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Functional and Structural Indices of Empathy
Functional and Structural Indices of Empathy
Functional and Structural Indices of Empathy
Objective: To evaluate a model that hypothesizes that empathy is associated with decreased right parietal
lobe (RPL)-related self-orientation (i.e., increased selflessness), which allows individuals to more easily
empathize with others. Methods: Participants: Thirty one individuals with documented neuroradiological
abnormalities due to traumatic brain injury (TBI) referred for clinical evaluations. Measures: Cerebral
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
integrity was measured with both functional (i.e., neuropsychological tests) and structural indices (i.e.,
This document is copyrighted by the American Psychological Association or one of its allied publishers.
MRI). Participants were administered comprehensive neuropsychological tests associated with general
bilateral frontal, temporal, and parietal lobe functioning, a self-report measure of empathy (i.e., Penner’s
Prosocial Personality Battery), and an objective measure of empathy (i.e., Prisoner’s Dilemma). Twenty
participants also completed structural MRI analysis of the bilateral frontal, temporal, parietal, and insular
cortices measured in terms of volume. Results: Pearson correlations indicated that empathy was related
to increased neuropsychological indices of RPL and frontal lobe (primarily left frontal) functioning. The
only MRI indices associated with empathy were the bilateral insula. Neither functional nor structural
cerebral indices were significantly related to objective measures of empathy. Conclusions: Contrary to
hypotheses, empathy appears to be associated with increased RPL functioning. It is suggested that to
incorporate the experiences of others into the experience of the self (i.e., to be empathetic), one must have
an intact sense of the self.
Keywords: affective empathy, cognitive empathy, self-orientation, right parietal lobe, neuropsychology
Neuroanatomy of Empathy Peretz, 2004; Zaki & Ochsner, 2012). Considered together, these
studies implicate most of the brain in empathy, which is not
There has been growing interest in determining the neuroanat- surprising given its complexity. This variability in findings is
omical and neuropsychological foundations of empathy (hereby likely related to the lack of clear definitions of empathy, method-
defined as “the action of understanding, being aware of, being
ological weaknesses inherent in neuroradiological scanning (Logo-
sensitive to, and vicariously experiencing the feelings, thoughts,
thetis, 2008), and other methodological issues (e.g., use of self-
and experience of another”). A meta-analysis of empathy research
report vs. objective measures of empathy; “artificiality” of
concluded that empathy is a complex construct that is related to
objective empathy measures; structural vs. functional measures of
multiple neurologic networks and cognitive and emotional abilities
cerebral integrity; use of clinical and nonclinical samples; Zaki &
(Zaki & Ochsner, 2012). Specifically, empathy has been shown to
Ochsner, 2012).
be related to the inferior parietal lobe, temporoparietal junction,
The majority of research on the neurology of empathy has
anterior insula, posterior superior temporal sulcus, temporal pole,
involved neuroradiological evaluation of nonclinical populations
premotor cortex, posterior cingulate cortex, anterior cingulate cor-
engaged in objective computer-based tasks. However, determining
tex, medial prefrontal cortex, insula, right temporoparietal region,
associations between empathy and cerebral regions is complicated
and various regions of the frontal lobes (Banissy, Kanai, Walsh, &
given the numerous other cognitive processes that are engaged
Rees, 2012; Decety & Jackson, 2004; Decety & Jackson, 2006;
during objective tasks of empathy (e.g., attending to stimuli, lis-
Eslinger, 1998; Grattan, Bloomer, Archambault, & Eslinger, 1994;
tening to instructions, perceiving stimuli, cognitively processing
Grattan & Eslinger, 1989; Grattan & Eslinger, 1992; Mutschler,
economic games commonly used in empathy research, etc.; Logo-
Reinbold, Wankerl, Seifritz, & Ball, 2013; Preston & de Waal,
2002; Shamay-Tsoory, Tomer, Goldsher, Berger, & Aharon- thetis, 2008). As a result, the neuroanatomical basis of empathy
has been difficult to determine. An alternative research method has
involved the investigation of populations with brain dysfunction in
which persons with various lesions/disorders are compared with
This article was published Online First November 17, 2014. one another (e.g., persons with left vs. right frontal lobe lesions),
Brick Johnstone, Department of Health Psychology, University of Missouri; or to healthy control groups, in terms of empathy (Beadle &
Dan Cohen, Department of Religious Studies, University of Missouri; Kirk R.
