Empathy and Human Experience
Empathy and Human Experience
Empathy and Human Experience
13
Empathy and Human
Experience
Evan Thompson
Introduction
262 mind
tersects with religion not as an object of scientific study (as it is for Pascal
Boyer),3 but as a repository of first-person methods that can play an active and
creative role in scientific investigation itself.4
Religion includes many other things besides contemplative experience,
and many religions have little or no place for contemplative experience. On
the other hand, contemplative experience is found in important nonreligious
contexts, such as philosophy.5 For these reasons, the term religion does not
accurately designate the kind of cultural tradition or domain of human expe-
rience that I and others wish to bring into constructive engagement with cog-
nitive science. Better designations would be wisdom traditions and contem-
plative experience. Nor does the phrase science-religion dialogue convey the
nature of our project, for our aim is not to adjudicate between the claims of
science and religion, but to gain a deeper understanding of the human mind
and consciousness by making contemplative psychology a full partner in the
science of mind.
Three main bodies of knowledge are crucial for this endeavor. I have al-
ready mentioned twocognitive science and contemplative psychology. The
third is phenomenological philosophy in the tradition inaugurated by Edmund
Husserl. The importance of phenomenology is that it provides a third medi-
ating term between cognitive science and contemplative psychology, especially
in the case of non-Western contemplative traditions such as Buddhism. Phe-
nomenology is a Western intellectual tradition with strong roots in the Western
scientific style of thought, but it is also a tradition that upholds the importance
of rigorous attention to mental phenomena as lived experiential events. Thus,
instead of the science-religion dialogue as it is standardly presented, the task
in which I see myself engaged is one of circulating back and forth among the
three spheres of experimental cognitive science, phenomenology, and contem-
plative psychology. Mutual circulation is the term that Francisco Varela,
Eleanor Rosch, and I introduced to describe this approach.6 According to the
logic of mutual circulation, each domain of cogntive science, phenomenology,
and contemplative psychology is distinct and has its own degree of autonomy
its own proper methods, motivations, and concernsbut they overlap and
share common areas. Thus, instead of being juxtaposed, either in opposition
or as separate but equal, they flow into and out of each other, and so are all
mutually enriched.
In this essay I will illustrate this approach through a discussion of the
human experience of empathy. I choose empathy because it is one important
aspect (though by no means the only one) of the intersubjectivity of human
experience. Intersubjectivity is important in the context of discussing the re-
lationship between cognitive science and contemplative experience because
there has been a tendency in this area to focus on consciousness as if it were
an intrinsically interior phenomenon or inner reality invisible to ordinary 1
perception. I think this way of thinking about consciousness is distorted. It 0
1
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operates within the reified categories of internal and external. These cate-
gories are inadequate for understanding how human experience is constituted
by our lived body and interpersonal social world. We see the experience of
shame in the blushing face, perplexed thought in the furrowed brow, joy in
the smiling face; we do not infer their existence as internal phenomena from
external facts. Although it is true that not all experiences need be expressed
in this bodily way, and that each of us has first-person access only to his or her
own experience, these truths do not mean that experience is interior in some
special (and unclear) metaphysical sense. Focusing on empathy helps to re-
mind us that we need a better framework for thinking about human experi-
encewhether in cognitive science or contemplative psychologythan the
framework of inner and outer.
The key idea of the next part of this essay is that human experience de-
pends formatively and constitutively on the dynamic coupling of self and other
in empathy. After presenting this idea by interweaving cognitive science and
phenomenology, I will then expand the discussion to include a contemplative
perspective on the nonduality of self and other, as presented by the Madhya-
maka or middle way tradition of Indo-Tibetan Buddhism. Finally, I will re-
turn to the importance of contemplative phenomenology for cognitive science
in light of the theme of this volume.
Empathy Defined
264 mind
Empathy as Coupling
The first kind of empathythe dynamic coupling or pairing of the living bodies
of self and otherbelongs to the level of prereflective perception and action
(what Husserl calls the passive synthesis of experience).12 It is passive in the
sense of not being initiated voluntarily, and it serves as a support for the other
types of empathy. Coupling or pairing means an associative bonding or
linking of self and other on the basis of their bodily similarity. This similarity
operates not so much at the level of visual appearance, which forms part of
the body image as an intentional object present to consciousness, but at the
level of gesture, posture, and movement, that is, at the level of the unconscious
body schema.13 Thus, empathy is not simply the comprehension of another
persons particular experiences (sadness, joy, and so on), but the experience of
another as a living bodily subject of experience like oneself.
