Where is everybody? · Working papers

How repeatable is the road to intelligence?

Revised after a second, separate analysis run for this project tried to break it. Neither analysis is an outside expert.

Vermeij's 2006 result reproduces on his own tables (the odds that an innovation has a single known origin rise 3.2-fold per tenfold increase in age, 95% interval 1.2-9.8, n = 77), but it rests on co-inherited early traits: counting the trait clusters of the last universal common ancestor, the last eukaryotic common ancestor and the animal body plan once each leaves 1.4 (0.5-5.0, p = 0.47), and no age trend is detectable within the Phanerozoic or within the Precambrian.

Summary

Vermeij's 2006 result reproduces on his own tables (the odds that an innovation has a single known origin rise 3.2-fold per tenfold increase in age, 95% interval 1.2-9.8, n = 77), but it rests on co-inherited early traits: counting the trait clusters of the last universal common ancestor, the last eukaryotic common ancestor and the animal body plan once each leaves 1.4 (0.5-5.0, p = 0.47), and no age trend is detectable within the Phanerozoic or within the Precambrian. Three of 13 proposed hard steps have recurred (primary plastids, complex multicellularity, colonisation of land) and eight have one known origin; the recurrence limits on the oldest of those (below 0.75-1.8 per billion years) cannot tell a hard step from an easy one. Among 1,547 living mammal species none matches human relative brain size (encephalization quotient 6.4): the best dolphins reach 0.73 of it (species with at least three brains measured) to 0.86 (one single record), three or four lineages separate for 20 million years or more come within a factor of 2, and no non-human species has a measured cortical neuron count within a factor of 2. A drift-free diffusion model gives median waits of 1 to 130 million years (90th percentile up to 210) for another mammal lineage to reach the human value, but only for a world that already has large-brained mammals, and the same model fails to reproduce the Cenozoic rise (hindcast probability 0.003 or less), so these are model outputs and not forecasts. The data give an upper limit (0.046 per lineage per million years, from 65 hand-coded lineage-million-years) and no lower limit on the chance that a large brain leads to technology; the first-pass figures of a 23% base rate, a dolphin at 88% of the human value, 7-9 independent origins, waits of 1-100 million years and P(hardware) of at least 0.9 are all withdrawn.

