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Abstract
How we understand and respond to others’ emotions (i.e., empathy) may be influenced by the
regulatory processes that are used to shape which emotions we and others have (i.e., emotion
regulation). Empathy and emotion regulation are complex multidimensional constructs and
the relationship between their component processes is not well characterized. To enable future
work to examine their relationship more closely, this chapter presents an integrative frame-
work of empathy and emotion regulation. We begin by delineating the component processes
that underlie empathy and emotion regulation, and the neural underpinnings of these pro-
cesses. We then present an integrative framework describing the processes of empathy and
how these may be acted upon by distinct regulatory strategies. We conclude with a brief
consideration of contextual influences on empathy and emotion regulation using a reward-
based heuristic.
Keywords
Empathy, Emotion regulation, Cognitive, Affective, Neuroscience
Empathy and emotion regulation are both processes that are vital for effective social
functioning and emotional well-being (Decety and Lamm, 2006; Gross, 2002, 2015).
Broadly speaking, empathy refers to understanding and/or sharing another’s emotion
(Chakrabarti and Baron-Cohen, 2006; Decety and Jackson, 2004; Preston and
de Waal, 2002), and emotion regulation refers to the processes by which one
manages emotions (Gross, 1998, 2015). While empathy and emotion regulation
largely have been considered separately, there is growing evidence that these
processes may be intrinsically related. Consider a situation in which somebody
has upset or angered you. Trying to see things from that person’s perspective and
understand the motivations behind their actions can often help to regulate any neg-
ative emotions you felt as a result of their behaviors. Or think of a parent whose child
is in pain. Empathic processes can allow the parent to share and understand their
child’s distress. However, if they are unable to sufficiently regulate this emotional
state, such distress could impede the parent’s ability to support their child appropri-
ately. These everyday examples illustrate how empathy can be involved in emotion
regulation as well as how emotion regulation can be involved in empathy. Despite the
increasing awareness that emotion regulation may influence empathic processes, and
vice versa, the nature of the interactions between these constructs is not currently
well characterized.
Our primary goal in this chapter is to bridge the conceptual divide between
empathy and emotion regulation by presenting an integrative framework to examine
their relationship. We begin by describing the core processes that comprise empathy
and emotion regulation, drawing upon neuroscience evidence to highlight the distinct
component processes that underlie these phenomena. We then present an integrative
framework for empathic processes, which incorporates a theoretical model of emotion
regulation to highlight how different regulatory strategies can influence the component
processes of empathy. Finally, we briefly discuss how contextual modulation of these
processes can be conceptualized through a reward-based heuristic.
FIG. 1
Component processes of empathy: Perceptual processes facilitate the detection of relevant
emotion cues; mimicry/embodiment mechanisms can elicit spontaneous resonance with
another’s emotions; cognitive processes enable the observer to make inferences about the
other’s emotional state and distinguish self from other. The color grading on each component
reflects the temporal gradient of these processes: for example, perceptual processes are
active very early in response to a stimulus, whereas cognitive processes come online at a later
stage. While the three component processes reflect separable mechanisms that operate on
different timescales and can act independently, they often operate in parallel.
1.1 Perception
Crucial to understanding and responding to another’s emotion is the ability to attend
to relevant cues pertaining to their emotional state (Enticott et al., 2008). One of the
primary means through which human emotions are communicated are facial expres-
sions (Adolphs, 2002; Balconi and Bortolotti, 2013; Balconi and Pozzoli, 2009;
Smith et al., 2005). A human face expressing an emotion represents a highly salient
cue that is often processed in a prioritized manner. Efficient detection of facial
expressions of emotion has been demonstrated using various paradigms (Fox
et al., 2000; Sweeny et al., 2012; Yan et al., 2017). For example, in attentional blink
tasks the inability to detect a second target face when it is preceded by another target
with a short stimulus onset asynchrony (within 200–400 ms; Fox et al., 2005) is
reduced when the second face is emotional (Yerys et al., 2013). Event related poten-
tial (ERP) studies have demonstrated that relative to neutral faces, emotional faces
are associated with enhanced positivity of fronto-central components, with this
difference observed as early as 180 ms after stimulus onset (Eimer and Holmes,
2007). Such findings suggest that salient emotional information may be processed
at an early stage of perception on a relatively implicit level.
