Accepted Manuscript
Interacting and dissociable effects of alexithymia and depression on
empathy
Christian Banzhaf , Ferdinand Hoffmann , Philipp Kanske ,
Yan Fan , Henrik Walter , Stephanie Spengler ,
Stefanie Schreiter , Tania Singer , Felix Bermpohl
PII: S0165-1781(18)30235-X
DOI: https://doi.org/10.1016/j.psychres.2018.10.045
Reference: PSY 11821
To appear in: Psychiatry Research
Received date: 10 February 2018
Revised date: 18 October 2018
Accepted date: 19 October 2018
Please cite this article as: Christian Banzhaf , Ferdinand Hoffmann , Philipp Kanske , Yan Fan ,
Henrik Walter , Stephanie Spengler , Stefanie Schreiter , Tania Singer , Felix Bermpohl , Interact-
ing and dissociable effects of alexithymia and depression on empathy, Psychiatry Research (2018),
doi: https://doi.org/10.1016/j.psychres.2018.10.045
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 1
Highlights
Empathy deficits in participants with high alexithymia regarding cognitive empathy.
Particularly high personal distress in depression when affected by alexithymia.
Alexithymia seems to affect empathy at nearly all levels.
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Empathy deficits in depression can mostly be attributed to concurrent alexithymia.
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Interacting and dissociable effects of alexithymia and depression on
empathy
Christian Banzhaf,a,*,1 Ferdinand Hoffmann, b,1 Philipp Kanske,b, d Yan Fan,c Henrik Walter,a Stephanie
Spengler,a Stefanie Schreiter,a Tania Singer,b Felix Bermpohla
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a
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Department of Psychiatry and Psychotherapy, Charité Campus Mitte, Universitätsmedizin Berlin,
Germany
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b
Department of Social Neuroscience, Max Planck Institute for Human Cognitive and Brain Sciences,
Leipzig, Germany
c
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Department of Psychiatry and Psychotherapy, Charité Campus Benjamin Franklin, Universitätsmedizin
Berlin, Germany
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d
Institute of Clinical Psychology and Psychotherapy, Department of Psychology, Technische Universität
Dresden, Dresden, Germany
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These authors contributed equally to this work.
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* Corresponding author.
Christian Banzhaf
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Psychiatric University Hospital Charité
at St. Hedwig Hospital
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Große Hamburger Str. 5-11
10 115 Berlin
T: 0049/179/2985062
E-mail: christian.banzhaf@charite.de
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 3
Abstract
Major-depressive-disorder (MDD) and alexithymia have both been associated with empathy
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deficits. We examined whether depression and alexithymia show dissociable or interacting
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effects on cognitive and emotional trait and state empathy. Healthy controls with high and low
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alexithymia and MDD-patients with high and low alexithymia were assessed. We used the
Interpersonal–Reactivity-Index-questionnaire (IRI) for trait cognitive and emotional empathy
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and the Multifaceted-Empathy-Test (MET) for state cognitive and emotional empathy. Firstly,
we found a main effect of alexithymia, irrespective of depression, on trait and state cognitive
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empathy: High alexithymia subjects showed lower scores in perspective taking (IRI) and in the
cognitive-empathy-component of the MET. Secondly, we found main effects of alexithymia and
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depression on trait emotional empathy (IRI-subscale personal distress). Moreover, we found a
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significant depression-by-alexithymia-interaction on trait emotional empathy: MDD-patients
showed particularly high personal distress when affected by alexithymia (IRI). Thirdly,
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alexithymia and depression had no impact on state emotional empathy (MET). However,
analyzing positive and negative trials separately, we found more emotional empathy in MDD-
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patients concerning negatively valenced stimuli. Our data suggest dissociable and interacting
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effects of MDD and alexithymia on empathy. Importantly, except for heightened personal
distress, empathy deficits in MDD-patients were entirely due to concurrent alexithymia.
Keywords: empathy; depression; alexithymia
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1. Introduction
1.1. Effects of depression on empathy
Depression is often associated with deficits in social functioning (Hirschfeld et al., 2000). One
important reason for impaired social functioning in Major Depressive Disorder (MDD) might be
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deficits in understanding other minds. Fundamental for understanding other minds is the ability
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to understand and share the feelings of others. This ability has been called empathy
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(DeVignemont and Singer, 2006), a multifaceted construct that according to some researchers
involves at least three aspects (e.g., Decety and Jackson, 2004; Gonzalez-Liencres et al., 2013):
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Firstly, a cognitive component concerning the understanding of emotional states of others.
Secondly, an emotional component enabling sharing other people‟s emotional states. Thirdly, a
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mechanism featuring the distinction between self and other. Self-other-distinction refers to the
ability to be aware of the other‟s context and to distinguish between the other person's and one's
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own situation. Without this ability, an empathic response is considered to be a primitive form of
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empathy, referred to as emotional contagion (DeVignemont and Singer, 2006; Lamm et al.