Key numbers

Quantity Value Uncertainty Note
Vermeij (2006) tables as published: odds ratio of an innovation being singular (one known origin) per tenfold increase in age 3.20 95% profile-likelihood interval 1.20-9.82; permutation p = 0.014; n = 77 (23 singular) Firth bias-reduced logistic regression. Fisher exact p = 0.00008 at a 543 Ma cut (15 of 23 singular vs 9 of 54 repeated rows are older) and 0.0048 at 1 Ga. A replication of Vermeij's own test.
Same odds ratio with the LUCA (4 rows), LECA (2 rows) and animal body-plan (7 rows) trait clusters each counted as one event 1.44 95% interval 0.51-5.00; permutation p = 0.47; n = 67 Fisher p = 0.125 at 543 Ma (5 of 13 singular vs 9 of 54 repeated rows are older) and 0.040 at 1 Ga. Collapsing only the body-plan rows: 2.94 (1.05-9.29), Fisher p = 0.008. Collapsing by stem lineage: 1.75 (0.64-5.73), p = 0.26.
Same odds ratio without the 7 rows dated 3.5 Ga or older 1.89 95% interval 0.63-7.76; p = 0.22; n = 70 The log-age trend is not significant once the oldest rows are removed.
Odds ratio within the Phanerozoic only / within the Precambrian only 0.49 / 1.64 0.14-1.74 (n = 53) / 0.18-16.0 (n = 24) Phanerozoic value is driven by one row (human language); without it 1.86 (0.22-40.6). No trend detectable within either eon; the intervals do not exclude the pooled value.
Step versus smooth gradient in log age, Vermeij as published (log-likelihoods) -38.4 (best step) vs -43.9 (gradient) cut position is a fitted third parameter Best cut lies between Vermeij's rows dated 540 and 550 Ma. The step exceeds the gradient by more than 3 log units only for cuts between 520 and 600 Ma, by more than 1 unit for cuts between 430 and 600 Ma. After collapsing all three trait clusters the best step is only 2.5 units better and sits near 1.8 Ga.
Extended list of 38 dated innovations compiled for this study, four Homo-lineage rows counted once odds ratio 1.41 per tenfold age 0.57-4.58; p = 0.44; n = 35 All rows: 0.71 (0.38-1.27). Excluding rows younger than 5 Ma: 5.5 (1.29-39). The list was chosen by the analyst and 18 of 39 rows were written from memory, so this is a sensitivity check only.
Proposed hard steps (13 rows): singular with no known second origin / contested / repeated 8 / 2 / 3 Repeated: primary plastid (2 origins), complex multicellularity (5-8), colonisation of land (5-25). Contested: mitochondrion-like organelle, neurons.
95% upper limit on the recurrence rate of the three oldest singular steps abiogenesis < 0.75, oxygenic photosynthesis < 1.1, eukaryogenesis < 1.8 per Gyr limits are 3/age by construction These limits lie above the hard-step regime (below about 0.2 per Gyr) whatever the truth, so they cannot test hard-step models in either direction.
Ratio of Phanerozoic to Precambrian singular fractions (illustration only, not an estimate) 0.22 0.21-0.47 across cuts and collapses; true value could be anywhere from 0 to 1 The first-pass reading of this ratio as a 23% base rate of genuinely unique innovations is withdrawn; it assumes the minor Phanerozoic traits and the major Precambrian transitions are exchangeable.
Human encephalization quotient (EQ), Burger et al. record 6.41 Brain 1,250 g, body 65.1 kg, n = 7. With a 1,350 g brain: 6.92.
Highest non-human EQ as a fraction of the human value 0.73 (species with at least 3 brains measured) to 0.86 (single record) 0.68-0.80 with a 1,350 g human brain Pacific white-sided dolphin 4.71 (n = 4); northern right whale dolphin 5.52 (single record, no sample size). The first-pass 0.88 came from a white-beaked dolphin record with a juvenile body mass and is excluded.
Species within a factor 1.5 / 2 / 3 of human EQ 8 / 24 / 99 (all records); 2 / 8 / 43 (at least 3 brains measured) Families: 1 / 5 / 15 (all records), 1 / 4 / 10 (at least 3 brains). 11 of the top 25 non-human records have no sample size.
Lineages separate for at least 20 Myr with a member within a factor 1.5 / 2 / 3 of human EQ 1 / 4 / 10 1 / 3 / 9 if a species with at least 3 brains measured is required; 1 / 3 / 5 for lineages separate at least 30 Myr Within a factor 2: dolphins plus porpoises, spider monkeys (Atelidae), capuchins (Cebidae), and macaques (single records only). All are toothed whales or primates.
Non-human species within a factor 2 / 3 of the human cortical neuron count (16.3 billion, isotropic fractionator) 2 / 9 species, of which 0 / 2 have a measured count Within a factor 2: two gorilla species by scaling-rule prediction only. Measured within a factor 3: chimpanzee 6.5 billion, African elephant 5.6 billion. The primate rule over-predicts the human count by 30-50%. Stereology gives 4 times more than the fractionator for the minke whale (12.8 vs 3.2 billion).
Slope of the maximum EQ of non-hominin mammals across six Cenozoic time bins 0.042 per Myr in ln EQ (doubling every 16 Myr) bootstrap 0.038-0.048; 0.037 (0.027-0.047) with every bin rarefied to 10 specimens An average over a stepped series whose record-holder changes clade at most steps and whose last fossil point is a dwarf island elephant; not to be extrapolated.
Brownian-motion rate of ln EQ across mammals, per Myr 0.0059 (plain); 0.0022 (with a measurement-noise term); 0.0009 (sister-species pairs) noise-corrected 95% interval 0.0020-0.0025; fitted noise 0.15 in ln EQ per species (0.14-0.16) In 8 simulations at the fitted rate and noise the plain estimator returns 0.0049-0.0062, the noise-corrected one 0.0020-0.0024 and the sister-pair one 0.0014-0.0025. The observed sister-pair value is below that simulated range, so a single Brownian rate plus noise does not describe the data at all time depths.
Median first-passage time for another mammal lineage to reach human EQ or human-scale primate brain mass 1.1 to 127 Myr across criteria, record sets and four rate estimates largest 90th percentile 211 Myr Land mammals only, noise-corrected rate: 46 Myr (10-90% range 25-72). Conditional on today's large-brained mammals; the model has no ceiling and no drift.
Hindcast: probability that any of 5,000 lineages starting at the Paleocene median EQ (0.16) reaches half the human EQ in 61 Myr under the same model 0.003 (plain rate); 2e-12 (noise-corrected rate) Several lineages did reach it, so the drift-free model is rejected by the history it is fitted to.
Hominin EQ rise 0.25 per Myr in ln EQ standard error 0.02; 94 crania About 6 times the non-hominin envelope slope. Fossil hominin EQs use the Ruff et al. (1997) volume-to-mass conversion and assumed body masses.
Hazard of technology arising in a large-brained lineage < 0.046 per lineage per Myr (95% upper limit) no lower limit From 65 lineage-Myr of hand-coded exposure without technology (a judgement table, not a measurement). The mean probability of technology within 1 Gyr under log-uniform priors ranges 0.22-0.78 depending only on where the prior's floor is put.

