Atomic Rockets

Introduction

There are those who in the realm of science fiction literature wonder if galactic empires are the new "Middle-Earth". But interstellar empires never seem to go out of style, and regardless of their practicality they remain a powerful meme. The terrorist organization Aum Shinrikyo found inspiration in the galactic empire of Isaac Asimov's Foundation Trilogy. And concerns about how realistic galactic empires are will just send George Lucas laughing all the way to the bank.

If you are actually trying to make a full fledged interstellar empire, the maximum speed of starships and the maximum speed of communications limits the maximum size of the empire. If it takes a year for news of a rebellion on the outer marches of the empire to reach the capital (or sector capital) and another year for a fleet to travel back, this means the rebels will have two years to win the rebellion and fortify in preparation for the arrival of the imperial starfleet.

As a point of terminology, the marches or boondocks of a galactic empire are generally called the "rim" or the "fringe."

The defining factor of whether a given planet was part of an empire or not is whether the time delay between the start of the rebellion and the arrival of the imperial punishment fleet is longer than the time required for the rebellious planet to manufacture enough defenses to take care of the punishment fleet.

In other words: if you cannot hold on to the planet, it ain't yours.

An auxiliary factor is the expected size of the punishment fleet. This will depend upon many other factors. A worthless rock-pile might only rate one warship, while The Planet Of Immortality Drugs could get a sky full of ships. An average planet in the middle of the empire could rate a sizable fleet since it could be a nucleus of rebellion for other planets, while the same planet out on the galactic marches of the empire might not get anything.

The expected size of the punishment fleet defines how many defenses need to be manufactured. And the amount of defenses is a big factor in determining whether it is possible to manufacture all of them before the fleet shows up.

Note the off-hand reference to "sector capitals". If your communications/warship speed dictate that your empire can be no more than X parsecs wide with central control in the capital then you can obviously make your empire larger if you delegate control to a series of sub-capitals at some distance. Of course this runs the risk of an ambitious sector governor getting ideas about declaring independence.

(sub-light) Punitive expeditions would be nearly impossible, hideously expensive, and probably futile: You'd be punishing the grandchildren of a generation that seceded from the Empire, or even a planet that put down the traitors after the message went out. Even a rescue mission might never reach a colony in trouble. A coalition of bureaucrats could always collect the funds for such an expedition, sign the papers certifying that the ships are on the way, and pocket the money ... in sixty years someone might realize what had happened, or not.

Jerry Pournelle

In many respects, the expansion of man into one frontier after another, and its resulting effects on his social and governmental institutions, can be seen as an alter­nating series of instability and stability in the relative efficiency of transportation and communication. A society will expand into a new frontier as its transportation technology allows it to do so, and its expansion is generally limited only by the sophistication of its transport system. However, if communication technology has not kept up with transportation technology, stresses develop between the mother country/capital and the provinces. These stresses are resolved either by a technological advance in communication (the telegraph, for example, ended the possibility of secession by the western territories from the United States), by a severance of ties between the new territory and the home government (the gradual process of colonial independence in the western hemisphere in the 18th and 19th centuries), or the arrival of a new home government generally involving a much higher degree of local autonomy than had previously existed (the Persian system of Satrapies).

Traveller assumes a remote centralized government (referred to in this volume as the Imperium), possessed of great industrial and technological might, but unable, due to the sheer distances and travel times involved, to exert total control at all levels everywhere within its star-spanning realm. On the frontiers, extensive home rule provisions allow planetary populations to choose their own forms of government, raise and maintain armed forces for local security, pass and enforce laws governing local conduct, and regulate (within limits) commerce. Defense of the frontier is mostly provided by local indigenous forces, stiffened by scattered Imperial naval bases manned by small but extremely sophisticated forces. Conflicting local interests often settle their differences by force of arms, with Imperial forces looking quietly the other way, unable to effectively intervene as a police force in any but the most wide-spread of conflicts without jeopardizing their primary mission of the defense of the realm. Only when local conflicts threaten either the security or the economy of the area do Imperial forces take an active hand, and then it is with speed and overwhelming force.