2007). This mere reactive response to another‟s condition can lead to personal distress, which is
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characterized by the degree a person feels uncomfortable when confronted with the suffering of
others (Davis, 1980; 1983; Batson, 2009; Singer and Klimecki, 2014).
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Investigations regarding empathy in depression are sparse and findings are inconsistent. There is
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greatest consensus concerning the effect of depression on trait emotional empathy, more
specifically concerning the findings of increased personal distress (O‟Connor et al., 2002;
Wilbertz et al., 2010; Thoma et al., 2011; Cusi et al., 2011; for a review see Schreiter et al.,
2013). Cusi et al. (2011) found empathy deficits in depression in both the cognitive (perspective
taking) and emotional component (empathic concern) of empathy using the IRI, whereas Thoma
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et al. (2011) using the same instrument did not. In addition to examining trait empathy by
applying the IRI, Thoma et al. (2011) explored state empathy using the Multifaceted Empathy
Test (MET; Dziobek et al., 2008). This photo-based test measures cognitive and emotional
components of empathy. However, Thoma and collegues found no alterations between patients
and controls. Moreover, no alternations concerning cognitive empathy were found by
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Wolkenstein et al. (2011) using the Reading the Mind in the Eye Test (Baron-Cohen et al., 2001).
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However, a separate analysis of stimulus valence in this perspective-taking task revealed that
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depressed patients showed a higher accuracy rate in decoding negative mental states compared to
healthy controls (Wolkenstein et al., 2011), indicating that MDD-patients show a hypervigilance
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to negative emotional stimuli (Joormann and Gotlib, 2010). Such negative processing bias has
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been observed in a variety of cognitive and emotional processes (beyond social cognition), e.g., a
specific attentional and memory bias towards negative cues in MDD patients (Leppänen, 2006;
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Sterzer et al., 2011; Kluczniok et al., 2016; Hoffmann et al., 2016a) and could be expected to
occur also in emotional empathy.
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When studying empathy in depression, it may be critical to consider that MDD patients may
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exhibit deficits in executive functioning and that these deficits may impact on empathic abilities
(Thoma et al. 2011). Empathy requires inhibition of one‟s own emotional state (Hoffmann et al.,
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2016b) and flexible shifting between one‟s own and other people‟s perspectives. Potentially
deficient inhibitory control in depression might exert a modulating effect on empathy (Singer
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and Lamm, 2009) irrespective of alexithymia and should therefore be taken into account.
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1.2. Effects of alexithymia on empathy
One reason for the lack of clear evidence for empathy deficits in depression might be that
comorbid alexithymia has so far not been accounted for. Alexithymia is a multifaceted
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personality construct, which describes the impaired ability to identify and describe one‟s own
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emotional state (Sifneos, 1973). It is a common concurrent personality trait in depression
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(Honkalampi et al., 2000, Taylor and Bagby, 2004) and associated with deficits in emotional and
cognitive empathy: Participants with high alexithymia scored significantly lower on empathic
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concern and perspective taking (Moriguchi et al., 2007, Silani et al., 2008). Moreover, they
reported more personal distress (Moriguchi et al., 2007). Individuals with Autism Spectrum
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Disorder (ASD) are known to exhibit high levels of alexithymia (Frith, 2004; Hill et al. 2004;
Berthoz and Hill, 2005). Accumulating evidence seems to suggest that empathy deficits in ASD
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can be explained by comorbid alexithymia rather than the diagnosis of ASD itself. (Bird et al.,
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2010; Bird and Cook, 2013) . Likewise, empathy deficits observed in depression could thus be
related to concurrent alexithymia. Recent evidence suggests that in the case of emotional
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empathy, MDD patients might indeed be unimpaired, when no alexithymia is present and
emotional states of self and other are not incongruent (Hoffmann et al., 2016b).
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In addition, depression and alexithymia effects on empathy may also interact. Thus, in addition
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to test for differential deficits in the affective and cognitive components of empathy, the second
aim of the present study was to identify interacting and dissociable effects of depression and
alexithymia on both components of trait and state empathy.
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1.3. The present study
To address the above mentioned issues we used two well-established instruments for trait
(Interpersonal Reactivity Index (IRI); Davis, 1980; 1983) and state empathy (Multifaceted
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Empathy Test (MET); Dziobek et al., 2008) in four study groups: Patients suffering from an
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acute major depressive episode with high (n=18) and low (n=11) alexithymia and healthy
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controls with high (n=28) and low (n=13) alexithymia. As alexithymia has been linked to
emotional and cognitive empathy deficits, we firstly hypothesized that alexithymia irrespective
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of depression should decrease emotional and cognitive state and trait empathy. Secondly, when
alexithymia is accounted for we expected MDD patients to instead show heightened emotional
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and cognitive empathy to negative emotions, consistent with previously reported mood-
congruent processing biases (Leppänen, 2006, Sterzer et al., 2011, Kluczniok et al., 2016).
