Sapiens and Homo Deus Read online

  An icon that somewhat resembles the Stadel lion-man appears today on cars, trucks and motorcycles from Paris to Sydney. It’s the hood ornament that adorns vehicles made by Peugeot, one of the oldest and largest of Europe’s carmakers. Peugeot began as a small family business in the village of Valentigney, just 200 miles from the Stadel Cave. Today the company employs about 200,000 people worldwide, most of whom are complete strangers to each other. These strangers cooperate so effectively that in 2008 Peugeot produced more than 1.5 million automobiles, earning revenues of about 55 billion euros.

  In what sense can we say that Peugeot SA (the company’s official name) exists? There are many Peugeot vehicles, but these are obviously not the company. Even if every Peugeot in the world were simultaneously junked and sold for scrap metal, Peugeot SA would not disappear. It would continue to manufacture new cars and issue its annual report. The company owns factories, machinery and showrooms, and employs mechanics, accountants and secretaries, but all these together do not comprise Peugeot. A disaster might kill every single one of Peugeot’s employees, and go on to destroy all of its assembly lines and executive offices. Even then, the company could borrow money, hire new employees, build new factories and buy new machinery. Peugeot has managers and shareholders, but neither do they constitute the company. All the managers could be dismissed and all its shares sold, but the company itself would remain intact.

  5. The Peugeot Lion

  {© magiccarpics.co.uk.}

  It doesn’t mean that Peugeot SA is invulnerable or immortal. If a judge were to mandate the dissolution of the company, its factories would remain standing and its workers, accountants, managers and shareholders would continue to live – but Peugeot SA would immediately vanish. In short, Peugeot SA seems to have no essential connection to the physical world. Does it really exist?

  Peugeot is a figment of our collective imagination. Lawyers call this a ‘legal fiction’. It can’t be pointed at; it is not a physical object. But it exists as a legal entity. Just like you or me, it is bound by the laws of the countries in which it operates. It can open a bank account and own property. It pays taxes, and it can be sued and even prosecuted separately from any of the people who own or work for it.

  Peugeot belongs to a particular genre of legal fictions called ‘limited liability companies’. The idea behind such companies is among humanity’s most ingenious inventions. Homo sapiens lived for untold millennia without them. During most of recorded history property could be owned only by flesh-and-blood humans, the kind that stood on two legs and had big brains. If in thirteenth-century France Jean set up a wagon-manufacturing workshop, he himself was the business. If a wagon he’d made broke down a week after purchase, the disgruntled buyer would have sued Jean personally. If Jean had borrowed 1,000 gold coins to set up his workshop and the business failed, he would have had to repay the loan by selling his private property – his house, his cow, his land. He might even have had to sell his children into servitude. If he couldn’t cover the debt, he could be thrown in prison by the state or enslaved by his creditors. He was fully liable, without limit, for all obligations incurred by his workshop.

  If you had lived back then, you would probably have thought twice before you opened an enterprise of your own. And indeed this legal situation discouraged entrepreneurship. People were afraid to start new businesses and take economic risks. It hardly seemed worth taking the chance that their families could end up utterly destitute.

  This is why people began collectively to imagine the existence of limited liability companies. Such companies were legally independent of the people who set them up, or invested money in them, or managed them. Over the last few centuries such companies have become the main players in the economic arena, and we have grown so used to them that we forget they exist only in our imagination. In the US, the technical term for a limited liability company is a ‘corporation’, which is ironic, because the term derives from ‘corpus’ (‘body’ in Latin) – the one thing these corporations lack. Despite their having no real bodies, the American legal system treats corporations as legal persons, as if they were flesh-and-blood human beings.

  And so did the French legal system back in 1896, when Armand Peugeot, who had inherited from his parents a metalworking shop that produced springs, saws and bicycles, decided to go into the automobile business. To that end, he set up a limited liability company. He named the company after himself, but it was independent of him. If one of the cars broke down, the buyer could sue Peugeot, but not Armand Peugeot. If the company borrowed millions of francs and then went bust, Armand Peugeot did not owe its creditors a single franc. The loan, after all, had been given to Peugeot, the company, not to Armand Peugeot, the Homo sapiens. Armand Peugeot died in 1915. Peugeot, the company, is still alive and well.

  How exactly did Armand Peugeot, the man, create Peugeot, the company? In much the same way that priests and sorcerers have created gods and demons throughout history, and in which thousands of French curés were still creating Christ’s body every Sunday in the parish churches. It all revolved around telling stories, and convincing people to believe them. In the case of the French curés, the crucial story was that of Christ’s life and death as told by the Catholic Church. According to this story, if a Catholic priest dressed in his sacred garments solemnly said the right words at the right moment, mundane bread and wine turned into God’s flesh and blood. The priest exclaimed ‘Hoc est corpus meum! ’ (Latin for ‘This is my body!’) and hocus pocus – the bread turned into Christ’s flesh. Seeing that the priest had properly and assiduously observed all the procedures, millions of devout French Catholics behaved as if God really existed in the consecrated bread and wine.

