Marcher and the Bodynamic Institute in Denmark conducted significant

research when they followed 600 children from birth through young adulthood,

comparing psychological and motoric development in relationship to life experience.

They determined that each muscle of the human body has a psychological correlate

which mirrors the psychological theme in which a child is engaged in mastering at the

same time that each particular muscle is developing. Their finding lends weight to the

argument that nature and nurture are indeed interrelated. (Bernhart 2004)

The Bodynamic Analysis describes 7 character structures36 which are psychologically

and motorically developed between the intrauterine experience and 12 years of age. For

35
Including increased self-protective competency
36
Others have done this in the past (i.e., Lowen, Erikson and Freud) however Bodynamic is the first to
track motoric development to these character structures providing a uniquely explicit understanding of
24

example, the Autonomy Structure, the dominant developmental theme between eight

months and 2 years of age is psychologically concerned with organizing the impulse

toward activity (Bernhart, Bentzen, & Isaacs 2004 p.177) with the ontongenic goal of

becoming emotionally autonomous: where the child notices her impulses and feelings,

owns them, and can act upon them (Bernhart, Bentzen, & Isaccs 2004 p. 178). To

support this theme, the body organizes and elaborates neural connections giving the child

access to a greater range of motoric self control. For the autonomy structure this includes

improved hand eye coordination, muscles related to creeping and crawling, and greater

command of core muscles such as quadratus lumborum and hip flexors).

Marcher and her colleagues noted that the degree to which an environment under or

over meets a child strongly determines the charge within a muscles tone. This leads to

hyper- or hypo- tonicity and a corresponding psychological valance (over or under

responsivity). Hyper- or hypo- tonicity most certainly relates to SNS (hyper) and DVC

(hypo) reactivity within the musculature. This muscle tone describes a state of SNS or

DVC dominance within these particular muscles as compared to a VVC dominance.37

These conditions of hyper- and hypo-tonicity potentially remain throughout ones life

until the charge is resolved.38 A balanced position of neutral tone, where the

musculature and psyche display resilient and flexible mobility is here assumed to be

development. The Bodynamic character structures are titled: Existence (2nd trimester-3 months), Need
(1month-1 years), Autonomy (8 months-2 years), Will (2-4 years), Love/Sexuality (3-6 years),
Opinion (5-8 years), and Solidarity-Performance (7-12 years old). (Bernhart, Bentzen, & Isaccs 2004 p.
203)
37
In the case of autonomy structure: hyper-tonicity, called a late position influences the child/adults
psychologically to actively changes the focus of attention to avoid noticing unpleasant feelings,
particularly helplessness. While with a hypo-tonicity or early position the childs own impulses and
feelings are easily lost or go unrecognized. (Berhnhardt, Bentzen, and Isaacs p. 177-178). One can easily
see the SNS (acting) and DVC (freezing) qualities of these psychological responses.
38
For this reason Marcher and the Bodynamic Institute in Denmark have been able to create a bodymap
in which each muscle of the body in an adult is mapped and its relative tonicity is detailedleading to an
exceptionally clear picture of a persons psychological state in relationship to developmental themes.
 25

VVC dominance. Although the balanced tone is a rarity; it likely describes an ideal of

evolution and our genetic heritage.39

Bodynamic character structure is one lens through which to look at self regulation

and is predicated on the elaboration of neural structures which takes place during

development. The brain develops from the inside-out and from the bottom-up. As this

development occurs, the higher more complex, structures begin to control and modulate

the more reactive, primitive functioning of the lower parts of the brain (Perry 2001 p 4)

providing the possibility of greater self regulation from within. Furthermore the brain

organizes in a use-dependent fashion, meaning that the more any neural system is

activated, the more it will change and develop (Perry 2001 p4). This, in stress reactivity,

clearly relates to the phenomenon of tuning which suggests that the nervous system will

become tuned to VVC, SNS or DVC when a neuroception safety, danger or life threat

is disproportionately activated. This tuning indicates a loss of reciprocity between the

flow of SNS and PNS. (Levine Dissertation date unknown)