Traveller Book 4: Mercenary by Frank Chadwick (1979)

Government

There are the various types of government. These can be the governments of continents on a planet, goverments of an entire united planet, or governments of groups of planets. Go to The Tough Guide to the Known Galaxy and read the entries "NEOFEUDALISM" and "THEOCRATIC NEOMEDIEVALISTS".

Needless to say, there is no lack of ambitious individuals who have a burning desire to be the absolute ruler of a nation or empire. This is why the mechanism of succession must be rigidly defined. If for any reason the mechanism does not function properly when a ruler is removed, lots of people die.

For example, if in a monarchy the crown passes to the former king's eldest son, a king who has no son will start an instant civil war when he dies. Anybody who has a driving ambition to be king and some pathetic scrap of a claim to the throne will gather an army and attack all the other claimants. A famous example is the War of the Roses. Over thirty years of battles because there was just enough vagueness over who should succeed King Richard II.

INTERREGNUM, n. The period during which a monarchical country is governed by a warm spot on the cushion of the throne. The experiment of letting the spot grow cold has commonly been attended by most unhappy results from the zeal of many worthy persons to make it warm again.

From The Devil's Dictionary by Ambrose Bierce (1911)

Star Hero

From the Star Hero role playing game by James Cambias, published by Hero Games. A valuable sourcebook for anybody designing a science fiction universe. From stellar dynamics to types of interstellar governments, this book belongs on the shelf of serious SF authors. This is also a great book to quickly get an author up to speed on the science behind science fiction.

  • Who Rules?
    • Nobody (anarchy)
    • Individual Rule
      • Dictator (Emperor, Warlord): rule by force
      • Monarch (Chiefs, Barons, Princes, Kings, Emperors): rule by virtue of heredity. May have to delegate power to appointed bureaucracy, elected parliament, or feudal hereditary nobles.
      • President (Chancellor, Premier, Governor): rule by merit, appointment, or election.
      • Computerized Government
    • Small Groups
      • Junta: rule by force
      • Oligarchy (Aristocracy): rule by virtue of heredity.
      • Council (Senate): rule by merit, appointment, or election.
    • Large Groups
      • Conquering Army: rule by force. Unstable, generally quickly becomes a Junta or Dictator. If situation lasts for a generation it generally becomes Feudal.
      • Feudal: rule by virtue of heredity. A large hereditary group may become a Ruling Caste.
      • Legislature (Congress, Assembly): rule by merit, appointment, or election.
      • Athenian Democracy: everybody rules by voting on all issues.
  • How Is The Ruler Chosen?
    • No Ruler (anarchy)
    • Force
    • Heredity
    • Appointment: the key is who gets to do the appointing. A colony or conquered planet has ruler appointed by controlling planet. Sometimes officials get to appoint their replacements. Sometimes one branch of government appoints the members of another branch.
    • Merit. Depends upon what is the measure of merit. Competency = Bureaucracy. Religious Faith = Theocracy. Scientific Knowledge = Technocracy. Wealth = Plutocracy. Sheer Age = Gerontocracy.
    • Election
    • Total Participation (Athenian Democracy)
    • Random Selection (similar to jury duty)
    • Omens or Oracles (in religious or superstitious societies)
    • Computerized Government
    • Purchase

Traveller

From the Traveller role playing game:

  1. No government structure. In many cases, family bonds predominate.
  2. Company/Corporation. Government by a company managerial elite; citizens are company employees.
  3. Participating Democracy. Government by advice and consent of the citizen.
  4. Self-Perpetuating Oligarchy. Government by a restricted minority, with little or no input from the masses.
  5. Representative Democracy. Government by elected representatives.
  6. Feudal Technocracy. Government by specific individuals for those who agree to be ruled. Relationships are based on the performance of technical activities which are mutually beneficial.
  7. Captive Government. Government by a leadership answerable to an outside group; a colony or conquered area.
  8. Balkanization. No central ruling authority exists; rival governments compete for control.
  9. Civil Service Bureaucracy. Government by agencies employing individuals selected for their expertise.
  10. Impersonal Bureaucracy. Government by agencies which are insulated from the governed.
  11. Charismatic Dictator. Government by a single leader enjoying the confidence of the citizens.
  12. Non-Charismatic Leader. A previous charismatic dictator has been replaced by a leader through normal channels.
  13. Charismatic Oligarchy. Government by a select group, organization, or class enjoying the overwhelming confidence of the citizenry.
  14. Religious Dictatorship. Government by a religious organization without regard to the needs of the citizenry.