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2. Methods
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2.1. Participants
Twenty-nine patients suffering from a moderate to severe major depressive episode with high
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(n=18) and low (n=11) alexithymia were recruited through the inpatient clinic of the Charité -
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Universitätsmedizin Berlin, or were referred to us by specialized clinicians. Twenty-eight
matched (with regard to education, age, and gender) healthy control (HC) participants with no
history of psychiatric or neurological disorders were recruited through public notices and from
project databases of the Charité - Universitätsmedizin Berlin. Participants completed the Toronto
Alexithymia Scale (Bagby et al., 1994). High alexithymia was defined based on a large (N =
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1859) representative German population sample (Franz et al., 2008), using the 66th percentile as
a cut-off (Parker et al., 1993). The 66th percentile equaled the TAS-20-sum score of 53 for men
and 52 for women and was subsequently used as a cut-off to represent high alexithymia (equal to
and above 53/52). For the other participants (below 53/52), we subsequently used the term low
alexithymia, indicating that their TAS-20-sum scores were relatively lower in the current sample.
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To assure equal proportions of individuals with low and high alexithymia for both samples we
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further recruited healthy controls with high alexithymia from project databases of the Free
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University Berlin. This way, another 13 healthy controls, matched for education and gender,
were included in the final sample (Table 1). By including these participants with high
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alexithymia, a group difference in age emerged. Subsequently, age was used as a covariate in all
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analyses.
Diagnosis of acute depressive episode (DSM-IV; American Psychiatric Association, 2000) was
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confirmed with no other primary diagnoses (SCID-I; Wittchen et al., 1997). In addition, we
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applied the German version of the SCID-II screening questionnaire (Fydrich et al., 1997): No
participant fulfilled the criteria for personality disorder. All participants were assessed with the
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Hamilton Depression Rating Sale (HAMD-17, Hamilton, 1960). Only patients scoring 15 or
more points at the HAMD-17 were included.
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Every patient except one was medicated. Seven patients were treated with a selective serotonin
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reuptake inhibitor (SSRI), four with Mirtazapine, two with Venlafaxine, one with Buproprion,
one with Doxepine, one with Quetiapine, three with a SSRI augmented with Lithium, one with
Tianeptine augmented with Lithium, one with Mirtazapine augmented with Lithium, one with
Sertraline augmented with Aripiprazole and one with Venlafaxine augmented with Olanzapine,
one with a combination of Escitalopram and Trimipramine, one with Sertraline and Agomelatine,
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one with Quetiapine and Lithium, one with Escitalopram and Mirtazapine and one with
Venlafaxine and Amitriptyline. All patients were free of benzodiazepines for at least 48 hours at
the time of the study. None of the patients had a history of electroconvulsive therapy (ECT). The
study was approved by the local research ethics committee (Charité - Universitätsmedizin Berlin)
and written informed consent was obtained from all participants.
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Table 1. Demographic and clinical characteristics of the participants
Healthy Controls
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MDD-patients Significant
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effects
(p<0.05)
Low High Low High
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alexithymia alexithymia alexithymia alexithymia
Sample size 28 13 11 18
Gender 9 males 8 males 2 males 8 males
Age 42.8 (12.7) 60.5 (19.0) 47.6 (12.7) 39.4 (11.7) d
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Education (yrs.) 15.8 (3.0) 16.7 (2.7) 16.4 (3.9) 14.3 (3.0)
HAMD-17 0.7 (1.5) 0.8 (1.4) 19.0 (2.2) 21.3 (3.8) d, a
TAS-20 38.9 (7.6) 59.3 (5.8) 44.0 (4.6) 61.0 (6.6) a
d=significant depression group main effect; a=significant alexithymia group main effect
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2.2 Measures
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2.2.1. State empathy: MET
The Multifaceted Empathy Test (MET) (for a detailed description of a related version see
Dziobek et al., 2008) is a well-established measure of state empathy. In this task, a series of
photographs (20 with a positive and 20 with a negative emotional valence) show people in
emotionally charged situations, e.g., a crying child or a member of a rock band ecstatically
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playing drums. Each photograph is presented in two conditions. One condition is referred to as
cognitive empathy (i.e.: emotion recognition), the other condition as emotional empathy (i.e.:
empathic concern). Cognitive empathy is assessed by asking participants to choose out of four
adjectives the one that describes best the emotional state of the person presented in each
photograph. Each correct answer scores one point. Emotional empathy is tested by asking the
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participants to rate how strongly they feel for the person presented in the picture on a bipolar
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nine-point rating scale ranging from “not at all” to “very strongly”. Blocks of 10 subsequently
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presented pictures always involve the same question type (“How does the person feel?”, “How
strongly do you feel for the person?”), but the order of the pictures within the conditions is
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pseudorandomized. The completion of the MET takes about 20 minutes on average. For viewing
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and responding to the stimuli there were no time constraints. The number of correct responses
computed separately for negative and positive valence was used as the dependant variable for
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cognitive empathy. The summed rating scores also computed separately for positive and negative
emotional valences, served as the dependent variable for emotional empathy.
