Toward An Interpersonal Neurobiology of The Developing Mind

ARTICLE
文章
TOWARD AN INTERPERSONAL NEUROBIOLOGY OF THE DEVELOPING MIND:

面向心智发展的人际神经生物学：
ATTACHMENT RELATIONSHIPS, “MINDSIGHT,” AND NEURAL INTEGRATION
依恋关系，“心灵视线”与神经整合
DANIEL J. SIEGEL
丹尼尔·J·西格尔 (DANIEL J. SIEGEL)
UCLA School of Medcine
加州大学洛杉矶分校医学院 (UCLA School of Medicine)
ABSTRACT: This article reviews findings from a wide range of scientific disciplines in exploring
the idea that the mind develops at the interface between human relationships and the unfolding
structure and function of the brain. Recent discoveries from a number of independent fields, including
those of developmental psychology and cognitive neuroscience, can be synthesized into an integrated
framework for understanding how the brain gives rise to mental processes and is directly shaped by
interpersonal experiences. This “interpersonal neurobiology” (Siegel, 1999) presents an integrated
view of how human development occurs within a social world in transaction with the functions of the
brain that give rise to the mind. This framework suggests some basic principles for conceptualizing
the essential experiential ingredients that may facilitate the development of the mind, emotional well-
being, and psychological resilience during early childhood and perhaps throughout the lifespan. At
the core of these processes is a fundamental mechanism of integration which can be seen at a variety
of levels, from the interpersonal to the neurological. Integration may be conceptualized as the basic
process that secure attachments facilitate in promoting psychological well-being. This article will
summarize these concepts and offer some ideas about their implications for practice and future
investigations.
摘要：本文回顾了广泛的多学科研究成果，探讨了心智 (mind) 发展介于人际关系和大脑展现
结构与功能之间的边界这一观点。一些独立领域的最新发现，包括发展心理学和认知神经科
学领域的发现，可以合成一个综合框架，用于理解大脑如何产生心理过程以及如何直接受到
人际经验的影响。这种“人际神经生物学”(Siegel, 1999) 提出了一个综合的观点，即人类发展
是如何在一个社会中发生的，与大脑的功能进行交易，从而产生心智。该框架提出了一些基
本原则，用于对可能有助于幼儿期乃至整个一生的心智发展、情绪健康和心理弹性的基本经
67
68 ● D.J.Siegel
验要素进行概念化。这些过程的核心是整合的基本机制，这可以在从人际关系到神经系统的
各个层面上看到。整合可以被概念化为安全依恋促进心理健康的基本过程。本文将总结这些
概念，并提出对实践和未来研究的一些启示。
***
________
Portions of this article were presented as a paper entitled “Toward a Biology of Compassion:
Relationships, the Brain, and the Development of Mindsight Across the Lifespan” for Pope John Paul
II and the Pontifical Council for the Family, delivered in Vatican City, December, 1999. Direct
correspondence to: Daniel J. Siegel, Center for Human Development, 11180 San Vicente Blvd. #809,
Los Angeles, CA 90049.
1999 年 12 月，教皇约翰·保罗二世 (John Paul II) 和教皇家庭委员会在梵蒂冈市发表了一篇题
为《走向同情的生物学：关系、大脑和心灵视线的毕生发展》的论文，本文的部分内容来自
该论文。直接通信地址：Daniel J. Siegel, Center for Human Development, 11180 San Vicente
Blvd. #809, Los Angeles, CA 90049.
INFANT MENTAL HEALTH JOURNAL, Vol. 22(1–2), 67–94 (2001)

© 2001 Michigan Association for Infant Mental Health
Interpersonal Neurobiology of the Developing Mind ● 69
心智发展的人际神经生物学
EXPERIENCE, MIND, AND BRAIN
经验、心智和大脑
The infant is born into the world genetically programmed to connect with caregivers who will become
“attachment figures” in the child’s life (Cassidy & Shaver, 1999). These attachments can be formed
to the mother, to the father, and to other individuals who are intimately involved in providing care
for the growing child. Attachment is considered a basic, in-born, biologically adaptive “motivational
system” that drives the infant to create a few, selective attachments in his life. These attachments
provide a relationship in which the infant will: (1) seek proximity to the attachment figure; (2) have
a sense of a safe haven— in which when he is upset the attachment figure will soothe his distress;
and (3) develop an “internal working model of a secure base”— an internal schema of the self with
the other, self-with-attachment-figure— that will provide him with a security enabling him to explore
the world, have a sense of well-being, and to soothe himself in times of distress in the future (Bowlby,
1969).
婴儿出生在一个由基因决定的并与看护人联系的世界里，看护人将成为孩子生命中的“依恋
对象”(attachment figures)(Cassidy & Shaver, 1999)。这些依恋可以形成于母亲、父亲和其
他密切参与照顾孩子成长的个人。依恋被认为是一种基本的、与生俱来的、生物适应性的
“动机系统”，它驱使婴儿在生活中创造一些选择性的依恋。婴儿将在这些依恋提供的关系中:
(1) 尽量靠近依恋对象；(2) 有一种避风港的感觉——当他心烦意乱时，依恋对象会抚慰他的
痛苦；(3) 发展一种“安全基础的内部工作模式”——自我与他人、自我与依恋对象的内部图式
——这种图式将为他提供一种安全感，使他能够探索世界，拥有幸福感，并在未来的痛苦时
期安抚自己 (Bowlby, 1969)。
Though the attachment system is “hard-wired” in the brain, the experiences that an infant has
will directly shape the organization of that system. Experience involves the activation of neurons in
the brain that respond to the sensory events from the external world— or to the internally generated
images created by the brain itself (such as our experience of recalling times from the past) (Gazzaniga,
1995; Kandel & Schwartz, 1992). Neurons are the basic cells of the brain. They are long cells that
contain a central nucleus and sending and receiving extensions that connect with other neurons. The
basic mechanism of neural function is this: the equivalent of a flow of electrical activity (called an
“action potential”) passes down the long “axon” or neural length to its end where it functionally
connects with other neurons at a “synapse.” The electrical impulse causes the release of a
neurotransmitter (a chemical) that flows across the small synaptic space to activate (or inhibit) the
receiving neuron. That receiving neuron, if activated by the release of enough neurotransmitter, sends
its electrical signal down its long length to release neurotransmitters at its own synaptic connections.
70 ● D.J.Siegel
The key issues are these: each neuron connects to an average of 10,000 other neurons! There are
about 100 billion neurons, with over 2 million miles in their collective length. In addition, there are
thought to be an incredible range of possible “on-off” firing patterns within this complex, spider web-
like net of neural connections— estimated to be about ten times ten one million times. The fact that
our brains can be organized in their functioning is quite an accomplishment!
虽然依恋系统在大脑中是“与生俱来”的，但婴儿的经历将直接塑造该系统的组织。经验
涉及大脑中神经元的激活，这些神经元对来自外部世界的感觉事件——或者对大脑自身产生
的内部生成的图像（例如我们从过去回忆时间的经验）作出反应 (Gazzaniga, 1995; Kandel &
Schwartz, 1992)。神经元是大脑的基本细胞。它们是长细胞，包含中央细胞核以及可与其他
神经元连接的延伸部分用于发送和接收信号。神经功能的基本机制是这样的：相当于电活动
（称为“动作电位”）沿着长的“轴突”或神经长度传递到它的末端，在那里它与其他神经元在
“突触”上进行功能连接。电脉冲引起释放神经递质（化学物质）穿过小突触空间，以激活
（或抑制）接收神经元。如果接收神经元被足够多的神经递质释放所激活，它会沿其长度方
向发送电信号，在自己的突触连接处释放神经递质。关键问题是：每个神经元平均连接 1 万
个其它神经元！共有 1000 亿个神经元，总长度超过 200 万英里。此外，在这个复杂的蜘蛛
网状神经连接网络中，有一系列令人难以置信的可能的“开关”激发模式——估计约为十倍到
一百万倍。事实上，我们的大脑在运作中是可以组织起来的，这是一项了不起的成就！
The processes of the mind are thought to emanate from the activity of the brain (Mesulam, 1998).
When particular circuits in the brain (interconnected neurons, groups of neurons, and clusters of
groups of neurons that form specific pathways and systems of the brain) are activated, various mental
processes are created. The brain creates a “neural map” or “neural net profile”— a specific pattern of
neural firing in particular regions— that serves to create a “mental image,” such as a sensory image,
or the linguistic representation of a concept or object. The term “representation” is sometimes used
to refer to a neural map or to a mental image that serves as a symbol for something. At this point in
the history of science, we do not yet know exactly how the brain “map” creates the mind “image”
(Damasio, 1999). Cognitive neuroscientists generally agree, however, that it is the pattern of firing in
the map— the particular clusters of neurons activated in a specific pattern— that, somehow, creates
the experience of mind.
心智的过程被认为是由大脑的活动产生的 (Mesulam, 1998)。当大脑中的特定回路（相互
连接的神经元、神经元群以及形成大脑特定路径和系统的神经元集群）被激活时，就会产生
各种心理过程。大脑产生“神经地图”或“神经网络模型”——特定区域中神经激发的特定模式
——用于创建“精神图像”(mental image)，如感官图像，或概念或对象的语言表示。“表征”一
词有时被用来指神经地图或作为某物符号的精神图像。目前在科学史上，我们还不确切知道
大脑“地图”是如何创造心智“图像”的 (Damasio, 1999)。然而，认知神经科学家普遍认为，正
是地图上的流动模式——以特定模式激活的特定神经元集群——以某种方式创造了心智体验。
The entity we call the mind can be understood in the simplest terms as patterns in the flow of
energy and information (Siegel, 1999). As we will see, energy and information can flow within one
brain, or between brains. In this manner, the ways in which energy and information flow within an
individual or between two individuals helps create the experience of mind. There is an exciting
convergence of findings from the neurosciences and from the developmental “behavioral” sciences
that allow us to see a unity of knowledge, or consilience (Wilson, 1998), on a deeper plane than each
individual field of study alone can portray. Though our scientific studies and our words may
emphasize a focus on either brain or mind, the reality appears to be that the processes of the mind
emanate from the structure and function of the brain. The brain itself is an integral part of the central
nervous system, which is fundamentally interwoven within the whole body. Thus, though we may
speak of the mind as emanating from the neurophysiological processes of the brain, this statement is
an abbreviated way of referring to the flow of energy and information within the brain as a
fundamental part of the functioning of the body as a whole. The patterns in the flow of energy and
information, the essence of the mind, are a product of both bodily (neurophysiological) processes and
interpersonal interactions.
我们称之为心智的实体可以用最简单的术语理解为能量和信息流动的模式 (Siegel, 1999)。
正如我们将看到的，能量和信息可以在一个大脑中流动，也可以在不同大脑之间流动。这样，
能量和信息在个体内部或两名个体之间流动的方式有助于创造心智体验。神经科学和发展
“行为”科学的研究成果有令人兴奋的融合趋势，使我们能够在比每个单独研究领域所能描绘
的更深层面上看到知识的统一或融通 (Wilson, 1998)。尽管我们的科学研究和语言可能强调
对大脑或心智的关注，但现实似乎是，心智过程源自大脑的结构和功能。大脑本身是中枢神
经系统的一个组成部分，该系统与整个身体紧密交织。因此，尽管我们可以说心智是由大脑
的神经生理过程产生的，但这种说法是对大脑中能量和信息流的简称，是整个身体功能的基
本组成部分。能量和信息流的模式是心智的本质，也是身体（神经生理学）过程和人际互动
的产物。
Another important general point is this: although we focus on particular regions and circuits of
the brain, the fact is that the brain is a complex set of integrated systems that tend to function together.
The mind is created from the whole brain. “Integration”— the ways in which functionally distinct
components come to be clustered into a functional whole— may be a fundamental way in which the
nervous system functions. As we will see, when certain suboptimal attachment experiences occur,
the mind of the child may not come to function as a well integrated system. We will explore the
72 ● D.J.Siegel
important interpersonal elements of communication that help to foster, or to hinder, the development
of such neural integration. In a text entitled The Developing Mind (Siegel, 1999), I have proposed
that integration is a core process essential for mental well-being within the individual and the family,
and perhaps fundamental for the healthy functioning of a nurturing community.
另一个重要的普遍观点是：尽管我们关注大脑的特定区域和回路，但事实是大脑是一组
复杂的集成系统，往往一起发挥作用。心智是由整个大脑创造出来的。“整合”——功能不同
的组件聚集成一个功能整体的方式——可能是神经系统发挥功能的基本方式。正如我们将会
看到的，当某些次优的依恋经历发生时，孩子的大脑可能不会像良好整合的系统一样运作。
我们将探索有助于促进或阻碍这种神经整合发展的重要人际沟通要素。在一篇题为《发展中
的心智》(Siegel, 1999) 的文章中，我提出整合是个人和家庭心理健康的核心过程，也可能是
培养社区健康运作的基础。
DO ATTACHMENT RELATIONSHIPS INFLUENCE BRAIN DEVELOPMENT?