The Sword And The Stars

From THE SWORD AND THE STARS wargame by SPI.

  • 10 TRIBALISTIC SERIES
    • 11 Fraternalism
    • 12 Sororalism
    • 13 Ancestralism
  • 20 UNIQUE SERIES
  • 30 ABSOLUTIST SERIES
    • 31 Totalitarianism
    • 32 Monarchism
    • 33 Feudalism
    • 34 Despotism
  • 40 REPUBLICAN SERIES
    • 41 Democracy
    • 42 Parliamentary
    • 43 Republicanism
  • 50 THEOCRATIC SERIES
  • 60 COLLECTIVIST SERIES

Star Empires

From STAR EMPIRES wargame by TSR.

  1. Anarchy
  2. Feudal
  3. Democracy
  4. Parliamentary
  5. Republic
  6. Oligarchy
  7. Theocracy
  8. Monarchy
  9. Military Junta
  10. Autocracy
  11. Hive (mostly seen with intelligent insect species)

Space Opera

From Space Opera role playing game by FGU.

  • Anarchy
  • Feudal
  • Multi-government (Balkanization)
  • Subjugated (conquered by another government)
  • Oligarchy (aristocracy or dictatorship)
  • Religious Dictatorship
  • Corporate State
  • Athenian Democracy (no representatives, everybody votes)
  • Republican Democracy (representatives)
  • Confederacy (not a government, a group of governments)
  • Personal Dictatorship
  • Empire (not a government, a group of governments)

GURPS: Space

From GURPS: Space role playing game by Steve Jackson Games.

GOVERNMENT TYPES

  • No world government: diffuse (hundreds of factions)
  • No world government: factionalized (tens of factions)
  • No world government: coalition (several factions)
  • Anarchy
  • Clan/Tribal
  • Caste (as Clan, but each clan has pre-set profession)
  • Feudal
  • Theocracy
  • Dictatorship (King, dictator, or warlord)
  • Representative Democracy
  • Athenian Democracy
  • Corporate State
  • Technocracy (rule by computer programmers and engineers)

SUB-TYPES (additional conditions and modifications applied to the government type, e.g., "Matriarchal-Socialist Athenian-Democracy")

  • Subjugated (government has been conquered militarily or economically)
  • Slave State (slavery is legal)
  • Sanctuary (will not extradite criminals wanted off-world)
  • Military Government (totalitarian if single officer, feudal if junta)
  • Socialist (citizens heavily taxed but taken care of by the nanny-state)
  • Bureaucracy (un elected bureaucrats have the real power)
  • Colony of another government
  • Oligarchy (leadership in the hands of a small self-perpetuating clique)
  • Meritocracy (government jobs require aptitude tests)
  • Patriarchy/Matriarch (all rulers are male/female)
  • Utopia (everything is perfect)
  • Cybercracy (rule by computers)

Axis Charts

As far as political movements within a government are concerned, Jerry Pournelle has an interesting classification system.

The X-axis is "Statism" or attitude towards the State. The extreme positive X-axis represents the movement's belief that the State is a positive good, nay, worthy of worship. The negative X-axis is the belief that the State is the ultimate evil.

The Y-axis is "Rationalism" or attitude toward planned social progress. It is the belief that society has "problems," and these can be "solved." The extreme postive Y-axis represents the belief that all social problems have findable solutions.

There are some other amusing X-Y classification systems. The Political Compass is similar to Pournelle's, but with a Libertarian bent.

