A Brief History of Time: From the Big Bang to Black Holes by Stephen Hawking (1988)

The whole history of science has been the gradual realisation that events do not happen in an arbitrary manner, but that they reflect a certain underlying order. (p.122)

This book was a publishing phenomenon when it was published in 1988. Nobody thought a book of abstruse musings about obscure theories of cosmology would sell, but it became a worldwide bestseller, selling more than 10 million copies in 20 years. It was on the London Sunday Times bestseller list for more than five years and was translated into 35 languages by 2001. So successful that Hawking went on to write seven more science books on his own, and co-author a further five.

Accessible As soon as you start reading you realise why. From the start is it written in a clear accessible way and you are soon won over to the frank, sensible, engaging tone of the author. He tells us he is going to explain things in the simplest way possible, with an absolute minimum of maths or equations (in fact, the book famously includes only one equation E = mc²).

Candour He repeatedly tells us that he’s going to explain things in the simplest possible way, and the atmosphere is lightened when Hawking – by common consent one of the great brains of our time – confesses that he has difficulty with this or that aspect of his chosen subject. (‘It is impossible to imagine a four-dimensional space. I personally find it hard enough to visualise three-dimensional space!’) We are not alone in finding it difficult!

Historical easing Also, like most of the cosmology books I’ve read, it takes a deeply historical view of the subject. He doesn’t drop you into the present state of knowledge with its many accompanying debates i.e. at the deep end. Instead he takes you back to the Greeks and slowly, slowly introduces us to their early ideas, showing why they thought what they thought, and how the ideas were slowly disproved or superseded.

A feel for scientific change So, without the reader being consciously aware of the fact, Hawking accustoms us to the basis of scientific enquiry, the fundamental idea that knowledge changes, and from two causes: from new objective observations, often the result of new technologies (like the invention of the telescope which enabled Galileo to make his observations) but more often from new ideas and theories being worked out, published and debated.

Hawking’s own contributions There’s also the non-trivial fact that, from the mid-1960s onwards, Hawking himself has made a steadily growing contribution to some of the fields he’s describing. At these points in the story, it ceases to be an objective history and turns into a first-person account of the problems as he saw them, and how he overcame them to develop new theories. It is quite exciting to look over his shoulder as he explains how and why he came up with the new ideas that made him famous. There are also hints that he might have trodden on a few people’s toes in the process, for those who like their science gossipy.

Thus it is that Hawking starts nice and slow with the ancient Greeks, with Aristotle and Ptolemy and diagrams showing the sun and other planets orbiting round the earth. Then we are introduced to Copernicus, who first suggested the planets orbit round the sun, and so on. With baby steps he takes you through the 19th century idea of the heat death of the universe, on to the discovery of the structure of the atom at the turn of the century, and then gently introduces you to Einstein’s special theory of relativity of 1905. (The special theory of relativity doesn’t take account of gravity, the general theory of relativity of 1915, does, take account of gravity).

Chapter 1 Our Picture of the Universe (pp.1-13)

Aristotle thinks earth is stationary. Calculates size of the earth. Ptolemy. Copernicus. In 1609 Galileo starts observing Jupiter using the recently invented telescope. Kepler suggests the planets move in ellipses not perfect circles. 1687 Isaac newton publishes Philosophiæ Naturalis Principia Mathematica (Mathematical Principles of Natural Philosophy) ‘probably the most important single work ever published in the physical sciences’, among many other things postulating a law of universal gravity. One implication of Newton’s theory is that the universe is vastly bigger than previously conceived.

In 1823 Heinrich Olbers posited his paradox which is, if the universe is infinite, the night sky out to be as bright as daylight because the light from infinite suns would reach us. Either it is not infinite or it has some kind of limit, possibly in time i.e. a beginning. The possible beginning or end of the universe were discussed by Immanuel Kant in his obscure work A Critique of Pure Reason  (1781). Various other figures debated variations on this theme until in 1929 Edwin Hubble made the landmark observation that, wherever you look, distant galaxies are moving away from us i.e. the universe is expanding. Working backwards from this observation led physicists to speculate that the universe was once infinitely small and infinitely dense, in a state known as a singularity, which must have exploded in an event known as the big bang.

He explains what a scientific theory is:

A theory is just a model of the universe, or a restricted part of it, and a set of rules that relate quantities in the model to observations that we make… A theory is a good theory if it satisfies two requirements: it must accurately describe a large class of observations on the basis of a model that contains only a few arbitrary elements, and it must make definite predictions about the results of future observations.

A theory is always provisional. The more evidence proving it, the stronger it gets. But it only takes one good negative observation to disprove a theory.

Today scientists describe the universe in terms of two basic partial theories – the general theory of relativity and quantum mechanics. They are the great intellectual achievements of the first half of this century.

But they are inconsistent with each other. One of the major endeavours of modern physics is to try and unite them in a quantum theory of gravity.

Chapter 2 Space and Time (pp.15-34)

Aristotle thought everything in the universe was naturally at rest. Newton disproved this with his first law – whenever a body is not acted on by any force it will keep on moving in a straight line at the same speed. Newton’s second law stats that, When a body is acted on by a force it will accelerate or change its speed at a rate that is proportional to the force. Newton’s law of gravity states that every particle attracts every other particle in the universe with a force which is directly proportional to the product of their masses and inversely proportional to the square of the distance between their centres. But like Aristotle, Newton believed all the events he described took place in a kind of big static arena named absolute space, and that time was an absolute constant. The speed of light was also realised to be a constant. In 1676 Danish astronomer Ole Christensen estimated the speed of light to be 140,000 miles per second. We now know it is 186,000 miles per second. In the 1860s James Clerk Maxwell unified the disparate theories which had been applied to magnetism and electricity.

In 1905 Einstein published his theory of relativity. It is derived not from observation but from Einstein working through in his head the consequences and shortcomings of the existing theories. Newton had posited a privileged observer, someone outside the universe who was watching it as if a play on a stage. From this privileged position a number of elements appeared constant, such as time.

Einstein imagines a universe in which there is no privileged outside point of view. We are all inside the universe and all moving. The theory threw up a number of consequences. One is that energy is equal to mass times the speed of light squared, or E = mc². Another is that nothing may travel faster than the speed of light. Another is that, as an object approaches the speed of light its mass increases. One of its most disruptive ideas is that time is relative. Different observes, travelling at different speeds, will see a beam of light travel take different times to travel a fixed distance. Since Einstein has made it axiomatic that the speed of light is fixed, and we know the distance travelled by the light is fixed, then time itself must appear different to different observers. Time is something that can change, like the other three dimensions. Thus time can be added to the existing three dimensions to create space-time.

The special theory of relativity was successful in explaining how the speed of light appears the same to all observers, and describing what happens to things when they move close to the speed of light. But it was inconsistent with Newton’s theory of gravity which says objects attract each other with a force related to the distance between them. If you move on of the objects the force exerted on the other object changes immediately. This cannot be if nothing can travel faster than the speed of light, as the special theory of relativity postulates. Einstein spent the ten or so years from 1905 onwards attempting to solve this difficulty. Finally, in 1915, he published the general theory of relativity.

The revolutionary basis of this theory is that space is not flat, a consistent  continuum or Newtonian stage within which events happen and forces interact in a sensible way. Space-time is curved or warped by the distribution of mass or energy within it, and gravity is a function of this curvature. Thus the earth is not orbiting around the sun in a circle, it is following a straight line in warped space.

The mass of the sun curves space-time in such a way that although the earth follows a straight line in four-dimensional pace-time, it appears to us to move along a circular orbit in three-dimensional space. (p.30)

In fact, at a planetary level Einstein’s maths is only slightly different from Newton’s but it predicts a slight difference in the orbit of Mercury which observations have gone on to prove. Also, the general theory predicts that light will bend, following a straight line but through space that is warped or curved by gravity. Thus the light from a distant star on the far side of the sun will bend as it passes close to the sun due to the curvature in space-time caused by the sun’s mass. And it was an expedition to West Africa in 1919 to observe an eclipse, which showed that light from distant stars did in fact bend slightly as it passed the sun, which helped confirm Einstein’s theory.

Newton’s laws of motion put an end to the idea of absolute position in space. The theory of relativity gets rid of absolute time.

Hence the thought experiment popularised by a thousand science fiction books that astronauts who set off in a space ship which gets anywhere near the speed of light will experience a time which is slower than the people they leave behind on earth.

In the theory of relativity there is no unique absolute time, but instead each individual has his own personal measure of time that depends on where he is and how he is moving. (p.33)

Obviously, since most of us are on planet earth, moving at more or less the same speed, everyone’s personal ‘times’ coincide. Anyway, the key central implication of Einstein’s general theory of relativity is this:

Before 1915, space and time were thought of as a fixed arena in which events took place, but which was not affected by what happened in it. This was true even of the special theory of relativity. Bodies moved, forces attracted and repelled, but time and space simply continued, unaffected. It was natural to think that space and time went on forever.

the situation, however, is quite different in the general theory of relativity. Space and time are now dynamic quantities. : when a body moves, or a force acts, it affects the curvature of space and time – and in turn the structure of space-time affects the way in which bodies move and forces act. Space and time not only affect but also are affected by everything that happens in the universe. (p.33)

This view of the universe as dynamic and interacting, by demolishing the old eternal static view, opened the door to a host of new ways of conceiving how the universe might have begun and might end.

Chapter 3 The Expanding Universe (pp.35-51)

Our modern picture of the universe dates to 1924 when American astronomer Edwin Hubble demonstrated that ours is not the only galaxy. We now know the universe is home to some hundred million galaxies, each containing some hundred thousand million stars. We live in a galaxy that is about one hundred thousand light-years across and is slowly rotating. Hubble set about cataloguing the movement of other galaxies and in 1929 published his results which showed that they are all moving away from us, and that, the further away a galaxy is, the faster it is moving.

The discovery that the universe is expanding was one of the great intellectual revolutions of the twentieth century. (p.39)

From Newton onwards there was a universal assumption that the universe was infinite and static. Even Einstein invented a force he called ‘the cosmological constant’ in order to counter the attractive power of gravity and preserve the model of a static universe. It was left to Russian physicist Alexander Friedmann to seriously calculate what the universe would look like if it was expanding.

In 1965 two technicians, Arno Penzias and Robert Wilson, working at Bell Telephone Laboratories discovered a continuous hum of background radiation coming from all parts of the sky. This echoed the theoretical work being done by two physicists, Bob Dicke and Jim Peebles, who were working on a suggestion made by George Gamow that the early universe would have been hot and dense. They posited that we should still be able to see the light from this earliest phase but that it would, because the redshifting, appear as radiation. Penzias and Wilson were awarded the Nobel Prize in 1987.

How can the universe be expanding? Imagine blowing up a balloon with dots (or little galaxies) drawn on it: they all move apart from each other and the further apart they are, the larger the distance becomes; but there is no centre to the balloon. Similarly the universe is expanding but not into anything. There is no outside. If you set out to travel to the edge you would find no edge but instead find yourself flying round the periphery and end up back where you began.

There are three possible states of a dynamic universe. Either 1. it will expand against the contracting force of gravity until the initial outward propulsive force is exhausted and gravity begins to win; it will stop expanding, and start to contract. Or 2. it is expanding so fast that the attractive, contracting force of gravity never wins, so the universe expands forever and matter never has time to clump together into stars and planets. Or 3. it is expanding at just the right speed to escape collapsing back in on itself, but but so fast as to make the creation of matter impossible. This is called the critical divide. Physicists now believe the universe is expanding at just around the value of the critical divide, though whether it is just under or just above (i.e. the universe will eventually cease expanding, or not) is not known.

Dark matter We can calculate the mass of all the stars and galaxies in the universe and it is a mystery that our total is only about a hundredth of the mass that must exist to explain the gravitational behaviour of stars and galaxies. In other words, there must a lot of ‘dark matter’ which we cannot currently detect in order for the universe to be shaped the way it is.

So we don’t know what the likely future of the universe is (endless expansion or eventual contraction) but all the Friedmann models do predict that the universe began in an infinitely dense, infinitely compact, infinitely hot state – the singularity.

Because mathematics cannot really handle infinite numbers, this means that the general theory of relativity… predicts that there is a point in the universe where the theory itself breaks down… In fact, all our theories of science are formulated on the assumption that space-time is smooth and nearly flat, so they break down at the big bang singularity, where the curvature of space-time is infinite. (p.46)

Opposition to the theory came from Hermann Bondi, Thomas Gold and Fred Hoyle who formulated the steady state theory of the universe i.e. it has always been and always will be. All that is needed to explain the slow expansion is the appearance of new particles to keep it filled up, but the rate is very low (about one new particle per cubic kilometre per year). They published it in 1948 and worked through all its implications for the next few decades, but it was killed off as a theory by the 1965 observations of the cosmic background radiation.

He then explains the process whereby he elected to do a PhD expanding Roger Penrose’s work on how a dying star would collapse under its own weight to a very small size. The collaboration resulted in a joint 1970 paper which proved that there must have been a big bang, provided only that the theory of general relativity is correct, and the universe contains as much matter as we observe.

If the universe really did start out as something unimaginably small then, from the 1970s onwards, physicists turned their investigations to what happens to matter at microscopic levels.

Chapter 4 The Uncertainty Principle (pp.53-61)

1900 German scientist Max Planck suggests that light, x-rays and other waves can only be emitted at an arbitrary wave, in packets he called quanta. He theorised that the higher the frequency of the wave, the more energy would be required. This would tend to restrict the emission of high frequency waves. In 1926 Werner Heisenberg expanded on these insights to produce his Uncertainty Principle. In order to locate a particle in order to measure its position and velocity you need to shine a light on it. One has to use at least one quantum of energy. However, exposing the particle to this quantum will disturb the velocity of the particle.

In other words, the more accurately you try to measure the position of the particle, the less accurately you can measure its speed, and vice versa. (p.55)

Heisenberg showed that the uncertainty in the position of the particle times the uncertainty in its velocity times the mass of the particle can never be smaller than a certain quantity, which is known as Planck’s constant. For the rest of the 1920s Heisenberg, Erwin Schrödinger and Paul Dirac reformulated mechanics into a new theory titled quantum mechanics. In this theory particles no longer have separate well-defined positions and velocities, instead they have a general quantum state which is a combination of position and velocity.

Quantum mechanics introduces an unavoidable element of unpredictability or randomness into science. (p.56)

Also, particles can no longer be relied on to be particles. As a result of Planck and Heisenberg’s insights, particles have to be thought of as sometimes behaving like waves, sometimes like particles. In 1913 Niels Bohr had suggested that electrons circle round a nucleus at certain fixed points, and that it takes energy to dislodge them from these optimum orbits. Quantum theory helped explain Bohr’s theory by conceptualising the circling electrons not as particles but as waves. If electrons are waves, as they circle the nucleus, their wave lengths would cancel each other out unless they are perfect numbers. The frequency of the waves have to be able to circle the nucleus in perfect integers. This defines the height of the orbits electrons can take.

Chapter 5 Elementary Particles and Forces of Nature (pp.63-79)

A chapter devoted to the story of how we’ve come to understand the world of sub-atomic particles. Starting (as usual) with Aristotle and then fast-forwarding through Galton, Einstein’s paper on Brownian motion, J.J. Thomson’s discovery of electrons, and, in 1911, Ernest Rutherford’s demonstration that atoms are made up of tiny positively charged nucleus around which a number of tiny positively charged particles, electrons, orbit. Rutherford thought the nuclei contained ‘protons’, which have a positive charge and balance out the negative charge of the electrons. In 1932 James Chadwick discovered the nucleus contains neutrons, same mass as the proton but no charge.

In 1965 quarks were discovered by Murray Gell-Mann. In fact scientists went on to discover six types, up, down, strange, charmed, bottom and top quarks. A proton or neutron is made up of three quarks.

He explains the quality of spin. Some particles have to be spin twice to return to their original appearance. They have spin 1/2. All the matter we can see in the universe has the spin 1/2. Particles of spin 0, 1, and 2 give rise to the forces between the particles.

Pauli’s exclusionary principle: two similar particles cannot exist in the same state, they cannot have the same position and the same velocity. The exclusionary principle is vital since it explains why the universe isn’t a big soup of primeval particles. The particles must be distinct and separate.

In 1928 Paul Dirac explained why the electron must rotate twice to return to its original position. He also predicted the existence of the positron to balance the electron. In 1932 the positron was discovered and Dirac was awarded a Nobel Prize.

Force carrying particles can be divided into four categories according to the strength of the force they carry and the particles with which they interact.

  1. Gravitational force, the weakest of the four forces by a long way.
  2. The electromagnetic force interacts with electrically charged particles like electrons and quarks.
  3. The weak nuclear force, responsible for radioactivity. In findings published in 1967 Abdus Salam and Steven Weinberg suggested that in addition to the photon there are three other spin-1 particles known collectively as massive vector bosons. Initially disbelieved, experiments proved them right and they collected the Nobel Prize in 1979. In 1983 the team at CERN proved the existence of the three particles, and the leaders of this team also won the Nobel Prize.
  4. The strong nuclear force holds quarks together in the proton and neutron, and holds the protons and neutrons together in the nucleus. This force is believed to be carried by another spin-1 particle, the gluon. They have a property named ‘confinement’ which is that you can’t have a quark of a single colour, the number of quarks bound together must cancel each other out.

The idea behind the search for a Grand Unified Theory is that, at high enough temperature, all the particles would behave in the same way, i.e. the laws governing the four forces would merge into one law.

Most of the matter on earth is made up of protons and neutrons, which are in turn made of quarks. Why is there this preponderance of quarks and not an equal number of anti-quarks?

Hawking introduces us to the notion that all the laws of physics obey three separate symmetries known as C, P and T. In 1956 two American physicists suggested that the weak force does not obey symmetry C. Hawking then goes on to explain more about the obedience or lack of obedience to the rules of symmetry of particles at very high temperatures, to explain why quarks and matter would outbalance anti-quarks and anti-matter at the big bang in a way which, frankly, I didn’t understand.

Chapter 6 Black Holes (pp.81-97)

In a sense, all the preceding has been just preparation, just a primer to help us understand the topic which Hawking spent the 1970s studying and which made his name – black holes.

The term black hole was coined by John Wheeler in 1969. Hawking explains the development of ideas about what happens when a star dies. When a star is burning, the radiation of energy in the forms of heat and light counteracts the gravity of its mass. When it runs out of fuel, gravity takes over and the star collapses in on itself. The young Indian physicist Subrahmanyan Chandrasekhar calculated that a cold star with a mass of more than one and a half times the mass of our sin would not be able to support itself against its own gravity and contract to become a ‘white dwarf’ with a radius of a few thousand miles and a density of hundreds of tones per square inch.

The Russian Lev Davidovich Landau speculated that the same sized star might end up in a different state. Chandrasekhar had used Pauli’s exclusionary principle as applied to electrons i.e. calculated the smallest densest state the mass could reach assuming no electron can be in the place of any other electron. Landau calculated on the basis of the exclusionary principle repulsion operative between neutrons and protons. Hence his model is known as the ‘neutron star’, which would have a radius of only ten miles or so and a density of hundreds of millions of tonnes per cubic inch.

(In an interesting aside Hawking tells us that physics was railroaded by the vast Manhattan Project to build an atomic bomb, and then to build a hydrogen bomb, throughout the 1940s and 50s. This tended to sideline large-scale physics about the universe. It was only the development of a) modern telescopes and b) computer power, that revived interest in astronomy.)

A black hole is what you get when the gravity of a collapsing star becomes so high that it prevents light from escaping its gravitational field. Hawking and Penrose showed that at the centre of a black hole must be a singularity of infinite density and space-time curvature.

In 1967 the study of black holes was revolutionised by Werner Israel. He showed that, according to general relativity, all non-rotating black holes must be very simple and perfectly symmetrical.

Hawking then explains several variations on this theory put forward by Roger Penrose, Roy Kerr, Brandon Carter who proved that a hole would have an axis of symmetry. Hawking himself confirmed this idea. In 1973 David Robinson proved that a black hole had to have ‘a Kerr solution’. In other words, no matter how they start out, all black holes end up looking the same, a belief summed up in the pithy phrase, ‘A black hole has no hair’.

What is striking about all this is that it was pure speculation, derived entirely from mathematical models without a shred of evidence from astronomy.

Black holes are one of only a fairly small number of cases in the history of science in which a theory was developed in great detail as a mathematical model before there was any evidence from observations that it was correct. (p.92)

Hawking then goes on to list the best evidence we have for black holes, which is surprisingly thin. Since they are by nature invisible black holes can only be deduced by their supposed affect on nearby stars or systems. Given that black holes were at the centre of Hawking’s career, and are the focus of these two chapters, it is striking that there is, even now, very little direct empirical evidence for their existence.

(Eerily, as I finished reading A Brief History of Time, the announcement was made on 10 April 2019 that the first ever image has been generated of a black hole –

Theory predicts that other stars which stray close to a black hole would have clouds of gas attracted towards it. As this matter falls into the black hole it will a) be stripped down to basic sub-atomic particles b) make the hole spin. Spinning would make the hole acquire a magnetic field. The magnetic field would shoot jets of particles out into space along the axis of rotation of the hole. These jets should be visible to our telescopes.

First ever image of a black hole, captured the Event Horizon Telescope (EHT). The hole is 40 billion km across, and 500 million trillion km away

Chapter 7 Black Holes Ain’t So Black (pp.99-113)

Black holes are not really black after all. They glow like a hot body, and the smaller they are, the hotter they glow. Again, Hawking shares with us the evolution of his thinking on this subject, for example how he was motivated in writing a 1971 paper about black holes and entropy at least partly in irritation against another researcher who he felt had misinterpreted his earlier results.

Anyway, it all resulted in his 1973 paper which showed that a black hole ought to emit particles and radiation as if it were a hot body with a temperature that depends only on the black hole’s mass.

The reasoning goes thus: quantum mechanics tells us that all of space is fizzing with particles and anti-particles popping into existence, cancelling each other out, and disappearing. At the border of the event horizon, particles and anti-particles will be popping into existence as everywhere else. But a proportion of the anti-particles in each pair will be sucked inside the event horizon, so that they cannot annihilate their partners, leaving the positive particles to ping off into space. Thus, black holes should emit a steady stream of radiation!

If black holes really are absorbing negative particles as described above, then their negative energy will result in negative mass, as per Einstein’s most famous equation, E = mc² which shows that the lower the energy, the lower the mass. In other words, if Hawking is correct about black holes emitting radiation, then black holes must be shrinking.

Gamma ray evidence suggests that there might be 300 black holes in every cubic light year of the universe. Hawking then goes on to estimate the odds of detecting a black hole a) in steady existence b) reaching its final state and blowing up. Alternatively we could look for flashes of light across the sky, since on entering the earth’s atmosphere gamma rays break up into pairs of electrons and positrons. No clear sightings have been made so far.

(Threaded throughout the chapter has been the notion that black holes might come in two types: one which resulted from the collapse of stars, as described above. And others which have been around since the start of the universe as a function of the irregularities of the big bang.)

Summary: Hawking ends this chapter by claiming that his ‘discovery’ that radiation can be emitted from black holes was ‘the first example of a prediction that depended in an essential way on both the great theories of this century, general relativity and quantum mechanics’. I.e. it is not only an interesting ‘discovery’ in its own right, but a pioneering example of synthesising the two theories.

Chapter 8 The Origin and Fate of the Universe (pp.115-141)

This is the longest chapter in the book and I found it the hardest to follow. I think this is because it is where he makes the big pitch for His Theory, for what’s come to be known as the Hartle-Hawking state. Let Wikipedia explain:

Hartle and Hawking suggest that if we could travel backwards in time towards the beginning of the Universe, we would note that quite near what might otherwise have been the beginning, time gives way to space such that at first there is only space and no time. Beginnings are entities that have to do with time; because time did not exist before the Big Bang, the concept of a beginning of the Universe is meaningless. According to the Hartle-Hawking proposal, the Universe has no origin as we would understand it: the Universe was a singularity in both space and time, pre-Big Bang. Thus, the Hartle–Hawking state Universe has no beginning, but it is not the steady state Universe of Hoyle; it simply has no initial boundaries in time or space. (Hartle-Hawking state Wikipedia article)

To get to this point Hawking begins by recapping the traditional view of the ‘hot big bang’, i.e. the almost instantaneous emergence of matter from a state of infinite mass, energy and density and temperature.

