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Fake empathy in Black for a Day by Alisha Gaines (Reviewed)

Book Review: Fake Empathy in Black for a Day: White Fantasies of Race and Empathy by Alisha Gaines (University of North Carolina Press, 2017: 212 pp)

This reviewer is inclined to compare Black for a Day to Leonardo da Vinci’s masterpiece “The Last Supper.” Leonardo’s painting was a fresco, which is made by applying paint to wet plaster. The plaster for Leonardo’s fresco did not dry properly and the painting began to peel almost immediately. The painting has had to be continuously patched up ever since then. Leonardo’s masterpiece “The Last Supper” has, therefore, been called “a magnificent wreck.” So is this book, Black for a Day

Black for a Day paints an engaging and indeed fascinating picture of individuals (most but not exclusively white) who try to masquerade, to “pass as,” to impersonate, black people. It is a page-turner and eye-opening. Parts of it are confronting, and definitely not for the faint of heart. The short review: if one begins with pretense, deception, and inauthenticity as input, then one gets pretence, deception, inauthenticity—and fake empathy—as output. Black for a Day, as indicated, includes a fascinating account of what amounts to social psychology experiments gone bad. White people putting on the equivalent of black face, pretending to be black, is a bold experiment, which, however engaging as a kind of misguided role playing, does not work as designed or intended. Yet, such a mixed result no more invalidates a rigorous and critical empathy than that Roman soldiers hammered nails into the limbs of the people they were crucifying invalidates carpentry. The entire matter is nuanced and complex and the longer review follows.

Alisha Gaines, professor of English at Florida State University, begins with a personal reflection on her participation her high school’s production of the Broadway hit musical Finian’s Rainbow in 1996. Now Finian’s Rainbow was a Broadway musical first produced with considerable success in 1947. It is a fairy tale, including a pot of gold, a leprechaun, and a mythic creature with green skin. I acknowledge that I need to get out more, and I thank Professor Gaines for calling Finian’s Rainbow to my attention. 

Finian’s Rainbow was made into a major motion picture in 1968 directed by Francis Ford Coppola staring Petula Clark (her hit song “Downtown” was a “hit”) and Keenan Wynn. The main action occurs when a racist US Senator modeled on the historical Theodore G. Bilbo, but reminding me of Jesse Helms, another notorious racist in the US Senate, is magically turned into a black person. This magically transformed Senator gets to walk in the shoes of the despised, devalued Other, presumably while singing various Broadway hit show tunes. As Black for a Day properly points out the empathy is “painted on.” Furthermore, if the empathy lessons were so well learned by the racist senator, then why was he so eager to be transformed back into a white person (which he is as part of a happy ending)? Unconscious biases, white fantasies, and prejudice, strike again! They continue to do so in the remaining, non-fictional, chapters. 

One may say, prejudice is prejudice and all prejudices are alike, and there would be truth to that. Yet when one looks at the dynamics of prejudice, one cannot simply substitute the underlying dynamics of racism against black people for antisemitism or sexism or for homophobia.

The fantasy of black hyper masculinity is repressed as a source of anxiety challenging the white male’s (imagined) inadequate sexual potency. It then gets reversed and projected onto the devalued Other, who comes at the white man as white woman’s desire for the stereotyped hyper sexed black man

For example, Elisabeth Young-Breuhl. (1996). The Anatomy of Prejudices: page 367:

“The white male’s mythological contractions of black male sexuality – the images of Negro phallic power, animal lust, and rapaciousness – signal the jealousy and resentment over the black’s defilement pleasure, and they also reflect the white male’s anxiety that white women really desire the black’s aggressive sexuality.” 

In contrast to the hysterical fantasy of the over-dramatized black male, the Jewish person is made the target of an obsessional paranoid over-intellectualization – the totally fictional worldwide conspiracy of the Protocol of the Elders of Zion. In the case of homophobia, one stays with the dynamic of difference for one has to project that, in a certain sense, the boy finds other boys attractive, in that special sexual way, and must defend against being a “fag” be perpetrating acts of aggression. Nor should the sexism and misogyny be overlooked. In the case of the prejudices of racism (in the narrow sense against blacks) and antisemitism the devalued, despised Other becomes the target of projections one of own inner black and jew in every imaginable positive and negative sense. The differences collapse – inwardly I am the despised Other and get rid of the negative value by externalizing it. In the sexism, the anatomical difference between the sexes is such that the difference is impossible to deny, so the Other must be denied, deleted, “killed,” in order to reestablish integrity of the self. In the prejudices stereotype, the Other – the woman in this case – is hated for being inferior cognitively, physically, and so, even as the male harbors a certain womb envy. One should try to keep these complex, simultaneously changing variables in mind in confronting, deconstructing, and debunking prejudices of all kinds (see Young-Breuhl 1996 for a magisterial account). Meanwhile – 

The main action of Black for a Day leaves the Finian fairy tale behind, in order to engage with confronting racial stereotypes—the “white fantasies of race” called out in the book’s subtitle—such as the stereotype of the hyper-sexed black Mandingo male and the morally loose black woman, fantasies everyone. However, the main fantasy that “racial impersonation” brings forth is empathy. The narrative of Black for a Day consists in critically reviewing several non-fiction narratives of individuals, born Caucasian, who go “under cover,” changing the color of their skin cosmetically and chemically from white to black, in order to “pass” as African American while travelling in the American south (or, in one case, Harlem) in the late 1940s and 1950s. Ray Sprigle, John Howard Graham, Grace Halsell, the cast of a Fox Reality TV show called Black.White (the latter show bring an exception in premiering in the year 2006) engage in what may be described as a bold, though misguided, experiment in social psychology (my terms, not Gaines’). This is supposed to produce empathy between the races and/or in white people for black people, but what it actually produces is fake empathy. Key term: fake empathy (once again, my term, not Gaines’).

On background, the reader may usefully recall that Finian’s Rainbow is a Broadway musical written in 1947. The Civil Rights Act was passed in 1964, making Jim Crow laws illegal. The Voting Rights Act was passed in 1965, giving counties with majority black populations the ability to register to vote and elect their own sheriffs, a much-needed step in the direction of obtaining social, political, and criminal justice. The importance of this step should not be under-estimated, even as much work remains to be done today (2023), and as the US Supreme Court orders appointing a Special Master to redraw Alabama’s racially gerrymandered Congressional districts. Nor should one overlook that Wikipedia reports that one of the last lynchings occurred in Mobile, Alabama, on March 21, 1981 of Michael Donald. One perpetrator Henry Hays was executed by electric chair for the crime in 1997, one year after Gaines’ high school production of the fairy tale. Tough stuff, and not for the faint of heart. Nevertheless, this is on background and is not mentioned, though arguably implicated, in Black for a Day.

The motives of Sprigle, Graham, Halsell, and so on, were as diverse as the individuals themselves. Ray Sprigle was a Pulitzer Prize (1938) winning journalist, whose muck-raking writing tended to be sensationalist, emphasizing what Black for a Day describes as “Dixie-terror” against blacks while ignoring discrimination in the North. Gaines properly points out that Sprigle had a blind spot around the fact that black people were the victims of discrimination even in Northern States. In that context, however, this reviewer finds Black for a Dayproblematically asserting: “Although Sprigle’s original motivation was his career, he does his part to fulfill Myrdal’s dogma,” referring to Gunnar Myrdal’s An America Dilemma: The Negro Problem and Modern Democracy (1944 (2 vols)). 

The reader may usefully recall that Myrdal’s work was originally published in 1944, and Sprigle had started his experiment in 1947. Readers had little time to engaged the 1500 pages much less make it into a dogma in those three years. Myrdal’s two volume work cannot be summarized here, but one important challenge that it made to its readers was to stop being hypocrites, pretending to “all men (persons) are created equal,” while perpetrating Jim Crow laws, lynchings, and other forms of oppression and prejudice. That Myrdal’s work has become accepted “dogma,” notwithstanding its historical limitations in the eighty years since it was published is not an entirely bad thing. If this be dogma, stop being hypocritical, then make the most of it. Finally, to imply that the journalist, Sprigle, had some sort of career conflict of interest for wanting to win another Pulitzer Prize is concerning. This is not a conflict of interest – this is a journalist trying to do his job. The extent of his success is, of course, an open question.

Meanwhile, Myrdal needs no defense from me (nor am I capable of one here), but Myrdal does need one from Black for a Day, which charges him, accurately enough, with not having innovated in the matter of African-American History and/or Academics (p. 43), and, less charitably, of appealing to the consciences of the white people (p. 10) with his accusation of hypocrisy instead of advocating for Black Power (my use of the term at this point, not Gaines’) through economic, politics, and legislation. However, while I might be mistaken, a cursory find function using the Internet Archive of Mydral’s work disclosed hits on W. E. B. Du Bois, Ralph Bunche, and E. Franklin Frazier, the “erasure” of whose academic labor Black for a Day accuses Myrdal of having enacted (2017: 43; Myrdal 1944 passim). No pass on that one. The references were already there in the 1944 edition. It is hard not to be cynical – 1500 pages and still not enough footnotes, nor does Myrdal have the distinction “Critical Race Theory”! 

Myrdal maintained that northern whites were, in effect, living in their all-white enclaves, ignorant of the struggles of Negro citizens and would-be citizens. With that in mind, the flurry of journalist activity exemplified in Black for a Day by Sprigle, Graham, Halsell, etc., might usefully be redescribed as attempting to address informatively the white ignorance, the depths of which we have still not exhausted, with their respective journalistic reportage and social psychology undercover work. Black for a Day makes it sound like one has to decide between morality and empathy versus economics and legislative action. Why would someone force a choice like that? Don’t we need all of the above? 

