Third Foundation

October 7, 2021 / Rick Ellrod / 3 Comments

I finally caved and subscribed to yet another streaming service, Apple TV+. I couldn’t resist the need to see what the new TV series would make of Isaac Asimov’s classic SF Foundation stories.

Although the book series is on the order of eighty years old, the TV series is just getting started, so I need to issue a

Asimov’s Appeal

I grew up reading the Foundation series; it was always a favorite of mine. Asimov took his premise from Gibbon’s History of the Rise and Fall of the Roman Empire (1776-1789), with a science-fictional twist.

A twelve thousand-year-old empire rules the galaxy; but Hari Seldon, inventor of a new science of “psychohistory” that statistically predicts the aggregate actions of human masses (as distinct from the acts of individual persons), realizes that the Empire is headed for an inevitable collapse. Thirty thousand years of chaos and barbarism will follow. But, while Seldon concludes the fall cannot be stopped, he does see a way to shorten the period of darkness. He establishes two “Foundations” from which civilization may be restored more quickly—in a mere thousand years. Seldon’s mathematics allows him to arrange things in such a way that the Seldon Plan will inevitably prevail—at least to a very high order of probability.

A few years ago I discussed the Seldon Plan in a post on “Prophecy and the Plan” (2018). For a more detailed description, and one reader’s take on the novels, see Ben Gierhart’s 10/6/2021 article on Tor.

The original three books consist of a series of short stories taking place over about four hundred years. There are some overlapping characters, but no character persists through the whole time period. Part of the attraction of the series is the sweep of history over many lifetimes, giving a sense of scope and gravity to the combined stories. Some of it comes from the age-old appeal of the fated outcome: we know the Plan will prevail, but how? And from the midpoint of the series on, a different question takes over: if through a low-probability turn of events the Plan is in danger of failing, can it be preserved?

We do want it to be preserved, even though the (First) Foundation is composed of fallible and all-too-human people; because the great overarching goal of the Plan is the preservation of civilization in the face of barbarism. I’ve noted before that this is a compelling theme.

Most of the original stories were first published individually in the SF magazines, and later collected into the aforementioned three volumes—Foundation, Foundation and Empire, and Second Foundation (1951-1953). Then things got complicated. In 1981, Asimov “was persuaded by his publishers” (according to Wikipedia) to add a fourth book, Foundation’s Edge. Several more followed, in the course of which Asimov tied in the Foundation series with his other great series, the positronic robot stories. The new additions in some ways sought to resolve issues in the original trilogy, and in others tended to undermine the originals. After Asimov’s death, three other celebrated authors—Gregory Benford, Greg Bear, and David Brin—were recruited to write three more Foundation books. In the last volume of this new trilogy, Brin manages to pull off a brilliant resolution of the whole series. But even that conclusion didn’t stop the flow of further related tales.

And now, as if things weren’t already confusing enough . . .

Apple’s Augmentation

A screen adaptation of the series was announced in 2017, and Apple picked it up in 2018. Asimov’s daughter, Robyn Asimov, serves as one of the executive producers. The principal writer, David S. Goyer, foresees eighty episodes—none too many for such a vast saga.

The trailers (such as this one) made it clear that the look and feel of the TV series would be rather different from those of Asimov’s cerebral books. That’s not necessarily a bad thing. The original tales have become dated in both content and style. The question is, can Apple preserve what’s appealing in the original stories, while bringing them to life for a modern audience?

We’ve now seen three episodes (the fourth premieres tomorrow). That’s not enough to allow for a full evaluation of the series, of course. But it’s fun to try and guess where it’s going and report on how it’s doing, even at this early stage. If nothing else, there’s the entertainment value, later on, of seeing how wildly inaccurate my take on the story may turn out to be. So let’s see how the adaptation stands as of the third Foundation episode.