依恋关系影响大脑发育？
我们现在知道，基因编码的信息和神经激活本身都可以导致基因的激活，从而产生形成大脑
结构所必需的蛋白质 (Kandel, 1998; Nelson & Bloom, 1997)。经验涉及神经元的激活。通过这
种方式，经验塑造了当下神经活动的功能，并可能在整个一生内塑造大脑不断变化的结构。
事实上，神经科学的最新研究成果表明，大脑在一生中保持可塑性，或者对环境的持续影响
保持开放 (Barbas, 1995; Benes, 1998)。这种可塑性可能不仅涉及创建神经元之间新突触的连
接，还涉及整个一生中新神经元的生长。在生命幼年之后，依恋类别变化的能力可能与大脑
持续增长的能力有关，这种能力是为了响应我们各个生活时期的经历。
We now know that both genetically encoded information and neural activation itself can result in the
activation of genes that leads to the creation of the proteins necessary to shape the structure of the
brain (Kandel, 1998; Nelson & Bloom, 1997). Experience involves the activation of neurons. In this
manner, experience shapes the function of neural activity in the moment, and can potentially shape
the continually changing structure of the brain throughout the lifespan. Recent findings from
neuroscience in fact suggest that the brain remains plastic, or open to continuing influences from the
environment, throughout life (Barbas, 1995; Benes, 1998). This plasticity may involve not only the
creation of new synaptic connections among neurons, but also the growth of new neurons across the
lifespan. The capacity for attachment classifications to change beyond the early years of life may be
related to this ability of the brain to continue to grow in response to experiences across our life times.
20 世纪 90 年代末，美国流行媒体内部爆发了一场公开辩论，内容是关于生命的早期，
或者说所有父母，对孩子的成长有多重要。媒体把注意力集中在少数几本书上，这些书低估
了早期经历——或任何养育经历——在帮助塑造儿童心智方面的影响 (Brewer, 1999; Harris,
1998)。总的来说，这些出版物做出这些断言，是通过否定依恋研究的主要贡献，即理解看
护人在儿童生活中（特别是在幼儿期）所起的重要作用。用于降低依恋重要性的论据包括遗
传学在确定依恋研究结果中的可能作用，以及如果依恋状态可以改变，那么这些研究没有证
明不可逆的“临界”期。基于这些理由，这些作者迅速予以驳斥，敦促读者考虑遗传学、同龄
人或晚年发展的重要作用。如下文所述以及在《发展中的心智》一书中所详细讨论的，依恋
研究人员实际上还没有开展重要的直接程序来阐明遗传学在决定依恋模式中的作用。鉴于这
些研究中的大多数父母都与其后代有遗传关系，明智的做法是谨慎推断因果归因，而不是从
当前研究中推导统计显著的相关性。然而，许多间接分析表明，依恋分类主要由关系经历决
定，而不是由基因遗传决定。
A public debate within the popular media erupted in the United States at the end of the 1990s
over how important the first years of life, or parents in general, are in children’s development. The
media has focused on a few books written to discount the impact of early experience— or any
parenting experience— in helping to shape children’s minds (Brewer, 1999; Harris, 1998). In general,
these publications make these claims by dismissing the major contribution of attachment research to
understanding the important part caregivers play in children’s lives, especially in the early years.
Arguments used to diminish the importance of attachment findings include the possible role of
genetics in determining the outcome of attachment studies and the finding that if attachment status
can change then these studies do not demonstrate a “critical” period that is irreversible. With a quick
dismissal on these grounds, these authors urge the reader to consider the important role of genetics,
peers, or later years of development. As discussed below and in detail in The Developing Mind,
attachment researchers have indeed not yet carried out the important direct procedures to clarify the
role of genetics in determining the attachment patterns. Given the fact that most parents in these
studies are genetically related to their offspring, it is wise to be cautious about inferring causal
attributions rather than statistically significant associations from present studies. A number of indirect
analyses, however, suggest that attachment classifications are determined primarily by relationship
experiences and not by genetic inheritance.
Several findings point to the experiential role of relationships, rather than that of genetic
information, in determining attachment status. In brief, these findings include the following: (1) the
child’s attachment classification is independently correlated to each parent and is related to that
parent’s Adult Attachment Interview (AAI) findings (discussed below). In other words, one child can
have two attachment patterns that are each specific to a given parent and correlate with a feature of
that parent; (2) the child’s temperament, thought to have a genetic underpinning, does not predict the
74 ● D.J.Siegel
child’s attachment pattern; (3) the individual factors in adults that have been found to have a high
degree of genetic influence, including intelligence, memory, and personality test scores such as those
of the MMPI, have not been found to correlate with the AAI findings. This finding, plus recent studies
that suggest that the AAI is a measure of the child’s attachment experiences, support an experiential
origin for the AAI findings; and (4) the AAI findings of a pregnant woman and her husband can
independently predict the child’s attachment pattern some 18 months later, suggesting that the AAI
is not a measure of the parent’s response to parenting that particular child.
几项研究结果表明，在决定依恋状态方面，是关系的经验作用，而不是遗传信息的作用。
简而言之，这些结果包括以下内容：(1) 儿童的依恋分类独立与每一位父母相关，并且与该
父母的《成人依恋访谈》(AAI) 结果有关（如下所述）。换句话说，一个孩子可以有两种依
恋模式，每种模式都特定于给定的父母，并与该父母的特征相关联；(2) 儿童气质（被认为
具有遗传基础）不能预测儿童的依恋模式；(3) 成年人中的个体因素（被发现具有高度遗传
影响），包括智力、记忆和人格测试（如 MMPI）分数，未发现与 AAI 评分相关。这一发现，
加上最近的研究表明 AAI 是孩子依恋经历的一个量度，支持了 AAI 结果的经验来源；(4) 大
约 18 个月后，一名孕妇及其丈夫的 AAI 结果可以独立预测孩子的依恋模式，这表明 AAI 并
不能衡量父母对抚养那个特定孩子的反应。
Attachment relationships are important in the unfolding of the emotional and social development
of the child during the early years of life. Development is an ongoing process, and so close,
emotionally involving relationships may continue to influence us throughout the lifespan. As we will
see, the importance of the first years may be that the brain structures that mediate social and emotional
functioning begin to develop during this time in a manner that appears to be dependent upon
interpersonal experience. Although at this point in attachment research there is little direct evidence
from neurobiological studies in humans of the impact of relationships on brain function, there is a
great deal of consilience (Wilson, 1998) across a number of fields, including those studying
attachment, child development, cognitive neuroscience, complex systems, developmental
psychopathology, neurology, and psycholinguistics. This convergence of findings from a range of
independent fields of research suggests a direction in which academicians may understand how the
findings in their own work may relate to those from other disciplines. For clinicians, educators, and
policymakers, this interdisciplinary view offers a broad perspective on how to understand the role of
science in understanding the profound importance of an interpersonal focus on the subjective
experience of developing children.
依恋关系对于儿童在生命早期的情感和社会发展非常重要。发展（发育）是一个持续的
过程，因此亲密、情感丰富的关系可能会在一生中持续影响我们。正如我们将会看到的，最
初几年的重要性可能在于，调节社会和情感功能的大脑结构在这期间开始以一种似乎依赖于
人际经验的方式发育。尽管目前在依恋研究中，很少有来自人类神经生物学研究的直接证据
表明关系对大脑功能的影响，但在许多领域都有大量的融通 (Wilson，1998)，包括研究依恋、
儿童发育、认知神经科学、复杂系统、发育性精神病理学、神经学和心理语言学的领域。来
自一系列独立研究领域成果的融合表明了一个方向，学者们可以沿着这个方向理解他们自己
工作中的成果与其他学科的成果之间的关系。对于临床医生、教育者和决策者来说，这种跨
学科的观点提供了一个广阔的视角，来认识科学在理解人际关系的重要性方面所起的作用，
这种人际关系的视角专注于儿童发育的主观经验。
The argument that we do not have “enough direct neuroscience” to state that attachment
relationships shape the developing brain evades the essential findings of cognitive neuroscience that
experience in general shapes neuronal function and brain architecture (Milner, Squire, & Kandel,
1998). Furthermore, the patterns of development of children with distinct attachment classifications
suggests that the minds of these individuals are functioning in quite distinct manners. For example,
the paucity of autobiographical recall in the avoidantly attached children and their parents with
Dismissing Adult Attachment findings support the notion that certain aspects of their minds are
functioning in a unique manner (Siegel, 1999). As cognitive neuroscience findings enable us to better
understand the neural processes involved in autobiographical recollection, we can begin to
hypothesize the mechanisms by which the avoidantly attached children and their parents with a
Dismissing state of mind with respect to attachment may have distinct neurobiological functions
subsuming these distinctions. Future research is necessary to confirm these proposals stemming from
this convergence of findings. This process of analysis is, in fact, the manner by which science
advances (Wilson, 1998). Those who help children develop should be aware of the nature of our
knowledge, the limitations, and practical implications of our current science, and the potential
directions for future investigations.
我们没有“足够直接的神经科学”来说明依恋关系塑造发育中的大脑，这一论点回避了认
知神经科学的基本观点，即经验通常塑造神经元功能和大脑结构 (Milner, Squire, & Kandel,
1998)。此外，具有不同依恋类别的儿童发育模式表明，这些个体的心智以完全不同的方式
运作。例如，在逃避型依恋的儿童和他们忽视型成人依恋 (Dismissing Adult Attachment) 的父
母中缺乏自传体回忆，这支持了他们心智的某些方面以一种独特方式运作的观点 (Siegel,
1999)。由于认知神经科学的发现使我们能够更好地理解自传体回忆中涉及的神经过程，我
们可以开始假设这种机制：逃避型依恋儿童及其忽视型依恋父母可能具有独特神经生物学功
能包含这些独特性。有必要展开未来的研究，以确定这些建议基于各项研究成果的融合。事
76 ● D.J.Siegel
实上，这种分析过程就是科学进步的方式 (Wilson, 1998)。那些帮助儿童发育的人应该意识

到我们知识的本质，我们当前科学的局限性和实际意义，以及未来研究的潜在方向。
There is a genetically driven overproduction of neurons prior to birth and of synapses during the
first three years of life. This finding is relevant for practitioners because it means that the brain appears
to have a built-in mechanism to create the neurobiological foundation of the developing mind. As
the child grows, this neural substrate will serve as the structure from which basic experiences will
“carve out” the neural connections governing basic processes such as perception and motor activity.
This early form of brain development, called by some neuroscientists an “experience-expectant”
process (Greenough & Black, 1992), functions by way of the genetically encoded synapse formation
that requires a minimal amount of “speciesexpectable” environmental stimulation, such as exposure
to light or sound. The “pruning” or selective elimination of the genetically produced excess in
connections shapes development. Disuse (“use-it-or-lose it”) or toxic conditions, such as with
excessive stress (as in child abuse), can lead to the elimination of existing synapses. The important
point is that some neurobiologists point out that circuits must be only minimally stimulated to
maintain the neurons and their interconnections.
出生前存在遗传驱动的神经元过度生产，出生后前三年存在突触过度生产。这一定义与
从业者相关，因为它意味着大脑似乎有一种内在机制来为发展中的心智创造神经生物学基础。
随着孩子的成长，这种神经基质将作为一种结构，基本经验将从这种结构中“雕刻”出控制基
本过程（如知觉和运动活动）的神经联系。这种大脑发育的早期形式，被一些神经科学家称
为“经验期待”(experience-expectant) 过程 (Greenough & Black，1992)，通过基因编码的突触形
成来发挥作用，这需要最少量的“物种可期待”(speciesexpectable) 环境刺激，例如暴露于光或
声音。“修剪”(pruning) 或有选择地消除遗传上产生的过度连接塑造了发育。废弃（“使用它
或失去它”）或有毒的条件，例如过度的压力（如虐待儿童），可以导致消除现有的突触。
重要的一点是，有些神经生物学家指出，回路必须只受到最低限度的刺激，以维持神经元及
其相互连接。
A contrasting process, sometimes called “experience-dependent” development, occurs by way
of the establishment of new neural connections induced by experience. Experience, therefore, can
alter brain structure by leading to either the maintenance and strengthening of existing synapses, or
by the experience-driven creation of new synaptic connections. Many authors do not even make this
distinction between experience-expectant and experience-dependent growth, focusing instead on the
basic mechanisms of neural development that shape synaptic formation and function. The end result
is similar for these experience-influenced processes: neural connections are maintained, strengthened
or created. The generally held belief in neural science is that the patterns of neuronal connections
determine the ways in which the brain functions and the mind is created. Because experiences with
others early in life are so important for human development, I have earlier stated that “Human
connections create the neural connections from which the mind emerges” (Siegel, 1999). It is in this
manner that interpersonal experiences directly shape the genetically driven unfolding of the human
brain.
有种对比的过程（有时被称为“经验依赖”的发育）是通过建立经验诱导的新神经连接而
发生的。因此，经验可以通过维持和加强现有突触，或者通过经验驱动创建新突触连接，来
改变大脑结构。许多作者甚至没有区分经验期待型和经验依赖型成长，而是专注于塑造突触
形成和功能的神经发育基本机制。这些受经验影响的过程的最终结果是相似的：神经连接得
以维持、加强或创造。神经科学中普遍持有的信念是，神经元连接的模式决定了大脑功能和
心智产生的方式。因为早年与他人的经历对人类发展如此重要，我早些时候说过，“人类的
联系创造了心智产生的神经联系”(Siegel, 1999)。正是通过这种方式，人际经验直接塑造了人
类大脑受基因驱动的发育。
These distinctions between “expectant” and “dependent” processes are in the midst of being
clarified by researchers. I point them out here for two reasons. One is that there is no need to bombard
infants or young children (or possibly anyone) with excessive sensory stimulation in hopes of
“building better brains.” This is an unfortunate misinterpretation of the neurobiological literature—
that somehow “more is better.” It just is not so. Parents and other caregivers can “relax” and stop
worrying about providing huge amounts of sensory bombardment for their children. This synaptic
overproduction during the early years of life has been proposed to allow for a likelihood that the brain
will develop properly within the “average” environment that will supply the necessary minimal
amount of sensory stimulation to maintain necessary portions of this genetically created and highly
dense synaptic circuitry. More importantly than excessive sensory stimulation in the early years of
development, however, are the patterns of interaction between child and caregiver. Attachment
research suggests that collaborative interpersonal interaction, not excessive sensory stimulation, can
be seen as the key to healthy development. Recent independent findings in neurobiology give us some
possible explanations for why this may be true, but these studies are not necessary for us to know
about these essential elements of development. Neurobiology can help us know how to pursue further
research questions to deepen our understanding of the developmental mechanisms underlying these
findings from attachment studies.
研究人员正在阐明“期待”和“依赖”过程之间的这些区别。我在这里指出它们有两个原因。
一个是，没有必要为了“建立更好的大脑”而用过度的感官刺激轰炸婴儿或幼儿（或任何人）。
这是对神经生物学文献的一个不幸的误解——即某种意义上的“越多越好”。事实并非如此。
78 ● D.J.Siegel
父母和其他看护人可以“放松”，不再操心为他们的孩子提供大量的感官轰炸。有人提出，生
命早期的这种突触过度产生，允许大脑在“一般”环境中正常发育的可能性，这种“一般”环境
将提供必要的最小感官刺激量，以维持这种遗传形成的高密度突触回路的必要部分。然而，
比发育早期过度的感官刺激更重要的是儿童和看护人之间的互动模式。依恋研究表明，合作
的人际互动，而不是过度的感官刺激，可以被视为健康发育的关键。神经生物学最近的独立
研究或许为我们解释了为什么这可能是真的，但这些研究对于我们了解这些发育的基本要素
不是必需的。神经生物学可以帮助我们了解如何进一步研究问题，以帮助我们加深理解依恋
研究中这些结果背后的发育机制。
Because of the ongoing creation of synapses in response to experience and the early excessive
growth of new synapses, which eventually become pruned to adult levels by the end of puberty, it is
clear that development may occur over a prolonged period of time. Whether development occurs from
the elimination of the excess in synapses, or in the creation of new ones based on experience,
interaction with the environment can provide children (and adults) with developmental impetus for
years to come. The recent findings from neuroscience that the adult brain remains “plastic”— or open
to changes in response to experience— throughout the lifespan in no way decreases the importance
of the first years of life in establishing patterns of neuronal growth that subsume very important
functions. Development is about the creation of specific circuits, not merely the overall amount of
synapses in the brain. The ways in which the circuits regulating emotional and social functioning
develop may be profoundly influenced by interpersonal experience beginning early in life. Recent
explorations of the convergence of neurobiological findings in experimental animals and in humans
with findings from attachment research, (as I summarize in The Developing Mind and also as
discussed in the work of Allan Schore noted in the references) have suggested, in fact, that patterns
of interpersonal communication may have a powerful effect on the how neural circuits grow and
develop within the brain in the early years.
由于对经验的反应不断产生突触，以及新突触的早期过度生长（最终在青春期结束时被
修剪至成人水平），很明显，发育可能会在一段较长的时间内发生。无论是通过消除突触中
的多余部分还是根据经验创建新的突触来实现发育，与环境的互动都可以在未来几年为儿童
（和成人）提供发育动力。神经科学的最新发现表明，成人大脑在整个一生内保持“可塑
性”——或对经验的反应保持开放——这丝毫没有降低生命最初几年在建立神经元生长模式
方面的重要性，这些模式包含了非常重要的功能。发育涉及创造特定的回路，而不仅仅是大
脑中突触的总量。调节情绪和社会功能的回路发育方式，可能会深受开始于生命幼年的人际
经验影响。最近对实验动物和人类的神经生物学研究成果汇聚了依恋研究中的成果表明（正
如我在《发展中的心智》中所总结的，以及艾伦·肖尔 Allan Schore 在参考文献中提及作品中
所讨论的），事实上，人际交流的模式可能对早年大脑中神经回路的生长和发育有很大的影
响。
There are circuits that are responsible for emotional and social functioning (not just perception
and motor action) that come “on-line” during the first years of life. While this period may not be the
“last chance” for ongoing development in these areas, it is a time when basic circuitry is being
established for the first time. Books that discount the importance of the early years, or of attachment
in general, fail to examine what we know about the development and the possible neurobiological
foundations of emotional and social processes. The orbitofrontal region, which is central for a number
of processes such as emotion regulation, empathy, and autobiographical memory, may have an
experience-influenced development that depends upon the nature of interpersonal communication
during the early years of life. Interactions with “older people,” with attachment figures, are essential
during this time to create the contingent, collaborative communication necessary for the proper
emotional and social development of the child. It is not a matter of overwhelming “enrichment” or
excessive sensory stimulation that is needed during this time, but one of attunement between adult
and child. This collaborative, attuned communication establishes patterns of interaction by which the
caregiver can regulate the child’s positive and negative emotional states. These emotion-regulating
interactions are required for the experientially influenced maturation of the infant’s developing
emotional and social brain.
有一些负责情感和社交功能（不仅是感知和运动动作）的回路在生命的幼年就已“上线”。
虽然这个时期可能不是这些领域持续发育的“最后机会”，但这是第一次建立基本回路。忽视
早年（或依恋）重要性的书籍，未能考察我们了解多少有关情感和社交过程的发育和可能的
神经生物学基础。眶额区是情绪调节、移情和自传体记忆等许多过程的中枢，其发育可能受
经验影响，这取决于生命早期人际交流的性质。在此期间，与具有依恋特征的“年长者”互动
至关重要，有助于创造儿童适当情感和社交发展所需的偶然性、协作性交流。这并非事关极
大“丰富”或过度感官刺激的问题（这段时期需要这种刺激），而是涉及成年人和儿童之间的
协调。这种协作、协调的交流建立了互动模式，通过这种模式，看护人可以调节孩子的积极
和消极情绪状态。这些情绪调节互动是婴儿发育中的情绪和社交大脑在经验影响下成熟所必
需的。
BRAIN DEVELOPMENT AND MEMORY