Tranel, 2013; de Sousa et al., 2010; Eslinger, 1998; Grattan et al.,
Bryant, Department of Health Psychology, University of Missouri; Bret Glass,
1994; Grattan & Eslinger, 1989; Grattan & Eslinger, 1992; Rankin,
Department of Psychological Sciences, University of Missouri; Shawn E.
Christ, Department of Psychological Sciences, University of Missouri. Kramer, & Miller, 2005; Rankin et al., 2006; Shamay-Tsoory et
Correspondence concerning this article should be addressed to Brick John- al., 2004; Shamay-Tsoory, Aharon-Peretz, & Perry, 2009). Using
stone, Department of Health Psychology, University of Missouri, DC116.88, this method, empathy can be associated with different cerebral
Columbia, MO 65212. E-mail: johnstoneg@health.missouri.edu areas (i.e., damage to areas associated with empathy will be
463
464 JOHNSTONE, COHEN, BRYANT, GLASS, AND CHRIST
indicative of decreased empathy). However, a weakness in such 2012) and seizures (Johnstone et al., 2014). These studies suggest
research is that only general relationships can be inferred given the that to forgive, one must be willing to decrease focus on the
diffuse nature of most brain disorders. Whereas the first method perceived wrong to the self.
may lead to overidentification of the cerebral areas/functions spe- Based on these studies, it is hypothesized that empathy may also
cifically associated with empathy, the latter one can only be used be related to decreased RPL-related self-orientation. Specifically,
to make general inferences regarding brain-empathy relationships. it is suggested that one must be selfless to experience spiritual
In fact, it has been suggested that the two methodologies are transcendence, be willing to forgive, and to be empathetic. This
appropriate complements to one another (Rorden & Karnath, hypothesis is also based on studies that indicate that the right
2004). hemisphere, and particularly the RPL, is primarily related to pro-
cessing information that is related to the self (Austin, 2009;
Northoff et al., 2006). Numerous studies have consistently dem-
Neuropsychology of Empathy
onstrated that the right hemisphere is related to several self-
In addition to identifying the cerebral areas associated with referential processes, such as recognizing pictures of one’s self and
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
empathy, research has also focused on determining the specific processing autobiographical information/memories (Decety &
This document is copyrighted by the American Psychological Association or one of its allied publishers.
affective and cognitive components of empathy. Empathy has been Sommerville, 2003; Keenan, McCutcheon, & Pascual-Leone,
conceptualized as relating to numerous cognitive processes includ- 2001; Keenan, Nelson, O’Connor, & Pascual-Leone, 2001; Leigh
ing attention, memory, perspective taking, theory of mind, abstract et al., 2013; Lou et al., 2004; Platek, Wathne, Tierney, & Thom-
reasoning, cognitive flexibility, generational fluency, and set shift- son, 2008; Uddin, Molnar-Szakacs, Zaidel, & Iacoboni, 2006).
ing (Rankin et al., 2005). More concisely, empathy is generally The relationship between the RPL and self-orientation is also
conceptualized as involving two primary neuropsychological pro- supported by research with individuals with RPL dysfunction.
cesses including the ability to cognitively take the perspective of They often experience “disorders of the self,” including anosag-
others (i.e., cognitive empathy) and the ability to feel the emotions nosia and left-sided neglect, in which they have difficulties
of others as if they were one’s own (i.e., affective empathy; creating/processing a coherent sense of the physical and/or
Shamay-Tsoory et al., 2009; Shamay-Tsoory, 2011). Studies of psychic self (Feinberg & Keenan, 2005b; Feinberg & Keenan,
empathy involving persons with brain dysfunction have primarily 2005a; McGlynn & Schacter, 1989; Mesulam, 2000). When
focused on the associations between empathy and cognitive flex- considered together, these studies suggest that decreased RPL-
ibility (Grattan et al., 1994; Shamay-Tsoory et al., 2009; Grattan & related self-orientation (which can be conceptualized as in-
Eslinger, 1989), with suggestions that increased cognitive flexibil- creased “selflessness”) may also allow individuals to more
ity allows individuals to take the perspective of others. Other easily understand and relate to the experiences of others (i.e., to
studies suggest that empathy is related to declarative memory be empathetic).
