Anthrop. Anz. Jg.

67 4 427–438 Stuttgart, December 2009

Evolutionary origins of human brain and spirituality

Maciej Henneberg1 and Arthur Saniotis2

1
Biological Anthropology and Comparative Anatomy Research Unit, University of Ade-
laide, Adelaide 5005, Australia, maciej.henneberg@adelaide.edu.au
2
Discipline of Public Health, University of Adelaide, Adelaide 5005, Australia

With 3 figures

Summary: Evolving brains produce minds. Minds operate on imaginary entities. Thus they
can create what does not exist in the physical world. Spirits can be deified. Perception of spir-
itual entities is emotional – organic. Spirituality is a part of culture while culture is an adap-
tive mechanism of human groups as it allows for technology and social organization to sup-
port survival and reproduction. Humans are not rational, they are emotional. Most of expla-
nations of the world, offered by various cultures, involve an element of “fiat”, a will of a
higher spiritual being, or a reference to some ideal. From this the rules of behaviour are
deduced. These rules are necessary to maintain social peace and allow a complex unit con-
sisting of individuals of both sexes and all ages to function in a way ensuring their reproduc-
tive success and thus survival. There is thus a direct biological benefit of complex ideological
superstructure of culture. This complex superstructure most often takes a form of religion in
which logic is mixed with appeals to emotions based on images of spiritual beings. God is a
consequence of natural evolution. Whether a deity is a cause of this evolution is difficult to
discover, but existence of a deity cannot be questioned.

Key words: brain, mind, consciousness, reality, spirituality, Paleolithic shamanism, culture,
emotions, reproductive success, survival.

Information processing and organic evolution

Evolution is a process that from randomly arising variation of complex forms pro-
duces structures that can self-perpetuate in their surroundings. These structures are
energetically open systems (Prigogine 1961, 1977, 1980, 1993, 1997) whose chemi-
cal components undergo constant change using energy from the environment while
whose structure (informational content) remains approximately stable through time.
This near-perfect stability of a dynamic open system is achieved through rejection of
randomly appearing alterations that are detrimental to system’s stability in a given
environment-stabilising selection. The criterion of this selection is the energetic effi-
ciency of reproduction of the informational structure (Fundamental Theorem of Nat-
ural Selection, Fisher 1930). Any randomly appearing alteration of the dynamic
structure that increases energetic cost of reproduction does not persist because struc-
tures without it reproduce themselves more efficiently, are more “fit”. On the other
hand, a randomly appearing rare alteration that increases energetic efficiency of a
system will be propagated through time because it is more efficient at reproducing

DOI: 10.1127/0003-5548/2009/0032 0003-5548/09/0067-0427 $ 3.00

쏘 2009 E. Schweizerbart’sche Verlagsbuchhandlung, D-70176 Stuttgart
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428 Maciej Henneberg and Arthur Saniotis

