Beruflich Dokumente
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You know, theres a lot of talk in this country about the federal deficit. But I think we should
talk more about our empathy deficitthe ability to put ourselves in someone elses shoes; to
see the world through the eyes of those who are different from usthe child whos hungry, the
steelworker whos been laid-off, the family who lost the entire life they built together when the
storm came to town. When you think like thiswhen you choose to broaden your ambit of
concern and empathize with the plight of others, whether they are close friends or distant
strangersit becomes harder not to act; harder not to help.Barack Obama (2006a)
The thing that I really care about is making the world more open and connected. . . . Open
means having access to more information, right? More transparency, being able to share things
and have a choice in the world. And connected is helping people stay in touch and maintain
empathy for each other, and bandwidth.Mark Zuckerberg (Stengel 2010, 68)
Amy Coplan is Associate Professor of Philosophy at California State UniversityFullerton. Her
major research interests include philosophy of emotion, aesthetics, and ancient Greek philosophy. She has published articles in these areas and is co-editor with Peter Goldie of Empathy:
Philosophical and Psychological Practices (Oxford University Press, forthcoming) and is editor of a
collection on the film Blade Runner (forthcoming in Routledges Philosophers on Film series).
The Southern Journal of Philosophy, Volume 49, Spindel Supplement (2011), 4065.
ISSN 0038-4283, online ISSN 2041-6962. DOI: 10.1111/j.2041-6962.2011.00056.x
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Empathy and bandwidthyou could inscribe the words on Zuckerbergs coat of arms. And
they are without a doubt both good things. But are they good for everybody all the time?
Richard Stengel (2010, 68)
INTRODUCTION
Over the past few decades, there has been a surge of interest in the concept
of empathy, which has come to occupy a central role in countless debates
taking place in both public and academic discourse. Barack Obama writes
about empathy in his book, The Audacity of Hope (2006b), and has invoked the
concept in several different contexts, most notably when he listed the criteria
he would use to choose nominees for the U.S. Supreme Court. This led to
heated political debates over the nature and appropriateness of judicial
empathy, generating what several news outlets called an empathy war.
Mark Zuckerberg, the founder of Facebook who was Time magazines 2010
Person of the Year, suggests that one of the major goals of Facebook is to
promote empathy among its users. In speeches given to different audiences in
the past few years, the Academy Awardwinning actress Meryl Streep (2010)
says that empathy is what fuels positive change and that it is at the center of
her well-being and purpose in the world.
While empathys frequent appearance in public discussions is a relatively
new phenomenon, empathy has been a topic of interest in philosophy and
psychology ever since the words introduction into the English language in
1909.1 Yet, today, empathy seems to be of greater concern than ever before,
as researchers from multiple disparate disciplines have become convinced of
its relevance to a wide range of issues, such as the nature and conditions of
morality and moral judgments, how we understand one another, what makes
certain political candidates appealing, how and why we engage with works of
art, what characterizes psychopaths and bullies, how medical workers should
interact with their patients, and the recipe for successful psychotherapy.2
1
In order to capture the German concept of Einfhlung, Edward Titchener transliterated the
Greek word empatheia as empathy, which he first introduced in 1909 in his Experimental
Psychology of Thought Processes. Although Titchener was the first to use the term empathy, by the
time he began discussing it, Einfhlung was already a prominent concept in psychology, aesthetics, and philosophy of social science. For more on this, see Currie, forthcoming; Coplan and
Goldie, forthcoming; Stueber 2000, 2006, 2008; and Kgler and Stueber 2000.
2
For a discussion of some of the current research on empathy, especially within philosophy
and psychology, as well as a survey of the history of the concept, see Coplan and Goldie,
forthcoming. Useful overviews of how the concept of empathy has developed and is currently
employed in particular areas of research, including hermeneutics, developmental psychology,
and psychoanalysis can be found in Stueber 2006, 2008; Batson 2009; Eisenberg 2000;
Verducci 2005; A. Clark 2007; Wisp 1987; Gladstein 1984; Gladstein and Brennan 1987;
Bohart and Greenberg 1997; and K. Clark 1980.