Data used

Method

How repeatable is the road to intelligence? Independent origins of major innovations and of large brains

Revised after referee review.

Summary

Vermeij's 2006 result reproduces on his own tables: innovations with one known origin ("singular") are older than repeated ones, and the odds of being singular rise 3.2-fold per tenfold increase in age (95% interval 1.2-9.8, n = 77). The result does not survive counting co-inherited traits once. When the four traits of the last universal common ancestor (LUCA), the two of the last eukaryotic common ancestor (LECA) and the seven animal body-plan traits are each treated as one event, the odds ratio is 1.4 (0.5-5.0, p = 0.47), and no age trend is detectable within the Phanerozoic or within the Precambrian. Three of 13 proposed hard steps have recurred (primary plastids, complex multicellularity, colonisation of land). Eight have one known origin, and the limits on how often the oldest of them could recur (below 0.75 to 1.8 per billion years) are too weak to tell a hard step from an easy one. Among 1,547 living mammal species none matches human relative brain size. The nearest are dolphins at 0.73 of the human value (species with at least three brains measured) to 0.86 (a single record), and three or four lineages separate for at least 20 million years come within a factor of 2. No non-human species has a measured cortical neuron count within a factor of 2 of ours. A drift-free diffusion model puts the median wait for another mammal lineage to reach human relative brain size between 1 and 130 million years (90th percentile up to 210), but it applies only to a world that already has large-brained mammals and it fails to reproduce the Cenozoic rise it is fitted to. The data give an upper limit and no lower limit on the chance that a large brain leads to technology.

Main caveats: Vermeij's list and the grouping of co-inherited traits are judgements; relative brain size is not brain hardware and can rise by body shrinkage; most brain records are single specimens; the waiting times are model outputs, not forecasts. Five first-pass headline figures did not survive review and are withdrawn: a 23% base rate of genuinely unique innovations, a dolphin at 88% of the human value, 7-9 independent origins of near-human relative brain size, waits of 1-100 million years, and a probability of at least 0.9 that brain hardware recurs.

Units: Ma = million years ago, Ga = billion years ago, Myr and Gyr = million and billion years.

Question

Hard-step models of the Fermi paradox assume a few evolutionary transitions are so improbable that they happen once per habitable planet at most. Two things can be checked with data. First, are one-off innovations really different from repeated ones, or do they only look unique because they are old and the evidence of other origins is lost? Second, how close have other lineages come to the human brain, and how long would another take?

Data

All downloads are scripted in code/fetch_data.py (19 files, about 30 MB). The one input that cannot be re-downloaded is the transcription of Vermeij's two tables, committed as data/vermeij2006_tables_as_published.csv.

Source Content Rows used
Vermeij 2006, PNAS 103:1804, Tables 1-2 innovations with age, singular or repeated 23 singular + 54 repeated
Extended list compiled for this study 39 innovations with number of origins and age (18 rows from memory) 38 dated
Burger et al. 2019 brain and body mass, living mammals 1,547 of 1,552 species; 459 with at least 3 brains measured
Alvarez-Carretero et al. 2022 (primary); Upham et al. 2019 (check) dated mammal trees 1,337 and 1,460 species matched
Bertrand et al. 2022; Waugh & Thewissen 2021; Benoit et al. 2019; Du et al. 2018 fossil endocasts: placentals, cetaceans, proboscideans, hominins 116, 54, 28 and 94 specimens
Massen et al. 2021 plus 19 hand-transcribed rows measured cortical neuron counts, mammals 29 species
Kverkova et al. 2022; Sol et al. 2022 neuron counts, birds and reptiles 220 species

Selection cuts. Five extant records are excluded as wrong or not adult, each listed with its reason in code/extract_data.py: cattle, harbour porpoise, white-beaked dolphin, and two rodents. The white-beaked dolphin was added in this revision: its body mass of 67.5 kg is a quarter to a third of the adult mass of 180-300 kg. Keeping all five would give 10, 26 and 102 species within factors 1.5, 2 and 3 of the human value in place of 8, 24 and 99.