Thus the capacity for self regulation in the ANS is age related. Given the concept of

developmental elaboration, we can consider that the capacity to moderate frustration,

impulsivity, aggression and violent behavior is age related (Perry 2001 p 4). Age also

places infants and children at a distinct disadvantage in their ability to withdraw or

approach in response to stimuli or threat. (Porges 2003)

The impaired ability to respond with withdrawal or approach behavior sufficient to

actively cope with a stressor places children closer to overwhelm and a neuroception of

39
Caution however is recommended when considering this possibility as an achievable or even desirable
goal. Environment, ecology and differences within human cultures would necessarily select for hyper or
hypo tone character structures to best ensure survival in relationship to that environment, ecology or
culture.
26

life threat and its DVC response. In this helpless state children, and particularly infants,

require the modulating influence of their caregivers, to protect them from harm as well as

to model and develop self-regulation in response to stress.

Thus age is a fundamental principle in establishing possible responses to stress. Early

coping with stress, when defensive capacities are minimal, are characterized by VVC

efforts to engage with the situation affectively (crying and grimacing) in an attempt to

elicit protection and mediation from the caregiver. If this is unsuccessful, there is a rising

movement through sympathetic activation quickly peaking in overwhelm and enactment

of the freeze/immobility response; including its related states of dissociation and collapse.

As the individual matures and their behavioral possibilities expand to aid in active

coping, the use of fight/flight behaviors mediated by the SNS will become more

available. (Porges 2003; Scaer 2005; Perry 2001)

Due to the use-dependent quality of brain organization, the more often a child

experiences a heightened state of arousal, with either SNS or DVC responses, without

appropriate return to VVC, the more the set point of that childs nervous system will

move away from a VVC dominance and its self regulatory qualities; leading to tuning

and further disorganization. (Scaer 2005)

The more this tuning happens the less accurate neuroception will be. With each new

stressor a feedback loop is created, which firmly entrenches the stress response in the

child. This process in the nervous system continues into adulthood and will play a part in

the caretaking dynamics available to the next generation. (Porges 2004; Scaer 2005;

Shepard 1998)
 27

Porges observes that individual differences in response to stressors have become

markers for developmental outcome (Porges 1999 p.57) and given the intimate

connection between stress response and emotion regulation, (Porges 199 p. 57) the

induction of tuning to the infant/childs nervous system is of particular importance.

With this we can understand the importance of Perrys statement that: during

development, repetitive and patterned sensory experiences result in corresponding neural

systems organization and thereby functioning (citing Courchesne et al. 1994 as quoted

by Perry 2001 p 4).

Indeed very narrow windowscritical periodsexist during which specific sensory

experience is required for optimal organization and development of any brain area (e.g.,

Singer 1995; Thoenen, 1995). Absent such experience and development, dysfunction is

inevitable (e.g., Carlson et al. 1989) (Perry 1997 p. 5). These sensory experiences are

made of environmental cues including cues within the social environment. Shepard

proposes that there are specific genetic expectations of environmental visual, olfactory,

auditory and tactile cues which have been molded over millennia by evolution. (Shepard

1998) While Perry notes the need for micro-environmental cues which include various

neurohormones, neurotransmitters, neuropeptides and ions among others (Perry 1997).

These are likely released in relationship to environmental triggers.

Perry further notes two defining factors which can limit the availability of these cues

1) lack of sensory experience during critical periods [e.g., absence of ontogenetic

supporting environment]40 or 2) atypical or abnormal patterns of necessary cues due to

40
The best work regarding ontogenetic expectation for the human species, known by the author, is the work
of Paul Shepard who is commonly referred to as the founder of the study of Human Ecology. His work is
recommended to anyone interested in this vital aspect of human development and in modern times; human
affliction due to its general absence.
28

extremes of experience [i.e., abuse, hyper-arousal, witness to violence, depressive

caregiver, etc.] (Perry 1997).