(Beadle & Tranel, 2013), as well as empathetic concern (Rankin et
al., 2005; Rankin et al., 2006). Rationale for Current Study
It was hypothesized that decreased integrity of the RPL (which
Right Hemisphere, Self-Orientation, and Empathy is associated with decreased self-orientation) would be related to
Empathy has been hypothesized to be related to “self/other increased empathy. To address weaknesses in empathy research to
differentiation” and “self/other overlap” (Zaki & Ochsner, 2012). date, empathy was measured by subjective and objective measures,
However, the specific nature of such self/other neuropsychological and cerebral integrity was measured in terms of both functional
processes has not been fully elaborated. Recent research on other and structural indices. Although the focus of the study was on the
complex human experiences/traits (i.e., transcendence, forgive- relationship between the RPL and empathy, relationships among
ness) suggests that empathy may have its neuropsychological empathy and indices of other cerebral areas were also investigated
foundations in decreased self-orientation associated with the right to assist in clarifying the neurologic and neuropsychological foun-
hemisphere, and particularly the right parietal lobe (RPL). Re- dations of empathy.
search indicates that persons with increasing RPL dysfunction,
from either brain injuries or tumors, report increased spiritual Methods
transcendence (Johnstone, Bodling, Cohen, Christ, & Wegryzn,
2012; Johnstone & Glass, 2008; Urgesi, Aglioti, Skrap, & Fabbro, Participants
2010). This increased transcendence is hypothesized to be related
to decreased self-orientation, or what can be termed increased The sample included 31 individuals with TBI referred for out-
“selflessness.” These studies are further supported by single- patient neuropsychological evaluations at a Midwestern university.
photon emission computed tomography (SPECT) research on Bud- All participants had abnormal clinical radiologic evaluations of the
dhist monks and Franciscan nuns who demonstrate decreased RPL brain. Neuropsychological tests and self-report measures of empa-
activity during advanced spiritual practices while reporting in- thy were completed by all 31 participants. MRI data for 20
creased feelings of selflessness (Newberg, Alavi, Baime, Mozley, participants was obtained and analyzed for research purposes. Data
& d’Aquili, 1997; Newberg et al., 2001; Newberg, Pourdehand, were unavailable for the remaining participants due to either
Alavi, & d’Aquili, 2003). preexisting counterindications (e.g., metal in body; n ⫽ 7) or
Two recently published studies suggest that decreased RPL technical problems at the time of testing (n ⫽ 4). Chi-square and
functioning is also related to increased willingness to forgive in t tests conducted between the 20 participants with and 11 partic-
populations with both traumatic brain injury (TBI; Johnstone et al., ipants without MRI scanning indicated there were no significant
SELF-ORIENTATION AND EMPATHY 465
evaluations and had evidence of abnormal neuroradiological eval- Effected Brain Regions on Imaging
uations at the time of their injuries. They were administered Left Frontal 9 29.0
measures of the functional integrity of the brain including intelli- Right Frontal 7 22.6
gence, memory, language, visual-spatial skills, attention, and Left Temporal 7 22.6
Right Temporal 7 22.6
sensory-motor skills by psychometricians (see Table 3). Partici-
Left Parietal 6 19.4
pants provided informed consent and completed subjective mea- Right Parietal 4 12.9
sures of empathy (see Table 4). Participants were then scheduled Occipital 2 6.5
for MRIs (i.e., measures of the structural integrity of the brain),
where they were screened for contraindications to scanning and
also completed an objective measure of empathy. Participants were
compensated $100. The present study was approved by the uni-
versity’s research review board.
Table 4 trial. The total score is the amount of money earned over all trials.
Subjective and Objective Empathy Measures Higher dollar amounts are indicative of higher levels of coopera-
Descriptive Statistics tion (and theoretically empathy).