The importance of perceptual processes for empathy is evident in studies of trait
empathy. Within our framework, self-report measures of trait empathy can be
viewed as measuring the extent of effective use of the component processes of em-
pathy. Studies using the aforementioned attentional blink paradigms have shown
that higher trait empathy correlates with improved detection of sad facial expres-
sions during the “attentional blink period” (Kang et al., 2017). Higher trait empathy
is also associated with more fixations on the eye-region during face perception
(Cowan et al., 2014) and a greater ability to infer complex mental/emotional states
from images of just the eye-region (Vellante et al., 2013). The eyes appear to hold a
special status in human social perception (Darwin, 1872) and attention to the eye-
region of the face plays an important role in the perception component of empathy
(Baron-Cohen et al., 1997). This view is further supported by evidence that indi-
viduals with autism spectrum conditions (ASC), a group of disorders characterized
by deficits in social functioning and understanding others’ mental/emotional states,
fixate less on the eye-region when viewing social stimuli than typical controls (Klin
et al., 2002).
The neural substrate of emotional face perception includes activity in visual
(fusiform gyrus, lingual gyrus, inferior occipital gyrus) and temporal (superior
temporal sulcus; STS) regions involved in early configurational processing of faces
(Chakrabarti et al., 2006; Kanwisher et al., 1997; Lee et al., 2008; Rossion et al.,
2003, 2012), as well as activations in specific subcortical structures, including
the amygdala, ventral striatum, and insula (Adolphs, 2002; Breiter et al., 1996;
Chakrabarti et al., 2006; Morris et al., 1996, 1998; Wicker et al., 2003). Amygdala
activations have been reported even when the emotional content of faces is task-
irrelevant (Vuilleumier et al., 2001), and with very short presentations of face stimuli,
often below the threshold of conscious awareness (Whalen et al., 1998).
1 Component processes of empathy 277
The amygdala has been shown to modulate activity in various brain regions, in-
cluding those involved in face processing (e.g., fusiform gyrus) (Morris et al., 1998;
Vuilleumier and Pourtois, 2007). In addition to enabling the rapid response to salient
emotional stimuli, the amygdala may also support emotion recognition via interac-
tions with other regions (such as the orbitofrontal cortex; OFC), which integrate
perceptual representations of faces with knowledge regarding the emotions being
displayed (see Adolphs, 2002). Amygdala responses to emotional faces have
also been directly implicated in empathy. For instance, it has been demonstrated
that the amygdala response to faces can facilitate the recognition of complex
emotional/mental states (Adolphs et al., 2002; Stone et al., 2003), and that individuals
with ASC show reduced activations in the amygdala when viewing emotional facial
expressions (Ashwin et al., 2007; Baron-Cohen et al., 1999; Critchley et al., 2000).
As the research discussed above highlights, the perception of facial cues pertain-
ing to another’s emotion is a core component process of empathy. While we have
focused specifically upon facial expression of emotion, another’s emotions can be
communicated in a variety of ways, such as through bodily posture, prosody, or
verbal mediation through language (Coulson, 2004; Scherer, 2003; Wallbott,
1998). All emotion cues are not necessarily as “concrete” as facial and bodily expres-
sions: we routinely have to respond to abstract emotion-relevant cues from our
environment. Systematic consideration of the various kinds of information that
can function as an abstract cue falls beyond the scope of this chapter. As we go
on to discuss, while concrete emotion cues can spontaneously elicit a response
in the observer through mimicry/embodiment mechanisms, abstract cues may
require more elaborate cognitive processing (Bird and Viding, 2014; Coplan and
Goldie, 2012).