大脑发育与记忆
During the early years of life, the basic circuits of the brain are developing which will be primarily
responsible for a number of important mental processes involving emotion, memory, behavior, and
80 ● D.J.Siegel
interpersonal relationships (Schore, 1994, 1996, 1997). These processes include the generation and
regulation of emotion, the capacity for “response flexibility” or mindful, reflective behavior (Siegel,
1999), the autobiographical sense of self and the construction of a “self-narrative,” the capacity to
understand and care about the minds of others, and the ability to engage in interpersonal
communication. Independent studies in attachment suggest that patterns of interaction between
caregiver and child have an important impact on the development of these mental processes (Cassidy
& Shaver, 1999; Toth, Cicchetti, Macfie, & Emde, 1997).
在生命的幼年，大脑的基本回路正在发育，主要负责一些重要的精神过程，包括情绪、记忆、
行为和人际关系 (Schore, 1994, 1996, 1997)。这些过程包括情绪的产生和调节、“反应灵活”
的能力或觉察力、反思行为 (Siegel, 1999)、自传体自我意识和“自我叙事”的构建、理解和关
心他人想法的能力，以及参与人际交流的能力。依恋方面的独立研究表明，看护人和儿童之
间的互动模式对这些心理过程的发展有重要影响 (Cassidy & Shaver, 1999; Toth, Cicchetti,
Macfie, & Emde, 1997)。
Development shapes the brain by altering the strength of the synaptic connections within the
brain. These alterations can take a number of forms: (1) synapses formed from primarily genetically
encoded information can be strengthened, weakened, or eliminated (pruned); (2) new synapses can
be formed in response to experience; (3) temporary increases in the linkages among neurons can
occur in the case of short-term or working memory; (4) the laying down of myelin (a sheath around
more mature neuronal fibers) functionally enhances the neural connectivity by increasing the speed
of conduction of the electrical “action potential” down the axon length; and (5) regardless of the
origin of the synapse, genetic information, toxic substances, and stressful or absent experiences can
lead to the elimination of synapses.
发育通过改变大脑内突触连接的强度来塑造大脑。这些改变可以采取多种形式：(1) 主
要由遗传编码信息形成的突触可以被加强、削弱或消除（修剪）；(2) 新的突触可以根据经
验形成；(3) 在短时记忆或工作记忆的情况下，神经元之间的联系会暂时增加；(4) 髓鞘（在
更成熟神经元纤维周围的鞘）的铺设通过沿轴突长度增加“动作电位”的传导速度，而在功能
上增强神经连接性；和 (5) 无论突触的起源如何，遗传信息、有毒物质和紧张或缺失的经历
都可导致突触的消除。
Memory is the way in which past experience is encoded in the brain and shapes present and
future functioning (McClelland, 1998; Milner, Squire, & Kandel, 1998). The processes of memory
and those of development in fact are closely aligned. For the first year of life, the infant has available
an “implicit” form of memory that includes emotional, behavioral, perceptual, and perhaps bodily
(somatosensory) forms of memory. Implicit memory also includes the generalizations of repeated
experiences, called “mental models” or schema (Johnson-Laird, 1983). The way that the brain readies
itself for retrieval of certain memories in response to specific cues is also a part of implicit memory
and is called “priming” (Schacter & Buckner,1998). When implicit memories are activated, they do
not have an internal sensation that something is being recalled. They merely influence our emotions,
behaviors, or perceptions directly, in the here and now, without our awareness of their connection to
some experience from the past.
记忆是过去的经验在大脑中编码并塑造现在和未来功能的方式 (McClelland, 1998; Milner,
Squire, & Kandel, 1998)。事实上，记忆和发育的过程是紧密联系在一起的。婴儿出生后第一
年就具有“内隐”记忆形式，包括情绪、行为、知觉以及可能的身体（躯体感觉）记忆形式。
内隐记忆还包括对重复经历的概括，称为“心理模型”或图式 (Johnson-Laird, 1983)。大脑为检
索某些记忆做好准备以响应特定线索，这种方式也是内隐记忆的一部分，被称为 “ 启
动”(Schacter & Buckner,1998)。当内隐记忆被激活时，没有某事被回忆起来的内在感觉。它
们只是在此时此地直接影响我们的情绪、行为或感知，而我们并没有意识到它们与过去经历
的联系。
By the middle of the second year, children begin to develop a second form of memory, “explicit”
memory (Bauer, 1996). Explicit memory includes two major forms: factual (semantic) and
autobiographical (“episodic”) (Tulving, Kapur, Craik, Moscovitch, & Houle, 1994). For both types
of explicit memory, recollection is associated with an internal sensation of “I am recalling something
now.” For the later developing autobiographical memory, there is also a sense of the self at a time in
the past.
到第二年中期，儿童开始发展第二种形式的记忆，即“外显”记忆 (Bauer, 1996)。外显记
忆包括两种主要形式：事实记忆（语义记忆）和自传记忆（“情节记忆”）(Tulving, Kapur,
Craik, Moscovitch, & Houle, 1994)。对于这两种类型的外显记忆，回忆与一种“我现在正在回
忆某件事”的内在感觉有关。对于后来发展起来的自传体记忆，也有一种过去某时刻的自我
意识。
As we can see, infants will only have implicit forms of recollection available to them. In this
manner, the shaping of their minds in the earliest months of life will never be explicitly available to
them as they grow. This is the normal, universal finding of “childhood amnesia” and is thought to be
due to the genetically determined timing of the unfolding of brain structures needed for explicit
memory (Nelson & Carver, 1998). In particular, the maturation of the hippocampus in the medial
temporal lobe does not occur until after the first birthday, and is thought to be essential for explicit
encoding (Bremner & Narayan, 1998). Later on, the front part of the frontal regions of the neocortex
82 ● D.J.Siegel
(the upper part of the brain)— an area called the prefrontal cortex— will mature enough to allow for
the beginning of autobiographical recall.
正如我们所看到的，婴儿将只有内隐形式的回忆可供他们使用。因此，随着他们长大，
他们在生命最初几个月的心智塑造将永远不会显性地展现给他们。这是“儿童健忘症”的正常、
普遍特征，也被认为是由于遗传决定（显性记忆所需大脑结构发育）的时机造成的 (Nelson
& Carver, 1998)。特别是，颞叶内侧海马的成熟直到一周岁后才发生，并且被认为是明确编
码的必要条件 (Bremner & Narayan, 1998)。随后，新皮层额叶区的前部（大脑的上部——称
做前额叶皮层的区域）将成熟到足以开始自传体回忆。
One of the important messages of these findings is that although we may never recall “explicitly”
what happened to us as infants, the experiences we had with our caregivers have a powerful and
lasting impact on our implicit processes. These experiences, as we have seen, involve our emotions,
our behaviors, our perceptions, and our mental models of the world of others and of ourselves.
Implicit memories encode our earliest forms of learning about the world. Implicit memories directly
shape our here-and-now experiences without clues to their origins from past events. Attachment
research, combined with the independent findings from our modern studies of genetics and
developmental neurobiology, suggests that specific kinds of communication within emotionally
connected relationships appear to offer the most important experiential world in which the child’s
mind can develop. This perhaps is best seen in ways of understanding the development of the self.
这些发现的重要信息之一是，尽管我们可能永远不会“明确”回忆起我们婴儿期发生的事
情，但我们与看护人的经历对我们的内隐过程有着强大而持久的影响。正如我们所看到的，
这些经历涉及我们的情感、行为、感知，以及我们对他人和自己世界的心理模型。内隐记忆
编码了我们最初学习世界的形式。内隐记忆直接塑造我们此时此地的经历，而没有线索表明
它们来自过去的事件。依恋研究，结合我们现代遗传学和发育神经生物学的独立研究成果，
表明情感连接关系中特定交流类型似乎提供了儿童心智发展最重要的经验世界。这也许是理
解自我发展的最好方式。
THE DEVELOPMENT OF “SELF” AND HUMAN RELATIONSHIPS

“自我”和人际关系的发展
When we think about psychological development, about the developing mind, it is helpful to think
about what the “psyche” actually is. There is an entity called the psyche or the mind that is as real as
the brain, the heart, or the lungs, although it cannot be seen directly with or without the aid of
microscopes or other tools of modern technology. One definition of the psyche is: “1. the human soul;
2. the intellect; 3. psychiatry— the mind considered as a subjectively perceived, functional entity,
based ultimately upon physical processes but with complex processes of its own: it governs the total
organism and its interaction with the environment” (Webster’s, 1996). Within this definition, we can
see the central importance of understanding the psyche, the soul, the intellect, and the mind in
understanding human development.
当我们思考心理发展，思考发展中的心智时，思考一下“心灵”(psyche) 到底是什么，会大有
裨益。有一种称为心灵或心智的实体，它与大脑、心脏或肺一样真实，尽管无论有无显微镜
或其他现代技术工具的帮助下，都无法直接看到它。心灵的一个定义是："1. 人类的灵魂；2.
智力；3. 精神病学——心智被认为是主观感知的、功能性的实体，最终以物理过程为基础，
但有其自身的复杂过程：它支配着整个有机体及其与环境的相互作用”(Webster's, 1996)。在
这一定义中，我们可以看到理解心灵、灵魂、智力和心智对于理解人类发展是至关重要的。
A number of authors have offered various views of how the sense of self can be understood. The
psychiatrist and infant researcher Daniel Stern, for example, has examined the ways in which the self
develops from within interpersonal relationships during the first few years of life (Stern, 1985).
Antonio Damasio, a neurologist, has examined the neurological structures that subsume the
manifestations of various aspects of consciousness at the root of three very different forms of self
(Damasio, 1999). In my own work (Siegel, 1999), I have examined an “interpersonal neurobiology”
of the sense of self as it emerges from the various layers of neural integration and forms of memory.
Because the conceptualization of self is so fundamental to the notion of development, I will explore
these and other perspectives in depth, and offer a new view of the connection of the sense of self to
the mental/neural representation of self with-other at the root of neural integration and developmental
processes.
许多作者就如何理解自我意识提出了各种观点。例如，精神病学家和婴儿研究人员丹尼
尔·斯特恩 (Daniel Stern) 考察了生命幼年在人际关系中自我发展的方式 (Stern, 1985)。神经学
家安东尼奥·达马西奥 (Antonio Damasio) 检查了一些神经结构，包含意识在三种截然不同自
我形态根源处的各方面表现 (Damasio, 1999)。在我自己的著作 (Siegel, 1999) 中，我检查了自
我感觉的“人际神经生物学”，因为它出现在神经整合和记忆形式的各个层面。因为自我的概
念化是发展观点的根本所在，我将深入探究各种观点，并提供一个新的视角，即从神经整合
和发展过程的根源，看待自我意识与自他精神/神经表征之间的联系。
Stern (1985) has suggested that the self develops within stages during the first years of life. Each
domain of self experience begins at a certain age but then continues to play an important role
throughout the lifespan. From birth to two months, the infant’s “emerging self” begins in which the
body takes in sensory data and the infant has the sense of emerging organization of the world as
directly experienced. From two/three months to seven to nine months, the infant has the onset of a
84 ● D.J.Siegel
sense of a “core self,” one in which the infant’s sense of agency (the center of will), coherence
(sensations of the body), affectivity (emotionality), and continuity (the sense of self across time in
the form of memory) are all central features. From nine months to around 18 months, the “subjective
self” emerges in which there is a sense of self and self-with-other that involves the shared attention,
intention, and emotion between caregiver and child. By the second birthday, the “verbal self” has
begun in which words begin to be shared between self and other. Beyond this period, a “narrative
self” emerges in which autobiographical narratives play a major role in defining the self (Wolf, 1990).
斯特恩 (Stern, 1985) 认为，自我在生命幼年里分阶段发展。自我体验的每个领域都从某
个年龄开始，但在整个一生中都持续发挥重要作用。从出生到两个月，婴儿的“浮现自我”开
始于身体接受感官数据，婴儿直接体验到世界开始组织起来的感觉。从 2/3 个月到 7 至 9 个
月，婴儿开始产生“核心自我”感，其中婴儿的自主感（意志的中心）、连贯性（身体的感
觉）、情感性（情绪性）和连续性（记忆形式的跨时间自我感）都是核心特征。从 9 个月到
18 个月左右，出现了“主观自我”，其中有一种自我感和自他感，涉及看护人和儿童之间分享
的关注、意图和情感。到两周岁时，“言语自我”就开始了，话语开始在自我和他人之间分享。
在这一时期之后，“叙事自我”出现了，其中，自传体叙事在塑造自我中扮演了重要角色
(Wolf, 1990)。
Damasio (1999) has suggested that various neurological studies (of normal and diseased brains)
can be examined to reveal three forms of “self” and two forms of consciousness. Within deep
structures in the brain that represent sensory information from the outside world (perceptions) and
from the body (via the “somatosensory system”) is created a “proto-self.” This can be seen as a direct
experience of the brain with the outer and bodily worlds. These representational processes can be
called “first-order” neural maps. Within higher circuits in the brain are the neural processes that create
a “second-order” map of the proto-self as it is changed by its interaction with the world/body. In other
words, these higher brain regions are able to have a neural map of the proto-self before interaction
and then a proto-self just following interaction with the world/body. This second-order map is in
essence a neural symbol of change: it compares the proto-self before and after the interaction. This
process of change defines the “core self.” The ability of the brain to focus attention on the “object”
that produced the change in the proto-self that created the core self— whether it is something in the
world (a physical object), something in the body proper, or an image in the mind itself— creates the
heightened sense of awareness Damasio calls “core consciousness.” Core consciousness is a “here-
and now” experience of focused attention that is fundamentally a measure of how the proto-self is
changed by interaction with an “object” in the internal or external world.
达马西奥 (1999) 提出，可以检查各种神经学研究（对正常和患病大脑的研究），以揭示
三种形式的“自我”和两种形式的意识。在表征来自外界（感知）和来自身体（通过“躯体感
觉系统”）感觉信息的大脑深层结构中，创造了一个“原型自我”(proto-self)。这可以被视为大
脑对外界和身体世界的直接体验。这些表征过程可以称为“一阶”神经图。在大脑的高级回路
中有神经过程，当原型自我因与世界/身体互动而改变时，这些神经过程创建了原型自我的
“二阶”神经图。换句话说，这些较高的大脑区域能够在与世界/身体互动之前拥有原型自我
的神经地图，然后在与世界/身体互动之后拥有原型自我。这个二阶图本质上是变化的神经
符号：它比较了互动前后的原型自我。这一变化过程定义了“核心自我”。大脑将注意力集中
在“客体”(object) 上的能力产生了原型自我的变化，而原型自我创造了核心自我——无论它
是世界上的某个东西（物理客体）、身体本身的某个东西，还是心智本身的某个图像——这
种能力创造了达玛西欧所说的“核心意识”的高度觉知感。核心意识是一种集中注意力的“此
时此地”体验，从根本上来说，这是一种衡量如何通过与内部或外部世界中的“客体”互动而
改变原型自我的方法。
Damasio goes on to point out that a third, “higher” grouping of neural structures is essential for
what he has called, “extended consciousness.” Extended consciousness can be thought to involve
“third-order” neural maps— neural representations of the changes in the core self over time. (These
are maps of the changes in the changes of the self in interaction with objects). Such a process allows
for the brain to create an “autobiographical self” that records the history of the individual, compares
it to present experience, and prepares for the future.
达玛西欧继续指出，神经结构的第三个“更高”分组对于他所称的“扩展意识”(extended
consciousness) 是必不可少的。扩展意识可以被认为涉及“三阶”神经地图——核心自我随时间
变化的神经表征。（这些是自我与客体相互作用的变化图）。这样的过程允许大脑创造一个
“自传体自我”，记录个人的历史，将其与现在的经历进行比较，并为未来做准备。
Other scientists have also discussed various conceptualizations of consciousness and the neural
structures that subsume their function. For example, Gerald Edelman (1992) has described a primary
form of consciousness that is in the “prison of the present” and a “higher form” of consciousness that
depends upon language for its functioning in order to liberate the self from that “prison” in creating
a sense of past and future. Ernst Tulving and colleagues (Tulving et al 1994; Wheeler, Stuss, &
Tulving, 1997) have described a form of “autonoetic consciousness” that permits the self to create
the experience of “mental time travel” that links past, present, and future. Within this framework
there is also a sense of a “noetic consciousness,” a knowing of facts without a sense of self. In many
of these frameworks, consciousness is described as involving at least two distinct processes that
include a “here-and-now” form of awareness that is distinct from a “past-present-future” integrating
process of consciousness.
86 ● D.J.Siegel
其他科学家也讨论了意识的各种概念化，以及包含其功能的各种神经结构。例如，杰拉
尔德·埃德尔曼 (Gerald Edelman, 1992) 描述了“现在的监狱”中一种主要意识形式，和一种依
赖语言发挥作用的“更高形式”意识，以便在创造过去和未来的感觉时从这个“监狱”中解放自
我。Ernst Tulving 及其同事 (Tulving et al 1994; Wheeler, Stuss, & Tulving, 1997) 描述了一种“自
主意识”的形式，它允许自我创造连接过去、现在和未来的“精神时间旅行”体验。在这个框
架内，还有一种“智性意识”(noetic consciousness) 的感觉，即对事实认知而没有自我感。在许
多此类框架中，意识被描述为涉及至少两个不同的过程，包括“此时此地”的觉知形式，区别
于“过去-现在-未来”的意识整合过程。
One can draw on a number of these perspectives in examining how interpersonal experiences
may shape the higher, extended, autonoetic forms of consciousness. The neural substrate that allows
for the sense of self that “emerges” early in life, the foundations for the emerging or proto-self, is
likely to be determined in large part by genetic and constitutional features. In neurologically normal
individuals there is likely a fairly similar basic mechanism involved in the creation of an emerging
proto-self experience. This sense of self is rooted in the direct experience of the brain as it interacts
with its environment: the external world, the body proper, and the mind itself (the neural flow of
energy and information within the brain). Neurologically impaired individuals may differ
significantly in the manner in which this emerging proto-self is organized and thus how the
subsequent and more elaborated senses of self (core, subjective, verbal, narrative or the core and
autobiographical selves) come to be formed.
在研究人际经验如何塑造更高、更广、更自主的意识形式时，我们可以借鉴其中的一些
视角。允许在生命早期“浮现”(emerge) 自我感觉的神经基质，是浮现或原型自我的基础，很
可能在很大程度上由遗传和体质特征决定。在神经正常的个体中，可能有很相似的基本机制
参与了创造浮现的原型自我体验。这种自我意识根植于大脑与环境互动时的直接体验：外部
世界、身体本身和心智本身（大脑中能量和信息的神经流动）。神经受损的个体可能在这种
浮现原型自我的组织方式上有显著不同，从而在随后更精细的自我感觉（核心自我、主观自
我、言语自我、叙事自我或核心自传自我）如何形成方面明显不同。
Many of these views converge upon the notion, paralleled by studies of implicit memory, that
the brain creates a “here-and-now” experience of self. This core ability of “living in the moment”
may also have a large degree of genetically determined neural structure to it. However, as Damasio
points out, one view of this core self is that it is the neural mapping of the individual’s changing in
response to interaction with an “object” in the external or internal world. In this manner, the core self
may indeed be subject to huge degrees of impact by the environment. For example, if the environment
is one of trauma and stress, the core self will be impacted to a great degree. The sense of agency,
coherence, affectivity, and even continuity (memory) of the self in interaction with others will be
severely impaired in cases, for example, of familial child abuse (Siegel, 1995, 1996). For these
reasons, the deepest sense of self awareness, of core consciousness, may be profoundly influenced by
early experiences in infancy even before explicit, autobiographical memory is available.
许多此类观点都汇聚于这种概念，即大脑创造了一种“此时此地”的自我体验，这与内隐
记忆的研究是并行的。这种 "活在当下 "的核心能力，可能也有很大程度上是由基因决定的
神经结构。然而，正如达马西奥指出的那样，对这个核心自我的一种观点是，它是个体
在与外部或内部世界中的 "对象 "互动时发生变化的神经映射。。以这种方式，核心自我
确实可能会受到环境的巨大影响。例如，当环境带来创伤和压力，则核心自我会受到很大程
度的冲击。例如在家庭虐待儿童的情况下，自我在与他人交往中的自主性、连贯性、情感性
甚至连续性（记忆）都会受到严重损害 (Siegel, 1995, 1996)。由于这些原因，最深刻的自我
觉知，即核心意识，在可获得显性的自传体记忆之前，可能会受到婴儿期早期经历的深刻影
响。
This neurological view of the creation of a core self experience may also help us to understand
the profound importance of collaborative, contingent communication in the development of the infant,
and perhaps normal functioning throughout the lifespan. Secure attachments are created within such
a mutually resonant form of interpersonal communication. We can propose that the alignment of
states of mind inherent in contingent communication enables the core self of each member of an
interacting dyad to have a sense of “fullness”: as the protoself is changed in response to interaction
with another, the contingency of the transaction within collaborative relationships enables the ever
evolving core self to have a sense of coherence. Such coherence is defined by the fundamental manner
in which the responses of the “other,” of the “object” in the world, are directly contingent to the
signals given off by the pre-change proto-self. The subsequent collaborative changes in the proto-self
create a core self-experience that is coherent and inherently defined as connected to another person.
In this fundamental neural manner, interpersonal connections can be seen to create the self. When
these interpersonal connections are contingent, the self becomes integrated and coherent.
这种关于创造核心自我体验的神经学观点，也可能帮助我们理解协作性、应然性交流在
婴儿发育过程中的深刻重要性，或许还能帮助我们理解婴儿一生中的正常功能。
安全依恋是在这种相互共鸣形式的人际交流中产生的。我们可以提出，偶然交流中固有的心
智状态一致性使互动二元体中每个成员的核心自我都有种“充实”感：当原型自我因与他人互
动而改变时，合作关系中交易的偶然性使不断进化的核心自我有种连贯感。这种连贯性是由
世界上“客体”或“他者”反应的基本方式来定义的，直接取决于变化前原型自我发出的信号。
88 ● D.J.Siegel
原型自我中随后的合作变化创造了连贯的核心自我体验，并被内在地定义为与他人相连。以
这种基本的神经方式，人际连接可以被视为创造自我。当这些人际连接是偶然的，自我变得
完整和连贯。
One aspect of the self is that of autonoesis, or “self-knowledge,” as revealed in autobiographical
narratives. Attachment research has established that one of the most powerful predictors of an infant’s
attachment to the parent is the parent’s autobiographical narrative coherence (Hesse, 1999). Narrative
coherence can be examined by determining the free and flexible flow of information as individuals
tell the story of their lives, beginning with the memories they recall of their earliest experiences. The
research instrument utilized to assess this coherence is the Adult Attachment Interview (see Hesse,
1999; Main, 1995). The Interview is a narrative review by the parent of her recollections of her earliest
relationship experiences with her own parents. One can view such autobiographical accounts as
revealing the capacity of the mind to achieve a certain amount of integration of functioning. Such a
process can be called “coherent autonoesis.” This integration appears to allow the individual to have
an internal sense of connection to the past, to live fully and mindfully in the present, and to prepare
for the future as informed by the past and the present. In this manner, coherent autonoesis allows for
the fluid flow of past, present, and future. Such fluid and flexible reflections on the past, present, and
future are the hallmark of coherent autobiographical narratives.
自我的一个方面是自省意识 (autonoesis)，或“自知”，这体现在自传叙事中。依恋研究已
经证实，婴儿对父母依恋的最强有力预测因素之一是父母自传体叙事的连贯性 (Hesse, 1999)。
叙事连贯性可以通过确定个人讲述生活故事时信息的自由灵活流动来检验，从他们回忆最早
经历的记忆开始。用来评估这种一致性的研究工具是《成人依恋访谈》(Adult Attachment
Interview)(见 Hesse, 1999；Main, 1995 年)。《访谈》是父母对她与自己父母最早关系经历的
叙述性回顾。人们可以将这种自传体叙述视为揭示了心智实现某种功能整合的能力。这种过
程可以被称为“连贯的自省意识”。这种整合似乎让个人对过去有一种内在的联系感，充分而
有觉察地活在当下，并根据过去和现在的启示为未来做好准备。以这种方式，连贯的自省意
识允许过去、现在和未来的自由流动。这种对过去、现在和未来的流畅和灵活的反思是连贯
的自传体叙事的标志。
But why should such a coherent self-reflective process of the parent be associated with the child’s
security of attachment? This question has been one of the essential issues in attachment research that
I have tried to address in The Developing Mind (Siegel, 1999). In the next section, I will offer some
possible links between the internal processes of autonoesis and the interpersonal connections of
parent– child relationships.
但是，为什么父母这种连贯的自我反思过程应该与孩子的安全型依恋联系在一起呢？这
个问题一直是我在《发展中的大脑》(Siegel, 1999) 中试图解决的依恋研究基本问题之一。在
下一节，我将提供一些在自省意识内部过程和亲子关系人际连接之间的可能联系。
ATTACHMENT AND THE DEVELOPING MIND