itself. It is less probable that a random alteration will be of the kind that increases
energetic efficiency of reproduction than that such alteration will be detrimental, and
yet, given time and system’s size, such less probable alterations will occur.
Since the criterion of fitness is the energetic efficiency in a given environment,
systems that can alter their environments to make them more compatible with their
own energetic needs, will be propagating through the process of natural selection
(Strzalko & Henneberg 1982). Human system is capable of altering its environments
to a substantial degree.
In the Earth’s physical environment with its temperature regime, chemical compo-
sition of the soil and atmosphere and energy flux from outside (mostly solar) self-
reproducing dynamic systems are complex organic structures. Their dynamic stabil-
ity depends on interaction of a number of catalysed chemical reactions. Environment
is highly structured with various niches offering different energetic regimes and pre-
senting different challenges for continued dynamic existence of organic systems. The
ability of those systems to fit into their particular environments partly depends on
how they position themselves vis-à-vis the configuration of their environments and
energy flux in those environments (Mayr 1997).
Ability of an organic entity to recognise environmental configuration may
increase fitness by better positioning of organic systems in their niches while ability
to alter environments plays a similar role. Thus random alterations of organic systems
that increase ability to recognise environmental conditions and to alter them should
be propagated through time.
The energetic criterion of fitness – the lower the energetic cost of a function the
better – applies to the recognition and alteration of environmental conditions.
Appearance of specialised parts of organic systems that can sense the environmental
conditions and then process this sensory information to position the system better in
their environments is expressed by emergence of nervous systems. In the nervous
system, information provided by the senses is integrated and used to control func-
tions of an organism. Those organisms that have low levels of information processing
in their nervous systems must use large amounts of energy to execute functions that
may position them best with regard to energy flux or to develop voluminous, complex
anatomical structures to protect their existence. They have to execute physical trial-
and-error functions before finding nearly optimal situation. Those organisms that can
process larger quantities of information in their nervous systems will do trial-and-
error experiments within representations of reality in their information-processing
circuits without actual physical trials. This is energetically less expensive than physi-
cal functions of entire bodies.
Information processing in the nervous system confers evolutionary fitness. In sim-
ple instances of reflex circuits, the sensory input is connected immediately to effec-
tors. This produces fast response to simple stimuli, but does not allow integration of
several different pieces of sensory information and modification of actions to suit
complex situations involving sequential progression through time. Such complicated
information processing requires appearance of “mental representations” of real
objects in dynamic nervous circuits. Such representations are neural constructs
(dynamic structures of cell-to-cells signalling) that may, or may not, reflect correctly
real objects. Representations can conflate characteristics of several different real
objects in a number of combinations. Thus, neural representations may reflect reality
to a certain extent only. Sometimes this extent of similarity to reality may be so small

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 Evolutionary origins of human brain and spirituality 429

that representations find no correspondence to real objects. The rule of adaptive fit-
ness applies to them, but to a lesser degree because appearance and existence of such
objects has low energetic cost – just running of neuronal circuits as compared to
building up of anatomical structures or movements of numerous muscles.
Whether a particular mental image reflects the reality well or not, does not matter
as long as the use of that image contributes to the increase in fitness. For instance, a
literally incorrect image that triggers a behaviour that happens to attract sexual part-
ners may increase fertility and thus contribute to increased fitness. It is a behavioural
equivalent of weird shapes and colours of feathers in some male birds whose only
function is to attract sexual partners (sexual selection – Darwin 1871). To what extent
mental (neural) images exist and direct actions of various animals is not clear, but it
is known that non-humans show empathy for other individuals that necessitates use
of some form of an image of another being (Savage-Rumbaugh & Lewin 1994).
Numerous imaginary entities may exist. Of special interest here are those that rep-
resent individuals – themselves or others. These are “spirits” possessing, at least in
intention, essential characteristics of a real person. They may, however, be biased in
relation to actual objects they aim to represent. Eventually, a representation of a per-
son finding no parallel in reality can be constructed (e.g. fairies, angels). Such repre-
sentations may have positive value in social relations, and thus increase evolutionary
fitness.
During the development of modern science, especially since the era of the Enlight-
enment, the logical thought and experimentation based on physical experience were
not only encouraged, but were considered a “gold standard” of intellectual endeavour
(Kuhn 1962, Popper 1972) . Spirituality has been considered ‘unscientific’.
This attitude has been applied to the study of the evolution of human brain, mind
and consciousness (e.g. Carruthers & Chamberlain 2000). The hard facts indicated
that during the Pleistocene size of human brain increased (Fig. 1) and this was auto-
matically considered an indicator of increasing mental abilities, especially logical
thought that contributed to development of technologies and increasingly complex
social organization (Aiello & Wheeler 1995, Falk 2004, Martin 1998). A flattering
“encephalisation index” has been introduced (Hemmer 1971, Jerison 1973, Stephan
1972). The index is essentially a ratio of brain size to body size. The bigger the brain
in relation to the body, the more advanced an organism in terms of its intellectual
powers is considered to be (Jerison 1973).
Only recently, it has been postulated that the increase in the size of hominin brain
could be a simple by-product of the increase of hominin body size (Henneberg 1998,
2006). Since this increase coincided with the reduction in the size of the gastrointesti-
nal tract caused by extraoral food preparation (Aiello & Wheeler 1995), the reduction
in the size of the portion of the body independent of the brain size produced increase
in values of encephalisation quotients (Henneberg 1998). In actual fact, ratio of brain
size to body size (body height) in the human lineage remained constant since the Pli-
ocene (Fig. 2).
Thus, the obvious, and well-documented by archaeological finds, increase of
externally expressed human mental abilities in the last 3 million years, must have
been produced by the evolution of biochemical regulation of neurohormonal func-
tions (Prervic 1998, 1999, 2002, 2006), not by the mechanistic increase in the brain
size. This size increase does not reflect a proportional increase in the number of neu-
rones because neuronal density of the human brain is lower than that of chimpanzee