This is the view first put forward by Gamow and Alpher in 1948, which predicted there would still be very low-level background radiation left over from the bang – which was then proved with the discovery of the cosmic background radiation in 1965.

Hawking gives a picture of the complete cycle of the creation of the universe through the first generation of stars which go supernova blowing out into space the heavier particles which then go into second generation stars or clouds of gas and solidify into things like planet earth.

In a casual aside, he gives his version of the origin of life on earth:

The earth was initially very hot and without an atmosphere. In the course of time it cooled and acquired an atmosphere from the emission of gases from the rocks. This early atmosphere was not one in which we could have survived. It contained no oxygen, but a lot of other gases that are poisonous to us, such as hydrogen sulfide. There are, however, other primitive forms of life that can flourish under such conditions. It is thought that they developed in the oceans, possibly as a result of chance combinations of atoms into large structures, called macromolecules, which were capable of assembling other atoms in the ocean into similar structures. They would thus have reproduced themselves and multiplied. In some cases there would have been errors in the reproduction. Mostly these errors would have been such that the new macromolecule could not reproduce itself and eventually would have been destroyed. However, a few of the errors would have produced new macromolecules that were even better at reproducing themselves. They would have therefore had an advantage and would have tended to replace the original macromolecules. In this way a process of evolution was started that led to the development of more and more complicated, self-reproducing organisms. The first primitive forms of life consumed various materials, including hydrogen sulfide, and released oxygen. This gradually changed the atmosphere to the composition that it has today and allowed the development of higher forms of life such as fish, reptiles, mammals, and ultimately the human race. (p.121)

(It’s ironic that he discusses the issue so matter-of-factly, demonstrating that, for him at least, the matter is fairly cut and dried and not worth lingering over. Because, of course, for scientists who’ve devoted their lives to the origins-of-life question it is far from over. It’s a good example of the way that every specialist thinks that their specialism is the most important subject in the world, the subject that will finally answer the Great Questions of Life whereas a) most people have never heard about the issues b) wouldn’t understand them and c) don’t care.)

Hawking goes on to describe chaotic boundary conditions and describe the strong and the weak anthropic principles. He then explains the theory proposed by Alan Guth of inflation i.e. the universe, in the first milliseconds after the big bang, underwent a process of enormous hyper-growth, before calming down again to normal exponential expansion. Hawking describes it rather differently from Barrow and Davies. He emphasises that, to start with, in a state of hypertemperature and immense density, the four forces we know about and the spacetime dimensions were all fused into one. They would be in ‘symmetry’. Only as the early universe cooled would it have undergone a ‘phase transition’ and the symmetry between forces been broken.

If the temperature fell below the phase transition temperature without symmetry being broken then the universe would have a surplus of energy and it is this which would have cause the super-propulsion of the inflationary stage. The inflation theory:

  • would allow for light to pass from one end of the (tiny) universe to the other and explains why all regions of the universe appear to have the same properties
  • explain why the rate of expansion of the universe is close to the critical rate required to make it expand for billions of years (and us to evolve)
  • would explain why there is so much matter in the universe

Hawking then gets involved in the narrative explaining how he and others pointed out flaws in Guth’s inflationary model, namely that the phase transition at the end of the inflation ended in ‘bubble’s which expanded to join up. But Hawking and others pointed out that the bubbles were expanding so fat they could never join up. In 1981 the Russian Andre Linde proposed that the bubble problem would be solved if  a) the symmetry broke slowly and b) the bubbles were so big that our region of the universe is all contained within a single bubble. Hawking disagreed, saying Linde’s bubbles would each have to be bigger than the universe for the maths to work out, and counter-proposing that the symmetry broke everywhere at the same time, resulting in the uniform universe we see today. Nonetheless Linde’s model became known as the ‘new inflationary model’, although Hawking considers it invalid.

[In these pages we get a strong whiff of cordite. Hawking is describing controversies and debates he has been closely involved in and therefore takes a strongly partisan view, bending over backwards to be fair to colleagues, but nonetheless sticking to his guns. In this chapter you get a strong feeling for what controversy and debate within this community must feel like.)

Hawking prefers the ‘chaotic inflationary model’ put forward by Linde in 1983, in which there is no phase transition or supercooling, but which relies on quantum fluctuations.

At this point he introduces four ideas which are each challenging and which, taken together, mark the most difficult and confusing part of the book.

First he says that, since Einstein’s laws of relativity break down at the moment of the singularity, we can only hope to understand the earliest moments of the universe in terms of quantum mechanics.

Second, he says he’s going to use a particular formulation of quantum mechanics, namely Richard Feynman’s idea of ‘a sum over histories’. I think this means that Feynman said that in quantum mechanics we can never know precisely which route a particle takes, the best we can do is work out all the possible routes and assign them probabilities, which can then be handled mathematically.

Third, he immediately points out that working with Feynman’s sum over histories approach requires the use of ‘imaginary’ time, which he then goes on to explain.

To avoid the technical difficulties with Feynman’s sum over histories, one must use imaginary time. (p.134)

And then he points out that, in order to use imaginary time, we must use Euclidean space-time instead of ‘real’ space-time.

All this happens on page 134 and was too much for me to understand. On page 135 he then adds in Einstein’s idea that the gravitational field us represented by curved space-time.

It is now that he pulls all these ideas together to assert that, whereas in the classical theory of gravity, which is based on real space-time there are only two ways the universe can behave – either it has existed infinitely or it had a beginning in a singularity at a finite point in time; in the quantum theory of gravity, which uses Euclidean space-time, in which the time direction is on the same footing as directions in space it is possible:

for space-time to be finite in extent and yet to have no singularities that formed a boundary or edge.

In Hawking’s theory the universe would be finite in duration but not have a boundary in time because time would merge with the other three dimensions, all of which cease to exist during and just after a singularity. Working backwards in time, the universe shrinks but it doesn’t shrink, as a cone does, to a single distinct point – instead it has a smooth round bottom with no distinct beginning.

The Hartle-Hawking no boundary Hartle and Hawking No-Boundary Proposal

The Hartle-Hawking no boundary Hartle and Hawking No-Boundary Proposal

Finally Hawking points out that this model of a no-boundary universe derived from a Feynman interpretation of quantum gravity does not give rise to all possible universes, but only to a specific family of universes.

One aspect of these histories of the universe in imaginary time is that none of them include singularities – which would seem to render redundant all the work Hawking had done on black holes in ‘real time’. He gets round this by saying that both models can be valid, but in order to demonstrate different things.

It is simply a matter of which is the more useful description. (p.139)

He winds up the discussion by stating that further calculations based on this model explain the two or three key facts about the universe which all theories must explain i.e. the fact that it is clumped into lumps of matter and not an even soup, the fact that it is expanding, and the fact that the background radiation is minutely uneven in some places suggesting very early irregularities. Tick, tick, tick – the no-boundary proposal is congruent with all of them.

It is a little mind-boggling, as you reach the end of this long and difficult chapter, to reflect that absolutely all of it is pure speculation without a shred of evidence to support it. It is just another elegant way of dealing with the problems thrown up by existing observations and by trying to integrate quantum mechanics with Einsteinian relativity. But whether it is ‘true’ or not, not only is unproveable but also is not really the point.

Chapter 9 The Arrow of Time (pp.143-153)

If Einstein’s theory of general relativity is correct and light always appears to have the same velocity to all observers, no matter what position they’re in or how fast they’re moving, THEN TIME MUST BE FLEXIBLE. Time is not a fixed constant. Every observer carries their own time with them.

Hawking points out that there are three arrows of time:

  • the thermodynamic arrow of time which obeys the Second Law of Thermodynamics namely that entropy, or disorder, increases – there are always many more disordered states than ordered ones
  • the psychological arrow of time which we all perceive
  • the cosmological arrow of time, namely the universe is expanding and not contracting

Briskly, he tells us that the psychological arrow of time is based on the thermodynamic one: entropy increases and our lives experience that and our minds record it. For example, human beings consume food – which is a highly ordered form of energy – and convert it into heat – which is a highly disordered form.

Hawking tells us that he originally thought that, if the universe reach a furthest extent and started to contract, disorder (entropy) would decrease, and everything in the universe would happen backwards. Until Don Page and Raymond Laflamme, in their different ways, proved otherwise.

Now he believes that the contraction would not occur until the universe had been almost completely thinned out and all the stars had died i.e. the universe had become an even soup of basic particles. THEN it would start to contract. And so his current thinking is that there would be little or no thermodynamic arrow of time (all thermodynamic processes having come to an end) and all of this would be happening in a universe in which human beings could not exist. We will never live to see the contraction phase of the universe. If there is a contraction phase.

Chapter 10: The Unification of Physics (pp.155-169)

The general theory of relativity and quantum mechanics both work well for their respective scales (stars and galaxies, sub-atomic particles) but cannot be made to mesh, despite fifty of more years of valiant attempts. Many of the attempts produce infinity in their results, so many infinities that a strategy has been developed called ‘renormalisation’ which gets rid of the infinities, although Hawking conceded is ‘rather dubious mathematically’.

Grand Unified Theories is the term applied to attempts to devise a theory (i.e. a set of mathematical formulae) which will take account of the four big forces we know about: electromagnetism, gravity, the strong nuclear force and the weak nuclear force.

In the mid-1970s some scientists came up with the idea of ‘supergravity’ which postulated a ‘superparticle’, and the other sub-atomic particles variations on the super-particle but with different spins. According to Hawking the calculations necessary to assess this theory would take so long nobody has ever done it.

So he moves onto string theory i.e. the universe isn’t made up of particles but of open or closed ‘strings’, which can join together in different ways to form different particles. However, the problem with string theory is that, because of the mathematical way they are expressed, they require more than four dimensions. A lot more. Hawking mentions anywhere from ten up to 26 dimensions. Where are all these dimensions? Well, strong theory advocates say they exist but are very very small, effectively wrapped up into sub-atomic balls, so that you or I never notice them.

Rather simplistically, Hawking lists the possibilities about a complete unified theory. Either:

  1. there really is a grand unified theory which we will someday discover
  2. there is no ultimate theory but only an infinite sequence of possibilities which will describe the universe with greater and greater, but finite accuracy
  3. there is no theory of the universe at all, and events will always seems to us to occur in a random way

This leads him to repeat the highfalutin’ rhetoric which all physicists drop into at these moments, about the destiny of mankind etc. Discovery of One Grand Unified Theory:

would bring to an end a long and glorious chapter in the history of humanity’s intellectual struggle to understand the universe. But it would also revolutionise the ordinary person’s understanding of the laws that govern the universe. (p.167)

I profoundly disagree with this view. I think it is boilerplate, which is a phrase defined as ‘used in the media to refer to hackneyed or unoriginal writing’.

Because this is not just the kind of phrasing physicists use when referring to the search for GUTs, it’s the same language biologists use when referring to the quest to understand how life derived from inorganic chemicals, it’s the same language the defenders of the large Hadron Collider use to justify spending billions of euros on the search for ever-smaller particles, it’s the language used by the guys who want funding for the Search for Extra-Terrestrial Intelligence), it’s the kind of language used by the scientists bidding for funding for the Human Genome Project.

Each of these, their defenders claim, is the ultimate most important science project, quest and odyssey ever,  and when they find the solution it will for once and all answer the Great Questions which have been tormenting mankind for millennia. Etc. Which is very like all the world’s religions claiming that their God is the only God. So a) there is a pretty obvious clash between all these scientific specialities which each claim to be on the brink of revealing the Great Secret.

But b) what reading this book and John Barrow’s Book of Universes convinces me is that i) we are very far indeed from coming even close to a unified theory of the universe and more importantly ii) if one is ever discovered, it won’t matter.

Imagine for a moment that a new iteration of string theory does manage to harmonise the equations of general relativity and quantum mechanics. How many people in the world are really going to be able to understand that? How many people now, currently, have a really complete grasp of Einsteinian relativity and Heisenbergian quantum uncertainty in their strictest, most mathematical forms? 10,000? 1000,000 earthlings?

If and when the final announcement is made who would notice, who would care, and why would they care? If the final conjunction is made by adapting string theory to 24 dimensions and renormalising all the infinities in order to achieve a multi-dimensional vision of space-time which incorporates both the curvature of gravity and the unpredictable behaviour of sub-atomic particles – would this really

revolutionise the ordinary person’s understanding of the laws that govern the universe?

Chapter 11 Conclusion (pp.171-175)

Recaps the book and asserts that his and James Hartle’s no-boundary model for the origin of the universe is the first to combine classic relativity with Heisenberg uncertainty. Ends with another rhetorical flourish of trumpets which I profoundly disagree with for the reasons given above.

If we do discover a complete theory, it should in time be understandable in broad principle by everyone, not just a few scientists. Then we shall all, philosophers, scientists, and just ordinary people, be able to take part in the discussion of the question of why it is that we and the universe exist. If we find the answer to that, it would be the ultimate triumph of human reason. (p.175)

Maybe I’m wrong, but I think this is a hopelessly naive view of human nature and culture. Einstein’s general theory has been around for 104 years, quantum mechanics for 90 years. Even highly educated people understand neither of them, and what Hawking calls ‘just ordinary people’ certainly don’t – and it doesn’t matter. 

Thoughts

Of course the subject matter is difficult to understand, but Hawking makes a very good fist of putting all the ideas into simple words and phrases, avoiding all formulae and equations, and the diagrams help a lot.

My understanding is that A Brief History of Time was the first popular science to put all these ideas before the public in a reasonably accessible way, and so opened the floodgates for countless other science writers, although hardly any of the ideas in it felt new to me since I happen to have just reread the physics books by Barrow and Davies which cover much the same ground and are more up to date.

But my biggest overall impression is how provisional so much of it seems. You struggle through the two challenging chapters about black holes – Hawking’s speciality – and then are casually told that all this debating and arguing over different theories and model-making had gone on before any black holes were ever observed by astronomers. In fact, even when Hawking died, in 2018, no black holes had been conclusively identified. It’s a big shame he didn’t live to see this famous photograph being published and confirmation of at least the existence of the entity he devoted so much time to theorising about.


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The Last Three Minutes by Paul Davies (1994)

The telescope is also a timescope. (p.127)

Davies (b.1946) is an English physicist, writer and broadcaster. He’s written some 25 books, and hosted radio and TV series popularising science, especially in the areas of cosmology and particle physics, with a particular interest in the links between modern scientific theory and religion – hence his books God and the New Physics and The Mind of God.

The Last Three Minutes was his sixteenth book and part of the Science Masters series, short, clear primers written by experts across all areas of science. The advantage of The Last Three Minutes is that it is a clear explication of all the theories in this area; the drawback is that it is now precisely 25 years out of date, a long time in a fast-moving field like cosmology.

On the plus side, although the book might not capture the very latest discoveries and thinking, many of its basic facts remain unchanged, and many of those facts are enough to make the layman gawp in wonder before Davies even begins describing the wild and diverse cosmological theories.

1. Doomsday

The nearest star, Proxima Centauri, is 4.24 light years – twenty-four trillion years – away. Our galaxy is named the Milky Way. Until the 1920s astronomers thought all the stars in the universe were in the Milky Way. The observations of Edwin Hubble proved that the Milky Way is only one among billions of galaxies in the universe. The Milky Way is estimated to be somewhere around 200 light-years across. It might contain anything between 100 and 400 billion stars.

Our solar system is located about 26,000 light-years from the Galactic Centre on the inner edge of the Orion Arm, one of the spiral-shaped concentrations of gas and dust. The Milky Way is rotating. The sun and its retinue of planets take about 200 million years to rotate around the Galactic Centre.

The Earth could be destroyed by impact with any of the following:

  • asteroids, which are usually confined to a belt between Mars and Jupiter, but can be toppled out by passage of Jupiter’s mass
  • comets, believed to originate in an invisible cloud about a light year from the sun
  • giant clouds of gas won’t affect us directly but might affect the heat flow from the sun, with disastrous consequences
  • the Death Star some astronomers believe our sun may be part of a double-star system, with a remote twin star which may never be visible from Earth, but perturb elements in the system, such as our own orbit, or asteroids or comets

2. The Dying Universe

In 1856 the German physicist Hermann von Helmholtz proposed that the universe is dying because the heat in it will eventually become so evenly distributed that no heat passes from one area to another, no chemical reactions are possible, the universe reaches ‘thermodynamic equilibrium’ and is dead. In English this became known as the ‘heat death’ theory. In 1865 physicist Rudolf Clausius coined the term ‘entropy’ meaning ‘the unavailability of a system’s thermal energy for conversion into mechanical work, often interpreted as the degree of disorder or randomness in the system’. The heat death idea became widely accepted.

Davies points out that it’s odd that so many brainy people didn’t draw the obvious conclusion from the heat death idea, for if a) the universe is winding down towards a heat death and b) it has existed forever, then c) it would have died already. The fact that the universe is still full of wildly uneven distributions of energy and heat shows that it must have had a beginning.

Moreover, calculation of the mass of the universe should have indicated that a static universe would collapse in upon itself, clumps of matter slowly attracting each other, becoming larger and heavier, until all the matter in the universe is in one enormous ball.

The fact that the universe still has huge variations in heat indicates that it has not been around forever, i.e. it had a beginning. And the fact that it hasn’t collapsed suggests that a force equal or greater to gravity is working to drive the matter apart.

He explains Heisenberg’s Uncertainty Principle according to which ‘quantum particles do not possess sharply defined values for all their attributes’, and one of the odder consequences of  this, which is the existence of ‘quantum vacuums’ which are in fact full of incredibly short-lived ‘virtual’ particles popping in and out of existence.

3. The First Three Minutes

Davies recapitulates the familiar story that Edwin Hubble in the 1920s detected the red-shift in light which indicated that distant galaxies are moving away from us, and the further way they are, the faster they’re moving – overthrowing millenia of dogma by showing that the universe is moving, dynamic, changing.

Presumably, if it is moving outwards and expanding, it once had an origin. In 1965 astronomers detected the uniform background radiation which clinched the theory that there had, at some point in the distant past, been an explosion of inconceivable violence and intensity. The so-called cosmic microwave background (MCB) radiation is the remnant.

Further observation showed that it is uniform in every direction – isotropic – as theory predicts. But how did the universe get so lumpy? Astrophysicists speculated this must be because in initial conditions the explosion was not in fact uniform, but contained minute differentials.

This speculation was confirmed in 1992 when the Cosmic Background Explorer satellite detected ripples or unevenness in the MCB.

Complicated calculations predicted the likely ratios of key elements in the universe and these, also have been proved to be correct.

Taken together the expansion of the universe, the cosmic background radiation, and the relative abundance of the chemical elements strongly support the theory of a big bang.

Davies then explains modern theories of ‘inflation’ i.e. that the bang didn’t lead to a steady (if fast) rate of expansion of the early universe but, within milliseconds, experienced a short inconceivable process of ‘inflation’, in which anti-gravity pushed the exploding singularity into hyper-expansion.

The theory of inflation is called for because it solves problems about the existence and relative abundance of certain sub-atomic particles (magnetic monopoles), and also helps explain the unevenness of the resultant universe.

4. Stardoom

In February 1987 Canadian scientists based at an observatory in Chile noticed a supernova. This chapter explains how stars work (the fusion of hydrogen into helium releasing enormous amounts of energy) but that this outwards radiation of energy is always fighting off the force of gravity created by its dense core and that, sooner or later, all stars die, becoming supernovas, red dwarfs, red giants, white dwarfs, and so on, with colourful descriptions of each process.

Our sun is about half way through its expected life of 10 billion years. No need to panic yet.

He explains gravitational-wave emission.

5. Nightfall

Beginning with the commonplace observation that, eventually, every star in every galaxy will die, this chapter then goes on to describe some abstruse aspects of black holes, how they’re made, and unexpected and freakish aspects of their condition as stars which have collapsed under the weight of their own gravity.

John Wheeler coined the term ‘black hole’.

6. Weighing the Universe

If we all accept that the universe began in a cataclysmic Big Bang, the question is: Will it carry on expanding forever? Or will the gravity exerted by its mass eventually counteract the explosive force, slow the expansion to a halt, and then cause the universe to slowly but surely contract, retreating back towards a Big Crunch

Davies tells us more about neutrinos (one hundred billion billion of which are penetrating your body every second), as well as Weakly Interacting Massive Particles, or WIMPs.

The basic problem is that all the suns and other objects in the observable universe get nowhere near the mass required to explain the relatively slow expansion of the universe. There must be a huge amount of matter which we can’t see: either because it is sub-atomic, or hidden in black holes, or for some other reason.

Hence the talk over the last thirty years of more of the search for ‘dark matter’ which astrophysicists estimate must outweigh the visible matter in the universe by anything from ten to one to a hundred to one. Anyway,

Given our present state of knowledge, we cannot say whether the universe will expand forever or not. (p.79)

7. Forever Is A Long Time

Consideration of the nature of infinity turns into a description of the Hawking effect, Stephen Hawking’s theory that black holes might not trap everything, but might in fact emit a low level of radiation due to the presence of virtual vacuums in which quantum particles pop into existence in pairs on the event horizon of the hole, one particle getting sucked inside and producing a little flash of energy, the other escaping, and using that burst of energy to convert from being a temporary virtual particle into a real, lasting one.

This is one aspect of the likely fate of black holes which is to collapse evermore on themselves until they expire in a burst of radiation. Maybe.

He moves on to consider the periodicity of proton decay, the experiment set up in a tank of water deep underground in Cleveland Ohio which failed to measure a single proton decay. Why?

If protons do decay after an immense duration, the consequences for the far future of the universe are profound. All matter would be unstable, and would eventually disappear. (p.96)

He paints a picture of the universe in an inconceivably distant future, vast beyond imagining and full of ‘an inconceivably dilute soup of photons, neutrinos, and a dwindling number of electrons and positrons, all slowly moving farther and farther apart’ (p.98).

8. Life In the Slow Lane

Davies undermines his credibility by speculating on the chances of humanity’s survival in a universe winding down. Maybe we can colonise the galaxy one star system at a time. If we can build spaceships which travel at only 1% the speed of light, it would only take a few centuries to travel to the nearest star. The ships could be self-contained mini-worlds. Or people could be put into hibernation. Better still a few engineers would take along hundreds of thousands of fertilised embryos to be grown on arrival. Or we could genetically engineer ourselves to survive different atmospheres and gravities. Or we could create entities which are half organic matter, half silicon-based intelligence.

He writes as if his book needs to address what he takes to be a widespread fear or anxiety that mankind will eventually – eventually – go extinct. Doesn’t bother me.

Davies describes the work done by some physicists (Don Page and Randall McKee) to calculate the rate at which the black holes which are predicted to become steadily more common – this is tens of billions of years in the future – a) decay and b) coalesce. It is predicted that black holes might fall into each other. Since they give off a certain amount of Hawking radiation, the bigger the black hole, the cooler at the surface and the more Hawking radiation it will give off and, Davies assures us, some technologically advanced descendant of humanity may, tens of billions of years in the future, just may be able to tap this radiation as an energy source to keep on surviving and thinking.

Apparently John Barrow and Frank Tipler have speculated on how we could send nuclear warheads to perturbate the orbits of asteroids, sending them to detonate in the sun, which would fractionally alter its course. Given enough it could be steered towards other stars. In time new constellations of stars – maybe entire galaxies – could be manipulated in order to suit our purposes, to create new effects of gravity or heat which we could use.

Meanwhile, back in reality, we can’t even leave the EU let alone the solar system.

9. Life In the Fast Lane

The preceding discussions have been based on the notion of infinite expansion of a universe which degenerates to complete heat death. But what if it reaches an utmost expansion and… starts to contract. In, say, a hundred billion years’ time.

There follows a vivid science fiction-ish account of the at-first slowly contracting universe, which then shrinks faster and faster as the temperature of the background radiation relentlessly rises until it is hundreds of degrees Kelvin, stripping away planetary atmospheres, cooking all life forms, galaxies crushing into each other, black holes coalescing, the sky turning red, then yellow, then fierce white. Smaller and hotter till is it millions of degrees Kelvin and the nuclei of atoms fry and explode into a plasma of sub-atomic particles.

