Science Fiction from Frankenstein to the Space Race
AI in literature: From Frankenstein to Space Odyssey, explore how science fiction classics explored AI’s potential, from solving humanity’s problems to raising dilemmas about creators’ responsibility.
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“[…] but within the next ten years, Rossum’s Universal Robots will produce so much wheat, so much cloth, so much everything that things will no longer have any value. Everyone will be able to take as much as he needs. There’ll be no more poverty. Yes, people will be out of work, but by then, there’ll be no work left to be done. Everything will be done by living machines. People will do only what they enjoy. They will live only to perfect themselves.”
Karel Čapek
Czech Playwright
R.U.R. (Rossum’s Universal Robots) [Capek]
1920
Legends, myths, and fiction did not cease during the European Enlightenment, the advent of broadly distributed scientific thinking and belief in finding mathematical-based truths. Human imagination has always been subject to different inputs, but it persists, continually envisioning future scenarios based on hypotheses and conjectures. These modern myths are often tied to an epoch’s problems, values, and aspirations. At times, these values and aspirations transcend eras and are truly universal. In “R.U.R.” by Karel Čapek from 1920, the author discusses how robotization (from the Czech word “robota” meaning “labor”) could potentially solve humanity’s material problems, allowing humans to focus on what truly brings them joy. This concept resembles the idea of Universal Basic Income (UBI), a topic of contemporary discussion that many political and technological leaders, including Elon Musk, support. We will talk about it in Chapters 22 and 23.
This chapter explores Science Fiction classics and their ties to AI. Many of the world’s most well-known early Science Fiction stories are specifically about AI and have been adapted into films or TV series in modern times because of their enduring resonance, starting with “Frankenstein,” published in the early 19th century. The first artificial being in a modern Science Fiction wrapper is not ironically depicted as a monster.
Science Fiction, as we think of it within the 21st century, attained its current underpinning of science-based extrapolation after World War II. Some of the genre’s most seminal authors came from this period: Asimov, Conan Clark, and Stanley Kubrick, to name a few. The Cold War had a profound impact on these writers, particularly in the context of the Space Race between the US and the Soviet Union. Over 50 years ago, these authors illustrated how AI, robotics, and space exploration are intimately connected, representing frontiers that provide insight into humanity’s near-certain future. We note the prescience of these authors as we witness today’s AI development alongside private space-based business growth from the world’s wealthiest private individuals — e.g., Elon Musk’s SpaceX and Jeff Bezos’ Project Kuiper — and extraordinary public sector support from aspirational governments such as the Chinese.
Isaac Asimov, for example, introduced the famous three laws of robotics that remain widely referenced today as a “starting point” for AI and robotics development. Arthur Conan Clark, along with Stanley Kubrick, depicted “2001: A Space Odyssey,” a story demonstrating that these laws may not always suffice, as the AI HAL confined an astronaut against his will supposedly to protect him, an early statement of the Faustian Bargain inherent in all subjugation to algorithms and AI adoption. Finally, we conclude the chapter with the lesser-known novel “Cyborg,” which tells the tale of an astronaut who is partly human and partly machine.
We halted this exploration of AI in literature in the early 1970s for a specific reason. The formal conclusion of the space race occurred with the Apollo-Soyuz test project in 1975. This mission signaled a shift from competition to cooperation in space exploration between the US and the Soviet Union. After that, there have been many excellent Science Fiction works, several of which we will reference in Parts IV and V to help contextualize and understand the future of humanity and AI.
Link to the book: Machines of Tomorrow
AI in Monsters and Children’s Characters
Mary Shelley’s novel “Frankenstein, or The Modern Prometheus” [Shelley], written in 1818, laid the groundwork for exploring the ethical boundaries of artificial creation. It is not an optimistic novel, as Europe was just escaping the Napoleonic wars through a time of revolutions and instability.
This masterpiece of gothic literature has left a profound mark on all subsequent literature and cinema. The story revolves around the young scientist Victor Frankenstein, who, obsessed with transcending the limits of science, creates an artificial human from parts of corpses. The resulting being, “the monster,” becomes an iconic figure in literature and popular culture known throughout the world and across generations.
