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Jim Penman tells Ivan Tyrrell how biology drives our social history, Prev
Ethics and Conduct
explaining temperament change within cultures and the rise and fall
of civilisations.
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TYRRELL: Ever since I was a teenager I’ve puzzled over why civilisations rise and
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then fall, which is why I was fascinated by your book, Biohistory: decline and fall of the West. I
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read the so-called Our Workversion first (still long and packed with detail) and was so drawn
abridged
into your argument that I went on to read the unabridged version, Biohistory, which contains
even more.
I’d like to set the scene for our conversation with a story from when I was in Jordon once and
went to the great Roman amphitheatre in Amman. It was built in the reign of Emperor Marcus
Aurelius and the acoustics were amazing. From my vantage point on the steps near the top, I
could hear an English archaeologist far below explaining to a group of tourists why studying
the stones showed how the arena had evolved. Originally the amphitheatre was a small,
intimate place, where poetry and plays were performed and the audience on the lower steps
were close to the actors. Gradually, as Roman civilisation decayed, the entertainments
became more violent and many more levels of seating were added to cater for bigger crowds.
The ‘stage’ was enlarged by removing layers at the bottom until there was a large drop in front
of the first row of seating – so that the blood of wild animals and human victims could not
splash the audience. The archaeologist was explaining that this was evidence in stone of the
Roman ‘blood and circuses’ policy of appeasing an ignorant populace with ever more crude
and violent diversions.
I have long felt that, despite our prosperity, our civilisation is also in a declining stage and
your work seems to me to provide a powerful biological explanation for what’s happening.
PENMAN: Yes, I believe it does. I made a study of the rise and fall of Rome, as I describe in my
books, and there are clear parallels.
TYRRELL: I particularly wanted to talk with you because your work seems to add another
dimension to our work, which is to do with the innate givens of human nature.
What you have added, I think, is another dimension: the biological element of why
temperaments in cultures change over time, which, in turn, impacts on mental health and the
ability of many individuals to get innate emotional needs met most fruitfully. Could you sum
up for us what biohistory is.
PENMAN: Sure, Ivan. Biohistory is the study of the biological roots of human social behaviour,
explaining the outbreak of wars, economic growth and decline, and different styles of
government. It proposes that such events reflect changes in the prevailing temperament of
the population, which, in turn, is rooted in epigenetics – which explains how the expression of
genes is affected by environmental influences and how this expression can be passed on down
the generations, influencing hormones and brain activity and how we think, feel and behave.
I use the letter C (standing for civilisation) to refer to the array of behavioural and
physiological traits that are triggered by chronic food shortage and which help people and
animals adapt to such environments. For example, it makes them harder working and rather
more impersonal. Human societies have learned to increase C artificially, thus adapting
people to the needs of agriculture and civilisation.
TYRRELL: Your approach is very different from the unstated assumption in most historical
and economic writing that, at the basic emotional level, people are the same; and thus, if
political and economic shifts take place, these must be because of environmental factors,
such as changes in political institutions and relationships with neighbouring powers, and so
forth. But, as we know, a great deal of recent work in the biological sciences suggests that
people differ markedly in their basic emotional make-up as a result of early life experience.
PENMAN: Absolutely. For example, animal and human studies show that experiencing
maternal neglect or severe stress in childhood has profound effects on attitudes and
behaviour. These effects are epigenetic in origin, which means they have a permanent impact
on the activity of certain genes. We also know that parental behaviour in each culture changes
greatly over time. Roman parents in the early republic were strict, compared with their far
more moderate and lax descendants in the late republic and early empire. And parents today
are far more lenient, compared with our great, great grandparents, whose children were
meant to be seen and not heard. Deep-rooted emotional differences have a profound impact
on attitudes to politics. A change in temperament over time is not only plausible, but to be
expected.
TYRRELL: As I understand it, you are saying that civilisation, C, arises because of a
physiological system in mammals that adjusts behaviour to conditions where food is limited.
So, to survive, our ancestors evolved to delay breeding, live in cooperative groups, be
monogamous, take good care of children and actively search for food, even when not actually
hungry.
PENMAN: Yes, and to be intolerant of any outsiders who could threaten the food supply.
These C tendencies are increased by chronic mild food shortage or ritualistic controls over
impulsive behaviours, especially sexual activity.
TYRRELL: So these behavioural C characteristics that arise in such circumstances include the
ability to work hard, be self-disciplined, and have a willingness to sacrifice present
consumption for future benefit – delayed gratification. All necessary for civilisation to
develop.