Method

Part 1. I reproduce Vermeij's test (are singular innovations older than repeated ones?) with Fisher exact tests at his two cuts (1 Ga and 543 Ma), a bias-reduced (Firth) logistic regression of singular against log10 age with profile-likelihood intervals, and permutation tests. I repeat it under a 2026 re-coding of his rows, within each eon, without the oldest rows, and with co-inherited traits collapsed to one event in three ways: the seven animal body-plan rows only; clusters by stem lineage (LUCA, LECA, Eumetazoa stem, Bilateria stem); and LUCA, LECA and body plan each once. I compare a step in time with a smooth gradient by log-likelihood, scanning every possible cut. For 13 proposed hard steps and 25 comparison innovations I compute recurrence rates (origins per Gyr) or, for singular ones, the 95% upper limit 3/age.

Part 2. Relative brain size is Jerison's encephalization quotient, EQ = brain mass / (0.12 x body mass^0.667), masses in grams. I count species, families and lineages within factors 1.5, 2 and 3 of the human EQ, for all records and for species with at least three brains measured. A "lineage separate for T Myr" is a clade obtained by cutting the dated tree T Myr ago; it counts if a member with at least three brains is over the threshold or at least two members are. Cortical neuron counts are measured values where they exist and otherwise predictions from the published scaling rules of the isotropic fractionator (a method that dissolves tissue and counts nuclei); stereology (counting cells in sampled sections) is reported separately. Fossil endocast volumes are converted to brain mass with the Ruff et al. (1997) formula for hominins and 1.0 g/cm3 for Paleogene placentals, with 0.92 g/cm3 as a sensitivity case. The fossil series gives the maximum EQ of non-hominin mammals in six time bins. Rates of change of ln EQ come from independent contrasts on the tree in four ways: plain; robust (median-based); with a measurement-noise term fitted jointly by restricted maximum likelihood; and from sister-species pairs. Waiting times are first-passage times of drift-free Brownian motion from today's species to the human value. The same model is run backward as a hindcast from the Paleocene.

Results, Part 1: innovations

Odds ratio of being singular per tenfold increase in age (Firth regression; 95% profile interval; permutation p).

Version of Vermeij's list n Odds ratio p Fisher p at 543 Ma
As published 77 3.20 (1.20-9.82) 0.014 0.00008
2026 re-coding, strict 77 3.50 (1.30-11.0) 0.008 0.00008
2026 re-coding, by function 77 3.47 (1.18-11.6) 0.012 0.0002
Without the 7 rows dated 3.5 Ga or older 70 1.89 (0.63-7.76) 0.22 0.0008
Phanerozoic only 53 0.49 (0.14-1.74) 0.30 -
Phanerozoic without human language 52 1.86 (0.22-40.6) 0.54 -
Precambrian only 24 1.64 (0.18-16.0) 0.65 -
Seven body-plan rows as one event 71 2.94 (1.05-9.29) 0.021 0.008
Stem-lineage clusters once 71 1.75 (0.64-5.73) 0.26 0.008
LUCA, LECA and body plan each once 67 1.44 (0.51-5.00) 0.47 0.125

Recurrence. Of the 13 hard-step rows, 8 are singular with no known second origin (abiogenesis, oxygenic photosynthesis, eukaryogenesis, meiotic sex, animal-grade multicellularity, human-grade brain, language, cumulative culture), 2 are contested (a mitochondrion-like organelle, neurons) and 3 are repeated (primary plastid: 2 origins; complex multicellularity: 5-8; colonisation of land: 5-25). Upper limits for the oldest singular ones are 0.75 per Gyr (abiogenesis), 1.1 (oxygenic photosynthesis) and 1.8 (eukaryogenesis). Old repeated innovations have rates in the same range: DNA replication 0.25, phototrophy 0.29, primary plastid 0.63, aerobic respiration 0.74, carbon fixation 1.6 per Gyr. Old singular and old repeated innovations therefore cannot be distinguished, but the limits lie above the hard-step regime by construction, so they cannot test hard-step models either way.

Illustration only: the ratio of the Phanerozoic singular fraction (7 of 52) to the Precambrian one (15 of 24) is 0.22, and 0.21-0.47 across cuts and collapses. Reading it as the share of old singular innovations that are genuinely unique assumes the two halves of the list are the same kind of thing, which they are not. The true value could be anywhere from 0 to 1.

Results, Part 2: brains

Living mammals. Human EQ is 6.41. The highest non-human value is 5.52 (northern right whale dolphin; one record with no sample size), 0.86 of human. Among species with at least three brains measured the highest is 4.71 (Pacific white-sided dolphin), 0.73 of human. With a 1,350 g human brain these become 0.80 and 0.68.

