The purpose of this study is to examine how respiratory sinus arrhythmia (RSA) is affected across paced breathing, attention, inhibition, and emotion-eliciting tasks and how those relationships may be mediated by emotion regulation strategies in children with different levels of externalizing and internalizing behaviors between the ages of 8 and 12 years. The first aim was to determine whether externalizing and internalizing symptoms during a paced breathing or natural breathing task better predicted RSA levels. The hypothesis was that internalizing and externalizing behaviors would be more predictive of RSA baseline levels when utilizing a paced-breathing method of measuring RSA. The second aim was to determine how RSA levels across an attention, inhibition, sad, and anger task are predicted by internalizing and externalizing symptoms after controlling for baseline RSA levels. There were four hypotheses: (1) as levels of externalizing behaviors increase, levels of baseline RSA would decrease, (2) as levels of internalizing behaviors increase, levels of baseline RSA will decrease, (3) there will be significantly smaller changes in RSA reactivity) as the level of externalizing behaviors increases, and (4) as levels of internalizing symptoms increase, there will be significantly larger changes in RSA levels relative to RSA baseline levels (RSA reactivity).The results showed that externalizing and internalizing behaviors did not predict RSA levels during a paced or natural breathing task. Additionally, there was very little difference in the outcomes when used either a natural or paced breathing method of RSA as a control variable except when predicting RSA levels during a sad emotion-eliciting task. Although RSA levels during three experimental tasks (attention, inhibition, and sad) were not significant, there were moderate effect sizes for externalizing and/or internalizing symptoms predicting various RSA reactivity (i.e., RSA levels after controlling for baseline) across these conditions. One model was significant in predicting the level of variance of RSA reactivity during an anger emotion-eliciting task, with internalizing and hyperactivity/inattention symptoms contributing the most variation in the model. Findings point towards understanding how internalizing and externalizing symptoms may impact an individual's physiological response during a task.

This thesis examines the validity of polyvagal theory as a model of normal socio-emotional responding (Porges, 1995, 2001, 2003a). Polyvagal theory makes several claims, and to date many of its predictions lack empirical testing. In the current research, five main hypotheses stemming from polyvagal theory were identified and tested using healthy participants. The initial empirical study examined the influence of laboratory stressors on autonomic function. The findings revealed that social evaluative threat increases activation of the sympathetic nervous system more than a virtual reality maze, and that arousal remains elevated for longer during anticipation of social evaluative threat in comparison to recovery from social evaluative threat. The second study investigated the effects of emotion regulation strategies on autonomic function, and highlighted the effectiveness of two meditation practices in reducing defensive physiological arousal and increasing subjective positive emotion. These studies were followed with a set of studies designed to evaluate the effects of defensive physiological arousal on socio-emotional functioning, as a direct test of polyvagal theory. The first study examined the effects of a laboratory stressor on facial expressivity, revealing that social evaluative threat had little impact on expressive regulation. A second study investigated the effects of a laboratory stressor on emotional sensitivity and spontaneous facial mimicry. Some limited support was found for polyvagal theory, although neither emotional sensitivity nor facial mimicry was significantly affected by laboratory stress. A final empirical study investigated the effects of a laboratory stressor on affiliation tendencies. The laboratory stressor did not influence participants’ willingness to spend time with others, however the experiment did reveal significant relationships between markers of social safeness and affiliation. The overall conclusion of this thesis is that polyvagal may not be a representative model of socio-emotional functioning in healthy participants. The implications of these findings are discussed in relation to the validity of polyvagal theory as a universal model of socio-emotional responding.

Physiological state greatly influences one’s ability to emotionally regulate and connect to a partner in couple therapy. As individuals encounter real or perceived threats in relationships, they are likely to experience sympathetic nervous system (SNS) responses of fight, flight, or freeze, thereby inhibiting the ability to connect with a partner or therapist made possible by the parasympathetic nervous system (PNS). This study, guided by the Polyvagal theory, examines the influence of client sleep, daily stress, and exercise on physiological baseline prior to a couple therapy session. Participants included 23 married couples who attended couple therapy at the Brigham Young University (BYU) Comprehensive Clinic. We examined the influence of client number of awakenings, sleep fragmentation index (SFI), daily stress time, and daily exercise time on measures of physiological baseline which included Galvanic skin response (GSR), respiratory sinus arrhythmia (RSA) and pre-ejection period (PEP) of the left ventricle of the heart. Three multi-level models were conducted to analyze the influence of sleep, stress, and exercise on GSR, RSA, and PEP respectively. Results indicated that daily stress significantly predicts PEP baseline as a measure of SNS fight-or-flight activation. A discussion of potential limitations, recommendations for therapists, and suggestions for future research are included.