PENMAN: Yes. For this to work, people do not even need to be hungry. Human societies, by a
process of trial and error, developed cultural practices like periodic fasting that mimic the
physiological effects of hunger. Thus we can act and think like hungry primates, even though
we are not actually short of food.
TYRRELL: You call factors such as food shortage and placing limits on sexual behaviour C
promoters, and these have more lasting effects when adopted in childhood and adolescence,
rather than in later life. As you explain fully in the book, ‘infant C’ arises from the strict
behaviour control of toddlers and young children, which leads to independent thinking,
hereditary loyalties, preference for rulers who are similar to us in language and culture, the
valuing of honesty, and also loyalty to abstract institutions like the rule of law. You describe
‘adult C’ as arising from sexual restraint and other influences after puberty that promote hard
work, such as fasting and self-discipline and, especially, love of children and religious
commitment.
PENMAN: Cross-cultural studies show that high C family patterns, where people are likely to
restrict their sexual behaviour, form nuclear, monogamous families, delay breeding and
control their children, are associated with larger states, more advanced economies, and
greater technological and scientific innovation. Cultures that exert early control over
children, raising ‘infant C’, are less corrupt and more democratic, and also tend to be good
with machines and industrial development. This was the temperament characteristic of
northern Europe during the Industrial Revolution, when control of infants was the tightest it
has ever been.
TYRRELL: You also talk about a system that you call V, standing for vigour.
PENMAN: Vigour is another physiological system in mammals, and can best be described as a
stress reaction system that is finely tuned and effective. The best animal example of high C is
gibbons, because they are adapted to an environment where food is always scarce. For V the
best example is baboons, where it adjusts behaviour to conditions where food is generally
available but severe stress can ensue from sudden famine or predator attack. V behaviours
include aggression, strong group cohesion, confidence and morale, intolerance of crowding
and confidence to migrate, to escape dangers. Such cultures are strongly authoritarian. In
humans, vigour is promoted by authority and especially punishment in late childhood,
inclining children to accept traditional thinking, including sexual restraint, and authority from
then on. I am not saying it is desirable, but patriarchal societies in which men dominate
women are more aggressive, both internally and in competition with neighbours. Patriarchy
and punishing older children promote V.
Many people think that all stress is the same, but it is not. Chronic stress tends to weaken the
stress reaction system and thus undermines V, but intermittent stress strengthens the stress
reaction system and thus increases V. An important aspect of V is that it also increases C,
especially when populations are relatively dense, while high C (especially ‘infant C’) tends to
undermine V.
It is these links which help explain the rise and fall of civilisations. It starts with low C, as in
Europe during the Dark Ages, which allows V to rise. High V in turn causes C to rise, causing
the society to become more unified and advanced. Eventually V reaches a peak, which in
Europe and Japan came in the 16th century, when punishments were unusually harsh. Then
rising C causes V to start falling, but C continues to rise – in Europe, until the 19th century.
Eventually, falling V and increased wealth cause C to start dropping, which eventually
destroys the civilisations. This is what happened to Rome, and is happening to us. Part of this
process is the decline of traditional religions, which tend to be powerful C- and V-promoters.
PENMAN: Because they reinforce behaviours such as chastity, fasting, Sabbath keeping and
patriarchy, which support V and C. When falling V and C cause people to turn away from
traditional religion, the decline in V and C accelerates.
TYRRELL: The great value of religions in their formative stages was that they took a ‘drill
sergeant’ approach to backward primitive populations and knocked them into shape by
bullying and frightening them into obedience. Once pacified, they could be conditioned and
entertained enough to keep them from regressing to a more primitive state. That was the role
and great value of religions: to establish cooperative, more peaceful and longer-lived
societies. They change, as you say, people’s temperaments – although, clearly, the inspirers
and founders of all religions went beyond that and accessed knowledge directly.
”
to grasp at first, but I found the three short films on
have.
your website made it clear.