Davies speculates that an advanced superbeing may have created communications networks the breadth of the universe which allow for an extraordinary amount of information processing. If it is true that the subjective experience of time is related to the amount of information we process, then a superbeing which process an almost infinite amount of information, would slow down subjective time. In fact it might cheat death altogether by processing so much information / thought, that it slows time down almost to a standstill, and lives on in the creation of vast virtual universes.

10. Sudden Death – and rebirth

If the preceding chapter seems full of absurdly fanciful speculation, recall that Davies is being paid to work through all possible versions of the Last Three Minutes. The book is sub-titled conjectures about the ultimate fate of the universe.

So far he has described:

  1. eternal expansion and the cooling of the universe into a soup of sub-atomic particles: in which case there is no last three minutes
  2. the preceding chapter discusses what a Big Crunch would be like, the physical processes which would degrade the universe and he has clearly taken as part of his brief trying to speculate about how any sentient life forms would cope

In this chapter he discusses a genuinely unnerving scenario proposed by physicists Sidney Coleman and Frank de Luccia in 1980. Davies has already explained what a virtual vacuum is, a vacuum seething with quantum particles popping in and out of existence. We know therefore that there are different levels of ‘vacuum’, and we know that all thermodynamic systems seek the lowest sustainable level of energy.

What if our entire universe is in an artificially raised, false vacuum? What if a lower, truer form of genuinely empty vacuum spontaneously erupts somewhere and then spreads like a plague at the speed of light across the universe? It would create a bow wave in which matter would be stripped down to sub-atomic particles i.e. everything would be destroyed, and a new value of gravity which would crunch everything together instantaneously. The Big Crunch would come instantaneously with no warning.

Astronomer Royal Martin Rees spooked the cosmology community by pointing out that the experiments in sub-atomic particles currently being carried out by physicists might trigger just such a cataclysm.

Conversely, Japanese physicists in 1981 floated the possibility of creating a new universe by creating a small bubble of false vacuum. The prediction was that the bubble of false vacuum would expand very quickly but – here’s the bit that’s hard to visualise – without affecting our universe. Alan Guth, the man who developed the inflation theory of the early universe, worked on it with colleagues and predicted that, although an entirely new universe might appear and hugely expand in milliseconds, it would do so into a new space, creating a new universe, and have little or no impact on our one.

Maybe that’s how our universe began, as a baby budding off from an existing universe. Maybe there is an endless proliferation of universes going on all the time, everywhere. Maybe they can be created. Maybe our universe was created by intelligent beings in its parent universe, and deliberately endowed with the laws of chemistry and physics which encourage the development of intelligent life. Or maybe there is a Darwinian process at work, and each baby universe carries the best traits of its parents onwards and upwards.

For me, the flaw of all this type of thinking is that it all starts from the axiom that human intelligence is somehow paramount, exceptional, correct, privileged and of immense transcendent importance.

In my opinion it isn’t. Human beings and human intelligence are obviously an accident which came into being to deal with certain conditions and will pass away when conditions change. Humanity is a transient accident, made up of billions of transient entities.

11. Worlds Without End?

A trot through alternative versions of The End. As early as the 1930s, Richard Tolman speculated that after each big crunch the universe is born again in another big bang, creating a sequence or rebirths. Unfortunately, a number of factors militate against complete regularity; the contraction period would create unique problems to do with the conversion of mass into radiation which would mean the starting point of the next singularity would be different – more degraded, less energy – than the one before.

In 1983 the Russian physicist Andre Linde speculated that the quantum state of the early universe might have varied from region to region, and so different regions might have experienced Alan Guth’s hyper-inflationary growth at different rates.

There might be millions of bubble universes all expanding at different rates, maybe with different fundamental qualities. A kind of bubble bath of multiple universes. We find ourselves in one of them but way off, beyond the limit of our vision, there may be an infinity of alternatives.

There is no end to the manufacture of these baby universe, and maybe no beginning.

Lastly, Davies re-examines the ‘steady state’ version of the universe propounded by Hermann Bondi and and Thomas Gold in the 1950s. They conceded the universe is expanding but said it always has. They invented ‘the creation field’ which produced a steady stream of new matter to ensure the expanding universe was always filled with the same amount of matter, and therefore gravity, to keep it stable. Their theory is another way of dispensing of an ‘end’ of the universe, as of a ‘beginning’, but it suffers from logical problems and, for most cosmologists, was disproved by the discovery of the microwave background radiation in 1965.


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2061: Odyssey Three by Arthur C. Clarke (1987)

Clarke’s famous characters

I was struck by the cosy, clubby, collegiate atmosphere created by this novel. Although it’s meant to be about far-out events at the limits of human understanding, a thriller-cum-disaster story set at the remote end of the solar system – it often feels more like an after-dinner conversation at a gentleman’s club.

Every character is the ‘best in the world’ at their trade. Thus, at the captain’s table aboard the spaceship Universe, sit a typical cross-section of the planet’s great and good: ‘the planet’s best known science communicator’, a leading classical conductor, the first man to land on Mercury, the famous movie star Yva Merlin, and the planet’s best-known popular writer. We learn that the man who paid for Universe to be built is, of course, the richest man in the world, ‘the legendary Sir Lawrence Tsung’ (p.31).

These characters all know each other, share the same kind of rational approach to the world, give each other the same kind of nicknames, cultivate a knowing cliqueyness. Thus the notable passengers on the Universe who I’ve listed above are immediately nicknamed ‘the Famous Five’ by the other civilian passenger, the world famous scientist Dr Heywood Floyd (who appears in 2001: A Space Odyssey and is the key figure in 2010: Odyssey Two).

Even when new characters are introduced, such as the Afrikaaner Rolf van der Berg, who appears in what is at first a standalone strand of the plot, he is quickly bound into the club of the internationally famous by virtue of the fact that his uncle, Dr Paul Kreuger, was eminent enough to nearly be awarded a Nobel prize for particle physics (he was only disqualified because of political concerns about apartheid).

Something very similar happened a few years ago when I read through the adventure novels of Alistair MacLean in chronological order. The early ones are about nobodies who perform amazing feats battling Soviet agents or criminal gangs. But as they go on, they get worse, and MacLeans’s novels really began to go really downhill when they started to feature famous people (not real famous people – fictional famous people, the greatest racing driver, the most famous circus performer, the eminent film star, and so on).

You could call it laziness, or a fatal temptation for authors who have to churn out popular fiction by the yard – but you can see how, in a novel about nobodies, you have to earn the reader’s interest and attention; whereas, by contrast, if you start your story with a cast list which already includes the world’s most famous novelist, the world’s most famous conductor, the world’s most famous nuclear physicist, the world’s most famous space explorer and so on… then you can kind of demand the reader’s attention, as if they were reading the gossip column in Tatler or The Spectator.

It’s a kind of fictional short cut to trying to involve us. It’s like he’s expecting us to give him our respect and attention merely for the high falutin’ company he keeps, before he’s even started the story.

In these pally, clubby circles everyone is eminent enough to have been discussed in the papers and magazines and had their private lives pawed over. Which explains why famous characters aren’t introduced in their own right, but as the famous so-and-so who some critics / papers / colleagues criticise for his x, y, z public behaviour. This allows the author to then enact another cheap fictional strategy, which is – having invented various scandals or misunderstandings which dog the reputation of famous person x, y or z, to then present us as the man on the inside, the one in the know who is going to share the real reasons behind scandal x, y or z. It is the strategy of the gossip columnist, not the novelist.

And also, in these pally, clubby circles, everyone has nicknames for each other. Thus Floyd nicknames his fellow guests ‘the Famous Five’, but four of them quickly nickname the best-selling novelist Margaret M’Bala Maggie M (p.71). Later on, when Heywood comes up with a plan to use water from Halley’s Comet to fuel the Universe, despite some risks, he is quickly nicknamed ‘Suicide’ Floyd by the sceptics (p.176).

And when they’re not nicknaming each other, the characters are quick to come up with jokey nicknames for the space features they’re discovering, chirpy, jokey names which domesticates the bleak and weird features of space and brings even them into the cosy circle, the confident cabal of Clarke’s top men in their field. The habit of nicknaming which I’ve described among the little clique of VIPs aboard the Universe is shared by the crews of every other space ship and by astronomers back on Earth. That’s my point. These are all the same kind of people with the same sense of humour.

  • it looked exactly like a terrestrial geyser and had been promptly christened ‘Old Faithful’ (p.22)
  • the fifteen-hundred-kilometre-long feature that’s been christened the Grand Canal (p.38)
  • a perfectly straight two-kilometre-long feature which looked so artificial that it was christened the Great Wall. (p.136)

There is lots of ‘wry’ humour, ‘rueful’ remarks, ‘wry’ jokes and ‘rueful’ expressions. I’ve never really understood what wry and rueful mean. I can look them up in a dictionary, but I’m not sure I’ve ever seen someone give a ‘wry smile’. It’s the kind of phrase you only read in popular fiction.

  • Maggie M viewed the situation with rueful amusement. (p.200)
  • ‘By the time I abandoned Shaka,’ she wryly admitted, ‘I knew exactly what a modern Germans feels about Hitler.’ (p.209)

Not much of this is actually funny, and it has an undermining effect on the book’s tone. If you’re writing a thriller you need to be very confident of yourself to include lots of supposed humour. The risk is it won’t be funny but will work to undermine the necessary tension and suspense. This is what happened to Alistair MacLean – he got more and more jokey and less and less gripping or believable.

And, as I pointed out in my review of 2010: Odyssey Two, even if you make one of your characters comment on the fact that they appear to be in a cheap pulp melodrama – that doesn’t deflect the allegation, it’s an admission.

It was uncomfortably like one of those cheap ‘mad scientist’ melodramas… (p.146)

Clarke turned 70 as the book neared completion. Later, he would be knighted. So maybe that’s another reason for this rather self-satisfied and clubby atmosphere: maybe it reflects the mind of a man rich in honours and achievements, a genuine pioneer in science thinking as well as fiction, an incredibly effective populariser of all kinds of ideas from satellites to mobile phones to scuba diving, a man who had an amazingly distinguished life and career, who knew everyone, who was garlanded with honours. Maybe this book accurately reflects what that feels like.

Why Clarke’s predictions failed

As the title suggests, the book is set in 2061, sixty years after the alien monolith was discovered on the moon which kick-started this whole series.

Any sci-fi author writing about the future has to throw in some major events to pad out, to add ballast to their supposed future history, the obvious one being a nuclear war.

Clarke is no exception to this rule and predicts that by 2061 there will have been a short nuclear war carried out by two minor powers and only involving two bombs (I wonder if he was thinking about India and Pakistan). In light of this poisonous little conflict, Russia, America and China promptly band together to ban nuclear weapons and so the world is at peace (p.28).

Later on we learn that there has been a Third Cultural Revolution in China (there had already been a second one by the time of the 2010 book). Oh yes, and there has been the Great Californian Earthquake which reduced most of the state to flaming rubble (p.26).

In other words, Clarke’s treatment of history is the same kind of lightweight caricature as his treatment of his ‘famous’ characters – a lamentably simplistic, cartoon view of human affairs, of history, economics, geopolitics and so on, which can all be summarised in a few throwaway brushstrokes.

Like so many of the sci-fi writers of his generation (who all came to eminence in the 1950s), Clarke thinks there’ll be a nuclear war or two which will teach ‘humanity’ the errors of its ways, which will end war and conflict, and so, with the money saved, ‘mankind’ will invent a hyperdrive and set off to colonise the stars.

This simple-minded delusion is so basic to so many of these narratives that you could call it Science Fiction’s foundational myth.

This iteration of it – 2061: Odyssey Three – follows the myth exactly:  the small nuclear war leads to peace, which leads to a ‘peace dividend’, which funds the inevitable development of a new ‘space drive’, and so on to ever-widening space exploration.

Scientifically careful, as always, Clarke attributes the ability to travel at speed through space to a new ‘drive’ based on the development of muonium-hydrogen compounds in the 2040s. As a result – and as so often -the solar system is soon littered with human colonies on all the habitable planets and the moons of the gas giants, as well as various space stations in orbit, and a busy traffic of shuttles and freighters popping between them.

Seeking clues as to why – contrary to the confident predictions of Asimov, Blish, Bradbury, Clarke and so many other sci-fi writers – none of this has happened, I think there are two main reasons:

1. Erroneous comparison with other technologies

Clarke makes a profoundly mistaken comparison between air travel and space.

The Wright brothers made ‘the first controlled, sustained flight of a powered, heavier-than-air aircraft on December 17, 1903, four miles south of Kitty Hawk, North Carolina’. Only 50 years later passengers were sitting in first class while globe-spanning jet airliners flew them to Australia.

I.e it took just fifty years for the technology of manned flight to be transformed out of all recognition and to become commonly available to anyone with the cash.

In my opinion Clarke then makes the very false assumption that space travel will also proceed in the same kind of unstoppable leaps and bounds, from early primitive experiments to widespread commercial availability in a similar timespan – from Sputnik (1957) through the first men on the moon (1969), the first space shuttle in 1982 to the crewing of the International Space Station in 2000 and he then projects that forward onto bases on the moon, then Mars, then manned flights to Venus, then the new space drive and boom!

All so easy when you’re writing novels, essays and brochures for NASA.

2. Failure to understand economics

The analogy doesn’t hold because of simple economics. The space shuttle project cost some $210 billion, and each launch of a space shuttle cost over a billion dollars (until the last launch in 2011).

No commercial company can afford to spend this much. No commercial company will ever be able to make a profit out of space travel, either for tourists or for natural resources.

Only governments can fund this sort of cost, and even then only the governments of major powers, and even then only if there are demonstrable scientific, technological or geopolitical benefits. The Americans only put a man on the moon because they felt they were in a life-or-death struggle against Soviet Russia. The edge of that rivalry was wearing out in the 1980s and collapsed with the end of the Soviet Union in 1990.

There never was a commercial imperative for space travel and now there is next to no geopolitical motive. I predict there will never be a base on the moon. There will certainly never be ‘bases’ on Mars, let alone any of the other planets or moons. It just costs vastly too much, and for little or no payback.

3. Confusing space enthusiasts with ‘all mankind’

A related passage indicates another error in Clarke’s thinking. He was in the middle of explaining how ‘mankind’s thirst for knowledge pushed them on to explore blah blah blah’, when I realised, there’s the problem.

Clarke makes the common error of thinking that the subjects, activities and achievements which he has devoted his life to – are of interest to all mankind. Unfortunately, astronomy, astrophysics, space engineering, astronautics and all the rest of it are, at the end of the day, a very small minority interest. However:

1. Within the fictions, naturally enough, all the characters have dedicated their lives to these matters, and so his books – like those of Asimov or Blish – give the impression that the whole world cares as passionately about the aphelion of Io or the temperature on Callista, as they do.

2. There is a megalomania about science fiction as a genre. Pretty much from the start, from the minute H.G. Wells’s Martians emerged from their spaceships back in 1897, science fiction has dealt with global threats and an absolute central assumption of thousands of its stories is that the world will be saved by a handful of heroes. That the entire world will look up as the alien spaceships are destroyed by Will Smith and Jeff Goldblum in Independence Day.

To make it clearer – on page 83 of this book Clarke writes that really major scientific discoveries, the ones that shatter the entire worldview of a culture, don’t come along very often:

Galileos and Einsteins seldom appear more than once per century, which is just as well for the equanimity of mankind.

Just what does he mean here by ‘mankind’? Galileo published his discoveries in the 1630s, while Europe was being wracked by the Thirty Years War. Was the average European’s view of life turned upside down? No. Most Europeans were illiterate. What about the inhabitants of north or south America, Australia, Africa, or Asia? I don’t think they were too bothered either. So by ‘mankind’, Clarke is clearly referring to a tiny sub-set of Western European intellectuals.

Also, obviously enough, he has chosen two guys – Galileo and Einstein – who made big changes to the way we see the universe, to astronomy and astrophysics.

But Darwin’s theory had arguably the most seismic impact on the West, making Christian faith significantly harder to believe, while Fleming’s discovery of penicillin has had more impact on human life than any other scientific discovery ever, by saving probably billions of lives.

In Clarke’s prophecy when the major powers step in to prevent a nuclear war, it signals the end of all wars which results, of course, in a ‘peace dividend’ and, Clarke cheerfully informs us, ‘humanity’ then decides to devote this enormous amount of money to just the kind of things Clarke thinks are important, like exploring the solar system.

The flaw is when Clarke identifies the ambition and interests of a tiny minority of the earth’s population with ‘humanity’. It is, basically, identifying his own interests with all of ‘humanity’.

But the overwhelming majority of ‘earth’s population’ doesn’t want to spend hundreds of billions of dollars in constructing spaceships which half a dozen like-minded chaps can have adventures in. Sorry.

4. Confusing America with ‘all mankind’

A common error made by high-profile, high-paid American authors is to think the entire world circles round America and American cultural products.

In pulp magazines, in short stories, in novels, and in Hollywood movies, American science fiction writers have complacently assumed that Americans will bear the brunt of any alien invasion, Americans will defeat the bad guys, Americans will develop all the new technology, including the mythical space drive, Americans will lead the way in colonising space.

The cold reality

Taken together, all these wrong assumptions, false analogies and economic illiteracy, combined with the enormous PR campaign surrounding NASA and the Apollo space programme throughout the 1960s and into the 1970s, misled clever men like Clarke and Asimov into thinking that the whole world shared their passion, and that the outward urge was unstoppable.

Now, in 2019, from Syria to Xinjiang, from Burma to Brazil, people are in the same old trouble they always have been i.e. huge numbers of people are crushingly poor, unfree, victimised, exploited by massive corporations or locked up by the military police. People have other, more pressing priorities. Space is too expensive to travel to or to commercially exploit. These sci-fi stories are fantasy in the literal sense of something which never could and never will happen.

They are yesterday’s futures.

(It was only after thinking this all through that I came upon the following article about the end of the Space Age in, of all places, the New Statesman.)

The plot

When I saw the date (2061) I thought well, at least we won’t have to put up with Dr Heywood Floyd, who was a key figure in 2001: A Space Odyssey and the rather irritating central character of 2010: Odyssey Two.

So I burst out laughing when I discovered that Floyd is in 2061, appearing at the ripe old age of one hundred and three.

How come? Well, it turns out Floyd falls off a hotel balcony during a party to celebrate his return from the 2010-15 Jupiter mission, and breaks so many bones that he’s taken up to the space hospital in orbit round the Earth where he heals slowly but, by the time he does, it’s clear he’ll never be able to walk on Earth again.

So he stays up there for the next 45 years, sipping cocktails and chatting to the other occupants of the hotel, all – it goes without saying – eminent in their fields. A kind of All Souls College in space. Very cosy.

As the story opens a Chinese billionaire has funded the construction of several spaceships, leading up to the state-of-the-art spaceship Universe. Universe is scheduled to fly across the solar system to rendezvous with Halley’s Comet.

Although Clarke’s astrophysics is as precise as ever, the fictional part feels laughable. The Universe has gravity and joining Floyd at the captain’s table for fine wine and Michelin star meals are a selection of the planet’s great and good – ‘the planet’s best known science communicator’, a leading conductor, the first man to land on Mercury, and the planet’s best known popular writer, the ‘Famous Five’ I mentioned earlier.

This long sequence about the comet is only included so that Clarke can publish his (fascinating) speculations about what Halley’s Comet really looks like and what it would be like to land on it. This is genuinely interesting and obviously based on research and an intimate knowledge of space physics. I particularly enjoyed the bit where several scientists go a-wandering in their space suits, down into the spooky subterranean caverns of the comet, complete with their eerie stalactites.

But this entire sequence – the building, launch, docking at a space station, Floyd joining it, the journey to Halley’s Comet, docking with Halley’s Comet, exploring Halley’s Comet – all turns out just to be the hors d’oeuvre to what develops into quite a conventional thriller, albeit set in space.

For while the rich passengers on the Universe are frolicking on Halley’s Comet, hundreds of thousands of kilometres away, the spaceship Galaxy (also owned by richest man in the world, the ‘legendary’ Sir Lawrence Tsung) sent to investigate the moons of what was once the planet Jupiter, is hijacked by a woman with a gun – Rosie Miller – clearly an agent of some Earth power (but who or why remains a mystery), who forces the pilot at gunpoint to set the ship down on the surface of Jupiter’s moon, Europa.

Now it just so happens that out of the several billion human inhabitants of the solar system, the second mate on the spaceship Galaxy is none other than the famous Heywood Floyd’s grandson, Chris.

  1. This continues the book’s strong sense that it is a very small world in which only about twenty people count
  2. It means Floyd is thrown into understandable concern for his grandson and so
  3. He supports the ‘audacious’ plan to refuel Galaxy with water from the geysers of Halley’s Comet and then fly the Universe at top speed to Europa to rescue the Galaxy‘s 30-odd crew.

But it also turns out that 4. young Chris Floyd is himself not what he seems – he is working undercover for Astropol (the futuristic version of Interpol) who had suspected something dodgy was going to happen on the Galaxy. Aha! Mystery. Suspense.

The story turns into two parallel narratives. On Europa the crew of the Galaxy have to keep their ship afloat on the bubbling ‘ocean’ while being blown by its ‘winds’ towards a ‘shore’, all the time worrying about food and life support systems etc.

While, in alternating chapters, we eavesdrop on the harried crew and pampered passengers of the Universe as it travels at over four million kilometres per hour out towards Jupiter/Lucifer.

Young Chris Floyd and the geologist Rolf van der Berg persuade the captain of the Galaxy to let them take the ship’s little shuttle and go on an explore. There’s the usual Clarkean accuracy about the physical difficulty of extracting a shuttle out of a spaceship lying on its side beached on an alien moon, but soon enough they’re puttering across the surface.

They stop right at the foot of what astronomers have for some time been calling Mount Zeus, a vast, straight-sided geometrically clean mountain.

This appears to be what the intrigue was about, what the Rosie hijacked and forced the Galaxy to land for, because Mount Zeus is a diamond, the biggest diamond in the solar system, a diamond weighing a million million tonnes.

Van der Berg collects stray chips and fragments while explaining to Chris Floyd that the collapse of Jupiter into a star flung some of its diamond core outwards, at high speed. Most disappeared into space but this enormous mountain-sized chunk embedded in Europa, causing tectonic upheavals which they can still feel in the form of earth tremors.

Van der Berg sends an enigmatic message up to the radio receiver on another of Jupiter’s moons, Ganymede, which will relay it to Earth. The message is in code designed to tip off his friends on Earth to do something on the stock exchange – although whether knowledge that there exists a diamond the size of Mount Everest will collapse the diamond market forever, or prices will rise for rare Europa diamonds isn’t really made clear. This is a simple flaw at the heart of the ‘thriller’ narrative which is – we never understand why the hijacker forced Galaxy to land and we never really understand the consequences of Van der Berg discovering Mount Zeus is the biggest diamond in the solar system. That thread of the story is left completely unresolved.

Lastly, the two young guys fly over the surface to investigate the Europan avatar of the Monolith. Remember the monolith they found on the moon back in 2001, and then Dave Bowman discovered sticking up out of Japetus and which then multiplied in 2010: Odyssey Two to destroy Jupiter and turn it into a new sun?

Well, yet another version of it is lying sideways on the surface of Europe creating a great two-kilometre-long wall. Abutting against it they see round objects a bit like igloos. Can these be the homes of intelligent life? Nothing is moving around as they guide the shuttle down to land in a snow-covered space between igloos. But it is as they descend that Chris Floyd has a perfectly clear and lucid conversation with his grandfather – who is, of course, millions of kilometres away on Universal – which rather worries van der Berg, who thinks his pilot’s gone mad. Only later is there speculation that it was the monolith using a hologram projection of Heywood Floyd in order to communicate with his grandson. And what does the monolith say? That all the intelligent life forms who live in the igloos have fled because the little space shuttle is poisoning their atmosphere.

End

And then the novel is suddenly all over. Universe rescues everyone from Galaxy and takes them to Ganymede. The adventure ends with more heavy comedy as the human colonists are subjected to ha-ha-hilarious lectures from ‘the Famous Five’.