Within this factor of human EQ 1.5 2 3
Species, all records 8 24 99
Species with at least 3 brains 2 8 43
Families, all records / at least 3 brains 1 / 1 5 / 4 15 / 10
Lineages separate at least 30 Myr 1 3 5
Lineages separate at least 20 Myr 1 4 10
Lineages separate at least 10 Myr 1 5 20

Requiring a species with at least three brains lowers the factor-2 lineage counts to 2, 3 and 4. Within a factor 1.5 there is one lineage, the dolphins. Within a factor 2 there are dolphins plus porpoises, spider monkeys, capuchins and, on single records only, macaques. Requiring both EQ and absolute brain mass to be at least half the human value leaves 15 species (5 with at least three brains), all dolphins and porpoises. Species-level parsimony on the tree gives 7-11 origins within a factor 2, but most of those are noise inside young families and I do not use them.

Neurons. Humans have 16.3 billion cortical neurons by the fractionator. No non-human species has a measured count within a factor of 2. Within a factor of 3 the measured counts are chimpanzee (6.5 billion) and African elephant (5.6 billion); the two species within a factor 2 in the table are gorillas by rule prediction only. Across 29 species the rules predict a median of 1.13 times the measured count (10-90% range 0.76-1.86), and the primate rule over-predicts humans by 30-50%. Under these rules a non-primate would need a brain of 23-48 kg to reach the human count, against 8.2 kg for the largest brain in the dataset, so that route is closed and no waiting time is given for it. Stereology disagrees: 12.8 billion for the minke whale against 3.2 billion by the fractionator, and 15 and 37 billion for the harbour porpoise and pilot whale. The largest bird count is 1.9 billion pallial neurons (a macaw).

Through time. Maximum EQ of non-hominin mammals by bin: Paleocene 0.34, Eocene 1.23, Oligocene 1.37, Miocene 3.46, Plio-Pleistocene 4.50, Recent 5.52. The slope is 0.042 per Myr in ln EQ (bootstrap 0.038-0.048), a doubling every 16 Myr, and 0.037 (0.027-0.047) with every bin rarefied to 10 specimens. The record-holder changes clade at most steps (a multituberculate, a primate, two toothed whales, a dwarf island elephant, a dolphin), and the bins are small and clade-targeted, so this is an average over a stepped series and should not be extrapolated. The first fossil within a factor 3 of human EQ is at 18 Ma and within a factor 2 at 16 Ma (both the dolphin relative Kentriodon). Fossil cetacean maxima are flat from 16 Ma (3.46) to 4 Ma (3.56); the data cannot distinguish a slow rise from a plateau since about 15 Ma. Hominin EQ rose at 0.25 +/- 0.02 per Myr, about six times the envelope slope. Homo heidelbergensis (5.67) exceeds every living dolphin record; H. habilis (4.90) and H. erectus (5.10) exceed every dolphin with at least three brains measured.

Rates and waiting times. The plain Brownian rate of ln EQ is 0.0059 per Myr. With a measurement-noise term it is 0.0022 (0.0020-0.0025), with fitted noise of 0.15 in ln EQ per species; sister-species pairs give 0.0009. Simulated data with the fitted rate and noise return 0.0049-0.0062 for the plain estimator, so the plain rate is inflated about 2.7-fold by noise. The observed sister-pair value is below its simulated range (0.0014-0.0025), which means one Brownian rate plus noise does not describe the data at all time depths. I keep both corrected rates as bounds.

Median wait in Myr (10-90% range) Plain rate Noise-corrected Sister pairs
Any mammal reaches human EQ, all records 1.1 (0.4-2.4) 1.5 (0.5-3.5) 22 (8-50)
Same, species with at least 3 brains 3.4 (1.3-9.0) 4.7 (1.8-15) 63 (27-135)
Land mammals only 10 (6-17) 46 (25-72) 97 (53-154)
Land mammals, at least 3 brains 14 (7-23) 59 (30-99) 127 (62-211)
Another primate reaches a 942 g brain 18 (7-40) 21 (9-46) 34 (14-75)
Another primate reaches human brain mass 32 (14-58) 37 (16-67) 61 (27-110)

(942 g is the brain mass at which the primate rule predicts the human neuron count.) The waits run from a few Myr to about 200 Myr, all well below 1 Gyr. They are for a second lineage in a biosphere that already has large-brained mammals. The model has no ceiling and no drift, and the short waits are reached mainly by small dolphins whose EQ is high partly because they are small. Run from the Paleocene, the same model gives a probability of 0.003 (plain rate) or 2e-12 (noise-corrected) that any of 5,000 lineages reaches half the human EQ in 61 Myr, yet several did. A model that fails backward has no standing as a forecast.