依恋与心智发展
Longitudinal attachment studies have found that securely attached children appear to have a number
of positive outcomes in their development (Cassidy & Shaver, 1999). These include enhanced
emotional flexibility, social functioning, and cognitive abilities. Some studies suggest that security of
attachment conveys a form of resilience in the face of future adversity. In contrast, a number of studies
suggest that the various forms of insecurity of attachment can be associated with emotional rigidity,
difficulty in social relationships, impairments in attention, difficulty in understanding the minds of
others, and risk in the face of stressful situations. Suboptimal attachment experiences may predispose
a child to psychological vulnerability in part by altering the brain’s neuroendocrine response to stress
(Liu et al., 1997; Rosenblum, Coplan, Freidman, Basoff, Gorman, & Andrews, 1994).
纵向依恋研究发现，牢固依恋的儿童在他们的发育中似乎有许多积极的结果 (Cassidy &
Shaver, 1999)。这些包括增强的情绪灵活性、社交功能和认知能力。一些研究表明，安全型
依恋传达了面对未来逆境的一种韧性。相比之下，许多研究表明，各种形式的不安全依恋可
能与情感僵化、社交关系困难、注意力缺陷、理解他人想法困难、以及面临压力时的风险有
关。次优依恋经历可能部分地通过改变大脑对压力的神经内分泌反应，而使儿童易受心理脆
弱性的影响 (Liu et al., 1997; Rosenblum, Coplan, Freidman, Basoff, Gorman, & Andrews, 1994)。
One form of insecurity of attachment, called “disorganized/disoriented,” has been associated
with marked impairments in the emotional, social, and cognitive domains. Individuals with this form
of attachment have also been demonstrated to have a predisposition toward the clinical condition of
dissociation in which the capacity to function in an organized, coherent manner is at times impaired
(Carlson, 1998; Liotti, 1992; Main & Morgan, 1996; Ogawa, Sroufe, Weinfeld, Carlson, & Egeland,
1997). Recent studies have also found that youths with a history of disorganized attachments are at
great risk of expressing hostility with their peers and have the potential for interpersonal violence as
they mature (Lyons-Ruth, Alpern, Repacholi, 1993; Lyons-Ruth & Jacobwitz, 1999). This
disorganized form of attachment has been proposed to be associated with the caregiver’s frightened,
frightening, or disoriented behavior with the child (Main & Hesse, 1990). The parents of these
children often have an Adult Attachment Interview finding of “unresolved trauma or grief” that
appears as a disorientation in their narrative account of their own childhoods (Hesse, 1999). What
90 ● D.J.Siegel
this implies is that the lack of resolution of trauma or loss in a parent can lead to parental behaviors
that create “paradoxical,” unsolvable, and problematic situations for the child. The attachment figure
is intended to be the source of joy, connection, and emotional soothing. Instead, the experience of the
child who develops a disorganized attachment is such that the caregiver is actually the source of alarm,
fear, and terror, so the child cannot turn to the attachment figure to be soothed (Main & Hesse, 1990).
不安全依恋的一种形式，称为“紊乱/定向障碍”，与情感、社交和认知领域的显著损伤有
关。具有这种依恋形式的个体也已被证明倾向于具有解离 (dissociation) 的临床状况，其中以
有组织、连贯方式工作的能力时常受损 (Carlson, 1998; Liotti, 1992; Main & Morgan, 1996;
Ogawa, Sroufe, Weinfeld, Carlson, & Egeland, 1997) 。最近的研究还发现，具有紊乱依恋
(disorganized attachments) 史的青少年很有可能对同龄人表达敌意，并且随着他们的成熟，也
有可能出现人际暴力 (Lyons-Ruth, Alpern, Repacholi, 1993; Lyons-Ruth & Jacobwitz, 1999)。这
种紊乱依恋形式被认为与看护人对儿童的受惊、恐吓或定向障碍 (disoriented) 行为有关 (Main
& Hesse, 1990)。这些孩子的父母经常在《成人依恋访谈》中“未解决的创伤或哀伤”条目上反
映出，他们对自己童年的叙述中表现出定向障碍 (Hesse, 1999)。这意味着父母的创伤或损失
得不到解决会导致父母行为给孩子造成“矛盾的”、无法解决的和问题重重的情况。依恋对象
旨在成为快乐、连接和情感抚慰的源泉。相反，发展出紊乱依恋的儿童，其经历表明看护者
实际上是警报、恐惧和恐怖的来源，因此儿童不能求助于依恋对象来获得抚慰 (Main &
Hesse, 1990)。
This finding provides important insights into the nature of the transmission of trauma across the
generations. Helping such individuals resolve their traumatic experiences and losses may be an
important therapeutic intervention in attempting to alter the course of devastation that such
transgenerational trauma can create.
这一发现为了解创伤跨代传播的本质提供了重要见解。帮助此类个体解决他们的创伤经
历和损失，可能是改变这种跨代创伤可能造成破坏过程的一种重要治疗干预手段。
These and numerous other findings suggest that the patterns of communication between caregiver
and infant provide a foundation for the developing mind of the child. What are the essential
ingredients of secure attachments, then, and how can we understand their importance in the
developing child’s life?
这些结果及众多其它研究结果表明，看护人和婴儿之间的交流模式为孩子的心智发展提
供了基础。那么，安全依恋的基本要素是什么呢？我们如何理解它们在孩子发育过程中的重
要性呢？
We can summarize several basic elements of interpersonal relationships that are likely to foster
emotional well-being and psychological resilience. Although derived from research studies in
attachment, these ideas may also be useful for understanding the impact of close, interpersonal
relationships of all sorts throughout the lifespan.
我们可以总结出人际关系的几个基本要素，这些要素可能会促进情感健康和心理弹性。
虽然这些想法来自依恋的研究，但它们也有助于理解一生中各种亲密人际关系的影响。
Parents are usually the primary attachment figures for a child. For a variety of reasons, in many
families there may be a decreased availability of parents to care for their young children during the
working hours. This situation requires that we address the basic needs of the young child to have the
opportunity to develop secure attachments with caring, consistent, and reflective adults in addition to
her own parents. Fortunately, the infant’s mind appears to be quite capable of creating a secure
attachment to a selective few adults besides the parents. Grandparents and other relatives, daycare
providers, nannies, and other individuals who are “caregivers” for a child may all play important roles
as attachment figures. Understanding a child’s individual needs and style of communicating, taking
joy in the child, and being able to soothe the child when he is in distress, are each basic components
of the child’s relationship with the attachment figure. The following are five basic elements of how
caregivers can foster a secure attachment in the children under their care.
父母通常是孩子的主要依恋对象。出于各种原因，在许多家庭中，工作时间照顾年幼子
女的父母数量可能减少。这种情况要求我们满足幼儿的基本需求，即除了父母之外，还要有
机会与有爱心、始终如一、反思型成年人发展安全依恋。幸运的是，婴儿的大脑似乎很有能
力对父母之外选择的少数成年人建立一种安全的依恋。祖父母和其他亲属、日托服务提供者、
保姆以及其他作为孩子“看护者”的个人都可能扮演依恋对象这个重要角色。了解孩子的个人
需求和沟通方式，从孩子身上获得快乐，并在孩子处于困境时能够抚慰他，这些都是孩子与
依恋对象关系的基本组成部分。以下是看护人如何对所看护的儿童培养安全依恋的五个基本
要素。
1. Collaboration. Secure relationships are based on collaborative, contingent communication.
The signals sent by each member of an attuned dyad (a pair of individuals) are directly
responsive in quality and timing with each other. These attuned communications often have
their foundation in the nonverbal signals that are shared between two individuals. Eye
contact, facial expression, tone of voice, bodily gestures and timing and intensity of response
are all fundamental aspects of nonverbal signals. The sharing of nonverbal signals creates a
joining of two minds at a basic level of “primary” emotions. As discussed later in this article,
these primary emotions can be seen as the “music of the mind,” and thus the sharing of these
nonverbal signals, the sharing of the primary states of mind of each person, creates a
resonant connection that often may have a sense of emerging vitality. Each person may come
92 ● D.J.Siegel
to “feel felt” by the other. Some adults may find such joining experiences exhilarating and
easy to create; others may find them uncomfortable or unfamiliar, and be unable to
participate in such an intimate “connecting” experience. Children need such joining
experiences because they provide the emotional nourishment that developing minds require.
Relationships that are “connecting” and allow for collaboration appear to offer children a
wealth of interpersonal closeness that supports the development of many domains, including
social, emotional, and cognitive functioning. Such collaboration may be essential in the
creation of a coherent core and autobiographical sense of self.
1. 协作。安全的关系基于协作的、偶然的沟通。协调的二元体（一对个体）每位成员
发出的信号在质量和时间上彼此直接反应。这些协调一致的交流通常以两人之间共
享的非语言信号为基础。眼神交流、面部表情、语调、身体姿势以及反应的时间和
强度都是非语言信号的基本方面。非语言信号的共享在“主要”情感基本层面上创造
了两个心智的结合。正如本文后面所讨论的，这些主要情绪可以被视为“心智的音
乐”，因此分享这些非语言信号，分享每个人的主要心智状态，创造了一种共鸣连接，
往往可能有一种崭新的活力感。每个人都可能开始“感觉被对方感觉到”。一些成年
人可能会发现这样的加入经历令人兴奋且容易创造；其他人可能会觉得他们不舒服
或不熟悉，无法参与这种亲密的“连接”体验。孩子们需要此类参与体验，因为它们
提供了发展心智所需要的情感营养。“连接”并允许合作的关系似乎为儿童提供了丰
富的人际关系亲密度，支持许多领域的发展，包括社交、情感和认知功能。这种合
作对于建立连贯的核心和自传体自我意识可能至关重要。
2. Reflective Dialogue. Secure attachment relationships may involve the verbal sharing of a
focus on the internal experience of each member of the dyad. Attachment figures recognize
the signals sent by the child, attempt to make sense of them in their own minds, and then
communicate to the child in such a manner that creates “meaning” for the child in the shared
dialogue about the mental states of the child and of the caregiver. Internal experience, or
“states of mind,” can involve emotions, perceptions, thoughts, intentions, memories, ideas,
beliefs, and attitudes. By directly focusing on these aspects of mental life, the adult can
create a sense that subjective experience is both important and can be communicated and
shared. In this manner, the “mind” itself becomes a central focus of sharing in the
discussions between two minds. Such a meaning-making process coupled with collaborative,
reciprocal communication allows the child to develop “mindsight”: the capacity of the mind
to create the representation of the mind of others, and of the self (Siegel, 1999).
2. 反思性对话。安全依恋关系可能包括口头上分享对二元体每个成员内部经验的
关注。依恋对象识别儿童发出的信号，试图在自己的大脑中理解这些信号，然后通
过分享关于儿童和看护人精神状态的对话，为儿童创造“意义”的方式与儿童交流。
内在体验或“心智状态”可以涉及情感、感知、思想、意图、记忆、想法、信仰和态
度。通过直接关注精神生活的这些方面，成年人可以产生一种主观体验既重要又可
以交流和分享的感觉。这样一来，“心智”本身成为两个头脑之间讨论中分享的中心
焦点。这种意义形成过程与合作、互惠的交流相结合，使儿童发展了 “心灵视
线”(mindsight)：即心智创造他人和自我心智表征的能力 (Siegel, 1999)。
3. Repair. When attuned communication is disrupted, as it inevitably will be, repair of the
rupture is an important part of reestablishing the connection within the dyad. Repair is
healing. Repair is also important in helping to teach the child that life is filled with inevitable
moments of misunderstandings and missed connections that can be identified and
connection created again. Such interactive repair allows the child to make sense of periods
of painful disconnection and create a sense of meaning out of the understanding of one’s
own and another’s mind. An adult’s pride may at times inhibit repair and leave the child
isolated in what may be a shameful state of disconnection. Intense uncomfortable emotional
states in the child or parent may lead to a disconnection in collaborative communication.
Prolonged disconnection, especially if combined with hostility and humiliation, can have
significant negative effects on a child’s developing senses of self. Providing repair of the
inevitable disconnections of attuned communication can occur naturally in a setting where
parents and other attachment figures generally provide consistent, predictable, reflective,
intentional, and mindful caregiving.
3. 修复。当协调交流被中断时，正如它将不可避免地被中断一样，修复破裂成为重建
二元体内连接的重要部分。修复就是疗愈。修复在以下方面也很重要：帮助教会孩
子生活中充满了不可避免的误解和失去连接的时刻，并且可以将其识别出来，再次
建立联系。这种互动修复让孩子能够理解痛苦的分离 (disconnection) 时期，并从对
自己和他人心智的理解中创造出一种意义感。成年人的骄傲有时可能会抑制修复，
让孩子可能孤立在令人羞辱的分离状态。孩子或父母强烈的不舒服情绪状态可能会
导致合作交流的中断（分离）。长时间的分离，尤其是如果与敌意和羞辱结合在一
起，会对孩子发展自我感觉产生显著的负面影响。在父母和其他依恋对象通常提供
一致、可预测、反思型、有意向和觉察力的照顾情况下，自然会发生修复协调沟通
不可避免的中断。
94 ● D.J.Siegel
4. Coherent Narratives. The connection of the past, present, and future is one of the central
processes of the mind in the creation of the autobiographical form of self-awareness. An
adult without a coherent autonoetic process may be at risk of providing interactive
experiences for a child that produce various forms of insecure attachment. In essence, adults
with a flexible capacity to integrate their experiences across time appear to also be able to
provide integrating interpersonal communication with their children. In addition, adults can
teach children about the world of the self and of others by joining with them in the
coconstruction of stories about life events. These stories focus on activities as well as the
mental life of the characters. In so doing, the adult is both collaborating in the construction
of reality for the child, as well as giving her the very tools she needs to make sense of the
internal and external worlds in which we all live.
4. 连贯叙事。过去、现在和未来的联系，是心智创造自我意识自传体形式的中心过程
之一。一个没有连贯自省意识过程的成年人可能面临的风险是，为孩子提供的互动
体验会产生各种形式的不安全依恋。本质上，具有跨时间整合经验灵活能力的成年
人似乎也能够向他们的孩子提供整合的人际交流。此外，成年人可以通过与孩子一
起构建生活事件的故事，来教会孩子关于自我和他人的世界。这些故事关注人物的
活动和精神生活。在这样做的时候，成年人既在为孩子构建现实中进行合作，也给
了她理解我们生活的内外世界所需要的工具。
5. Emotional Communication. Attachment figures can amplify and share in the positive, joyful
experience of living. These heightened moments of sharing a sense of vitality are important
in creating the foundation for a positive attitude toward the self and others. Equally
important is the attachment figure’s ability to remain connected to the child during moments
of uncomfortable emotion. Thus, negative emotional states can be shared as the adult then
helps the child to reduce these states and soothe his distress. Helping a child learn that he
will not be emotionally abandoned during these moments and that he can learn to understand
and soothe his painful emotional state is an important role for the attachment figure to play.
Adults also need to be sensitive to a child’s cycling needs for direct connection and for
solitude. Awareness and respect for these changing needs for connection are a part of
emotionally attuned communication. These interactive forms of emotional communication
may be at the core of how interpersonal relationships help to shape the ongoing emotional
and social development of the child’s growing mind.
5. 情感交流。依恋对象可以放大并分享积极、快乐的生活经历。这些分享活力感的高
光时刻，对为自我和他人的积极态度奠定基础很重要。同样重要的是依恋对象在不
舒服的情绪时刻与孩子保持连接的能力。这样，消极的情绪状态可以分享，因为成
年人随后帮助孩子减少这些状态并安抚他的痛苦。帮助孩子了解在这些时刻他不会
在情感上被抛弃，并且他能学会理解和抚慰他痛苦的情感状态，这是依恋对象发挥
的重要作用。成年人也需要对孩子循环往复需求直接连接和独处的这种特性保持敏
感。意识到并尊重这些不断变化的连接需求，是情感协调沟通的一部分。这些情感
交流的互动形式，可能在人际关系如何帮助塑造孩子成长心智的情感和社交发展过
程中处于核心地位。
EMOTION
情绪
Emotional communication is at the heart of attachment. But what exactly is emotion? It may be
surprising that both clinicians and academicians often have quite varied responses to this question.
Exploring the nature of emotion as a fundamental process both of the individual and of interpersonal
communication may help deepen our view of an “interpersonal neurobiology” of the developing mind.
Researchers have examined a number of ways to view emotion. For example, emotion can be
conceptualized as an integrating process in the mind with many dimensions (Ciompi, 1991). Some
scientists argue that emotions are everywhere in the processes of the mind, while others support very
specific circuits in the brain that mediate emotion (see LeDoux, 1996). In general, emotion is
considered to be a central process that interconnects many aspects of mental functioning. This
perspective is expressed by Kenneth Dodge: “. . . all information processing is emotional, in that
emotion is the energy that drives, organizes, amplifies, and attenuates cognitive activity and in turn
is the experience and expression of this activity” (Dodge, 1991, p. 159).
情绪交流是依恋的核心。但是情绪 (emotion) 到底是什么呢？可能令人惊讶的是，临床医生
和学者对这个问题的回答往往大相径庭。探索情绪的本质既是个人也是人际交流的基本过程，
这可能有助于深化我们对心智发展的“人际神经生物学”观点。研究人员考察了许多看待情绪
的方法。例如，情绪可以被概念化为心智中具有多个维度的整合过程 (Ciompi, 1991)。一些
科学家认为情绪在心智的过程中无处不在，而另一些人则支持大脑中调节情绪的特殊回路
（见 LeDoux，1996）。一般来说，情绪被认为是一个中枢过程，它将精神功能的许多方面
联系在一起。肯尼斯·道奇 (Kenneth Dodge) 表达了这一观点：“...所有的信息处理都是情绪化
的，因为情绪是驱动、组织、放大和减弱认知活动的能量，反过来又是这种活动的体验和表
达”(Dodge, 1991, p. 159)。
What are these processes, these emotions, and how can we “see” them at work? The study of
emotion suggests that nonverbal behavior is a primary mode in which emotion is communicated.
96 ● D.J.Siegel
Facial expression, eye gaze, tone of voice, bodily gestures, and the timing and intensity of response
each are fundamental to emotional messages (Ekman, 1992). But what exactly is emotion? We can
know when others are upset and “emotional,” but what does this really mean? Attempting to clearly
define the process of emotion and its regulation can yield some helpful ways of understanding the
mind, how the mind arises from the processes of the brain, and how one mind interacts with other
minds within human relationships. Examining the fundamental ways in which emotion is an
integrative process can enable us to see how central emotion is in both intraindividual mental
processes and in interpersonal communication.
这些过程和情绪是什么，我们如何“看到”它们的工作？对情绪的研究表明，非语言行为
是情感交流的主要方式。面部表情、眼睛凝视、语调、身体姿势以及反应的时间和强度都是
情绪信息的基础 (Ekman, 1992)。但是情绪到底是什么呢？我们可以知道别人什么时候难过和
“情绪化”，但这到底意味着什么？尝试清楚地描述情绪的过程，及其调节可以产生一些有助
于理解心智的方式，心智是如何从大脑的过程中产生的，以及一个大脑如何在人际关系中与
其他大脑互动。考察情绪作为整合过程的基本方式，可以使我们看到情绪在个体内心理过程
和人际交流中的核心作用。
As Damasio notes:
如达马西奥所说：
It would not be possible to discuss the integrative aspects of brain function without considering
the operations that arise in large-scale neural systems; and it would be unreasonable not to single
out emotion among the critical integrative components arising in that level. Yet, throughout the
twentieth century, the integrated brain and mind have often been discussed with hardly any
acknowledgment that emotion does exist, let alone that it is an important function and that
understanding its neural underpinnings is of great advantage. (Damasio, 1998, p. 83)
如果不考虑大规模神经系统中出现的操作，就不可能讨论大脑功能的整合方面；不在这
一水平上出现的关键综合成分中挑出情绪是不合理的。然而，在整个 20 世纪，大脑和心
智的整合经常被讨论，却几乎没有任何正式承认情绪确实存在，更不用说它是一个重要
的功能，理解它的神经基础是非常有利的。(Damasio, 1998, p. 83)
It is for this reason that we need to expand the area of “affective neuroscience” if we are to
meaningfully explore the neurobiological basis of interpersonal relationships, subjective experience,
and the developing mind. In essence, we need to build on the “objective” approaches of science to
provide the foundation for understanding why interpersonal relationships (such as attachment) that
focus on the importance of the “subjective” experience of each individual are most likely to promote
emotional well-being and psychological resilience. At the core of these mental phenomena is the
process of integration.
正因为如此，如果我们要有意义地探索人际关系、主观体验和心智发展的神经生物学基础，
我们就需要扩大“情感神经科学”(affective neuroscience) 的领域。本质上，我们需要建立在“客
观”科学方法的基础上，以理解为什么关注每个人“主观”体验重要性的人际关系（如依恋）
最有可能促进情感健康和心理弹性。这些心理现象的核心是整合的过程。
Attachment relationships differ across the various categories in the ways in which states of mind
and emotional communication are shared between parent and child (Siegel, 1999). Distinct patterns
of emotional communication characterize each of the differing attachment classifications. The
emotional processes of the more mature adult mind can be used by the child to regulate her own
internal state. From the beginning of life, “self-regulation” is actually determined in part by an
interactive “dyadic” process of mutual coregulation (Feldman, Greenbaum, & Yirmiya,1999; Hofer,
1994; Sroufe, 1996). A child uses the state of mind of the parent to help organize her own mental
processes. This alignment of states of mind permits the child to regulate her own state by direct
connection with that of her parent. The processes of affect attunement and social referencing reveal
the fundamental way in which nonverbal communication is the medium in which states are aligned.
What do these nonverbal signals actually represent?
各种类型的依恋关系在父母和孩子之间共享精神状态和情绪交流的方式上有所不同
(Siegel, 1999)。不同的情绪交流模式表征了不同的依恋类型。儿童可以利用更成熟成人心智
的情绪过程来调节自己的内部状态。从生命形成开始，“自我调节”实际上部分是由相互共调
节的交互式“二元”过程决定的 (Feldman, Greenbaum, & Yirmiya,1999; Hofer, 1994; Sroufe, 1996)。
孩子利用父母的精神状态来帮助组织自己的心理过程。这种心理状态的一致允许孩子通过与
父母的直接联系来调节自己的状态。情感 (affect) 协调和社会参照的过程揭示了非语言交流
作为各种状态协调媒介的基本运作方式。这些非语言信号实际上代表什么？
One way of answering this question is by viewing emotion as the fundamental process that
regulates the flow of energy and information. In this manner, I have proposed (1999) that a “primary”
emotional process occurs that includes initial orientation, appraisal, and arousal. Subsequent
elaborative mechanisms lead to differentiated emotional states (such as the categorical emotions of
sadness, joy, anger, fear). Within this framework, the flow of energy is directed within a primary
emotional process that leads to characteristic profiles of energy activation. These profiles can be seen
externally as what Stern (1985) has termed, “vitality affects” and can be experienced internally
parallel to what Damasio (1999) has called “background” emotions. These reflections of primary
emotional states are the shared focus within “affective attunements.” By directing the flow of energy
98 ● D.J.Siegel
and information processing within the brain, primary emotions reflect a core process that
interconnects processes within one mind, as well as connecting those of one mind to those of another.
回答此问题的一种方法是将情绪视为调节能量和信息流的基本过程。因此，我提出
(1999) 发生了一个“主要的”情绪过程，包括初始定向，评估，和唤醒。随后的精细化机制导
致不同的情绪状态（如悲伤、快乐、愤怒、恐惧等情绪类型）。在这个框架内，能量的流动
是在一个主要的情绪过程中被引导的，这个情绪过程导致能量激活的特征性因素
(characteristic profiles)。从外在的角度看，这些因素可以被视为斯特恩 (Stern, 1985) 所称的
“活力情感”，也可以在内部体验为类似于达马西奥(1999) 所称的“背景”情绪。这些主要情绪
状态反映的是“情感调谐”(affective attunements) 中的共同焦点。通过引导大脑中的能量和信
息流的处理，主要情绪反映了一个核心过程，将一个大脑中的过程相互连接，并将一个大脑
中的过程与另一个大脑中的过程连接起来。
This integrative and interpersonal view of emotion is one perspective on emotion and brain
functioning. Within the field of neuroscience, there is actually a heated debate about the nature of
emotion in the brain. For example, for many decades there was an accepted viewpoint that emotions
emanated from a part of the brain called the limbic system. Research paradigms attempted to carefully
define the boundaries and specific functions of this system but often were unable to identify its
functional limits (LeDoux, 1996). The essential point here is that emotion is not limited to some
specifically designed circuits of the brain that were once thought to be the center of emotion. Instead,
these same “limbic” regions appear to have wide ranging effects on most aspects of brain function
and mental processes. Emotion is perhaps better seen as an integrative process throughout the brain,
rather than some element limited to one particular area. The limbic regions, however, are specialized
to carry out the appraisal of meaning or value of stimuli. They are also dominant for the information
processing system that carries out social cognition, including face recognition, affiliation, and theory
of mind (the view that another person has a subjective experience of mind) (Barbas, 1995; Baron-
Cohen, 1995; BaronCohen & Ring, 1994; Davidson, 1992; Halgren, 1992; Haxby et al., 1996,
Panskepp, 1982; Rolls, 1995; Ross et al., 1994; Tucker, 1992; Watt, 1998). In this manner, we can
see a convergence between social processing and the creation of meaning within emotional
processing. Within the field of developmental psychology and psychopathology, emotion and
emotion regulation are seen as a part of the same process (Cicchetti, & Rogosch, 1997a; Cicchetti &
Tucker, 1994; Fox, 1994; Garber & Dodge, 1991). Emotions are both regulated and perform
regulatory functions. This view describes both the omnipresent nature of emotion and the way in
which the distinction sometimes made between cognition and emotion, thoughts and feelings, is
artificial, and can potentially impair our efforts to understand mental processes.
对于情绪的这种整合与人际观点是对情绪和大脑功能的一种视角。在神经科学领域，实
际上有一场关于大脑中情绪本质的激烈辩论。例如，几十年来，有一种公认的观点认为情绪
来自大脑的一个叫做边缘系统的部分。研究范式试图仔细界定该系统的边界和特定功能，但
通常无法确定其功能限制 (LeDoux, 1996)。这里的关键点是，情绪并不局限于曾经被认为是
情绪中心的一些特殊设计的大脑回路。相反，这些相同的“边缘”区域似乎对大脑功能和精神
过程的大多数方面都有广泛的影响。情绪也许最好被视为整个大脑的一个整合过程，而不是
局限于某个特定领域的某个元素。然而，边缘区是专门对刺激的意义或价值进行评价的区域。
他们也在执行社会认知的信息处理系统中占主导地位，包括面部识别、联想和心智理论（认
为另一个人有主观心理体验的观点）(Barbas, 1995; Baron-Cohen, 1995; BaronCohen & Ring,
1994; Davidson, 1992; Halgren, 1992; Haxby et al., 1996, Panskepp, 1982; Rolls, 1995; Ross et al.,
1994; Tucker, 1992; Watt, 1998)。通过这种方式，我们可以看到社会加工和情感加工中意义创
造之间的融合。在发展心理学和精神病理学领域，情绪和情绪调节被视为相同过程的一部分
(Cicchetti, & Rogosch, 1997a; Cicchetti & Tucker, 1994; Fox, 1994; Garber & Dodge, 1991)。情绪
既受调节又发挥调节功能。这种观点既描述了情绪无所不在的本质，也描述了有时区分认知
与情绪、思想与感觉的方式是人为的，可能会削弱我们理解心理过程的努力。
Emotion involves complex layers of processes that are in transaction with the environment.
These transactions involve cognitive processes (such as appraisal or the evaluation of meaning) and
physical changes (such as endocrine, autonomic, and physiological). As Alan Sroufe has described,
emotions involve “a subjective reaction to a salient event, characterized by physiological, experiential
and overt behavioral change” (Sroufe, 1996, p. 15). A similar view suggests that emotion can be seen
as involving neurobiological, experiential, and expressive components (Izard & Kobak, 1991).
情感涉及与环境交易过程的复杂层次。这些交易涉及认知过程（如对意义的评价或评估）
和物理变化（如内分泌、自主神经和生理变化）。正如艾伦·斯鲁夫 (Alan Sroufe) 所描述的，
情绪涉及“对显著事件的主观反应，其特征是生理、经验和明显的行为改变”(Sroufe, 1996, p.
15)。类似的观点认为，情绪可以被视为涉及神经生物学、经验和表达成分 (Izard & Kobak,
1991)。
Emotions represent a dynamic process in which they are created within the socially influenced
value appraising processes of the brain. Emotion is integrative in that it is a process that connects
other processes to each other. By viewing emotion as central to the regulation of energy and
information flow in the brain, we can see that emotion plays a central role in creating and regulating
mental life. In this manner our understanding of the distinct ways in which emotion is experienced
100 ● D.J.Siegel
and is communicated among individuals can shed light on how the mind develops and functions
within the social context of human relationships.
情绪是一个动态的过程，在这个过程中，情绪是在大脑受社会影响的价值评估过程中产
生的。情绪是整合的，因为它是一个将其他过程相互连接的过程。通过将情绪视为调节大脑
中能量和信息流的核心，我们可以看出情绪在创造和调节精神生活中起着核心作用。通过这
种方式，我们对个体之间情感体验和交流独特方式的理解，可以揭示心智在人际关系的社会
背景下是如何发展和运作的。
INTERPERSONAL COMMUNICATION AND THE DEVELOPMENT OF MINDSIGHT