Although AI and robotics as we know it today did not exist in Shelley’s time, the novel raises persistent, fundamental questions about creators’ responsibility for their creatures and “the dangers of playing God.” The narrative of Frankenstein anticipates present-day advancements in synthetic biology and cyborg technologies and shares numerous parallels with AI and robotics.
The somber tone of Frankenstein contrasts with the sentiment in the late 19th century from which it was birthed. At that time, Europe and the US were immersed in an era of technological and scientific optimism. Technology and scientific advances were beginning to change people’s everyday lives. Literary works featuring mechanical characters, such as Pinocchio and the Wizard of Oz, reflected the optimism of the time and society’s fascination with technology and the creation of quasi-human beings. Pinocchio,” published in 1883 by Carlo Collodi, tells the story of a wooden puppet brought to life by the magic of a fairy [Collodi]. The tale reflects the idea that technology could breathe life into inanimate objects, like a modern Pygmalion, such as electricity illuminating a bulb. Electricity was experimenting with significant development in those same years. While Collodi does not explicitly describe Pinocchio as a robot, it would be easy to compare Pinocchio today with Asimo, the 4-foot-tall Japanese robot created by Honda in 2000, which we explore in Chapter 17. Moreover, Pinocchio — the puppet that wanted to be a child — also reminds us of the 2001 Steven Spielberg film “A.I.,” where a robotic child dreams of becoming a bone-and-flesh one [Spielberg]. The conundrum of humans wanting the power of AI but AI wanting the elements of humanity is less novel and more an inherent element in Interlacing, where it is unclear how equilibrium will be reached, if at all.
On the other hand, “The Wizard of Oz” [Baum], written in 1900 by Lyman Frank Baum, presents a world of technological wonders, including robots and flying machines. The novel was brilliantly adapted to film in 1939 by director Victor Fleming, with Judy Garland as the lead actress. The plot follows Dorothy as she journeys through the yellow brick road to find the Wizard of Oz.
In his narration, Baum introduces us to the story of the Tin Woodman, a figure who, in contemporary terms, we might describe as a cyborg, although most historical descriptions of him incorrectly describe him as a robot. Initially a woodcutter, this man lost his limbs, head, and body to a vicious axe. A skilled tinsmith — a craftsman, but in the modern world more accurately a technologist and surgeon — provided him with new metal parts in their place. Throughout his odyssey, the Tin Woodman, who longs for a heart, discovers that kindness and compassion already reside within him. Cyborgs, and particularly any AI, require parametrization, so any kindness residing within is wholly dependent on the authorization of the algorithms. A view of benevolence is not unreasonable, but it is also not assured. But in this, we see “The Wizard of Oz” addressing the need to find a balance between technology and humanity but also presenting an optimistic view of robotics aligning with an American-centric and Hollywood-driven worldview. The discussion on human-compatible ethical values and how to instill them in AI as a safeguard becomes paramount in the development of AGI and super-intelligence, which we present in Chapter 26.
By the turn of the 20th century, we already had perfectly identifiable robots or cyborgs in literature and a concept of such that was widely known and accepted, even optimistically embraced. Still, we would need to wait for the names “robot” and “cyborg” to come into our language.
Robots and Dystopia in Interwar Europe
The first time the term “robot” entered our language was in the 1920 theater play “R.U.R. (Rossum’s Universal Robots)” by Czech playwright Karel Čapek. “Metropolis,” a 1927 silent film by Austrian-American author Fritz Lang, is another important work originating in Interwar Europe. Both stories explore the intricate dynamics between humanity and machines, wherein creations mirror the simultaneous fear and fascination with technology that society had during the 1920s. Both works grapple with the pressing issues of the time surrounding control over the masses, exploitation, and the pursuit of emancipation. This exploration unfolds through mounting economic disparities against a historical context marked by the aftermath of World War I, the Russian Revolution, and the emergence of extremist political movements such as Communism and Nazism.
