Civilization and the Rule of Law

We’ve talked about how the Star Trek-Star Wars divide reflects preferences for a more lawful or more chaotic world; how F&SF stories often show us a defense of civilization against chaos; and how civilization makes science possible and rests in turn on human technology.  But both order and technology can be oppressive.  The missing element is the rule of law.

Universal Laws

It’s a crucial element of right governance that there are rules applying to everyone, as opposed to the arbitrary wishes of a dictator, who can make decisions based on favoritism, political preferences, or personal relationships.  The Wikipedia article describes rule of law as “the legal principle that law should govern a nation, as opposed to being governed by decisions of individual government officials.”

Rule of Law pyramid

(Rule of Law Institute of Australia)

As we saw in The Good King, the concept of the rule of law goes back at least to Aristotle.  It became a central principle of the American founders via the English tradition of John Locke.  “Rule of law implies that every citizen is subject to the law, including lawmakers themselves” (Wikipedia again).  It is thus in tension with kingship, where rule is almost by definition arbitrary and personal.  But one can have mixed cases—kings who are bound by certain laws, as in the British constitutional monarchy.

Without the rule of law, we depend on the good behavior of those who have power of some sort—physical, military, economic.  We slide toward the “war of each against all,” where might makes right and the vulnerable are the pawns of the strong.  Autocracy soon follows, as people look for any means to find safety from those who are powerful but unscrupulous.  Hence the quotation from John Christian Falkenberg, which I’ve used before:  “The rule of law is the essence of freedom.”  (Jerry Pournelle, Prince of Mercenaries (New York:  Baen 1989), ch. 21, p. 254.)  Strength itself, a good thing, is only safe under laws.

Test Cases

It’s easy to miss the importance of the rule of law.  We’re typically born into a society with better or worse laws, and criticize them from the inside.  It’s less common to find ourselves in straits where lawfulness as such has collapsed.  Regrettably, sizable numbers of people are exposed to such conditions in the world today.  But many of us are fortunate enough not to see them ourselves.  As always, fantasy and science fiction provide useful “virtual laboratories” for examining the possibilities.

Tunnel in the Sky (audiobook) coverA classic SF case is where a group thrown into a “state of nature” attempts to set up a lawful society.  For example, in Heinlein’s Tunnel in the Sky (1955), students from a high-school class on survival techniques are given a final exam in which they are dropped onto an unspecified planet to survive for up to ten days.  When an astronomical accident leaves them stranded, they need to organize for the long term.  Rod Walker, the hero, becomes the leader-by-default of a growing group of young people.  The tension between this informal leadership and the question of forming an actual constitution—complete with committees, regulations, and power politics—makes up a central theme of the story.

David Brin’s post-apocalyptic novel The Postman (1985), later made into a 1997 movie with Kevin Costner, illustrates the power of civil order, the unstated practices of a culture, as recalling—and perhaps fostering—the rule of law.  The hero, a wanderer who happens to have appropriated a dead postman’s uniform and mail sack, presents himself as a mail carrier for the “Restored United States of America” to gain shelter in one of the isolated fortress-towns, ruled by petty tyrants, that remain.  His desperate imposture snowballs into a spreading movement in which people begin to believe in this fiction, and this belief puts them on the road toward rebuilding civilization.  The result is a sort of field-test not only of civil order and government, but of what Plato famously imagined as the “noble lie.”The Postman movie poster

Last time, I cited Niven & Pournelle’s Lucifer’s Hammer (1977), where a small community headed by a United States Senator hopes to serve as a nucleus for reconstructing civilization after a comet strike.  We see at the end the strong pull of personal rule or kingship:  as the Senator lies dying, the future of the community will be determined by which of the competing characters gains the personal trust and endorsement of the people—and the hand of the Senator’s daughter, a situation in which she herself recognizes the resurfacing of an atavistic criterion for rule.  Unstated, but perhaps implicit, is the nebulous idea that deciding in favor of scientific progress may also mean an eventual movement back toward an ideal of rule by laws, not by inherited power.

Seeking a Balance

The “laboratory” of F&SF is full of subversions, variations, and elaborations on the rule of law.  In particular, we should note the counter-trend previously discussed as “chaotic good.”  Laws can be stifling as well as liberating.