1.2 Mimicry/embodiment
Humans display an inherent predisposition to spontaneously mimic the behaviors
of others, including their facial expressions, body language, and vocalizations
(Chartrand and Bargh, 1999; Chartrand and Dalton, 2009; Dimberg et al., 2000;
Hess and Blairy, 2001; Niedenthal et al., 2001; Wallbott, 1991). Spontaneous
facial mimicry (SFM) has been extensively studied using facial electromyography.
Perception of emotional facial expressions elicits activity in congruent muscle
groups in the observer; e.g., the Corrugator supercilii in response to angry faces
and the Zygomaticus major in response to happy faces (Dimberg and Petterson,
2000; Dimberg and Thunberg, 1998; Hess et al., 1998; Rymarczyk et al., 2018;
Sims et al., 2012). Crucially, SFM can be triggered rapidly and automatically
(Dimberg and Thunberg, 1998), even when the observer is not consciously aware
of the presence of the face (Bornemann et al., 2012; Dimberg et al., 2000).
The lack of need for high-resolution stimulus representations in triggering SFM,
as well as evidence of such spontaneous mimicry in young children who have not
yet developed efficient cognitive control mechanisms (Nadel, 2002), suggests that
these processes are recruited early in the hierarchy of empathy-related responses.
278 CHAPTER 12 Empathy and emotion regulation
that a student has missed the school bus may enable an observer to infer that he or she
must be feeling anxious about being late to school. Critically, the accuracy of these
inferential processes is dependent upon the knowledge of the observer (Coplan and
Goldie, 2012). One who is not familiar with school buses and the education system
might find it difficult to make the inference relative to another who is more embed-
ded within this socio-cultural milieu.
The inferential processes involved in empathy consistently recruit the medial
PFC (mPFC), posterior cingulate cortex (PCC), and the posterior STS/TPJ (Saxe
et al., 2006). These structures have been implicated in a range of socio-emotional
and self-referential processes (McGuire et al., 1996; Reiman et al., 1997), such as
imagining the experiences of another individual (Hassabis et al., 2014; Krienen
et al., 2010), making judgments about another’s emotional state (Haas et al.,
2015), as well as forming and applying social script knowledge (Barbey et al.,
2009; Van Overwalle, 2009).
The mPFC may process information pertaining to another’s mental/emotional
state based on both concrete and abstract emotion cues (Lombardo et al., 2010;
Peelen et al., 2010; Skerry and Saxe, 2014) allowing it to play a key role in repre-
senting others’ affective states (Takahashi et al., 2015). The ventral mPFC (vmPFC)
is functionally linked to brain regions associated with the processing of various forms
of internal and external information, including the OFC (Carmichael and Price, 1995;
Reiman et al., 1997) and various subcortical regions (Barbas and Blatt, 1995; Laurita
et al., 2017; Sevinc et al., 2017). These dense connections suggest that the vmPFC
could be involved in integrating affective and cognitive inputs for the purposes of
decision-making (Bechara et al., 1994; Elliott et al., 2000), and that it may influence
activity within subcortical structures based upon stimulus appraisals (Ledoux, 2000).
These cognitive control processes are mediated largely by the PFC (Barresi and
Moore, 1996; Decety and Chaminade, 2003). In addition, the TPJ and supramarginal
gyrus (SMG) have been posited as playing a key role in self-other control processes
(Kanske et al., 2015; Santiesteban et al., 2012; Silani et al., 2013). The TPJ is
functionally connected to control-related regions in the PFC and cingulate cortex
(Mars et al., 2013; Steinbeis, 2016; Steinbeis et al., 2015), and is consistently
activated across a range of tasks involving understanding others’ mental/emotional
states (Decety and Lamm, 2007; Sperduti et al., 2011; Van Overwalle, 2009).