By the way, a search of Myrdal using the find function does not disclose a single occurrence of “empathy” or “cross racial empathy” or “cross-racial empathy” (note the hyphen), though the word “segregation” does get 592 matches and “Southern” over a thousand. So, Myrdal was fighting a different battle. Or was he? As noted, in Q2 2023 the Alabama State legislation had its gerrymander voting districts declared invalid by Supreme Court – again. Presumably a federal judge will be appointing a Special Master to complete redistricting to allow for another black-majority Congressional District. It is not only microaggressions, which Gaines calls out as having endured, that are troubling (though they are surely that). Macroaggressions are concerning, too.

Still, it is never simple to distinguish cause and effect, and the informal social psychology experiments of “passing,” going under-cover, and assuming a false identity, present a tangle of issues. Black for a Day tries to disentangle them by committing to the position that such impersonations resulted in false consciousness – the illusion of racial understanding. Disagree. On the contrary, this reviewer allows for the likelihood that, especially between 1947 and 1965, a significant number of white folks, including some of my grandparents’ and parents’ generations, found their appreciation of the struggles for social justice and against racial prejudice to be expanded by these journalist “exposés,” notwithstanding their limitations. As for causes, the passing of the Voting Rights Act was caused, in the strict sense, by the fact that the Democratic Party had a super majority in the US Congress and were able to surmount the filibuster of the Southern Segregationists. That was the cause. Full stop. The rest is speculation. It turned out that President Johnson (LBJ) was a closet progressive (but, unfortunately, not on foreign policy). 

Meanwhile, John Howard Graham was a Saint of Empathy (my term, not Gaines’). Graham escaped from genteel Southern privilege in north Texas to study in France at the age of fifteen, going on to study psychiatry in France. According to Gaines, after studying psychiatry, Graham helped to rescue Jewish children from the Nazis by pretending they were mentally ill and sending them abroad. In the US Army in World War II, Graham was knocked head-over-heels unconscious by a near miss of an artillery explosion. The head trauma left him blind. Graham spent ten years learning to function as a blind person before seemingly miraculously regaining his sight. 

As near as I can understand the story, Graham’s project of studying racial prejudice led him to send out a questionnaire as part of what amounted to a seat-of-the-pants social psychology experiment on what it was like to be black. Most of the response were blank – arguably an expression of contempt – but a few black responders insisted he would not understand what black people were experiencing without “getting inside the skin” of the black person. Even if it was a “hair-brained” idea to try to change his racial identity, on my reading, Graham was a man of integrity with a lot of social scientific (and psychiatric) curiosity and no more unconscious bias than the population as a whole.

Never was it truer, correlation is not causation. Meanwhile, John Howard Graham’s memoire was made into a move Black Like Me in 1964, staring the well-known actor James Whitmore. As Black for a Day points out, Whitmore’s make-up looked fake – Gaines’ text has photos – as if he had escaped from a minstrel show in black face. However, the outrages depicted in his encounters with segregation and racism, even though clumsily enacted, were real enough and helped stoke the outrage of the audiences against injustices, social, political, and legal. 

In every case, Springle, Graham, Sewell, and the Fox reality TV show Black.White, appear to this reviewer like social psychology experiments that go off the rails, even as they become eye-opening paradigms of the apartheid-like status of black people in 1947, including the unconscious bias of both the investigators and their subjects, and the near delusional fantasies of the families on the Fox Reality TV show Black.White (2006). (Note “Black.White TV” is also a pun since TV was broadcast only in black and white until color TV because common around 1966 in the States.) There is a long history in social psychology of experiments “blowing up” and failing, albeit in ways that are more engaging than most standard social psychology outcomes that differentiate some obscure distinction by a percentage or two. 

As regards social psychology experiments that go off the rails, the reader may recall Philip Zimbardo’s 1971 Stanford Prison experiment. Severely criticized for ethical and scientific lapses, this experiment divided research subjects into Prisoners and Jailers and then took extensive notes on what happened. The experiment had to be stopped as the jailers became sadistic, abused their power, and the prisoners were getting ready to revolt violently. 

In another experiment that was not stopped, but some wish it had been, Stanley Milgram (1963) gives the research subjects a device to deliver electric shocks if the remoted learner in the other room gives the wrong answer. The electric shocks are fake. There were no real shocks administered and the supposed learner subjects were “confederates,” part of the research staff. However, the willingness to follow orders was shocking (no pun intended) as people obeyed commands from the white-lab-coat-wearing authority in charge to deliver voltages that would have gravely injured or killed a person if actually administered as the confederate shouted in fake agony, pounding on the walls in fake distress from the next room. 

Milgram’s experiments did not have to be stopped, since no one was shocked, but the results are deeply disturbing. We learn that people are obedient to authority to an extent that seems to entail an altered state of consciousness such as a hypnotic trance, perhaps like the concertation camp guards and other perpetrators of suicide bombings or war crimes. Though not quoted by Black for a Day, Lord Acton comes to mind: Power corrupts and absolute power corrupts absolutely. So, much precedent exists for social psychology experiments that fail spectacularly, and yet disclose disturbing results in spite of their limitations about people’s aggression, sheep-like obedience, out-and-out thoughtlessness, seeming incapacity for critical thinking – and racial prejudices; likewise with Gaines’ work?

Gaines does not make such a connection with social psychology, nor does she necessarily need to do so. A number of responses from black people suggested to Graham that he could never know the black person’s struggle without literally getting inside the skin of a black person. But that was his commitment – so that is what he tried to do. Remember, Graham person rescued Jewish children from the Nazis by pretending they were mentally ill and sending them abroad – a righteous use of deception if I have ever heard of one. Still, it turns out that changing one’s exterior color and working for a few weeks on changing the interior conversation makes great headlines, but does not work in establishing empathic relatedness. How could it?

Empathy is based on being authentic about who one is in relating to another person. Empathy is based on integrity and being straight with the other person to and with whom one is trying to relate. So the idea of starting off by pretending to be someone who one is not – impersonating a person one is not – is not going to produce empathy. One cannot start out by being a fake and expect to produce an authentic relationship. Hence, the idea of an empathic impersonation is a contradiction in terms. 

Staring with the integrity outage of impersonation does not create integrity – or empathy. It does not make a difference if one adds “race” to the mix. Empathic racial impersonation still results in fake relatedness and fake empathy. Now one may still learn a lot by going “under cover” and seeing how other people behave when they think you belong to the “in group” (in this case the “in group” of Southern segregationists or Northern racists), but one is going to get a complex, morally ambiguous integrity outage rather than an authentic relationship. 

In short, the muck-raking, memoires and experiments, of Sprigle, Graham, Halsell are social psychology experiment that go “off the rails.” The same can be said of the consistently devaluing assessment of these works in Black for a Day. These experiments, including Gaines’, provide engaging adventures and misadventures the demonstrate that when one starts out by faking solidarity, integrity, relatedness, and empathy as input, then one gets fake solidarity, fake integrity, fake relatedness, and fake empathy. This is not surprising. Fake in; fake out. The author calls this “empathic racial impersonation.” 

Along the same lines, one might rewrite Black for a Day to leverage Frantz Fanon, whose thought does get referenced but not really developed, to invalidate Sprigle, Graham, Halsell, etc., along the following lines: Fanon’s Black Skins, White Masks notes a certain blind spot – one might say false consciousness – in survivors of colonialism, black people who pretend or fake white mannerisms, customs, styles, etc., for so many reasons, including in order to survive in a hostile, racist community. Now we have white people (Sprigle, Graham, Halsell, etc.) pretending (faking) being black. So, by the transitive property of logic, these white people are pretending to be black pretending to be white – that is, they are white, pretending to be white. Of course, this is a reduction to absurdity, and an over-simplification, but it might have shortened Gaines’ book and argument. Still, it devalues the possibility and application of empathy to promote racial understanding. 

So does Black for a Day. Gaines (2017: 8, 171) claims to get her definition of empathy from Leslie Jamison and bell hooks. First, following up on bell hooks’ Black Looks: Race and Representation (1992), there is much about the relation to the Other and Otherness that resonates with my own interests. Speaking in the first person for emphasis, I get my humanness from the Other. In a strategic reversal, the infant humanizes / creates empathy in the parent; the student humanizes / creates empathy in the teacher; the patient, in the doctor; the customer, in the business person. The infant, in her lack of socialization, calls forth empathy in the parent to relate socially. The problem is that in bell hooks the Other relates to the one (and vice versa) in colonization, domination, subordination, imperialization, exploitation, manipulation. Nor do I dispute that these ways of relating are all-too-common. One reader finds a critique of empathy in bell hooks, whereas I find a critique of white supremacist capitalist patriarchy, which indeed deserves debunking. Her (bell hooks’) book uses the word “empathy” four times in the standard way without defining it. Arguably hooks’ essay “Eating the Other” (1992) is an implied definition of empathy – though a diligent search does not turn up the word “empathy” in the essay. 