The Moon is a Harsh Mistress coverHeinlein’s The Moon Is A Harsh Mistress (1966) imagines how the “rational anarchy” of a lunar prison colony is mobilized to throw off autocratic rule.  The healthy chaos of the libertarian Loonies is hardly utopian, but the story does make it seem appealing.  Interestingly, Heinlein returned to this setting with a kind of critique twenty years later in The Cat Who Walks Through Walls (1985), where the post-revolution lunar anarchy seems much less benign, seen from an outsider’s perspective.

While fantasy seems to concern itself with this issue much less than science fiction, consider the region called the “Free Commots” in Lloyd Alexander’s Chronicles of Prydain.  When protagonist Taran visits this area in the fourth book (Taran Wanderer), he finds a society of independent villages, where the most prominent citizens are master-craftspeople.  They neither have nor need a lord to organize them.  The Commots contrast favorably to the feudal or wilderness regions through which Taran travels.  A kind of anarchic democracy, as an ideal, thus sneaks into what otherwise seems to be a traditional aristocratic high fantasy.Taran Wanderer book cover

One way of managing the tension between a government of laws and a culture of liberty is the principle of subsidiarity:  the notion that matters should be governed or controlled at the lowest possible organizational level where they can be properly handled.  It’s frequently illustrated in G.K. Chesterton’s ardent defenses of localism.  In The Napoleon of Notting Hill (1904), extreme localism is played for laughs—“half fun and full earnest,” to borrow Andrew Greeley’s phrase.  The more mature Tales of the Long Bow (1924), which might qualify as a sort of proto-steampunk story, treats the idea more seriously, in the form of an oddly high-tech (for 1924) revolt of local liberty against overweening and arbitrary national rule.

The Fragility of Civilization

When we grow up taking for granted the rule of law, we can fail to see how vulnerable it is—along with the civilization that it reflects and makes possible.

“The Establishment,” as they used to say in the 1960s, seems vast and invulnerable.  When we’re trying to make a change, it seems insuperable, so rigid that nothing can be done about it.  But this is an illusion.  The structure of civilization, good and bad, is fragile.  It’s easier than we think to throw away the rule of law, so painfully constructed (as Rod Walker found), in favor of shortcuts or easy answers to our problems.

One thing F&SF have brought us is a better sense of this vulnerability.  The spate of post-apocalyptic tales in recent years—zombie apocalypses, worldwide disasters, future dystopias like The Hunger Games, going all the way back to the nuclear-war stories of the 1950s—do help us appreciate that our civilization can go away.

But that collapse doesn’t require a disaster.  Civilization, and the rule of law, can erode gradually, insidiously, as in the “Long Night” stories we talked about earlier.

Historically, the Sixties counterculture fostered anarchists who felt “the Establishment” was invulnerable.  Often with the best of intentions, they did more to undermine civil order than they expected.  Those who now see no better aim than breaking up the structures of democratic government and civil life—whether from the side of government, or from the grass roots—also fray the fabric of civilization.  The extrapolations of science fiction and fantasy illustrate why eroding the rule of law should not be taken lightly.

Near the bottom of David Brin’s Web home page, he places the following:

I am a member of a civilization

It’s good that we have a rambunctious society, filled with opinionated individualists. Serenity is nice, but serenity alone never brought progress. Hermits don’t solve problems. The adversarial process helps us to improve as individuals and as a culture. Criticism is the only known antidote to error — elites shunned it and spread ruin across history. We do each other a favor (though not always appreciated) by helping find each others’ mistakes.

And yet — we’d all be happier, better off and more resilient if each of us were to now and then say:

“I am a member of a civilization.” (IAAMOAC)

Step back from anger. Study how awful our ancestors had it, yet they struggled to get you here. Repay them by appreciating the civilization you inherited.

It’s incumbent on all of us to cherish and defend the rule of law.  Give up civilization lightly, and we may not have the choice again.

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Star Trek vs. Star Wars

Hatfields and McCoys, Marvel and DC, Star Trek and Star Wars.  One never knows how seriously to take these deadly rivalries.  Personally, I like both of the science-fiction series, so I see the Trek-Wars wars more as a difference in tastes.  Sometimes you feel like a hamburger, sometimes a pizza.

The particular difference I see in SW and ST has to do with their atmospheres or sensibilities.