人际交流与心灵视线的发展
The mind of the child appears to develop a core manner in which the mental states of other individuals
become represented within the neural functioning of the brain (Stone, Baron-Cohen, & Knight, 1998).
In the child’s early life, emotional interactions with attachment figures appear to be of primary
importance in shaping the core (here-and-now) and autobiographical (pastpresent-future) senses of
self. We can see such interactive effects in the central ways in which the brain creates neural maps of
the self as influenced by the “object.” These neural maps are the essence of how the brain constructs
its specific experiences of reality.
儿童的心智似乎发展出一种核心方式，在这种方式下，其他个体的精神状态在大脑的神经功
能中得到表现 (Stone, Baron-Cohen, & Knight, 1998)。在孩子的早期生活中，与依恋对象的情
绪互动似乎对于塑造核心（此时此地）自我感和自传体（过去现在未来）自我感都是至关重
要的。我们可以在中枢方式中看到这种互动效应，即大脑用这种方式创建受“客体”影响的自
我的神经地图。这些神经地图是大脑如何构建其特定现实体验的精髓。
One form of neural map is the way in which the brain creates images of other minds. I have used
the term “mindsight” to refer to this representational process. In essence, this is the capacity of one
mind to “perceive” or create representations of the mind of oneself or of another (Aitken & Trevarthen,
1997). The basic elements of mind that are “seen” can include thoughts, feelings, perceptions, beliefs,
attitudes, intentions, and memories. Such a complex capacity develops throughout childhood, and
can become continually more enriched throughout the lifespan. Other authors have described similar
processes using terms such as mentalizing, reflective function, theory of mind, and social cognition
(Fonagy & Target, 1997). In some neurologically impaired individuals, the capacity for mindsight
may be disturbed, such as in children with the disorder of autism (Baron-Cohen, 1995). In some cases
of intrusive parenting, children also have been shown to have diminished mentalizing abilities
(Fonagy & Target, 1997). This suggests that the capacity for mindsight develops from within the
intact neurological structures of an individual who experiences a certain degree of collaborative,
nonintrusive attachments.
神经地图的一种形式是大脑创建其他大脑图像的方式。我用“心灵视线”这个术语来指代
这种表征过程。本质上，这是一个大脑“感知”或创造自己或他人大脑表象的能力 (Aitken &
Trevarthen, 1997)。被“看见”的心智基本要素可以包括思想、感觉、知觉、信念、态度、意图
和记忆。这种复杂的能力在整个童年时期都会发展，并在一生中不断变得更加丰富。其他作
者也用诸如心智化、反思功能、心智理论和社会认知等术语描述了类似的过程 (Fonagy &
Target, 1997)。在一些神经功能受损的个体中，心灵视线能力可能受到干扰，例如在患有自
闭症障碍的儿童中 (Baron-Cohen, 1995)。在一些侵扰式父母养育的案例中，儿童也表现出心
智化能力减弱 (Fonagy & Target, 1997)。这表明，心灵视线能力是从经历一定程度的协作性、
非侵入式依恋的个体完整神经结构中发展出来的。
In exploring the fundamental neural substrate for the elements that allow the brain to create maps
of other minds, it has been helpful to examine the nature of the early interpersonal communication
and the neurobiology of the largest systems of the brain, the left and right hemispheres, and how they
may each develop and come to function in an integrated manner (Springer & Deutsch, 1993). From
the embryonic period onward, there is a significant asymmetry in the nervous system. The “higher”
functions of the brain, those of more complex and abstract thinking, are directly shaped by the
motivational forces of the “lower” areas of the same side of the brain (Trevarthen, 1996; Tucker, Luu,
& Pribram, 1995). The left and right sides of the entire brain appear to be driven by different “streams”
of processing or neural circuits that create distinct flows of information that drive subsequent
information processing in particular directions.
在探索允许大脑创建其他大脑地图的元素基本神经基底时，有帮助的做法是检查早期人
际交流的性质和大脑最大系统（左半球和右半球）的神经生物学，以及它们如何以综合方式
各自发展和发挥作用 (Springer & Deutsch, 1993)。从胚胎期开始，神经系统就存在明显的不
对称。大脑的“较高”功能，即那些更复杂和抽象的思维，是由大脑同一侧“较低”区域的动机
力直接形成的 (Trevarthen, 1996; Tucker, Luu, & Pribram, 1995)。整个大脑的左侧和右侧似乎
是由不同的处理“流”或神经回路驱动的，这些处理或神经回路产生不同的信息流，沿特定的
方向驱动后续的信息。
The left and right sides of the brain are anatomically isolated except for connections made
directly through bands of neural tissue called the corpus callosum and the anterior commissures
(Trevarthen, 1990) that develop during the first decade of life. Indirect passage of information may
occur at other sites, including an area called the cerebellum. Of note is that early child abuse has been
102 ● D.J.Siegel
shown to impair the development of the corpus callosum, as well as leading to a diminished
development of the brain as a whole (DeBellis et al., 1999a, 1999b). Severe stress is toxic for the
growing brain.
除了直接通过称为胼胝体和前联合的神经组织带建立的连接之外，大脑的左侧和右侧在
解剖学上是隔离的 (Trevarthen，1990)，这些神经组织带在生命的第一个十年中形成。信息
的间接传递可能发生在其他部位，包括称为小脑的区域。值得注意的是，早期虐待儿童已被
证明会损害胼胝体的发育，并导致大脑整体发育减弱 (DeBellis et al., 1999a, 1999b)。严重压
力对成长中的大脑有毒害作用。
In general, a wide array of studies in humans suggest that the isolated functions of the left and
right hemispheres may be “integrated” under normal conditions in creating the mind. The complex
capacity for mindsight, for example, appears to require the integration of aspects of both right and
left hemisphere functioning (Stone et al., 1998). Thus, we normally experience a blending of right
and left functions. However, the anatomical separateness of these two hemispheres also permits for
functional isolation under certain conditions. Such isolation of function between, or within,
hemispheres may produce a “nonintegrated” functioning and the impairment of certain intricate
mental processes. Dissociation may be one clinical syndrome that reflects this mental disassociation
of processes (Siegel, 1996).
总的来说，对人类的大量研究表明，在正常条件下，左半球和右半球的孤立功能在创造
心智时可能是“整合”的。例如，复杂的心灵视线能力似乎需要同时整合左右半球的功能
(Stone et al., 1998)。因此，我们通常会体验到左右功能的混合。然而，这两个半球的解剖分
离也允许在某些条件下实现功能隔离。大脑半球之间或内部的这种功能隔离可能会造成“非
整合”功能和某些复杂精神过程的损伤。解离可能是反映这种心理过程分离的一种临床综合
征 (Siegel, 1996)。
The right hemisphere is involved in more self-soothing actions in the infant, has a more
integrated mapping of the “somatosensory system” (the representation of the body in the brain),
directly regulates bodily processes, is involved in affective expression and perception, specializes in
the processing of perceptual images, mediates autobiographical recollection, and processes
information in a “holistic” manner. The capacity for mindsight may depend, in large part, on the
integration of a number of these bodily, emotional, and social information processing circuits that
reside predominantly in the right side of the brain and how they become interconnected with those of
the left hemisphere.
右半球更多参与婴儿的自我抚慰行为，对“躯体感觉系统”（大脑中的身体表征）有更完
整的映射，直接调节身体过程，参与情感表达和感知，专门处理感知图像，中介自传式回忆，
并以“整体”(holistic) 方式处理信息。心灵视线的能力可能在很大程度上取决于整合大量这些
主要位于大脑右侧的身体、情感和社交信息的处理回路，以及它们如何与左半球的那些回路
相互连接。
The left side of the brain is involved in more exploratory actions in the infant, has very little
integrated representation or regulation of the body, and is not very good at reading the nonverbal
expressions of emotions of others. The left side of the brain has a primarily linguistic processing
mode, and processes information using “syllogistic reasoning”— looking for cause– effect
relationships in a linear, logical fashion. The left hemisphere is said to have an “interpreter” function,
attempting to use the limited bits of information at its disposal to assess true/false distinctions and
determine causal relationships within linear, logical, narrative descriptions.
婴儿的左侧大脑更多参与探索性动作，很少有对身体的整合性表征或调节，不太擅长阅
读他人情感的非语言表达。大脑的左侧主要有语言处理模式，使用“三段式推理”处理信息—
—以线性、逻辑的方式寻找因果关系。据说左半球有一个“解释器”功能，试图利用它所掌握
的有限信息来评估真假区别，并确定线性的、逻辑的、叙述性描述中的因果关系。
In this manner, one can see that some attachment figures provide children with “nonintegrated”
communications that serve to impair the movement of the child toward integration of his or her own
experience. One view is that certain parents may isolate their verbal output from their emotional facial
and tone of voice expressions (Beebee & Lachman, 1994). I have proposed a way to understand how
these nonintegrated attachment experiences impact upon the growing brain of the child (Siegel, 1999).
The right hemisphere is the dominant side of the brain during the first few years of the infant’s life
(Chiron, Jambaque, Nabbot, Lounes, Syrota, & Dulac, 1997). “Dominance” means that the right
hemisphere is both growing more rapidly and is more active (Thatcher, 1997). In fact, areas of the
right hemisphere within the prefrontal cortex (the orbitofrontal region, just behind and above the
orbits of the eyes) that regulate bodily function and emotionally attuned communication appear to be
actively developing during this period (Schore, 1994, 1996). Thus, the ways in which the caregiver
comes to communicate with the infant during these crucial early years may help shape the right
hemisphere’s capacity for self-regulation, self-other relationships, an autobiographical sense of self,
and the basic elements of the capacity for mindsight. These can all be seen as complex functions that
depend upon various dimensions of neural integration.
通过这种方式，我们可以看到，一些依恋对象为儿童提供了“非整合”的交流，从而削弱
了儿童融入其自身经历的能力。一种观点认为，某些父母可能会将他们的言语输出与他们情
绪化的面部表情和语调表情隔离开来 (Beebee & Lachman, 1994)。我提出了一种方法来理解
这些非整合的依恋经历是如何影响儿童大脑发育的 (Siegel, 1999)。在婴儿出生后的最初几年
104 ● D.J.Siegel
里，右半球是大脑的主导侧 (Chiron, Jambaque, Nabbot, Lounes, Syrota, & Dulac, 1997)。“主导”