The challenge is that empathy is not “eating the other,” either literally or metaphorically. If anyone wishes to cite hooks’ magisterial authority, then the alternative point of view is that “eating the other” is the breakdown of empathy into merger, not the respectful distinction that maintains the integrity of the self and Other in the practice of a rigorous and critical empathy. If one starts by eating the Other (in any sense), one does not get to empathy. Eating the Other is a mutilation of the Other and a mutilation of empathy. If one arrives at eating the Other (in any sense), one has not gotten there via empathy. One gets empathy mutilated by emotional contagion, projection, conformity, and so on. One gets various fragments of humanness and human beings that are the breakdown products of empathy under capitalism, patriarchy, imperialism, oral aggression, and so on. However, above all else – one gets indigestion.

Second, Leslie Jamison’s “Empathy Exams” (2014) is credited with the strategic ambiguity between the gift of empathy and invasion of the Other (though I would argue that falls short of a proper definition). Here are the facts. Ms Jamison is a struggling writer, and she gets a job as a medical actor. She is given a script in which she plays the role – pretends to be – impersonates – someone who has a major mental illness. This is part of medical training and the medical students know the medical actor is not a real patient. The medical student must question the “patient” and interact with the “patient” to establish the best diagnosis of the disorder. Speaking personally, I teach a class at Ross University Medical School that uses films with medical actors doing just that – and the students are challenged to get the best diagnosis. As far as I know, Jamison is not in any of the films. Furthermore, the “patient” then provides feedback to the student and the medical authorities on how empathic the MD-in-training was in questioning and relating to the “patient.” That is the empathy exam. 

This must be emphasized – and empathized – the integrity of the situation is intact – no one is pretending to be really ill when they are not, or black when they are white, and so on, and people understand the exercise as training; thus, Jamison’s penetrating and engaging and amusing account of her misadventures as a medical actor. In any case, the medical actor does not pretend to be mentally ill the way the Sprigle, etc. pretended to be black. The medical actor and the student MDs know the actors are acting. All the world is a stage, but the audience does not jump up on it to try and rescue the innocent orphan from the villain.

The experiments of Sprigle, Graham, Halsell, etc. provide strong evidence, and I believe Gaines would agree, that when one attempts to take a walk in the other person’s shoes, it is harder to take off one’s own shoes than it might at first seem. Sprigle and company are trying to put the Other’s shoes on, but they cannot quite get their own off. They struggle mightily and I give them more credit for the effort than Gaines.

Staring with the integrity outage of impersonation does not create integrity – or empathy. I hasten to add it may expose the hypocrisies of Southern segregationists who claims that black people are happy with their subordinate roles (yet another white fantasy); or it may expose the unconscious biases (not explicitly invoked but ever present) of Northerners or the microaggressions of white liberals (and many others), who after all still struggle with racial stereotypes and the “white fantasies” of the subtitle of the stereotypes of the hyper-sexed black male or promiscuous black females. However, that is the thing about fantasies. There is nothing that prevents black people from having them too, though based on different experiences and in a different register than their white neighbors. The really tough question is whether Black for a Day believes that the possibility of racial cooperation and/or harmony – whether as an exemplary cooperative rainbow coalition or peaceful coexistence – is itself a mere fantasy – and so unlikely of realization. The steady drum beat in Black for a Day which calls out “empathic racial impersonation” sixty-five times in some 171 pages provides evidence that this is the main fantasy being debunked. 

Back covers of books are famously misleading, but after reading Black for a Day line-by-line, cover-to-cover, I believe the cover accurately represents the author’s position. I am not aware that anyone, black or white, has ever said – as does the back cover of Black for a Day – that “empathy is all that white Americans need” (my italics) to racially navigate social relations.  With the exception of the second to last paragraph of Black for a Day, the reader does not find a single statement in this book that is positive about the practice of empathy. None. One does not find a single example in the text of a rigorous and critical empathy that works to produce healthy empathic relatedness. If empathy is not “all” that is needed, what then is needed? Someone may usefully ask – because the author has not done so: what then is needed? 

The list of what is need is long, but it starts with a small set of related skills such as critical thinking, showing respect, acknowledgement, dignity, rigorous examination of one’s own implicit biases, and, of course, the practice of a rigorous and critical empathy. A case can also be made for reparations for survivors of slavery, such as a college education, but to get there is a whole issue in itself, and that cannot be pursued here. Okay, be charitable and attribute the “all” to the marketing department. However, once again, whatever the source, this “all” – as in “all you need is empathy” – is a nice example of an uncharitable argument, setting up a strawman – not in the sense of the Good Samaritan – but in the sense of engaging with the weakest, distorted, watered-down version of an argument, not the strongest. As noted, positively expressed, the scholarly standard is to try to make the opponent’s argument work. 

On background, the point is to be cooperative – “charitable” in Donald Davidson sense (1973: 136–137) – try to make the opponent’s argument work. Though it does not come up even to be summarily dismissed in Black for a Day, a case could be made that the journalist and social scientific experiments made a significant contribution to expanding the consciousness of the struggle against Jim Crow laws, the struggle for civil rights, and social justice, between 1947 and the passing of the Voting Rights Act in 1965. (The “opponent” in this case is the journalist or social psychology experimenter, not  the racist, whose argument has been examined and is invalid and full of defects. If Black for a Day tries to make the argument in favor of empathy work, it does not try very hard.)

How shall I put it delicately? Empathy doesn’t work on or with those suffering from psychopathic personality disorder, delusional disorders, certain forms of childhood autism, or lynch mobs. IF you encounter any of these, especially the latter, dial 911 and call for backup such as the FBI and the FBI hostage negotiation team, who do actually practice a kind of Red Team empathy to take a walk in the shoes of one’s opponents (such as the racist sheriff or white supremacist, survivalist hostage taker). 

In contrast, the practice of empathy in the class room, therapy, coaching, clinical practice, and medical training (see Jamison above on the “Empathy Exams”), requires the creation of a safe space in in which people can be self-expressed, open about who they are authentically, and emotionally vulnerable without being bullied or subject to microaggressions. Indeed that is the one-minute empathy training – drive out bullying, aggression, prejudice (there are so many kinds!), cynicism, resignation, judgment, evaluation, politics in the negative sense, then empathy naturally and spontaneously comes forth. People want to be empathic, if given half a chance.  

In all of these difficult situations of dealing with difficult and even hostile people, the empathic practice consists in setting boundaries, establishing limits, and all necessary measures of self-defense. There is the practice of a kind of radical empathy in nonviolent civil disobedience as taught by Gandhi and King, which powerfully appeals to the conscience of the racist sheriff by accepting the punishment of the fine or two weeks in jail. Note that implies there is a community, however broken, because the racist sheriff is credited with having enough conscience to think “something is wrong with a system that punishes someone for trying to come in through the front door and sit in for lunch at the local diner” Nor is this relevant only in 1947 for in Q2 2023 the Alabama State legislation had its gerrymander voting districts declared invalid by the Supreme Court again in Q2 2023. As noted, it is not only microaggressions that are so troubling.

Hindsight is 20-20 and Gaines’ work is rich in it – the last lynching was supposedly in 1981 (see Wikipedia article cited below), but the cop’s knee on George Floyd’s neck occurred in 2020. In July 2022, Derek Chauvin was sentenced to 21 years in prison (where Chauvin is today) for violating Floyd’s civil rights. An example of an uncharitable argument would be to charge the author with not acknowledging this ongoing macroaggression – more problematic is that one can and should oppose both microaggression and such macroaggressions as the risks of wide spread disenfranchisement of minorities, militarized police behavior that does not protect minority communities while profiling them for super-surveillance, and the effective banning of teaching African American history in HS’s in Florida where, coincidently, the author teaches college. It is easy to be cynical and resigned and propose “empathic racial impersonation” as another sixty-five bricks in the cynical wall of interracial relations. The hard work consists in driving out cynicism and resignation and allowing empathy to expand in the individual and community.

And while we are elaborating fantasies, all the times that empathic connections were being attacked, invalidated, faked, and impersonated, I am deeply ashamed to acknowledge that I had the fantasy that empathy was being lynched, lynched as retributive justice for not making a difference during all those body and soul murdering lynchings that occurred and are still occurring during encounters with unprofessional police. If you encounter any of these, then take action to set boundaries, reestablish limits, and recover safety and security. However, the misfiring and breakdown of empathy into fake empathy does not invalid empathy as such or its ability to make a profound difference in conflict resolution when deployed by a skillful partitioner. As I like to note, empathy should never be under-estimated, but, once again, empathy does not work with psychopaths, certain kinds of autism, most bullies, and lynch mobs. I am skeptical after Gandhi, King, and Malcolm, to add race relations to the list, notwithstanding that Black for a Day has tried to make a case for doing so. 

Black for a Day may object that the critique of empathy only applies to the limited and unconsciously biased practices of Sprigle, Graham, Halsell, and so on. However, Black for a Day has at least one significant blind spot of its own. In 171 pages of adventures and misadventures there are sixty-fives uses of “empathic racial impersonation,” which I determined in a line-by-line reading as the distinction is not in the index. In every case without exception as the impersonator tries to reach an understanding between the races, the interaction fails, misfires, and devolves into false consciousness of “empathic racial impersonation.” No good comes of it. White people can’t be anything but white (see above). There is not a single instance of a successful practice of empathy or clearly attained understanding between two individuals of different colors resulting in authentic empathic relatedness. Not one in 171 pages. Except for the second to last paragraph of the book, the practice of empathy is dismissed and devalued. In this one instance of a near miss of interracial empathy, with Carmen and Rose, mother and daughter (white pretending to be black), they are ever-so-close to reaching an expanded appreciation of the struggles of black people, but their experiences are invalidated. Gaines writes: “Both Rose and Carmen come away from this project with a profound sense of alienation. They feel a wall – one built by history, suspicion, paranoia, stereotype, and assumptions they conclude are nearly impossible to either penetrate or scale” (2017: 155). 