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43
different types of imitation are all fundamentally important and merit serious
attention. Philosophers, in particular, are too often guilty of neglecting lowlevel affective processes, which play an enormous role in almost every aspect
of human experience. Nevertheless, grouping these together with higher-level
processes is not the best way to highlight their importance. In order to do
justice to these processes, we must treat them as separate and as being worthy
of distinctive conceptualizations. I do not deny that the various processes
referred to as empathy are related in multiple ways, but transforming
empathy into a catch-all term does little to shed light on the nature of these
relationships or on the nature of each individual process itself. On the contrary, it leads us to ignore the differences among the processes and to conflate
them in ways that interfere with attempts to understand them.
De Waals approach to empathyto argue for an overarching concept that
applies to a wide variety of processestakes us in the wrong direction. Against
this view, I contend that, far from being emphasized to the point of distraction, as de Waal claims, the differences among the processes referred to as
empathy have not been emphasized enough. What we need is a narrower
conceptualization of empathy, not a broader one. We need greater precision in
our conceptualizations of the myriad processes that get called empathy, and we
need to specify as clearly and systematically as possible what the different
processes are, how each one works, and why each one matters. Only then will
we be able to appreciate more fully the roles these processes play in our lives.
It is no accident that philosophers have been the ones most often accused
of defining empathy too narrowly. One of the oldest and most important tasks
of philosophy is to formulate, clarify, and refine our concepts and theories to
ensure that they are as specific as possible, possess as much explanatory power
as possible, and can thereby enhance our understanding of the world and of
our experiences. For Socrates, Plato, and Aristotle, a critical step in determining how best to understand and conceptualize a particular phenomenon
is to decide what to exclude from the conceptualization. Put differently, to
figure out what something is often requires us first to figure out what it is not.
Those of us with naturalist commitments must also make sure that our
theories and concepts are informed by and have the capacity to inform
science. They must therefore square with the methods, activities, and discoveries of empirical scientists.4 As philosophers, one of the most significant
contributions we can make to interdisciplinary areas of research, such as the
study of empathy, is through the creation of theoretical and conceptual
frameworks that clearly and systematically organizeas much as is
4
See Robert McCauley (forthcoming) for a discussion of philosophical naturalism and the
constraints it places on theory and concept construction. McCauleys methodological approach
is the type to which I think philosophers should aspire.
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1. EMOTIONAL CONTAGION
I begin with an examination of emotional contagion. A majority of empathy
researchers consider emotional contagion to be a primitive form of empathy
or empathy at its most basic level. Although I understand the logic behind
viewing emotional contagion in this way, I maintain that it is a mistake for a
number of different reasons. (1) Emotional contagion on its own has different
causes than the higher-level processes referred to as empathy; (2) it involves a
different neural architecture (which is to say that it is realized by a distinctive
neural pathway) than the higher-level processes referred to as empathy; (3) it
involves a different phenomenology than the higher-level processes; and (4) it
often results in different effects. During the past twenty years, there have been
huge advances in the empirical study of mirroring processes and the neural
underpinnings of various forms of shared affect. These advances provide solid
empirical evidence showing that emotional contagion differs significantly
from the higher-level processes referred to as empathy, and thus it is high time
for us to update our files.
Emotional contagion is defined by psychologists Elaine Hatfield, John
Cacioppo, and Richard Rapson as the tendency to automatically mimic and
synchronize expressions, vocalizations, postures, and movements with those
of another person, and, consequently, to converge emotionally (1994, 153
54). As Stephen Davies explains, this involves the transmission from A to B
of a given affect such that Bs affect is the same as As but does not take As
state or any other thing as its emotional object (forthcoming). Emotional
contagion happens extremely quickly and is typically below the threshold of
awareness, so in standard cases, we end up catching anothers emotion
without realizing it. The main processes involved are facial, vocal, and postural mimicry and the activation and afferent feedback triggered by mimicry.