Good Order

Star Trek TOS bridge crewThe Star Trek universe—I’m focusing especially on the original series (“TOS”) and movies here—is civilized.  There are plenty of things that go wrong, and going where no one has gone before frequently brings us into situations of conflict.  But the Federation itself is organized and mostly decent.  There’s an actual chain of command.  Authority figures are typically respected.

That’s the first approximation.  To be sure, Captain Kirk and his successors don’t mind defying Starfleet orders now and then.  But when Our Heroes turn out to be right, they’re back on amicable terms with their superiors in short order.  At the end of Star Trek IV:  The Voyage Home, Admiral Kirk, after stealing and destroying the Enterprise (among other things), is demoted to Captain again as his “punishment.”  But everyone understands this as simply restoring him to the role he prefers and serves so well.

There’s enough divergence among Starfleet personnel to make the stories interesting, but actual villains in the corps are relatively rare.  Starfleet and the Federation are the orderly defenders of liberty and individual (in our parochial world we say “human”) rights.  That Gene Roddenberry optimism is embedded in the show’s DNA.

Fruitful Disorder

In Star Wars, it’s the villainous Vader who wants to “bring order to the galaxy” (as he says around 1:38 in this clip), and it’s the motley, disorganized rebels who fight for freedom.  Our Heroes are rebels who defy the authorities.  Their chain of command is informal, and pretty much anyone, even the carefree Han Solo, can become a general.

Though the swashbuckling, colorful Star Wars universe may seem lighthearted, it’s actually a rather distressing place.  The nearest outpost of civilization to Luke’s uncle and aunt’s farm is Mos Eisley, a “wretched hive of scum and villainy.”  Slavery has flourished on Tatooine from a generation ago (little Anakin) to Luke’s era (Jabba’s servitors)—and apparently neither the Empire nor the old Republic did anything to stop it.  Intelligent droids are second-class citizens.  In the latter days of the Republic, trade combines were permitted to conduct outright warfare against whole planets (Phantom Menace), with no more than tardy, ineffective intervention by the Jedi Knights.  It seems a much less comfortable universe to live in than Star Trek’s Federation.  Both have their flaws, but the Star Wars ’verse seems much more unstable—if colorfully so.

Star Trek composite posterThere’s nothing wrong with this as a story setting.  A varied world full of dangers makes for more exciting stories than a placid utopia.  But the Star Wars setting calls out to a different kind of fan than that of the Trekkies.

Vader’s desire for order actually has good character-based reasons—one of the things the prequel trilogy got right.  In a world where you’ve been held as a slave, your mother has been tortured to death by barbarians, and your beloved is menaced by assassins at every turn, a desire for law and order is extremely understandable.  But it’s the lively Rebels with whom the viewer’s sympathies lie.  In this democratic milieu, quirky individuals and inspired improvisation flourish.

Both the SW and ST approaches represent ’60s sensibilities, but one is slightly later than the other.  Roddenberry’s Star Trek expresses the firm American optimism of the Kennedy era (1960-1963); it isn’t accidental that in the follow-up movies, Roddenberry kept wanting to tell a story about time-traveling to meet JFK.  Star Wars, on the other hand, evokes the counterculture of the late ’60s, which distrusted authority and prized rebellion—not to mention colorful chaos.

The Abrams Factor

It’s instructive to see how J.J. Abrams handled the two, since he has had the opportunity to reboot both Star Trek and Star Wars franchises.  My sense is that he’s handled SW much better than ST.  Abrams’ Star Trek movies show us a distinctly grittier, more chaotic world than Roddenberry’s.  It is, in fact, more like the Star Wars universe.  And I don’t think I’m alone in feeling that, entertaining as Abrams’ ST movies may be, he doesn’t quite “get” what Star Trek is about.  His Star Wars continuation, The Force Awakens, however, is to my mind an excellent (if not flawless) extension of the SW universe.

In other words, making Star Wars more like Star Wars is a good thing, right up to the point where it begins to get slightly repetitious.  Making Star Trek more like Star Wars runs the risk of losing the very things that makes Roddenberry’s creation distinctive.  Both are good things; but they’re not good in quite the same way.