Listening is a fundamental and deceptively complicated component of talk therapy that has received very little specific research attention. The work of Carl Rogers and others promotes the importance of empathic listening to create safety and process client experiences, and several models identify its importance in processing and regulating client emotions (especially in couple therapy, where empathic listening can disrupt rigid conflict cycles and model coregulation skills). Much of the dysregulation and resistance we see in therapy may be related to a perceived lack of safety caused by persistent conflict or previous trauma, explained by the unconscious processes of the autonomic nervous system and polyvagal theory. Polyvagal research also supports the relationship between empathic listening and emotional safety: demonstration of genuine interest, care, acceptance, and validation are perceived as evidence of safety that encourage emotional connection. These behaviors are accessible to novice therapists who are still learning specific models and interventions. This study seeks to illustrate this relationship by conducting a task analysis on empathic listening behaviors by therapists in training in a therapy-as-usual environment. Observation of emotional inquiries in therapy leading to increased perceptions of safety demonstrate that empathic listening requires a sustained balancing of safety-promoting and exploratory behaviors. Therapist directiveness, possibly rooted in anxiety, was a common observation across segments where client safety was not achieved. Our observations also highlight the importance of therapist attunement, or neuroception, to determine whether to use safety-promoting behaviors or exploratory questioning. It is my hope that this research can lend illustration and clarity to the theoretical underpinnings of empathic listening to guide therapist interventions and training.

The activities of modern society create an unsustainable trajectory for life on planetearth. The issues related to that, as summed up in the sustainability challenge, are interdependentand complex, thus effective solutions must be systemic and involve diverse stakeholders.One proposed tool from the field of Strategic Sustainable Development (SSD) to operationalizeparticipatory multi-stakeholder engagement is the procedure ABCD. But a procedure is onlyone aspect, how it is used determines its success. Through exploring Polyvagal Theory andrelated approaches (PRA), this research suggests an approach to support ABCD practitionersin conducting good facilitation by incorporating a practical understanding of the human nervoussystem. To do so, 15 PRA- and six ABCD-facilitators were interviewed, an advisory boardworkshop with four experts was conducted, and a survey with 13 SSD practitioners gave feedbackon a first draft to iteratively produce a guidebook prototype for PRA-informed ABCDfacilitation. It consists of central PRA-informed concepts, 10 principles, five categories ofmethods, and specific amendments for the ABCD procedure. Almost all parts of the guidebookprototype saw high approval for usefulness and applicability. The results of this research suggestthat PRA-informed ABCD facilitation might support a transition towards sustainability,although its application depends on the context of the procedure.

Early childhood adversity, particularly poverty, can be a source of chronic stress that contributes to emotion dysregulation at the start of formal schooling. Children’s reactivity to novel challenges in the classroom is associated with externalizing behavior and subsequent difficulties developing academic and social emotional skills (Blair & Raver, 2015; Hackman, Farah & Meaney, 2010). Research grounded in the “science of feeling safe” (Porges, 2011) and attachment theory demonstrates that sensitive, empathic teachers can foster the development of emotion regulation in at-risk children, leading to more adaptive classroom behaviors (Pianta, Belsky, Vandergrift et al., 2008). This study was designed to help explain the associations between student-teacher relationship quality and externalizing behavior, self-regulation and executive function, and then examine if these associations are moderated by poverty. The results of a multilevel analysis highlight significant correlations both within and between classrooms for closeness/conflict and externalizing behavior and teacher-rated self-regulation. Classroom-level SES was observed to moderate the association of relationship closeness with externalizing behavior. In the discussion of these findings, the needs for more nuanced measures of student stress and teacher sensitivity are examined. Professional development opportunities are also presented for teachers to learn stress management techniques and to build social regulation skills. / Educational Psychology