Technology. A hand-coded table of large-brained lineages gives 65 lineage-Myr without technology, hence a 95% upper limit of 0.046 per lineage per Myr on the hazard, and no lower limit. Under log-uniform priors the mean probability of technology within 1 Gyr is 0.22-0.78, set entirely by where the prior's floor is put.

Figures

Figure 1. Vermeij’s 77 evolutionary innovations by the age of their first origin. Left: those claimed to have arisen once (top) are older than those that arose repeatedly (bottom); hollow circles are the 13 early traits that were inherited together. Right: the fraction that are unique in each era, as published and under two re-codings.
Figure 1. Vermeij’s 77 evolutionary innovations by the age of their first origin. Left: those claimed to have arisen once (top) are older than those that arose repeatedly (bottom); hollow circles are the 13 early traits that were inherited together. Right: the fraction that are unique in each era, as published and under two re-codings. Open at full size.
Figure 2. How often each innovation recurred after its first origin: measured rates for repeated innovations and 95% upper limits for unique ones. Every upper limit lies above the hard-step line by construction, so the limits cannot test whether a step was hard.
Figure 2. How often each innovation recurred after its first origin: measured rates for repeated innovations and 95% upper limits for unique ones. Every upper limit lies above the hard-step line by construction, so the limits cannot test whether a step was hard. Open at full size.
Figure 3. Relative brain size (the encephalization quotient, brain size compared with that expected for the body) against time for fossil and living mammals, with the running record outside the human line. The record-holder changes group at most steps, and the fossil samples are small.
Figure 3. Relative brain size (the encephalization quotient, brain size compared with that expected for the body) against time for fossil and living mammals, with the running record outside the human line. The record-holder changes group at most steps, and the fossil samples are small. Open at full size.
Figure 4. Left: the number of non-human lineages and families at or above a given fraction of the human relative brain size. Right: the number of neurons in the cortex of 16 species. Filled symbols are counts, which depend on the counting method; the four hollow circles are not counts but predictions from the mass of the brain.
Figure 4. Left: the number of non-human lineages and families at or above a given fraction of the human relative brain size. Right: the number of neurons in the cortex of 16 species. Filled symbols are counts, which depend on the counting method; the four hollow circles are not counts but predictions from the mass of the brain. Open at full size.
Figure 5. A model output, not a forecast: the chance that a second lineage reaches the human value within a given time, if brain size wanders with no trend. Solid lines use the rate corrected for noise in the records. The same model fails to reproduce the last 66 million years.
Figure 5. A model output, not a forecast: the chance that a second lineage reaches the human value within a given time, if brain size wanders with no trend. Solid lines use the rate corrected for noise in the records. The same model fails to reproduce the last 66 million years. Open at full size.

Reproducibility

python3 code/run_all.py downloads missing files and rebuilds everything; --offline skips downloads (about 85 s, single thread). The headline numbers are also written to data/headline_numbers.csv. A fresh download of all 19 sources into an empty directory reproduced every derived table byte for byte; that run preceded two last small edits (wording of the headline table and the summary keys of the step scan), after which the pipeline was rerun offline. Europe PMC was very slow at the time, and in that test two pipeline runs shared the empty directory, so between them every file came from the network but no single run fetched all 19.

Response to referee

Point Verdict What I did
M1 juvenile dolphin record Accepted Checked adult mass independently (180-300 kg), flagged and excluded the record, reran. Headline now 0.73-0.86 (0.68-0.80 with a 1,350 g human brain). Counts for species with at least 3 brains reported beside all-record counts (2 and 8 species, 4 families within a factor 2), matching the referee's.
M2 base rate Accepted Removed from headline, key numbers and Fermi implications. Kept in the body as an illustration with the range across cuts and collapses and the statement that the true value is 0 to 1. Posterior on the number of hard steps deleted.
M3 step claim Accepted, with corrected numbers Reworded as the referee asked. Added the sensitivities without the oldest rows and with collapsed clusters, the scan of cut positions, and the note on Vermeij's 14 against the table's 15. Two of the referee's specific figures are not what the code gives (see rejected points).
M4 recurrence limits Accepted "The same thing" replaced by "cannot be distinguished; the limits lie above the hard-step regime by construction". "Does not support" replaced by "cannot test". Added the caveat on rates for old repeated innovations.
M5 waiting times Accepted, one part differs in size Added a noise-corrected rate (joint fit) and a sister-pair rate, with a simulation check. Deleted the non-primate neuron wait, the claim that the waits are conservative, and the 0.7 Myr figure. Range restated as a few Myr to about 200 Myr, conditional, with the failed hindcast. Added the fall of EQ with body mass among dolphins.
M6 integrator outputs Accepted Both outputs reworded as the referee specified; 0.9 and the 0.1 lower bound dropped; conditioning stated.
m1 origin counts Accepted Lineages separate for 10, 20 and 30 Myr now lead; parsimony ranges moved to a robustness note.
m2 plateau Accepted Wording changed; crown-fossil test added (n = 4, p = 0.26); Fig. 3 retitled.
m3 neuron counts Accepted Measured counts now substituted in the code; rule check reported; "no measured count within a factor 2" stated.
m4 endocast conversion Partly Conversion made taxon-specific; the 8% figure does not apply to hominins (see rejected points).
m5 clade-targeted bins Accepted Bin composition tabulated and stated; median comparison across bins labelled as not like-for-like.
m6 extended list Accepted Homo rows counted once in a new test; agriculture and large-brain rows annotated; list labelled a sensitivity check.
m7 Upham tree Accepted, premise corrected Checked the DNA-only tree: it shows the same anomaly. Remark removed from the novelty list.
m8 Vermeij source Accepted Provenance note added to fetch_data.py.
Citations Accepted "Mussini (accepted 2023)" removed (not found). Bains & Schulze-Makuch 2016 and Rospars 2013 confirmed and added; Schwartzman & Middendorf 2011 confirmed to exist, journal details not confirmed. Novelty claim lowered.