Take, for instance, the mammalian mechanism which we call ‘the lemming cycle’ in wild
mammals, because it is easy to see it played out in their case. About every four years,
lemmings have a massive population boom that forces them to migrate en masse in a
desperate search of food. Most of them die of starvation. Then the cycle repeats. In humans,
these cycles normally last around 300 years but lengthen in the dark ages that follow the
collapse of a civilisation. They explain a whole lot of things like why the Black Death hit when
it did. They explain the Wars of the Roses; the reasons Chinese dynasties collapsed; the
Chinese warlord era; why people in the late Middle Ages became more conservative, and a
whole stack more. All these events fit into a precise historical pattern that is absolutely
universal. For example, periods of chaos like the Wars of the Roses occur almost exactly 90
years before the mid-point of periods of maximum population growth. Major wars such as the
First World War break out almost exactly after a peak of population growth, such as occurred
in Germany and Russia during the 1890s.
There is a whole stack of different patterns that you can see throughout history. Lemming
cycles are just one example of them. There are different patterns to explain bursts of
extraordinary creativity in ancient Greece, and in India and China at about the same time.
PENMAN: Yes, all that creativity happened – yet the societies that produced it and that were
so creative early on soon degenerated, just as ours seems to be doing.
TYRRELL: One of the many statements in your book that jumped out at me was, “Wealthy
civilisations bear the seeds of their own collapse”. Could you elaborate…?
PENMAN: It’s such a common pattern in history, isn’t it? When any civilisation becomes
wealthy, corruption and urban decline follow.
TYRRELL: It always happens: ancient Mesopotamia; ancient Egypt; India; China; Greece;
Rome; Japan; medieval Europe; the Dutch and Spanish empires. More recently the Ottoman
Empire, which was around in my grandfather’s day, and, since then, the collapse of the British
Empire and the Soviet Union – and now we’re witnessing the slow-motion car crash of
another ‘empire’: the European Union.
PENMAN: Today our environment is telling us that food is no longer scarce and so we’re
losing the temperament that inclines us to work. That’s why so many things are going wrong.
In the West, the economy is stagnant, for example. Any businessman knows that many
youngsters have less of a work ethic than we did even a few decades ago. Most people think
that our prosperous economy is going to continue forever, but it won’t.
You can also see the decline reflected in attitudes to politics. This scarcity mentality that’s
driven by our physiology and epigenetics is associated with respect for impersonal values like
democracy, law and authority, and we are losing that. The result is that there is more and
more cynicism about politicians and government. As people become more cynical about the
government, they tend to follow any leader who promises to give them whatever they want. It
happened, for instance, when the Roman general, Sulla, marched on Rome in 90BC. Even
though it was illegal to do so, his soldiers followed him because of what he promised them.
Once in power, he became a dictator and began a series of bloody purges. It took a few
decades for the Republic to be formally buried but, as soon as people start to say, “I no longer
believe in the institutions and principles of representative government; I’m going to follow
any person who promises to give me what I want,” then democracy comes to an end. That will
happen to western civilisation, possibly even in our lifetime.
TYRRELL: You talk about other things that are associated with decline – a rise in infectious
disease, for example.
PENMAN: Rates of TB and rickets are going up. The civilised temperament actually gives us a
certain degree of immunity to disease and we are losing that too. There is moral decay and
corruption everywhere you look these days. Decline in the birth rate is another example. The
C temperament fostered by scarcity is associated with liking children but, as people lose this
temperament, there is less and less interest in having children. We can’t even replace
ourselves. It is the refugees and immigrants from highly stressed countries that are breeding
prolifically, not the native Europeans, Americans and Australians. It’s natural for them to do
that. You don’t do that when you’re comfortable. We tend to see success in terms of wealth
and prosperity, etc, but, in the end, success is about survival and about how many children
you have.
TYRRELL: So struggle is good for our health and sanity. The welfare state, although necessary
for looking after genuinely vulnerable people, could be seen as undermining that.
PENMAN: People think you can change society just by changing the laws. But laws reflect the
people. The welfare state is effect as much as cause. You really have to get to the core of a
problem, which comes down to individual people. Governments have far less power than most
of us think. The emperor Augustus was an extraordinarily powerful man, far more powerful in
his age than anyone is nowadays. He could see the problems going on with Rome, the falling
birth rate and the degenerate luxury of the upper class. He tried to stop it, but he couldn’t do
a thing about it, despite all his power. People think that governments are the solution to
problems, but they’re not. They’re no more than corks bobbing on the waves, whereas what
matters is what lies underneath: the attitudes of ordinary people.
TYRRELL: That may be true in some instances but, if you consider the Iraq war as an example,
there was a strong public voice in the UK against invasion, yet the politicians took us there
anyway, despite all the advice that they shouldn’t do so.