This reviewer protests. I repeat with urgency: Why is it that in 171 pages of penetrating and incisive and dense description, there is not a single instance of successful empathy? Why is there not one example of what a healthy example of successful empathic relatedness would look like so that one could identify it if one happened to run across it? Possibly the author has never seen or experienced one, but I do not accept that as the author is a sensitive, intelligent, empathic human being. My hypothesis is that the author has a grievance about the microaggressions – the dignity violations – to which she was unempathically and disrespectfully subjected; and one must agree that there are many things exist about which to be aggrieved. This results in the possibility of a rigorous and critical empathy – authentic empathy – being lost in the mistranslation of “empathic racial impersonation.” “Racial impersonation,” yes – but fake empathy is not empathy. Fake empathy has little or nothing to do with empathy, which remains unclarified by this work or its subtitle.

At every turn – I counted them – sixty-five times, we get “empathic racial impersonation,” and the steady drum beat of invalidation. Empathy goes off the rails as projection, conformity, bad faith, conscious and unconscious bias, communications lost in translation. Indeed, empathy is a most imperfect practice, nor are these struggling and misguided impersonators given the benefit of the doubt. Black for a Day does not engage with the strongest version of the argument that empathy is valuable. Empathy is the weakest, watered-down, or distorted one – “eating the other” or being a fake medical actor. Hmmm. Positively expressed, the scholarly standard is to try to make the opponent’s argument work rather than engaging with a distorted, strawman version of it. The one possible exception is if an author wishes to write a polemical piece. For example, Nietzsche explicitly subtitles his Genealogy of Morals “A Polemic.” If that is the author’s intention here, it is nowhere expressed, for example, in the preface.

Absent engaging in polemics, the point is to be cooperative – “charitable” in Donald Davidson’s sense (1973: 136–137) – try to make the opponent’s argument work. Though a whole essay is be required to explain “charity” in this argumentative sense, a short version of a charitable position might argue that, through the efforts of Sprigle, Graham, Halsell, ”reality” Black.White TV, and so on, were clumsy and ultimately flawed, the consciousnesses of poorly informed (and prejudiced) white people were expanded in being exposed to the injustices with which black people were struggling, and going forward black people can be counted on to take economic and legislative action on their own behalf. 

As Malcolm-X said to his black audience, “You didn’t’ land on Plymouth Rock; Plymouth Rock landed on you.” The “opponent” in this case is the social psychology experimenter, who is seeking interracial understanding, not the racist or white supremacist, whose argument has been tested and is invalid, full of defects. Malcolm-X: The white man (person) has behaved like the very devil – indeed is the devil – and if the black person is waiting around for help from the white person, it is going to be a long wait. That is agency: Get to work, which arguably Gaines has done, attacking every empathic connection she could find. Nevertheless, Malcolm modified his view when he encountered white Europeans, Middle Easterners, and especially Islamic people of good will, who championed the causes of social justice and black economic progress in the US. 

Though the contributions of Sprigle, Graham, Halsell are flawed – deeply flawed – in the time of Jim Crow, before the passage of the Civil Rights and Voting Rights Acts in 1964/65, these pioneers contributed to rousing the conscience of the nation against the injustices of segregation in the south and alternative forms of discrimination in the north. What they did not do is invent or promote Black Power – black agency – in calling forth economic, political, and legislative action to improve black lives. What they did not do is address the problem of microaggressions, dignity violation and insults that cumulatively add up to significant narcissistic injury. Such insults, subtle meanness, and narcissistic slights have existed from time immemorial, but the distinction “microaggression” as such was first articulated in 1970 Harvard University psychiatrist Chester Piece (according to D. W. Sue 2010). 

An example from Black for a Day? The author’s seventh grade history teacher – tin-eared, hypocritical, racist, or just having had the class read Incidents in the Life of a Slave Girl (1861) by Harriet Jacobs, or all of the above – asks the young Gaines to explain to her classmates what slavey was really like (2017: 2) – as if Alisha had been a slave?! Such a dignity violation is exemplary of what sounded like – but I am guessing – a difficult if not hostile and unempathic environment (and that is matter for the author’s memoire, not this text). It is no wonder that the author is aggrieved. Even enraged. But why against empathy? 

One may argue back: No, no, Lou, you just don’t get it – the grievance is against “empathic racial impersonation.” Okay fine. I assert that I got that. Here is the problem with that: when one starts out with impersonation to deceive the Other, then one is going to be prevented from relating to that Other authentically as is required by and with empathy. “Empathic impersonation” is fake empathy. So, coming from impersonation, the attempt to practice empathy based on an integrity outage is not going to work. 

Never under-estimate the power of empathy, yet empathy is not going to work coming from an integrity outage. Now impersonation might produce credible undercover journalism; it might produce legally admissible undercover police work; it might produce engaging war games at the Pentagon where the Red Team takes a walk in the Blue Team’s opponent’s shoes to sink their ships in an imaginary Persian Gulf scenario; it might even produce an engaging social psychology experiment in which “confederates” of the experimenter pretend to be who they are not to disclose unconscious bias. However, what such impersonation is not going to produce is empathy. “Empathic impersonation,” as noted, is a contradiction, and blows itself up. It is not going to produce authentic person-to-person understanding of who the other person is as a possibility of relating with openness and integrity. One does not get to integrity and openness by being closed off and deceptive. Well and good. Gaines and I are in agreement about the problematic nature of impersonation; where I take strong exception to Black for a Day, is the claim that this is a valid critique of empathy. 

I comment on Black for a Day as the author of three peer-reviewed books on empathy (2010, 2014, 2015). I grew up in Chicago, so the Jesuits who taught me world history and US history included liberation theology and significant elements of what was then called “Black History,” but I am no authority on either of the latter. However, regarding empathy, I have done my homework, though in a deep sense I am no more or less empathic than any parent with children, doctor with patients, business person with customers, or teacher with students. Empathy is a high bar. On a good day, I get there; on other days, I struggle like everyone else.

What my empathy suggests to me is that the author is aggrieved about something – maybe a lot of things – possibly microaggressions – and I am inclined to say, “It sounds like you could use some empathy – please count on mine!” However, based on the text, she is not asking for it – empathy – does not see value in it – and seems to find satisfaction in attacking every possibility of empathic connection that comes forth. When it comes to empathy, Gaines does not “get it” – in just about every sense. Gaines fails a readiness assessment for the practice of a rigorous and critical empathy – does not commit to or try to create a safe space in which a debate or empathic listening could occur. One could argue back – one is human, therefore, ready or not, here comes empathy; and one is ready for empathy whether one likes it or not, and the point must be acknowledged – there is an unwillingness to engage with the strongest version of a rigorous and critical empathy rather than a watered-down weird “eat the other.” In short, the rumor of empathy remains a rumor in the case of Black for a Day; the rumor is not confirmed; and empathy does not live in this work. It is where empathy goes to become fake empathy. Don’t go there.

References 

Authors of Wikipedia. The lynching of Michael Donald: https://en.wikipedia.org/wiki/Lynching_of_Michael_Donald [checked on 2023-09-24]

Donald Davidson. (1973). Radical interpretation. In Inquiries into Truth and Interpretation. Oxford: The Clarendon Press, 2001: 125–139.

Milgram, Stanley (1963). “Behavioral Study of Obedience”Journal of Abnormal and Social Psychology. 67 (4): 371–8.

Gunnar Myrdal. (1944). An American Dilemma: The Negro Problem and Modern Democracy, 2 Vols, 2ndEdition (1965). New York: Harper and Row”

https://archive.org/stream/AmericanDilemmaTheNegroProblemAndModernDemocracy/AmericanDelemmaVersion2_djvu.txt[checked on 2023-0925]

D. Wing Sue. (2010). Microaggressions in Everyday Life: Race, Gender, and Sexual Orientation. New York: Wiley.

Elisabeth Young-Breuhl. (1996). The Anatomy of Prejudices. Cambridge, MA: Harvard University Press.

Philip Zimbardo. (2008). The Lucifer Effect: Understanding How Good People Turn Evil. New York: Random House.

(c) Lou Agosta, PhD and the Chicago Empathy Project

The Evidence: Empathy is Teachable, Trainable, Learnable

This essay is an excerpt from Chapter Four of the book Empathy Lessons. This essay is motivated by the need to debunk the position that the practice of empathy is vague and fuzzy and cannot be taught, that you either have it or you don’t. Bunk. I am addressing scientists, researchers, health care professionals who dismiss empathy as not scientific of evidence-based.

Substantial evidence is available that if you practice empathy, you get better at it. A bold statement of the obvious? Indeed. Yet the requirement to marshal the evidence is a significant one, even if it is often a function of resistance to practicing a rigorous and critical empathy. Key term: resistance to empathy. Overcome the resistance to empathy and the practice of empathy spontaneously and naturally comes forth. [See Empathy Lessons and other books by Lou Agosta on empathy: https://amzn.to/2S0ISPr.%5D

Evidence-based empathy

Even if one understands “evidence” in the most narrow and rigorous sense, substantial evidence is available from peer-reviewed research and publictions that empathy training is effective. The implications for evidence-based empathy training are direct. Empathy works. Some of this material may seem difficult or complex; but it is important to engage with it, because it undercuts the subtle resistances to empathy that dismiss empathy in the misguided belief that there are no evidence-based peer reviewed publications.