Much weight is often appropriated to the appalling condition of child abuse in regards

to these extremes of experience and will thus receive minimal consideration here. Less

well appreciated is the need for appropriate attachment bonds between caregiver and

infant. Furthermore there is a degree of hostile parenting (where the parent is tuned to an

SNS or DVC propensity) which is below the level of abuse or extremes but which

leads to a similar condition as insufficient attachment bonds.

Van der Kolk refers to primate research when discussing the theme of attachment.

Primates have evolved highly complex ways to maintain attachment bonds; they are

intensely dependent on their caregivers at the start (Kolk 1989 p. 5).41 The importance of

maintaining these attachment bonds is underscored by research showing that primates

react to separation from attachment figures as if they were directly threatened and that

uncontrollable loss of attachment bonds is an essential element in the development of

post-traumatic stress syndromes (Kolk 1989 5).42 It is one possibility then that in the

absence of a caregiver, children experience extremes of under and over arousal that are

physiologically aversive and disorganizing (Kolk 1989 p. 4).

Likewise, in the presence of a SNS or DVC dominated caregiver(s) this potential for

hyper-arousal remains:

41
Vocal and facial expressions (through VVC processes) extend the calming influence of physical
contactthey do not replace it.
42
This is true for humans at any age.
 29

Even in the young infant, the social engagement system expects face-to-face

interactions43, with contingent facial expressions and vocalizations. Studies (e.g.

Bazhenova et al., in press) have demonstrated that when the face of the caregiver is

not responsive, the infant will initially attempt to socially engage the caregiver with

display behaviors (e.g. vocalizations, facial expressions). If the infant is unsuccessful

in engaging the caregiver, the infant will become agitated and may, in the case of

having a depressed mother, exhibit symptoms of depression. (Porges 2001 p.125)

[emphasis added]

This describes a state of tremendous turmoil when one can neither withdrawal for fear

of being without support nor effectively approach for fear of maltreatment. This double

bind quickly leads to overwhelm and the freeze/immobility response. (Scaer 2005)

The more the childs nervous system experiences this process, the more it will

become tuned and thus changes its expectation or set point for physiologic experience.

In essence we become what we experience. If our experience during development is one

of threat, we will respond to the world as if it is threatening (become tuned to SNS or

DVC dominance). If our experience is one of safety then the converse will be true (VVC

dominance).

Interaction with the caregiver(s) and their modeling and modulating influence is the

substrate for these experiences and thus the foundation for the possibility of self

regulation or disorganization. As Porges suggests, parents feelings and thoughts about

their own emotions and those of their children are hypothesized to influence the childs

regulatory physiology as assessed via vagal measures. Meta-emotions, operating both

43
Breast feeding likely displays the ideal distance for this face to face contact. (Shepard 1998)
30

indirectly through parenting behaviors and directly, help to shape the childs

physiological regulation abilities (Porges 1999 p. 67), thus, modeling from the

environment matters.

Because the organization and functional capacity of the brain reflects the pattern and

nature of sensory input during development (Perry 1997 p. 6) self regulation, which is

fundamentally influenced by the VVC, is a mirrored or learned propensity. The genes are

clearly there, however they require environmental support and experience for their

expression. Under ideal conditions where appropriate modeling and attachment are

available,44 with limited intensity and duration of stressors, these brain structures,

including motoric, physiological and psychological elements should develop into a

flexible and resilient matrix of interweaving processes.

Children therefore enact the same phylogenetic processes as do adults in responding

to stress and the later capacity for self regulation is fundamentally influenced early in the

life cycle.