Required changes 1-15 map onto these rows: 1 = m9; 2-3 = M1; 4 = m1; 5 = M2; 6 = M3; 7 = M4; 8 = M5; 9 = envelope (the "3 Myr ahead" statement and the 3-5 Myr envelope wait are deleted, clade switching and the island dwarf are stated); 10 = m2; 11 = m3; 12-13 = M6; 14 = citations; 15 = m4, m7, m8.

Does the headline survive? The soft version does: singular innovations are concentrated early and singularity alone is weak evidence of improbability; three textbook steps are repeated; near-human relative brain size arose in three or four mammal lineages; the data say nothing about the step from brain to technology. The quantitative first-pass headline does not.

Closest prior work and what is new

Closest prior work. Part 1: Vermeij 2006 (PNAS 103:1804), whose age test this study replicates; Bains & Schulze-Makuch 2016 (Life 6:25), who already sort key innovations by whether they arose once or many times and conclude most are many-paths; Mills, Macalady, Frank & Wright 2025 (Sci. Adv. 11:eads5698), who argue against hard steps using information loss and incumbency. Part 2: Russell 1983, Marino, McShea & Uhen 2004, Lineweaver 2008, Bogonovich 2011, Schwartzman & Middendorf 2011 and Rospars 2013 on encephalization trends and the repeatability of intelligence; van Schaik et al. 2021 (bioRxiv 2021.02.15.431238) on EQ falling with body size within orders; Avelino-de-Souza et al. 2025 (J. Comp. Neurol.) on the gap between fractionator and stereology neuron counts in whales.

What is new. The broad conclusions are not new. What I did not find in a limited web search is (a) a reanalysis of Vermeij's own tables showing that his age effect depends on counting co-inherited stem-lineage traits as independent rows (odds ratio 3.2 falls to 1.4, interval including 1, when three trait clusters are counted once) and that no trend is detectable within either eon; (b) counts of lineages near human relative brain size that are filtered by record quality (at least three brains measured) and by lineage age, set beside measured rather than rule-predicted neuron counts; (c) a Brownian rate of relative brain size with an explicit measurement-noise term, checked by simulation, together with a hindcast showing that drift-free diffusion cannot reproduce the Cenozoic rise. The remark about the Upham et al. tree files is a data-quality note, not a finding.

Confidence that it is new: medium

Limitations

What it means for the Fermi question

Two outputs for the integrator, both stated as what the data allow rather than as measurements.

(i) Number of hard steps. The convergence record removes primary plastid acquisition, complex multicellularity and colonisation of land from the list of hard steps: each has arisen more than once. Abiogenesis, oxygenic photosynthesis, eukaryogenesis and human-level cognition or language each have one known origin, and recurrence data cannot test any of the four, because a one-off event 2-4 billion years old gives the same weak upper limit whether its true rate is 1 or 0.001 per billion years. The compatible range is therefore 0 to 4 (0 to 5 if animal-grade multicellularity is counted as its own step). Being singular and ancient is weak evidence of improbability: in Vermeij's list the excess of old singular innovations largely disappears when traits inherited together from one stem lineage are counted once. My judgement, labelled as judgement and not derived from these data, is 1 to 2 hard steps, with eukaryogenesis the best supported. The first-pass statement 'about 1 real hard step among 4, P(3 or more) = 0.06' is withdrawn.