This phenomenological conception of the embodied basis of empathy can
be linked to cognitive science by going back to the broad notion of empathy as
processas any process in which the attentive perception of the other gener-
ates a state in oneself more applicable to the others state than to ones own
prior state. According to the perception-action model of empathy,14 when we
perceive another persons behavior, our own motor representations for that 1
kind of behavior are automatically activated and generate associated autonomic 0
1
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and somatic responses (unless inhibited). For instance, it has been shown that
when one individual sees another execute actions with different body parts
(mouth actions, hand actions, and foot actions), the neural patterns of activa-
tion in the observers brain correspond to those that would be active were the
observer performing the same bodily actions.15
This kind of self-other coupling can be called sensorimotor coupling. In
addition to sensorimotor coupling, there is affective coupling or affective res-
onance.16 In affective resonance, two individuals engaged in direct interaction
affect each others emotional states.
266 mind
monkey species despite great efforts to find it). Tailored helping is coming to
the aid of another (either a conspecific or a member of another species) with
behaviors tailored to the others particular needs (as when one ape helps an-
other out of a tree or tries to help an injured bird fly). Such behavior, in de
Waals words, probably requires a distinction between self and other that al-
lows the others situation to be divorced from ones own while maintaining
the emotional link that motivates behavior.19 There exists a large number of
anecdotal reports of tailored helping in apes.
Cognitive empathy at its fullest, however, is achieved when one individual
can mentally adopt the others perspective by exchanging places with the other
in imagination. Described phenomenologically:20 I am here and I imagine go-
ing there and being at the place where you are right now. Conversely, you are
here (the there where I imagine being) and you imagine you are going there,
to the place where I am (my here). Through this imagined movement and
spatial transposition, we are able to exchange our mental perspectives, our
thoughts and feelings. Whether apes possess this kind of mental ability is
unclear and a subject of debate.21
In human children, the ability to mentally transpose self and other seems
to be linked to the emergence, at around nine to twelve months of age, of a
whole cluster of cognitive abilities known collectively as joint attention.22
Joint attention refers to the triadic structure of a child, adult, and an object
or event to which they share attention, and includes the activities of gaze fol-
lowing (reliably following where adults are looking), joint engagement with
shared objects or events, using adults as social reference points, and imitative
learning (acting on objects as adults do). At around the same time, infants also
begin to point to things and hold them up for someone to see, gestures that
serve to direct adult attention actively and intentionally. Michael Tomasello has
argued that infants begin to engage in joint attentional interactions when they
begin to understand other persons as intentional agents like the self.23 He
proposes a simulation explanation of this developmental cognitive milestone,
according to which the infant uses her primal understanding of others as like
me (the grounding process of empathy, in phenomenological terms), and her
newly emerging understanding of her own intentional agency, as the basis on
which to judge analogically and categorically that others are intentional agents
like me as well.
The third kind of empathy involves not simply imagining myself in your place,
but understanding you as an other who accordingly sees me as an other to you. 1
In other words, the imaginary transposition in this kind of empathy involves 0
1
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the possibility of seeing myself from your perspective, that is, as you empa-
thetically experience me. Empathy thus becomes reiterated, so that I empa-
thetically imagine your empathetic experience of me, and you empathetically
imagine my empathetic experience of you. We also talk to each other about
our experiences, and so linguistic communication and interpretation partici-
pate in and structure this exchange. The upshot is that each of us participates
in an intersubjective viewpoint that transcends our own first-person singular
perspectives.