The ‘thriller’ plot, the entire rationale for the hijacking of Galaxy, the storyline in which Chris Floyd is an agent for Astropol, van der Berg’s cryptic messages about diamonds back to Earth – all these are just dropped. I’ve no idea why Rosie Miller hijacked the ship and I doubt whether the mere existence of a diamond mountain millions of miles from Earth would have any effect on the diamond market.

There’s another massive loose end, which is that, at the end of 2010: Odyssey Two Bowman had conveyed to Earth the warning that humans must never approach Europa. It had been set aside by the guardians for new life forms to flourish on. A couple of probes which flew too close were quickly evaporated, presumably by the guardian monolith.

So how how how how how come a) the Galaxy is able to land and b) Floyd and van der Berg are able to go shuttling all over its surface, poisoning the atmosphere, destabilising the diamond mountain and generally interfering, with no consequences whatsoever.

In all these instances – the prohibition on visiting Europa, the ‘thriller’ / Astropol conspiracy / something secret to do with van der Berg and diamonds – the plotline is just dropped. Galaxy is rescued. Then Hal and Dave and Heywood are having a nice chat. Then a thousand years later, Lucifer goes out. It feels oddly amateurish and half-hearted.

Postscript

There is a kind of postscript. We overhear conversation between the spirit of Dave Bowman, of HAL and of Dr Floyd. Somehow the other two have co-opted Floyd’s spirit, though he is still alive (?).

They recap the idea that the monoliths destroyed Jupiter in order to create a sun which would stimulate the evolution of intelligent life on Europa. But, the thing I don’t understand is that – Jupiter was itself teeming with life, strange vast gasbags blown in the impossible storms of Jupiter which had been described at length by Bowman’s spirit as it penetrated and explored Jupiter’s atmosphere in 2010: Odyssey Two.

That the creation of Lucifer resulted in the end of night on earth, I found upsetting enough. But the fact that in destroying Jupiter, the creators of the monolith destroyed all its life forms seemed to me as callous, brutal, clumsy and unthinking as most human activities. It nullified the sense which 2001 gave so powerfully of the intelligences behind the monolith being ineffably superior. Turns out they make just as questionable judgments as clumsy man.

In fact, right at the end of the story we learn that Mount Zeus was always unstable – having been flung at high speed into Europa by the destruction of Jupiter – and that right at the end, this diamond as big as Mount Everest collapses into Europa’s young seas, wiping out many species including some of the ones the monolith destroyed Jupiter in order to encourage.

It seems like futility piled on futility.

In their final exchanges, Hal and Bowman tell the spirit of Floyd that they want him to remain with them as guardian spirits protecting what life forms have survived on Europa.

Really? Even this is incredible. It took billions of years for mammals to evolve on earth, 30 million or so years for proto-apes to evolve into man. Are Bowman and HAL really going to wait that long?

Clarke has a staggering grasp of the laws of physics and astrophysics which govern the solar system in all its complexity. But his fictions seem to ignore the mind-boggling lengths of time involved in the evolution of species.

Post-postscript

But sure enough, it’s ‘only’ 1,000 years later that the population of Earth one day sees Lucifer collapse and the solar system’s second sun go out. To be precise:

Suddenly, almost as swiftly as it had been born, Lucifer began to fade. The night that men had not known for thirty generations flooded back into the sky. The banished stars returned.

And for the second time in four million years, the Monolith awoke. (final words)

That’s where the novel ends, presumably setting the reader up for the fourth and final novel in the 2001 series, which – I would bet – involves a trip to Europa and a meeting with the other intelligent life in the solar system.


Related links

Arthur C. Clarke reviews

  • Childhood’s End (1953) a thrilling narrative involving the ‘Overlords’ who arrive from space to supervise mankind’s transition to the next stage in its evolution
  • A Fall of Moondust (1961) a pleasure tourbus on the moon is sucked down into a sink of moondust, sparking a race against time to rescue the trapped crew and passengers
  • 2001: A Space Odyssey (1968) a panoramic narrative which starts with aliens stimulating evolution among the first ape-men and ends with a spaceman being transformed into galactic consciousness
  • Rendezvous with Rama (1973) a 50-kilometre-long object of alien origin enters the solar system so the crew of the spaceship Endeavour are sent to explore it
  • 2010: Odyssey Two (1982) Heywood Floyd joins a Russian spaceship on a two-year journey to Jupiter to a) reclaim the abandoned Discovery and b) investigate the enormous monolith on Japetus
  • 2061: Odyssey Three (1987) Spaceship Galaxy is hijacked and forced to land on Europa, a moon of the former Jupiter, but the thriller aspects are only pretexts for Clarke’s wonderful descriptions of landing on Halley’s Comet and the evolution of wild and unexpected new forms of life on Europa

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same future London as The Sleeper Wakes, Denton and Elizabeth defy her wealthy family in order to marry, fall into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – scientists invent a compound which makes plants, animals and humans grow to giant size, prompting giant humans to rebel against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a comet passes through earth’s atmosphere and brings about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Kent, gets caught up in the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1925 Heart of a Dog by Mikhail Bulgakov – a Moscow scientist transplants the testicles and pituitary gland of a dead tramp into the body of a stray dog, with disastrous consequences
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1930 Last and First Men by Olaf Stapledon – mind-boggling ‘history’ of the future of mankind over the next two billion years
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars,

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1950 I, Robot by Isaac Asimov – nine short stories about ‘positronic’ robots, which chart their rise from dumb playmates to controllers of humanity’s destiny
1950 The Martian Chronicles – 13 short stories with 13 linking passages loosely describing mankind’s colonisation of Mars, featuring strange, dreamlike encounters with Martians
1951 Foundation by Isaac Asimov – the first five stories telling the rise of the Foundation created by psychohistorian Hari Seldon to preserve civilisation during the collapse of the Galactic Empire
1951 The Illustrated Man – eighteen short stories which use the future, Mars and Venus as settings for what are essentially earth-bound tales of fantasy and horror
1952 Foundation and Empire by Isaac Asimov – two long stories which continue the future history of the Foundation set up by psychohistorian Hari Seldon as it faces attack by an Imperial general, and then the menace of the mysterious mutant known only as ‘the Mule’
1953 Second Foundation by Isaac Asimov – concluding part of the ‘trilogy’ describing the attempt to preserve civilisation after the collapse of the Galactic Empire
1953 Earthman, Come Home by James Blish – the adventures of New York City, a self-contained space city which wanders the galaxy 2,000 years hence powered by spindizzy technology
1953 Fahrenheit 451 by Ray Bradbury – a masterpiece, a terrifying anticipation of a future when books are banned and professional firemen are paid to track down stashes of forbidden books and burn them
1954 The Caves of Steel by Isaac Asimov – set 3,000 years in the future when humans have separated into ‘Spacers’ who have colonised 50 other planets, and the overpopulated earth whose inhabitants live in enclosed cities or ‘caves of steel’, and introducing detective Elijah Baley to solve a murder mystery
1956 The Naked Sun by Isaac Asimov – 3,000 years in the future detective Elijah Baley returns, with his robot sidekick, R. Daneel Olivaw, to solve a murder mystery on the remote planet of Solaria
1956 They Shall Have Stars by James Blish – explains the invention – in the near future – of the anti-death drugs and the spindizzy technology which allow the human race to colonise the galaxy
1959 The Triumph of Time by James Blish – concluding story of Blish’s Okie tetralogy in which Amalfi and his friends are present at the end of the universe

1962 A Life For The Stars by James Blish – third in the Okie series about cities which can fly through space, focusing on the coming of age of kidnapped earther, young Crispin DeFord, aboard New York
1962 The Man in the High Castle by Philip K. Dick In an alternative future America lost the Second World War and has been partitioned between Japan and Nazi Germany. The narrative follows a motley crew of characters including a dealer in antique Americana, a German spy who warns a Japanese official about a looming surprise German attack, and a woman determined to track down the reclusive author of a hit book which describes an alternative future in which America won the Second World War
1968 Do Androids Dream of Electric Sheep? by Philip K. Dick In 1992 androids are almost indistinguishable from humans except by trained bounty hunters like Rick Deckard who is paid to track down and ‘retire’ escaped andys
1969 Ubik by Philip K. Dick In 1992 the world is threatened by mutants with psionic powers who are combated by ‘inertials’. The novel focuses on the weird alternative world experienced by a group of inertials after a catastrophe on the moon

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic
1973 Rendezvous With Rama by Arthur C. Clarke – in 2031 a 50-kilometre long object of alien origin enters the solar system, so the crew of the spaceship Endeavour are sent to explore it
1974 Flow My Tears, The Policeman Said by Philip K. Dick – America after the Second World War is a police state but the story is about popular TV host Jason Taverner who is plunged into an alternative version of this world where he is no longer a rich entertainer but down on the streets among the ‘ordinaries’ and on the run from the police. Why? And how can he get back to his storyline?

1981 The Golden Age of Science Fiction edited by Kingsley Amis – 17 classic sci-fi stories from what Amis considers the Golden Era of the genre, namely the 1950s

2001: A Space Odyssey by Arthur C. Clarke (1968)

Origins

It all started with a short story Clarke wrote for a BBC competition in 1948 when he was just 21, and titled The Sentinel. It was eventually published in 1951 under the title Sentinel of Eternity.

13 years later, after completing Dr. Strangelove in 1964, American movie director Stanley Kubrick turned his thoughts to making a film with a science fiction subject. Someone suggested Clarke as a source and collaborator, and when they met, later in 1964, they got on well and formed a good working relationship.

Neither of them could have predicted that it would take them four long years of brainstorming, viewing and reading hundreds of sci-fi movies and stories, and then honing and refining the narrative, to develop the screenplay which became the film 2001: A Space Odyssey, released in 1968 and one of the most influential movies of all time.

The original plan had been to develop the story as a novel first, then turn it into a screenplay, then into the film, but the process ended up being more complex than that. The novel ended up being written mostly by Clarke, while Kubrick’s screenplay departed from it in significant ways.

The most obvious difference is that the book is full of Clarke’s sensible, down-to-earth, practical explanations of all or most of the science involved. It explains things. From the kick-start given to human evolution by the mysterious monolith through to Bowman’s journey through the Star Gate, Clarke explains and contextualises.

This is all in stark contrast with the film which Kubrick made as cryptic as possible by reducing dialogue to an absolute minimum, and eliminating all explanation. Kubrick is quoted as saying that the film was ‘basically a visual, nonverbal experience’, something which a novel, by definition, can not be.

The novel

The novel is divided into 47 short snappy chapters, themselves grouped into six sections.

1. Primeval Night

The basic storyline is reasonably clear. A million years ago an alien artefact appears on earth, materialising in Africa, in the territory of a small group of proto-human man-apes. Clarke describes their wretched condition in the hot parched Africa of the time, permanently bordering on starvation, watered only by a muddy streamlet, dying of malnutrition and weakness or of old age at 30, completely at the mercy of predators like a local leopard.

The object – 15 feet high and a yard wide – appears from nowhere. When the ape-men lumber past it on the way to their foraging ground, it becomes active and literally puts ideas into their heads. It takes possession of members of the group in turn and forces them to tie knots in grass, to touch their fingers together, to perform basic physical IQ tests. Then, crucially, it patiently shows them how to use stones and the bones of dead animals as tools.

The result is that they a) kill and eat a wild pig, the first meat ever eaten by the ape-men b) surround and kill the leopard that’s been menacing the tribe c) use these skills to bludgeon the leader of ‘the Others’, a smaller weaker tribe on the other side of the stream. In other words, the alien artefact has intervened decisively in the course of evolution to set man on his course to becoming a planet-wide animal killer and tool maker.

In the kind of fast-forward review section which books can do and movies can’t, Clarke then skates over the hundreds of thousands of years of evolution which follow, during which human’s teeth became smaller, their snouts less prominent, giving them the ability to make more precise sounds through their vocal cords – the beginnings of speech – how ice ages swept over the world killing most human species but leaving the survivors tougher, more flexible, more intelligent, and then the discovery of fire, of cooking, a widening of diet and survival strategies. And then to the recent past, to the Stone, Iron and Bronze ages, and sweeping right past the present to the near future and the age of space travel.

Compare and contrast the movie where all this is conveyed by the famous cut from a bone thrown into the air by an ape-man which is half way through its parabola when it turns into a space ship in orbit round earth. Prose describes, film dazzles.

2. T.M.A.-1

It is 2001. Humanity has built space stations in orbit around the earth, and a sizeable base on the moon. Dr Heywood Floyd, retired astrophysicist, is taking the journey from the American launch base in Florida, to dock with the orbiting space station, and then on to the moon base.

Clarke in his thorough, some might say pedantic, way, leaves no aspect of the trip undescribed and unexplained. How the rocket launcher works, how to prepare for blast-off, how the space station maintains a sort of gravity by rotating slowly, the precise workings of its space toilets (yes), the transfer to the shuttle down to the moon: Clarke loses no opportunity to mansplain every element of the journey, including some favourite facts familiar from the other stories I’ve read: the difference between weight and mass; how centrifugal spin creates increased gravity the further you are from the axis of spin; ‘the moon’s strangely close horizon’ (p.74); how damaging an alien artifact would be the work of a ‘barbarian’ (a thought repeated several times in Rama).

Two other features emerge. Clarke’s protagonists are always men, and they are almost always married men, keen to keep in touch with their wives, using videophones. In other words they’re not valiant young bucks as per space operas. It’s another element in the practical, level-headed approach of Clarke’s worldview.

Secondly, Clarke is a great one for meetingsChildhood’s End‘s middle sections rotate around the Secretary General of the United Nations who has a busy schedule of meetings, from his weekly conference with the Overlords to his meetings with the head of the Freedom league, and his discussion of issues arising with his number two.

A Fall of Moondust features hurried conferences between the top officials on the moon. The narrative of Rendezvous with Rama is punctuated all the way through by meetings of the committee made up of with representatives from the inhabited planets, who discuss the issues arising but also get on each other’s nerves, bicker and argue, grandstand, storm out and so on. His fondness for the set meeting, with a secretary taking notes and a chairman struggling to bring everyone into line, is another of the features which makes Clarke’s narratives seem so reassuringly mundane and rooted in reality.

Same here. Floyd is flying to the moon to take part in a top secret, high-level meeting of moon officials. He opens the meeting by conveying the President’s greetings and thanks (as people so often do in sci-fi thrillers like this).

In brief: a routine survey of the moon has turned up a magnetic anomaly in the huge crater named Tycho. (The anomaly has been prosaically named Tycho Magnetic Anomaly One – hence the section title T.M.A.-1.) When the surveyors dug down they revealed an object, perfectly smooth and perfectly black, eleven foot high, five foot wide and one and a quarter foot deep. Elementary geology has shown that the object was buried there three million years ago.

After a briefing with the moon team Floyd goes out by lunar tractor to the excavation site where digging has now fully revealed the artifact. Floyd and some others go down into the excavation and walk round the strange object which seems to absorb light. The sun is rising (the moon turns on its axis once in fourteen days) and as its light falls onto the artifact – for probably the first time in millions of years – Floyd and the others are almost deafened by five intense burst of screeching sound which cut through their radio communications.

Millions of miles away in space, deep space monitors, orbiters round Mars, a probe launched to Pluto – all record and measure an unusual burst of energy streaking across the solar system… Cut to:

3. Between Planets

David Bowman is captain of the spaceship Discovery. It was built to transport two live passengers (himself and Frank Poole) and three others in suspended animation, to Jupiter. But two years into the project the TMA-1 discovery was made and plans were changed. Now the ship is intending to use the gravity of Jupiter as a sling to propel it on towards Saturn. When they enter Saturn’s orbit the three sleeping crew members (nicknamed ‘hibernauts’) will be woken and the full team of five will have 100 days to study the super-massive gas giant, before all the crew re-enter hibernation, and wait to be picked up by Discovery II, still under construction.

Clarke is characteristically thorough in describing just about every aspect of deep space travel you could imagine, the weightlessness, the scientific reality of hibernation, the food, what the earth looks like seen from several million miles away. He gives an hour by hour rundown of Bowman and Poole’s 24-hour schedule, which is every bit as boring as the thing itself. He describes in minute astronomical detail the experience of flying through the asteroid belt and on among the moons of Jupiter, watching the sun ‘set’ behind it and other strange and haunting astronomical phenomena which no one has seen.

Then there’s a sequence in which he imagines the pictures sent back by a probe which Bowman and Poole send down into Jupiter’s atmosphere: fantastic but completely plausible imaginings. After reporting what they see from the ship, and the images relayed by the probe, the couple have done with Jupiter and set their faces to Saturn, some three months and four hundred million miles away.

The awesomeness doesn’t come from the special effects and canny use of classical music, as per the movie, but from straightforward statement of the scientific and technical facts – such as that they are now 700 million miles from earth (p.131), travelling at a speed of over one hundred thousand miles an hour (p.114).

4. Abyss

All activities on the Discovery are run or monitored by the ship’s onboard computer, HAL 9000, ‘the brain and nervous system of the ship’ (p.97). HAL stands for Heuristically programmed ALgorithmic computer. It is the most advanced form of the self-teaching neural network which, Clarke predicts, will have been discovered in the 1980s.

HAL has a nervous breakdown. He predicts the failure of the unit which keeps the radio antenna pointed at earth. Poole goes out in one of the nine-foot space pods, anchors to the side of the ship, then does a short space walk in a space suit, unbolts the failing unit and replaces it.

But back inside the ship the automatic testing devices find nothing wrong with the unit. When a puzzled Bowman and Poole report all this back to earth, Mission Control come back with the possibility that the HAL 9000 unit might have made a mistake.

Poole and Bowman ponder the terrifying possibility that the computer which is running the whole mission might be failing. Mission Control send a further message saying the two HAL 9000 units they are using to replicate all aspects of the mission back home both now recommend disconnecting the HAL computer aboard the Discovery. Earth is just in the middle of starting to give details about how to disconnect HAL when the radio antenna unit really does fail and contact with earth is broken. Coincidence? Bear in mind that HAL has been monitoring all of these conversations…

After discussing the possibility that HAL was right all along about the unit and that they are being paranoid  about him, Poole goes out for another space walk and repair. He’s in the middle of installing the new unit when he sees something out the corner of his eye, looks up and sees the pod suddenly shooting straight at him. With no time to take evasive action Poole is crushed by the ten-ton pod, his space suit ruptured, he is dead in seconds. Through an observation window Bowman sees first the pod and then Bowman’s body fly past and away from the ship.

Bowman confronts Hal, who calmly regrets that there has been accident. Mission orders demand that Bowman now revive one of the three hibernators since there must always be two people active on the ship. HAL argues with Bowman, saying this won’t be necessary, by which stage Bowman realises there is something seriously wrong. He threatens to disconnect HAL at which point the computer abruptly relents. Bowman makes his way to the three hibernator pods and has just started to revive the next in line of command, Whitehead when… HAL opens both doors of the ship’s airlock and all the air starts to flood out into space. In the seconds before the ship becomes a vacuum, Bowman manages to make it to an emergency alcove, seal himself in, jets it up with oxygen and climb into the spacesuit kept there for just such emergencies.

Having calmed down from the shock, Bowman secures his suit then climbs out, makes his way through the empty, freezing, lifeless ship to the sealed room where HAL’s circuits are stored and powered and… systematically removes all the ‘higher’ functions which permit HAL to ‘think’, leaving only the circuits which control the ship’s core functions. HAL asks him not to and, exactly as in the film, reverts to his ‘childhood’, his earliest learning session, finally singing the song ‘Daisy, Daisy, give me your answer do.’

Hours later Bowman makes a journey in the remaining pod to fix the radio antenna, then returns, closes the airlock doors and slowly restores atmosphere to the ship. Then contacts earth. And it is only now that Dr Floyd, summoned by Mission Control, tells him the true reason for the mission. Tells him about the artifact in Tycho crater. Tells him that it emitted some form of energy which all our monitors indicate was targeted at Saturn, specifically at one of its many moon, Japetus. That is what the Discovery has been sent to investigate.

And it is only in the book that Clarke is able to tell us why HAL went mad. It was the conflict between a) the demand to be at all times totally honest, open and supportive of his human crew and b) the command to keep the true purpose of the mission secret, which led HAL to have a nervous breakdown, and decide to remove one half of the conflict i.e. the human passengers, which would allow him to complete the second half, the mission to Saturn, in perfect peace of ‘mind’.

5. The Moons of Saturn

So now Bowman properly understands the mission, goes about fixing the Discovery, is in constant contact with earth and Clarke gives us an interesting chapter pondering the meaning of the sentinel and what it could have been saying. Was it a warning to its makers, or a message to invade? Where was the message sent? To beings which had evolved on or near Saturn (impossible, according to all the astrophysicists)? Or to somewhere beyond the solar system itself? In which case how could anything have travelled that far, if Einstein is correct and nothing can travel faster than light?

These last two chapters have vastly more factual information in than the movie. What the movie does without any dialogue, with stunning images and eerie music, Clarke does with his clear authoritative factual explanations. He gives us detailed descriptions of the rings of Saturn from close up, along with meticulously calculated information about perihelions and aphelions and the challenges of getting into orbit around Saturn.

But amid all this factuality is the stunning imaginative notion that the moon of Saturn, Japetus, bears on its surface a vast white eye shape at the centre of which stands an enormous copy of the TMA artifact, a huge jet black monolith maybe a mile high.

Which leads into a chapter describing the race which placed it there, which had evolved enough to develop planet travel, then space travel, then moved their minds into artificial machines and then into lattices of light which could spread across space and so, finally, into what humans would call spirit, free from time and space, at one with the universe.

It is this enormous artifact which Bowman now radios Mission Control he is about to go down to in the pod and explore.

6. Through the Star Gate

In the movie this section becomes a non-verbal experience of amazing visual effects. A book can’t do that. It has to describe and, being Clarke, can’t help also explaining, at length, what is going on.

Thus the book is much clearer and more comprehensible about what happens in this final section. Bowman guides his pod down towards the enormous artifact and is planning to land on its broad ‘top’ when, abruptly it turns from being an object sticking out towards him into a gate or cave or tunnel leading directly through the moon it’s situated on. He has just time to make one last comment to Mission Control before the pod is sucked through into the star gate and his adventure begins.

He travels along some faster-than-light portal, watching space bend around him and time slow down to a halt. He emerges into a place where the stars are more static and, looking back, sees a planet with a flat face pockmarked by black holes like the one he’s just come through, and what, when he looks closely, seems to be the wreck of a metal spaceship. He realises this must be a kind of terminal for spaceships between voyages, then the pod slowly is sucked back into one of the holes.

More faster than light travelling, then he emerges into a completely unknown configuration of stars, red dwarfs, sun clusters, the pod slows to a halt and comes to rest in… a hotel room.

Terrified, Bowman makes all the necessary checks, discovers it has earth gravity and atmosphere, gets out of the pod, takes off his spacesuit, has a shower and shave, dresses in one of the suits of clothes provided in a wardrobe, checks out the food in the fridge, or in tins or boxes of cereal.

But he discovers that the books on the coffee table have no insides, the food inside the containers is all the same blue sludge. When he lies on the bed flicking through the channels on the TV he stumbles across a soap opera which is set in this very same hotel room he is lying in. Suddenly he understands. The sentinel, after being unearthed, monitored all radio and TV signals from earth and signalled them to the Japetus relay station and on here – wherever ‘here’ is – and used them as a basis to create a ‘friendly’ environment for their human visitor.

Bowman falls asleep on the bed and while he sleeps goes back in time, recapitulating his whole life. And part of him is aware that all the information of his entire life is being stripped from his mind and transferred to a lattice of light, the same mechanism which Clarke explained earlier in the novel, was the invention of the race which created the sentinel. Back, back, back his life reels until – in a miraculous moment – the room contains a baby, which opens its mouth to utter its first cry.

The crystal monolith appears, white lights flashing and fleering within its surface, as we saw them do when it first taught the man-apes how to use tools and eat meat, all those hundreds of thousands of years ago.

Now it is probing and instructing the consciousness of Bowman, guiding him towards the next phase. The monolith disappears. The being that was Bowman understands, understands its meaning, understands how to travel through space far faster than the primitive star gate he came here by. All he needs is to focus his ‘mind’ and he is there.