The score for each scale is the total number endorsed for each
compared with 40% of SPECT scans and 86% of magnetoen-
respective scale. The Total Empathy score is the sum of each of the
cephalography evaluations (Lewine et al., 2007).
following three subscales.
Empathetic concern. This subscale includes four questions
Neuropsychological Tests
and assesses the degree to which individuals are emotionally
concerned with the well-being of others. It includes questions such The following neuropsychological tests were administered as
as: “When I see someone being taken advantage of, I feel kind of indices of the general functional integrity of each of the following
protective toward them”; “I am often quite touched by things that cerebral lobes. Specifically, the tests were not used as indicators of
I see happen.” To be consistent with the terminology of previous specific cognitive functions, but rather to infer the functional
studies, Empathetic Concern is conceptualized as affective empa- integrity of the cerebral lobe that is generally associated with the
thy. Higher scores suggest more empathetic concern. Cronbach’s test (i.e., finger agnosia tests used as indices of parietal lobe
alpha for the measure was .67 for the original sample (Penner, functioning, rather than measures of tactile sensitivity; Lezak,
2002; n ⫽ 1,111). Howieson, & Loring, 2004). However, it is acknowledged that
Perspective taking. This subscale includes five questions and only general relationships could be inferred regarding empathy and
assesses the degree to which individuals can take the perspective neuroanatomical foundations, which was determined to be appro-
of others. It includes questions such as: “I sometimes try to priate given the unclear nature of the neurological foundations of
understand my friends better by imagining how things look from empathy (Zaki & Ochsner, 2012). For all tests, higher scores
their perspective”; “When I am upset at someone, I usually try to indicate more intact ability, other than for the finger agnosia tests
‘put myself in their shoes’ for a while.” To be consistent with the (i.e., higher scores equal worse performance). Age was controlled
terminology from previous studies, Perspective Taking is concep- for by calculating standard scores for all tests based on age, other
tualized as cognitive empathy. Higher scores suggest a greater than for finger agnosia.
capacity to take other’s perspective. Cronbach’s alpha for the RPL. The Judgment of Line Orientation (JOLO; Benton,
measure was .66 for the original sample (Penner, 2002; n ⫽ Hamsher, Varney, & Spreen, 1983) and left-hand finger agnosia
1,111). tests were used to infer RPL functioning. The JOLO is a measure
Personal distress. This subscale includes three questions and of spatial perception with the total score equaling the number
assesses the degree to which individuals have difficulties dealing correct of the 30 total items. For this study, the score is presented
with stressful situations. Example questions include: “I tend to lose as a z-score calculated according to normative data published in
control during emergencies”; “I am usually pretty effective in the test manual, with higher z -scores indicative of better perfor-
dealing with emergencies”; and “When I see someone who badly mance. The JOLO, and similar measures of the perception of
needs help in an emergency, I go to pieces.” Higher scores suggest angulation, have been associated with right hemisphere and par-
a higher degree of distress. Cronbach’s alpha for the measure was ticularly RPL functioning (Benton, Hannay, & Varney, 1975;
.77 for the original sample (Penner, 2002; n ⫽ 1,111). Lezak, Howieson, & Loring, 2004; Meador et al., 1993). Left-
Prisoner’s Dilemma task. This computer task that has been sided finger agnosia is a measure of tactile perception that is
used as an objective measure of empathy/altruism (Batson & associated with the RPL (Lezak et al., 2004). On this test, each of
Moran, 1999). Participants are engaged in a task in which they are the five fingers is touched four times and identified by the partic-
told they can cooperate with, or not cooperate with (i.e., defect), ipant, with the score equaling the total number of errors. More
another person (i.e., the same confederate face on the computer agnosia errors suggest greater RPL dysfunction.
screen for each trial), not knowing if the confederate will them- Left parietal lobe. Right-sided finger agnosia is a measure of
selves cooperate or defect. If the participant and confederate both tactile perception associated with the left parietal lobe (Lezak et
choose to cooperate, then they both earn $5. If the participant al., 2004), during which each of the five fingers is touched four
defects but the confederate cooperates, then the participant earns times and identified by the participant, with the score equaling the
$6 and the confederate $1. If the participant cooperates but the total number of errors. More agnosia errors suggest greater left
confederate defects, then the participant earns $1 and the confed- parietal dysfunction.