We can turn again to developmental psychology for insight into the genesis
of this third kind of empathy and the role it plays in constituting an intersub-
jective perspective. Let me quote a passage from Tomasellos book The Cultural
Origins of Human Cognition that lucidly describes this genesis in the human
infant:
As infants begin to follow into and direct the attention of others to
outside entities at nine to twelve months of age, it happens on occa-
sion that the other person whose attention an infant is monitoring
focuses on the infant herself. The infant then monitors that persons
attention to her in a way that was not possible previously, that is,
previous to the nine-month social-cognitive revolution. From this
point on the infants face-to-face interactions with otherswhich ap-
pear on the surface to be continuous with her face-to-face interac-
tions from early infancyare radically transformed. She now knows
she is interacting with an intentional agent who perceives her and
intends things toward her. When the infant did not understand that
others perceive and intend things toward an outside world, there
could be no question of how they perceived and intended things to-
ward me. After coming to this understanding, the infant can moni-
tor the adults intentional relation to the world including herself. . . .
By something like this same process infants at this age also become
able to monitor adults emotional attitudes toward them as wella
kind of social referencing of others attitudes to the self. This new
understanding of how others feel about me opens up the possibility
for the development of shyness, self-consciousness, and a sense of
self-esteem. . . . Evidence for this is the fact that within a few
months after the social-cognitive revolution, at the first birthday, in-
fants begin showing the first signs of shyness and coyness in front
of other persons and mirrors.24
As Tomasello goes on to discuss, once the infant understands other indi-
viduals as intentional beings and herself as one participant among others in a
social interaction, then whole new cognitive dimensions arise. The child comes
to be able to participate in joint attentional scenessocial interactions in 1
which the child and the adult jointly attend to some third thing, and to one 0
1
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268 mind
anothers attention to that third thing, for an extended period of time, and in
which the child can conceptualize her own role from the same outside per-
spective as the other person. Joint attentional scenes in turn provide the frame-
work for the acquisition of language and other kinds of communicative con-
ventions.25
Although Tomasello does not use the term empathy in this context, the
cognitive achievement he describes of being able to conceptualize oneself from
the perspective of another person corresponds to what phenomenologists call
reiterated empathy. In reiterated empathy, I see myself from the perspective
of another and thus grasp myself as an individual in an intersubjective world.
Tomasellos discussion of the childs achievement of this intersubjective
perspective emphasizes the developmental progression from the neonates un-
derstanding of the other as an animate being, to the infants understanding of
the other as an intentional agent with attention and goal-directed behavior, to
the four-year-old childs understanding of the other as a mental agent with
thoughts and beliefs (which need not be expressed in behavior and can fail to
match the world).
Phenomenologists, without neglecting the intentional and mental aspects
of the self, draw attention to the ambiguity of the lived body in reiterated
empathy. The lived body is that which is most intimately me or mine, but it is
also an object for the other. Because it is so intimately me, my body cannot
stand before me as an object the way that other things can. No matter how I
turn, my body is always here, at the zero-point of my egocentric space, never
there. It is through empathetically grasping the others perception of me that I
am able to grasp my own lived body as an object belonging to an intersubjective
world. In this way, my sense of self-identity in the world, even at the basic level
of embodied agency, is inseparable from recognition by another, and from the
ability to grasp that recognition empathetically.
The fourth kind of empathy is the recognition of the other as a person who
deserves concern and respect. Empathy in this sense is not to be identified
with any particular feeling of concern for another, such as sympathy, love, or
compassion, but instead as the underlying capacity to have such other-directed
and other-regarding feelings of concern.26
This kind of empathy can also be introduced from a developmental per-
spective. As we have seen, there is a progression from the infants understand-
ing of others as intentional agents (with attention, behavioral strategies, and
goals) to the young childs understanding of others as mental agents (with 1
beliefs, desires, and plans). According to Piaget and Tomasello, moral under- 0
1
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standing begins to emerge at around the same time as the child comes to
understand others as mental agents. It derives not from the rules adults impose
on behavior, but from empathizing with other persons as mental agents and
being able to see and feel things from their point of view.27
Within Western moral philosophy there is a long tradition going back to
Immanuel Kant that privileges reason over feeling. To act out of duties legis-
lated by reason is thought to have greater moral worth than acting on the basis
of feeling or sentiment. Yet as Frans de Waal observes, echoing David Hume
and Adam Smith: Aid to others in need would never be internalized as a duty
without the fellow-feeling that drives people to take an interest in one another.