The first example is an empathy intervention so short that it passed the Institutional Review Board (IRB) criteria for the use of human subjects. The study was complete before people had a chance to drop out. An advertisement went out for people to receive a complimentary, free screening and short intervention for “problem drinking.” In fact, only problem drinkers responded. 

The people were divided randomly into groups and given either an immediate check up with confrontational counseling that directed them to stop drinking; or the subjects were given a check up with motivational interviewing that used client-centered counseling and did not try counsel changing the client’s behavior, but in the manner of motivational interviewing explored the person’s motives with him or her. Motivational interviewing employs empathic methods of listening and questioning and, in this example, becomes a proxy for empathy.

Strictly speaking, the counselor facilitated a dicussion with the client of what might happen if the client either did or did not stop (reduce) drinking. A third group of clients was wait-listed, for control, without intervention. Motivational interviewing is a client-centered intervention that relies on empathic listening, questioning, and responding. 

Both groups that received intervention resulted in a 57% reduction in drinking within six weeks, and the result was sustained at 1 year. However, there was one dramatic finding. The lead researcher and author (William Miller) reports: “Therapist styles did not differ in overal impact on drinking, but a single therapist behavior was predictive (r = .65) of 1-year outcome such that the more the therapist confronted, the more the client drank.”[i]

This bears repeating: the more confrontational the counselor, the more the client drank. If one starts with a confrontational approach rather than empathy, one is headed for trouble. 

In another study, perspective taking was practiced in which the other person was imagined to be a neighbor or a member of one’s own community rather than a stranger.[ii] This examines empathic interpretation, though the study does not use that terminology. Practice perspective taking, it improves. 

Other practitioners have developed exercises that focus on specific groups such as doctors of individuals with autism. This expands empathic understanding, though, once again, the terminology is different. Other experiments conduct explicit training in mentalizing, specifically, teaching participants in the training about associations between target facial expressions and emotions.[iii]

In a separate study, a large meta analysis by the Cochrane Library that reviewed fifty-nine peer-reviewed studies with 13,342 participants of a motivational interviewing intervention based on empathy for substance abuse over against other active interventions or no intervention and produced a similar result: motivational interviewing helped people cut down on drugs and alcohol.[iv]

Still, the debate goes on. 

Is the empathic questioning, the back-and-forth conversation, in the motivational interview that causes something (attitude, hope, fear, and so on) in the client to shift? Or do people convince themselves? Or do they just get better informed? Or do they stop blaming themselves and feel better, and so they “self medicate” less with alcohol or street drugs? 

Lots of questions. No easy answers. Yet when something is so effective across so many studies and researchers are still skeptical, then one has to say: “Okay, skepticism is proper and scientific. Yet nothing is wrong here; but there is something missing—empathy.”

Let’s do the numbers. 

Evidence shows that those who train and practice being empathic succeed in expanding their empathy. Educational programs that target empathy have a demonstrably positive effect on empathy skills, according to peer reviewed studies.[v]

Another case in point: a meta analysis of 17 empathy nursing courses in an educational context indicated statistically significant improvement in empathy scores in 11 of the 17 studies (and non statistically significant improvements in the other 6). Similar positive outcomes were reported when medical students, training to be doctors, were included. When nurses and medical students work at practicing empathy; and they get better at it. How about that.[vi]

A disturbing factoid: The empathy of persons studying to become physicians peaks in the third year of medical school according to measures applied periodically (as reported by Dr. M. Hojat and his colleagues at Thomas Jefferson University).[vii] Empathy expands; but then it seems to contract. The suspicion is that the burnout occurs in the “college of hard knocks.”

Use it or lose it? The stereotype of the harried medical doctor, seeing twenty or thirty patients a day, is increasingly accurate. As the MD (or other health care professional) is pushed down into survival mode, empathy is not improved or expanded. Hear me say it, and not for the last time, the things that make us good at the corporate transformation of American medicine, improving productivity and efficiency, do not expand our empathy. This does not mean that empathy and efficiency are mutually exclusive. It means we have to get better at balancing quantity and quality in both business and empathy. 

In another example, training sessions directed at aggressive adolescent girls in a residential treatment center showed the benefits of expanded affective empathy. Affective empathy is the automatic dimension of empathy (“empathic receptivity” in my definition) that is perhaps hardest to influence.[viii] Parental effectiveness training (PET) was demonstrated to move the participants from below facilitative on the Truax Accurate Empathy Scale up to or beyond the facilitative level. “Facilitative” means knowing how to get things done. That is, the outcome is that the parent’s empathic effectiveness was expanded.[ix]

The effectiveness of empathy training is not limited to the affective dimension. A team at the University of Toronto produced a meta analysis of twenty-nine articles, using seven different approaches to empathy training. All the studies except two (93%) had positive outcomes, improving the cognitive component of empathy (86%). These studies were distributed as follows: education (24%), nursing (14%), therapy (7%), medicine (21%), social work (3%), psychology (7%), human service (7%), couples (10%) and divorcees (3%). Regardless of the training method, individuals expand their empathy when they practice or engage in effortful training.[x]

In another study, some 42 couples involved in a romantic relationship completed a five week empathy training program. The change in empathy was assessed by measured analyses of variance. The assessment reproduced the positive results of earlier findings. The training produced reliably increased empathic interaction between the partners. Scores on three empathic measures improved over a follow up six month period.[xi]

Further evidence that empathy is trainable is available in “The Roots of Empathy” (ROE). This is a formal program developed by Mary Gordon and colleagues in Canada. 

First started in 1996 and introduced into U.S. schools in 2007, the ROE program has been featured on the Public Broadcasting System (PBS) in the USA. ROE aims to build more peaceful and caring communities by expanding empathy in children.[xii]

The program targets elementary school classes, and consists of weekly visits to the class room by a new born baby and the baby’s mother for an entire school year. The group sits in a circle and the mom and baby interact, accompanied by a conversation about the life of the baby, biologically, psychologically, and socially. 

The empathy lessons are elementary—unless you do not happen to have ever been exposed to a baby or the empathic care of one. Babies cry when they are hungry or wet or cold; they coo and gurgle and giggle when they are content and happy. 

Some lessons are elementary; some, sophisticated, engaging with human development, of which the baby is Exhibit A, as the baby grows throughout the school year. 

The roots of empathy are present in front of the class: the baby. The powerful presence of the baby calls forth the emotional resonance, natural curiosity, and wonder of the children. The baby provides the empathy lessons, in effect being the teacher. The baby provides the opening for conversations with the children about human development, socialization, and building a community. The vast majority of human beings are naturally inspired to care for a baby. Whether people know how to deliver such care effectively is a separate issue, requiring separate training. A complex species, these humans: human beings are naturally empathic just as they are also naturally aggressive. 

At the heart of this kindergarten through 8th grade program is the goal of dialing down aggressive behavior patterns in children at an early age, in particular, curbing bullying (about which more in an entire chapter below). For example, roughly 160,000 children miss school every day “due to fear of an attack or intimidation by other students,” according to the National Education Association. 

The program also documents an 11% improvement in standardized achievement tests for the class that is exposed to the Roots of Empathy intervention.[xiii] This is definitely not a predictable result. It should put us in touch with the humbling sense that there are many things that we do not even know we do not know. 

When kids get the empathy to which they are entitled, they study harder and work smarter. When bullying is reduced, kids are less fearful, are less distracted, have more fun, and are able to study. When they study harder and smarter, they get improved scores.

The results of the program are “over the top” positive; and since this is the age of evidence-based everything, the program also spend a lot of cycles gathering key metrics on the results of the roots of empathy. A randomized control trial was conducted. 

Findings indicated that children who had participated in the program compared to children who had not, were more advanced in their social and emotional understanding on all dimensions assessed. These included emotional understanding, perspective-taking, peer acceptance, classroom supportiveness, pro-social behavior and characteristics. Concomitant reductions in aggressive behaviors and increases in pro-social behaviors (e.g., helping, sharing, cooperating) were noted. 

In particular, teachers rated three child (student) behavior outcomes (physical aggression, indirect aggression, and pro-social behavior). The Roots of Empathy program had statistically significant and replicated beneficial effects on all three child behavior outcomes.[xiv]

Peer reviewed research is compelling, but equally compelling are market dynamics: organizations are voting with their dollars that empathy is trainable. 

People with chronic life style diseases such as hypertension (high blood pressure), type 2 diabetes, congestive heart failure, asthma, and so on, enjoy statistically favorable outcomes when their physicians show empathy—a fancy way of saying people “get better.” 

Relying on such evidence, a company called “Empathetics” has been founded to train medical doctors in expanding their empathy. 

Using intellectual property developed at Massachusetts General Hospital, affiliated with Harvard University, Empathetics, Inc. trains physicians in expanding their empathy through the use of biofeedback. 

The CEO, Helen Riess, MD, delivered a Ted Talk about the value of empathy in health care.[xv] Dr. Riess and her colleagues at Mass General performed a meta analysis of the effects of empathy on all kinds of diseases. 

Dr. Riess (and her colleagues) report on randomized controlled trials (RCTs) in adult patients, in which the patient-clinician relationship was systematically monitored and healthcare outcomes were either objective (e.g., blood pressure) or validated subjective measures (e.g., pain scores). Those doctors (and related professionals) that scored higher on the empathy screening tests had demonstrably better patient outcomes than those with lower empathy scores. 