意味着右半球既增长得更快又更活跃 (Thatcher, 1997)。事实上，前额叶皮层（眶额区域，就
在眼睛眼窝的后方和上方）内调节身体功能和情绪协调交流的右半球区域在这一时期似乎正
在积极发育 (Schore, 1994, 1996)。因此，在这些至关重要的早期阶段，看护人与婴儿交流的
方式可能有助于塑造右半球的自我调节能力、自我与他人的关系、自传体自我意识，以及心
灵视线能力的基本要素。这些都可以被视为依赖于神经整合各个维度的复杂功能。
Recent work also suggests that the prefrontal regions of the brain may also be a part of the
integrated circuitry that permits social and moral behavior (Anderson, Bechara, Damasio, Tranel, &
Damasio, 1999; Dolan, 1999). In these reported cases of early neurological damage to this important
area of the brain, individuals were found to have marked impairments in both their capacity to
understand basic social information and to behave in socially and morally meaningful ways. What
we do not yet know is exactly how certain early adverse experiences in a child’s life may negatively
shape the development of the complex circuitry, including that of the prefrontal regions, that has been
proposed to permit social and moral behaviors. Neuroscience is just beginning to discover the details
about a possible neurological origin of “conscience.” Our work in attachment will benefit from these
independent findings in examining how secure relationships may promote moral development
through the impact of interpersonal relationships on neural structures.
最近的工作也表明，大脑前额叶区域也可能是允许社交和道德行为的整合回路的一部分
(Anderson, Bechara, Damasio, Tranel, & Damasio, 1999; Dolan, 1999)。在这些报告的这一重要
大脑区域早期神经损伤病例中，发现个体在这两种能力方面都有显著损伤：理解基本社交信
息，以及按有意义的社交和道德方式行事。我们还不知道的是，孩子生命中某些早期的不良
经历会如何对复杂回路的发育产生负面影响，包括前额叶区域的发育，已发现该区域允许社
交和道德行为。神经科学刚刚开始发现可能有关“良心”神经学起源的细节。我们在依恋方面
的研究将受益于这些独立的发现，它们检验了安全的关系如何通过人际关系对神经结构的影
响促进道德发展。
What we do know from the independent field of studies in child development is that certain
attachment experiences appear to promote socially adaptive, morally responsible behaviors in
children. One way of thinking about these secure attachments is that they involve the basic elements
discussed earlier, and have as their foundation the ability of the adult to create a collaborative form
of communication with the child. But how can a logical, word-oriented adult communicate with a
primarily right-hemisphere dominant nonverbal infant to help with the earliest stages of the
development of these important functions? The nonverbal interactions of caregiver and infant can be
proposed to be the most important elements that help to create a secure attachment between the infant
and the caregiver at the beginning of life. As the child grows, as discussed above, reflective dialogues
that help create meaning and interpret the complex world of human minds for the child are extremely
important. Such reflective, meaningmaking dialogues require, we can propose, an integrated right and
left hemisphere in both caregiver and child. But adults often live in a logical world filled with word-
dominated thoughts. These left-hemisphere processes are often far from the more subtle, nonverbal
experiences that the adult needs to be able to share with the infant. In essence, the infant’s brain needs
to “feel felt” by the caregiver. Such a feeling of connection, in fact, may be extremely important for
each of us in our relationships throughout the lifespan. Collaborative communication is far more than
the sharing of linguistic packets of verbally understood words.
我们从儿童发育的独立研究领域确实了解到，某些依恋经历似乎促进了儿童的社会适应
性和道德责任感行为。探讨这些安全依恋的一种方式是，它们包含前面讨论过的基本元素，
并以成人与儿童建立协作交流形式的能力为基础。但是，一个有逻辑的、以单词为导向的成
年人如何与一个主要是右半球占优势的非语言婴儿交流，以帮助这些重要功能的最早发育阶
段？看护者和婴儿之间的非语言互动可以被认为是最重要的因素，有助于在生命开始时在婴
儿和看护者之间建立一种安全依恋。如上所述，随着孩子的成长，反思性对话极其重要，可
以帮助孩子创造意义和解释人类心智的复杂世界。我们可以提出，这种反思性的、意味深长
的对话需要看护者和儿童的左右脑半球相整合。但是成年人经常生活在逻辑世界里充满了受
文字主导的各种思想。这些左半球的过程，往往与成人需要与婴儿分享的更微妙的非语言体
验相去甚远。本质上，婴儿的大脑需要感觉被看护者“感觉到”。事实上，这种连接感对我们
每个人一生中的各种关系都极其重要。协作交流远不止是分享口头理解的语言信息。
At the neurological level, such a nonverbal, emotional sharing involves the output of the right
hemisphere of each member of the interacting pair. As the right hemisphere both sends and receives
these signals, the opportunity is created for a “resonance” of the minds of each of the individuals. At
this nonverbal, core self-level, the interaction of self with other becomes mapped in the brain in a
manner that literally, neurologically, creates the mind of the other. In Stern and in Damasio’s terms,
we can propose that the emerging proto-self takes in the signals from the caregiver and maps the
changes in the proto-self in response to these nonverbal signals. These signals are “the object” that
produces the changes in the proto-self, and thus, are themselves woven directly into the construction
of the core self. The core self is the second-order neural mapping of the changed proto-self as core
consciousness focuses attention on the “object”— the caregiver’s face, eye gaze, tone of voice, and
gestures.
在神经学层面上，这种非语言的、情感上的分享涉及到每位互动成员右脑半球的输出。
因为右半球既发送也接收这些信号，就为每个人的心智创造了一个“共鸣”的机会。在这个非
106 ● D.J.Siegel
语言的、核心自我层面上，自我与他人的互动在大脑中被映射成一种从字面上、神经学上创
造了他人心智的方式。用斯特恩和达马西欧的话来说，我们可以提出，新出现的原型自我接
收来自看护者的信号，并映射出原型自我对这些非语言信号的响应变化。这些信号是在原型
自我中产生变化的“客体”，因此，它们被直接编织到核心自我的结构中。核心自我是改变后
原型自我的二阶神经映射，因为核心意识将注意力集中在“客体”上——护理者的脸、目光、
语调和手势。
We can propose that within the child’s brain is created a multisensory image of the emerging
caregiver’s nonverbal signals. These nonverbal signals reveal the primary emotional states of the
individual’s mind. These primary emotions, the music of the mind, are the most direct way in which
the nonverbal, subjective state of one’s current mental processing can be externally expressed to
another person. Such primary emotions are the profiles of activation, the flows of energy and
nonverbal information, that reveal the primary essence of one’s mind. It is in this manner that
emotionally attuned communication, the resonant sharing of nonverbal signals, allows for the child
to “feel felt” and to create a secure attachment with that connecting adult. It is the sharing of these
nonverbal expressions of primary emotions that allows for the most direct connection of one mind to
another. Within such attuned, collaborative experiences the securely attached child’s core self is then
able to reflect a coherence between the self and the “other.” This defining focus of the self as a “self-
with-attuned-other” is, I believe, the developmental origins of our natural capacity for caring about
and feeling connected to others in the world.
我们可以提出，在孩子的大脑中，形成了新出现看护者非语言信号的多感官图像。这些
非语言信号揭示了个体心智的主要情绪状态。这些主要的情绪，即心灵的音乐，是一个人当
前心理过程中非语言的、主观状态向另一个人表达的最直接方式。这些主要情绪是激活的要
素，能量和非语言信息流，揭示了一个人心智的主要本质。正是以这种方式，情感协调的交
流，即非语言信号的共鸣分享，允许孩子感觉“被感觉到”，并与连接的成年人建立一种安全
依恋。正是这些主要情感非语言表达的共享，使得一个大脑与另一个大脑有了最直接的联系。
在这种协调的、协作的体验中，安全依恋的孩子核心自我能够在自我和“他者”之间反思其连
贯性。我认为，将自我定义为“与他人协调一致的自我”，是我们关心他人和感受与他人联系
的自然能力发展根源。
The heart of the emotional transactions with the growing child can be described as being the
sharing and amplification of positive emotional states, and the sharing and reduction of negative states.
These repeated and reliable emotional transactions allow a child to feel connected in the world. It is
also these communications that allow a child to initially rely on the caregiver for help in regulating
her own emotions, and then later to develop a more autonomous form of flexible self-regulation. In
this manner attuned emotional communication within secure attachments leads to a healthy and
flexible capacity for self-regulation.
与成长中孩子情感交流的核心可以描述为积极情感状态的分享和扩大，以及消极状态的
分享和减小。这些重复而可靠的情感交流让孩子感到与世界相连。也正是这些交流让孩子最
初依靠看护者的帮助来调节自己的情绪，然后发展出一种更自主的灵活自我调节形式。以这
种方式，在安全依恋中协调的情感交流会带来健康和灵活的自我调节能力。
COMPLEXITY, COHERENT NARRATIVES, AND NEURAL INTEGRATION