Moral sentiments came first; moral principles second.28
Empathy is the basic cognitive and emotional capacity underlying all the
moral sentiments and emotions one can have for another. The point here is
not that empathy exhausts moral experience, for clearly it does not, but that
empathy provides the source of that kind of experience and the entry point
into it. Without empathy, concern and respect for others as persons in the
moral senseas ends-in-themselveswould be impossible. As Mark Johnson
has argued:
The four aspects or kinds of empathy I have presented are not separate,
but occur together in face-to-face intersubjective experience. They intertwine
through the lived body and through language. You imagine yourself in my
place on the basis of the expressive similarity and spontaneous coupling of our
lived bodies. This experience of yours contributes to the constitution of me for
myself, for I experience myself as an intersubjective being by empathetically
imagining your empathetic experience of me. Conversely, I imagine myself in
your place, and this experience of mine contributes to the constitution of you
for yourself. As we communicate in language and gesture, we interpret and
understand each other dialogically. This dialogical dynamic is not a linear or
additive combination of two preexisting, skull-bound minds. It emerges from
and reciprocally shapes the nonlinear coupling of oneself and another in per-
ception and action, emotion and imagination, and gesture and speech. It is
this picture that I had in mind earlier when I said that human experience 1
depends on the dynamic coupling of self and other in empathy. 0
1
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270 mind
272 mind
This meditation also works explicitly with specific negative emotions, or un-
wholesome mental factors as they are known in Buddhism.33 These emotions
are pride, competitive rivalry, and jealousy. One feels pride toward someone
inferior; competitive rivalry toward an equal; and jealousy toward a superior.
As an antidote to these emotions, one looks back at oneself through the eyes
of someone inferior, equal, and superior, and generates the corresponding
emotion toward oneself so that one knows what it is like to be on the receiving
end. For instance, empathetically experiencing an inferiors envy toward one-
self and the suffering it involves is the antidote to pride. At the same time, one
takes on the sufferings of those others as ones own (as prepared for by the
meditation on self-other equality).
The meditation on self-other exchange is thus a disciplined contemplative
form of reiterated empathy. By disciplined, I mean not simply that the med-
itation is a step-by-step visualization exercise. It is disciplined also because it
requires for its performanceas does the first meditation on self-other equal-
itythe fundamental Buddhist contemplative practices of attentional stability
(shamatha) and insightful awareness (vipashyana). To accomplish the visuali-
zation, one needs to be able to sustain the mind attentively on the image of
the other as I and on the image of oneself as seen by this alter-I, and one
needs to have insightful awareness of the myriad mental and physical phenom-
ena that arise from moment to moment in the field of intersubjective experi-
ence.
From a cognitive scientific perspective the meditations on self-other equal-
ity and self-other exchange are remarkable because of the disciplined manner
in which they intertwine first-person methods of attentional stability, visuali-
zation, and mental imagery, and the cognitive modulation of emotion.34 From
a phenomenological perspective, they are remarkable because of the disci-
plined manner in which they make use of the key phenomenological technique
of imaginative variationvarying phenomena freely in imagination so as to
discern their invariant forms.
The Madhyamaka philosophy underlying the meditations also readily
lends itself to comparison with the phenomenological analysis of intersubjec-
tivity in terms of ipseity and alterity, or I-ness and otherness.35 This
level is deeper than the analysis in terms of empathy, and radically dismantles
the egocentric perspective in a manner parallel to Madhyamaka.
According to phenomenology, alterity or otherness belongs to the very
structure of experience prior to any actual empathetic encounter. Empathy ex-
hibits alterity by being a self-displacing or self-othering experience. In em-
pathy, I imagine myself as otherand in reiterated empathy I become other
to myself by looking back on myself through the eyes of another. The same
dynamic of self-othering displays itself throughout experience. It occurs in
bodily experience when one hand touches the other, and the two alternate and 1
intertwine in their roles of feeling and being felt. Self-othering occurs when I 0
1
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Let us recall our opening question, How may we understand science and
religion as arising from, yet somehow transcending, the human experience?
To conclude this essay, I would like to address this question in light of the
importance of first-person methods and contemplative experience for a re-
newed mind science.
Central to the guiding question of this volume is the notion of transcen-
dence. Phenomenologists understand transcendence as a dynamic structure
of experienceexperience aims beyond itself and is always already open to
what is other. Phenomenologists also insist that science is itself a form of
human experience. Clearly, scientific experience aims to transcend ordinary
experience, in the sense of prescientific experience. Similar aims of transcen-
dence are shared by phenomenological and contemplative modes of investi-
gating the mind: both aim to transcend unreflective or mindless experience.