All of these processes are automatic and involuntary.6 Emotional contagion is
not a higher-order cognitive process, which explains why it occurs in numerous species, most of which are not thought to possess the capacity for selfknowledge. Stephanie Preston and de Waal hypothesize that emotional
contagion developed before more complex emotional processes (such as highlevel empathy) and involves fast and reflexive subcortical processes that go
directly from sensory cortices to the thalamus to the amygdala to response
(Preston and de Waal 2002). The research on emotional contagion shows that
due to our hardwired ability to catch the emotions of others, our emotional
experiences can be directly and immediately influenced by anothers emo6
See Dimberg 1982, 1988, 1990; Adelmann and Zajonc 1989; Levenson, Ekman, and
Friesen 1990; Bavelas et al. 1987; Hess and Blairy 2001; Hatfield, Rapson, and Le 2009; and
Hatfield, Cacioppo, and Rapson 1994, 5362.
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7
I develop this argument in greater length elsewhere (2010). Davies (forthcoming) takes a
similar position, arguing that the evidence on emotional contagion works against the cognitive or judgment theory of emotion, which is the dominant view in philosophy.
8
The person whose emotion triggers emotional contagion need not be physically present
but must be perceptually accessible. Thus, we can have a contagion response to characters in
films or to news reports providing visual and aural access to a person expressing emotion. See
Coplan 2006 and 2009 and Coplan and Matravers 2011 for discussion of emotional contagion
responses to film. There are good reasons for thinking that, in some cases, animated characters
and nonhuman animals expressing emotion may be able to trigger a contagion response, but
these sorts of cases are beyond the scope of this paper. Davies (forthcoming) argues that we
experience emotional contagion in response to certain kinds of music that mimic the sound of
the human voice expressing emotion. Although I do not discuss these sorts of nonstandard cases
here, everything I say about emotional contagion applies to them as well, and they all still rely
on direct sensory engagement of some form.
9
See Coplan 2006 and 2009 and Coplan and Matravers 2011 for this argument and for
more on how film elicits emotional contagion responses and why it is well suited to do so.
10
It is possible in some cases for one to be aware of experiencing emotional contagion. For
example, psychotherapists and other mental health professionals, who are familiar with the
phenomenon of emotional contagion and have been trained to recognize their own emotions,
may be aware of times when they have experienced emotional contagion. However, these sorts
of cases are not the norm.
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17
Nummenmaa and her colleagues (2008) and Shamay-Tsoory and her colleagues (2009)
refer to different types or subtypes of empathy, often using emotional empathy to refer to
emotional contagion and cognitive empathy to refer to mentalizing and theory of mind processes. This may lead readers to wonder why I do not accept these more specific terms as
referring to different subtypes of empathy rather than insisting on a narrow conceptualization
that excludes emotional contagion and other processes. As I have been arguing, I consider these
processes to be distinctive enough to warrant distinctive labels. In addition, the terms emotional
empathy and cognitive empathy are not used uniformly. Thus, some researchers use emotional empathy to refer to emotional contagion, while others use emotional empathy to refer to
any empathic process involving an emotion, and still others use the term to refer to cases of
empathizing with someone who is experiencing emotion (as opposed to someone who is
thinking or reasoning).
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individual than cognitive empathy and that the two processes recruit different
brain networks.18
In a review and analysis of recent imaging research in social neuroscience on
empathy and mentalizing, Tania Singer (2006) provides additional support for
the view that emotional contagion differs in significant ways from empathy that
involves perspective taking. Although Singer understands empathy broadly as
a multilevel construct encompassing processes ranging from emotional contagion to high-level perspective taking, her analysis bears directly on my proposal. The empathy studies she analyzes focus primarily on affect sharing and
emotional contagion (ibid., 859), and the major conclusion of her analysis
highlights the differences between low-level processes (such as affect sharing)
and high-level processes (such as perspective taking). More specifically, she
writes that the abilities to understand other peoples thoughts and to share
their affects display different ontogenetic trajectories reflecting the different
developmental paths of their underlying neural structures (ibid., 855).
Singer reviews major findings from three separate research streams in
social neurosciencethose concerning mentalizing, motor action imitation,
and empathizing qua affect sharing. Her review leads her to conclude that the
capacity for affect sharing develops much earlier than the capacity for mentalizing because it is based on limbic and paralimbic structures and the
somato-sensory cortices, which rely on structures that begin to form early in
brain development. Theory of mind or mentalizing abilities, on the other
hand, rely on structures of the neo-cortex, such as the prefrontal cortex and
lateral parts of the temporal cortex, which are among the last to mature in
brain development.