复杂性、连贯叙述和神经整合
To understand the links among interpersonal communication, personal narratives, and selfregulation,
it is helpful to examine the experience of mind from the perspective of complex systems. The
application of “complexity theory” or the “nonlinear dynamics of complex systems” to the human
mind has been useful in understanding the processes of development and of human experience
(Cicchetti & Rogosch, 1997b; Fogel, Lyra, & Valsiner, 1997; Globus & Arapia, 1993; Lewis, 1995,
1997; Robertson & Combs, 1995; Thelen, 1989). Complexity theory examines the ways in which the
flow of the states of activation of a system has selforganizational properties, movement toward
maximizing complexity, and recursive, self-reinforcing processes. Application of these principles to
the layers of systems, from neural circuits to interpersonal relationships, can provide useful insights
into the bridges across these levels of analysis.
为了理解人际交流、个人叙事和自我调节之间的联系，从复杂系统的角度来审视心智体验是
有帮助的。“复杂性理论”或“复杂系统的非线性动力学”在人类心智上的应用有助于理解发育
过程和人类经验 (Cicchetti & Rogosch, 1997b; Fogel, Lyra, & Valsiner, 1997; Globus & Arapia,
1993; Lewis, 1995, 1997; Robertson & Combs, 1995; Thelen, 1989)。复杂性理论研究了系统激活
状态的流动方式具有自组织特性，向最大复杂性的运动方式，以及递归、自增强过程。将这
些原则应用到系统的各个层面，从神经回路到人际关系，可以为跨越这些分析层次的桥梁提
供有用的见解。
Development can be seen as a movement toward ever more complex states of processing over
the lifespan (Thelen, 1989). In this manner, the brain as a complex system may be naturally capable
of attaining states of connection within its own neural circuits that allow it to achieve greater and
greater degrees of integrated functioning. Such integration— the clustering of distinct, differentiated
components into a functional whole— can be seen as allowing the brain to achieve these higher states
of complexity. Complexity can be viewed as a flow of states of activation that move between the
extremes of sameness, order, and rigidity on one side, and variation, randomness, and chaos on the
108 ● D.J.Siegel
other. The flow of states between order and chaos creates the maximal complexity of a system. The
key element in attaining such complexity within a system’s changing states is the combining of
differentiation (component parts being distinct and well-developed in their own uniqueness) with
integration (clustering into a functional whole). Making component parts identical— sameness and
order of the system— may create a form of integration, but the elimination of the unique elements of
differentiation actually decreases the level of complexity achievable by the system. Having
component parts of a system activated in total isolation from each other— randomness and chaos of
the system— may permit differentiation but lacks the integration necessary to achieve complexity.
发育可以被视为一种在一生中朝着更复杂处理状态的运动 (Thelen, 1989)。以这种方式，
大脑作为一个复杂的系统，可能自然能够在其自身的神经回路中获得连接状态，从而使其实
现越来越大程度的整合功能。这种整合——将不同的、有区别的组件聚集成一个功能整体—
—可以被视为允许大脑实现这些更高的复杂状态。复杂性可以被视为一系列激活状态，游移
在两种极端之间，一端是相同、有序和死板，另一端是变化、随机和混乱。状态在有序和混
乱之间的流动创造了系统的最大复杂性。在系统不断变化的状态中达到这种复杂性的关键因
素是将差异化（组成部分在其自身独特性上区别明显并得到很好的发展）与整合（聚集成一
个功能整体）相结合。使组成部分相同——系统的相同和有序——可能会产生一种整合形式，
但消除独特的差异化元素实际上会降低系统可实现的复杂程度。将一个系统的组成部分在完
全相互独立的情况下激活——系统的随机性和混乱——可能允许差异化，但缺乏实现复杂性
所必需的整合。
Human relationships may involve these principles of complexity. Secure attachments enable
resonant interpersonal connections in that they foster the blend of differentiation of each individual
with the integration of each person within collaborative, contingent forms of emotional
communication. In this manner, we can see that human relationships that encourage both individual
differences (differentiation), and interpersonal collaboration (integration) may nurture the most
complex states. Nonlinear dynamics suggests that systems that move toward such complexity are in
fact the most stable, flexibly adaptive, and capable of a wide range of “selforganizing” processes.
Within secure attachments, such self-organization may be seen as the ultimate gift that caregivers
offer to their children: to enable the self to achieve differentiation and integration in acquiring flexible
and adaptive means for self-regulation. Such an ongoing process involves the internal adjustment of
mental functions as well as the continual modification of interpersonal connections. This capacity to
modify both the internal and the external (interpersonal) dimensions of connections may be at the
heart of mental health and emotional well-being.
人际关系可能涉及这些复杂性原则。安全的依恋能够产生共鸣的人际关系，因为这些依
恋促进了融合每位个体的差异化，以及整合每个人协作式和偶然形式的情感交流。以这种方
式，我们可以看到，鼓励个体差异（差异化）和人际合作（整合）的人际关系可能会孕育出
最复杂的状态。非线性动力学表明，走向如此复杂的系统实际上是最稳定、灵活适应性最强
的，并且能够进行广泛的“自组织”过程。在安全的依恋中，这种自我组织可能被视为看护者
给孩子的终极礼物：使自我在获得灵活性和适应性自我调节手段时实现差异化和整合。这样
一个持续的过程包括心理功能的内部调整以及人际关系的不断改变。这种改变内部和外部
（人际）联系维度的能力可能是心理健康和情感幸福的核心。
The linkage of secure attachment, the development of mindsight, and the integrating role of
nonverbal and verbal processing can also help us to explore the possible connections between
coherent autonoesis and collaborative interpersonal relationships. In a fundamental way, both are
about the interconnectedness of life. Each also involves the process of neural integration. The
processes of coherent self-knowledge and of collaborative interpersonal communication each appear
to be mediated by the same integrating prefrontal region. This region and these processes are
fundamentally involved in connecting widely distributed and differentiated functions into a coherent
whole. They thus involve integration at both the intra and interpersonal level of organization.
安全依恋的联系、心灵视线的发展，以及非语言和语言处理的整合作用也可以帮助我们
探索连贯自省意识和协作性人际关系之间的可能联系。从根本上说，两者都与生命的相互联
系有关。每一个都还涉及到神经整合的过程。连贯的自我认知过程和协作的人际交流过程似
乎都是以相同的整合前额叶区域作为中介的。这个区域和这些过程从根本上涉及到将广泛分
布的差异化功能连接成连贯的整体。因此，它们涉及组织内部和人际层面的整合。
From the beginning of development, the brain has the capacity to differentiate its circuitry and
also to integrate its functioning. This blend of differentiation and integration within the single brain
also applies to the nature of the development of the child within interpersonal relationships. From the
beginning, the brain is capable of— and, in fact, is hard-wired to— make connections with other
brains. As we have seen, the core self evolves in the response of the emerging proto-self in
interactions with objects, including others in the world. As the more complex capacity for autonoesis
develops and creates an autobiographical self, these thirdorder neural maps are built on the secondand
first-order mappings of the self in interaction with others in the world. In this fundamental way, the
manner in which we come to construct our integration of past-present-future is built upon the self in
interaction with other selves. This is the way in which the collaborative communication of attachment
relationships directly shapes the development of the self.
110 ● D.J.Siegel
从发育开始，大脑就有能力区分其回路并整合其功能。这种单一大脑中分化与整合的融
合也适用于儿童在人际关系中的发展本质。从一开始，大脑就能够（事实上是与生俱来的）
与其他大脑建立联系。正如我们所看到的，核心自我是在响应新兴的原型自我与包括世界上
其他人在内的客体相互作用中进化的。随着更复杂自省意识能力的发展和自传体自我的产生，
这些第三阶神经地图建立在自我与世界上其他人互动的二阶和一阶映射的基础上。以这种基
本的方式，我们构建过去-现在-未来的整合方式，是建立在自我与其他自我互动的基础上的。
依恋关系的合作交流以这种方式直接塑造自我发展。
The contingent, collaborative communication of secure attachments produces a coherence within
the here-and-now core self as well as in the past-present-future integrating autobiographical self. In
this manner, coherent interpersonal relationships produce coherent neural integration within the child
that is at the root of adaptive “self-regulation.”
安全依恋的偶然、合作交流，在此时此地的核心自我以及过去-现在-未来的自传体自我
中产生了一致性。以这种方式，连贯的人际关系在儿童体内产生连贯的神经整合，这是适应
性“自我调节”的根源。
A parent with a flexible access to an integrating process that enables self-regulation would likely
be more emotionally accessible to the range of states and signals provided by a child. Attachment
research suggests that we learn different adaptive strategies early in life for communicating with other
individuals. “Integration” can be proposed to be a central self-organizing mechanism that links the
seemingly disparate aspects of emotion, narrative, and interpersonal relationships within the human
mind. The “wholeness” of this integrative process can be described within the concept of “coherence”
in which the disparate elements contribute to the flow of a system toward maximal complexity. Within
this adaptive and flexible flow of states, individual components remain highly differentiated AND
functionally united. Coherent narratives may reflect such an integrative process within the mind.
Interpersonal integration can be seen when the mind of one person has the free flow of energy and
information with another mind. Such adaptive and flexible states flow between regularity, sameness,
and predictability on one side and novelty, change, and uncertainty on the other. This flow of states
yields a maximal degree of complexity. Such dyadic states may be seen within securely attached
children and their parents.
如果父母能够灵活地访问帮助自我调节的整合过程，就可能在情感上更容易接受孩子提
供的一系列状态和信号。依恋研究表明，我们在生命早期学习不同的适应策略来与他人交流。
“整合”可以被认为是一种中心自组织机制，它将人类心智中情绪、叙事和人际关系看似不同
的方面联系起来。这种整合过程的“整体性”可以用“连贯性”概念来描述，在“连贯性”中，不
同的元素有助于系统向最大复杂性发展。在这种自适应和灵活的状态流中，单个组件保持高
度差异化和功能统一。连贯的叙事可能会在心智中反映这样一个整合的过程。当一个人的心
智与另一个人的心智自由交流能量和信息时，就可以看到人际融合。这种适应和灵活的状态
在规律性、相同性和可预测性的一端，与新颖性、变化性和不确定性的另一端之间流动。这
种状态流产生了最大程度的复杂性。这种二元状态可以在安全依恋的孩子及其父母身上看到。
The structure of the narrative process itself may also reveal the central role of integration in states
of mental health and emotional resilience. Within the brain, the neural integration of the processes
dominant in the left hemisphere with those dominant in the right can be proposed to produce a
“bihemispheric” coherence that enables many functions to occur. The left hemisphere functions as
what has been called an “interpreter,” searching for cause– effect relationships in a linear, logical
mode of cognition. The right hemisphere is thought to mediate autonoetic consciousness and the
retrieval of autobiographical memory. Also dominant on the right side are elements of the mindsight
module of information processing. Coherent narratives can thus be proposed to be a product of the
integration of left and right hemisphere processes: the drive to explain cause– effect relationships
(left) and to understand the minds of others and of the self within autonoetic consciousness (right).
In this manner, we can propose that coherent narratives reflect the mind’s ability to integrate its
processes across time and across the representational processes of both hemispheres. Could this
integrative capacity have more generalized functions, enabling that same individual to then create a
“coherent dyadic state?” Is this central process of the mind’s capacity for integration— both internal
and interpersonal— the link between narrative and parent– child relationships? Perhaps such a
capacity is at the heart of secure attachments.
叙事过程本身的结构也可能揭示整合在心理健康和情绪弹性状态中的核心作用。在大脑
中，左半球占主导地位的过程和右半球占主导地位的过程之间的神经整合可以被认为造成了
“双半球”一致性，从而产生许多功能。左半球起着被称为“解释者”的作用，以线性、逻辑的
认知模式寻找因果关系。右半球被认为调节自省意识和提取自传体记忆。在右侧占主导地位
的还有信息处理的心灵视线模块元素。因此，连贯的叙述可以被认为是左半球和右半球整合
的产物：解释因果关系的动力（左），以及理解自省意识中他人心智和自我心智的动力
（右）。以这种方式，我们可以提出连贯的叙述反映了心智整合其过程的能力，并且跨越时
间和跨越两个半球的表征过程。这种综合能力能有更广泛的功能, 能使同一个人创造“连贯的
二元状态”吗？心智整合能力的核心过程——包括内部和人际关系——是叙事和亲子关系之
间的联系吗？也许这种能力是安全依恋的核心。
We can propose that the brain is structured with an innate capacity to transcend the boundaries
of the skin of its own body in integrating itself with the world, especially the world of other brains.
This linkage permits mindsight and creates the capacity for compassion. Under certain situations, the
112 ● D.J.Siegel
neurological foundations for mindsight may be compromised and the sense of integration with others
may be impaired. With some neurological conditions, such as sensory impairment, caregivers may
be especially challenged to provide the kind of connecting, collaborative communication that allows
the child to “feel felt,” make sense of the internal world of minds, and create the capacity for
mindsight. In other situations, suboptimal caregiving may not have fostered the development of a
coherent sense of a core or autobiographical self. We can view these situations as being the inadequate
development of a coherent sense of another’s mind within the mind of the child. Such interactions
are “incoherent,” and fail to facilitate the child’s own integrative processes. The fundamental outcome
of such nonintegrative states can be seen as an impairment in self-regulation.
我们可以提出，大脑的结构具有一种天生的能力，可以超越自身皮肤的界限，与世界，
特别是其他大脑的世界相整合。这种联系允许心灵视线并创造了同情的能力。在某些情况下，
心灵视线的神经基础可能会受到破坏，与他人的整合感可能会受到损害。由于一些神经疾病，
如感觉障碍，护理人员可能特别难以提供那种连接的、协作的交流，使儿童能够感觉“被感
觉到”，理解内心世界，并创造心灵视线能力。在其他情况下，次优的护理可能没有培养核
心自我或自传体自我的连贯意识。我们可以把这些情况看作是孩子心智中对另一个人心智的
连贯意识发展不足。这种互动是“不连贯的”，不能促进儿童自身的整合过程。这种非整合状
态的基本结果可以被视为自我调节的障碍。
UNRESOLVED STATES, DISORGANIZED ATTACHMENT, AND IMPAIRMENTS TO