In sum, cognitive processes represent the most elaborate and complex set of
empathic processes. They involve switching between the representations of self
and other in service of inferences based on concrete and/or abstract cues that require
temporal binding of the available information. Understandably, these processes need
more cortical resources and time, and as such, cognitive empathic processes occur
later and emerge over a longer timescale than the other sets of empathic processes
described above.
FIG. 2
Schematic of the Extended Process Model of emotion regulation (Gross, 2015). The emotion
generation process comprises a situation (world), which once perceived (perception) is
subject to evaluative processes (valuation) which determine the emotional response (action).
Each stage in this emotion-generative cycle can be targeted by different regulation strategies,
thereby altering the emotional response the situation elicits.
Situation selection and modification act upon the earliest stage of the emotion
generation process. Situation selection often entails avoiding emotion-eliciting situ-
ations and has been found to be an effective way to manage one’s emotions
(Aspinwall and Taylor, 1997). While situation selection typically refers to avoiding
being exposed to an emotion-eliciting stimulus in the first instance (Diefendorff
et al., 2008), this strategy could also involve removing oneself from an ongoing
situation. Situation modification involves attempts to directly change the emotion-
eliciting situation such that its affective influence is altered (Gross, 1998, 2015).
While the neural bases of other regulation strategies have been well characterized,
situation selection and modification have received relatively little attention from
imaging studies. This is predominantly due to the difficulty in developing paradigms
that would enable these strategies to be studied effectively in the laboratory environ-
ment (Ochsner et al., 2012).
Attentional deployment refers to controlling the way in which attention is
allocated to different features of a stimulus/situation in order to alter its emotional
impact. This could entail distraction, wherein attention in entirely directed away
from the emotion-eliciting stimulus in an external (e.g., looking away) or internal
(e.g., thinking about something incongruent with the emotional stimulus) manner.
In addition to entirely distracting oneself, one may also attend to less emotionally
relevant aspects of the situation (Gross, 1998, 2015; Gross and Thompson, 2007).
Diverting attention toward non-emotional features has been shown to be effective
in downregulating emotional intensity (Ferri et al., 2013; Isaacowitz et al., 2009;
Nix et al., 1995). Conversely, one’s emotional response may be heightened when
more emotional features are attended (Ochsner et al., 2004).
Attentional deployment relates to activations in prefrontal (including dorsolateral
and dorsomedial PFC) and parietal control regions, which downregulate activity in
subcortical structures such as the amygdala (Ferri et al., 2013). Given that emotional
stimuli may capture attention in a reflexive manner (see Carretie, 2014), the activation
in these PFC regions likely reflects the effortful processing required to disengage
attention following bottom-up capture by emotional stimuli (Ferri and Hajcak, 2015).
Cognitive change strategies involve modifying the way in which one thinks
about the emotion-eliciting stimulus, such that the emotional response it elicits is
altered in the desired direction (Gross, 1998, 2002; Sheppes and Gross, 2011).
The most commonly studied cognitive change strategy is reappraisal, which is often
operationalized either as semantic reappraisal or reappraisal via perspective taking
(Webb et al., 2012). Semantic reappraisal refers to a cognitive-linguistic strategy in
which the meaning adhered to an emotional stimulus is altered (Goldin et al., 2008;
Gross, 1998; Hajcak and Nieuwenhuis, 2006; Phan et al., 2005; Sheppes and
Gross, 2011). Reappraisal via perspective taking involves adopting the perspective
of a detached observer in order to cognitively distance oneself from an emotional
stimulus/state, without necessarily changing its meaning (Erk et al., 2010;
Koenigsberg et al., 2010; Messina et al., 2015; Webb et al., 2012). When participants
are instructed to use these forms of reappraisal in laboratory studies, they experience
significant reductions in negative emotional experience based on self-report,
284 CHAPTER 12 Empathy and emotion regulation
psychophysiological, and neural measures (Jackson et al., 2000; Ray et al., 2010; Shiota
and Levenson, 2012; Wallace-Hadrill and Kamboj, 2016; for reviews, see Kalisch,
2009; Messina et al., 2015; Webb et al., 2012). Furthermore, the habitual use of reap-
praisal strategies is associated with various favorable outcomes, such as increased
trait positive affect, more effective interpersonal functioning, and increased
emotional well-being (Brans et al., 2013; Gross, 2002; Gross and John, 2003).