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2.2.2. Trait empathy: IRI
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Dispositional empathy was assessed using the Interpersonal Reactivity Index (IRI; Davis, 1980;
1983), differentiating 4 components of empathy (empathic concern, personal distress,
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perspective taking, fantasy), each referred to by 7 items. The empathic concern subscale
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measures the tendency to feel compassion and concern to unfortunate others. The personal
distress scale reflects the degree to which the participant feels uncomfortable when he is
confronted with the suffering of others, that is the negative side of experiencing too much
empathy, referring to feeling with and not for someone (Batson, 2009). Fantasy refers to the
ability to imaginatively transpose oneself into fictitious situations, e.g., when watching a movie
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or reading a book. Whereas empathic concern and personal distress refer to emotional responses
towards the feelings of others, the subscale perspective taking refers to a more cognitive aspect
of empathy. The ability to adopt another person‟s point of view in everyday life is assessed by
this scale. Participants rate their agreement on a five-point scale. The summed scores per scale
represent the dependent variables for this task.
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2.3. Inhibitory control
Inhibitory control was assessed using a Go/NoGo task, to control for differences in executive
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functions. In this task, a blue square represented a Go stimulus and a red square a NoGo stimulus
(intertrial intervals randomly altered between 950 ms and 1500 ms). Ninety Go trials and 60
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NoGo trials were randomly presented. Participants had to respond as quickly as possible with a
button-press to the presentation of the Go stimuli, while withholding a response to the
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presentation of the NoGo stimuli. Response inhibition was measured as the ability to inhibit the
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response to NoGo stimuli.
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2.4. Behavioral analysis
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To study state empathy (MET), we performed two 222 ANCOVAs on the variables emotional
empathy and cognitive empathy using depression (depression vs. healthy controls) and
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alexithymia (high vs. low alexithymia) as between-subjects factors and valence (positive vs.
negative valence) as within-subject factor. To investigate trait empathy (IRI), we performed four
22 ANCOVAs on the emotional empathy subscales (empathic concern, personal distress,
fantasy) and the cognitive empathy subscale (perspective taking) using depression (depression vs.
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healthy controls) and alexithymia with the factors depression (depression vs. healthy controls)
and alexithymia (high vs. low alexithymia) as between-subjects factors. As age differed
significantly between the groups, we included age as a covariate in all ANCOVAs.
Pearson correlations were computed between the empathy measures (IRI subscales and MET
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scores for emotional and cognitive empathy) and HAMD-17 symptom scores.
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To analyze the inhibitory control task, a d-prime score was calculated as a measure of response
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sensitivity (d' = Z(hit rate) - Z(incorrect presses during NoGo)). An ANCOVA was performed on
the d-prime scores with depression and alexithymia as between-subjects factors as well as age as
a covariate.
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Data analysis was performed using the IBM SPSS statistics software, version 22.0. The
significance level was set to p<0.05. All participants completed all assessments and there were
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no missing values.
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3. Results
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3.1. State empathy (MET)
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3.1.1 State emotional empathy
To study state emotional empathy (MET) we performed a 222 ANCOVA, using depression
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(depression vs. healthy controls) and alexithymia (high vs. low alexithymia) as between-subjects
factors and valence (positive vs. negative) as within-subject factor. We found no significant
effect of alexithymia (F(1,65) = 2.649; p = 0.108) and depression (F(1,65) = 1.700; p = 0.197) on the
emotional empathy score of the MET. Moreover, we found no effect of valence (F(1,65) = 1.422; p
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= 0.237). There was also no significant interaction between alexithymia and depression (F(1,65) =
0.135; p = 0.715), no valence by alexithymia interaction (F(1,65) = 0.274; p = 0.603) and no
valence by alexithymia by depression interaction (F(1,65) = 2.608; p = 0.111). However, we found
a significant valence by depression interaction (F(1,65) = 12.076; p = 0.001; 2 = 0.16, 90% CI:
0.04; 0.29).
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To explore this valence by depression interaction, we performed separate 22 ANCOVAs using
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depression (depression vs. healthy controls) and alexithymia (high vs. low alexithymia) as
between-subjects factors in separate analyses of the positive and negative picture conditions.