Emperors Demand Attention

*Gaal Dornick, reimagined for Apple, with the Prime Radiant*

As of Episode 2, I was favorably impressed. Scores of details had been changed from the books, but often in interesting ways. For example, Asimov’s cast of characters tended to be almost all-male—although the latter half of the series did include two distinctive female characters with strong agency, Bayta Darell and her descendant Arkady Darell. The TV series diversifies the cast considerably. Seldon’s protegé Gaal Dornick is now a black woman. So is Salvor Hardin, the first Mayor of Terminus and leader of the Foundation. The technology and culture of the Empire looks pretty convincing on-screen, though it doesn’t exactly track Asimov’s descriptions. Goyer & co. introduce some up-to-date speculative ideas, such as the notion that the succession of Galactic Emperors at this time is a series of clones—though there’s no obvious reason for that last, other than to modernize the hypothetical science a bit.

The third episode, though, seems to veer away from Asimov’s basic underlying concepts. However interesting Goyer’s repeating Emperors might be, I expected us to shift away from them as the Foundation itself took center stage. But Episode 3 continued to focus a great deal of attention on the Emperors. This seems to run counter to the underlying theme that the Empire fades away as other players become ascendant on the galactic scene. I don’t know why we’re still spending so much time on the Emperors, unless they’re going to play a larger continuing role than the books would suggest—which makes me wonder what else is happening to the plotline.

Science and Mysticism

Asimov’s story, while engrossing, was essentially rationalistic. Historical events had logical explanations (generally laid out explicitly by the characters after the crisis had passed). Science, whether technological or psychological, was a dominant theme. And the key to the whole Seldon Plan concept was that the course of history is determined by economic, cultural, and sociological forces, rather than by any individual’s actions. One might agree or disagree with that premise, but it was the (I can’t believe I’m saying this) foundation of the whole original series—even though Asimov himself found a way around what might have become a stultifying predictability with the unforeseen character of the Mule.

The video adaptation points up a number of elements with a more mystical quality. The Time Vault, which in the books is merely a recording of speeches about historical crisis points by the long-dead Seldon, in the TV series is an ominous pointed object hovering unsupported over the landscape of Terminus; we haven’t yet seen what it does. The “Prime Radiant,” a sort of holographic projector containing the details of the Plan, is presented as a unique and numinous object—though that is, to be sure, a genuine Asimov detail, albeit in a different context.

More significantly, Salvor Hardin, a likeable if devious political schemer in the original stories, here appears to be the “Warden” of the Vault, a sort of Obi-Wan Kenobi figure who lurks in the desert. In Episode 3 we see her set apart even as a child; as an adult, she’s the only person who can pass through the protective field around the Vault that repels all others. One character even suggests that she may have been somehow included in the Plan.

Now, this invocation of the “Chosen One” trope is directly antithetical to the notion that history is shaped by statistical aggregates and social forces. Seldon’s Plan, by its nature, cannot depend on the unique actions of individuals. Even when Asimov introduces the Mule as a mutant with mental powers that can change the large-scale behavior of human populations, that’s presented as disrupting the Plan, ruining Seldon’s statistical predictions. To have personal qualities written into the Plan itself would undercut the whole idea. Thus, at the end of Episode 3, I’m wondering whether the TV series is going to carry through the basic Asimovian premise at all.

The Expanded Universe

The sequels to the original trilogy, first by Asimov himself and then by others, took the book series off in somewhat different directions. I’d been wondering whether the TV series would incorporate the whole “Robots and Empire” connection, or stick to the earlier structure. To that question, at least, we seem to have an answer.

A recurring character in the first three episodes is a woman, an advisor to the Emperors, who turns out in one scene to be a robot. I hadn’t caught her name at first, and had to look it up in the cast list. She turns out to be Eto Demerzel (male in the books), who is really the very long-lived robot R. Daneel Olivaw, operating under an alias. Daneel is one of my favorite characters in the early robot novels The Caves of Steel and The Naked Sun. In Asimov’s later stories he assumes a much greater importance in shaping the whole course of galactic history.