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430 Maciej Henneberg and Arthur Saniotis

Fig. 1. Increase in brain size (CC, cranial capacity) of hominin taxa arranged chronologically.
It is compared with the change in average stature of the same taxa. Data from Mathers &
Henneberg (1995) and De Miguel & Henneberg (2001). Note parallel differences in body
height and in cranial capacity.

Fig. 2. The ratio of average brain diameter (calculated as a cube root of average cranial vol-
ume) to average stature for various hominin species arranged by approximate time of their
existence.The oldest australopithecines are over 3 million years old. A. – Australopithecus,
H. – Homo. Numbers in parentheses indicate numbers of specimens included in calculations
of averages. Data from Mathers & Henneberg (1995) and De Miguel & Henneberg (2001).
Note the lack of regular change through time.

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 Evolutionary origins of human brain and spirituality 431

brains (Haug 1987, Radinsky 1975). The initial evolution of biochemical brain func-
tion, curiously, contributed to increased encephalisation in two ways – reducing gut
size because of higher food quality (more efficient food procurement and extraoral
food preparation) and increasing body size due to greater availability of nutrients.
Increase in body size caused corresponding increase of the brain size.
Neurohormonal regulation strongly influences emotions. It triggers imagination.
It may even be responsible for religious experiences as argued in convincing detail by
Previc (2006). Change in neurohormonal regulation producing adaptively successful
external actions of human ancestors undoubtedly contributed to improved memory
and ability to process more information in the central nervous system, but also pro-
duced more complex emotional states and may have enhanced imagination. Actions
resulting from emotional experiences related to imaginary extrasomatic space (Pre-
vic 2006), though being seemingly based on “illogical” or “irrational” brain activity,
may be of positive adaptive value, among others, through enhancement of productive
social structures or useful behaviours by providing motivation or convincing to take
certain actions, even if their explanation were incorrect. Commonly people will say
that they had to do something objectively useful because God willed them to do so or
they felt their ancestor watching over them.
All humans have an irresistible need for entertainment that satisfies no obvious
physical need, but produces pleasant, often strong emotions. Music, story-telling,
rhythmic movements of a dance, games are but a few examples. A piece of poetry, or
a song producing strong feelings is highly prized. The vast majority of human socie-
ties regularly use various chemical substances, or physical practices to alter the state
of their minds. Drugs and sex for pleasure are but two obvious examples. The bulk of
functions of human conscious mind is illogical, it is emotional, irrational, imaginary
– spiritual. A logical thought is a rare event and it usually requires use of prosthetic
devices such as writing, drawing, manipulation of objects (e.g. abacus). Even with
the use of those devices, a logical thought is often faulty. Suppression of spirituality
in favour of the logical thought is counterproductive since it emphasises the rare and
unsustainable mental activity over the natural way of human brain functioning.

Fig. 3. Simplified diagram of the origin of spirituality. The relationships between elements
shown are actually of the feedback nature.

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432 Maciej Henneberg and Arthur Saniotis

It is not true that during the last few million years humans became encephalised.
It is rather that the brain we have inherited from our animal ancestors became huma-
nised by its changing physiology (Previc 1999, 2002) that primarily affected our
emotions. This emotional humanisation of the brain resulted in an appearance of a
by-product of logical thought which constitutes a small portion of brain function, is
rare and usually faulty.

