Sapiens and Homo Deus

by Yuval Noah Harari

  And even if Santino doesn’t remember the past and doesn’t imagine the future, does it mean he lacks self-consciousness? After all, we ascribe self-consciousness to humans even when they are not busy remembering the past or dreaming about the future. For example, when a human mother sees her toddler wandering onto a busy road, she doesn’t stop to think about either past or future. Just like the mother elephant, she too just races to save her child. Why not say about her what we say about the elephant, namely that ‘when the mother rushed to save her baby from the oncoming danger, she did it without any self-consciousness. She was merely driven by a momentary urge’?

  Similarly, consider a young couple kissing passionately on their first date, a soldier charging into heavy enemy fire to save a wounded comrade, or an artist drawing a masterpiece in a frenzy of brushstrokes. None of them stops to contemplate the past or the future. Does it mean they lack self-consciousness, and that their state of being is inferior to that of a politician giving an election speech about his past achievements and future plans?

  The Clever Horse

  In 2010 scientists conducted an unusually touching rat experiment. They locked a rat in a tiny cage, placed the cage within a much larger cell and allowed another rat to roam freely through that cell. The caged rat gave out distress signals, which caused the free rat also to exhibit signs of anxiety and stress. In most cases, the free rat proceeded to help her trapped companion, and after several attempts usually succeeded in opening the cage and liberating the prisoner. The researchers then repeated the experiment, this time placing chocolate in the cell. The free rat now had to choose between either liberating the prisoner, or enjoying the chocolate all by herself. Many rats preferred to first free their companion and share the chocolate (though quite a few behaved more selfishly, proving perhaps that some rats are meaner than others).

  Sceptics dismissed these results, arguing that the free rat liberated the prisoner not out of empathy, but simply in order to stop the annoying distress signals. The rats were motivated by the unpleasant sensations they felt, and they sought nothing grander than ending these sensations. Maybe. But we could say exactly the same thing about us humans. When I donate money to a beggar, am I not reacting to the unpleasant sensations that the sight of the beggar causes me to feel? Do I really care about the beggar, or do I simply want to feel better myself?16

  In essence, we humans are not that different from rats, dogs, dolphins or chimpanzees. Like them, we too have no soul. Like us, they too have consciousness and a complex world of sensations and emotions. Of course, every animal has its unique traits and talents. Humans too have their special gifts. We shouldn’t humanise animals needlessly, imagining that they are just a furrier version of ourselves. This is not only bad science, but it also prevents us from understanding and valuing other animals on their terms.

  In the early 1900s, a horse called Clever Hans became a German celebrity. Touring Germany’s towns and villages, Hans showed off a remarkable grasp of the German language, and an even more remarkable mastery of mathematics. When asked, ‘Hans, what is four times three?’ Hans tapped his hoof twelve times. When shown a written message asking, ‘What is twenty minus eleven?’ Hans tapped nine times, with commendable Prussian precision.

  In 1904 the German board of education appointed a special scientific commission headed by a psychologist to look into the matter. The thirteen members of the commission – which included a circus manager and a veterinarian – were convinced this must be a scam, but despite their best efforts they couldn’t uncover any fraud or subterfuge. Even when Hans was separated from his owner, and complete strangers presented him with the questions, Hans still got most of the answers right.

  In 1907 the psychologist Oskar Pfungst began another investigation that finally revealed the truth. It turned out that Hans got the answers right by carefully observing the body language and facial expressions of his interlocutors. When Hans was asked what is four times three, he knew from past experience that the human was expecting him to tap his hoof a given number of times. He began tapping, while closely monitoring the human. As Hans approached the correct number of taps the human became more and more tense, and when Hans tapped the right number, the tension reached its peak. Hans knew how to recognise this by the human’s body posture and the look on the human’s face. He then stopped tapping, and watched how tension was replaced by amazement or laughter. Hans knew he had got it right.