So it appears that Goyer’s version of the Empire’s history does incorporate Asimov’s later expansion of the Foundation universe, at least to that extent. It will be fascinating to see how far the writers take that connection—in particular, whether the “second trilogy” contributions of the “Killer Bs” (Benford, Bear, Brin) also figure into the plot. We’re not likely to see those ultimate developments for years (in real time), though, if the eighty-episode prediction is accurate.

Not A Conclusion

We’re still very early in the development of the Foundation video series. Tomorrow’s episode might overturn half my speculations here and send us off in an entirely different direction. But in the meantime, it’s fun to go over what we’ve seen so far and where it seems to be going—even if the secret plans of the screenwriters are as mysterious to us as the Seldon Plan is to the Foundation itself.

Portraying the Transhuman Character

March 22, 2020 / Rick Ellrod / 7 Comments

More Than Human

Kevin Wade Johnson’s comments on my recent post about The Good Place raised a couple of issues worth a closer look. Here’s one:

Lots of science fiction, and some fantasy, deals with characters who are greater, or more intelligent, or more gifted in some way, than mere humans. But we the authors and readers are mere humans. How do we go about showing a character who’s supposed to be more sublime than we can imagine?

It’s one thing to have characters whose capabilities are beyond us. Superman can leap tall buildings with a single bound; I can’t. But I can easily comprehend Superman’s doing so. (I can even see it at the movies.) On the other hand, if a character is supposed to be so intelligent I can’t grasp their reasoning, or has types of knowledge that are beyond me, that’s harder to represent. I can simply say so: “Thorson had an intelligence far beyond that of ordinary men.” But how can I show it?

Long-Lived Experience

There are a number of ways this can come up. For example, if a character lived a very long time, would their accumulated experience allow for capabilities, or logical leaps in thinking, beyond what we can learn in our short lives?

I’m thinking of a Larry Niven story—I’m blanking on the name: maybe one of the “Gil the Arm” stories?—in which a character who appears to be a young woman turns out to be centuries old, and when she drops the deception, she moves with uncanny grace—she doesn’t bump into anything or trip over her own feet, because she’s had that long to train herself in how to move (without the limitations imposed by our bodies’ degeneration from aging).

Of course, a story about long-lived people doesn’t have to take long-lived learning into account. The depiction of the “Howard Families” in Heinlein’s Methuselah’s Children and Time Enough for Love almost seem dedicated to the opposite proposition, that no matter how long we live, we’re basically the same kinds of personalities; we don’t learn much.

In a similar way, Tolkien’s immortal elves may seem ineffably glorious to us, but their behavior often seems all too human—especially if you read The Silmarillion, where elves make mistakes, engage in treachery, and allow overweening pride to dictate their actions in ways that may surprise those of us familiar only with LotR. On the other hand, the books and movies do succeed in convincing us that characters like Galadriel and Gandalf are of a stature that exceeds human possibility.

Logic and Language

There are other ways to have transhuman abilities. As Kevin observes, Niven’s “Protectors” fit the description. Niven imagines a further stage of human development—something that comes after childhood, adolescence, and adulthood—that we’ve never seen, because when our remote ancestors arrived on Earth from elsewhere, they lacked the plants hosting the symbiotic virus necessary for transition to that final stage. The “trans-adult” Protectors are stronger, faster, and more durable than ordinary humans. They also think faster. Thus Niven shows them as following out a chain of logic with blinding speed to its conclusion, allowing them to act long before regular humans could figure out what to do. Because this is a matter of speed, not incomprehensible thinking, Niven can depict a Protector as acting in ways that are faster than normal, but are explainable once we sit down and work out the reasoning.