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This analysis revealed a significant effect of depression in the negative (F(1,65) = 7.0; p = 0.010;
2 = 0.1, 90% CI: 0.01; 0.21), but not in the positive (F (1,65)= 0.307; p = 0.581) picture condition
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(Fig. 1, A): Patients with MDD - independently of alexithymia - scored higher on emotional
empathy (compared to healthy controls) when confronted with pictures depicting negative
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emotions. We found no specific main effect of alexithymia in the positively (F(1,65) = 3.226; p =
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0.077) nor in the negatively valenced condition (F (1,65)= 1.234; p = 0.271).
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3.1.2 State cognitive empathy
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To investigate state cognitive empathy (MET) we performed a 222 ANCOVA, using
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depression (depression vs. healthy controls) and alexithymia (high vs. low alexithymia) as
between-subjects factors and valence (positive vs. negative) as within-subject factor. We found a
main effect of alexithymia (F(1,65) = 4.105; p = 0.047; 2 = 0.06, CI 90%: 0.000; 0.17) on
cognitive empathy (i.e., emotion recognition) with lower emotion recognition scores in
participants with high alexithymia (Fig. 1, B). However, we found no main effect of depression
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(F(1,65) = 0.000; p = 0.990): MDD-patients did not perform worse than participants without
depression. There was also no significant effect of valence (F(1,65) = 0.001; p = 0.976) nor any
interaction effect (all Fs < 0.607, ps > 0.439).
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Please insert Figure 1 around here
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Effects of depression and alexithymia on cognitive and emotional empathy.
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A) State emotional empathy: Displayed is emotional empathy (mean +SD) in the Multifaceted Empathy Test (MET;
negative valence) for healtyh controls (HC) and patients with a major depressive episode (MDE) with high and low
alexithymia, respectively. B) State cognitive empathy: Displayed is emotion recognition (mean+SD) in the MET. C)
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Trait emotional empathy: Displayed is personal distress (mean + SD) in the Interpersonal Reactivity Index (IRI). D)
Trait cognitive empathy: Shown is perspective taking in the IRI (mean+SD).
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3.2. Trait empathy (IRI)
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3.2.1 Trait emotional empathy
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To study trait emotional empathy we performed three 22 ANCOVAs on the emotional empathy
subscales of the IRI (fantasy, empathic concern, personal distress), using depression (depression
vs. healthy controls) and alexithymia (high vs. low alexithymia) as between-subjects factors. We
found no significant effect of alexithymia on fantasy (F(1,63) = 1.042; p = 0.311) and empathic
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concern (F(1,63) = 3.334; p = 0.073). Moreover, there were no significant effects of depression on
fantasy (F(1,63) = 0.267; p = 0.607) and empathic concern (F(1,63) = 0.816; p = 0.370). However,
we found a main effect of alexithymia on personal distress (F(1,63)= 5.015; p = 0.029; 2 = 0.07,
90% CI: 0.004; 0.19), with higher personal distress in the high alexithymia group. Furthermore,
we found a main effect of depression on personal distress (F(1,63)= 15.93; p = 0.001; 2 = 0.2,
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90% CI: 0.07; 0.33), with higher personal distress in the depression group. There was also a
significant interaction between alexithymia and depression (F(1,63)= 4.149; p = 0.046; 2 = 0.06,
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CI: 0.00; 0.17), with a stronger effect of alexithymia in the depression group (T (27)= 2.6; p =
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0.015) compared to the healthy control group (T(37)= -0.6, p = 0.518) (Fig. 1, C). We found no
further depression by alexithymia interactions on fantasy (F(1,63)= 0.079; p = 0.780) and empathic
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concern (F(1,63)= 0.589; p = 0.446).
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3.2.2 Trait cognitive empathy
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To study trait cognitive empathy, we performed a 22 ANCOVA on the cognitive empathy
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subscale of the IRI (perspective taking) using depression (depression vs. healthy controls) and
alexithymia (high vs. low alexithymia) as between-subjects factors. We found a main effect of
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alexithymia on perspective taking (F(1,63) = 12.00; p = 0.001; 2 = 0.16, 90% CI: 0.04; 0.29), with
lower scores in participants with high alexithymia (Fig. 1, D). However, we found no main effect
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of depression (F(1,63) = 1.769; p = 0.185) and no interaction between alexithymia and depression
(F(1,63) = 1.405; p = 0.240) on perspective taking.
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3.3 Correlations to symptom severity
To correlate empathy measures to clinical symptom severity, separate Pearson correlations were
carried out for both healthy controls and MDD patients. Specifically, correlation analyses were
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computed between empathy measures (IRI subscales and MET scores for emotional and
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cognitive empathy) and symptom severity as measured using the Hamilton Depression Rating
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Scale (HAMD-17). Within the depression group, we found a positive correlation between
personal distress and HAMD-17 symptom scores (r(27) = 0.415, p = 0.025). No other significant
correlations were found.