erate $6. The participants are administered 15 trials twice, and the Right temporal lobe. The Brief Visuospatial Memory Test
participant is informed of the confederate’s response after each Revised (BVMT-R; Benedict, 1997) is a test of visual memory that
SELF-ORIENTATION AND EMPATHY 467
has been associated with right temporal lobe functioning (Tranel & (the upsampling is required for use of BrainVoyager’s advanced
Damasio, 2002). It involves presenting the participant with three segmentation tools). BrainVoyager’s built-in segmentation pro-
trials during which they are visually exposed to six geometric cess, which uses local intensity histograms and computed gradient
figures for 10 s, after which they are asked to draw the figures from fields to adaptively calculate WM, GM, and cerebrospinal fluid
memory. The score is the total number of details recalled for all (CSF) boundaries, was then applied. Importantly, before proceed-
three trials, which is presented as a t score based on age-related ing, the resulting segmentations were visually inspected (slice-by-
normative data (average t score ⫽ 50, SD ⫽ 10). slice) for accuracy and manually corrected where necessary. Cor-
Left temporal lobe. The Wechsler Memory Scale III tical thickness measurements were calculated using a Laplace
(WMS-3) Logical Memory (LM) I subtest (Wechsler, 1997b) is a method (Jones, Buchbinder, & Aharon, 2000) as implemented
measure of verbal memory that has been associated with left
within BrainVoyager. For the current study, cortical volume was
temporal functioning (Tranel & Damasio, 2002). It involves read-
chosen as an index of structural cerebral integrity (i.e., cortical
ing two narrative stories to the participant that they are asked to
thickness ⫻ surface area), consistent to other neuroradiological
remember and repeat immediately after presentation. The score is
studies of empathy (Banissy et al., 2012; see Table 5).
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
SD ⫽ 3).
Left frontal lobe. The Delis Kaplan Executive Function Sys- also utilized to create cortical surface reconstructions of each
tem Letter Fluency Test (DKEFS; Delis & Kaplan, 2001) is a hemisphere for each participant. Anatomical alignment of these
measure of verbal fluency that has been associated with left frontal surface representations (and thereby the aforementioned cortical
lobe functioning (Johnstone, Leach, Hickey, Frank, & Rupright, thickness measurements) across participants was accomplished
1995). On this measure, participants state as many words as using BrainVoyager’s automatic cortex-based alignment (CBA)
possible in a 1-min period for three different letters. The total score process (Fischl, Sereno, Tootell, & Dale, 1999; Goebel, Esposito,
is the total number of words generated over the three trials, which & Formisano, 2006). CBA represents an iterative adaptive process
is expressed as a scaled score based on age-related normative data whereby curvature information (representing gyral and sulcal fold-
(M ⫽ 10, SD ⫽ 3). ing patterns) is used to align macroanatomical structures (gyri and
Frontal lobe. The Trail Making Test Part B (Reitan, 1992) sulci) of each participant’s brain to a standard reference brain
has been associated with general frontal lobe functioning (John- provided in BrainVoyager. Following alignment, average cortical
stone et al., 1995). It is a measure of divided attention (also thickness, surface area, and volume measurements were extracted
described as cognitive flexibility) that involves the participant for each major cortical region (frontal, parietal, temporal, insular)
completing a connect-the-dot test, alternating between a series of of each hemisphere (left, right) of each participant.
numbers and letters (i.e., 1 to A, A to 2, 2 to B, B to 3, etc.). The Analyses. Pearson product–moment correlations were con-
result is based on time to complete the measure. For this study, the ducted among the neuropsychological measures and the Penner
score is presented as a z score according to normative data (Hea- Prosocial Personality Battery Empathy scales, and the Prisoner’s
ton, Miller, Taylor, & Grant, 2004), with higher z scores indicative
Dilemma total score (see Table 6). It is noted that age was
of better performance.