A visual analogue is used in the 2009 and 2011 Sherlock Holmes films starring Robert Downey, Jr. Unlike most other treatments of the character, Guy Ritchie’s version supposes that Holmes’ incredible intelligence can be used not only for logical deduction, but to predict with lightning speed how a hand-to-hand combat may develop. Holmes thus becomes a ninja-like melee fighter, so effective as to confound all opponents. The movie shows us this by slowing down the process that to Holmes is instantaneous: we see a very short montage of positions and moves as they would occur, or could occur, before we see Holmes carry out the final “conclusion” of his martial reasoning. This allows us to appreciate what the quasi-superhuman character is doing and why, without actually having to execute the same process ourselves.

Preternatural intelligence may be more subtle in its effects. Such a person may, for example, be able to understand things fully from what, to us, would be mere hints and implications. So, for example, when Isaac Asimov introduces the members of the Second Foundation in his Foundation series, he tells us that their tremendous psychological training allows them to talk among themselves in a manner so concise and compressed that entire paragraphs require only a few words.

Speech as known to us was unnecessary. A fragment of a sentence amounted almost to long-winded redundancy. A gesture, a grunt, the curve of a facial line—even a significantly timed pause yielded informational juice. (Second Foundation, end of chapter 1, “First Interlude,” p. 16)

Breaking the fourth wall, Asimov warns us that his account is “about as far as I can go in explaining color to a blind man—with myself as blind as the audience.” (same page) He then adroitly avoids showing us any of the actual conversation; instead, he says he’s “freely translating” it into our ordinary language. This move illustrates one of the classic ways of presenting the incomprehensible in a story: point out its incomprehensibility and “translate” into something we can understand. (Note that this is much more easily done in writing than in a visual medium such as TV or the movies.)

A similar technique is used by Poul Anderson in his 1953 novel Brain Wave, which starts with the interesting premise that in certain regions of space, neurons function faster than in others. When Earth’s natural rotation around the center of the galaxy brings it into a “faster” area, the brains of every creature with a central nervous system speed up, and human beings (as well as other animals) all become proportionately smarter. Anderson notes that the speech of the transformed humans would be incomprehensible to us and, like Asimov, “translates” it for our convenience. When a couple of the characters, in a newly invented faster-than-light spaceship, accidentally cross the border back into the “slow zone,” they are unable to understand the controls they themselves designed until the ship’s travel brings them out and lets their intelligence return to its new normal. (Anderson’s concept may have been the inspiration for the “Zones of Thought” universe later developed in several fascinating stories by Vernor Vinge.)

Showing and Telling

We can glean some general principles from these examples. If the extraordinary acts don’t actually have to be shown in the medium I’m using, I can simply point to them and tell the reader they’re there. In a written story, I can say my main character is a world-class violinist without having to demonstrate that level of ability myself. (Although if I have some experience in that particular art, I’ll be able to provide some realistic details, to help make my claim sound plausible.) But if the supernormal achievement is something that can be shown in our chosen medium, we have to be able to demonstrate it: a movie about the great violinist will have to exhibit some pretty masterful violin-playing, or those in the audience who know something about the art will laugh themselves silly.

We should note that there are good and bad ways of telling the audience about a character’s superiority. In the unforgettable short story “Flowers for Algernon,” which consists entirely of diary entries by Charlie Gordon, the main character, the text vividly shows us the effects of an intelligence-raising treatment on a man of initially lower-than-normal intelligence. The entries improve so radically in writing competence and understanding that when Charlie describes how his brainpower is beginning to exceed that of ordinary humans, we believe him, because we’re already riding on the curve of rising ability up to our own level that is apparent in the text—a true tour de force of writing. On the other hand, in the drastically worse movie version, Charly (1968), the screenwriters are reduced to having Charly stand in front of an audience of experts and scornfully dismiss the greatest intellectual achievements from human history—a weak and ineffective technique at best for conveying superiority.

Summary

This quick review of the problem turns up several methods for handling supernormal abilities in a story.