Alignment

One of the interesting things about the Dungeons & Dragons (D&D) game system is the notion of alignment.  D&D is built on ideas from a whole range of fantasy stories.  Many of those stories involve a conflict between good and evil.  Some, however, make the central conflict one of law vs. chaos.  D&D’s creators took the surprising step of adopting both oppositions, but keeping them distinct.  The result is a three-by-three, nine-cell matrix.  A character’s personality and ethical stance can be lawful good or chaotic good, or straddle the two as neutral good.  The being can also be lawful or chaotic evil—the evil of 1984 or of Beowulf, let’s say—or an intermediate neutral evil.  Finally, someone can be lawful neutral (think an OCD personality), chaotic neutral (low impulse control), or “true neutral” double-neutral (an unprincipled pragmatist, perhaps).  The range of combinations allows for shorthand expression of quite an array of character types.Nine alignments example, F&SF

I wouldn’t necessarily buy into this particular classification of famous fictional characters . . . but it gives us an idea how the alignment scheme works in practice.

The alignment chart also yields a neat way to encapsulate the ST/SW difference we’re examining.  Star Trek honors the lawful good:  the interstellar police force, the scientific explorer, the careful defender.  Star Wars admires the chaotic good:  the lovable rogue, the solitary guru, the loosely organized band of allies.

Political theory

Pournelle political axes chartHere’s yet another way to put it.  Science fiction writer Jerry Pournelle, whose doctorate is in political science, laid out in 1963 a map of political “alignments” with two axes, producing a far more useful classification of positions than the usual left-right continuum.  (Pournelle’s 1986 essay provides a detailed explanation.)  The two dimensions in Pournelle’s scheme are “attitude toward the state” (from state as evil to state worship), and “attitude toward planned social progress” (from rationalism to irrationalism).

If we think of these axes as applying to the character of a culture, not necessarily to politics per se, we can express the ST/SW divide in Pournellean terms.  I’d put TOS-era Star Trek somewhere around 3/4’ or 3.5/4’ on the chart, believing pretty strongly in reason and ambivalent about state power.  Star Wars, by contrast, seems to live in the 2/2’ region, not far from the “American ‘Counter Culture’” to which I compared its ambiance above.  Each milieu will tend to attract viewers who are sympathetic to the points of view expressed in its neighborhood on the grid.

Civilization

What it comes down to, I think, is whether we see the best conditions for free and fruitful lives primarily in order or in disorder.  Both are arguably necessary.  But is what’s best for people a basically orderly society with a healthy modicum of chaos; or a wild-and-crazy culture with just enough organization to hang together?

The Star Trek/Star Wars contrast thus leads us up to the question of what makes for a good society, a true civilization.  There’s a good deal more to be said about this, and I’ll take another crack at it next time.

The Good King

I began to wonder some years back about the curious preference for monarchy in futuristic settings.  In the world at large, monarchies have been retreating in favor of republics and democracies, at least in theory, since 1776.  Why are SF writers so fond of equipping future societies with kings, emperors, and aristocracies?

Star Kingdoms

We can pass lightly over the old-time, pulp-type stories where royal rule is merely part of the local color:  Burroughs’ A Princess of Mars (1912), Edmond Hamilton’s The Star Kings (1949), E.E. Smith’s The Skylark of Space (1928) with its Osnomian royal families.  Here, like flashing swords and exotic costumes, monarchy is simply part of a deliberately anachronistic setting.  Similarly in high fantasy, where aristocracy comes naturally in the typical pseudo-medieval milieu.

But we see royal or aristocratic governments in more modern stories too.  Asimov’s Foundation stories are centered around a Galactic Empire.  (Since that series was based on Gibbons’ The History of the Decline and Fall of the Roman Empire, an Empire was inevitable.)  Similarly in Star Wars, which draws heavily on Asimov.  Jerry Pournelle’s CoDominium future history has a First and a Second “Empire of Man.”  David Weber’s heroine Honor Harrington serves the “Star Kingdom of Manticore” (later “Star Empire”), modeled closely on England around 1810.  Lois McMaster Bujold’s Vorkosigan Saga contains a number of polities with different forms of government, but many of the stories focus on Barrayar, which has an Emperor.  Anne McCaffrey’s popular Pern series has no monarch, but has two parallel aristocracies (the feudal Holders and the meritocratic dragonriders).  It got to the point where I began to feel a decided preference for avoiding monarchical or imperial governments in SF storytelling.

The Lure of Kingship

Aragorn with crownThere’s something that attracts us in royalty—or we wouldn’t see so much of it.  I encountered this puzzlement directly.  As a kid reading The Lord of the Rings, I was as moved as anyone by the return of the true King.  I asked myself why.  If I don’t even approve of kingship in theory, why am I cheering for Aragorn?