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3.4. Inhibitory control
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We found no significant main effects of depression (F1,201 = 0.784, p = 0.379) and alexithymia
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(F1,201 = 1.064, p = 0.306) on inhibitory control, and no significant depression by alexithymia
interaction (F1,201 = 1,034, p = 0.313).
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4. Discussion
To investigate whether inconclusive findings of empathy in depression may be related to
interactions between alexithymia and different components of empathy, we studied two well-
established instruments for testing trait (IRI; Davis, 1980; 1983) and state empathy (MET;
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Dziobek et al., 2008) within four groups: Patients with Major Depressive Episode and healthy
controls with high and low alexithymia, respectively.
We hypothesized that alexithymia irrespective of depression should decrease emotional and
cognitive state and trait empathy. Secondly, we expected MDD patients to show heightened
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emotional and cognitive empathy to negative emotions, irrespective of alexithymia.
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Firstly, we found a main effect of alexithymia, irrespective of depression, on trait and state
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aspects of cognitive empathy. High alexithymia subjects showed lower scores in perspective
taking (IRI) and in the cognitive-empathy-component of the MET. Secondly, we found main
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effects of depression and alexithymia on trait emotional empathy (IRI-subscale personal
distress). Moreover, we found a significant interaction effect of alexithymia and depression on
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trait emotional empathy. MDD-patients showed particularly high personal distress when affected
by alexithymia (IRI). Thirdly, irrespective of alexithymia, we found a main effect of depression
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on state emotional empathy (MET) in the negative emotion condition. MDD-patients showed
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higher scores on emotional empathy concerning negatively valenced stimuli. These findings
suggest that concurrent alexithymia, irrespective of depression, affects trait and state cognitive as
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well as trait emotional empathy and has to be taken into account when assessing empathy deficits
in depression. The only sub-component of empathy deficiently affected by depression,
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irrespective of alexithymia, is trait emotional empathy (IRI-subscale personal distress).
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We will discuss these findings in more detail below, starting with the effects of alexithymia and
depression on cognitive empathy (MET and IRI), followed by the discussion of the effects on
emotional empathy (MET and IRI).
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4.1. Effects of alexithymia and depression on cognitive empathy
As hypothesized, we found decreased levels of trait and state cognitive empathy in participants
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with high alexithymia: Participants with high alexithymia showed difficulties in perspective
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taking on a trait empathy subscale (IRI) and emotion recognition in a state-based empathy task
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(MET). These findings are in line with earlier studies in high alexithymic participants
(Moriguchi et al., 2007) reporting lower scores in perspective taking as measured with the IRI
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and at the same time - like alexithymic participants in our study - higher levels of personal
distress. This finding points to the inverse relationship between personal distress and perspective
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taking: Both subscales have been shown to be negatively associated (Davis, 1983; Moriguchi et
al. 2007). Our study adds to the literature in that we were able to demonstrate the impairments in
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alexithymia also at the state level, using the MET, while earlier studies have relied on the IRI
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capturing trait empathy. Moreover, we extended the findings by Davis (1983) and Moriguchi et
al. (2007) concerning the inverse relationship between personal distress and perspective taking
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to depressed patients with high alexithymia.
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However, other than hypothesized we did not find a significant effect of depression on cognitive
empathy, neither at the state nor at the trait level. In this context, it is noteworthy to mention, that
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cognitive empathy, as conceptualized in the present study, includes processes such as emotion
recognition and affect sharing. Recent studies have shown a dissociation in healthy adults as well
as psychopathological populations between two routes of social cognition, on the one hand an
affective-motivational route including social emotions such as emotion contagion, empathy and
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 19
empathic distress, and on the other hand a purely cognitive route referring to our ability to infer
beliefs and cognitive thoughts of others, referred to as Theory of Mind or mentalizing (Singer,
2006; 2012; Walter, 2012; Bird and Viding, 2014; Kanske et al., 2015a, 2015b, 2016). Future
studies may clarify whether observed findings of a lack of cognitive empathy in depression
accompanied by a modulation of this empathy component by alexithymia may generalize to pure
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Theory of Mind tasks necessitating cognitive inferences about false-believe inferences.
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According to such models, alexithymia should only affect the affective-motivational route (e.g.,
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empathy) subserved by limbic and para-limbic structures such as insula and anterior cingulated
cortex (ACC) (Bird et al., 2010; Silani et al., 2013), but not the Theory of Mind network
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involving parietal-temporal and prefrontal structures (Singer, 2012).
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4.2. Effects of alexithymia and depression on emotional empathy
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As hypothesized we found increased personal distress in high alexithymic participants.