  Clever Hans is often given as an example of the way humans erroneously humanise animals, ascribing to them far more amazing abilities than they actually possess. In fact, however, the lesson is just the opposite. The story demonstrates that by humanising animals we usually underestimate animal cognition and ignore the unique abilities of other creatures. As far as maths goes, Hans was hardly a genius. Any eight-year-old kid could do much better. However, in his ability to deduce emotions and intentions from body language, Hans was a true genius. If a Chinese person were to ask me in Mandarin what is four times three, there is no way that I could correctly tap my foot twelve times simply by observing facial expressions and body language. Clever Hans enjoyed this ability because horses normally communicate with each other through body language. What was remarkable about Hans, however, is that he could use the method to decipher the emotions and intentions not only of his fellow horses, but also of unfamiliar humans.

  17. Clever Hans on stage in 1904.

  17.© 2004 TopFoto.

  If animals are so clever, why don’t horses harness humans to carts, rats conduct experiments on us, and dolphins make us jump through hoops? Homo sapiens surely has some unique ability that enables it to dominate all the other animals. Having dismissed the overblown notions that Homo sapiens exists on an entirely different plain from other animals, or that humans possess some unique essence like soul or consciousness, we can finally climb down to the level of reality and examine the particular physical or mental abilities that give our species its edge.

  Most studies cite tool production and intelligence as particularly important for the ascent of humankind. Though other animals also produce tools, there is little doubt that humans far surpass them in that field. Things are a bit less clear with regard to intelligence. An entire industry is devoted to defining and measuring intelligence but is a long way from reaching a consensus. Luckily, we don’t have to enter into that minefield, because no matter how one defines intelligence, it is quite clear that neither intelligence nor toolmaking by themselves can account for the Sapiens conquest of the world. According to most definitions of intelligence, a million years ago humans were already the most intelligent animals around, as well as the world’s champion toolmakers, yet they remained insignificant creatures with little impact on the surrounding ecosystem. They were obviously lacking some key feature other than intelligence and toolmaking.

  Perhaps humankind eventually came to dominate the planet not because of some elusive third key ingredient, but due simply to the evolution of even higher intelligence and even better toolmaking abilities? It doesn’t seem so, because when we examine the historical record, we don’t see a direct correlation between the intelligence and toolmaking abilities of individual humans and the power of our species as a whole. Twenty thousand years ago, the average Sapiens probably had higher intelligence and better toolmaking skills than the average Sapiens of today. Modern schools and employers may test our aptitudes from time to time but, no matter how badly we do, the welfare state always guarantees our basic needs. In the Stone Age natural selection tested you every single moment of every single day, and if you flunked any of its numerous tests you were pushing up the daisies in no time. Yet despite the superior toolmaking abilities of our Stone Age ancestors, and despite their sharper minds and far more acute senses, 20,000 years ago humankind was much weaker than it is today.

  Over those 20,000 years humankind moved from hunting mammoth with stone-tipped spears to exploring the solar system with spaceships not thanks to the evolution of more dexterous hands or b
igger brains (our brains today seem actually to be smaller).17 Instead, the crucial factor in our conquest of the world was our ability to connect many humans to one another.18 Humans nowadays completely dominate the planet not because the individual human is far smarter and more nimble-fingered than the individual chimp or wolf, but because Homo sapiens is the only species on earth capable of co-operating flexibly in large numbers. Intelligence and toolmaking were obviously very important as well. But if humans had not learned to cooperate flexibly in large numbers, our crafty brains and deft hands would still be splitting flint stones rather than uranium atoms.

  If cooperation is the key, how come the ants and bees did not beat us to the nuclear bomb even though they learned to cooperate en masse millions of years before us? Because their cooperation lacks flexibility. Bees cooperate in very sophisticated ways, but they cannot reinvent their social system overnight. If a hive faces a new threat or a new opportunity, the bees cannot, for example, guillotine the queen and establish a republic.