Reappraisal has been shown to recruit a distributed network of brain regions
associated with cognitive control, attention, and verbal processing, including the
anterior cingulate cortex (ACC), vlPFC, mPFC, OFC, and dorsolateral PFC (dlPFC)
(Kalisch, 2009; Phan et al., 2005; Wager et al., 2008). Functional connectivity
analyses have demonstrated that activity in these PFC regions is inversely related
to amygdala activation (Diekhof et al., 2011; Goldin et al., 2008; Ochsner et al.,
2012; Urry et al., 2009), most likely reflecting a diminished emotional response
following top-down regulation (Banks et al., 2007; Wager et al., 2008). Temporal,
inferior parietal, and ventromedial prefrontal regions activated during reappraisal
tasks (Buhle et al., 2014) are considered part of the “semantic system” (Binder
et al., 2009; Patterson et al., 2007) and may reflect the recovery and application
of contextual and socio-emotional knowledge necessary to reappraise the meaning
of the emotional stimulus (Neumann and Lozo, 2012; Zahn et al., 2007). While there
is overlap between the brain regions associated with semantic reappraisal and reap-
praisal via perspective taking, there is evidence to suggest that the latter may be less
reliant upon cognitive control processes mediated by the PFC, and is primarily
associated with activations in temporal regions, such as the right inferior parietal
lobule (a region of the TPJ) and left superior temporal gyrus (Messina et al., 2015).
Response modulation strategies act directly upon the emotional state itself. The
most commonly studied form of response modulation is expressive suppression
(henceforth suppression), which involves efforts to inhibit behaviors associated with
the expression of emotion (e.g., facial expressions) (Gross, 1998, 2015). Suppression
is broadly considered to be a maladaptive emotion regulation strategy, with evidence
that it is associated with increased sympathetic/cardiovascular activity (Gross and
Levenson, 1997), increased acoustic startle response (Hagemann et al., 2006), and
sustained activations in the amygdala and insula (Goldin et al., 2008). While
some studies have found evidence of reduced self-reported negative emotion during
suppression, this could be due to the redirection of attention necessary to control
one’s facial muscles, which may inherently reduce attentional resources allocated
to the emotional stimulus/experience (Goldin et al., 2008).
Task measures of suppression, wherein participants are instructed to inhibit their
facial muscle responses when viewing emotional stimuli, have demonstrated the late
recruitment of a cortical network including the right ventrolateral PFC (vlPFC)
(Goldin et al., 2008), a region implicated in inhibitory control of motor-responses
(Garavan et al., 2006; Rubia et al., 2003). The late enhancement of PFC activity is
likely to reflect the top-down control necessary to inhibit the prepotent muscular facial
responses to emotion stimuli, and/or the increased cognitive demand associated with
attempts to modulate the input from subcortical structures involved in emotion proces-
sing (Goldin et al., 2008).