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Moreover, we found higher rates of personal distress in depressed patients: Compared to healthy
controls both groups reported more discomfort when relating to other peoples suffering.
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Furthermore, we found a relationship between the level of personal distress and symptom
severity in patients. This is in accordance with previous findings, showing alexithymia
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(Moriguchi et al., 2007; Grynberg et al., 2010) as well as depression (O‟Connor et al., 2002;
Thoma et al., 2011; Schreiter et al., 2013; see however Cusi et al., 2011) related to heightened
personal distress. In addition to previous studies, which have not been able to disentangle the
different effects of depression and alexithymia on personal distress, the novelty of our findings
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 20
is that, irrespective of alexithymia, a specific effect of depression on personal distress remains.
From a clinical perspective, different psychological processes may be underlying each of the
observed effects: One could speculate that the effect of depression might be due to a self-
oriented perspective characteristic for depressed patients (Flory et al., 2000; Mor et al., 2010).
Confronted with other people‟s suffering this self-orientation may induce ruminations on what it
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would be like to be affected oneself, resulting in the feeling of negative affect and discomfort.
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Another explanation for heightened personal distress might be the problem of depressed patients
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with self-other distinction. As it has been shown lately, depressed patients showed an increased
altrocentric bias when judging their own emotional state (Hoffmann et al., 2016b). This influence
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of the emotional state of the other on the judgment of one's own emotional experience was
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related to heightened personal distress suggesting problems of depressed patients in keeping self
and other separate (Hoffmann et. al., 2016b). Moreover, known problems of depressed patients
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considering emotion regulation (for a recent review see Joormann and Stanton, 2016) might
contribute to personal distress as well. Likewise, subjects with alexithymia may experience
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personal distress in the presence of other people‟s suffering, because they cannot identify,
differentiate, and, as a consequence, regulate the feelings evoked (Grynberg et al., 2010).
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In addition we also found a significant interaction between depression and alexithymia: the effect
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of alexithymia on personal distress was stronger in the depression compared to the control
group. Thus, both depression and alexithymia independently contribute to increased personal
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distress and, in addition, these factors interact in their effect on personal distress. This
interaction is of clinical relevance because of the high prevalence of alexithymia in MDD
(Leweke et al., 2012). Both depression and alexithymia might show heightened personal distress
because of known problems in emotion regulation (Johnstone and Walter, 2014; Joormann and
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 21
Stanton, 2016). Additional high alexithymia seems to lead to even higher personal distress in
MDD patients, as diminished emotional awareness seems to further increase the regulatory
problems.
Other than hypothesized, we did not find decreased state or trait empathic concern within the
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alexithymia group. Neither did we find a group difference concerning state or trait empathic
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concern between MDD patients and healthy controls: Patients did not report lower feelings of
care and concern in response to someone else‟s emotional experience than healthy controls. This
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finding is in line with prior studies (Thoma et al., 2011; Schreiter et al., 2013; see however Cusi
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et al., 2011). It is also in line with previous differentiation between empathic concern and
empathic distress (Batson, 2009; Eisenberg, 2000) and recent differentiations between empathy
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and compassion on the level of behavior, brain and its plasticity (Singer and Lamm, 2009; Singer
and Klimecki, 2014; Klimecki et al., 2014; Klimecki, 2015). According to these differentiations,
M
there are two possible quite different responses to the suffering of others. One has been termed
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empathy, defined as feeling with another person, which can turn into empathic distress. The other
is a response of empathic concern or compassion, which is defined as feeling for someone.
PT
Whereas the former is associated with negative affect and underlying brain activation related to
threat, the latter is rather associated with positive feelings of warmth and love and a strong
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motivation for the welfare of the other. While empathy training increases brain activation in
networks associated to negative affect, succeeding compassion training in the same people
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activates a non-overlapping brain network known to underlie reward and affiliate feelings
(Klimecki et al., 2014). In line with such a more nuanced view, our findings suggest that while
compassion/empathic concern is spared in depression, the risk of having an empathic distress
response when exposed with the suffering of others is not.
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 22
While the observation that state emotional empathy (MET) including both positive and negative
trials of MDD patients showed no group difference for empathic concern, our additional analyses
treating negative and positive trials separately revealed increased state emotional empathy in the
negative condition within the depression group: Depressed patients reported more empathic
concern when confronted with pictures of humans in negatively charged situations. In contrast,
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increased empathic concern was not found in positive trials. Our data in the depression group
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suggests that the mood-congruent processing bias, which has been demonstrated in a number of
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cognitive domains, e.g., memory and attention (Leppänen, 2006; Sterzer et al., 2011; Kluczniok
et al., 2016), may also exist for emotional empathy. They further may suggest that due to the
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predominantly negative processing in MDD, the empathic concern ratings may have been
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interpreted by the patients as empathy ratings in the case of negative stimuli. Further studies
asking for negative and positive affect ratings after each picture trial may help disentangle the
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underlying reasons for such an effect.