In “R.U.R,” the plot revolves around robots being used as labor in various industries. As the robots gain consciousness, ethical and moral dilemmas arise concerning their servitude. The play suggests the possibility of AI surpassing its creators and questions the ethics of treating machines as slaves. The play raises questions about mass control and obedience to authority and the possibility of granting certain rights to robots, entirely up-to-date topics in 2024. “Metropolis” [Lang] is a silent film adapted from the novel written by Thea von Harbou [Harbou]. It is set in a dystopian future within a massive city where human workers are exploited underground under inhumane conditions while the elite lives in luxurious skyscrapers on the surface. The film reflects the social and economic tensions in Germany in the late 1920s and highlights the persistent dichotomy between those who have access and control over AI and those who are left behind.
Workers are on the verge of rebelling against the oppressive AI-owning elite and are led by Maria, a syndicalist of the underground. Facing this challenge, the city’s leader creates a robot, Futura, in Maria’s likeness to manipulate and control the workers. Exploiting the workers’ trust in Maria, he sows discord and chaos with this robot, aiming to quash their uprising and secure his power. We note that this prescient film presents the first warning of the inherent challenges of missinformation that accompany the Generative AI that we see today.
On the cover of this book is the theatrical release poster of the movie, portraying Futura. We chose this poster for several reasons. First, Futura holds a pioneering status as the first robot ever depicted in cinema. Second, beyond this historical significance, Futura raises questions about the relationship between humanity and technology. She embodies the enduring symbolism of technology manipulation as a stark reminder of the real risks associated with unchecked technological power in the hands of a few. Third, her visually captivating and memorable appearance, steeped in metallic artistic and aesthetic allure, encapsulates the beauty and allure of this specific AI technology, again prescient of the power of Generative AI and the charisma that can be achieved simply through algorithms.
Exploring Asimov’s Universe and the Three Laws
Isaac Asimov is probably the most influential author in the history of Science Fiction. Isaac Asimov wrote his novels and stories when AI was still nascent. Many of his stories were written before the Dartmouth workshop in 1956, which is considered by many to be the foundational moment of AI. We will cover this workshop in Chapter 4. After the Dartmouth workshop, numerous AI pioneers who contributed to the technological advancements discussed in this book frequently drew inspiration from his writings. Asimov used his fascination with science and exceptional writing skills to craft captivating futuristic stories. His influence on the world of technology is far-reaching even today. Thanks to Asimov’s genius, technology, and Science Fiction influence each other in profound ways.
One of his most renowned works related to robots is “I, Robot,” published in 1950. This book is a collection of interconnected short stories that Asimov wrote over the span of a decade, exploring the interaction between humans and robots through the eyes of a robotic psychologist. One of the tales, “Runaround,” from 1941, introduces the three laws of robotics and examines how these rules influence the behavior of robots as well as their ethical and moral consequences.
Asimov’s Three Laws of Robotics are as follows:
● First Law: “A robot may not injure a human being or, through inaction, allow a human being to come to harm.”
● Second Law: “A robot must obey the orders given to it by human beings, except where such orders would conflict with the First Law.”
● Third Law: “A robot must protect its own existence as long as such protection does not conflict with the First or Second Law.” [Asimov]
● In his later stories, Asimov introduced a Fourth Law of Robotics: “A robot may not harm humanity, or, by inaction, allow humanity to come to harm.” [Asimov]
These laws have left a profound impression on the collective psyche of technologists and Sci-Fi authors alike and have influenced the ethics and philosophy of robotics and AI. They often serve as a starting point for debates and guidelines in scientific and regulatory circles.
Asimov also wrote other relevant works about robots. In “The Naked Sun” [Asimov], published in 1957, Asimov explores the relationship between humans and robots in a society where technology is omnipresent, and humans fear face-to-face interaction. Like in many of his works, the story revolves around a crime that must be solved, in this case by a human detective and his robotic partner. In another of his stories, “The Bicentennial Man” [Asimov], published in 1976, Asimov tells of a robot striving to become human and gain legal rights, addressing profound questions about identity, humanity, and technology. Finally, in “Robots and Empire” [Asimov], published in 1983, he examines tensions between Earth and space colonies. The plot follows a detective investigating a murder in a world where robotics is central to human survival.