The reasons we’re drawn to monarchy seem to include—

  • Kings are colorful. (So are princesses.)
  • Stability
  • Personal loyalty
  • Individual agency

The first point is obvious, but the others are worth examining.

Stability

It’s been pointed out that even in a constitutional government, a monarch provides a symbolic continuity that may help to hold a nation together.  British prime ministers may come and go, but Queen Elizabeth is always there.  (Literally, at least within my lifetime.)  This gives some plausibility to the idea of a future society’s returning to monarchy.

Something like this stabilizing function is behind commoner Kevin Renner’s half-embarrassed harangue to Captain Rod Blaine, future Marquis of Crucis, in Niven & Pournelle’s The Mote in God’s Eye:  “maybe back home we’re not so thick on Imperialism as you are in the Capital, but part of that’s because we trust you aristocrats to run the show.  We do our part, and we expect you characters with all the privileges to do yours!”  (ch. 40)

Unfortunately, relying on the noblesse oblige of the aristocrats doesn’t always work out well.  It depends on who they are.  For every Imperial Britain, there’s a North Korea.  When the hereditary succession breaks down, you get a War of the Roses or Game of Thrones.

Too much depends on getting the right monarch.  By the law of averages, it doesn’t take long before you get a bad ruler, whether by inheritance or by “right of conquest”—and you’re up the well-known creek.

Personal Loyalty

Personal loyalty appeals to us more strongly than loyalty to an institution.  One can pledge allegiance to a state—but even the American Pledge of Allegiance starts with a symbol:  the flag, and then “the Republic for which it stands.”  Loyalty to an individual moves us more easily.

This kind of loyalty doesn’t have to be to a monarch.  Niven & Pournelle’s Oath of Fealty explores how loyalty among, and to, a trusted group of managers can form a stronger bond than the mere institutional connections of a typical modern bureaucracy.  One can be faithful to family (the root of the hereditary element in kingship), to friends, or even an institution or a people.  But it’s easiest with an individual.  This loyalty is the basis for the stability factor above.

Individual Agency

The vast machinery of modern government sometimes seems to operate entirely in the abstract, without real people involved.  “Washington said today . . .”

In fact it’s always people who are acting.  But it’s easier to visualize this when you have a single person to focus on.  “When Grant advanced toward Richmond . . .”  In the extreme case, we have the ruler who claims to embody the state in his own person:  “L’état, c’est moi” (attributed to Louis XIV, the “Sun King” of France).

In a fascinating 2008 essay, Jo Walton quotes Bujold on political themes in SF:  “In fact, if romances are fantasies of love, and mysteries are fantasies of justice, I would now describe much SF as fantasies of political agency.”  A science fiction character is frequently involved in effecting a revolution, facing down a potential dictator, or establishing a new order—exercising autonomous power.  Walton links this notion of political agency to the fact that SF illustrates change:  “SF is the literature of changing the world.”  The world-changers can be outsiders, or they can be the rulers themselves—as in a number of the examples above.

It’s not surprising that we’re attracted to characters who act outside the normal rules.  We (especially Americans, perhaps) are fond of the idea that good people can act in ways that are untrammeled by the usual conventions.  I’ve already mentioned Robin Hood.  And the whole concept of the superhero—the uniquely powerful vigilante who can be relied on to act for the good—is powered by this attraction.

But this idealization of individual initiative is also dangerous.  Too much depends on getting the right hero—or the right monarch.  It can only work if the independent agent is seriously and reliably good:  virtuous, in the classical sense of virtue as a well-directed “habit” or fixed character trait.  Even then, we may be reluctant to give any hero unlimited power.  Too much is at stake if it goes wrong.

The Rule of Law

Our admiration for the powerful ruler is always in tension with our dedication to the rule of law:  “a government of laws, not of men,” in the well-known phrase attributed to John Adams.  We can see this as far back as Aristotle:  “law should rule rather than any single one of the citizens.  And following this same line of reasoning . . . even if it is better that certain persons rule, these persons should be appointed as guardians of the laws and as their servants.”  (Politics book III, ch. 16, 1287a)

No human being can be trusted with absolute authority.  This is the kernel of truth in the aphorism that “power tends to corrupt and absolute power corrupts absolutely.”  But we can’t get along without entrusting some power to someone.  When we do, it had better be someone who’s as trustworthy as possible.