  Social mammals such as elephants and chimpanzees cooperate far more flexibly than bees, but they do so only with small numbers of friends and family members. Their cooperation is based on personal acquaintance. If I am a chimpanzee and you are a chimpanzee and I want to cooperate with you, I must know you personally: what kind of chimp are you? Are you a nice chimp? Are you an evil chimp? How can I cooperate with you if I don’t know you? To the best of our knowledge, only Sapiens can cooperate in very flexible ways with countless numbers of strangers. This concrete capability – rather than an eternal soul or some unique kind of consciousness – explains our mastery of planet Earth.

  Long Live the Revolution!

  History provides ample evidence for the crucial importance of large-scale cooperation. Victory almost invariably went to those who cooperated better – not only in struggles between Homo sapiens and other animals, but also in conflicts between different human groups. Thus Rome conquered Greece not because the Romans had larger brains or better toolmaking techniques, but because they were able to cooperate more effectively. Throughout history, disciplined armies easily routed disorganised hordes, and unified elites dominated the disorderly masses. In 1914, for example, 3 million Russian noblemen, officials and business people lorded it over 180 million peasants and workers. The Russian elite knew how to cooperate in defence of its common interests, whereas the 180 million commoners were incapable of effective mobilisation. Indeed, much of the elite’s efforts focused on ensuring that the 180 million people at the bottom would never learn to cooperate.

  In order to mount a revolution, numbers are never enough. Revolutions are usually made by small networks of agitators rather than by the masses. If you want to launch a revolution, don’t ask yourself, ‘How many people support my ideas?’ Instead, ask yourself, ‘How many of my supporters are capable of effective collaboration?’ The Russian Revolution finally erupted not when 180 million peasants rose against the tsar, but rather when a handful of communists placed themselves at the right place at the right time. In 1917, at a time when the Russian upper and middle classes numbered at least 3 million people, the Communist Party had just 23,000 members.19 The communists nevertheless gained control of the vast Russian Empire because they organised themselves well. When authority in Russia slipped from the decrepit hands of the tsar and the equally shaky hands of Kerensky’s provisional government, the communists seized it with alacrity, gripping the reins of power like a bulldog locking its jaws on a bone.

  The communists didn’t release their grip until the late 1980s. Effective organisation kept them in power for eight long decades, and they eventually fell due to defective organisation. On 21 December 1989 Nicolae Ceaus¸escu, the communist dictator of Romania, organised a mass demonstration of support in the centre of Bucharest. Over the previous months the Soviet Union had withdrawn its support from the eastern European communist regimes, the Berlin Wall had fallen, and revolutions had swept Poland, East Germany, Hungary, Bulgaria and Czechoslovakia. Ceaus¸escu, who had ruled Romania since 1965, believed he could withstand the tsunami, even though riots against his rule had erupted in the Romanian city of Timis¸oara on 17 December. As one of his counter-measures, Ceaus¸escu arranged a massive rally in Bucharest to prove to Romanians and the rest of the world that the majority of the populace still loved him – or at least feared him. The creaking party apparatus mobilised 80,000 people to fill the city’s central square, and citizens throughout Romania were instructed to stop all their activities and tune in on their radios and televisions.

  To the cheering of the seemingly enthusiastic crowd, Ceauşescu mounted the balcony overlooking the square, as he had done scores of times in previous decades. Flanked by his wife, Elena, leading party officials and a bevy of bodyguards, Ceaus¸escu began delivering one of his trademark dreary speeches. For eight minutes he praised the glories of Romanian socialism, looking very pleased with himself as the crowd clapped mechanically. And then something went wrong. You can see it for yourself on YouTube. Just search for ‘Ceauşescu’s last speech’, and watch history in action.20

  The YouTube clip shows Ceaus¸escu starting another long sentence, saying, ‘I want to thank the initiators and organisers of this great event in Bucharest, considering it as a—’, and then he falls silent, his eyes open wide, and he freezes in disbelief. He never finished the sentence. You can see in that split second how an entire world collapses. Somebody in the audience booed. People still argue today who was the first person who dared to boo. And then another person booed, and another, and another, and within a few seconds the masses began whistling, shouting abuse and calling out ‘Ti-mi-şoa-ra! Ti-mi-şoa-ra!’