If the superior ability is intelligible to us ordinary people in the audience—maybe it’s just doing normal things faster—we can have the wiser or super-enabled person explain it to someone less wise: our last post’s Ignorant Interlocutor.
If the advantage is mainly a matter of speed, we can slow it down to a speed at which regular people can follow the action.
If we can get away without actually showing the ability in question, we may be able to point toward it, or “translate” it into something we can understand, and convincingly tell the audience about it—if we can achieve the necessary suspension of disbelief.
If a character is supposed to be, let us say, preternaturally wise, and there’s simply no way to avoid showing that in the dialogue, the best we can do is to evoke the best we can do—have the character be as wise as possible—and imply ‘like this, only more so.’ This method—like “projecting” a line or a curve—is the method of “supereminence,” which is sometimes employed in theological talk about things that are inherently beyond our full understanding.

Kicking around this question makes us aware that portraying the more-than-human character is only a special case of a more general problem. When our stories try to incorporate anything that’s indescribable, incomprehensible, how do we handle that? Our F&SF stories frequently want to reach out beyond the boundaries of human experience, yet in a tale written for ordinary humans. We’ll talk about the more general question next time.

Prophecy and the Plan

July 16, 2018July 16, 2018 / Rick Ellrod / 1 Comment

The ancient prophecy is a staple of fantasy. This child will kill his father and marry his mother. Not by the hand of man will this being fall. The source of the information is often vague, but once we’ve heard the prophecy, we know it’s going to come true—somehow.

There’s a comparable science fiction trope: the long-term Plan. But the Plan functions rather differently. Let’s take a look at the two together.

Foretold and Foredoomed

An entire story may be built around the unavoidable destiny that lands on an unlikely or reluctant hero. Or the mysterious message from the past may relate merely to one aspect of the story—perhaps the only way to accomplish some task (“the penitent man will pass”). Either way, in the words of TV Tropes, Prophecies Are Always Right.

As the examples on the Tropes page indicate, this is not strictly true: writers can subvert or otherwise play with the fulfillment of a prediction. But there wouldn’t be much purpose in introducing the prophecy if it didn’t have some relevance to the plot. Most commonly, this is because it’s valid.

The device goes back to some of the earliest stories we have. The Greek tale of Oedipus, for example, involves a prediction that a child will bring disaster on his city by killing his father and marrying his mother. The very actions by which his father tries to avert this outcome turn out to produce it.

Shakespeare’s Macbeth provides a slightly less antique example. The title character is emboldened to stage a revolt by the “prophetic greeting” of three witches (Act I, Scene 3). Macbeth is further heartened by hearing that “none of woman born” will harm him, and that he won’t be beaten until “Great Birnam wood to high Dunsinane Hill/Shall come against him,” (Act IV, Scene 1). Both statements turn out to be true, but not as Macbeth interpreted them: his opponents approach his stronghold holding “leavy screens” of branches (Act V, Scene 6), and he is slain by Macduff, who was birthed by Caesarean section (Act V, Scene 8). In both these cases the message appears to be that you can’t fight fate: the prophecy will come true despite all attempts to prevent it.

The motif carries through to modern fantasy as well. Harry Potter’s Divination teacher, Professor Trelawney, is generally played for laughs, but her serious predictions come true. In The Lion, the Witch, and the Wardrobe, the White Witch is right to fear the “old rhyme” that her reign will end when two Sons of Adam and two Daughters of Eve are enthroned in Cair Paravel (ch. 8).

Fated but Free

The Lord of the Rings provides some interesting examples. TV Tropes lists a number of vague premonitions by various characters. But a more specific case occurs when the Witch-King of Angmar, secure in Glorfindel’s prediction that “not by the hand of man will he fall” (Appendix A, I.iv), boasts that “No living man may hinder me!”, and is met by Éowyn’s defiant “But no living man am I!” (Return of the King, book V, ch. 6, p. 116).

The main issue of the story, however, is subject to no such foreknowledge. No prophecy gives a hint as to whether the Ring will be destroyed and Sauron defeated. As TV Tropes points out, free will as well as fate exists in Tolkien’s world. There is no certainty of outcome in this world’s battles. As Chesterton puts it: “I tell you naught for your comfort, yea, naught for your desire / Save that the sky grows darker yet and the sea rises higher.”