Yet how, exactly, is this movement of transcendence to be understood?
To address this question, let me simplify and idealize scientific practice in
the form of the following ABC strategy, in which the aim is to go from A to
C by way of B:38
From:
274 mind
The classical example is Galileo, who in inaugurating the shift from Ar-
istotelean to modern physics, gave a theoretical account (level C) of the actual
phenomena of falling bodies (level A) by seeing them (at level B) as instances
out of a range of law-governed possibilities using the instrument of mathe-
matics.
Suppose we apply this schema to cognitive science and its attempt to un-
derstand human conscious experience. The prevailing strategy in cognitive
science has been to endeavor to go from ordinary (prescientific) cognition of
conscious experience to scientific cognition by relying (at level B) mainly on
third-person observation and functional models. In other words, there has been
no sustained effort at level B to seek out the invariant structures of experience
as such, that is, as they are lived in the first-person. Such an effort requires
disciplined first-person methods of investigating experience.39 Thus, the force
of this analogy is to suggest that cognitive science needs to incorporate first-
person methods into its research.
First-person methods aim to transcend ordinary experience, not by leaving
it behind, but by cultivating a higher or more intensive form of wakefulness
within it. Consider these basic generic features of first-person methods, com-
mon to both phenomenology and the contemplative tradition of mindfulness-
awareness meditation (shamatha-vipashyana):40
Practices with these features are important for cognitive science for several
reasons. First, they help subjects gain access to aspects of their experience that
would otherwise remain unnoticed, such as transient affective state or quality
of attention. Second, the refined first-person reports subjects thereby produce
can help experimenters to understand physiological processes that would oth- 1
erwise remain opaque, such as the variability in brain dynamics as seen in 0
1
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276 mind
science and religion, and it is poorly understood when fractured along the lines
of a subject/object (or fact/value) dichotomy.45
Second, the mutual circulation approach is different from looking for the
physiological correlates of religious experiences.46 The key difference is that
adept contemplatives are not mere experimental subjects, but scientific collab-
orators and partners.47 Thus, the mutual circulation approach enables us to
envision future cognitive scientists being trained in contemplative phenome-
nology, as well as brain-imaging techniques, and mathematical modeling, and
future contemplative practitioners being knowledgeable in neuroscience and
experimental psychology. Science and contemplative wisdom could thus mu-
tually constrain and enrich each other. It was precisely this prospect that Wil-
liam James envisioned over a century ago in his writings on scientific psy-
chology and religious experience.48
Third, the mutual circulation approach is different from the view that re-
ligion can be entirely explained and accounted for by evolutionary psychol-
ogy.49 This view is well represented by Pascal Boyers essay in this volume. It
will therefore be informative to contrast his project with mine.
Contrary to the nonoverlapping magesteria perspective, I think it is illu-
minating to examine religion as Boyer does from the perspectives of cognitive
science and evolutionary theory. Boyers analyses linking religious concepts to
our intuitive understandings of agency, social relations, and misfortune are
enlightening. By the same token, however, in focusing on folk-religious belief
structures, Boyer does not address an important aspect of religion, namely,
religion (or certain religious traditions) as the main cultural repository of con-
templative experience and first-person practices of investigating human expe-
rience. Boyers project takes religious notions and norms or religious con-
cepts as scientific objects, as something out there in the world to be
investigated and explained according to third-person, evolutionary and func-
tionalist cognitive science. My project, however, looks both to the role contem-
plative experience can play in a phenomenologically enriched mind sciencea
mind science including first-person and second-person modes of phenome-
nological investigation, in addition to third-person biobehavioral onesand to
the role such a renewed mind science can play in facilitating forms of contem-
plative experience (or spirituality, more broadly) appropriate to a pluralistic
and nonsectarian scientific culture.