  18. The moment a world collapses: a stunned Ceaus¸escu cannot believe his eyes and ears.

  18. Film still taken from www.youtube.com/watch?v=wWIbCtz_Xwk©TVR.

  All this happened live on Romanian television, as three-quarters of the populace sat glued to the screens, their hearts throbbing wildly. The notorious secret police – the Securitate – immediately ordered the broadcast to be stopped, but the television crews disobeyed. The cameraman pointed the camera towards the sky so that viewers couldn’t see the panic among the party leaders on the balcony, but the soundman kept recording, and the technicians continued the transmission. The whole of Romania heard the crowd booing, while Ceaus¸escu yelled, ‘Hello! Hello! Hello!’ as if the problem was with the microphone. His wife Elena began scolding the audience, ‘Be quiet! Be quiet!’ until Ceaus¸escu turned and yelled at her – still live on television – ‘You be quiet!’ Ceaus¸escu then appealed to the excited crowds in the square, imploring them, ‘Comrades! Comrades! Be quiet, comrades!’

  But the comrades were unwilling to be quiet. Communist Romania crumbled when 80,000 people in the Bucharest central square realised they were much stronger than the old man in the fur hat on the balcony. What is truly astounding, however, is not the moment the system collapsed, but the fact that it managed to survive for decades. Why are revolutions so rare? Why do the masses sometimes clap and cheer for centuries on end, doing everything the man on the balcony commands them, even though they could in theory charge forward at any moment and tear him to pieces?

  Ceauşescu and his cronies dominated 20 million Romanians for four decades because they ensured three vital conditions. First, they placed loyal communist apparatchiks in control of all networks of cooperation, such as the army, trade unions and even sports associations. Second, they prevented the creation of any rival organisations – whether political, economic or social – which might serve as a basis for anti-communist cooperation. Third, they relied on the support of sister communist parties in the Soviet Union and eastern Europe. Despite occasional tensions, these parties helped each other in times of need, or at least guaranteed that no outsider poked his nose into the socialist paradise. Under such conditions, despite all the hardship and suffering inflicted on them by the ruling elite, the 20 million Romanians were unable to organise any effective opposition.


  Ceauşescu fell from power only once all three conditions no longer held. In the late 1980s the Soviet Union withdrew its protection and the communist regimes began falling like dominoes. By December 1989 Ceaus¸escu could not expect any outside assistance. Just the opposite – revolutions in nearby countries gave heart to the local opposition. The Communist Party itself began splitting into rival camps. The moderates wished to rid themselves of Ceaus¸escu and initiate reforms before it was too late. By organising the Bucharest demonstration and broadcasting it live on television, Ceaus¸escu himself provided the revolutionaries with the perfect opportunity to discover their power and rally against him. What quicker way to spread a revolution than by showing it on TV?

  Yet when power slipped from the hands of the clumsy organiser on the balcony, it did not pass to the masses in the square. Though numerous and enthusiastic, the crowds did not know how to organise themselves. Hence just as in Russia in 1917, power passed to a small group of political players whose only asset was good organisation. The Romanian Revolution was hijacked by the self-proclaimed National Salvation Front, which was in fact a smokescreen for the moderate wing of the Communist Party. The Front had no real ties to the demonstrating crowds. It was manned by mid-ranking party officials, and led by Ion Iliescu, a former member of the Communist Party’s central committee and one-time head of the propaganda department. Iliescu and his comrades in the National Salvation Front reinvented themselves as democratic politicians, proclaimed to any available microphone that they were the leaders of the revolution, and then used their long experience and network of cronies to take control of the country and pocket its resources.