The Ideal of the Good King

Thus the true king must be a virtuous person—a person of real excellence.  This is the ideal of an Aragorn or a King Arthur, whose return we’re moved to applaud (even against our better judgment).  (It should be obvious that the same principles apply to the good queen—or emperor, empress, princess, prince:  the leader we follow.  But I’ll continue using “king” for simplicity’s sake.)

What virtues do we look for in a good monarch—aside from the obvious ones of justice, wisdom, courage, self-control?

If the ruler or rulers are going to be “servants of the laws,” they require humility.  A king who serves the law can’t claim to be its master.  Arrogance and hubris are fatal flaws in a ruler.  For example, we should always beware of the leader who claims he can do everything himself and is unable to work with others.

The good king is also selfless—seeking the common good of the people, not his own.  Self-aggrandizement is another fatal flaw.

In effect, what we’re looking for is a ruler who doesn’t want to rule:  a king who believes in the sovereignty and the excellence of common people.

Aragorn defers to FrodoIt’s significant that Aragorn, our model of the good king, is introduced in LotR as “Strider,” a scruffy stranger smoking in a corner of a common inn.  Even when he’s crowned in victory, he remembers to exalt the humble.  The movie has him tell the four hobbits, “You kneel to no one.”  Tolkien’s text is more ceremonious:  “And then to Sam’s surprise and utter confusion he bowed his knee before them; and taking them by the hand . . . he led them to the throne, and setting them upon it, he turned . . . and spoke, so that his voice rang over all the host, crying:  ‘Praise them with great praise!’”  (Book VI, ch. 4, p. 232)

We see the same essential humility and selflessness in other admirable leaders, kings or not:  Taran in the Chronicles of Prydain, and the revolutionary princess in Lloyd Alexander’s Westmark trilogy; Niven & Pournelle’s Rod Blaine; Jack Ryan in Tom Clancy’s novels; “Dev” Logan, head of Omnitopia Inc. in Diane Duane’s Omnitopia Dawn—the unpretentious opposite of the “imperial CEO.”  America was fortunate enough to have such an example in the pivotal position of first President, George Washington.

The Alternative

At the other end of the spectrum, the most dangerous person to trust is an unprincipled and unscrupulous autocrat—someone convinced of his personal superiority and infallibility.  Giving power to an individual who has no interest in serving the common good, but only in self-aggrandizement, puts a nation in subjection to a Putin, a Mussolini, a Kim Jong-un.

The antithesis of the good king is the tyrant, who, however innocently he may start out, figures in our stories mainly as the oppressor to be overthrown.  It’s much better, if possible, to intercept such a potentially ruinous ruler before the tyranny comes into effect:  Senator Palpatine before he becomes Emperor, Nehemiah Scudder before he wins his first election.  Allowing the tyrant to gain power may make for good stories, but it generates very bad politics.

If we must have strong leaders, then in real life as well as in stories, character is key—and hubris is deadly.

How to Stage an Alien Invasion

We love our alien invasions.  Since The War of the Worlds (1897), poor Earth has suffered a steady stream of hostile arrivals—frequently from Mars, but recently from farther afield, as the possibility of other intelligent life in our solar system wanes.

We have one coming up this month, with the June 24 movie premiere of Independence Day:  Resurgence, a sequel to one of the more successful invasions of the last twenty years.  It seems like a good time to look closely at our opponents.

Footfall, a 1985 novel by Larry Niven & Jerry Pournelle (still available in print), is not only a great yarn, but a textbook model of how to write a modern invasion story.  We can look at it as a test case, like an existence proof in mathematics:  What kinds of conditions have to be fulfilled for a believable alien invasion, given what we now know about other planets?

 

Let’s define the target.  We’re talking about the good old classic invasion story, where the bad guys show up in person, make a direct assault, and we beat them.  That isn’t the only possibility.  There are other variants, such as infiltration, or scenarios where the Earthlings lose and end up a subject species.  But let’s look at what premises make a triumphant Independence Day-style plot viable.