3 A framework for integrating empathy and emotion regulation 285
In sum, emotion regulation comprises various strategies that enable the individ-
ual to manage their emotional responses by targeting different stages of the emotion
generation process. Different regulation strategies vary in their short-term efficacy in
modulating emotion; they may also differ in terms of their longer-term conse-
quences. Consider again the example of feeling anxious about an upcoming presen-
tation. Efforts to distract oneself from the situation (i.e., attentional deployment) may
reduce feelings of anxiety, but at the expense of long-term emotional adaptation
(Paul et al., 2016; Uusberg et al., 2016). While trying to think differently about
the situation (i.e., cognitive change) may be somewhat less effective than distraction
in terms of its short-term influence on the emotion state, this strategy may facilitate
long-term adaptation, enabling the individual to more effectively deal with the affec-
tive impact of similar situations in the future (MacNamara et al., 2011).
upon the nature of these cues (i.e., concrete or abstract), an emotional response can be
elicited in the observer by two separable but parallel mechanisms. In this framework,
mimicry/embodiment processes reflect a “hyperlink,” whereby the perception of
concrete emotion cues can directly and automatically elicit an isomorphic emotional
response in the observer. By contrast, cognitive processes reflect a more prototypical
cybernetic pathway whereby the perceived abstract emotion cues are combined with
prior knowledge to produce a representation of the emotional response of the other
through inference.
Representing empathic processes in this manner highlights the iterative nature
of real-world social interactions, wherein the observer’s perceptions, appraisals, and
resultant emotional state may change over time as the situation unfolds. Crucially
for current purposes, it also offers a simple heuristic to understand how different
regulation strategies can act upon each of the empathic processes (Fig. 3B). Consistent
with dual process models of emotion regulation (e.g., Gyurak et al., 2011), we propose
that the influence of these regulatory strategies on empathic processes can occur in both
an implicit and explicit manner. Next, we will discuss in further detail each regulation
strategy in relation to the empathic processes they can primarily target.
state evoked via mimicry/embodiment processes would likely hinder one’s capacity
to share in another’s emotion. Indeed, there is evidence that the habitual use of sup-
pression is related to reduced self-reported tendency to share others’ emotions
(Lockwood et al., 2014; Powell, 2018), and has also been found to entail various neg-
ative consequences for social functioning (Butler et al., 2003). Further, considering
the previously discussed evidence of heightened physiological activity and sustained
activations in emotion-related brain regions during suppression, it is likely that this
regulation strategy might be associated with increased arousal and self-focused
distress in response to others’ negative emotions.
The sensorimotor information provided by spontaneous mimicry/embodiment
may also facilitate the recognition and understanding of others’ emotional states
(Chartrand and Bargh, 1999; Niedenthal, 2007; Preston and de Waal, 2002); thus,
suppression could interfere with one’s ability to accurately understand another’s
emotional experience. In partial support of this assertion, studies in which SFM
is blocked by inhibiting participants’ facial muscles (e.g., by biting down on a
pen) have demonstrated impairments in emotion recognition (Neal and Chartrand,
2011; Oberman et al., 2007; Stel and van Knippenberg, 2008).
Contreras-Huertas et al., 2013; Gutsell and Inzlicht, 2012; Hein et al., 2010).
In contrast to processes related to mimicry/embodiment, far less work has tested
the influence of reward on cognitive empathic processes (for notable exceptions,
see Savitsky et al., 2011; Stinson and Ickes, 1992; Thomas and Fletcher, 2003).
Similarly to empathic processes, the choice, implementation, and efficacy of
regulatory strategies are also highly context dependent (Gross, 2015; Suri et al.,
2018). Adaptive emotion regulation is dependent not only upon the observer’s ability
to utilize a given strategy, but also their capacity to adaptively select an effective
strategy appropriate to the context in which an emotion occurs (Gross, 2015).
If reward can modulate the empathic processes as described earlier, it follows that
it can have an impact on the resultant emotional state of the observer. Further, within
this framework, we suggest that the reward value of the observed other can also
influence the choice and implementation of regulatory strategies. At a simple level,
we propose that the choice of if and how to regulate the emotional state induced by
empathic processes is determined by the relative reward value attributed to different
proximate (e.g., reduce current negative emotional state) and ultimate (e.g., facilitate
relationship with rewarding other) goals (see Cameron et al., 2017 for detailed
discussion of goal valuation in relation to empathy).
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