  In the case of Peugeot SA the crucial story was the French legal code, as written by the French parliament. According to the French legislators, if a certified lawyer followed all the proper liturgy and rituals, wrote all the required spells and oaths on a wonderfully decorated piece of paper, and affixed his ornate signature to the bottom of the document, then hocus pocus – a new company was incorporated. When in 1896 Armand Peugeot wanted to create his company, he paid a lawyer to go through all these sacred procedures. Once the lawyer had performed all the right rituals and pronounced all the necessary spells and oaths, millions of upright French citizens behaved as if the Peugeot company really existed.

  Telling effective stories is not easy. The difficulty lies not in telling the story, but in convincing everyone else to believe it. Much of history revolves around this question: how does one convince millions of people to believe particular stories about gods, or nations, or limited liability companies? Yet when it succeeds, it gives Sapiens immense power, because it enables millions of strangers to cooperate and work towards common goals. Just try to imagine how difficult it would have been to create states, or churches, or legal systems if we could speak only about things that really exist, such as rivers, trees and lions.

  Over the years, people have woven an incredibly complex network of stories. Within this network, fictions such as Peugeot not only exist, but also accumulate immense power. The kinds of things that people create through this network of stories are known in academic circles as ‘fictions’, ‘social constructs’, or ‘imagined realities’. An imagined reality is not a lie. I lie when I say that there is a lion near the river when I know perfectly well that there is no lion there. There is nothing special about lies. Green monkeys and chimpanzees can lie. A green monkey, for example, has been observed calling ‘Careful! A lion!’ when there was no lion around. This alarm conveniently frightened away a fellow monkey who had just found a banana, leaving the liar all alone to steal the prize for itself.

  Unlike lying, an imagined reality is something that everyone believes in, and as long as this communal belief persists, the imagined reality exerts force in the world. The sculptor from the Stadel Cave may sincerely have believed in the existence of the lion-man guardian spirit. Some sorcerers are charlatans, but most sincerely believe
in the existence of gods and demons. Most millionaires sincerely believe in the existence of money and limited liability companies. Most human-rights activists sincerely believe in the existence of human rights. No one was lying when, in 2011, the UN demanded that the Libyan government respect the human rights of its citizens, even though the UN, Libya and human rights are all figments of our fertile imaginations.

  Ever since the Cognitive Revolution, Sapiens have thus been living in a dual reality. On the one hand, the objective reality of rivers, trees and lions; and on the other hand, the imagined reality of gods, nations and corporations. As time went by, the imagined reality became ever more powerful, so that today the very survival of rivers, trees and lions depends on the grace of imagined entities such as the United States and Google.

  Bypassing the Genome

  The ability to create an imagined reality out of words enabled large numbers of strangers to cooperate effectively. But it also did something more. Since large-scale human cooperation is based on myths, the way people cooperate can be altered by changing the myths – by telling different stories. Under the right circumstances myths can change rapidly. In 1789 the French population switched almost overnight from believing in the myth of the divine right of kings to believing in the myth of the sovereignty of the people. Consequently, ever since the Cognitive Revolution Homo sapiens has been able to revise its behaviour rapidly in accordance with changing needs. This opened a fast lane of cultural evolution, bypassing the traffic jams of genetic evolution. Speeding down this fast lane, Homo sapiens soon far outstripped all other human and animal species in its ability to cooperate.

  The behaviour of other social animals is determined to a large extent by their genes. DNA is not an autocrat. Animal behaviour is also influenced by environmental factors and individual quirks. Nevertheless, in a given environment, animals of the same species will tend to behave in a similar way. Significant changes in social behaviour cannot occur, in general, without genetic mutations. For example, common chimpanzees have a genetic tendency to live in hierarchical groups headed by an alpha male. Members of a closely related chimpanzee species, bonobos, usually live in more egalitarian groups dominated by female alliances. Female common chimpanzees cannot take lessons from their bonobo relatives and stage a feminist revolution. Male chimps cannot gather in a constitutional assembly to abolish the office of alpha male and declare that from here on out all chimps are to be treated as equals. Such dramatic changes in behaviour would occur only if something changed in the chimpanzees’ DNA.

  For similar reasons, archaic humans did not initiate any revolutions. As far as we can tell, changes in social patterns, the invention of new technologies and the settlement of alien habitats resulted from genetic mutations and environmental pressures more than from cultural initiatives. This is why it took humans hundreds of thousands of years to make these steps. Two million years ago, genetic mutations resulted in the appearance of a new human species called Homo erectus. Its emergence was accompanied by the development of a new stone tool technology, now recognised as a defining feature of this species. As long as Homo erectus did not undergo further genetic alterations, its stone tools remained roughly the same – for close to 2 million years!