The evolutionary emergence of spirituality

The emergence of Paleolithic shamanism as a mystical complex
Cognitive integration in human evolution
In this section we will discuss Upper Paleolithic shamanism (40,000–10,000 BP) as
a mystical complex. Various thinkers have deemed shamanism as being the earliest
known example of a mystical complex which is found throughout the world (Eliade
1972, 1976, Hoppál 2006, Ryan 1999, Winkelman 2000, 2002, 2004). It is because
spirituality is foundational to shamanism that we need to explore its mystical com-
plex in relation to its evolution in Homo sapiens. According to Eliade shamanism is
a form of mysticism, in that altered states of consciousness (ASC) are “consistent
with the human condition” and which forms an integral part of what is called human
consciousness (Eliade 1972, p. 8). Moreover, it is the intense and personal experience
of shamanism that is both archetypal and universal, and should be considered as a
“universal grammar of symbols” which reaches back to the earliest roots of humanity
(Ryan 1999, p. 4). According to Eliade, shamanism dates back to hundreds of thou-
sands of years in hominid prehistory. Eliade also notes that shamanic rituals and sym-
bols are of great antiquity and it is the “most archaic and widely distributed occult
tradition” (Eliade 1976, p. 56). Similarly, Winkelman (2002, pp. 78–79) declares that
there is strong evidence that shamanic elements were a crucial part of Paleolithic cul-
tural practices.
If this is the case why was shamanism an important part of Paleolithic hominids
life? Winkelman’s thesis is insightful here. Shamanism contributed to human cogni-
tive evolution since it involved various psyhophysiological adaptations “for altering
consciousness” in which brain-mind states were integrated (Winkelman 2000, p. 58).
This integration of brain modules formed the basis of spiritual and mystical experi-
ences and beliefs. The integration of neurognostic structures also meant greater con-
trol of mind psychodynamics as evidenced in ASC which Paleolithic shamans would
have employed. Moreover, brain-mind integration of consciousness provided the
basis for homeostatic balance. If Winkelman’s thesis is correct then Upper Paleolithic
shamans were the first individuals to operate and use this “integrative mode of con-
sciousness” providing the cognitive terrain for transformation (Winkelman 2000, p.
7; Hoppál 2006, p. 231). Shamanism may also have synchronized different aspects of
human cognition via ASC facilitating the integration of self.
The Upper Paleolithic period has been under intense theoretical scrutiny. Authors
such as Jared Diamond argue that around 50,000–40,000 years ago Homo sapiens
underwent an evolutionary leap which was characterised by more complex hunting
technologies, ritual burial of the dead, increase in ritual life and development of
sophisticated art forms. Diamond has called this period “The Great Leap Forward”

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 Evolutionary origins of human brain and spirituality 433

(Diamond 1992, Ambrose 2001). While Diamond’s hypothesis cannot be verified it

does hint for the development of spiritual beliefs and practices as found in shaman-
ism. Shamanism may have been expedited during this period as witnessed in the
plethora of Upper Paleolithic cave art in Europe which has been intrinsically con-
nected with shamanism (Ryan 1999).