PENMAN: That all made me so angry. From a biohistory perspective, governments reflect
people. Most people think that a country’s population reflects its government and that, if you
overthrow a cruel dictator and give a population freedom, you will suddenly have democracy
again. Biohistory says no, the government reflects the people, so, if a brutal dictator is in power,
it is because people accept that kind of harsh and intimidating leadership. If you get rid of a
tyrant, you are either going to get another arising in his place or anarchy. That is why the Iraq
war was such a stupid, stupid thing! It was clear it would turn out as it has. Look what is
happening in Syria right now. The underlying temperament of Middle Eastern people does not
support freedom and democracy. It’s not about intelligence; it’s about biologically determined
temperament.
TYRRELL: In Biohistory you talk a lot about different styles of upbringing, in particular the
extent to which parents punish or discipline their children at different ages and how this
explains what’s happening in the Middle East, where classic child raising involves the extreme
indulgence of small children and the imposition of severe discipline only after the age of five
or six. I have Middle Eastern friends – Jews, Arabs, Lebanese – who recognise this as common.
They also talk about how easily strong emotions are triggered in Middle Eastern countries and
how, when this happens, people become intransigent. High emotional arousal, of course,
makes anyone stupid and then they won’t back down. The upbringing of infants in the Middle
East, you say, causes them to accept tyrants. Can you elaborate on that?
PENMAN: Muslim lands were intellectual leaders at one time, but their technological skills
and creativity were never at the levels of, say, ancient Greece or the modern West. Most
people still lived in abject poverty – subsistence peasants, though with new Muslim masters.
”
and fell just like earlier ones. date.
PENMAN: Because they are chemical substances substances that affect the behaviour or
physiology of others in the same species.
TYRRELL: You refer to the famous Rat Park experiment, which showed that rats confined in a
small cage quickly became addicted to alcohol but, if they were put in an environment ideal
for them, where they could get all their rat needs met – Rat Park heaven – they stopped being
alcoholic. The same is true with addicts, if you can get their innate needs met in the world. So
is it really a solution to go around feeding pheromones to everybody?
PENMAN: I get a lot of resistance to the idea. I’m told we have to change people’s minds, but it
is the emotional brain – the amygdala, the hypothalamus – that controls our behaviour. It’s
not really a rational business at all. I think that, if we can show we’ve got a really powerful new
way to treat addictive behaviour, anxiety, depression and so on – and our initial results
already indicate we can do that – I think people will say, “I don’t like what you say but the fact
of the matter is that this stuff is helpful”. The interesting thing about biohistory is that it is
easily testable.
TYRRELL: That is one of the first things that attracted me about your hypothesis. It is
scientifically testable. Plus the fact that one can look back over one’s own lifetime to see if
what has happened and is happening fits in with it. For example, the vigour that expressed
itself in those of us born of mothers made anxious by bombing during the Second World War,
as I was, appeared as a burst of creativity and, later, violence in the 1960s, 20-odd years
afterwards. It was an incredibly creative period for just a few short years; in music, the arts
and in business, there was vigour. Businesses were starting up by the thousands, in the UK at
least. We felt anything was possible. Then, in 1968, it all started to go wrong on the streets of
Europe and America, with violent protests and deaths.
The scientific experiments you mentioned, I know you have funded them. Perhaps you could
tell us how that was possible for you to do.
PENMAN: The fortunate thing about my situation is that I’ve been quite successful in
business, so I can afford to fund academic work, through my company, Jim’s. The umbrella
company is called Jim’s Group and we have many different franchise operations – Jim’s
Mowing, Jim’s Window Tinting, Jim’s Computer Services, Jim’s Dog Wash, all sorts – and over
3,600 franchisees. They say we are the second best known logo in Australia, after McDonalds.
You only have to drive down a street in Australia and you’ll see Jim’s vans and cars all over the
place. We are everywhere.
It’s a wonderful thing to have the money to pour into research. I did my PhD on the rise and
fall of civilisations back in the late 70s, early 80s, and I knew I needed to do this science to
support what I was seeing, but there was no way I could get the money, so I just started
mowing lawns and eventually built up a business that could fund the whole project. As our
income rises we put more into it. I used to put in a quarter of a million dollars a year, and now
it is more like a million. Down the track a bit, I hope it will become two or three million dollars
a year. What made it possible was being an unorthodox thinker, which is a bad thing to be in
academia but, in business, was very helpful.
TYRRELL: Something you have done, which not many authors do, is to list in your book
hundreds of potential research programmes for universities to get their teeth into.