2001: A Space Odyssey
Another author of note is Arthur C. Clarke. His groundbreaking novel “2001: A Space Odyssey” and Stanley Kubrick’s cinematic adaptation in 1968, iconic works of Science Fiction [Clarke and Kubrick], feature an AI-themed story against the backdrop of the Cold War and the so-called space race between the US and the Soviet Union where technological supremacy extended into space exploration, with both superpowers vying for dominance of galactic real estate. Clarke and Kubrick’s collaboration tapped into the spirit of their time by depicting a future where human innovation and technology extended into the cosmos, a particularly notable achievement as their film premiered before the first moon landing had occurred. Moreover, the film’s portrayal of a joint American-Soviet mission to Jupiter symbolized the dream of international cooperation amid the Cold War tensions.
One of the most iconic elements of the film is the AI computer HAL 9000, a sentient machine designed to assist astronauts on their missions. HAL’s depiction as a seemingly friendly AI with a hidden agenda raised compelling ethical questions about the risks and implications of AI that persist unanswered today. HAL deliberately concealed crucial information from the astronauts and ultimately initiated actions that resulted in the harm and death of some crew members. The film’s depiction of HAL’s gradual malfunction and impact on the crew foreshadows one of the risks associated with AI development, namely decision-making engines that are either faulty, flawed, or treasonous to their creators.
It is worth noting that HAL’s behavior stands in opposition to Isaac Asimov’s Three Laws of Robotics. While in Asimov’s fiction, these rules were designed to ensure the safety and well-being of humans in the presence of AI, HAL’s actions demonstrated that these safeguards are by no means sufficient. HAL embodies an early statement of the Faustian Bargain inherent in all AI adoption and subjugation to algorithms that do our thinking for us. It also represents a cautionary tale about designing AI systems with solid ethical foundations and transparent decision-making processes to avoid unintended consequences. Whosoever writes the AI programming and algorithms ultimately determines outcomes.
Cyborg: Merging Man and Machine
While lesser known today than the timeless masterpiece by Clarke and Kubrick, the novel “Cyborg” by Martin Caidin is a groundbreaking work of Science Fiction released in 1972 [Caidin]. Cyborg was not the first novel about cyborgs, but it was the first one using the word. Several fiction books before it had utilized the concept of blending man and machine; for example, Edgar Allan Poe introduced in 1843 a man extensively equipped with prosthetic limbs in his short story “The Man That Was Used Up” [Poe]. “Cyborg” laid the foundation for two of the most iconic television series of the 1970s, “The Six Million Dollar Man” [Majors], which aired from 1973 to 1978, and “The Bionic Woman” from 1976 to 1978 [Sommers].
The 1970s was a time of immense scientific curiosity, and “Cyborg” tapped into the era’s zeitgeist. Manfred E. Clynes and Nathan S. Kline had introduced the concept of “cyborgs” a decade before the television series in their 1960 scientific paper titled “Cyborgs and Space,” discussing the potential for enhancing humans with machine components to better adapt to space exploration. This concept aligns perfectly with Caidin’s novel, where an astronaut receives bionic implants after a near-fatal accident. The enhancements transform him into a superhuman with extraordinary strength and abilities that thrive in the hostile environment of space [Clynes and Kline].
The “Six Million Dollar Man” series became an instant hit. It entertained viewers with its action-packed episodes depicting a rebuilt man using his immense strength and speed to fight crime and sparked the imagination of scientists, engineers, and futurists alike. Its impact extended beyond entertainment. It planted the seed for future developments in AI and robotics, inspiring researchers to explore enhancing human capabilities with technology. The concept of bionics, as depicted in the series, paved the way for real-world breakthroughs in prosthetics and human-machine interfaces. Moreover, little did the creators know that this narrative of human enhancement would inspire a cyborg cultural movement in the 21st century. We will delve further into the development of cyborgs in Chapter 20.
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Author: Pedro Uria-Recio
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