INTEGRATION
未解决的状态、紊乱依恋和对整合的损害
One form of impaired integration and self-regulation can be seen within the minds of those
individuals with unresolved trauma or grief. In this situation, we can propose, the mind has been
unable to integrate various aspects of the overwhelming experiences of trauma or loss. With this
unresolved condition, an adult’s mind may be vulnerable to entering “altered states” in interaction
with others, especially with children. These states may be considered “lowermode states” (Siegel,
1999) in which the functioning of the integrating prefrontal regions becomes temporarily impaired
and behavioral output is driven more by the emotional states and impulses of the lower regions of the
brain without the more reflective, rational processes of the higher, neocortical inputs. In this “low-
road” state, the caregiver may be more likely to offer the child the frightened, frightening, or
disorganizing interactions that have been proposed by Main and Hesse (1990) to be at the root of
disorganized attachments.
整合和自我调节受损的一种形式可以在那些未解决创伤或哀伤的个体大脑中看到。在这种情
况下，我们可以提出，此心智已经无法整合巨大创伤或损失经验的各方面。在这种尚未解决
的情况下，成年人的心智在与他人互动，特别是与儿童互动时可能很容易进入“改变的状
态”(altered states)。此类状态可被认为是“低情绪状态”(Siegel, 1999)，其中整合前额叶区域的
功能暂时受损，行为输出更多受大脑下部区域的情绪状态和冲动所驱动，而没有更高级新皮
质输入的更反思性、更理性的过程。在这种“低道路”状态下，看护人更可能向孩子提供受惊
的、恐吓的或紊乱的互动，这种互动由门恩和海塞提出 (Main and Hesse, 1990)，是紊乱依恋
的根源。
The term “response flexibility” (Siegel, 1999) can be used to describe an important integrative
process mediated by the orbitofrontal region of the prefrontal cortex. Response flexibility refers to
the capacity of the brain to respond to changes in the internal or external environment with a flexibly
adaptive range of behavioral or cognitive responses. A number of studies point to the central role of
the orbitofrontal region in carrying out such a capacity (Mesulam, 1998; Nobre et al., 1999). One can
propose that this ability requires the integrative capacities of the orbitofrontal region to functionally
link elements from widely distributed input and output circuits. This region is uniquely positioned to
link the major regions of the brain, including the associational cortex, limbic circuits, and brain stem
areas. In this manner, the orbitofrontal region enables the more complex “higher order” abstract
processing of the neocortex to be integrated with the “lower order” somatic and emotional functions
of the deeper structures. Autonoetic consciousness may reveal one example of this “higher mode” of
integrative processing, one that permits mental time travel and a deep sense of self awareness.
术语“反应灵活性”(Siegel，1999) 可用于描述由前额叶皮层眶额区作为中介的重要整合过
程。反应灵活性是指大脑对内部或外部环境的变化做出反应的能力，表现为灵活适应的一系
列行为或认知反应。一些研究指出了眶额区在履行此能力中的核心作用 (Mesulam, 1998;
Nobre et al., 1999)。人们可以提出，这种能力需要眶额区域的综合能力，以在功能上连接来
自广泛分布的输入和输出回路的元素。该区域位于连接大脑主要区域的独特位置，包括联合
皮层、边缘回路和脑干区域。通过这种方式，眶额区域使新皮层更复杂的“高阶”抽象加工与
更深层结构的“低阶”躯体和情感功能相整合。自省意识可能揭示了这种整合加工的一个“高
级模式”例子，即允许精神时间旅行和深度自我意识。
One extension of this view is that the mind is capable of a mode of information processing that
does not involve the higher mode of processing. In this “lower-mode” or “low-road” processing state,
response flexibility is suspended along with other integrative functions such as autonoetic
consciousness and impulse control. In this lower mode, behaviors become reflexive, and the mind
becomes filled with deeply engrained, inflexible patterns of response. In such a condition, emotions
may flood the mind and make rational thought and mindful behavior quite impaired. We can propose
that one aspect of unresolved trauma or grief is to make such a lower mode of processing more likely
114 ● D.J.Siegel
to occur. Although each of us may be vulnerable to entering such low-road states, unresolved
conditions may make entry into these states more frequent, more intense, and more likely to occur
with minimal provocation. Recovery from such states may also be especially difficult in unresolved
traumatic conditions. In this situation, the individual may remain “on the low road” for more extended
periods of time as well as with increased frequency.
这种观点的一个延伸是，心智能够进行一种不涉及更高级处理模式的信息处理模式。在
这种“低模式”或“低落道路”处理状态下，响应灵活性与其他综合功能（如自省意识和冲动控
制）一起被暂停。在这种较低的模式下，行为变成反射式，心智充满了根深蒂固的、不灵活
的反应模式。在这种状况下，情绪可能会侵蚀心智，使理性思维和觉察行为受到严重损害。
我们可以提出，未解决创伤或哀伤的一种情况是使这种较低的处理模式更可能发生。虽然我
们每个人都可能容易进入这样的低落道路状态，未解决的状况可能会使进入这些状态更频繁，
更强烈，更有可能在最低限度刺激的情况下发生。在未解决的创伤性状况中，从这种状态中
恢复可能也特别困难。在这种情况下，个人可能会在更长的一段时间内以及更高的频率而保
持“在低落道路上”。
Entry into such lower-mode states may produce excessive emotional reactions, inner turmoil,
dread, or terror, as well as an ensuing sense of shame and humiliation. In such conditions, the
individual may be prone to “infantile rage” and aggressive, intrusive, or outright violent behavior.
The entry into such states directly impairs the capacity of the individual to maintain collaborative
communication with others. In this way, the tendency to have an impairment in response flexibility
and autonoetic consciousness within lower mode states may be at the core of how parents with
unresolved trauma engage in the frightened and/or frightening behaviors that lead to disorganized
attachment in their offspring. Lower-mode states do not allow for the sensitive, contingent
communication that secure attachments require. This may be the core feature of the transfer of trauma
and its devastating ripple effects across the generations.
进入这种低模式状态可能会产生过度的情绪反应、内心混乱、恐惧或恐怖，以及随之而
来的羞耻感和羞辱感。在这种情况下，个人可能会倾向于“幼稚的愤怒”和攻击性，侵略性，
或彻底的暴力行为。进入这种状态会直接削弱个人与他人保持合作交流的能力。这样，在低
模式状态下反应灵活性和自省意识受损的倾向，可能是有未解决创伤的父母为何产生受惊和
/或恐吓行为的核心，这些行为导致他们的后代产生紊乱依恋。低模式状态不允许安全依恋
所需的敏感、偶然的交流。这可能是创伤转移及其在几代人之间产生破坏性连锁反应的核心
特征。
Unresolved trauma or grief, as revealed in the Unresolved/Disorganized category of the Adult
Attachment Interview, can thus be proposed to reveal a fundamental lack of neural integration within
the adult’s brain. The process of resolution may involve the achievement of a more integrated form
of functioning that makes these lower-mode states less likely to occur. During the resolution process,
if such disconnected experiences do continue, we would anticipate that the adult would be more
readily able to identify them and carry out the essential interactive repair that secure attachments
require. As psychotherapeutic interventions promote neural integration, we can imagine that the
integrative prefrontal region may become more actively involved in the global functioning of the
individual. Resolution would involve the repair of impediments to flexible self-regulation and
coherent autonoesis.
因此，如《成人依恋访谈》的未解决/紊乱类别中所揭示的，未解决的创伤或哀伤可视为
成人大脑内根本缺失神经整合。解决的过程可能包括实现一种更完整的功能形式，使这些低
模式状态不太可能发生。在解决过程中，如果这种断开连接的体验仍然继续下去，我们会预
料到，成年人将更容易识别它们，并执行安全依恋所需的必要互动修复。随着心理治疗干预
促进神经整合，我们可以想象，整合型前额叶区可能会更积极地参与个体的整体功能。解决
方案包括修复阻碍灵活自我调节和连贯自省意识的障碍。
Lack of resolution implies a blockage in the flow of information and energy both within the mind
and between minds. One example of the failure to achieve integration is in the various forms of
dissociation that may accompany lack of resolution. For example, unresolved states may involve the
intrusion of elements of implicit memory in the absence of an explicit memory counterpart for past
traumatic experiences (Siegel, 1996). Such “disassociations” of mental processes may be at the core
of clinical “dissociation” and an outcome of both trauma and earlier histories of disorganized
attachments. Lack of resolution also means the blockage in the flow of energy and information
between two minds: such impairment may be a central feature of disorganized attachments. In this
manner, we can see that impaired internal integration may lead to impaired interpersonal integration.
缺乏解决方案意味着大脑内部和大脑之间的信息与能量流动受阻。未能实现整合的一个
例子是伴随缺乏解决方案的各种形式的解离。例如，未解决的状态可能涉及在缺少过去创伤
经历的外显记忆对应物的情况下内隐记忆要素的侵入 (Siegel, 1996)。这种精神过程的“解离”
可能是临床“解离”的核心，也是创伤和早期紊乱依恋史的共同结果。缺乏解决方案也意味着
两个大脑之间的能量和信息流动受阻：这种损伤可能是紊乱依恋的核心特征。这样，我们可
以看到，受损的内部整合可能导致受损的人际整合。
One can see that the general approach to psychotherapy for individuals with unresolved trauma
and grief would be to attempt to enhance the mind’s innate tendency to move toward integration, both
within the brain and within interpersonal relationships. The caregiver’s ability to engage in attuned,
collaborative communication will be greatly enhanced through the resolution process. Therapeutic
116 ● D.J.Siegel
improvement would be revealed as a more adaptive flexibility of the mind to respond to changes in
both the external and internal worlds. An increased capacity to experience a broader range and higher
intensity of emotion would emerge, with the caregiver becoming more able to connect with the child
on a nonverbal, emotional level. Overall, these changes would reflect not only the freedom from a
disorganized sense of self across time as revealed in intrusive shifts in states of mind during lived
daily life and within autobiographical reflections, but also the enhanced capacity of the individual to
achieve integration (internal and interpersonal) and thus more adaptive and flexible self-regulation.
可以看出，对未解决创伤和哀伤的个人进行心理治疗的一般方法，是试图增强心智内在
的整合倾向，包括在大脑内部和人际关系中。通过解决问题的过程，看护人参与协调、合作
交流的能力将大大增强。治疗改善将表现为心智对外部和内部世界变化做出反应的更具适应
性的灵活性。随着看护人越来越能够在非语言、情感层面上与孩子建立连接，体验更广泛和
更强烈情感的能力将会提高。总的来说，这些变化不仅体现在日常生活中以及自传体反思中
心智状态的侵入性变化中，揭示了随着时间的推移，从混乱的自我感觉中解脱出来的自由，
还体现在个人实现整合（内部和人际）的能力增强，从而实现更具适应性和灵活的自我调节。
REFLECTIONS ON INTEGRATION AND MENTAL HEALTH

关于整合与心理健康的反思
The finding that the coherence of the adult’s autobiographical narrative is the most robust predictor
of the child’s attachment with the parent can help us shed light on the importance of neural integration
for both mental health and nurturing interpersonal relationships. Coherent narratives can be seen to
reflect the ability of the “interpreting” left hemisphere to utilize the autobiographical, mentalizing,
and primary emotional processes of the right hemisphere in the production of “coherent” autonoesis,
or self-knowledge. The capacity to achieve such internal coherence may reveal that individual’s
ability to allow for the maximal complexity to be achieved within an interhemispheric form of
integration within the brain. In this manner, the spontaneous, free flow of information and energy
between both of the parent’s hemispheres reflects a core process of integration that enables coherent
autonoesis. Such bilateral hemispheric integration may also permit them to engage in the spontaneous
dyadic communication that is the hallmark of secure attachments. Such attuned and reflective
relationships rely on the spontaneous access to the representational processes of both the nonverbal
and verbal hemispheres of the brain. Parents who can achieve such internal resonance— revealed
within their coherent autobiographical narratives— will be more likely to nurture the development of
such integrative processing through their attuned and reflective interactions with their own children.
成人自传叙事的连贯性是儿童与父母依恋关系最健壮的预测因素，这一发现可以帮助我
们阐明神经整合对于心理健康和培养人际关系的重要性。连贯的叙述可以被视为反映了“解
读”左半球的能力，即利用右半球的自传、心理化和主要情感过程来产生“连贯的”自省意识
或自知力。实现这种内在连贯性的能力，可以揭示个体允许在大脑内半球间整合形式内实现
最大复杂性的能力。以这种方式，父母两个半球之间自发的、自由的信息和能量流动反映了
核心的整合过程，从而实现了连贯的自省意识。这种双边半球整合也可能允许他们参与自发
的二元交流，这是安全依恋的标志。这种协调和反思的关系依赖于大脑非语言和语言半球对
表征过程的自发访问。能够获得这种内在共鸣的父母——在他们连贯的自传体叙事中显露出
来——将更有可能通过与他们自己孩子协调和反思互动来培养这种整合性加工的发展。
The process of integration under normal conditions may yield states of activation that are more
adaptive, flexible, and stable over time than nonintegrated, less complex states. As interpersonal
experiences early in life shape the manner in which the child develops self-regulatory capacities,
attachment patterns may instill characteristic modes of self-organization and interpersonal relatedness.
Why would moment-to-moment interactions lead to lasting integrative tendencies within the child?
The finding that neural systems have recursively reinforcing processes may help to understand this
finding (van Ooyen & van Pelt, 1994). Neural circuits that achieve a certain degree of complexity in
their structure and function appear to have self reinforcing qualities that maintain this level of
complex processing. The activation of specific patterns of neuronal firing not only creates mental
representations, but it also influences the nature of the complexity that the neural networks are able
to achieve. Thus, integrative interpersonal interactions may produce linkages among neural networks
that reinforce their very nature. It is in this way that interpersonal communication may facilitate a
direct effect on the organization of the complexity of neural structure.
正常条件下的整合过程可能会产生比非整合、不太复杂的状态更具适应性、灵活性和长
期稳定性的激活状态。由于生命早期的人际经验塑造了儿童发展自我调节能力的方式，依恋
模式可能会注入自组织和人际关系的特征模式。为什么时时刻刻的互动会导致孩子持久的整
合倾向？神经系统具有递归强化过程的发现可能有助于理解这一研究成果 (van Ooyen & van
Pelt, 1994)。在结构和功能上达到一定复杂程度的神经回路，似乎具有自我强化的品质，维
持这种水平的复杂处理。神经元激发特定模式的激活不仅会产生心理表征，还会影响神经网
络能够实现的复杂性本质。因此，整合性人际互动可能会在神经网络之间产生联系，从而强
化其本质。正是通过这种方式，人际交流才可能促进对神经结构复杂性的组织产生直接影响。
The communication of emotion can be seen at the core of the interpersonal communication that
facilitates integration and the maximizing of complexity. Such interpersonal sharing of primary
emotional states can be conceptualized as a form of “resonance” defined as the mutually influencing
activity of separate elements. Resonance is an outcome of integration. As we have seen, emotion is
inherently an integrative process. By linking mental processes to each other within the single mind
118 ● D.J.Siegel
and across two or more minds, emotion serves as the fundamental aspect of mental life that serves to
“join” or “integrate” minds. The sense of vitality, authenticity, and resonance that arises with
narrative coherence and within attuned dyadic relationships can create a deep sense of meaning and
connection within oneself and with others. These integrative processes can be proposed to be at the
core of emotional well-being and psychological resilience. The ongoing, dynamic process of
integration may be fundamental to the evolving mechanisms within the life of an individual, dyad,
family or community’s continual movement toward mental health.
情绪交流被视为人际交流的核心，有助于整合和最大化复杂性。这种主要情绪状态的人
际共享可以被概念化为一种“共鸣”形式，即独立元素相互影响的活动。共鸣是整合的结果。
正如我们所看到的，情绪本质上是一个整合的过程。通过在单个心智中以及跨越两个或更多
个心智将精神过程彼此联系起来，情绪充当了精神生活的基本方面，服务于“连接”或“整合”
心智。在叙事连贯性与和谐的二元关系中产生的活力、真实性和共鸣感可以在自己和他人身
上创造一种深刻的意义和连接感。这些整合过程可以被认为是情绪健康和心理弹性的核心。
持续的、动态的整合过程可能是个人、二人组合、家庭或社区生活中不断走向心理健康的进
化机制基础。
By examining the convergent scientific findings regarding the social nature of the growing mind,
we can come to the view that shared subjective experience is one of the most important aspects of
human relationships and of psychological development. This perspective from an interpersonal
neurobiology of the developing mind yields a scientific, objective view of the importance of
subjectivity in human life.
通过考察关于心智成长社会本质的科学研究结论，我们可以得出这样的观点：共享的主
观体验是人类关系和心理发展最重要的一个方面。这种从心智发展的人际神经生物学角度出
发的观点，对人类生活中主观的重要性产生了科学、客观的看法。
Attachment research suggests that the mind may continue to develop in response to emotional
relationships throughout the lifespan (Lichtenstein-Phelps, Belsky, & Crnic, 1998). These changes in
the internal mental models of attachment may be mediated by continuing openness of the brain to
change in response to experience. Thus, the possibility remains that ongoing experiences, especially
those involving the basic aspects of secure attachments described earlier, may enable some
individuals to acquire a more richly developed capacity for neural integration. These basic
relationship components include collaborative communication, reflective dialogue, interactive repair,
coherent narrativization, and emotional communication. The hope is that interpersonal experiences
that involve these basic components will offer respect for the individual’s subjective experience
within emotionally engaging relationships. Relationships such as those of family, friends,
psychotherapy, and the collaborative environment of nurturing communities might facilitate the
development of flexible self-regulation and a more integrated way of life for all ages. If we can find
a way to facilitate neural integration within the minds of individuals across the lifespan, we may be
able to promote a more compassionate world of human connections.
依恋研究表明，心智可能在一生中在对情感关系的反应中不断发展 (Lichtenstein-
Phelps, Belsky, & Crnic, 1998)。依恋的内在心理模型中这些变化可能是由大脑对变化的持续
开放（以响应经验）作为中介的。因此，仍有可能的是，正在进行的经验，特别是那些涉及
安全依恋的基本方面，如前所述，可能会使一些人获得更丰富的神经整合能力。这些基本的
关系构成包括合作交流、反思性对话、互动修复、连贯的叙述和情绪交流。希望涉及这些基
本组成部分的人际体验，能尊重个人在情绪互动关系中的主观体验。家庭、朋友、心理治疗
等关系以及养育社区的合作环境可能有助于所有年龄层发展灵活的自我调节和更和谐的生活
方式。如果我们能够找到一种方法，在个体的整个一生内促进心智的神经整合，我们或许能
够促进这个世界的人际关系更具同情心。
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Toward An Interpersonal Neurobiology of The Developing Mind

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ARTICLE

TOWARD AN INTERPERSONAL NEUROBIOLOGY OF THE DEVELOPING MIND:

INFANT MENTAL HEALTH JOURNAL, Vol. 22(1–2), 67–94 (2001)

DO ATTACHMENT RELATIONSHIPS INFLUENCE BRAIN DEVELOPMENT?

实上，这种分析过程就是科学进步的方式 (Wilson, 1998)。那些帮助儿童发育的人应该意识

BRAIN DEVELOPMENT AND MEMORY

THE DEVELOPMENT OF “SELF” AND HUMAN RELATIONSHIPS

ATTACHMENT AND THE DEVELOPING MIND

INTERPERSONAL COMMUNICATION AND THE DEVELOPMENT OF MINDSIGHT

里，右半球是大脑的主导侧 (Chiron, Jambaque, Nabbot, Lounes, Syrota, & Dulac, 1997)。“主导”

COMPLEXITY, COHERENT NARRATIVES, AND NEURAL INTEGRATION

UNRESOLVED STATES, DISORGANIZED ATTACHMENT, AND IMPAIRMENTS TO

REFLECTIONS ON INTEGRATION AND MENTAL HEALTH

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