PENMAN: All I’m doing is saying, check me out and here is some funding to enable you to do
it. We are doing a whole series of experiments to work out the epigenetic changes associated
with scarcity. Once we have figured out what they are, then we can use gene-editing
techniques like CRISPR to make both genetic and precise epigenetic changes, to turn things
around. So someone might have terrible anxiety and depression and you give them a
treatment that actually reverses the bad aspects of their upbringing and suddenly they have
confidence and high morale, become better husbands and wives, better neighbours, better
citizens.
TYRRELL: We are having a lot of success transforming lives by using certain
psychotherapeutic techniques, including getting people to use their imaginations in hypnotic
trance to see their lives differently. We explain to patients that worrying about innate needs
being met is what causes depression, and they wake up tired because the worrying is causing
them to dream excessively. We explain to addicts that addiction is caused by a hijack of the
brain’s learning process. We have great success with addiction, anxiety disorders, depression
and PTSD and so
on, by using hands-on techniques coupled with psychoeducation.
PENMAN: And you should keep on doing that! If we understood the physiological side and we
put those two together, you’d find they would reinforce each other. Our biohistory website
would interest anyone curious about these ideas. We are offering a lot of material for free,
including audio versions and videos. I’m not interested in making money out of this, just in
encouraging people to do the research and test the ideas out. This is science! I think we’ll find
it is correct and then we can start to make changes. There is a hope that we can do better.
TYRRELL: Oh, I think we can. I like your idea that we have to consider the changing
temperaments that have affected an individual’s parents’ parents and grandparents and the
kinds of cultural influences that have changed the person in front of us now. I think that is
really an important thing for therapists and teachers and doctors and lawyers to know –
everyone needs to bear these things in mind.
PENMAN: I’ve had my IT people create a programme using the principles of biohistory to
model the rise and fall of different cultures. It’s a map of the world where you can describe
the population changes with equations, a realistic model of human history, and I hope to get
people around the world involved in developing it.
Soon I will have my own institute to teach psychology. We will be licensed to take psychology
students in a few months’ time. And we are going to start a major research programme
involving PhD and Masters students, and expand the research programme quite dramatically.
In a certain sense, what I am talking about seems radical to people but, if you actually talk to
evolutionary psychologists, for example, it is pretty mainstream – the idea that people adapt
to the environment and that their character and their behaviour change as a way of adapting
to it. Professor Paolini, who has been running the rat experiments for me, looked at my book
and said, yes, that makes sense. He was amazingly calm about the whole thing, even though it
is so revolutionary to most people. To those who are working at the hard edge of science it is
really not that strange to their thinking.
TYRRELL: All scientific advances are made by simplifying complex amounts of information
into a better explanation of all of them combined.
PENMAN: That is what science is all about – developing elegant, simple ideas to explain
complex data through testable experiments.
TYRRELL: We call such insights ‘organising ideas’, because they organise a vast amount of
information and bring it together in a way that you can approach more objectively. Yours is an
organising idea and my intuition and thinking about it tell me that it is a really valuable one. In
Godhead, we suggest that knowledge is drawn into human beings from a greater dimension,
somehow. From your work it seems that, given a certain degree of stability and civilisation,
some people can access more possibilities for the human mind and spirit, as it were, to find
out more about how the universe works and to connect up to it, rather than just try to impose
our will on it in the selfish service of our greed.
PENMAN: It is exciting. I can’t wait to do more experiments and get more results out. Because
you can’t get anywhere through political change, as I have explained. To me, we couldn’t be
living in a more extraordinary time – a pivotal moment in human history. We’ve got a choice
of vastly different futures – to go back to superstition, ignorance and poverty or to go towards
a world that can achieve so much more than anything achieved to date. We can make that
decision. Truly, we are standing at the fulcrum of history.
Jim Penman, author of the Biohistory titles, obtained a PhD in history from La Trobe
University, Australia. His doctorate integrated broad historical changes with
crosscultural anthropology and aspects of animal behaviour. More recent work focuses
on biochemistry and the emerging field of epigenetics.He created the biohistory
research programme in 2007, now The Biohistory Foundation. Additional support has
been provided by the Australian Research Council, La Trobe University, RMIT University
and the Howard Florey institute.
This article first appeared in: Human Givens Journal Volume 23, No.2 – 2016
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This article was first published in 2016 in Volume 23, No.2 of the Human Givens
Journal. Copies of back issues are available for purchase from HG Publishing.
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