  In contrast, ever since the Cognitive Revolution, Sapiens have been able to change their behaviour quickly, transmitting new behaviours to future generations without any need of genetic or environmental change. As a prime example, consider the repeated appearance of childless elites, such as the Catholic priesthood, Buddhist monastic orders and Chinese eunuch bureaucracies. The existence of such elites goes against the most fundamental principles of natural selection, since these dominant members of society willingly give up procreation. Whereas chimpanzee alpha males use their power to have sex with as many females as possible – and consequently sire a large proportion of their troop’s young – the Catholic alpha male abstains completely from sexual intercourse or raising a family. This abstinence does not result from unique environmental conditions such as a severe lack of food or want of potential mates. Nor is it the result of some quirky genetic mutation. The Catholic Church has survived for centuries, not by passing on a ‘celibacy gene’ from one pope to the next, but by passing on the stories of the New Testament and of Catholic canon law.

  In other words, while the behaviour patterns of archaic humans remained fixed for tens of thousands of years, Sapiens could transform their social structures, the nature of their interpersonal relations, their economic activities and a host of other behaviours within a decade or two. Consider a resident of Berlin, born in 1900 and living to the ripe age of one hundred. She spent her childhood in the Hohenzollern Empire of Wilhelm II; her adult years in the Weimar Republic, the Nazi Third Reich and Communist East Germany; and she died a citizen of a democratic and reunified Germany. She had managed to be a part of five very different sociopolitical systems, though her DNA remained exactly the same.

  This was the key to Sapiens’ success. In a one-on-one brawl, a Neanderthal would probably have beaten a Sapiens. But in a conflict of hundreds, Neanderthals wouldn’t stand a chance. Neanderthals could share information about the whereabouts of lions, but they probably could not tell – and revise – stories about tribal spirits. Without an ability to compose fiction, Neanderthals were unable to cooperate effectively in large numbers, nor could they adapt their social behaviour to rapidly changing challenges.

  While we can’t get inside a Neanderthal mind to understand how they thought, we have indirect evidence of the limits to their cognition compared with their Sapiens rivals. Archaeologists excavating 30,000-year-old Sapiens sites in the European heartland occasionally find there seashells from the Mediterranean and Atlantic coasts. In all likelihood, these shells got to the continental interior through long-distance trade between different Sapiens bands. Neanderthal sites lack any evidence of such trade. Each group manufactured its own tools from local materials.4

  6. The Catholic alpha male abstains from sexual intercourse and raising a family, even though there is no genetic or ecological reason for him to do so.

  {© Andreas Solaro/AFP/Getty Images.}

  Another example comes from the South Pacific. Sapiens bands that lived on the island of New Ireland, north of New Guinea, used a volcanic glass called obsidian to manufacture particularly strong and sharp tools. New Ireland, however, has no natural deposits of obsidian. Laboratory tests revealed that the obsidian they used was brought from deposits on New Britain, an island 250 miles away. Some of the inhabitants of these islands must have been skilled navigators who traded from island to island over long distances.5

  Trade may seem a very pragmatic activity, one that needs no fictive basis. Yet the fact is that no animal other than Sapiens engages in trade, and all the Sapiens trade networks about which we have detailed evidence were based on fictions. Trade cannot exist without trust, and it is very difficult to trust strangers. The global trade network of today is based on our trust in such fictional entities as the dollar, the Federal Reserve Bank, and the totemic trademarks of corporations. When two strangers in a tribal society want to trade, they will often establish trust by appealing to a common god, mythical ancestor or totem animal.

  If archaic Sapiens believing in such fictions traded shells and obsidian, it stands to reason that they could also have traded information, thus creating a much denser and wider knowledge network than the one that served Neanderthals and other archaic humans.

  Hunting techniques provide another illustration of these differences. Neanderthals usually hunted alone or in small groups. Sapiens, on the other hand, developed techniques that relied on cooperation between many dozens of individuals, and perhaps even between different bands. One particularly effective method was to surround an entire herd of animals, such as wild horses, then chase them into a narrow gorge, where it was easy to slaughter them en masse. If all went according to plan, the bands could harvest tons of meat, fat and animal skins in a single afternoon of collective effort, and ei
ther consume these riches in a giant potlatch, or dry, smoke or (in Arctic areas) freeze them for later usage. Archaeologists have discovered sites where entire herds were butchered annually in such ways. There are even sites where fences and obstacles were erected in order to create artificial traps and slaughtering grounds.

  We may presume that Neanderthals were not pleased to see their traditional hunting grounds turned into Sapiens-controlled slaughterhouses. However, if violence broke out between the two species, Neanderthals were not much better off than wild horses. Fifty Neanderthals cooperating in traditional and static patterns were no match for 500 versatile and innovative Sapiens. And even if the Sapiens lost the first round, they could quickly invent new stratagems that would enable them to win the next time.

  What happened in the Cognitive Revolution?

  * * *

  New ability

  Wider consequences

  The ability to transmit larger quantities of information about the world surrounding Homo sapiens

  Planning and carrying out complex actions, such as avoiding lions and hunting bison

  The ability to transmit larger quantities of information about Sapiens social relationships

  Larger and more cohesive groups, numbering up to 150 individuals

  The ability to transmit information about things that do not really exist, such as tribal spirits, nations, limited liability companies, and human rights

  a. Cooperation between very large numbers of strangers