For a moment he is terrified by the immensity of space and the infinity of the future, but then realises he is not alone, becomes aware of some force supporting and sustaining him, the guiders.

Using thought alone he becomes present back in the solar system he came from. Looking down he becomes aware of alarm bells ringing and flotillas of intercontinental missiles hurtling across continents to destroy each other. He has arrived just as a nuclear war was beginning. Preferring an uncluttered sky, he abolishes all the missiles with his will.

Then he waited, marshalling his thoughts and brooding over his still untested powers. For though he was master of the world, he was not quite sure what to do next.

But he would think of something.

And those are the final sentences of the book.

Thoughts

Like Childhood’s End the book proceeds from fairly understandable beginnings to a mind-boggling, universe-wide ending, carrying the reader step by step through what feels almost – if you let it take control of your imagination – like a religious experience.

Eliot Fremont-Smith reviewing the book in the New York Times, commented that it was ‘a fantasy by a master who is as deft at generating accelerating, almost painful suspense as he is knowledgeable and accurate (and fascinating) about the technical and human details of space flight and exploration.’

That strikes me as being a perfect summation of Clarke’s appeal – the combination of strict technical accuracy, with surprisingly effective levels of suspense and revelation.

His concern for imagining the impact of tiny details reminds me of H.G. Wells. In the Asimov and Blish stories I’ve been reading, if there’s a detail or the protagonist notices something, it will almost certainly turn out to be important to the plot. Clarke is the direct opposite. Like Wells his stories are full of little details whose sole purpose is to give the narrative a terrific sense of verisimilitude.

To pick one from hundreds, I was struck by the way that Dr Floyd finds wearing a spacesuit on the surface of the moon reassuring. Why? Because its extra weight and stiffness counter the one sixth gravity of the moon, and so subconsciously remind him of the gravity on earth. Knowing that fact, and then deploying it in order to describe the slight but detectable impact it has on one of his characters’ moods,strikes me as typical Clarke.

Hundreds of other tiny but careful thinkings-though of the situations which his characters find themselves in, bring them home and make them real.

And as to suspense, Clarke is a great fan of the simple but straightforward technique of ending chapters with a threat of disaster. E.g. after his first space walk Poole returns to the ship confident that he has fixed the problem.

In this, however, he was sadly mistaken. (p.140)

Although this is pretty cheesy, it still works. He is a master of suspense. The three other novels I’ve read by him are all thrilling, and even though I’ve seen the movie umpteen times and so totally know the plot, reading Clarke’s book I was still scared when HAL started malfunctioning, and found Bowman’s struggle to disconnect him thrilling and moving.

As to the final section, when Bowman travels through the star gate and is transformed into a new form of life, of celestial consciousness, if you surrender to the story the experience is quite mind-boggling.

It also explains a lot – and makes much more comprehensible – what is left to implication and special effects in the movie.

Forlorn predictions

Clarke expects that by 2001:

  • there will be a permanent colony on the moon, where couples will be having and bringing up children destined never to visit the earth
  • there will also be a colony on Mars
  • there will be a ‘plasma drive’ which allows for super-fast spaceship travel to other planets

I predict there will never be a colony on the moon, let alone Mars, and no ‘plasma drive’.

On the plus side, Clarke predicts that by 2001 there will be a catastrophic six billion people on earth, which will result in starvation, and food preservation policies even in the rich West. In the event there were some 6.2 billion people alive in 2001, but although there were the usual areas of famine in the world, there wasn’t the really widespread food shortages Clarke predicted.

The future has turned out to be much more human, mundane, troubled and earth-bound than Clarke and his generation expected.

Trailer

Credit

All references are to the 2011 reprint of the 1998 Orbit paperback edition of 2001: A Space Odyssey by Arthur C. Clarke, first published by Hutchinson in 1968.


Related links

Arthur C. Clarke reviews

  • Childhood’s End (1953) a thrilling narrative involving the ‘Overlords’ who arrive from space to supervise mankind’s transition to the next stage in its evolution
  • A Fall of Moondust (1961) a pleasure tourbus on the moon is sucked down into a sink of moondust, sparking a race against time to rescue the trapped crew and passengers
  • 2001: A Space Odyssey (1968) a panoramic narrative which starts with aliens stimulating evolution among the first ape-men and ends with a spaceman being transformed into galactic consciousness
  • Rendezvous With Rama (1973) it is 2031 and when an alien object, a cylinder 15 k wide by 50 k long, enters the solar system, and Commander Norton and the crew of Endeavour are sent to explore it

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same London of the future described in the Sleeper Wakes, Denton and Elizabeth fall in love, then descend into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – two scientists invent a compound which makes plants, animals and humans grow to giant size, leading to a giants’ rebellion against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a passing comet trails gasses through earth’s atmosphere which bring about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Bun Hill in Kent, manages by accident to be an eye-witness to the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1925 Heart of a Dog by Mikhail Bulgakov – a Moscow scientist transplants the testicles and pituitary gland of a dead tramp into the body of a stray dog, with disastrous consequences
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1930 Last and First Men by Olaf Stapledon – mind-boggling ‘history’ of the future of mankind over the next two billion years
1932 Brave New World by Aldous Huxley
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars,

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1950 I, Robot by Isaac Asimov – nine short stories about ‘positronic’ robots, which chart their rise from dumb playmates to controllers of humanity’s destiny
1950 The Martian Chronicles – 13 short stories with 13 linking passages loosely describing mankind’s colonisation of Mars, featuring strange, dreamlike encounters with Martians
1951 Foundation by Isaac Asimov – the first five stories telling the rise of the Foundation created by psychohistorian Hari Seldon to preserve civilisation during the collapse of the Galactic Empire
1951 The Illustrated Man – eighteen short stories which use the future, Mars and Venus as settings for what are essentially earth-bound tales of fantasy and horror
1952 Foundation and Empire by Isaac Asimov – two long stories which continue the future history of the Foundation set up by psychohistorian Hari Seldon as it faces down attack by an Imperial general, and then the menace of the mysterious mutant known only as ‘the Mule’
1953 Second Foundation by Isaac Asimov – concluding part of the ‘trilogy’ describing the attempt to preserve civilisation after the collapse of the Galactic Empire
1953 Earthman, Come Home by James Blish – the adventures of New York City, a self-contained space city which wanders the galaxy 2,000 years hence powered by spindizzy technology
1953 Fahrenheit 451 by Ray Bradbury – a masterpiece, a terrifying anticipation of a future when books are banned and professional firemen are paid to track down stashes of forbidden books and burn them
1953 Childhood’s End by Arthur C. Clarke – a thrilling tale of the Overlords who arrive from space to supervise mankind’s transition to the next stage in its evolution
1954 The Caves of Steel by Isaac Asimov – set 3,000 years in the future when humans have separated into ‘Spacers’ who have colonised 50 other planets, and the overpopulated earth whose inhabitants live in enclosed cities or ‘caves of steel’, and introducing detective Elijah Baley to solve a murder mystery
1956 The Naked Sun by Isaac Asimov – 3,000 years in the future detective Elijah Baley returns, with his robot sidekick, R. Daneel Olivaw, to solve a murder mystery on the remote planet of Solaria
1956 They Shall Have Stars by James Blish – explains the invention – in the near future – of the anti-death drugs and the spindizzy technology which allow the human race to colonise the galaxy
1959 The Triumph of Time by James Blish – concluding story of Blish’s Okie tetralogy in which Amalfi and his friends are present at the end of the universe

1962 A Life For The Stars by James Blish – third in the Okie series about cities which can fly through space, focusing on the coming of age of kidnapped earther, young Crispin DeFord, aboard New York

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic

1980 Russian Hide and Seek by Kingsley Amis – in an England of the future which has been invaded and conquered by the Russians, a hopeless attempt to overthrow the occupiers is easily crushed
1981 The Golden Age of Science Fiction edited by Kingsley Amis – 17 classic sci-fi stories from what Amis considers the Golden Era of the genre, namely the 1950s

They Shall Have Stars by James Blish (1956)

The second of the four Cities in Flight novels by James Blish, this is a ‘fix-up’ novel made by joining two long short stories, ‘Bridge’ and ‘At Death’s End’, which were originally published in sci-fi magazines.

In terms of internal chronology, these stories describe the two key discoveries which make possible the world of the flying cities which we met in Earthman, Come Home, namely anti-agathic drugs and the spindizzy anti-gravity drive.

Background to the plot

It is 2013 and the Cold War between the Soviet Union and the West continues. It seems to be a big idea (or fixation, or worry) of Blish’s that this sustained animosity will undermine Western society and freedoms. It will require the West to spy on its own citizens, to curtail scientific enquiry, and to enforce voluntary censorship, not least because of the vast spying and political control enforced by the hereditary head of the FBI, Francis X. MacHinery (a character clearly modelled on the Red-baiting demagogue, Senator Joe McCarthy).

Characters are careful what they say to each other and, if speaking candidly, make nervous jokes about being overheard and reported.

(There’s a scene, mid-novel, where Senator Wagoner has reported to him the key discovery which enables the anti-gravity device and Blish says the characters had to speak more or less in code because both knew the senator’s office was bugged by the FBI (pp.52-54). Similarly, on their third date Anne Abbott shows her date, Paige Russell, that the powder compact she keeps looking into is in fact a device which detects bugging devices i.e. tells you when it is safe, or unsafe, to talk freely.)

There are roughly two locations – America, in either Washington DC or New York City, and ‘the Bridge’ on Jupiter, monitored from its control room on a moon of Jupiter’s, Jupiter V.

On earth

In Washington and New York we see Senator Bliss Wagoner take the helm of the Joint Congressional Committee on Space Flight and ask the opinion of Giusseppi Corsi, head of the American Association for the Advancement of Science, what he should do. Between them they make a number of points and recommendations. The basic one is that space travel is going nowhere. They’re still using the same rocket technology invented during the war. Rockets have now taken man to Mars and even Jupiter, but Wagoner is frustrated that no-one is thinking big, beyond the solar system: there’s still no viable kind of trans-space engine. Corsi replies that the entire existing structure of government sponsored science is fossilised, third rate men fine-tuning existing tech. He advises Wagoner to cast the net wide, to look at oddballs, freaks, weird experiments, renegades: the future has got to come from outside existing mind-sets.

In New York Colonel Paige Russell is waiting impatiently in the lobby of Pfitzner and sons, the big pharma company. He has in his pocket samples of soil from Ganymede and Jupiter V. He’s a rocketman, has been to those places, brought back these samples at Pfitzner’s request, and is irritated to be kept waiting. Eventually he is given a cursory guided tour by a flunkey but then superseded by a visiting general and more or less kicked out. Irritated, he hits on the receptionist and persuades her to come to dinner.

The dinner scene contains various bits of information: for a start we learn that there’s been a religious revival, because Paige and the receptionist’s taxi (her name is Anne Abbot) gets caught in a chanting crowd. The religious people are now called Believers and have developed perfume bubbles which they disperse at their rallies. When they burst they disperse narcosynthetic drugs which make people feel like repenting, make them feel guilty and self pitying.

Once at the dinner table Anne slowly opens up about work at Pfitzner which has been mainly focused on developing new antibiotics which have worked very well at combating not only infectious diseases but some of the viruses which cause some cancers and so on. But eliminating infectious disease has just revealed a substrate of harder-to-cure conditions, degenerative diseases, circulatory diseases and so on.

This all hooks up with something Russell had heard while taking the tour of the labs: he thought he had heard a baby crying. Now, to his astonishment, Anne admits that they are experimenting on babies: after years of giving antibiotics to animals to make them stronger and healthier, experiments are taking place on newborn babies, giving them small doses of a range of antibiotics to see what happens.

Jupiter V

Meanwhile, some 600 million miles away, we meet two men who work on a space base on Jupiter V, one of Jupiter’s satellites. Robert ‘Bob’ Helmuth works four hours a day with headgear, visor and headphones on, monitoring the machines which repair and build ‘the Bridge’. His supervisor is Charity Dillon.

The Bridge lies six thousand miles below the top of Jupiter’s cloud layer. It is thirty miles high, eleven miles wide, and fifty-four miles long. Most of it is made of ice, Ice IV to be precise, existing under a pressure of a million atmospheres, at a temperature of 94 below zero Fahrenheit. It takes millions of megawatts to maintain it and keep it growing in Jupiter winds of 25,000 miles per hour.

Bob emerges from his shifts maintaining the Bridge’s equipment shell-shocked and drained. From the dialogue between him and Dillon, we learn that the crew who work on the Bridge project have all had ‘conditioning’; that the Bridge doesn’t go anywhere – it is built with giant pillars based on one of the few stable pieces of ‘land’ they could find on Jupiter’s surface – is more like a travelling crane which is just adding bits to itself not to ‘reach’ anywhere, but to increase its stability. Why? Because. To find out. To see if they can. Bob says the whole thing is a deplorable waste of time and effort. Dillon tells him to get some rest.

Washington

Back at the Pfitzner plant Paige comes to see Anne Abbot again, to apologise, but discovers MacHinery in the waiting room, the scary, Beria-type head of the secret police, who cross-questions him. But when MacHinery’s left, Anne and a Pfitzner scientist finally reveal what they’re investigating. They have established that all complex life forms secrete an aging toxin. Research has moved on to try and identify a drug or drugs which will neutralise this aging toxin: an anti-agathic, an anti-death drug.

Jupiter V

Bob Helmuth over-rides a more junior tech in the Bridge control room, responding to an ‘infection’ of one of the Bridge’s caissons with chemical ‘cancer’ by sending into the leg drills which locate the core of the chemical infection then detonate – badly damaging the caisson, but the cancer would have destroyed it. At least that’s what Bob argues to his boss, Dillon, who warns that Bob’s pessimism about the project is making him enemies.

Especially since a group of earth politicians is about to arrive to inspect the works. Bob is puzzled that they can skip out here to the edge of the solar system so easily and pushes Dillon who concedes that they are using a ship with a new anti-gravity rive. Anti-gravity!?

New York

Paige – now working closely with Anne and a scientist named Harold Gunn (vice president in charge of exports at Pfitzner, p.16) spots a Soviet spy in the lab, follows him to a vast camp of Believers which has is growing up in New York state, watches him go into a trailer, run up an aeriel and, presumably, broadcast his secrets to his controllers.

But when Paige tells Gunn and Anne they reveal that a) they’ve known about him all along, b) they actively don’t want to report the spy to the authorities because that will provide an excuse for MacHinery to close them down, and c) in a long passage Anne explains how the revelation of anti-death drugs will destabilise society, undermine the whole economic, legal, political and moral fabric of civilisation: i) as soon as it is revealed in the west, the Soviets will learn of its feasibility and eventually make their own anyway ii) leaking it to the Soviets will crash their system, so it is not treason to let the spy carry on spying.

Jupiter V

The subordinate he reprimanded, Eva, comes to Helmuth’s quarters to carry on the argument and to announce that she wants to have a baby. It emerges that they had been lovers some time in the past. Now he mocks her and they have a fierce argument. After the leaves Helmuth falls asleep and as his customary nightmare, of using an anti-gravity device on Jupiter which fails so that he is squashed flat – and wakes up screaming.

Book three – Entre’acte: Washington

Wagoner writes a memo to Giusseppi Corsi dated 4 January 2020 in which he explains in some detail how he followed Corsi’s advice from the Prelude, namely to seek out crackpots and radical thinkers, and how two lines of investigation led to a) the anti-gravity impact of spinning electrons and b) the discovery of anti-agathic drugs at Pfitzner.

New York

Knowing that he’s due to be posted to the remotest outpost of the solar system, the base on the newly-discovered planet Proserpine – and hearing mounting rumours that Pfitzner is about to be the subject of an investigation by Senator Wagoner, Paige heads to the company’s offices determined to make a clean breast of what he knows.

But instead he finds Wagoner already there, who briskly orders him and Anne to accompany him in a Cadillac taxi to the New York space port. Here they are bundled into a spaceship the size of a standard planetary ferry without much ceremony, told to strap in, and off they go! (In all these space operas people, completely untrained unprepared people, just get into ‘spaceships’ and off they whizz; as far as you can imagine form the reality which crystallised during the Apollo space programme, that you in fact need highly trained physically fit people to go into space.)

It’s a trick or gag: Paige can’t believe the ship is so small; he can’t believe they’re told they’re beyond earth’s atmosphere in moments; he can’t believe there’s proper one-G earth gravity on the ship, there never is on normal shuttle ships; and he is blown away when he goes up to the control and sees, through the viewing window between Wagoner and Anne – Jupiter appearing.

It is, quite obviously, a new breed of spaceship powered by an anti-gravity drive.

Jupiter V

Bob Helmuth sees what he takes to be another ferry land on the landing platform, but is preoccupied by a particularly fierce outburst of interference near the Bridge, and sends a crawling bot equipped with camera down the nearest leg… and is flabbergasted to see a) white objects fleeting past at top speed and then b) a kind of large bubble attached to the leg. It’s a laboratory, manned by a many-tentacled robot. Nobody told him about this! There’s nothing in the blueprints or plans!

A call comes through on the switchboard, plugs his helmet in and hears Doc Barth, who explains this lab was set up top secret a year ago. They now know for sure there is life on Jupiter, a kind of ammonia-based jellyfish which seems to feed on microscopic plankton!

Wagoner reveals all

But this discovery is nothing to what comes next. Helmuth is politely invited over to the ferry ship (a short walk outside the command centre for which he has to wear a spacesuit), invited into Senator Wagoner’s comfy cabin and introduced to Paige and Anne Abbott.

Helmuth states the grounds of his gloomy pessimism to the threesome: his boss Dillon thinks the creation of the Bridge shows that Man can do anything he sets his mind to, and is also a testament to the power of the West. Helmuth radically disagrees, he thinks it is a sign of the West’s decadence.

Wagoner astonishes Helmuth by saying he is even righter than he thought: the Soviets have already won. The unrelenting pressure of the Reds has made the West into an identikit copy, complete with repressive spying apparatus exemplified by H’s FBI.

‘We Sovietised ourselves’

But this history and politics is beside the point. Wagoner tells Helmuth the Bridge project is complete. They’ll keep it up for a bit longer but it has fulfilled its purpose of confirming the Blackett-Dirac equations about the relationship between magnetism and the spinning of a massive body. It could only be tested on a spinning object of enormous mass – hence, Jupiter. And the experiment has proved it.

Hence, he goes on to explain, the functioning of the Dillon-Wagoner gravitron polarity generator which makes atoms within its field refuse to recognise the existence or function or forces exerted by atoms outside its field i.e. escapes gravity. It leads to both a faster-than-light travel and effective shielding for everything within the field of its operation.

Bring together a) the fact that the West is about to collapse with b) a new technology which permits superfast space travel and you come up with c) Wagoner’s plan to evacuate the West and send freedom-loving Americans to colonise the nearest star systems. The whole thing to be led by Paige, Anne and him, Helmuth!

The final part of the jigsaw is the anti-agathic drugs. Wagoner announces they’ve brought the entire existing supply in the hold of the ferry ship. Helmuth, Anne and Paige will take them, administer them to others, live forever and colonise the galaxy!

Meanwhile, Wagoner will return to earth to face the heat (accusations of treason), probably be executed: who cares; the job will be done.

The end of the Bridge

Helmuth explains all this to his former lover, Eva. They realise that their attachments to the Bridge were, in different ways, a result of the ‘conditioning’ all the Jupiter scientists were subject to. Now they both realise it is not work saving, but was a means to something greater. At this climactic moment, the alarm bells ring. The vast red spot on Jupiter is passing close to the Bridge and threatens to tear apart its fabric. Alarm bells deafen and they hear Charity Dillon’s voice calling for all hands on deck to man the repair bots and drones. Eva, the scales fallen from her eyes, says ‘Let it fall’. In the stunned silence, she and Helmuth both hear Wagoner’s dry chuckle.

Coda

One final page describes Bliss Wagoner’s last day in the atomic pile where, as he predicted, he has been locked after being found guilty of treason. (We realise that the letter date January 2020 which he wrote to Corsi explaining his actions, must have been written from prison). The narrative’s antagonist, MacHiney, has got his way when he announces later that day that ‘Bliss Wagoner is dead’. But Wagoner’s legacy will live on across the galaxy.

Chris Foss’s cover art

Back in the 1970s it was worth buying science fiction paperbacks purely to own the stupendous cover art by Chris Foss. Quite often though, as in this case, when you read the book you discovered the cover had almost nothing to do with the text inside. They Shall Have Stars concerns the bridge – which is buried deep in the stormy atmosphere of Jupiter – controlled from what appears to be a modest little cluster of space buildings on Jupiter V – but most of all in the labs and offices of Pfister Corp in New York – none of which look like anything in this fabulous illustration.

Cover of the 1974 Arrow Books edition of They Shall Have Stars, art by Chris Foss

Cover of the 1974 Arrow Books edition of They Shall Have Stars, art by Chris Foss


Related links

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same London of the future described in the Sleeper Wakes, Denton and Elizabeth fall in love, then descend into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – two scientists invent a compound which makes plants, animals and humans grow to giant size, leading to a giants’ rebellion against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a passing comet trails gasses through earth’s atmosphere which bring about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Bun Hill in Kent, manages by accident to be an eye-witness to the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1925 Heart of a Dog by Mikhail Bulgakov – a Moscow scientist transplants the testicles and pituitary gland of a dead tramp into the body of a stray dog, with disastrous consequences
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1930 Last and First Men by Olaf Stapledon – mind-boggling ‘history’ of the future of mankind over the next two billion years
1932 Brave New World by Aldous Huxley
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars, where they discover the Selenite civilisation

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1950 I, Robot by Isaac Asimov – nine short stories about ‘positronic’ robots, which chart their rise from dumb playmates to controllers of humanity’s destiny
1950 The Martian Chronicles – 13 short stories with 13 linking passages loosely describing mankind’s colonisation of Mars, featuring strange, dreamlike encounters with Martians
1951 Foundation by Isaac Asimov – the first five stories telling the rise of the Foundation created by psychohistorian Hari Seldon to preserve civilisation during the collapse of the Galactic Empire
1951 The Illustrated Man – eighteen short stories which use the future, Mars and Venus as settings for what are essentially earth-bound tales of fantasy and horror
1952 Foundation and Empire by Isaac Asimov – two long stories which continue the future history of the Foundation set up by psychohistorian Hari Seldon as it faces down attack by an Imperial general, and then the menace of the mysterious mutant known only as ‘the Mule’
1953 Second Foundation by Isaac Asimov – concluding part of the ‘trilogy’ describing the attempt to preserve civilisation after the collapse of the Galactic Empire
1953 Earthman, Come Home by James Blish – the adventures of New York City, a self-contained space city which wanders the galaxy 2,000 years hence powered by spindizzy technology
1953 Fahrenheit 451 – a masterpiece, a terrifying anticipation of a future when books are banned and professional firemen are paid to track down stashes of forbidden books and burn them
1954 The Caves of Steel by Isaac Asimov – set 3,000 years in the future when humans have separated into ‘Spacers’ who have colonised 50 other planets, and the overpopulated earth whose inhabitants live in enclosed cities or ‘caves of steel’, and introducing detective Elijah Baley to solve a murder mystery
1956 The Naked Sun by Isaac Asimov – 3,000 years in the future detective Elijah Baley returns, with his robot sidekick, R. Daneel Olivaw, to solve a murder mystery on the remote planet of Solaria
1956 They Shall Have Stars by James Blish – explains the invention – in the near future – of the anti-death drugs and the spindizzy technology which allow the human race to colonise the stars

1962 A Life For The Stars by James Blish – third in the Okie series about cities which can fly through space

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic

1980 Russian Hide and Seek by Kingsley Amis – in an England of the future which has been invaded and conquered by the Russians, a hopeless attempt to overthrow the occupiers is easily crushed
1981 The Golden Age of Science Fiction edited by Kingsley Amis – 17 classic sci-fi stories from what Amis considers the Golden Era of the genre, namely the 1950s

That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis (1945)

‘A conscious being is either obeying God or disobeying Him.’ Dr Dimble

That Hideous Strength is the third and final volume in C.S. Lewis’s science fiction trilogy. As is so often the case in concluding volumes, it is significantly longer than the previous members of the series (Out of The Silent Planet 58,715 words, Perelandra 85,376 words, That Hideous Strength 156,719 words, double its predecessor, nearly three times as long as the first story) and it really feels like it.