accounted for in the analyses through the use of age-corrected
normative data for the neuropsychological measures, other than for
MRI finger agnosia measures. Partial-correlations using age as a cova-
Data acquisition. A 3T Siemens Trio MRI scanner with a riate were conducted among MRI-derived measures of cortical
standard eight-channel head coil was used to obtain high- volume and the Penner scores, and the Prisoner’s Dilemma total
resolution (1 mm3) T1-weighted structural images of the brain. score (see Table 7). Statistical significance was set at 0.05, ac-
Images were collected using a standard T1-weighted pulse se- knowledging weaknesses inherent in using the relatively small
quence (MP-RAGE sequence: repetition time [TR] ⫽ 1,920 ms, sample size.
echo time [TE] ⫽ 4 ms, flip angle ⫽ 8°, number of slices ⫽ 160,
resolution ⫽ 1 mm3).
Data processing and analysis. Data processing and analysis
was carried out using a surface-based approach as implemented
within BrainVoyager QX software (Brain Innovation, Maastricht, Table 5
The Netherlands). (For a more extensive description of the Brain- MRI Cortical Volume Descriptive Statistics
Voyager processing pipeline, see http://support.brainvoyager.com
or Geuze et al., 2008.) First, the structural MRI data for each N Min. Max. Mean SD
participant was rotated into anterior-posterior commissures (AC- Left Hemisphere
PC) coordinates. The skull and dural tissue were then removed by Left Temporal 20 30,628.05 53,710.81 42,241.44 5,425.12
manually deleting voxels containing non-neural tissue. Next, a Left Frontal 20 41,317.70 79,798.30 59,528.84 8,539.29
Sigma filter and BrainVoyager’s automatic intensity inhomogene- Left Parietal 20 23,028.63 37,681.60 31,215.89 3,722.84
Left Insula 20 6,319.09 9,724.08 8,121.69 900.11
ity correction tool (IIHC) were applied to enhance grey/white Right Hemisphere
matter (GM/WM) tissue contrast and correct for spatial intensity Right Temporal 19 30,052.48 47,168.65 40,602.12 4,330.72
inhomogeneities, respectively. Noncortical structures (e.g., ventri- Right Parietal 20 44,251.37 81,739.61 62,146.05 8,641.45
cles, subcortical nuclei) were then removed, and the resulting Right Frontal 20 23,802.39 34,333.18 28,024.57 3,026.48
Right Insula 20 8,123.95 11,413.30 9,915.95 894.49
image was upsampled from 1 to 0.5 mm3 using sinc interpolation
468 JOHNSTONE, COHEN, BRYANT, GLASS, AND CHRIST
to perceptual judgment and left-sided tactile sensitivity. If concep- The lack of significant findings between empathy and other
tualized in this manner, it can then be inferred that other RPL cerebral areas does not suggest that empathy is solely based in the
functions, such as general self-orientation processes (Austin, 2009; insula. The lack of findings is more likely related to the fact that
Decety & Sommerville, 2003; Leigh et al., 2013; Lou et al., 2004; many individuals with even severe TBI have normal neuroradio-
Uddin et al., 2006; Feinberg & Keenan, 2005b, 2005a; McGlynn & logical findings (Brasure et al., 2012; Lobato et al., 1986). This
Schacter, 1989; Mesulam, 2000) are also likely to be diminished. suggests that quantitative structural MRI data may help differen-
Of note, the results also indicated that decreased RPL function- tiate groups with brain dysfunction for comparison (e.g., frontal vs.
ing (i.e., JOLO, left-sided finger agnosia) is associated with higher nonfrontal lesions; Grattan, Bloomer, Archambault, & Eslinger
levels of personal distress. That is, less intact RPL functioning 1994), but may not be appropriate for correlational analyses such
(and inferentially the sense of self) is associated with a decreased as those conducted in the current study. Regardless, the current
ability to keep composure under stressful situations (e.g., “I tend to results clearly suggest that future empathy research will benefit
lose control during emergencies”; “When I see someone who from focusing on the role of the insula.
badly needs help in an emergency, I go to pieces”). This suggests
This article is intended solely for the personal use of the individual user and is not to be disseminated broadly.
that a stronger sense of the self allows individuals to retain com- Self-Report Versus Objective Measures of Empathy
This document is copyrighted by the American Psychological Association or one of its allied publishers.
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