Three trials included patients with diabetes, two included patients with osteoarthritis. Other disorders included fibromyalgia, oncology, lower respiratory infection, osteoarthritis, hypertension, smoking, somatic complaints, and asthma. The median patient sample size was 279 (range: 85 to 7,557). That’s a lot of people. 

In summary, empathic doctoring produces favorable results. Patients get better compared with those whose doctors who do not score as well on the applied empathy scale. A word of caution. Correlation points to a significant path to improved outcome through empathic relatedness, but, at least in the context of this study, correlation is not causation.

Using the language of evidence-based medicine is trending. The “effect size” of empathy is so large that it overwhelms any confounding variables that might be hiding beneath the surface of experience. Thus, empathy fits right in with the trend. The results are compelling. Applying empathy in interacting with the vast majority of people is like using penicillin to treat the vast majority of significant bacterial infections. Applying empathy in interacting with people is like using a parachute when jumping out of an airplane. If you don’t do it, you are headed for trouble. 

Common factor, empathy, in social healing practices

Psychotherapy is regarded as an example of a social healing practice. Psychotherapy is a conversation for possibility between two persons, one of whom is dealing with difficult personal issues and emotions and another person who is committed to making a difference through empathy. 

Experience shows that physical disorders, injuries, and lesions get elaborated psychosocially. This is not just hypochondria or imaginary disorders that are “in someone’s head.” This is lower back pain, migraines, life style disorders such as type 2 diabetes, asthma, and irritable bowel that are aggravated by job, family, and relationship issues (conflicts, stresses, upsets) in a person’s life. Nutrition and exercise are behavioral practices that positively affect health, but can be difficult to influence. 

People have different ways of expressing their pain and suffering. When an investigation of the person’s life indicates that non-biological factors are contributing to the person’s decline or distress, then it is useful to engage an alternative point of view on pain and suffering. It is useful to undertake an inquiry without making too many assumptions that one knows what is actually going on. It is useful to have a conversation for possibility. 

The first person to undertake such an inquiry of whom we have any record was named “Socrates.” His student, Plato, wrote down what Socrates had to say, the most famous statement of which was that he knew only one thing: “I know that I do not know.” Socratic’s approach was so powerful that he was able to undertake fundamental inquiries that challenged his own inauthenticities and those of the persons with whom he engaged in dialogue. His questioning led to insights about basic values of truth, right and wrong, pleasure and enjoyment, and the organization of the community. The example of Socrates inspired talk therapists of all kinds—not to mention religious leaders, politicians of integrity, and educators in diverse disciplines. 

The word “empathy” does not occur in Plato’s dialogues with Socrates, who instead spoke of being a “midwife” of ideas. When a friend of mine read this account of Socrates as a midwife, he shared with me an anecdote from when he was a medical student. He was walking through the hospital maternity department one evening after class. As he passed an open door, one of the patient’s called out to him. She was in labor and she asked his help. As he told me candidly, at that time in his medical training, he knew nothing about childbirth. Thus, as far as he was concerned, the qualification of Socratic ignorance was satisfied. 

My friend asked the woman how he could help. She asked to hold his hand. He thought to himself, “Now this I know how to do!” He held her hand for awhile. She pushed and pushed. The result was a healthy baby boy. How or why the woman was left alone, and what further help arrived was not specified. 

My friend cited this as an example of empathic understanding that just shows up spontaneously. In his recollection this was an example of empathy at a moment of crisis to which no words were adequate. I would say the woman was training him in being empathic, and the empathy lesson worked just fine. 

Socrates did not claim to produce original knowledge himself. But he acted as a midwife for others, who were trying to give birth to sustainable, viable knowledge. In terms of empathic understanding, Socrates exemplified the commitment to new possibilities as opposed to conformity. Socrates made the case for dwelling in the comfort-zone stretching, discomfort of open-ended inquiry in the face of “being right.” He helped his dialogue partners give birth to ideas of their own and distinguish those ideas that are viable from those that are still-born. 

Socrates enjoyed a special relationship with his students and colleagues. He had a special rapport that was a combination ofidealization and affection that set him apart from many of the other teachers of his time, called “Sophists.” The latter were masters of argumentation and rhetoric for hire. 

The sophists were perhaps the original purveyors of “alternative facts” and “fake news.” Socrates’ relationship with the sophists in the community was not positive. He spoke truth to power in such a way that those in power were deeply threatened. Some of those in authority came to fear and hate him. 

Eventually Socrates was indicted and convicted, in a trial of questionable merit, of a crime against the state, corrupting the youth. For reasons that are still controversial today, Socrates decided to drink the hemlock instead of fleeing into exile, becoming a martyr to prejudice and political intrigue. 

Nevertheless, the principles that Socrates espoused have become the basis for talk therapy—and overcoming resistance to empathy. To engage in therapy with human beings in their struggle with emotional pain and suffering requires: providing a gracious and generous listening and an authentic human response; inquiry into possibility and open-ended questioning; an alliance between the therapist and client against the disorder and suffering against which the client is struggling; and an understanding of cultural context and community. 

Amid an alphabet soup of therapeutic approaches today, the Socratic method of inquiry stands out as a common factor. It is challenging to try to find something in common between cognitive behavioral therapy (CBT), dialectical behavioral therapy (DBT), eye movement desensitization routine (EMDR), rational emotive behavioral therapy (REBT), acceptance and commitment therapy (ACT), psychodynamic therapy, psychoanalysis, existential and humanistic psychotherapy, and so on. 

“Common factor” is an idea given credibility by Jerome and Julia Frank in their book on Persuasion and Healing.[xvi] The Franks debunk not only psychoanalysis, but also many of the alternative therapeutic approaches. The Franks’ position is that the beneficial results of therapy are a function of persuasion and suggestion. The therapist is applying his or her own empathic and emotionally generous personality in the context of the trusted relationship, committed to healing, to persuade the client to alter his habitual life practices in the direction of behaviors that are adaptive, accommodating, and empowering. The hypnotists called it “the rapport”; modern practitioners, “the therapeutic alliance.” 

However, the point here is not to back into an advertisement for empathy. Rather the point is to look at what actually happens in stage one of therapy whether it is CBT, DBT, or one of the diverse talk therapies. Each of these interventions, after establishing a framework around schedule and fee, takes steps to deepen and expand the client’s “in touchness with” his or her own experiences. In DBT this is called “mindfulness”; in psychoanalysis, “free association”; in CBT and REBT, identifying and “interrupting the pathogenic thought”; in existential-humanistic therapy and ACT, “radical acceptance” of what’s so. 

This “getting in touch with” is also the first step in becoming more empathic, and so highly relevant to empathy training. One has to be in touch with one’s own experiences in order to appreciate how the other person shows up in one’s vicarious experiences of that other person. In short, empathy is a common factor shared by virtually all approaches to talk therapy. 

The problem is that grouping empathy with “common factors” has become a way of dismissing empathy. All the interventions share empathy. It occurs on all sides of the multi-dimensional equation, and so empathy itself cancels out. Empathy falls out of the equation—and out of the discussion. 

I suggest an alternative point of view.

What if empathy were the very process that was creating the benefit—and the very equation itself—for each of these supposedly distinct interventions? What if empathy were the very thing that was creating the clearing for EMDR, ACT, and so on, to be effective in the person’s shifting out of stuckness, attachment to suffering, emotional disregulation, self-defeating behavior, or repetitive enactment? 

What if empathy was not the idle wheel, falling out of the equation, but the drive shaft? What if the techniques of CBT, DBT, ACT, EMDR, and so on, were themselves so much formal scaffolding, providing a ritual framework for the dynamics of the empathic relatedness to have its effect? 

Following the baton or dancing light in EMDR would be something to keep the client distracted while he was verbally expressing his experience of the trauma into the gracious listening of the therapist. 

Filling out the paperwork, the surveys, and the homework of CBT would be so much busy work designed to keep the client’s mind off of his anxiety and depression for long enough for the therapist’s empathic responses to the client’s issues to have an impact. 

The breathing in and out of mindfulness, literally a metaphor for empathy as oxygen for the soul, would be a useful holding pattern enabling the client to get in touch with his experience so he can communicate it to the therapist and be “gotten” for who he is as the possibility of radical acceptance in empathic understanding. 

The “tough love” of DBT and the group skills back-and-forth would be a useful distraction for the client’s intolerable emotions until the therapist was either able to get it right with his empathic interpretation or the client exhausted the payer’s twelve approved sessions. Then, in every case, the empathic exchange as it occurs in the conversation between therapist and the client would be what is making the difference. 

More work is definitely needed on this hypothesis. Nor is it likely to be an “either/or” matter. CBT’s “trigger log,” “dysfunctional thinking report,” and “daily thought record,” are useful exercises. Highly useful. It is just that, absent empathy, the CBT process is indistinguishable from dental work—and then the client does not even do the “homework.” What would an evidence-based comparison between empathic and alternative interventions even look like? 

The client comes in, and the therapist greets him with a standard human response, using all her abilities to understand and grasp that with which the other person is struggling. Is one supposed to compare being empathic with being rude? With being hard-hearted? With being confrontational? With misunderstanding the other person? With being stone-faced and unemotional? All of these are possibilities. The stone-faced option has actually been tried, but not with adults presenting for therapy. Presumably because it would be a short session. The adults would not stand for it, and most (possibly excepting the masochistic) would get up and walk out. 