O presente trabalho é uma avaliação do efeito da administração de ocitocina nasal sobre o perfil de ativação do sistema nervoso autônomo e níveis salivares de cortisol, buscando compreender a relação entre esses vetores dentro da perspectiva da teoria polivagal e da concepção da ocitocina como um peptídeo de ação pró-social. A hipótese testada foi se o sistema pró-social, mediado pela ocitocina, exerce um efeito de ativação no ramo parassimpático, diminuindo o nível salivar de cortisol, comprovando o efeito anti-stress dessa molécula, ao desligar o sistema de alarme, reação filogenética para a preparação fisiológica para a interação social (relaxamento e tranquilidade). Para tanto, utilizou-se do Trial Social Stress Test, cuja tarefa é falar em público, situação em que parâmetros autonômicos foram medidos em sujeitos humanos, assim como o nível de cortisol salivar avaliado, em dois grupos: um experimental (com administração de ocitocina) e um controle (com administração de placebo) e em dois momentos (pré e pós stress social), relacionando-os a dados de personalidade (teste Bateria Fatorial da Personalidade). Os achados foram indicativos que a ocitocina exerce um efeito inibitório notável sobre os níveis de cortisol, não encontrando dados conclusivos sobre o vinculo ou não da atividade parassimpática relacionada com a presença da ocitocina e baixo nível de cortisol, embora se tenha encontrado forte influência da presença da ocitocina na atividade cardíaca (mediada pelo sistema nervoso autônomo). O fator de personalidade se mostrou bastante relevante nos resultados de cortisol e efeitos de ocitocina, correlacionados com o índice de Neuroticismo e se encontrou indicativos de que outros fatores de personalidade podem também ser importantes / The present work is an evaluation of nasal administration effect of oxytocin over the activation profile of the autonomic nervous system and salivary levels of cortisol, seeking to understand the relationship between these vectors within the perspective of the polyvagal theory and the conception of oxytocin as a pro social peptide. The hypothesis tested was whether the pro-social system, mediated by oxytocin, exerted an activation effect over the parasympathetic branch, reducing the salivary level of cortisol, proving the anti-stress effect of this molecule, when the alarm system was turned off, phylogenetic reaction to the physiological preparation for social interaction (relaxation and tranquillity). For this purpose, the Trial Social Stress Test was used, whose task is to speak in public, in which its autonomic parameters were measured, as well as the level of salivary cortisol evaluated, in two groups: one experimental (with oxytocin administration) and one control (with placebo administration) and at two moments (pre and post social stress), relating these results with personality data (Personality Factor Battery test). The findings were indicative that oxytocin exerts a remarkable inhibitory effect on cortisol levels, and we did not find conclusive data about the relationship or not of the parasympathetic activity related to the presence of oxytocin and low cortisol level, although strong oxytocin influence was found over the cardiac activity (mediated by the autonomic nervous system). The personality factor was shown to be very relevant in the cortisol and oxytocin effects correlated with the Neuroticism Index and it was found that other personality factors may also be important

La théorie polyvagale (Porges, 2007) propose la flexibilité physiologique commecorrélat des compétences socio-émotionnelles. Cette flexibilité physiologique est en partie déterminée par les interactions coeur-cerveau mesurables par la variabilité cardiaque de haute fréquence (HF-HRV). Selon cette théorie, une plus haute HF-HRV devrait être associée à une meilleure perception des émotions et à des comportements davantage prosociaux. Si plusieurs données tendent à corroborer cette proposition, aucune étude ne permet de tester précisément ces hypothèses. Nous avons donc mené une série d’études ayant pour but de les tester. Dans une première étude, nous avons testé le lien entre HF-HRV et comportement prosocial mesuré par le niveau de coopération. Le niveau de HF-HRV prédisait le niveau de coopération mais dans un contexte spécifique. Notre deuxième étude avait pour but de tester le lien entre HF-HRV et perception des émotions. Ici, le niveau de HF-HRV ne prédisait pas de meilleures performances en reconnaissance d’émotions. Nous avons ensuite voulu tester un éventuel lien causal existant entre HF-HRV et prosocialité. Pour cela nous avons réalisé une expérience (étude 3) visant à manipuler la HF-HRV par biofeedback. Le biofeedback augmentait la HF-HRV mais uniquement chez les individus avec une faible ligne de base. L’étude 4 testait si manipuler la HF-HRV par biofeedback modulait le comportement de coopération. Nous n’avons pas répliqué nosrésultats quant à l’efficacité du biofeedback et n’avons donc pas observé d’effet sur la coopération. La cinquième et dernière étude permettait de tester si manipuler la prosocialité modulait le niveau de HF-HRV. Nous n’avons pas observé d’effet de notre manipulation expérimentale sur la HF-HRV. En conclusion, la prédiction de la théorie polyvagale est corroborée par les données empiriques quant au lien entre HF-HRV et comportements prosociaux mais aucune confirmation n’a pu étayer le rapport entre perception des émotions et HF-HRV. Dans le cas des manipulations expérimentales à court terme, aucune relation causale entre HF-HRV et comportements prosociaux n’a été observée. / The polyvagal theory (Porges, 2007) proposes physiological flexibility as thecorrelate of socio-emotional skills. This physiological flexibility is partially determined by heart-brain interactions measurable by heart rate variability of high frequency (HF-HRV). According to this theory, higher HF-HRV should be associated with better perception of emotions and more prosocial behaviors. If more and more data tend to support this proposal, no experiment allowed to accurately test these hypotheses. We therefore carried-out a set of studies in order to test them. In a first study, we tested the link between HF-HRV and prosocial behavior measured by the level of cooperation. HF-HRV level predicted the level of cooperation but in a specific context. Our second study was designed to test the link between HF-HRV and perception of emotions. Here, the HF-HRV level did not predict better performance in recognition ofemotions. We then wanted to test a possible causal link existing between HF-HRV and prosociality. For this we performed an experiment (Study 3) to manipulate HF-HRV by biofeedback. Biofeedback increased HF-HRV levels but only in low baseline individuals. Study 4 tested whether manipulating HF-HRV by biofeedback could modulate the behavior of cooperation. We did not replicate our findings about the effectiveness of biofeedback and therefore did not observe any effect on cooperation. The fifth and final study allowed to test whether manipulating prosociality modulated the level of HF-HRV. We did not observe any effect of our experimental manipulation on HF-HRV. In conclusion, the prediction made by the polyvagal theory about the link between HF-HRV and prosocial behaviors is corroborated by empirical data but data does not support the link between the perception of emotions and HF-HRV. Short-term experimental manipulations did not reveal any causal relationship between HF-HRV and prosocial behaviors.