The foretellings we do see in fantasy seem to be guaranteed by some trans-human source: paranormal, supernatural, even divine. This is why they can generally be relied upon to come true. But what of science fiction, which tends to invoke science rather than the supernatural?

Foundation

What often takes the place of prophecy in SF is a vast, far-reaching plan of some sort, whose fulfillment is guaranteed not by the supernatural but on some scientific basis. This is, in effect, the science-fictional version of prophecy or fate. Such plans typically are made by human beings (or similar creatures). They are reducible to human intent—and conditioned by human fallibility.

The classic case is Isaac Asimov’s original Foundation trilogy. Hari Seldon, inventor of a new science of “psychohistory” that statistically predicts the aggregate actions of human masses (as distinct from the acts of individual persons), realizes that the millennia-spanning Galactic Empire is headed for an inevitable collapse. To cut short the subsequent thirty thousand years of chaos and barbarism, Seldon launches a plan to establish two “Foundations” from which civilization may be restored more quickly—in a mere thousand years. Seldon’s mathematics allows him to arrange things in such a way that the Seldon Plan will inevitably prevail—at least to a very high order of probability (given that we’re dealing with statistical conclusions here, rather than superhuman insights).

The stories Asimov tells about the early years of the Foundation thus carry an atmosphere that’s similar in some ways to that of a prophecy in fantasy. The leaders and people of the Foundation on the planet Terminus have confidence that they will prevail; but they are not privy to the details of the Plan and have no idea how that will occur—just as the Witch-King did not anticipate he would be slain by a woman, or the Pevensie children know just how they can succeed to the king-and-queenship of Narnia.

On the other hand, Seldon’s Plan is not quite as infallible as the typical prophecy. This becomes evident when an individual known as the Mule upsets the psychohistorical scheme by changing its underlying assumptions about human behavior: the Mule has mutant mental powers that could not have been predicted by Seldon.

Galactic Networks and Race Minds

Joan Vinge’s 1980 novel The Snow Queen (very loosely based on the plot of Andersen’s fairy tale) also involves a Plan, though the characters are not aware of this initially. They come to realize that the “sibyl network,” a vast interstellar information system run by technology beyond their understanding, has its own purposes and is seeking (like Seldon) to shape events to promote reconstruction after a collapse of civilization. But they’re not fully aware of what the sibyl network is trying to do, and they don’t know whether its Plan will be successful.

Unlike the Plan that underlies the Foundation stories, Vinge’s Plan is not made by human agents—though the computer “mind” behind it is a human product. But like the Seldon Plan, this long-range plan is not guaranteed to succeed. The sibyl network is not as infallible as the mysterious sources behind the standard fantasy prophecy.

The long-term plan, or purpose, may also belong to a race or species consciousness—a mind (of sorts) that arises from humanity as a whole. The “terrible purpose” that Paul Atreides struggles with in Dune is that of a subliminal racial consciousness that is driving relentlessly toward an interstellar jihad as a way of mixing up the gene pool to refresh the species. This quasi-mind does not seem to have a specific plan in mind, but the overall drive, like the statistically-based Seldon Plan, is irresistible.

Something similar seems to be at work in A.E. van Vogt’s mutation-after-humanity novel Slan (1940). In this future setting, the human species is mutating not at random, but in such a way as to consistently produce a “higher” type of being—smarter, stronger, kinder, with telepathic powers. One character remarks: “We have always assumed far too readily that no cohesion exists between individuals, that the race of men is not a unit with an immensely tenuous equivalent of a blood-and-nerve stream flowing from man to man” (ch. 18). Apparently there is some vague but irresistible analogue of systematic purpose at work in humanity as a whole. (Greg Bear’s 1999 novel Darwin’s Radio, by contrast, suggests a distributed genetic mechanism for such a wave of mutation, without requiring a single overall mind to account for it.)