(ii) Probability that a biosphere with complex animals produces a technological species within about a billion years. Not constrained by these data. Enlargement of relative brain size within mammals looks repeatable: three or four long-separate lineages are within a factor of 2 of humans, the maximum outside hominins rose about 15-fold over the Cenozoic, and every model run gives waits of a few million to about 200 million years for another lineage to reach the human value. That holds for relative brain size, less clearly for neuron number (no measured non-human count within a factor of 2), and only given that large-brained mammals already exist, which is not the conditioning the Fermi question needs. It is likely, as a judgement, that brain hardware of the human grade would recur on Earth within some hundreds of millions of years; I no longer attach a number such as 0.9 to that. The step from large brain to technology has an upper limit on its hazard and no lower limit. A prior centred near 0.5 is my choice; the data are equally compatible with values well below 0.1. On the question as posed, Earth supplies one number: about 540-600 million years from the first animals to technology, with no mammal within a factor of 3 of human relative brain size in this dataset before 18 million years ago.

Changes made after the referee report

Referee points not accepted

Code

Every number above is produced by these scripts from public data. The data tables themselves are not hosted here; the scripts download them.

build_innovations.py build_transcribed.py extract_data.py fetch_data.py part1_innovations.py part2_brains.py phylo.py plotstyle.py run_all.py

Referee report

A second, separate analysis re-ran the code, recomputed the main numbers by its own route and tried to break the result. Like the first, it was run by Claude for this project; it is not an outside expert. In its report “the analyst” is the first analysis, which wrote the paper, and file names that are not linked on this page are its own working files. The paper above is the version revised in response.

Verdict: sound with fixes. Results reproduced: yes.

Ran run_all.py in a scratch copy twice: offline against the analyst's raw files (76 s) and from a fresh download of all 18 scripted sources into an empty directory (57 s, no download failures). Both runs gave all 23 generated data tables byte-identical to the analyst's, and the four printed headline numbers match. Figures regenerate (PNG bytes differ; not chased). The Vermeij transcription matches the saved PMC tables row for row. Independent recomputation by my own scripts: Firth odds ratio 3.20 with profile-likelihood CI 1.20-9.82 (analyst: Wald 1.12-9.16); Fisher p 0.0048 and 0.00008; step vs gradient log-likelihood -38.4 vs -43.9; human EQ 6.41, top non-human 5.64, 9/25/100 species within x1.5/x2/x3 from the raw Burger CSV; envelope slope 0.0422 per Myr (0.037 rarefied to n=10 per epoch); land-mammal diffusion waits 10.5 and 28.6 Myr; Upham tree crown Cetacea 17.69 Ma confirmed with a second parser.

Strongest objection

Both quantitative results come from treating things as interchangeable that are not. Part 1 uses the singular fraction among minor Phanerozoic traits as the base rate for the major Precambrian transitions and counts co-inherited stem-lineage traits as independent trials. Part 2 uses EQ, a body-size-corrected ratio that small dolphins and monkeys reach partly by being small, as 'hominin-level brain hardware', and counts noisy species inside one family as independent origins; on neuron number no independent lineage is within a factor 2 of humans, and all candidates share one mammalian brain plan and one 66-Myr window (Lineweaver's point). The soft conclusion survives: singular innovations are concentrated early so singularity alone is weak evidence of improbability; plastid acquisition, complex multicellularity and land colonisation are repeated; large relative brains arose in three or four mammalian lineages; the data say nothing about the step to technology. The quantitative version does not survive: the 23% base rate, 'about 1 hard step among 4', '88%', '7-9 origins', '1-100 Myr', 'P(hardware) >= 0.9' and the lower bound of 0.1.

Errors found

Overclaims

Novelty check

Novel: partly. The age test and both cuts are Vermeij's (2006); the re-run with exact and penalised statistics is a clean replication and should be reported as one. The step-versus-gradient comparison, within-eon tests, recurrence-rate limits and base-rate calculation were not found in the literature, but two do not survive as findings and one is uninformative by construction. Classifying candidate steps by number of origins overlaps Bains & Schulze-Makuch (2016), which the analyst did not cite. Arguing from encephalization trends to repeatability overlaps Russell (1983), Rospars (2013) and Schwartzman & Middendorf (2011). Useful new elements in Part 2: the explicit split between EQ and neuron number with the factor-of-4 method disagreement, lineage counts by threshold, and the hindcast showing drift-free diffusion fails. The Upham-tree remark is confirmed for the 'completed' 5,911-species file only and should not be listed as a finding without checking the DNA-only tree.

Required changes