9) Conclusion

44
Some amount of discomfort is necessary. For instance Fox and Stifter (1989) reported a relation
between baseline vagal tone and infant reactivity. Five-month-old infants with higher vagal tone exhibited
more negative reactivity to an arm restraint procedure. Interestingly, by 14 months of age, the infants with
higher vagal tone and greater reactivity at 5 months were found to be more sociable than their peers, and
exhibited more approach behaviors (Porges 1999 p. 65). And higher vagal tone were more reactive and
required more effort to test. When these same infants were tested at 15 months (Larson, Porges, and
DiPietro, 1990) the infants who had the higher neonatal vagal tone scored higher on the Mental
Development Index of the Baylay scales (Baylay 1969) and were more motorically active and better
coordinated. (Porges 1997 p. )This finding strongly suggests that those with a greater vagal tone in infancy,
who learn to modulate this tone, will better ward off stress later in life. Infants and children who
demonstrate appropriate vagal regulation to stressors exhibit fewer behavior problems and better emotion
and behavior regulation. (Porges 1999 p. 67)
 31

There is a distinct process within the nervous system for assessing and responding to

threat which has correlating emotional, physiological and psychological elements. These

processes are a well equilibrated, evolutionarily defined, and time tested dynamic. An

environment, including the prevailing emotional valence within the social environment,

plays a vital and reciprocal role in determining the assessment of safety or danger of any

given interaction.

For mammals it is not enough to simply avoid threat. We require mutual connection

and relation as wellhence it is suggested that affiliation is a fundamental need for

mammals in general and humans in particular so that VVC processing will be active and

homeostasis can provide its vital role without unnecessary or overactive SNS or DVC

arousal.

Health for humans then requires intimate pair and infant/caregiver bonding; this need

requires the prosocial behavior associated with the VVC and the neuroception of safety.

Emotional expression is directly tied to nervous system state and nervous system state

describes a level of appropriate developmental experiences. Given the role of nervous

system state (and its correlates to emotional, physiological, and psychological regulation

and differentiation), of fundamental importance is the intergenerational availability and

modeling of the VVC and authentic social engagement. Without which regulation of the

vagal brake is jeopardized along with its influence on the vital process of homeostasis.

This then raises a number of key questions:

1) How often can the social engagement nervous system investigate threat without
becoming tuned to SNS processing?
32

2) Can faulty neuroception which misreads an environment and hinders VVC

processing be reset to VVC dominance?
3) Is there a recognizable intergenerational tuning away from VVC processing
which describes a rise in self dysregulation/dysfunction which supports the
seemingly ever present increase in dis-ease and disease within modern society?
Appendix

a. Elements of Ventral Vagal Complex

Physiological: Modulation of resting heart rate, homeostatic state

Sensation: warm, pleasurable, awareness of body sensations

Image: free association, orientation to the present environment

Behavior: prosocial, curious, engaging, expressive, spontaneous movement (particularly

spontaneous orientation), at ease, calm, facial expressions, vocalizations

Affective: sense of well being, serenity, contours of feeling or felt-sense emotions

Meaning: felt-sense knowing, acceptance of ambiguity, functional reasoning

Regulates: orientation to stimulus, expression of affective tones, motion, and

communication

b. Elements of the Sympathetic Nervous System

Physiological: Increased; heart rate, blood pressure, respiratory rate, glucose

mobilization and muscle tone. Blood moves from viscera to periphery. Blood moves from
skin to the muscles. Vision narrows.

Sensation: Constriction, tension, anxiousness

Image: fixated, penetrating, sharp, intrusive memory

Behavioral: Fight-flight behavior, charged movement

Hyper-arousal symptoms; such as irritability, hyper-vigilance, increased
autonomic arousal, explosive, impulsive behaviors

Affective: Flight; apprehension, fear, panic, terror

Fight; irritability, aggression, anger, rage
 33

Meaning States: Decreased sense of future, black and white thinking,

Regulate: mobilization of the body and fight-flight behavior in response to assessment of

danger

c. Elements of Dorsal Vagal Complex

Physiological: decrease in heart rate, respiratory excursion, oxygen intake

Increased in catecholamine, endogenous opiates, oxytocin

Sensation: numb, empty, cold, euphoric,

Image: Unassociated, chaotic, random, hazy, Synesthesia,

Behavior: limited; movement, engagement with environment,

Immobility

Affect: flat, depressive, extreme terror, grief, loneliness

Meaning: dissociation

Regulates: respiratory and digestive processes and freeze-immobility response

to life threat
34

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