It feels like Lewis has stuffed the book as full of his thoughts about Christian belief, angels, prayer, about the nature of obedience, charity and love on the one hand – and on the other, produced a huge gallery of characters, organisations, beliefs and behaviours which he thinks plague modern life and which all stem, at bottom, from a loss of faith in God.

The plot

That Hideous Strength opens like a campus novel, with squabbles among amusingly depicted caricatures of stuffy old male dons, at a place called Bracton College, one of the supposed three colleges which comprise the fictional little university of Edgestow, somewhere in the Midlands.

We are introduced to the usual cast of senile, pompous, ambitious, sly, snide and slimy academics, but the main protagonist is Mark Studdock, a Sociologist who has just been elected to a teaching post. Lewis takes us back into Mark’s childhood and boyhood to show how he has always been an outsider who wanted to be in with the smart set, at school, at university and now, here, at Bracton.

The smart set here calls itself the ‘progressive element’ and is plotting schemes. To be precise we watch as they manoeuvre the board of dons into selling off a plot of land centring on ancient and legendary Bracton wood to a new, go-ahead organisation, the National Institute of Co-ordinated Experiments or the N.I.C.E.

Mark is taken up by the progressive element, but it then turns out the leaders of this as in fact working for the N.I.C.E., and he is offered a place within that secretive organisation. For hundreds of pages we watch how Mark’s frailties, his lack of confidence, his wish to be accepted and part of a clique, leads him deeper and deeper into the heart of the N.I.C.E.

Where he finds horror. At first he discovers that the scientist at its heart, one Dr Filostrato, is experimenting with reviving the heads of dead men, with a view to creating a new race of disembodied intelligences who will transcend mere mortals with their silly perishable bodies.

In the so-called Blood Transfusion Office at Belbury, where the nucleus of the N.I.C.E. had taken up its temporary abode, Mark is taken to see the floating head which Mark is taken to see, the head of a criminal recently guillotined in France, and now suspended from a bracket in a laboratory, with all kinds of tubes and cables running into it, which drools and then – horror of horrors – speaks.

This takes a while to build up to, to show to Mark, and for the full horrific implications to sink in – that the N.I.C.E. is working to abolish mankind as we currently know it.

But that turns out not to be the inner truth. In fact Wither and Frost are using Filostrato, and keeping all the other inner circle of the N.I.C.E. in ignorance of the secret plan, known only to them. This is that they are in touch with dark forces larger and older than man – what they call macrobes – and the N.I.C.E. is preparing the way for them to supercede mankind as rulers of the earth.

Throughout all the long sequences to do with the N.I.C.E. I was continually reminded of the Dr Who episodes from my youth. My Dr Who was Jon Pertwee, whose Tardis had broken leaving him stuck here on earth to help Brigadier Lethbridge-Stewart and the forces of U.N.I.T. (United Nations Intelligence Taskforce). Each week they discovered a fiendish conspiracy to invade and take over earth. More often than not these conspiracies were launched from the shiny offices of gleaming modern corporations which ran a mining operation or massive chemical works or suchlike, which turned out to be an elaborate front for creating some matter poisonous to humans or a front for allowing aliens to invade or for kidnapping humans and turning them into zombies.

Well, that’s what the N.I.C.E. are doing. Lewis builds in an analogy with the totalitarian nations England was fighting as he wrote the book by having the N.I.C.E. run its own police department. Directors of the N.I.C.E. orchestrate incidents and then riots with the local townspeople and then, using their contacts in parliament and among the authorities, get a ‘state of emergency’ declared in Edgestow such that the N.I.C.E. police take over running the town and, as you might expect, turn out to be a very unpleasant paramilitary force. People are beaten up, many carted off to the new prison cells the N.I.C.E. is building, there is mention of at least one rape and beating to death.

All this is supervised by a big domineering leering woman, Miss Hardcastle, who is portrayed as a lascivious, Robert Crumb-like, dominating lesbian, dressed in leather, who surrounds herself with fluffy young women she can bully, and enjoys going down to the N.I.C.E. cells to torture people.

Sleepy little Edgestow turns, before our eyes, into a fascist statelet combined with the shiny new buildings of a modern new town-cum-industrial complex. Filostrato tells Mark they are aiming to abolish all organic life, trees, plants, animals: all the chemicals they produce for the air, all the food they produce can be made much more efficiently in factories. Frost, a man who has talked himself out of any emotions or feelings, tells Mark they are aiming for ‘efficiency’, they aim to become so efficient that they will supersede humanity altogether.

The good guys

Lewis makes no bones that the book is a kind of fairy story, maybe a morality tale as well. So it’s no surprise to discover that all these bad guys are mirrored by a gang of good guys. Specifically, the book opens with Mark’s wife, Jane. She is bored and lonely at home, trying to concentrate on her academic PhD i.e. when the book opens her and Mark’s marriage is failing due to mutual incomprehension, lack of trust, lack of candour, lack of love. Mark is far too busy trying to brown-nose his way into the ‘progressive element’ in his college, and then trying to wangle a job at the N.I.C.E., to listen to Jane.

As the N.I.C.E. take over Edgestow she discovers that her kindly tutor, Dr Dimple and his wife, are being kicked out of the college house they live in, as is her cleaner, the working class Ivy Maggs. She takes pity on them and discovers they are going to stay in the big old house up on St Anne’s Hill.

But the important thing about Jane is her dreams. She has terrifying dreams which turn out to be true, to be visions of things which have really taken place. She dreams of a middle aged man in prison, another comes into the cell and twists off his head. This refers to the guillotining of a criminal in France which is in the next day’s news. Her friends, the Dennistons, suggest she goes to see an ‘analyst’ about the dreams, one Grace Ironwood who also lives up on St Anne’s Hill.

What emerges or develops, over several chapters, is that Janes slowly accepts that her dreams are in fact visions of real events; and she too is forced to take refuge up in the big house on the hill. Here she discovers quite a menage, Doctor Dimble (who had been Jane’s supervisor) and his wife, a bustling older woman who everyone called ‘Mother’ Dimble, Mr and Camilla Denniston, Ivy Maggs the cleaning lady, and a sceptical Scot named MacPhee – along with a menagerie of animals which includes Baron Corvo the crow and – preposterously but fittingly for a fairy tale – a tame bear named Mr Bultitude.

But overseeing the house at St Anne’s is a figure she is at first told is named Mr Fisher-King. The second I read this I thought it was too direct a reference to the role of the Fisher King in T.S. Eliot’s famous poem, The Waste Land, itself borrowed (according to Eliot’s notorious notes) from The Golden Bough: A Study in Comparative Religion, the compendious study of mythology and religion by the Scottish anthropologist Sir James George Frazer.

He is called this until Jane is actually presented to him at which point we realise that Mr Fisher-King is none other than Elwin Ransom, protagonist of the first two novels in the series. Wonderfully well-preserved and youthful looking, due to his stay on Venus (described in the second book) Ransom is nonetheless in pain due to the bite he received there from the evil Weston, possessed by a demon.

Each of these revelations – Mark’s step-by-step induction into the college’s progressive element, then into the conspiracy to sell the old college wood to the N.I.C.E., then into the ‘true’ purpose of the N.I.C.E. in Dr Filostrato’s version (to create a new race of superhuman heads or intelligences), then into the level above that – into Wither and Frost’s true knowledge that even the head experiment is a front for raising much darker forces, is prefaced by much suspense – is accompanied by shock on the part of the initiate – and then a world of doubts and fears and uncertainties.

Same goes for Jane. We follow her journey from unhappy ‘modern’ woman, sceptic and feminist, frustrated by her marriage and stalled career. We follow her anxious response to her dreams, and her seeking help from Grace Ironwood. Then her realisation that dark forces are taking over Edgestow – which includes her being arrested by N.I.C.E police during a riot, and tortured by the sadistic pervert Miss Hardcastle (by having a lighted cheroot stubbed out on her skin). Her flight to the house at St Anne’s. Her introduction to the household and the way she has to overcome her middle class snobbery about consorting with her ‘cleaning lady’, Mrs Maggs. Her introduction to Mr Fisher-King where her modern sceptical mind reels at everything he tells her about dark forces.

And so on. Step by step Mark goes deeper into the darkness, and Lewis paints the doubts, anxieties and inferiority complex which drives him, making him a very human figure, explaining how easy it would be for us, the reader, to do likewise.

And step by step Jane climbs out of Edgestow, ascends out of the real and actual fog the N.I.C.E have projected over the town, up into the sunlit hilltop of St Anne’s, where she is inducted into a successive circle of secrets concerning Ransom.

Merlin

Slowly the narrative focuses onto the reason the N.I.C.E bought the college wood in the first place. There was a hoary old legend that Merlin lived and died there. Now Jane is afflicted by dreams of an underground cavern and an ancient figure lying on a raised altar. Surely, Ransom and his advisers think, this must be Merlin. And the Dark Side is seeking the exact location of the burial chamber in order to waken him, and recruit him and his ancient magic to their plan.

Meanwhile, in the Mark chapters, the men who have emerged as leaders of the Dark Side – Wither and Frost – know about Jane’s dreams but not exactly what they mean. Thus they put Mark under pressure to get his wife to join him – and he realises it’s because they want to use her – and for the first time he begins to see how wicked these dried-up old husks of men are. And it dawns on him that, in a way, he has always used her, for sex, for comfort, because having a wife is respectable – but he has never really listened to her or respected her.

Anyway, the waking of Merlin is the turning point of the novel and, I couldn’t help feeling, in a way it is all downhill from here.

there is a genuinely scary (in the way a children’s story can be genuinely scary) chapter where Jane guides Denniston and Dimble to the grotto where she thinks she saw in a dream a figure who might have been Merlin, and as they circle towards a a fire burning in a glen in the pouring rain there is a real sense of suspense and terror. But nobody is there.

Instead Merlin turns up at the house on the hill, banging the door open, riding a wild horse, rearing in the weird light of the rainy evening. This image promised all kinds of mayhem and Lewis surrounds it with multiple examples of his scholarly knowledge of ancient myths, fairies, elves, woodwos and so on.

But, alas, when Merlin is dressed and shown up to the Director (i.e. Ransom’s) room, he is quickly tamed. Merlin wants to unleash the earth, the trees and other organic forces against the bad guys, but Ransom refuses, tells him no. And now Ransom reveals that he is the legitimate king or Pendragon of the nation of Logres, the heir of King Arthur, having been handed the crown by a dying man in remote Cumberland (chapter 17, section 4).

There is a great deal of background information explaining how two forces have always vied on these islands – Logres, the small league of mystical powers, against ‘Britain’, the humdrum and prosaic.

The triumph of the N.I.C.E. is the triumph of the prosaic; the scientific, technocratic, managerial worldview which is so concerned for ‘efficiency’ that it would sweep away all traditions and customs, all chivalry and courtesy, all kindness and charity, in fact all organic life itself, reducing life on earth to chemical processes supervised by a handful of super-brains.

Logres stands for the opposite, and Ransom – Fisher-King – Pendragon – is its head.

What happens then is that Ransom calls down the tutelary spirits of the planets of the solar system – Mercury, Venus, Mars, Jupiter, Saturn – and each in turn a) infects the whole household with their qualities (when Mercury appears everyone becomes talkative and gay, when Mars appears everyone starts quarreling), and infuse their powers into Merlin.

The climax

The ending is disappointing for a number of reasons. I haven’t mentioned that, at the same time that Merlin burst into St Anne’s house, the N.I.C.E. police force were out looking for him and did, indeed find someone, a rough looking big man who couldn’t talk. He is brought to Wither and frost who put him in the same prison cells as Mark – who is refusing to go and get Jane for them. In  a broadly comic scene Mark tumbles to the fact that the scruffy old geezer is just a common or garden tramp but he’s not going to let the two heads of N.I.C.E. know that.

What happens then is that the cell door is unlocked and a big unwieldy curate is ushered in by Wither and Frost. Unbeknown to Mark it is the real Merlin in disguise. He hypnotises the tramp and makes him speak gibberish which he then ‘interprets’ back to Wither and Frost. The ‘curate’ claims that ‘Merlin’ is demanding a tour of the facilities, so off they go, rather reluctantly.

This demand coincides, very inconveniently, with a visit from the man who Wither and Frost had long ago persuaded to be the official figurehead of the N.I.C.E., a superannuated novelist and popular science writer ‘Horace Jules’. I think this a fairly broad caricature of H.G. Wells (who died in the same year this novel was published, 1945). He is rather cruelly depicted as a short, stocky, vulgar Cockney, who got his ideas from Thomas Huxley 50 years ago, and had never learned anything new since.

The climax of the entire novel – with its themes of God versus the devil, faith versus scientific modernism, of ancient Logres versus technocratic Britain, of charity versus ruthlessness, of the superlunary powers of the planets versus the dark forces of earth – all this comes to a grand climax in…. a college dining hall.

For it is here that the fellows of Bracton College (by the time you get to the end of the novel it’s difficult to remember that it all began on the campus of a fictional college) assemble and Jules rises to give his speech to discover… that he is talking gibberish. The audience starts tittering. Wither rises to interrupt him and take control, but he talks gibberish. the audience start laughing then talking among themselves and discover that everyone is talking gibberish.

At that point a tiger appears in the dining hall and starts attacking people. Then a snake. Then an elephant breaks down the doors into the dining hall and proceeds to stomp all over the assembled dons as a peasant woman stamps down the grapes. Miss Hardcastle shoots Jules dead before herself being torn to shreds by the tiger.

These animals – we realise – were just some of the animals which the N.I.C.E were conducting vivisection experiments on. Still it comes as a complete surprise when this happens and seems utterly random.

Some of the bad guys escape. Wither and Straik force the injured Filostrato along to the laboratory which contains the head. The head makes them bow down and worship it. then it demands another head. Wither and Straik manhandle Filotrato over to the guillotine and behead him, offering the Head this new head and chanting to him. Then at the same moment they both realise the Head will ask for another head, and attack each other. Straik flees but Wither kills him with a knife and is just contemplating his body when a bear walks into the laboratory, reared up on its two hind legs, inflamed by the smell of blood, and kills him.

Frost makes his way to the laboratory, discovers the three corpses there and – his mind suddenly taken over by some force – finds himself locking himself in, pouring petrol everywhere and burning to death.

Some of the baddies escape further, namely Lord Feverstone, a slimy politicking member of the college, who also had a seat in the House of Lords and so helped to secure the state of emergency which allowed the N.I.C.E. to take over Edgestow.

But now there is an earthquake, all the land surrounding Edgestow turns into the cone of a volcano and all the buildings, roads, cars and people trying to flee – including Featherstone – are tipped tumbling down into the inferno.

Aftermath

Ransom / the Director / Pendragon, assembles his team – Dr and Mrs Dimble, Mr and Mrs Denniston, Ivy (now reunited with her husband, who had been doing time in prison), Jane and sceptical old MacPhee.

He delivers the last of the explanations which are required i.e. a long account of how he came to be the Pendragon, having inherited it from the old man in Cumberland, and what Logres means and why it is always at odds with ‘Britain’.

And he says goodbye one by one to his ‘disciples’ touching their heads and blessing them. He is leaving. He is returning to Perelandra where he gained his wound and where it will be healed.

And the book ends where it began: with Mark and Jane Studdock. I haven’t had space to mention it, but at the point where Wither and Frost began clamouring for Mark to bring Jane to them, he had realised something was wrong. Not just with the N.I.C.E. but with him, and his whole life, and his whole attitude to life. He had been undergoing training to join the really inner circle of Wither and Frost, a training in abnormality, a training designed to burn out of him any morality, normality and decency. But when it came to spitting and treading on the helpless figure of Christ, on a big crucifix laid on the floor of the training room, he refused, he rebelled and from that moment hardened his heart against the N.I.C.E. and all its works, and began to repent.

Thus, in the confusion of the escaping animals, the massacre of dons, and then the fire which starts in the Laboratory and quickly spreads, he escapes, makes it up out of the earthquake zone and finds himself trudging towards St Anne’s, miserable, humbled, willing to apologise.

And, when ransom dismisses Jane, he sends her to the cottage in the big house’s grounds, where Venus appears to her in a vision. She also has been chastened and humbled. She has learned that the beginning of wisdom is to realise other people are as important as you, that there are powers above you, that egotism always turns in on itself, whereas charity expands the soul and obedience, paradoxically, leads to a wonderful freedom.

And so the chastened young couple enter the cottage and proceed to a new marriage bed, based on mutual respect and understanding.

Quite a story, eh?


Comment

Where to start with what is really an enormous hodge-podge of a book?

I’ll start with the disappointing elements.

1. The prophecy that doesn’t arrive At the end of the previous novel in the sequence, the great spirit presiding over Perelandra had made the following prophecy regarding the ‘final battle’:

‘We shall fall upon your moon, wherein there is a secret evil, and which is as the shield of the Dark Lord of Thulcandra – scarred with many a blow. We shall break her. Her light shall be put out. Her fragments shall fall into your world and the seas and the smoke shall arise so that the dwellers in Thulcandra will no longer see the light of Arbol. And as Maleldil Himself draws near, the evil things in your world shall show themselves stripped of disguise so that plagues and horrors shall cover your lands and seas. But in the end all shall be cleansed, and even the memory of your Black Oyarsa blotted out, and your world shall be fair and sweet and reunited to the field of Arbol and its true name shall be heard again.’

Nothing like this happens. The moon isn’t smashed into fragments which fall into the sea creating a fog which blots out the sky, plagues and horrors do not cover the land, the Black Oyarsa doesn’t come into it, and there is no sense at all of the world swept clean.

The opposite. Towards the end Doc Dimble – who seems to know a surprising amount about Logres and so on – explains to the others i.e. Jane, MacPhee and the ladies, that the tension between ‘Britain’ and ‘Logres’ is a permanent state of affairs on these islands, in England, in Albion. I.e there is never a final anything. Conflict between the ancient and the modern technocratic vision will be permanent.

2. The silly massacre Instead of this world-shattering prophecy, what we get is a massacre in a college dining hall. Lewis tries to jive it up by saying that in the days leading up to the climax a thick fog settles over Edgestow, a small town in the Midlands. But that’s not quite the same as the moon being shattered into pieces and falling into the oceans, is it? Fog over small town in the Midlands is not headline-grabbing news. But nothing can hide the fact that the massacre in the dining hall falls far short of what the build-up had led us to expect, in lots of ways.

a) Farce It is treated more as farce than tragedy, beginning as it does with an entirely comical caricature of H.G. Wells and his pompous lecturing of the fawning dons. The way that he, and then everyone in the hall, starts speaking gibberish is a very small piece of magic, for such a mighty magician as Merlin to perform. It seems more like a parlour trick.

b) The animals’ revenge And then the way they are massacred by wild beasts is just not properly built-up to. Sure, we’d been told a few times that part of the N.I.C.E.’s experimental work involved vivisection, but it was never a central part of the novel at all. Using it as the central instrument of revenge feels random and contrived.

3. Merlin The central part of the novel deepens the mystical significance of events by invoking all manner of medieval and pre-medieval beliefs, by taking us – very atmospherically – back to the darkest of the dark ages after the Romans left and all kinds of pagan spirits reasserted their presence, and both Dimble and Ransom hint that Merlin’s powers in fact stretch far back before that, to the earliest days of humankind.

Jane’s creams of Merlin in  his chamber, and Ransom and Dimble’s accounts of his deep ancestral magic are very evocative and a bit scary. It is, then, a profound disappointment that Merlin’s main role is to be chastened by Ransom, to be told he can’t use any of his old magic, to be told he has to act within the framework which Ransom dictates.

It is a fundamental failure of the book that the rip-roaring ancient magic which we had been led to expect does not then arrive. Instead, Merlin is persuaded to dress up as a curate, inveigle his way into the N.I.C.E. masquerading as a priest who knows arcane old languages and so may be able to speak to the old man they’ve brought in (who Mark and the reader knows to be a harmless old tramp just after a warm place to kip and some decent grub).

Instead of being big, mighty and transformative, this scene is small, paltry and silly, more reminiscent of a French farce. Merlin in disguise hypnotises the tramp into speaking gibberish which Merlin then translates to Wither and Frost as a wish to see the facilities. Once touring round them Merlin a) casts the spell which makes everyone at the dinner speak gibberish b) sets the animals free.

That’s it. Very anti-climactic.

4. The gods Now Lewis tries to juice up Merlin’s role by having the tutelary spirits, the oyarsa, of the planets of the solar system appear one by one and infuse Merlin with their powers. This is a highly symbolic and schematic scene – one where we are meant to recognise and enjoy the depiction of the attributes of each planet, which could almost be a scene from Chaucer or Spenser, and yet… in the end…. What does Merlin do with all this mighty extra-terrestrial power? Put a spell on some doddery old academics and let the animals out of their cages. Hardly needed spirits from the solar system come down to help him do that.

5. The devil I was led to believe the devil was going to appear, the ‘bent’ oyarsa or darkarchon who rules this world – and that he would be overthrown and everything wiped clean. This doesn’t happen. Ransom disappears off to Perelandra at the end, and Mark and Jane go to bed together, for the first time to make love with courtesy and respect – which is all very nice – but what happened to the Dark Archon? Is the world still in his control? Has the new era prophesied at the end of Perelandra come about?

Emphatically not.

It doesn’t gel

They don’t mesh. The prophecy and expectation built up by the first two books of an Last Battle and global cleansing – the sense that the future of all mankind is at stake – the yoking in of Merlin and Logres – and setting it all in the broadly comic setting of the senior common room of a dusty old college or in a nice English country house – it is too much to manage, to pull together, and Lewis fails to deliver on all fronts.

Of the three novels, Perelandra is much the best, because its setting on another planet allowed Lewis’s imagination absolute free rein to dazzle us with his imagination, and to create from nothing a magnificent setting which truly dramatised the themes he was dealing with (the nature of evil, the fall, the nature of faith).

Some issues

The original version of That Hideous Strength was, as I’ve pointed out, nearly three times as long as the first book in the trilogy. Lewis clearly threw everything into it, creating an unstoppable outpouring of rambunctious ideas and social criticism.

While the main narrative of the book alternates between Mark’s adventures and Jane’s adventures, hardly an incident occurs which he doesn’t use to promote his view that the modern world with its blind belief in science and technology and efficiency and materialism has led modern man to a cliff edge, is destroying age-old values of courtesy and chivalry and charity and love and, above all, belief in something outside ourselves, something bigger than our individual selves, which made the world and deserves our respect and gratitude and obedience.

The experience of reading the book is to be almost continually lectured, either by the Dark Side characters lecturing Mark about everything from how to manipulate committees, how to write propaganda, how to manage the media, how to create talking heads, how to promote efficiency to such a degree that you end up abolishing mankind altogether – or, on the Light Side, Ransom’s explanations to innocent Jane of everything we learned in the first two books about the spirits of the universe, the oyarsa which rule each planet, and Dimble’s lengthy lectures about Merlin and Logres.

Somewhere the American novelist Saul Bellow laments that, these days, everyone is an expert, everyone is ‘a reality instructor’. Well, almost all the characters in this book seem to be lecturing each other about something or other. Here is Dr Dimble lecturing the sceptical MacPhee who is used as a butt for his and Ransom’s arguments.

‘You see, MacPhee, if one is thinking simply of goodness in the abstract, one soon reaches the fatal idea of something standardised – some common kind of life to which all nations ought to progress. Of course there are universal rules to which all goodness must conform. But that’s only the grammar of virtue. It’s not there that the sap is. He doesn’t make two blades of grass the same: how much less two saints, two nations, two angels. The whole work of healing Tellus depends on nursing that little spark, on incarnating that ghost, which is still alive in every real people, and different in each.’

Here is Lord Feverstone (who I only realised, half way through, is the same slimy, selfish adventurer who helped kidnap Ransom and transport him to Mars in the very first novel) who has got himself made a lord and is now a mover and shaker at Bracton college, here he is early on explaining things to naive young Mark:

‘Man has got to take charge of man. That means, remember, that some men have got to take charge of the rest – which is another reason for cashing in on it as soon as one can. You and I want to be the people who do the taking charge, not the ones who are taken charge of. Quite.’