Animism and mimesis: human evolution and the connectedness with the non-
human world
It can be argued that the spiritual and mystical aspects of Upper Paleolithic shaman-
ism also developed due to a need to connect with the non-human world from which
hominids evolved. Shamanism may have led to the development of animism which
for Bird-David played a crucial part in human evolution in identifying and consoli-
dating connections with the non-human world. In addition, this form of human relat-
edness with the non-human world was important for maintaining personhood (Bird-
David 1999, p. 73). What animism reveals is a human propensity for openness
towards the non-human Other, and the need for establishing communion with it. In a
Batesonian way of speaking, animism as an aspect of shamanic mysticism manifested
an ecology of mind which informed human interactions with the non-human world.
The role of mimesis in Paleolithic shamanism may have provided a vehicle for
entering and maintaining ASC. Donald (1991) suggests that mimesis was a founda-
tional form of symbolic thinking which predated language. “Mimetic representa-
tional” systems, for Donald, formed the rudiments of human culture. Mimesis with
its onus on imitation and mimicry probably reinforced language in early hominids,
just as gesture often accompanies speech in modern humans. Paleolithic shamanism
may have widely used mimesis in collective rituals in order to communicate complex
symbols. Gesture facilitated religious based metaphor. The emotive force of non-ver-
bal communication with its repertoire of facial expressions, bodily gestures, dancing,
postures and movements would have been crucial in triggering ASC. For example, in
shamanic societies mimetic rituals which incorporate dancing, chanting, singing and
other repetitive elements may produce ASC (McClenon 1997, p. 345). Furthermore,
mimetic representations may have also been used to imitate the behaviours of non-
human animals, as depicted in upper Paleolithic cave art (Winkelman 2002, p. 78). In
this way, mimesis became a form of othering.
Mimesis established connections with the non-human world, and that this may
have been evolutionarily advantageous as it increased human understanding of the
non-human world. Mimesis would have also been fundamental in myth and ritual
with its onus on personal spiritual development. The enacting of mystical symbols
may have mediated ASC during the ritual life of Paleolithic hominins, forming the
basis of cosmological, spiritual, religious, social and ecological beliefs and practices
(Winkelman 2000, p. 61).

Hypnotisability and shamanic spirituality

McClenon (1997) argues that the hypnotic aptitude in humans had been developed by
the Upper Paleolithic period. Again, while this theory cannot be empirically verified
it is an interesting idea to use in relation to modern humans. For instance, hypnotisa-

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434 Maciej Henneberg and Arthur Saniotis

bility of Upper Paleolithic and modern humans have been supported by numerous
cross-cultural and scientific studies (Achterberg 1985, Bandler & Grinder 1981,
Crawford 1989, Evans 1999, Hoppal 1987, Holmquist 2000, Ornstein 1972, Naranjo
1974, Sabourin et al. 1999, Santarcangelo & Sebastiani 2004). These accounts of
shamanic rituals convey how hypnotic states are induced for various psychophysio-
logical disorders. McClenon posits that hypnotisability in Upper Paleolithic sha-
manic rituals may have given members of societies distinct survival advantages.
These may have included alleviation of psychophysiological stress, fertility increase,
and lowering of the sympathetic response system in order to induce relaxation
(McClenon 1997, p. 346).
Hypnotisability among humans is widely distributed (Hilgard & Hilgard 1983).
Shamanic rituals were practiced over long periods of time so as to influence the “fre-
quency of hypnotizability genotypes” (McClenon 1997, p. 347). The role of hypnoti-
sability in spiritual experiences in the evolution of Homo sapiens was probably sig-
nificant. Modern studies support the idea that spiritual experiences work in tandem
with “hypnotic suggestibility” which allows for the acceptance and development of
religious behaviour (Schumaker 1990, 1995). On this point, this does not suggest that
ASC are products of the irrational mind. Rather ASC proffer the richness of human
spirituality and the religious imagination. This hypnotic proclivity is found through-
out the animal kingdom via ritualised behaviour which is characterised by repetitive
and stereotypic movements, facilitating in “hypnotic induction through fixation of
attention” (Winkelman 2002, p. 97). For Winkelman such behaviours heighten group
cohesion, and are often experienced by members in terms of ‘oneness’ or ‘unity’, a
well reported aspect of religious experience (2002, p. 97). If we follow this argument,
hypnotisability allowed early shamanism, as does its modern counterpart, a method
to enter into ASC which would have deepened mystical experiences, possibly leading
to the experience of universal communitas – a sense of cosmic unity or a state of
timelessness – illud tempus. Such experiences would have had the effect of deepen-
ing the participant’s understanding of their cosmology and their relationship with the
non-human world.