It is interesting to consider how Boyers approach to religion could also
be taken toward science. The upshot would be an anthropology of folk-scientific
belief structures. One could ask people what they believe about genes, black
holes, neural networks, and so on, and then study how these concepts are
related to other concepts and belief structures that inform human life in mod-
ern Western societies. It seems likely that the folk-scientific concept of gene,
for instance, would be closely linked to human concepts of agency. As a result 1
of writings by theorists such as Richard Dawkins, as well as popular science 0
1
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journalism, many people believe that genes are hidden inner agents with their
own agendas that influence our motives and feelings. On the other hand, some
scientists have more sophisticated and nuanced conceptions of genes and their
relationship to cellular and evolutionary processes. The point of this analogy
is that folk-religious belief structures may stand in the same relationship to
contemplative knowledge in certain religious communities as folk-scientific
belief structures stand to scientific knowledge in modern Western societies.
Although I have drawn attention to the differences between my project
and Boyers, Boyer does make one claim that could be taken as implying a
challenge to my approach. He states that there is no instinct for transcen-
dence in human beings, and hence religion cannot be understood (at least
from an evolutionary psychological perspective) by appeals to transcendence.
My objection to this claim is that it presupposes the problematic notion of a
mental instinct. It is impossible, I believe, to invoke the concept of instinct
without falling into the conceptual morass of the nature/nurture, innate/ac-
quired, and instinctual/learned dichotomies. I agree with those theorists in
biology and psychology who argue that we need to replace this dichotomous
framework with a developmental systems approach.50 According to devel-
opmental systems theory, inherited (or instinctual) and acquired do not
name two mutually exclusive classes of developmental characteristics. On the
one hand, phenotypic traits are as much acquired as inherited, because
they must be developmentally constructed, that is, acquired in ontogeny. On
the other hand, environmental conditions are as much inherited as ac-
quired, because they are passed on inseparably with the genes, and thus enter
into the formation of the organism from the very beginning. The point, as
Susan Oyama eloquently argues in her book The Ontogeny of Information, is
not that genes and environment are necessary for all characteristics, inherited
or acquired (the usual enlightened position), but that there is no intelligible
distinction between inherited (biological, genetically based) and acquired (en-
vironmentally mediated) characteristics.51 For this reason, I am suspicious of
any explanatory framework that tries to single out a class of biological and
mental capacities and label them as instincts.
How does this relate to religion? Boyer thinks that we have certain instincts
that get expressed in our intuitive assumptions about agency and social rela-
tions, and that these instincts shape religious concepts, such as those of su-
pernatural agency. On the other hand, other religious inclinations, he believes,
are not based on instinct. On this basis he states there is no instinct for tran-
scendence in human beings, and hence that religion cannot be understood on
the basis of transcendence.
My response is that this notion of instinct is unhelpful. There are no
instincts, because the term has no clear application. Organismic life cycles
propagate from one generation to the next by reconstructing themselves in 1
development, rather than unfolding according to transmitted, genetic blue- 0
1
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278 mind
Dedication
notes
1. See Francisco J. Varela, Evan Thompson, and Eleanor Rosch, The Embodied
Mind: Cognitive Science and Human Experience (Cambridge, Mass.: MIT Press, 1991).
2. See Francisco J. Varela and Jonathan Shear, eds., The View from Within: First-
Person Approaches to the Study of Consciousness (Thorverton, UK: Imprint Academic,
1999). Natalie Depraz, Pierre Vermersch, and Francisco J. Varela, On Becoming Aware:
A Pragmatics of Experiencing (Amsterdam and Philadelphia: John Benjamins Press,
2003).
3. See Pascal Boyer, Gods, Spirits, and the Mental Instincts that Create Them, 1
this volume. 0
1
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280 mind
282 mind
Paul E. Griffiths, and Russell D. Gray, eds., Cycles of Contingency: Developmental Sys-
tems and Evolution (Cambridge, Mass.: MIT Press, 2001).
51. Oyama, Ontogeny, p. 138.
52. Margaret Donaldon, Human Minds: An Exploration (London: Penguin Books,
1991).
53. See Piet Hut, Conclusion: Life as a Laboratory, in Buddhism and Science:
Breaking New Ground, ed. B. Alan Wallace (New York: Columbia University Press,
2003), 399416.
54. B. Alan Wallace, Introduction: Buddhism and Science, in Buddhism and
Science: Breaking New Ground, ed. Wallace, 910.
55. See Lutz and Thompson, Neurophenomenology.
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