‘What sort of thing have you in mind?’

‘Quite simple and obvious things, at first – sterilisation of the unfit, liquidation of backward races (we don’t want any dead weights), selective breeding. Then real education, including pre-natal education. By real education I mean one that has no ‘take-it-or-leave-it’ nonsense. A real education makes the patient what it wants infallibly: whatever he or his parents try to do about it. Of course, it’ll have to be mainly psychological at first. But we’ll get on to biochemical conditioning in the end and direct manipulation of the brain.’

You can see why Mark is taken aback, Sterilisation, liquidation? Oh yes old chap, drawls Feverstone, all in the name of progress, doncha know. Elsewhere Filostrato opens up the possibility that the two world wars they’d lived through are just the start of a sequence of wars which will all but wipe humanity out.

Throughout the book Lewis conflates modern management techniques in big organisations with special constables, underground cells, torture, liquidation. There are hundreds and hundreds of digs at the entire vocabulary of modern social services. there’s a section where Feverstone explains that the N.I.C.E. have persuaded the government to let them undertake the ‘rehabilitation’ of prisoners (as opposed to what Lewis clearly sees as the more honest, traditional view of punishment) but that this rehabilitation actually means a license to carry out experiments and torture.

Mr Straik is a clergyman who has gone profoundly wrong, whose theology has become so other-worldly that he has lost all touch with human life in all its imperfection. He tells Mark why he has joined the N.I.C.E.

‘The feeblest of these people here has the tragic sense of life, the ruthlessness, the total commitment, the readiness to sacrifice all merely human values, which I could not find amid all the nauseating cant of the organised religions.’

Dr Filostrato is the ‘scientist’ masterminding the bringing back to life of the head of the guillotined criminal Alcasar. During a college dinner early on, he explains to Mark that, having seen a metal tree made as a work of art in an art gallery, he realised, why stop at one? Why not replace all real trees with metal trees?

‘Why one or two? At present, I allow, we must have forest for the atmosphere. Presently we find a chemical substitute. And then, why any natural trees? I foresee nothing but the art tree all over the earth. In fact, we clean the planet.’

‘Do you mean,’ put in a man called Gould, ‘that we are to have no vegetation at all?’

‘Exactly. You shave your face: even, in the English fashion, you shave him every day. One day we shave the planet.’

‘I wonder what the birds will make of it?’

‘I would not have any birds either. On the art tree I would have the art birds all singing when you press a switch inside the house. When you are tired of the singing you switch them off. Consider again the improvement. No feathers dropped about, no nests, no eggs, no dirt.’

‘It sounds,’ said Mark, ‘like abolishing pretty well all organic life.’

‘And why not? It is simple hygiene.’

It is no accident that Mark’s academic subject is Sociology. Lewis obviously loathes Sociology. It sums up everything which is wrong with the modern world, which is regarding people as numbers and units instead of rich, complex human beings. Mark’s

education had had the curious effect of making things that he read and wrote more real to him than things he saw. Statistics about agricultural labourers were the substance: any real ditcher, ploughman, or farmer’s boy, was the shadow. Though he had never noticed it himself, he had a great reluctance, in his work, ever to use such words as ‘man’ or ‘woman’. He preferred to write about ‘vocational group’, ‘elements’, ‘classes’, and ‘populations’: for, in his own way, he believed as firmly as any mystic in the superior reality of the things that are not seen.

Early on, one of the dons who disapproves of the N.I.C.E., Bill Hingest, makes a telling point to Mark:

‘I happen to believe that you can’t study men, you can only get to know them.;

Good idea, good thought. For his opposition to the N.I.C.E. his car is flagged down in a dark country lane and he is beaten to death by N.I.C.E. goons.

Ancient versus modern

Wither witters on in interminable and obscure sentences designed to confuse his listeners, and also ensure they never know where they stand. He is obfuscation versus Lewis’s ideal of the simple autoritative clarity with which Ransom speaks. Here is Wither:

‘Good morning, good morning, Mr. Studdock,’ he said. ‘It is with the greatest regret that I–er–in short, I would not have kept you from your breakfast unless I had felt that in your own interests you should be placed in full possession of the facts at the earliest possible moment. You will of course regard all that I am about to say as strictly confidential. The matter is a distressing or at least an embarrassing one. I feel sure that as the conversation proceeds (pray be seated, Mr. Studdock) you will realise in your present situation how very wise we have been in securing from the outset a police force–to give it that rather unfortunate name–of our own.’

Here is Ransom:

‘I am the Director,’ said Ransom, smiling. ‘Do you think I would claim the authority I do if the relation between us depended either on your choice or mine? You never chose me. I never chose you. Even the great Oyéresu whom I serve never chose me. I came into their worlds by what seemed, at first, a chance; as you came to me–as the very animals in this house first came to it. You and I have not started or devised this: it has descended on us–sucked us into itself, if you like. It is, no doubt, an organisation: but we are not the organisers. And that is why I have no authority to give any one of you permission to leave my household.’

Light versus dark. Clarity versus obscurity. Good faith versus deliberate uncertainty. Sunlight versus fog. Love versus fear. Openness and permission contrasted with a paramilitary police and torture cells. Country versus city. Rural landscape versus industry. Tradition versus novelty. People versus statistics. Muddling through versus inhuman ‘efficiency’.

Filostrato wants to  abolish all organic life from the planet. In sharp contrast Ransom is shown going out of his way to be courteous and loving to animals, to the unexpected bear Mr Bultitude, but also to a covey of mice who he rings a bell to summons to eat the crumbs left over by the humans, his pets Baron Corvo the jackdaw and Mr Pinch the cat.

Ransom’s is a supra-human vision which encompasses all life forms.

The cosmic view

‘Your mistake is to think that the little regularities we have observed on one planet for a few hundred years are the real unbreakable laws; whereas they are only the remote results which the true laws bring about more often than not; as a kind of accident.’ (Grace Ironwood)

Merlin

Lewis writes wonderfully evocatively of the Dark Ages whose literature he knew so well.

And suddenly all that Britain which had been so long familiar to him as a scholar rose up like a solid thing. He could see it all. Little dwindling cities where the light of Rome still rested – little Christian sites, Camalodunum, Kaerleon, Glastonbury – a church, a villa or two, a huddle of houses, an earthwork. And then, beginning scarcely a stone’s-throw beyond the gates, the wet, tangled, endless woods, silted with the accumulated decay of autumns that had been dropping leaves since before Britain was an island; wolves slinking, beavers building, wide shallow marshes, dim horns and drummings, eyes in the thickets, eyes of men not only Pre-Roman but Pre-British, ancient creatures, unhappy and dispossessed, who became the elves and ogres and wood-wooses of the later tradition. But worse than the forests, the clearings. Little strongholds with unheard-of kings. Little colleges and covines of Druids. Houses whose mortar had been ritually mixed with babies’ blood.

And the figure of Merlin is, at least initially, presented with a powerful sense of the old pagan beliefs.

his great mass stood as if it had been planted like a tree, and he seemed in no hurry. And the voice, too, was such as one might imagine to be the voice of a tree, large and slow and patient, drawn up through roots and clay and gravel from the depths of the Earth.

And Lewis gives Merlin some great speeches, commenting on what, to him, are the peculiarities of 20th century life.

‘I cannot, indeed, understand the way you live, and your house is strange to me. You give me a bath such as the Emperor himself might envy, but no one attends me to it: a bed softer than sleep itself, but when I rise from it I find I must put on my own clothes with my own hands as if I were a peasant. I lie in a room with windows of pure crystal so that you can see the sky as clearly when they are shut as when they are open, and there is not wind enough within the room to blow out an unguarded taper; but I lie in it alone, with no more honour than a prisoner in a dungeon. Your people eat dry and tasteless flesh, but it is off plates as smooth as ivory and as round as the sun. In all the house there is warmth and softness and silence that might put a man in mind of paradise terrestrial; but no hangings, no beautified pavements, no musicians, no perfumes, no high seats, not a gleam of gold, not a hawk, not a hound. You seem to me to live neither like a rich man nor a poor one: neither like a lord nor a hermit.’

Compared to the thrilling power of his own days.

Merlin saw in memory the wintry grass on Badon Hill, the long banner of the Virgin fluttering above the heavy British-Roman cataphracts, the yellow-haired barbarians. He heard the snap of the bows, the click-click of steel points in wooden shields, the cheers, the howling, the ringing of struck mail. He remembered also the evening, fires twinkling along the hill, frost making the gashes smart, starlight on a pool fouled with blood, eagles crowding together in the pale sky.

Wow! Such a shame that this primal force then has to be tamed and neutered by Ransom.

The choice

What the books brings out is that both Jane and Mark are brought to the point of having to make a choice. Which side are you on?

In his normal condition, explanations that laid on impersonal forces outside himself the responsibility for all this life of dust and broken bottles would have occurred at once to his mind and been at once accepted. It would have been “the system” or “an inferiority complex” due to his parents, or the peculiarities of the age. None of these things occurred to him now. His “scientific” outlook had never been a real philosophy believed with blood and heart. It had lived only in his brain, and was a part of that public self which was now falling off him. He was aware, without even having to think of it, that it was he himself–nothing else in the whole universe–that had chosen the dust and broken bottles, the heap of old tin cans, the dry and choking places.

Even realising that you have a choice, even realising that we must all take responsibility for our own lives is presented by Lewis, as almost a lost knowledge, as a basic prerequisite for being human which modern society does everything it can to obscure. Mark:

became able to know (and simultaneously refused the knowledge) that he had been wrong from the beginning, that souls and personal responsibility existed.

Feminism

There is a massive amount to be written about Lewis’s depiction of the female characters. I imagine modern women students will want to throw the book in the nearest fire when they read the howlingly stereotyped characterisation of Miss Hardcastle, the leather-clad lesbian chief of police and torturer – although I enjoyed her character on an entirely cartoon level.

But central to the book is the way both Mark and Jane have to be cured of their modern scepticism and atheism and brought to see that there are people outside them a world outside them, powers outside them, that they are really very small and have to smother their egotism and learn to love others, and to love their Creator.

Jane is a moderately complex figure, in some ways the most sympathetic character in the book (Mark is depicted as an unrelentingly selfish fool in a hurry to suck up to anyone who’s in a position of power). Feminists might sympathise with the opening where Jane is depicted as frustrated by married life and excluded from an academic career, and by her later comments about sexism.

For a moment she looked on Mr. Denniston with real dislike. She saw him, and Mark, and the Fisher-King man and this preposterous Indian fakir simply as men – complacent, patriarchal figures making arrangements for women as if women were children or bartering them like cattle. (‘And so the king promised that if anyone killed the dragon he would give him his daughter in marriage.’) She was very angry.

But feminists presumably wouldn’t like the sections where she has to overcome these feminist views, in order to progress to the next level, the level Lewis depicts as to do with very ancient symbols of gender, of male and female coming together in rituals and ceremonies celebrating fertility and, at the end of the story, in a traditional marriage bed – cleansed and healed from their modern angry scepticism. Brought to realise that they should both be humble, forgiving and charitable.

Continually, throughout the book, the good things evoke whole systems of personal and folk memory, so that this generation is seen as repeating, echoing, and confirming the wisdom of the ages.

It woke in Jane vague memories of helping at Christmas or Easter decorations in church when she had been a small child. But it also suggested to her literary memory all sorts of things out of sixteenth-century epithalamions – age-old superstitions, jokes, and sentimentalities about bridal beds and marriage bowers, with omens at the threshold and fairies upon the hearth.

Maybe much of this can be critiqued as outrageously sexist, patriarchal and patronising, bit I, for one, can see where Lewis is coming from in invoking folk traditions, religious traditions, pagan traditions, pre-Christian traditions, and non-Western traditions, all of which see humans as aspiring to literally superhuman ideals of masculinity and femininity – ideals none of us may be able to attain, but which are guides to behaviour.

Or we can do what many people are doing in our day and age, try to rewrite our understanding of human nature and gender from scratch. But even if they’re not true, even if they are not exactly a guide for modern living, I – like Lewis – love and reverence the old literature, the old traditions and the old magic.

In Perelandra the theme and the treatment have a unity which completely transport the reader and make you accept all kinds of stately, ceremonial behaviour, at bottom based on gender norms and traditional views of fertility and procreation.

But when he tries to set the same ideas in the ‘modern’ age (well, 1940s England) they, along with much else in this mad gallimaufrey of a story, fall to really cohere or convince.


Related links

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same London of the future described in the Sleeper Wakes, Denton and Elizabeth fall in love, then descend into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – two scientists invent a compound which makes plants, animals and humans grow to giant size, leading to a giants’ rebellion against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a passing comet trails gasses through earth’s atmosphere which bring about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Bun Hill in Kent, manages by accident to be an eye-witness to the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1932 Brave New World by Aldous Huxley
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars,

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic

1980 Russian Hide and Seek by Kingsley Amis – in an England of the future which has been invaded and conquered by the Russians, a hopeless attempt to overthrow the occupiers is easily crushed

The Temptation of Saint Anthony by Gustave Flaubert (1874)

These images appear suddenly, as in flashes – outlined against the background of the night, like scarlet paintings executed upon ebony.

Saint Anthony

Saint Anthony a.k.a Anthony the Great (c. 251 – 356) was a Christian monk and visionary who reacted against the increasing acceptance and normalisation of Christianity throughout the Roman Empire by becoming, first an ascetic, and then rejecting social life altogether by going to live in the Egyptian desert, to fast and pray by himself, relying only on gifts of food from pilgrims and local villagers.

Rumours and legends spread about his simple life and holiness, and soon he gained a following. He is known to posterity because his contemporary, Athanasius, bishop of Alexandria, wrote a long biography of him. For many years Anthony was credited as the founded of monasticism i.e. the idea that holy men should go and live in isolation from society, ideally in remote locations, to live simple lives and praise God – though modern scholars now know he was part of a widespread movement of religious puritans away from urban centres, which predated and accompanied him.

Athanasius’s biography describes how Anthony was tempted by the devil and by demons who appeared in numerous disguises, trying to seduce him with food and the pleasures of the flesh or, more subtly, trying to lure him into some of the heretical beliefs with which his age abounded.

Continually elaborated in the retelling, embellished with demons, naked women and weird monsters, the legend of the ‘Temptation of St Anthony’ went on to become a familiar subject in western art, inspiring lovingly grotesque depictions by the likes of Hieronymus Bosch and Mathias Grünewald.

The Temptation of Saint Anthony by Hieronymus Bosch

The Temptation of Saint Anthony by Hieronymus Bosch (1501)

In more modern times the Temptation was painted by Max Ernst and Salvador Dali, and was the subject of a symphony by the German composer Paul Hindemith (1934).

And it inspired this prose fantasia by Gustave Flaubert, published in 1874.

The mundane and the fantastic in Flaubert

As I’ve read through Flaubert I’ve realised his output can be very simply divided into two categories: the contemporary realist works (Madame Bovary, The Sentimental Education) and the exuberant historical fantasias (Salammbô, The Temptation of Saint Anthony).

In other words, alongside his painstaking attention to the detail of contemporary life, Flaubert was also fascinated and inspired by a wide range of historical and fantastical subjects. He had a long-running interest in the ancient world of the Mediterranean (an interest fuelled by his visits to Tunisia and Egypt) and a lifelong fascination with religion, all religions, ranging as far afield as Buddhism and Hinduism.

It is as if all the uncontrolled sexual, sadistic, fantastical and philosophical fantasies which Flaubert kept completely bottled up when creating the painstaking ‘realist’ novels, just had to erupt somewhere else – in the sustained cruelty of Salammbô and into the extended philosophical and psychological fantasia of Saint Anthony.

The problem of ‘evil’ in 19th century literature (i.e. it is boring)

Flaubert wrote three completely different versions of the Temptation (1849, 1856 and this one).

The long introduction to the Penguin paperback edition by Kitty Mrosovsky compares how the images and ideas changed in the three versions. She then goes on to quote the opinions of later French writers and critics, from Baudelaire through Valéry, from Sartre to Michel Foucault.

What becomes clear is that if you write about God and the devil, heaven and hell, being and nothingness, sex and sin, any number of critics will be able to impose their own critical schemas and obsessions on your text, and it can be turned into a Symbolist, Freudian, Modernist, Existentialist or Structuralist masterpiece, depending on which critic you’re reading.

In other words, modern texts on this kind of subject often turn out to be strangely empty.

Inner right wing of the Isenheim Altarpiece depicting the Temptation of St. Anthony by Matthias Grünewald (1512-1516)

Inner right wing of the Isenheim Altarpiece depicting the Temptation of St. Anthony by Matthias Grünewald (1512-1516)

Personally, I find the history of the late Roman Empire, the rise of Christianity and the efflorescence of its countless heresies, absolutely riveting. By contrast I often find the way secular ‘modern’ writers use this era and these ideas to spool out endless ruminations about the meaning of life, unutterably boring. Why?

I think the reason I like the history of the actual heresies – all those gnostics and Arians, the Adamites, Marcionians, Nicolaitans, Paternians, Archonites and so on – is that they are interesting in themselves, and they really mattered. There were riots, insurrections, people fought to the death about these beliefs and – arguably – the weakness of the Church in North Africa after centuries of bitter sectarian fighting made it easy for militant Islam to sweep across the region in the 7th century. This was of world-historical importance.

And the arcane Christological heresies of the 3rd or 4th centuries AD are interesting in themselves as thought-provoking explorations of the potential of Christian theology – was Christ a man? or a God? or half-man and half-God? Which half was which? Did God speak through him or were his words his own? Has the Son existed for all time, like God, or was he created at some later date i.e. is he equal to, or inferior to, God the Father? How can they be part of the same Substance when Jesus continually refers to ‘his Father’ as a distinct entity? And how does the Holy Spirit fit into each of these scenarios?

1. The long line of 19th century non-believing poets and writers who tackled issues of ‘sin’ and ‘damnation’ and ‘heaven’ and ‘hell’ – from Byron via Baudelaire to Rimbaud and beyond – were just playing at being ‘damned poets’. There is no sense of risk in their work. The absolutely worst thing they could conceive of in their fictions, was suicide (which, when all is said and done, is just a personal psychological disorder), or murdering someone (just the one person) the subject of Dostoyevsky’s 500-page-long Crime and Punishment. Even the primevally wicked Mr Hyde only in fact murders one person. The worst thing most of these writers did, in practice, was sleep around and get drunk a lot.

In a sense the twentieth century made much 19th century literature redundant. The First World War went a long way towards (and then the Second World War, the Holocaust and the atom bomb, completed the work of) redefining forever the meaning of evil, despair, horror.

Agonising over one person’s soul seems, well, rather paltry in the light of the world we live in. (This is the reason I find the novels of Graham Greene, and their enormous obsession with the sinfulness or damnation of just one person, rather ludicrous.)

2. Also, no-one believes in Christianity any more. Not in a literal hell and damnation, not like they used to. In the Middle Ages the idea of damnation really mattered, psychologically: in Chaucer and Dante it is a real place, with real fire, and real demons skewering your tortured body. By the nineteenth century, in the hands of a dilettante like Byron, it is a fashion accessory, part of the pose of tormented genius.

The Temptation of Saint Anthony

The Temptation is divided into seven parts. It is written as if a play, with prose instructions describing the setting and goings-on (Opening words: ‘The setting is Thebaid, high on a mountain…’) while the dialogue of the ‘characters’ is given in dramatic format- the name, a colon, the speech.

It starts with Anthony outside his primitive hut in the desert at nightfall, and he proceeds to have a bewildering series of visions, some of which transport him to cities and palaces, where he encounters emperors and queens, and all manner of famous individuals such as the Queen of Sheba, Helen of Troy, the Buddha, the Greek gods and so on.

Right from the start Anthony – surprisingly – bemoans his lot, hates being alone, wonders whether he shouldn’t have followed another vocation, grumbles and complains in what – to be honest – is Flaubert’s awful, stagey dialogue.

Another day! another day gone!… What solitude! what weariness!… Ah! woe, woe is me! will this never end? Surely death were preferable! I can endure it no more! Enough! enough!… Assuredly there is no human being in a condition of such unutterable misery!… What shame for me! Alas! poor Anthony!… It is my own fault! I allow myself to be caught in every snare! No man could be more imbecile, more infamous!…

Since he doesn’t really do anything, we only know Anthony through his speech and his speech is hammy Victorian melodrama. As with the dialogue in Salammbô, every sentence seems to end in an exclamation mark but, paradoxically, the more exclamation marks he uses, the less dramatic (or interesting) the speech becomes, the more tiresome and simple-minded.

I found it impossible to take Anthony seriously as a character.

He stamps his foot upon the ground, and rushes frantically to and fro among the rocks; then pauses, out of breath, bursts into tears, and lies down upon the ground, on his side.

In fact, given the extravagant cast of characters, there is also surprisingly little drama, hardly any sense of conflict or threat, in the whole work. Anthony remains the same miserable moaner all the way through. There is no change or development, no sense of critical encounters or turning points or sudden revelations.

As I’ve read through Flaubert’s works I’ve become increasingly aware of the importance of Set Piece Scenes in his fiction. In a sense the Temptation is a reductio ad absurdam of this approach: it consists of nothing but an apparently endless series of set-piece encounters and scenes. This accounts for the highly static impression it makes on the reader.

One critic compares the entire book to the panoramas created by magic lanterns in the mid-nineteenth century. These enchanted their simpler audiences by projecting a series of images onto a flat wall. You can envisage the entire book as just such a series of slides.

The Temptation Of St Anthony by Joos van Craesbeeck

The Temptation of St Anthony by Joos van Craesbeeck (1650)

Part one – Human frailty

We find Saint Anthony in front of his hut in the desert as the sun sets. The entire book takes place in the space of this one night, from dusk to dawn.

Anthony is moaning about his lot in life and wonders why he didn’t do almost anything else, become a soldier or a teacher. Almost continually his thoughts are interrupted by wolves prowling just outside the light of his torch, or by birds, by strange noises.

Personally, I found almost all the scenes involving Anthony off-putting because he comes across as so wet and feeble. As in Salammbô and the realist novels, I often found the quiet, descriptive passages the most enjoyable, the ones where Flaubert uses his extensive background reading in the period to depict ordinary life of the time. Here he is imagining the life of your ordinary Alexandrian merchant.

The merchants of Alexandria sail upon the river Canopus on holidays, and drink wine in the chalices of lotus-flowers, to a music of tambourines which makes the taverns along the shore tremble! Beyond, trees, made cone-shaped by pruning, protect the quiet farms against the wind of the south. The roof of the lofty house leans upon thin colonettes placed as closely together as the laths of a lattice; and through their interspaces the master, reclining upon his long couch, beholds his plains stretching about him – the hunter among the wheat-fields – the winepress where the vintage is being converted into wine, the oxen treading out the wheat. His children play upon the floor around him; his wife bends down to kiss him.

Anthony sees this vision because he himself is lonely and hungry. The local villagers used to come and give him food, now they’ve stopped. Anthony reminisces about his days back in the city, as a trainee monk, when he was invited by Athanasius to join a set piece debate against the Arians (a very popular type of Christian heresy). Then he sees visions -‘ a stretch of water; then the figure of a prostitute; the corner of a temple, a soldier; a chariot with two white horses, prancing’, then he faints.

Part two – the Seven Deadly Sins

Out of the darkness comes the Devil, like a huge vampire bat, and under its wings are suckling the Seven Deadly Sins. It is a disappointment, then, that this ominous creature doesn’t speak. Instead Anthony hallucinates that his mat is a boat, rocking on a river, floating past the temple of Serapis.

Papyrus-leaves and the red flowers of the nymphæa, larger than the body of a man, bend over him. He is lying at the bottom of the boat; one oar at the stem, drags in the water. From time to time, a lukewarm wind blows; and the slender reeds rub one against the other, and rustle. Then the sobbing of the wavelets becomes indistinct. A heavy drowsiness falls upon him. He dreams that he is a Solitary of Egypt.

I like passages like this, clips or little scenelets of vivid description. When Anthony wakes the Devil has, apparently, disappeared – very disappointing. Anthony finds a husk of bread and his jug empty and this prompts a vivid hallucination of a great banqueting table set for a feast, replete with intoxicating sights and smells.