Shamanic spirituality as a cosmic storehouse

It was Jung who alluded to the human psyche as a cosmos that is posited on “psychic
truths” which cannot be thoroughly explained by empiricism. According to Jung, this
world of inner experience was humanity’s “universal psychic heritage”. Ryan (1999,
p. 14), elegantly states in the following:
The preconscious is an expression of the formal power immanent in the creation
that produced it. In the recognition of beauty and mythic form, we awaken deep men-
tal structures that share their formal capacity with the cosmos that produced them.
And in expressing these structures, we evoke a creative power that, grounded in
nature, in turn has “a profundity, permanence and universality…comparable with
Nature herself.”
Upper Paleolithic shamans may have been able to access the psyche’s profound
storehouse of archetypal symbols which Jung called the “collective unconscious”
while experiencing ASC. The collective unconscious was the wellspring of “the
whole spiritual heritage of mankind’s evolution” (Jung 1955:342). If this is the case,
then, shamans’ constant delving into the collective unconscious may have spurred a

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spiritual evolution. The therianthropic forms of Early Upper Paleolithic cave art such
as the ‘sorcerer’ figure of Les Trois Freres not only reveal the shaman’s need to com-
mune with the non-human world, but also represent the psyche’s journey into the
inner cosmos of the collective unconscious. In relation to Early Upper Paleolithic
cave art, Winkelman (2004) points out that such art played a central role in shamanic
practices. For Winkelman (2004, p. 197), Early Upper Paleolithic cave art exhibits:
(1) The universalistic nature of shamanism. (2) Hominid mimetic rituals and chant-
ing. (3) The correspondence between shamanic practices and fulfilling group needs,
as well as reaffirming group identity.
The polyphasic nature of Upper Paleolithic shamanic societies may have encour-
aged ASC which led to a plethora of experiencing inner states, thereby producing the
richness of mythic and ritual symbols and art. Upper Paleolithic shamanism was a
veritable crucible of the psyche, possibly expediting a “cultural neurohermeneutic
system” (Dennett 1991, p. 165), which fostered a range of evolutionary advantages
including improved strategies for dealing with the exigencies of Upper Paleolithic
life.
Additionally, Paleolithic shamanism may have given rise to a sentient universe in
which fauna and flora were imbued with intentionality. This was an important psy-
chic development in human cognitive evolution since it would have alleviated our
ancestral angst of an unresponsive universe. Shamanism became a hyper-sensitive
method of detecting the intentions of the non-human world. In this respect, shaman-
ism was an evolutionary adaptation to have a “hyperactive agent detection” as Boyer
(2005, p. 243) writes. The evolution of shamanism may have been kernel to explicat-
ing a cognitive intentional system in which the imperfection of human access was
accentuated by the more considerable access of the non-human world (Boyer 2005, p.
244).

Conclusion
In this paper various ideas have been explored in relation to brain evolution and spiri-
tuality. At present, there exist various theories on brain evolution and their implica-
tion for abstract thought in human beings. This paper has argued that brain evolution
has been shaped by the neuro-hormonal system, and not simply by incremental ence-
phalisation as many studies suggest. This idea needs further theoretical analysis. The
phenomenon of shamanism in Upper Paleolithic humans must have also been
informed by the neuro-hormonal system. As we have argued, shamanism was central
to understanding a cognitive intentional system which had various cognitive by prod-
ucts, such as an enriched religious imagination and ability to use various mythopoeic
symbols, connectedness with the non-human world, and increasing hypnotic aptitude
which may have prompted altered states of consciousness. All of these elements of
shamanism should be viewed as an interconnected complex wherein each informed
the other. What this paper has endeavoured to do is to provide the biological backdrop
for understanding important elements of human brain evolution which may inform
further explorations of human spirituality. Since human spirituality is an ubiquitous
feature of human societies, further theoretical analysis is warranted.

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436 Maciej Henneberg and Arthur Saniotis

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Submitted: 2009-10-26
Accepted: 2009-10-27
Address for correspondence:
Prof. Dr. Maciej Henneberg, Anatomical Sciences, University of Adelaide, Adelaide, SA
5005, Australia
maciej.henneberg@adelaide.edu.au

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