Singers conclusion is consistent with the phylogenetic and developmental
data. Whereas emotional contagion occurs in a wide range of species, perspective taking occurs only in phylogenetically advanced mammals such as
great apes. In those species with the capacity for perspective taking, emotional
contagion shows up much earlier in development than the ability to take up
others perspectives. In humans, infants exhibit the capacity for emotional
contagion moments after they are born, while the ability to engage in perspective taking does not develop until the age of four or five.19
Many philosophers interested in empathy have failed to consider the
advances in the empirical research on theory of mind and mirroring processes. An important exception to this is Alvin Goldman (2006, forthcoming),
who has played a significant role in the research on mirror neurons and is one
18
Although the study by Nummenmaa et al. (2008) provides important suggestive evidence,
it should be noted that the authors are not consistent in their use of terminology, which makes
it difficult to evaluate their results with certainty.
19
Hodges 2008; Wimmer and Perner 1983; Baron-Cohen, Leslie, and Frith 1985.
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research and by the need to show that the manner in which we attempt to
take up anothers perspective will determine the likelihood of our gaining
intersubjective or experiential understanding of the other.
What is pseudo-empathy? I use this term to refer to an attempt to adopt a
target individuals perspective by imagining how we ourselves would think,
feel, and desire if we were in the target individuals position. It is, essentially,
a type of self-oriented perspective taking. We use our own selves and our
responses to various simulated or imagined scenarios as a way to gain access
to or understand another persons situated psychological states.
Why call this pseudo-empathy? It seems that this process of trying to put
oneself in the other persons situation is exactly what we want when we ask
another to empathize with us? Suppose I say to my friend, How would you
feel if this happened to you? I say this as a way to elicit empathy and to get
my friend to understand where I am coming from. I acknowledge that we
sometimes speak this way, that we engage in perspective taking of this kind,
and that it is often motivated by the desire to understand another. And I
acknowledge that, in some cases, self-oriented perspective taking provides
some understanding of the others experience. But though it can lead to
quasi-empathic experiences, it does so only in cases where there is a great deal
of overlap between self and other or where the situation is the type that would
lead to a fairly universal response. For example, if Dick is being chased by a
lion and Jane decides to imagine that she is being chased by a lion, Jane is
likely to end up with the same or a very similar experience. However, as Peter
Goldie (1999, 2002, forthcoming) argues, many, if not most, situations are
more complex than this, and one individuals response to a set of circumstances is rarely a reliable indicator of what anothers will be. For this reason,
he says, adopting anothers perspective will generally require one to bring a
characterization of the target individual to bear on her imaginative process, a
characterization encompassing facts about the targets character, emotions,
moods, dispositional tendencies, and life experiences.
In other-oriented perspective taking, a person represents the others situation from the other persons point of view and attempts to simulate the target
individuals experiences as though she were the target individual. Thus, I
imagine that I am you in your situation, which is to say, I attempt to simulate
your experiences from your point of view. Making this distinction may strike
some as splitting hairs, but other-oriented perspective taking is a different type
of process than self-oriented perspective taking, and the difference is not
purely conceptual.20 Empirical studies have shown that other-oriented per20
Goldie (forthcoming, 2002) highlights the differences between self- and other-oriented
perspective taking at the conceptual level, ultimately concluding that empathy, if conceived of
in terms of other-oriented perspective taking, is conceptually problematic. Although I do not
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See Dunning et al. 1990 and Vallone et al. 1990; see also Goldman 2006.