Then many things appear which he has never seen before – black hashes, jellies, the colour of gold, ragouts in which mushrooms float like nenuphars upon ponds, dishes of whipped cream light as clouds.

It was only the notes which explained to me that what now follows is a sequence in which Anthony hallucinates each of the Seven Deadly Sins in turn. This one represented the Sin of Gluttony. As in a hallucination the food morphs into lips and then into one loaf on a table which now stretches to right in front of his face. He pushes it away and it vanishes.

Then Anthony stumbles over something underfoot, which turns into money, lots of money, a crown, precious jewels.

As water streams overflowing from the basin of a fountain, so diamonds, carbuncles, and sapphires, all mingled with broad pieces of gold bearing the effigies of Kings, overflow from the cup in never ceasing streams, to form a glittering hillock upon the sand…

It is the Sin of Avarice. As he throws himself upon the pile it vanishes. He trembles in the knowledge that, had he died in the middle of succumbing to any of these temptations, he would have gone to hell.

Now the scene completely changes and Anthony thinks he sees a panoramic overview of the city of Alexandria. In style this is identical to the numerous panoramic overviews of Carthage which Flaubert gave us in Salammbô. He sees crowds of vengeful monks pouring through the streets, seeking out their heretical opponents, the Arians, and then Anthony suddenly sees himself to be one of them, bursting into the houses of the heretics, burning their books, torturing and eviscerating them, wading up to his knees in the heretics’ blood!

And the blood gushes to the ceilings, falls back upon the walls like sheets of rain, streams from the trunks of decapitated corpses, fills the aqueducts, forms huge red pools upon the ground. Anthony is up to his knees in it. He wades in it; he sucks up the blood-spray on his lips; he is thrilled with joy as he feels it upon his limbs, under his hair-tunic which is soaked through with it.

This is the Sin of Wrath.

Next the scene morphs to a Roman city (which I deduce is the newish capital of the Roman Empire, Constantinople) and Anthony finds himself ushered through countless rooms in a grand palace, past armed guards to arrive in the presence of the Emperor. This painted, dazzling personage treats him as an equal, discusses politics and religion with him and places his imperial diadem on Anthony’s brow. He is taken out into the balcony overlooking the Hippodrome where the great chariot races are held, walking past prison cells in which are imprisoned his theological enemies, the Arians, grovelling and begging hur hur hur. The Sin of Pride.

Then the scene morphs into the throne room of Nebuchadnezzar, king of Babylon 600 BC, a long banqueting table, and crawling in the dirt all the kings Nebuchadnezzar has defeated, whose hands and feet have been cut off. A little way off sit the king’s brothers, all of whom have been blinded. As in Salammbô the reader becomes aware of Flaubert’s oppressive interest in sadism and cruelty. Anthony enters the mind of the king of kings and is immediately drenched in feelings of lust and cruelty. He climbs on the table and bellows like a bull and then…

Comes to himself. He is alone in front of his hut. He picks up his whip and flagellates himself, enjoying the pain, the tearing of his rebellious flesh, whereupon…

He sees men riding on onagers (a kind of Asiatic wild ass) and then a procession of camels and horses and then a white elephant with a golden net and waving peacock feathers, which bears the Queen of Sheba. The elephant kneels, the queen slides down its trunk onto a precious carpet laid out by her slaves and she greets Anthony. As with Salammbô, there is in these scenes an excess of description over psychology or character.

Her robe of gold brocade, regularly divided by furbelows of pearls, of jet, and of sapphires, sheaths her figure closely with its tight-fitting bodice, set off by coloured designs representing the twelve signs of the Zodiac.

She wears very high pattens – one of which is black, and sprinkled with silver stars, with a moon crescent; the other, which is white, is sprinkled with a spray of gold, with a golden sun in the middle. Her wide sleeves, decorated with emeralds and bird-plumes, leave exposed her little round bare arms, clasped at the wrist by ebony bracelets; and her hands, loaded with precious rings, are terminated by nails so sharply pointed that the ends of her fingers seem almost like needles.

A chain of dead gold, passing under her chin, is caught up on either side of her face, and spirally coiled about her coiffure, whence, redescending, it grazes her shoulders and is attached upon her bosom to a diamond scorpion, which protrudes a jewelled tongue between her breasts. Two immense blond pearls depend heavily from her ears. The borders of her eyelids are painted black.

And she claims they have been searching the wilderness for him and, now they have found him, she will marry him and worship him and anoint him and caress him. There is a great deal of Miltonic description of the riches and luxuries from far-flung exotic places which she can offer him, but then it focuses down to the pleasure of her body, which sums up a whole world of desire. The Sin of Lust.

I am not a woman: I am a world!

But Anthony stands firm and after flirting with him some more, she turns on her heel, remounts her elephant and departs along with all her servants, laughing, mocking him.

Part three – Hilarion (11 pages)

A small child appears. Going up to him Anthony recognises the face of his one-time disciple, Hilarion, long since departed for Palestine. This phantasmal Hilarion sets about systematically undermining Anthony’s faith:

  • he criticises Anthony’s teacher, Athanasius, pointing out his theological errors
  • he says Anthony’s mortification is pointless since many heretics do just the same
  • Jesus went cheerfully about his ministry, mixing with people, talking, teaching, unlike misanthropic Anthony
  • when Anthony points to the Scriptures as the basis of faith, Hilarion immediately rattles off a list of the inconsistencies in the Gospel accounts of Jesus
The Temptation of St. Anthony by David Teniers the Younger (1647)

The Temptation of St. Anthony by David Teniers the Younger (1647)

Part four – the Heresiarchs and the circus victims (60 pages)

The heresiarchs Hilarion ushers Anthony into a vast basilica full of people who turn out to be a collection of all the founders of heresies, all the rival theologians and preachers and mystic, the Gnostics and neo-Platonics and religious thinkers, of his time. This is quite a long list and, as most of them only get a sentence or so designed to baffle and demoralise Anthony, it is very difficult from Flaubert’s text alone to properly understand their deviant beliefs.

After all these years I still recommend Paul Johnson’s excellent History of Christianity (1977), whose long second chapter is devoted to a detailed exposition of the Christian heresies which exploded around the Mediterranean and caused outrage, riots and even wars (when different candidates for emperor adopted opposing theologies) until well into the 8th century.

Thus Anthony meets in quick succession the heresiarchs Mani, Saturninus, Cerdo, St Clement of Alexandria, Bardesanes, the Herbians, the Priscillianists, Valentine, Origen, the Elkhasaites, the Carpocratians, the Nicolaitans, the Marcosians, the Helvidians, the Messalians, the Paternians, Aetius, Tertullian, Priscilla, Maximilla, Montanus, the Archontics, the Tatianians, the Valesians, the Cainites, the Circumcellions, Arius. Pandemonium breaks out:

The Audians shoot arrows against the Devil; the Collyridians throw blue cloths toward the roof; the Ascites prostrate themselves before a waterskin; the Marcionites baptise a dead man with oil. A woman, standing near Appelles, exhibits a round loaf within a bottle, in order the better to explain her idea. Another, standing in the midst of an assembly of Sampseans distributes, as a sacrament, the dust of her own sandals. Upon the rose-strewn bed of the Marcosians, two lovers embrace. The Circumcellionites slaughter one another; the Valesians utter the death-rattle; Bardesanes sings; Carpocras dances; Maximilla and Priscilla moan; and the false prophetess of Cappadocia, completely naked, leaning upon a lion, and brandishing three torches, shrieks the Terrible Invocation.

As you can see, this glorified list is more a goldmine for editors and annotators than any kind of pleasure for readers. Indeed, the Penguin edition has 47 pages of notes giving you fascinating facts on almost every one of the characters and places mentioned in the text. But if you read it as text alone, all these names quickly blur.

This long section about heretics makes clearer than ever the fact that Flaubert has the mentality of an encyclopedist, a compiler of dictionaries. He boasted to friends about the hundreds of history books he read as research for both Salammbô and Anthony and boy does it show.

Flaubert cuts and pastes together the results to produce scenes packed with exotic names, but almost always without any life or psychology and, as here, disappointingly uninformative. The controversies about the precise meaning of Jesus’ crucifixion which racked the early church are riveting because there was so much to play for; they were political as well as theological arguments, because different sects seized control of entire Roman provinces, Roman emperors disinherited their own children or fought opponents because they espoused divergent beliefs.

Flaubert manages to drain this exciting and complex historical and theological subject of all interest and turn it into a procession of cardboard mouthpieces, who all sound the same.

Following Arius, the chapter continues with a paragraph or so from: Sabellius, the Valentinians, the Sethians, the Theodotians, the Merinthians, the Apollinarists, Marcellus of Ancyra, Pope Calixtus, Methodius, Cerinthus, Paul of Samosata, Hermogenes, the Cerinthians, the Marcosians, the Encratites, the Cainites, the Old Ebionites, Eusebius of Caesarea, Marcellina…

The ceremony of the Orphites Anthony is then taken through a door into a dark shrine where he witnesses a ceremony of the Orphites, who worshipped the snake, the serpent in the Eden story, believing it to be the true saviour. Their chanting awakens a monstrously huge python which they handle and twine around themselves as they hold a blasphemous eucharist.

Christians being thrown to the lions Exhausted with horror at the sheer number of heresies, Anthony falls to the floor and is immediately back in the dust in front of his humble hut. Time passes and a new hallucination begins. He is in a dark room, a prison cell, among other wretches. Outside it is sunny, he hears the roar of a crowd, the sound of lions and has a vision of the arena, tier after tier of seats. He is among Christians about to be thrown to the lions.

Various characters explain why they’re there (interrupting pagan rites, burning down temples, refusing to worship pagan gods) and explore their plight: an Old Man lamenting he didn’t escape, a Young Man bewailing the lost years, a Consoler saying a miracle might happen. The idea (apparently) is to disillusion Anthony by showing him the mean motives, the backsliding and lack of faith of the so-called ‘martyrs’. The portcullis on the other side of the arena opens and out lope lazy lions, panthers, leopards, and then the martyrs’ door opens and the gaoler whips the weeping Christians out into the sand…

In the cemetery And Anthony awakes, dazed, looks around him, then.. falls into another dream. He is in a cemetery where he meets veiled women lamenting the deaths of their husbands, sons or how they themselves were condemned as Christians and persecuted, and then… as they bow and pray together, eat together, their robes slip open and their mouths join and.. I think they have an orgy – presumably the Devil’s intention is to show him the lack of faith and the easy lasciviousness of the widows of the faithful. This scene fades out and…

The Hindu sage Anthony is at the edge of a tropical forest, with parrots and lizards. On a pyre squats a shrivelled man wearing a necklace of shells and with a bird’s nest built in his long matted hair. He is ‘the Gymnosophist’, a Hindu sage. This wizened figure repeats basic Hindu teachings about reincarnation, about striving to reach purity so as not to fall into corruption. Then his pyre bursts into flames and he is burnt alive without a sound.

Simon Magus and Helen of Troy Anthony tramples out the flames and it is dark again. Then through a cleft in the rocks comes a voice followed by a white-haired old man leading a young girl with bite marks on her face and bruises on her arm. It emerges that he is Simon Magus, a magician of the first century mentioned in the Gospels. He claims to be the reincarnation of God and that the woman with him is his ‘First Thought’ or Ennoia, who has been reincarnated through the ages, at one point in the body of the legendary Helen of Troy, before he rescued from her work in a brothel in Tyre. Simon shakes the pot he’s carrying which has a live flame at the top, but the flame shivers and goes out and a great smoke or fog fills the stage.

Apollonius of Tyana Anthony stumbles though the fog to discover Simon and Helen are gone. Now through the fog come a pair of men, one tall and lordly like Christ, the other a short servant. It is Apollonius of Tyana, the sage or thaumaturge, and his servant Dimas. Apollonius declaims grandly. As so often with Flaubert, the reader gets the sense that the author is more interested, intoxicated even, by lists of grand, exotic-sounding and remote peoples and places – than by any kind of sense or logic. Thus Apollonius:

I have conversed with the Samaneans of the Ganges, with the astrologers of Chaldea, with the magi of Babylon, with the Gaulish Druids, with the priests of the negroes! I have ascended the fourteen Olympii; I have sounded the Scythian lakes; I have measured the breadth of the Desert!…

But first I had visited the Hyrcanian Sea; I made the tour of it; and descending by way of the country of the Baraomati, where Bucephalus is buried, I approached the city of Nineveh….

At Taxilla, the capital of five thousand fortresses, Phraortes, King of the Ganges, showed us his guard of black men, whose stature was five cubits, and under a pavilion of green brocade in his gardens, an enormous elephant, which the queens amused themselves by perfuming. It was the elephant of Porus which had taken flight after the death of Alexander….

Upon the shores of the sea we met with the milk-gorged Cynocephali, who were returning from their expedition to the Island Taprobana…

So we returned through the Region of Aromatics, by way of the country of the Gangarides, the promontory of Comaria, the country of the Sachalites, of the Adramites and of the Homerites; then, across the Cassanian mountains, the Red Sea, and the Island Topazos, we penetrated into Ethiopia through the country of the Pygmies…

I have penetrated into the cave of Trophonius, son of Apollo! I have kneaded for Syracusan women the cakes which they carry to the mountains. I have endured the eighty tests of Mithra! I have pressed to my heart the serpent of Sabasius! I have received the scarf of Kabiri! I have laved Cybele in the waters of the Campanian gulfs! and I have passed three moons in the caverns of Samothracia!

And so on. There is not a trace of drama, character, psychology, theology or philosophy in sight. This is quite transparently just a litany of resonant names. Apollonius and Dimas step backwards off a cliff and remain suspended in the air, like Coyote in the Roadrunner cartoons, before ascending slowly into the black night sky.

The Temptation of Saint Anthony by Félicien Rops (1878)

The Temptation of Saint Anthony by Félicien Rops (1878)

Part five – the pagan gods and goddesses (42 pages)

Another long chapter in which Anthony meets what amounts to a list of all the pagan gods and goddesses, each of them given – as we’ve become used to – a few sentences or a paragraph in which to show off Flaubert’s erudition and wide reading, before handing on to the next one.

In fact it starts off with a parade of pre-pagan gods, the blocks of wood or stone which original humans worshipped. Anthony and Hilarion mock the stupidity of the men who worshiped these clods. Then detours (unexpectedly) to a quick review of the original Hindu gods and of the Buddha, who tells the story of his life. The purpose of this temptation is that, as each of these entities tells its story, Hilarion (like a mini-devil) chips in to point out that this or that aspect of their worship is really no different from Christian belief or practice; it is designed to erode Christianity’s claims to uniqueness.

We have appearances from the Buddha, Oanna (of the Chaldeans), the gods of ancient Babylon and their temple prostitutes, Ormuz god of the Persians, the Great Diana of Ephesus with her three rows of breasts.

Cybele’s priests sacrifice a sheep and spatter Anthony and Hilarion with the blood, Atys who in a frenzy castrates himself as do his priests, we see the funeral of Adonis, killed by the boar, and the lamentation of Persephone, Isis suckling her babe and lamenting the death and dismemberment of Osiris.

Anthony is racked with sadness that so many souls have been lost worshiping these false gods; but sly Hilarion points out that so many aspects of the gods or their worship echo the True Religion, seeking to undermine Anthony’s belief.

Now he and Anthony see a vast mountain with Olympus on its height and witness the pantheon of Greek gods, one by one lamenting their decline and fall: Jupiter, Juno, Minerva, Hercules, Pluto, Neptune, Mars, Vulcan, one by one they lament the loss of their powers and the end of their worship, before going tumbling down into a black abyss.

The lament of Osiris for her lost lover, and the sorrow of the Greek gods are the only pages in the book which I found moving enough to reread and savour. In it we can hear the voice of Flaubert, who from his schooldays believed he lived in a fallen world of stupidity and vulgarity. Hence the words he puts into dying Jupiter’s mouth:

‘Eagle of apotheoses, what wind from Erebus has wafted thee to me? or, fleeing from the Campus Martins, dost thou bear me the soul of the last of the Emperors? – I no longer desire to receive those of men. Let the Earth keep them; and let them move upon the level of its baseness. Their hearts are now the hearts of slaves; – they forget injuries, forget their ancestors, forget their oaths – and everywhere the mob’s imbecility, the mediocrity of individuals, the hideousness of every race, hold sway!

Latterly go the household gods, those minor deities who gave grace and dignity to all aspects of daily life in ancient Rome, who laid the bride in her bed, tended at childbirth, at sickness, at feasts, during illness. All scorned, ignored and gone. Finally – surprisingly – a page is devoted to Jehovah, the god of the Old Testament, himself rejected and abused, his followers – the Jews – scorned and scattered over the earth.

It was a struggle to read the previous chapters, but these long laments of the dying pagan gods and the imaginative grace and nobility they brought to everyday life is, I think, genuinely moving. For the first time the text stirred, for me, as actual literature instead of a list of gaudy names.

Part six – the Devil (8 pages)

Hilarion gives way to the Devil himself who chucks Anthony onto his horns and carries him up, up and away, through the sky, into space, up to the moon, beyond the solar system, into the realm of the stars, all the time explaining a) that the universe is infinite, nothing like the earth-centred structure of the ancient Greeks or Jews b) while giving him a compelling lecture on theology (the only theology in the text), explaining in a dry logical, professorial manner the unbounded infinitude and one substance of God.

God has no imperfections, God has no passions, God doesn’t worry or fret about his creatures, he is vastly beyond the momentary whims of man, his is as extended, infinite and integral as the universe. BUT the corollary of this is that He doesn’t listen to prayers and hear the sobs and hopes of his countless creations. He is infinitely remote, completely Perfect, utterly indifferent. (According to the notes, this is a summary of the philosophical pantheism of Spinoza.)

The point is that the Devil’s fluent and vast philosophising leads up to the terrifyingly logical conclusion:

Adore me, then! – and curse the phantom thou callest God!

On some instinct Anthony, despite being overwhelmed by this vision of the universe and the Devil’s compelling logic, lifts his eyes as if to pray. The Devil drops him in disgust.

Part seven (20 pages)

Anthony regains consciousness by the cliff edge. It crosses his mind to end it all by simply rolling over it and falling to his death. This final chapter is in three parts:

1. He is approached by a wizened old woman and a nubile young woman. One argues the case for suicide, the other urges him to embrace life. Slowly it becomes clear they are Death and Lust, respectively. He dismisses them and is confronted by:

2. The Chimera and the Sphinx. The former attracts men towards pointless delusions, the latter devours seekers after God. They squabble and argue until the Sphinx sinks into the sand and the Chimaera goes swooping off in pointless circles.

3. Their argument morphs into the most genuinely surreal and hallucinatory section in the text, where Flaubert creates a parade of the strangest creatures or human-beasts he has come across in all his reading of myths and legends. These include:

  • the Astomi, humans who are completely transparent
  • the Nisnas, who have only one eye, one cheek, one hand, one leg, half a body, half a heart
  • the Blemmyes who have no head at all
  • the Pygmies
  • the Sciapods, who live with their heads and bodies in the earth, only the soles of their feet and legs showing
  • the Cynocephali, men with the heads of dogs who fly through trees in great forests,
  • the Sadhuzag, who has seventy-four antlers which the wind blows through to make beautiful sounds
  • the Martichoras, a gigantic red lion, with human face, and three rows of teeth
  • the Catoblepas, a black buffalo with a pig’s head, falling to the ground, and attached to his shoulders by a neck long, thin, and flaccid as an empty gut
  • the Basilisk, a great violet serpent, with trilobate crest, and two fangs, one above, one below
  • the Griffin, a lion with a vulture’s beak, and white wings, red paws and blue neck

And then there is a terrifying outpouring of Life in a profusion of forms:

And all manner of frightful creatures arise: – The Tragelaphus, half deer, half ox; the Myrmecoles, lion before and ant behind, whose genitals are set reversely; the python Askar, sixty cubits long, that terrified Moses; the huge weasel Pastinaca, that kills the trees with her odour; the Presteros, that makes those who touch it imbecile; the Mirag, a horned hare, that dwells in the islands of the sea. The leopard Phalmant bursts his belly by roaring; the triple-headed bear Senad tears her young by licking them with her tongue; the dog Cepus pours out the blue milk of her teats upon the rocks.

Mosquitoes begin to hum, toads commence to leap; serpents hiss. Lightnings flicker. Hail falls.
Then come gusts, bearing with them marvellous anatomies: – Heads of alligators with hoofs of deer; owls with serpent tails; swine with tiger-muzzles; goats with the crupper of an ass; frogs hairy as bears; chameleons huge as hippopotami; calves with two heads, one bellowing, the other weeping; winged bellies flitting hither and thither like gnats.

They rain from the sky, they rise from the earth, they pour from the rocks; everywhere eyes flame, mouths roar, breasts bulge, claws are extended, teeth gnash, flesh clacks against flesh. Some crouch; some devour each other at a mouthful.

Suffocating under their own numbers, multiplying by their own contact, they climb over one another; and move about Anthony with a surging motion as though the ground were the deck of a ship. He feels the trail of snails upon the calves of his legs, the chilliness of vipers upon his hands: – and spiders spinning about him enclose him within their network.

Finally, in this endless chain of evolutions and transformations, animals turn into insects, flowers turn into rocks, beasts turn to crystal, ice pullulates with life, it is a wild hallucination of the pantheistic vision of life in all things

And now the vegetables are no longer distinguishable from the animals. Polyparies that seem like trees, have arms upon their branches. Anthony thinks he sees a caterpillar between two leaves: it is a butterfly that takes flight. He is about to step on a pebble: a grey locust leaps away. One shrub is bedecked with insects that look like petals of roses; fragments of ephemerides form a snowy layer upon the soil.

And then the plants become confounded with the stones. Flints assume the likeness of brains; stalactites of breasts; the flower of iron resembles a figured tapestry.

He sees efflorescences in fragments of ice, imprints of shrubs and shells—yet so that one cannot detect whether they be imprints only, or the things themselves. Diamonds gleam like eyes; metals palpitate.

His vision narrows right down onto ants, onto the tiniest creatures, onto organisms no bigger than pinheads, furred with cilia and quivering with primordial life. Anthony has seen the origins of life and evolution in reverse, and he bursts out:

‘O joy! O bliss! I have beheld the birth of life! I have seen the beginning of motion! My pulses throb even to the point of bursting! I long to fly, to swim, to bark, to bellow, to howl! Would that I had wings, a carapace, a shell – that I could breathe out smoke, wield a trunk – make my body writhe – divide myself everywhere – be in everything – emanate with odours – develop myself like the plants – flow like water – vibrate like sound – shine like light, squatting upon all forms – penetrate each atom – descend to the very bottom of matter – be matter itself!

And then:

Day at last appears, and, like the raised curtains of a tabernacle, golden clouds furling into larger scrolls unveil the sky.

There in the middle, inside the very disk of the sun, radiates the face of Jesus Christ.

Anthony makes the sign of the cross and returns to his prayers.

Conclusion

Now, either Anthony has learned something definitive in the course of this long, busy night, and Flaubert intends this final outcry, apparently in praise of a kind of pantheistic materialism, as the climax and ‘message’ of the piece (which is very much how it feels when you read it)…

Or the ending has a more pessimistic meaning: namely that the return to his prayers signals a return to the same rut, the same wheel, and that the next night the whole thing will repeat itself all over again. I.e. he is caught like a Beckett character in an endless, pointless cycle of torment and fake wisdom.

I could see that both of these are possibilities but I am happy to leave my reading of the ending completely open because I was just so relieved to get to the end of this long, dense, almost unreadable fantasia of cuttings and notes transmuted into a bizarre sequence of sometimes unbearably tedious scenes.

The only moving part of the whole book is the Lament of the Pagan Gods – where the scenario of each of the gods in turn lamenting the decline of their worship and the end of their influence for once was adequate to the feeling of world sadness Flaubert is obviously aiming at.

Also, the final few pages, the almost hysterical hallucination of the very origins of life, are also head-spinningly delirious. But most if it felt like I was at the dentist having a filling.

The Temptation of St. Anthony by Salvador Dali (1946)

The Temptation of St. Anthony by Salvador Dali (1946)


Related links

Flaubert’s books

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