Ongoing Guidance

A master Plan that spans generations may be designed to operate without intervening human guidance. This is true of certain lost world-ship stories, in which the loss of knowledge on a generation ship is deliberately arranged in advance. In Clifford Simak’s Target Generation (1953), for instance, a book of instructions has been secretly passed down from generation to generation, to be opened only when the starship finally reaches its destination.

Of course, the transmission of such a plan won’t be reliable if it’s subject to human error or accident. I’ve often felt that the long-dead planners who relied on a secret book in Target Generation ought to have been thrown out on their ears, when the flight was being arranged, for resting the survival of an entire shipload of people on such a fragile and undependable strategy—like the wacky souls behind the Rube Goldberg setup in City of Ember, entertaining as both those stories are.

Seldon’s Plan at first appears to function in this pilotless way. But it turns out there is a hidden agency responsible for monitoring the Plan and correcting any deviations: the Second Foundation, as skilled in psychohistory as the original Foundation is in technology. The canny Seldon built in a safety net to take care of just such a random variable as the Mule—because a human-based plan lacks the mysterious paranormal guarantee of a prophecy.

Exceptions

Sitting squarely between the F&SF camps in this respect is Star Wars, the exception that proves the rule. Lucas’s brain child is sometimes referred to as “science fantasy” rather than science fiction, not just because it does not delve into scientific plausibility, but because it simultaneously mobilizes both fantasy and science-fiction tropes; that’s part of the reason the movies are so widely accessible and successful. The prophecy that Anakin Skywalker will “bring balance to the Force” (whatever exactly that means) is cited throughout the series. But there’s no real explanation in the movies, at least, as to how this prophecy works or what makes it reliable information. It’s a fantasy trope, not a science fiction motif.

There is, however, a genuine SF exception of sorts: time travel stories, when they rely on knowledge gained from being in the future. For example, in Anne McCaffrey’s Dragonflight (1968), time-traveling dragonrider Lessa assures her compatriots in the past that they will accompany her back to her own time in their future, because that explains their mysterious disappearance, which Lessa already knows about as part of her own history. Here the source of future knowledge is neither human nor superhuman, but sheer facticity—or, from the standpoint of the characters, experience. They tell about future events that they’ve already seen happening.

For the Reader

Both types of projections into the future, prophecies and plans, set up a certain kind of tension in a story. There’s a sort of security—we know how things will turn out, at least in a general way. (Or if the outcome is tragic, as with Oedipus, the effect may be dread rather than security.) At the same time, there’s a tension in that we don’t know how the story will arrive at that end. The power of this combination is proved by the long tradition of such stories throughout human civilization.

The long-term plan or prediction evokes awe at the deeps of time—how something said long ago may still have effects today. And it generates a certain wonder at the way in which things surprisingly work out. In either form, they’re a useful part of a storyteller’s arsenal of effects.

Meta-reading

November 7, 2016 / Rick Ellrod / 4 Comments

The Sign of the Sequel

Ever find yourself approaching the end of a new book—and you realize there’s no way the author can tie up the plot in what remains of the novel? It’s that moment when you realize: we’re in for a sequel.

That realization may be awful, or it may be exciting, depending on how much you enjoy the story so far. But it changes the way you look at the book you’re reading, to know it isn’t complete in itself, but only part of a larger tapestry. Your sense of the pacing and the shape of the story has to adjust.

But the story alone hasn’t told us there will be a sequel. Rather, we’re drawing on something outside the text itself—our knowledge of how much of the book remains—to tell us something about the story.

Years ago, when I first read Isaac Asimov’s Second Foundation, I almost missed the last chapter altogether. The conclusion of the novel consists of a series of successive surprises, each overturning the last. The second-to-last chapter seemed to end so conclusively that I only turned the page because I was in the habit of reflectively turning over the blank endpapers of a book. —And there was the final chapter! I could only make that mistake, however, because the last chapter was so short—six pages in my hardcover edition.