57
his own distress and how to alleviate it. Psychologists characterize this
response as a type of overarousal because the observers distress becomes
overwhelming and aversive.28 Individuals who experience personal distress
typically engage in self-directed behaviors designed to alleviate their own
discomfort. For example, an observer experiencing personal distress will often
try to escape from the situation that triggered his distress, regardless of what
this will mean for the target individual whose distress initially caused the
observers distress. In some contexts, a person experiencing personal distress
will display prosocial behavior but generally only when there is no alternative
method of eliminating his discomfort.29
Why is self-oriented perspective taking more likely to lead to personal
distress? Imagining what it would be like for me to be in the awful situation you
are experiencing makes it harder for me to modulate my emotions. I lose
track of the fact that the experiences are actually yours and not mine and end
up feeling so upset that I become completely focused on my own pain and
what I can do to alleviate it. My emotional responses to imagined scenarios
involving me as me lead to greater emotional arousal in general. These effects
are decreased in other-oriented perspective taking because I suppress my
self-perspective, which makes it possible for me to accurately represent the
distressing emotions as the others.
To summarize, personal distress, false consensus effects, and general misunderstandings of the other are all associated with self-oriented perspective
taking. When we imagine ourselves in another persons situation, it frequently
results in inaccurate predictions and failed simulations of the others thoughts,
feelings, and desires. It also makes us more likely to become emotionally
overaroused and, consequently, to focus solely on our own experiences. To be
clear, I do not wish to suggest that self-oriented perspective taking is a bad
thing or that it never improves our understanding of others, neither of which
is true. Experiencing the other as a version of ourselves in many situations is
a good thing, and it is usually far better than experiencing the other in purely
instrumental terms. Very often it is motivated by a concern for the other and
a desire to understand his experiences, both of which tend to be good things.
It may also be the path by which we learn to engage in other-oriented
perspective taking. Nevertheless, it is a significantly different mode of intersubjective engagement than one centered on other-oriented perspective
taking. We must recognize this and alter both our descriptive and normative
theories accordingly.
28
Eisenberg and Strayer 1987; Eisenberg 2000; Hoffman 2000; Batson, Fultz, and
Schoenrade 1987.
29
See Batson, Early, and Salvarani 1997; Batson et al. 1981; Batson 1991; Batson et al.
1997; Batson, Fultz, and Schoenrade 1987; and Decety and Lamm 2009.
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3. EMPATHY
At last I come to the complex imaginative process I refer to as empathy, a
process through which an observer simulates anothers situated psychological
states, while maintaining clear selfother differentiation. In my view, this
process is the only one that can provide experiential understanding of another
person, or understanding of another from the inside. It is in virtue of its
ability to provide this type of first-person access to another, however imperfect, that empathy is a unique and invaluable processand one worth our
attention.
Because my goal in this article is to defend a narrow conceptualization, I
focus in the remainder of my discussion on reasons for keeping empathy
theoretically and conceptually distinct from other processes.30 Having a
precise conceptualization of empathy will greatly enhance our understanding
of its role in various aspects of our lives and will enable us to better evaluate
the research that has already been done.
Genuine empathy is difficult to achieve. To stay focused on the target
individual and move us beyond our own experiences, perspective taking
requires mental flexibility and relies on regulatory mechanisms to modulate
our level of affective arousal and suppress our own perspectives.31 As mentioned above, it also often requires at least some knowledge of the target,
though how much depends on the context (Goldie 1999, 2002, forthcoming).
Fulfilling these conditions is not easy, particularly when the other is someone
very different from ourselves; the more unlike a target we are, the more
difficult it is to reconstruct her subjective experiences. As a result, empathy is
subject to biases tied to our familiarity and identification with the target
individual; we are more likely to empathize with those we know well and
whom we judge to be like us in some important respect. Not surprisingly, we
are also more likely to succeed in our attempts to adopt their perspectives.32
In order to represent the situation and experiences of those we know less well
and with whom we fail to identify, we must work harder, and even then, we
will often be unable to simulate their situated psychological states.33
The effort and regulation involved in other-oriented perspective taking
suggests that empathy is a motivated and controlled process, which is neither
automatic nor involuntary and demands that the observer attend to relevant
30
I discuss empathy and its essential featuresaffective matching, other-oriented perspective taking, and selfother differentiationat greater length elsewhere (Coplan, forthcoming).
31
Decety and Sommerville 2003; Decety and Jackson 2004; Decety and Hodges 2006;
Goldman 2006; Lamm, Meltzoff, and Decety 2010; and Decety and Meltzoff, forthcoming.