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Finally, we found no differences in inhibitory control between groups, suggesting that
differences between depressed patients and healthy controls observed in the present study are not
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simply related to differences in executive functioning (c.f. Thoma et al., 2011). It is
acknowledged that inhibitory control only relates to one aspect of executive functioning. Future
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studies of empathy in depression may consider further components of executive functioning (e.g.
cognitive flexibility, working memory).
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4.3. Clinical relevance
These findings are of considerable clinical relevance, as MDD patients with comorbid
alexithymia will have different treatment outcomes (Taylor and Bagby, 2004; Ogrodniczuk et al.,
2005). Empathy deficits in MDD can be mostly attributed to concurrent alexithymia, whereas
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 23
alexithymia seems to affect empathy on all levels. Diminished emotional awareness appears to
lead to deficient sharing of emotional states, but also to impaired perspective taking and
attribution of emotional state. Thus therapeutic work in this subgroup of MDD patients might
have to focus firstly on increasing rudimentary emotional awareness and emotion regulation.
Clinically, the concept of alexithymia becomes increasingly important to consider in therapy,
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which raises the question of the etiology of alexithymia in depression. Generally, alexithymia is
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considered a trait rather than a state characteristic of an individual. However, it is not clear
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whether alexithymia observed in acutely depressed patients does improve after remission of
symptoms (Luminet et al., 2001; Taylor and Bagby, 2004). The cross-sectional nature of the
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present study limits our ability to determine if alexithymia observed in our MDD patient group is
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transient or permanent. In the former case, alexithymia could be considered a symptom of acute
depression; in the latter case, alexithymia could be considered a vulnerability factor for MDD
M
(Luminet et al, 2001; Leweke et al., 2012). Longitudinal studies are needed to explore if and how
empathic responding and alexithymia change over the course of depressive illness. To further
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explore the relationship between alexithymia and depression is a promising field with clinical
relevance.
PT
From a clinical perspective, one might consider introducing a screening for high alexithymic
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traits in patients with depression which could allow the identification of patients who would
particularly benefit from metacognitive or compassion training: Bornemann & Singer (2017)
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have shown that nine months of contemplative training can improve emotional awareness (as
measured in the TAS) especially in participants with initially high alexithymia. However, the
long duration of nine months might make this kind of intervention more interesting for patients
after remission and might particularly aim at relapse prevention. Nonetheless, it has been shown
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 24
that even short-term compassion training (one-day training consisting of 6 hours) increases
positive mood and decreases depressive symptoms (Leiberg et al., 2011). This intervention might
even be feasible for inpatients during a depressive episode.
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4.4. Limitations
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A point of note is the age bias within the healthy controls with high alexithymia. We do
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acknowledge that by additionally recruiting a second control group, i.e., participants with high
alexithymia, from specific databases an age bias emerged. To consider the age differences, we
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used age as a covariate in all analyses. Moreover, we do acknowledge that due to the exploratory
nature of our study we did not correct for multiple testing, which might have resulted in Type I
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error accumulation. Furthermore, while the MET is highly suitable to dissociate different
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components of empathy we are aware that real life social interactions are much more complex.
There is a need for novel, more ecologically valid measures that, at the same time, better
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dissociate affective and cognitive components of empathy (Kanske et al., 2015b; Schilbach,
2016; Schilbach et al., 2013). Finally, in this study we focused on alexithymia to investigate
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empathy in depression. However, other personality traits might play a critical role for empathy
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deficits in individuals suffering from depression. It could be promising for future studies to
assess the relationship between the Big-Five dimensions of personality (McCrae and Costa,
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1989) and alexithymia and depression, respectively, in their impact on empathy measures.
4.5. Conclusion
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 25
In conclusion, this study aimed to disentangle the different effects of depression and alexithymia
on different components of empathy. We explored empathy accounting for alexithymia and
looking at cognitive and emotional empathy in state and trait. Alexithymia seems to affect
empathy at nearly all levels. Irrespective of alexithymia, MDD patients show only deficient
empathy regarding personal distress, which seems to be a core empathy deficits in MDD and
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associated with symptom severity. Other empathy deficits observed in individuals with MDD
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(decreased levels of state and trait cognitive empathy) seem to be linked to concurrent
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alexithymia. Thus, impairments in alexithymia become increasingly important to consider in
therapy.
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Acknowledgements
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The authors wish to thank all the participants of this study. The research was supported by a
grant from the German Federal Ministry of Education and Research (BMBF-01KR1207C to
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Felix Bermpohl) and by the Max Plank Society.
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Declaration of interest
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None.
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C. Banzhaf et al. Interacting and dissociable effects of alexithymia and depression on empathy 26
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