It’s harder to make that kind of observation in an e-book, where there are no physical pages to observe. You can usually find a percentage or “location” indicator, but it’s not quite as obvious as the physical thickness of the pages.

Let’s call this process of drawing on outside information “meta-reading.”

Sources of Meta-Information

There are a number of sources from which we glean this meta-information, consciously or not.

Starting from the broadest case, we get some information from the genre to which the book belongs. If you find a book in the science fiction section of the bookstore, then no matter how mundane the opening scenes may be, you can be pretty sure that something out of the ordinary is going to turn up at some point. If you’re reading a genre romance, you can rely on the ironclad rule that a genre romance must have a happy ending: either “happily ever after,” or at least “happily for now”—HEA or HFN, in the jargon of the trade. Even if the characters’ relationship seems doomed as you approach the ending, you can be pretty sure it’ll turn out well—which may not be the case in a “mainstream” novel.

Getting to know an author’s habits and preferences is another way to guess what’s going to happen in the end. If we’ve read a fair sampling of an author’s work, we can gauge fairly well the chances of a happy ending, the likelihood of violence or sex scenes, the kinds of characters you’re likely to meet up with. It’s a little more tense approaching the end of a book by a new author, because we’re not yet familiar with what kinds of tricks the writer may (or may not) be willing to pull at the denouement.

Then there’s the back-cover blurb, or the flyleaf—often the reason we pick up the book in the first place. The half-dozen paragraphs or so of teaser text on the flyleaf are designed to tell us just enough to get us interested. They shouldn’t give away the whole plot, but they do create expectations—which the book as a whole may or may not meet. Something that comes as a complete surprise to the characters may be something the reader is already primed for, because it’s part of the plot setup that the blurb describes.

Reviews take this principle further. A review may include spoilers, but even without actual spoilers, it tells is something even before we open page one.

Once we get into the book, there are still more clues. Chapter titles are out of fashion these days, but if there are such titles, they inevitably tell us something about what’s going to happen. In my current novel-in-progress, I use temporary chapter titles that remind me what happens in the chapter, but remain obscure enough not to telegraph the outcome to test readers. Still, when you reach the chapter titled “The Battle of Tremont,” you’re inevitably going to have an idea what to expect.

Finally, in the example I started with, the length of the book tells us something. As we move through the story, we can measure our sense of pacing with the literal progress through the pages. There have been a number of cases where it’s looked as if the plot was being wrapped up nicely, and I’ve looked at the mass of material still to come and thought, Something’s bound to come unglued here . . . or we wouldn’t have a hundred pages to go.

Setting Expectations

This kind of insight relies on an awareness of narrative practices. There are internal necessities to good storytelling. Guessing the imminence of the climax from the number of remaining pages, for example, depends on our assumptions about how much time after the climax will be devoted to wrapping things up—which, in a long story like The Lord of the Rings, can take quite a while.

Likewise, gauging the amount of space needed to resolve the plot assumes that the plot will be resolved: good authors, at least, don’t leave things totally dangling. Our use of meta-reading plays off our assumptions about how stories are told—and can go awry if the author’s views are radically different from the reader’s.

For that very reason, the writer of a story has to take into account the context in which the reader encounters the story, and the expectations raised in that context. The reader doesn’t come to the story as a blank slate.

If there will be major surprises in the tale, the writer (and publisher) need to make sure they aren’t given away in the blurbs. If the author wishes to undermine the expectations created by genre classification or advertising, it’s important to be aware of the consequences. Subverting reader expectations can be illuminating and satisfying to the reader, but it can also be annoying and frustrating. The implicit contract between writer and reader—‘I’m going to tell you a story you will enjoy’—places boundaries on just how subversive one can be without leaving the reader feeling cheated.

The writer’s conversation with the reader, then, extends well beyond the contents of the text itself. It’s something that’s useful to remember for the writer—and the reader as well.

Rick Ellrod's Observatory

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