 

It was easy for Wells.  His relatively nearby Martians could fire off a series of cannon shells, more or less, to land on Earth, break out their tripods, and mount their campaign.  Wells’ tour de force ending, of course, has the Martians beaten not by human opposition, but by humble bacteria.  (Arguably the best moment in the original Independence Day is when Jeff Goldblum realizes we can best the enemy by using a contemporary analogue of the Wellsian microbes—a computer virus.)

But modern invaders have to come from a greater distance.  Regrettably, none of the plausible abodes of life in the solar system have panned out.  Gone are old-time SF’s sweltering jungles of Venus, the canal-crossed deserts of John Carter’s Mars.  Until we’re ready for an attack by potential microbes from Europa, or hypothetical floating denizens of Jupiter’s atmosphere—neither of which, if they exist, have shown any signs of capability for interplanetary excursions—we have to look to interstellar sparring partners for a really good invasion.

This intensifies a long-standing problem with invasion stories.  If they got here, and across the interstellar gulfs at that, their technology must be literally light-years ahead of ours.  How can we expect to beat critters with such vastly advanced technology?  The balance of power is inherently skewed against us.

Paired with this is the question of motivation.  Why are they here?  What do the invaders want that would drive them to come all the way to Earth for it?

This is the easiest place for invasion stories that aren’t built on sound science to go astray.  We need only mention the 1983 TV mini-series “V,” which, though it had many admirable aspects, fell sadly short on the science side.  V gives not one, but two, implausible motives for the seemingly-benevolent Visitors.  They’re here to steal Earth’s water—as if there weren’t vast amounts of ice scattered around our solar system, and probably most other systems, for the taking.  And they’re here to eat us; apparently not only are humans compatible with a completely alien biology, but we’re a tastier treat than more edible and obtainable animals.  Sensible extraterrestrials need a better reason to traipse across the light-years than a local hamburger shortage.

 

Niven & Pournelle’s epic adventure handles both these questions so beautifully that it might have been plotted specifically to answer them.

Our not-quite-friendly visitors, the fithp (the singular is fi’), arrive in a large interstellar vessel, which launches smaller ships to conduct the attack.  Why are they here?  They’re looking for Lebensraum — living space.  The fithp have been exiled from their homeworld as the result of a conflict among factions—like the Protectors in Niven’s novel Protector.  They need a new place to live.  Among other things, this means “defeat is not an option”:  they can’t go back.  That ups the stakes.

But this exile premise also solves some of the balance-of-power problems.  The fithp’s resources are strictly limited.  There won’t be any reinforcements.  They can’t bring anything more from their homeworld.  All we have to do is defeat this batch of opponents, and we win.

Niven & Pournelle strengthen this limitation on the aliens, and incidentally increase scientific plausibility, by making their mother ship Message Bearer a slower-than-light vessel — a Bussard ramjet.  Their journey takes decades.  This distances the fithp even further from any potential homeworld support.  The authors also use it to introduce another twist:  there’s dissension between the space-born fithp, on one hand, and those who lived on their homeworld and are now awakened from suspended animation, on the other.  This division becomes important as the plot develops.

Without having to account for faster-than-light travel, Niven & Pournelle can give the fithp technology that isn’t too far ahead of our own.  Human numbers—and political, psychological, social characteristics—can make up for the technological imbalance.

In addition, the fithp don’t fully understand their own technology.  They’ve learned a lot of it from records left by their Predecessors, rather than developing the science themselves. This makes them less able to innovate.  By contrast, the humans’ response is a masterpiece of improvisation.  We make the best of what we have.  This, too, helps even the scales.  (Lesson for humans:  Continue fostering that STEM education.)

 

In the course of this worldbuilding, Niven & Pournelle give us fully fleshed-out aliens, with a coherent culture and society, understandable but different from our own — not an easy task.  Among other things, the fithp are sympathetic characters.  They are people, not just faceless attackers.  We see events from their viewpoints as well as our own.  This makes the story not only more believable, but more interesting.

 

The original Independence Day scores modestly on these two plausibility counts.  Motivation:  The aliens travel the stars like locusts, stripping planets of their resources.  No details are given, but the basic idea is not unreasonable, particularly in light of contemporary environmental concerns.  Balance of power:  We’re hopelessly behind in technology—but the aliens’ laziness (using our own satellites for signaling), Goldblum’s bright idea, and a captured alien ship get us (barely) over the hump of the willing suspension of disbelief.

We’ll see shortly how these premises play out in the Independence Day sequel—applying the Niven & Pournelle standard.