O presente trabalho é uma avaliação do efeito da administração de ocitocina nasal sobre o perfil de ativação do sistema nervoso autônomo e níveis salivares de cortisol, buscando compreender a relação entre esses vetores dentro da perspectiva da teoria polivagal e da concepção da ocitocina como um peptídeo de ação pró-social. A hipótese testada foi se o sistema pró-social, mediado pela ocitocina, exerce um efeito de ativação no ramo parassimpático, diminuindo o nível salivar de cortisol, comprovando o efeito anti-stress dessa molécula, ao desligar o sistema de alarme, reação filogenética para a preparação fisiológica para a interação social (relaxamento e tranquilidade). Para tanto, utilizou-se do Trial Social Stress Test, cuja tarefa é falar em público, situação em que parâmetros autonômicos foram medidos em sujeitos humanos, assim como o nível de cortisol salivar avaliado, em dois grupos: um experimental (com administração de ocitocina) e um controle (com administração de placebo) e em dois momentos (pré e pós stress social), relacionando-os a dados de personalidade (teste Bateria Fatorial da Personalidade). Os achados foram indicativos que a ocitocina exerce um efeito inibitório notável sobre os níveis de cortisol, não encontrando dados conclusivos sobre o vinculo ou não da atividade parassimpática relacionada com a presença da ocitocina e baixo nível de cortisol, embora se tenha encontrado forte influência da presença da ocitocina na atividade cardíaca (mediada pelo sistema nervoso autônomo). O fator de personalidade se mostrou bastante relevante nos resultados de cortisol e efeitos de ocitocina, correlacionados com o índice de Neuroticismo e se encontrou indicativos de que outros fatores de personalidade podem também ser importantes / The present work is an evaluation of nasal administration effect of oxytocin over the activation profile of the autonomic nervous system and salivary levels of cortisol, seeking to understand the relationship between these vectors within the perspective of the polyvagal theory and the conception of oxytocin as a pro social peptide. The hypothesis tested was whether the pro-social system, mediated by oxytocin, exerted an activation effect over the parasympathetic branch, reducing the salivary level of cortisol, proving the anti-stress effect of this molecule, when the alarm system was turned off, phylogenetic reaction to the physiological preparation for social interaction (relaxation and tranquillity). For this purpose, the Trial Social Stress Test was used, whose task is to speak in public, in which its autonomic parameters were measured, as well as the level of salivary cortisol evaluated, in two groups: one experimental (with oxytocin administration) and one control (with placebo administration) and at two moments (pre and post social stress), relating these results with personality data (Personality Factor Battery test). The findings were indicative that oxytocin exerts a remarkable inhibitory effect on cortisol levels, and we did not find conclusive data about the relationship or not of the parasympathetic activity related to the presence of oxytocin and low cortisol level, although strong oxytocin influence was found over the cardiac activity (mediated by the autonomic nervous system). The personality factor was shown to be very relevant in the cortisol and oxytocin effects correlated with the Neuroticism Index and it was found that other personality factors may also be important