However, it has been tried with infants in the context of attachment studies. When infants are briefly presented with a “still face,” a blank face from which emotion has been removed on the part of care-takers, who are usually warm and welcoming, the infants become noticeably upset. Some start to fuss; others, to cry. So do most people, whether in personal or experimental situations such as being on “candid camera.” Babies and children of tender age are people, too, and I suggest that their response is an example of a standard human one, albeit without any grammatical use of language, and typical of what one might expect from adults.

What is clear is that an overwhelming number and diversity of psychotherapy approaches engage in the use of empathy. This is so even when these interventions allow empathy subsequently to fall out of the equation as a “common factor.” 

Even if the approach in question devalues empathy as a narrow psychological mechanism, it has to endorse its use, because when empathy is absent, generally, positive outcomes are also absent. Those few interventions that devalue empathy—electro shock therapy (ECT), shaming, jail, capital punishment, collective shunning—begin by paying it rhetorical lip service. The result? The amount of aggregated experience that indicates that empathy is an effective intervention is vast and arguably sufficient to overcome any hidden, confounding variables. 

Judgments based on clinical practice, tacit knowledge, and deep life experience will continue to have a essential role; however, these need to be qualified by the best available evidence. As noted, the issue is that  there are some interventions such as penicillin and using a parachute when jumping out of an airplane that seem to limit or even defy the gold standard. It would be unethical not to give someone penicillin if they were infected with an infection serious enough to require such treatment, since it is a matter of historical accident that penicillin was invented prior to the “evidence based” paradigm shift. And, as regards using a parachute, that case is the reduction to absurdity of not using common sense as a criteria in deciding what counts as evidence. What is going on here? The answer bears repeating for emphasis: The effect size is so large that it outweights and overwhelms any hidden confounding factors and so rises to the level of evidence (without quotation marks). [xvii]

The “effect size” is a function of the facts—the evidence—that there are so many examples and so much experience that penicillin works—that parachutes work—that the risk of one’s over-looking some other confounding variable is vanishingly small. It really was the penicillin, not (say) the effects of the alignmnet of the planets hidden behind the penicillin.

Likewise, with empathy. The use of empathy in human relations is demonstrably so effective in the medical and behavioral health world in question that not to apply empathy would be like not prescribing antibiotics against a bacterial infection. Empathy has been effective in shifting the suffering and transforming the psychic pain throughout history. The criticism of empathy has usually been that it results in burnout and compassion fatigue. But penicillin, too, has to be properly dosed, and people allergic to it excluded, or the results will be unpredictable. 

In conclusion, the critical path lies through empathy training: empathy is not an on-off switch but a dial/tuner that requires training to get it just right. Examples of peer-reviewed publications exist in which empathy was shown to be effective (in comparison with less empathy) in correlating with favorable outcomes in diabetes, cholesterol, and the common cold (?!) and are cited in the bibliography (and will be further engaged in Chapter Six of Empathy Lessons).[xviii] Expect this work to expand and gain traction in other areas such as psychiatry and cognitive behavioral therapy. 

In short, not to begin with empathy would be like jumping out of the airplane without a parachute or not providing penicillin when the infection was bacterial. If you are jumping out of an airplane, use a parachute; if engaging with struggling, suffering humans, use empathy. 


[i] W.R. Miller, R.G. Benefield, J.S. Tonigen. (1993). Enhancing motivation for change in problem drinking: a controlled comparison of two therapist styles, Journal of Consultative Clinical Psychology, June; 61 (3): 455-61: 455. 

[ii] Jay S. Coke, Gregory Batson, Katherine McDavis. (1978). Empathic mediation of helping: A two-stage modelJournal of Personality and Social Psychology 36(7):752–766. DOI: 10.1037/0022-3514.36.7.752; Mark H. Davis, Laura Conklin, Amy Smith, Carol Luce. (1996). Effect of perspective taking on the cognitive representation of persons: A merging of self and other, Journal of Personality and Social Psychology, Vol 70(4), Apr 1996: 713–726.

[iii] Ofer Golan and Simon Baron-Cohen. (2006). Systemizing empathy: Teaching adults with Asperger syndrome or high-functioning autism to recognize complex emotions using interactive multimedia, Development and Psychopathology 18, 2006: 591–617. DOI: 10.10170S0954579406060305; J. Hadwin, S. Baron-Cohen, P. Howlin, and K. Hill. (1997). Does teaching theory of mind have an effect on the ability to develop conversation in children with autism? Journal of Autism and Developmental Disorders, 27: 519–537. DOI:10.1023/A:102582600 9731.

[iv] Geir Smedslund, Rigmor C. Berg, Karianne T. Hammerstrom, Asbjorn Steiro, Kari A Leiknes, Helene M Dahl, Kjetil Karlsen. (2011). Motivation interviewing for substance abuse, Cochrane Database of Systematic Reviews, May 11, 2011, Issue 5: CD 008063. DOI: 10.1002/12651858.CD008063.pub2.

[v] C.T. Ozcan, F. Oflaz, B. Bakir. (2012). The effect of a structured empathy course on the students of a medical and a nursing school, International Nursing Review, Vol. 59, Issue 4, December 2012: 532–538. DOI: 10.1111/j.1466-7657.2012.01019.x.

[vi] Scott Brunero, Scott Lamont, Melissa Coates. (2010). A Review of empathy education in nursing, Nursing Inquiry: Vol. 17, Issue 1, March 2010: 65–74. 

[vii] M. Hojat, M. J. Vergate, K. Maxwell, G. Brainard, S. K. Herrine, G.A. Isenberg. (2009). The devil is in the third year: A Longitudinal study of erosion of empathy in medical school, Academic Medicine, Vol. 84 (9): 1182–1191. 

[viii] E.V. Pecukonis. (1990). A cognitive/affective empathy training program as a function of ego development in aggressive adolescent females, Adolescence, Vol. 25: 59–76.

[ix] Mark E. Therrien. (1979). Evaluating empathy skill training for parents, Social Work, Vol. 24, no. 5 (Sep 1979): 417–19.

[x] Tony Chiu, Ming Lam, Klodiana Kolomitro, Flanny C. Alamparambil. (2011). Empathy training: Methods, evaluation practices, and validity, Journal of MultiDisciplinary Evaluation, Vol. 7, No. 16: 162–200. 

[xi] J..J. Angera and E. Long. (2006). Qualitative and quantitative evaluations of an empathy training program for couples in marriage and romantic relationship, Journal of Couple & Relationship Therapy, Vol. 5(1): 1–26.

[xii] PBS staff reporter. (2013). Using babies to decrease aggression and prevent bullying. PBS News Hour: http://www.pbs.org/newshour/rundown/using-babies-to-decrease-aggression-prevent-bullying/

[xiii] PBS staff reporter 2013.

[xiv] Mary Gordon. (2005). The Roots of Empathy: Changing the World Child by Child. New York/Toronto: The Experiment (Thomas Allen Publishers): 250–256.

[xv] Helen Riess. (2013). The power of empathy, TEDxMiddlebury: https://www.youtube.com/ watch?v=baHrcC8B4WM [checked on March 23, 2017]. See also: John M. Kelley, Gordon Kraft-Todd, Lidia Schapira, Joe Kossowsky, Helen Riess. (2014). The influence of the patient-clinician relationship on healthcare outcomes: A systematic review and meta-analysis of randomized controlled trials, PLOS, Vol. 9, No. 4 | e94207: 1–7 Helen Riess, John M. Kelley, Robert W. Bailey, Emily J. Dunn, and Margot Phillips. (2012). Empathy training for resident physicians: A randomized controlled trial of a neuroscience-informed curriculum, Journal General Internal Medicine. 2012 Oct; Vol. 27(10): 1280–1286. DOI: 10.1007/s11606-012-2063-z.

[xvi] Jerome D. Frank and Julia B. Frank. (1981). Persuasion and Healing: A Comparative Study of Psychotherapy. 3rd ed. Baltimore: Johns Hopkins University Press; 1991. I express appreciation to Danny Levine, MD, for calling my attention to this outstanding contribution from the Franks. Also see my Rumor of Empathy: Resistance, Narrative, and Recovery (2015) for a critique of the psychopharmacological (psychiatric) approach in chapter three “Plato, Not Prozac!” (a title that I borrow from Lou Marinoff (2000), who I hereby acknowledge for his contribution). 

[xvii] Howick 2011: 5, 11.

[xviii] Howick 2011; M. Hojat et al, 2011; John M. Kelley, Helen Riess et al 2014); David P. Rakel, Theresa J. Hoeft, Bruce P. Barrett, Betty A. Chewning, Benjamin M. Craig, and Min Niu. (2009). Practitioner empathy and the Duration of the common cold, Family Medicine 41(7): 494–501.

(c) Lou Agosta, PhD and the Chicago Empathy Project

The Limits of Empathy in Politics

If freedom of expression and free speech are flourishing, but no one is listening, then empathy becomes a tree that falls in the forest when no one is present. Empathy does not make a sound – or a difference. 

Even in politics empathy is always empathy. However, politics brings along a whole new set of questions, issues, and challenges by with which empathy is confronted and to which empathy gets applied. The political becomes personal, unsettlingly so at times.

What then is the limit of empathy in politics? This is the limit: the practice of empathy does not work well with bullies, sociopaths, psychopaths, QAnon style delusional thinkers, the criminally insane, and [some] autistic children. 