32
Hoffman 2000; Eisenberg 2000; Batson et al. 1981.
33
Decety and Jackson 2004; Lamm, Meltzoff, and Decety 2010.
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differences between self and other.34 This makes it a top-down process: it must
be initiated by the agent and generated from within, though it is likely that
bottom-up processes, such as emotional contagion, sometimes interact with
this process, providing influential feedback that alters it in important ways.
Questions remain about the exact relationship between bottom-up processes (such as emotional contagion and mirroring) and top-down processes
(such as other-oriented perspective taking). The study by Shamay-Tsoory
et al. (2009) shows that empathy does not depend on emotional contagion
because it reveals a double dissociation between the two processes. There is
evidence to suggest a correlation between empathy scores and mirror activity,35 but other evidence suggests that people highly susceptible to emotional
contagion are less capable of empathy. It seems likely that bottom-up processes may help to activate an empathy response and may provide important
experiential information about a targets affective state, generating a feedback
loop, but at this point it is not entirely clear how these processes interact.36
The differences between perspective taking oriented toward the self
and that oriented toward the other have received too little attention in
philosophical discussions of empathy and of intersubjective engagement more
generally;37 however, recent developments in cognitive neuroscience and
philosophy of mind are drawing attention to the existence and significance of
these differences.38 Jean Decety and his collaborators have conducted several
experiments using fMRI to examine the brain activity associated with various
perspective taking tasks and have found that the neurological underpinning of
other-oriented perspective taking differs from that of self-oriented perspective
taking.39 In one such study, Decety and Jessica Sommerville (2003) found
specific activation of the frontopolar cortex, which is chiefly involved with
34
Goldie 1999, 2002, forthcoming; Goldman 2006, forthcoming; Batson et al. 2003; Decety
and Lamm 2009; Decety and Meltzoff, forthcoming; and Hodges and Wegner 1997.
35
See Pfeifer et al. 2008 and Gazzola, Aziz-Zadeh, and Keysers 2006.
36
I have said little about mirror neurons, not because they are not an important part of the
story but because the study of them is still very young and we should therefore exercise caution
about concluding too much. Still, there are a number of exciting discoveries that have occurred
recently that are likely to help complete the picture. Recent research on mirroring and the
mirror system has led some to conclude that mirror neurons are more complex and more widely
distributed than was initially believed and that some mirror responses involve high-level processes (Iacoboni 2008, forthcoming). Needless to say, the story regarding mirroring is far from
complete.
37
Discussions of intersubjectivity within continental philosophy are typically more careful
about the differences between self and others, but the concept of empathy does not figure as
prominently in such discussions.
38
Decety 2007; Decety and Chaminade 2003; Decety and Grzes 2006; Decety and
Hodges 2006; Decety and Jackson 2006; Decety and Sommerville 2003; Iacoboni 2008; Goldie
1999, 2002, forthcoming; Goldman 2006, forthcoming; and Hoffman 2000.
39
Decety and Hodges 2006; Decety and Grzes 2006; Decety and Jackson 2006; and Ruby
and Decety 2001, 2004.
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40
Ruby and Decety 2001, 2004; Jackson, Meltzoff, and Decety 2005; Jackson et al. 2006;
Lamm, Batson, and Decety 2007; and Decety and Meltzoff, forthcoming.
41
Decety and Hodges 2006; Decety and Jackson 2006; and Goldman 2006, forthcoming.
42
Batson 1991; Batson, Fultz, and Schoenrade 1987; and Batson et al. 2003.
43
An earlier version of this paper was delivered at the 29th Spindel Conference, Empathy
and Ethics, at the University of Memphis. I would like to thank those who participated in the
conference for their helpful questions, comments, and discussion, especially Stephan Blatti,
Peter Goldie, Joey Miller, Scott OLeary, Julinna Oxley, Jesse Prinz, Robert Roberts, Michael
Slote, and Charles Starkey. I would also like to thank Heather Battaly, Dave Gerkens, and Ryan
Nichols for helpful discussions. I am indebted to Christian Miller for both his excellent comments and his patience. Finally, I am extremely grateful to Remy Debes whose feedback and
support were invaluable.
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