The prevalence of bullying in the school playground and politics is widespread and toxic; and one should never underestimate the power of empathy. Never. Yet, if your political opponent is behaving like a bully, empathy is not going to be enough. You will need to find supplementary methods – empathy alone will not work on her or him. These hard cases literally will not “get it.” They will not perceive the empathy. They will not experience your empathy. 

Worse yet, some bullies and psychopaths will accept your empathy and turn it against you, the better to control, manipulate, and dominate you. If the practice of empathy is not the way forward, how then does one deal with bullying without becoming a bully oneself?

The answer is direct: set limits. Set boundaries. Thus, far and no further! Stay in your own lane. Get back into your own corner. Stay in your own space. Keep your hands to yourself! In so far as empathy is all about firm yet flexible boundaries between the self and the other, a rigorous and critical empathy is engaged here; but until the boundary is reestablished, empathy cannot come into its own. Indeed once boundary violations occur and safety or security is at risk, the issue is no longer an empathic one – call for backup, implement self-defense measures, or escape and continue the struggle on another day.  

The FBI hostage negotiating team understands that empathy reduces rage and upset; and they use empathy in context for that purpose, though, as far as I know, they do not use the word “empathy” as such. Yet once the bullets start flying, the time for empathy has passed. Send in the swat team. For an illuminating article on the margins of empathy see Elizabeth Bernstein on “Advice From a Hostage Negotiator” (WSJ.com 06/14/2020) [https://on.wsj.com/3ajoYon]. Law enforcement gets empathy. Bad guys watch out. Once again, never underestimate the power of empathy. Never. 

In so far as empathy is all about respecting the boundaries between self and other, one group and another group, boundary setting is relevant to politics and empathy. So if one can reestablish a boundary, then empathy can be reintroduced, gradually, to guide us in how to cross back and forth across the boundary without submitting to bullying, provoking a temper tantrum, or getting stuck in breakdown. 

Yet the shadow of the tribalism falls over empathy in politics. Empathy gets a bad rap because empathy is often limited in contemporary political debates to empathy of identity. However, empathy – and that is the innovation here – empathy is also empathy of differences. Key terms: empathy of identity and empathy of difference.

With an empathy of differences, in addition to identity politics, we get a politics of recognition. 

Empathy shows up when one person encounters the other person and recognizes his or her differences. I hasten to add no one is asking anyone to give up or devalue his or her identity. The suggestion is that the Empathy of Differences lets identities flourish in a space of acceptance and toleration created by empathic recognition. The empathic recognition in turn creates a political arena where people can debate and compromise and get things done. 

Talking a walk in the other person’s shoes yields an empathy of differences. One discovers the otherness of the other. The shoe rarely fits exactly right. One discovers where the shoe pinches – but the other’s shoe almost inevitably pinches at a different spot when it pinches one’s own foot, because the other foot is slightly longer or shorter than one’s own. 

Though we are different, our interests, experiences, and aspirations as human beings are recognized.

Illustration of Republican presidential candidate Abraham Lincoln debating his opponent Steven Douglas in front of a crowd, circa 1858. (Kean Collection/Hulton Archive/Getty Images)

Our interests and aspirations have areas of overlap – for example, we want our children to flourish; we want to be able to make a contribution to the community; we want to be secure in our private lives and preference. With goals pursued along different paths, our possibilities converge or diverge without conflict. Our opportunities align in parallel or intersect at right angles instead of clashing. We are able to cooperate and embrace workability instead of obstructing one another. We are able to build instead of tear down. 

Once again, there is nothing wrong with the empathy of identity, but something is missing. What is missing is difference. The empathy of identity is ultimately that of proximity to family, tribe, and local community. As noted, there is nothing wrong with that. It is excellent. We would be less than human without it. But the empathy of identity is ultimately derivative and incomplete without an empathy of differences. 

If one is limited to an empathy of identity, the result is tribalism. “I get you, man, and you get me, bro, because we are alike.” No one is proposing to try completely to abolish tribalism, but tribalism is definitely limiting and constraining.

All these different tribes sets in motion a trend, which arguably is tribalism’s own undoing, dissolving its identity – Republicans, Democrats, Progressive, Conservatives, Libertarians, Christians, Muslims, Jews, Hindus, Buddhists, Confucians, Quakers, all 198 member nations of the United Nations – not to mention the Chicago Cubs Baseball team. So many identities – so many tribes. If one gets and belongs to enough of them, identity starts to dissolve. 

Tribalism itself sets in motion a dialectic whereby each individual can belong to multiple tribes with multiple identities and affiliations. If you participate in enough tribes and enough overlap between tribal identities, the notion of identity starts to dissolve into a kind of melting pot of multiculturalism, communalism, or ecumenical spirituality, market place of competing political ideologies. Even if the melting pot never completely melts, it can at least become a colloidal suspension – cosmopolitanism – where the identities and differences are fine-grained enough not to subvert individual diversity or the aspiration to commonly shared values. 

But absent such a dialectic of dissolution into a melting pot of identities– for example, in traditional societies or insular communities – the empathy within the communal group works well but breaks down at the boundary at which one encounter the other individual and group and their differences.

The innovative point here – to emphasize once again – is that empathy is about identity and similarity, but it is just as importantly about differences. 

Speaking in the first person, when I encounter an individual who is different than I am, then I have an experience of otherness. However, every person I encounter, without exception, is different than I am, even if there are similarities. The other is different than I am. But without the other individual there is no empathy. Empathy is born in otherness. Empathy is born in the difference. Empathy is born in the difference of otherness and in the otherness of difference. 

If that starts to spin, enjoy the ride.  At least you are not alone – as the practice of empathy is the one thing you cannot do all by yourself. Empathy is a function of otherness. Without the other individual, there is only myself – oneself. 

Solipsism is the philosophical position – the illusion – there the entire universe consists of oneself very alone – hence, solus ipse. One is the creator of one’s entire universe – life is literally but a dream – until one encounters the other – then one wakes up to the reality of the resistance of the other – and the resistance of the other emerges from differences – the otherness of the other. You need an other – and the other individual’s differences – to get empathy started. 

Being open to the other person’s feelings, affects, experiences, beliefs, and resonating in tune with the other individual, yields inevitably both the similarity and differences of those feelings, affects, experiences, and beliefs. That is the empathic moment: I realize we are different and that difference lives and becomes accessible in the space of acceptance and toleration between us. 

This brings us again to the limit of empathy in politics. Thus, the fundamental political question for a rigorous and critical empathy in politics is what to do politically with individuals and groups that one cannot stand. 

What to do with individuals and groups who arouse a visceral dislike and antipathy that are acknowledged to be irrational? What to do with individuals and groups with whom one disagrees on policy, practices, perspectives, procedures, customs, or spiritual practices? The tribalism of the empathy of identity is not going to get you of this impasse. 

The reduction to absurdity of the empathy of identity is humorist Tom Lehrer’s satirical song,  “National Brotherhood Week”:  “Shake the hand of someone you can’t stand.” 

Humor and empathy are closely related. One crosses a boundary between self and other in both cases. In humor one crosses the boundary with aggressive or sexual innuendo; in empathy one crosses the boundary with gracious permission and generosity. 

Lehrer predictably succeeds in being wickedly funny, though deeply cynical, as he sings an upbeat tune: “…The rich folks hate the poor folks and the poor folks hate the rich folks. All of my folks hate all of your folks – it’s American as apple pie! But during National Brotherhood Week – Sheriff Clarke and Lena Horne are dancing cheek-to-cheek.” Note that Clarke was a notoriously committed racist and segregationist during the early Civil Rights struggle of the 1960s and Lena Horne was a celebrated African-American singer of romantic smoky ballads – not a likely match up on anyone’s dating site.

While shaking the hand of one’s sworn opponent (or an elbow bump in a pandemic) is always a good start, it is ultimately incomplete. Unless an empathic context of toleration and acceptance is established for the hand shaking, the risk of shaking hands with someone you can’t stand is that one will end up despising the other even more. 

Lehrer’s song ends by expressing the unexpressed elephant in the room “…[Be] nice to people who are inferior to you / It’s only for a week so have no fear / Be grateful that it doesn’t last all year.” 

As the song implies, absent additional training in and work on empathy and critical thinking, the hypocrisy and prejudice live on. The practice of empathy becomes the practice of a rigorous and critical empathy. 

The disciplined practice of a rigorous and critical empathy is on the path to well functioning political community and successful engagement with one’s political opponents and rivals. A rigorous practice of empathy requires critical thinking to guide it, and, in turn, critical thinking requires empathy to open the space of relatedness, acceptance, and toleration of differences. 

This rigorous and critical empathy includes critical thinking. Critical thinking includes such skills as questioning in the sources of one’s facts and beliefs, examining and questioning one’s assumptions, assessing conflicting reports in the media, looking for hidden assumptions and biases, examining one’s own for conflicts of interest, recognizing one’s own mistakes and cleaning them up at once, basic listening skills, taking turns, and seeing if one’s conclusions are actually implied by one’s facts and reasoning from these facts. These are all important. But the number one skill of critical thinking is putting oneself in the place of one’s opponent, competitor, or colleague and considering the alternative point of view – cognitive empathy. Such empathy becomes a priority in a political context.

In conclusion, when empathy becomes a rigorous and critical empathy, then the limits of empathy in politics are the limits of politics, not the limits of empathy.

References

Tom Lehrer, National Brotherhood Week [performed]: https://www.youtube.com/watch?v=aIlJ8ZCs4jY

© Lou Agosta, PhD and the Chicago Empathy Project