The Dungeons and Dragon game had each character choose their "alignment" from the alignment chart. This chart had an "ethical" X-axis between Chaotic and Lawful, and a "moral" Y-axis between Good and Evil. If you believe that "the good of the many outweights the good of the few", you are Lawful, otherwise you are Chaotic. If you believe that "the ends justify the means" then you are Evil, otherwise you are Good. On either axis you could be "Neutral".

Another interesting axis classification system is the Inglehart-Welzel Cultural Map of the World. The Traditional/Secular-rational values dimension reflects the contrast between societies in which religion is very important and those in which it is not. The second axis is linked with the transition from industrial society to post-industrial societies -- which brings a polarization between Survival and Self-expression values.

The authors note that each axis actually contains many related values which vary in lock step. For instance, the Traditional/Secular-rational is specifically for measuring religion. But in practice it also measures such things as the importance of parent-child ties and deference to authority, along with absolute standards and traditional family values. Cultures with a high religion value reject divorce, abortion, euthanasia, and suicide. They also have high levels of national pride, and a nationalistic outlook. Cultures with a low religion value also have the opposite preference in all those topics.

SF authors and game designers who want to invent believable cultures for their various interstellar nations can use this graph to explore both the outer limits and the finer nuances.

David Maurer's Explanation of history shows how the values and philosophy of a culture relate to the question of "where is the food going to come from?" As the answer changes, so does the culture. This more or less corresponds to the Survival -- Self-expression axis in the Inglehart-Welzel graph.

British linguist Richard Lewis in his book When Cultures Collide catagorizes world cultures into one of three types: Linear-actives, Multi-actives, or Reactives.

Linear-actives — those who plan, schedule, organize, pursue action chains, do one thing at a time. Germans and Swiss are in this group.

Multi-actives — those lively, loquacious peoples who do many things at once, planning their priorities not according to a time schedule, but according to the relative thrill or importance that each appointment brings with it. Italians, Latin Americans and Arabs are members of this group.

Reactives — those cultures that prioritize courtesy and respect, listening quietly and calmly to their interlocutors and reacting carefully to the other side's proposals. Chinese, Japanese and Finns are in this group.

Lewis Model Catagories
Linear-activesMulti-activesReactives
Talks half of the timeTalks most of the timeListens most of the time
Does one thing at the timeDoes several things at onceReacts to partner's action
Plans ahead step by stepPlans grand outline onlyLooks at general principles
Polite but directEmotionalPolite, indirect
Confronts with logicConfronts emotionallyNever confronts
Job-orientedPeople-orientedVery people-oriented
Sticks to factsFeelings before factsStatements are promises
Result-orientedRelationship-orientedHarmony-oriented
Sticks to agendaRoams back and forthOften asks for "repeats"
Written word importantSpoken word importantFace-to-face contact important
Restrained body languageUnrestrained body languageSubtle body language

Plastic Bag has the Pirate-Ninja/Elf-Dwarf chart. Pirates are loud and flamboyant, gregarious and unrestrained, life-loving and vigorous, passionate and strong. Their opposite, the Ninjas are skilled and proficient, elegant and silent, contained and constrained, honourable and spiritual. Elves are Thinkers, elegant and timeless, conceptual and refined, abstract and beautiful. Dwarves are Doers, practical and structural, hard-working and no-nonsense, down-to-earth smiths and makers.

And the chart in the report on the Laws of Stupidity will repay careful study.

Metrics

If you are creating a "future history generator" program, or something like that, you will need ways of quantifying the various factors.

For nations, the state of the citizens's well-being can be measured by the Human Development Index. This factors in life expectancy, literacy, education, and standard of living into one number. Among other things it can indicate whether a country is a developed, developing, or underdeveloped country.

The economic Misery index is found by adding the unemployment rate to the inflation rate. This tends to predict the relative crime rate of one year in the future.

And the Gini coefficient is a measure of inequality of a distribution of income. If the difference in income between the rich and the poor becomes too absurdly large, the society becomes increasingly unstable. Historians often point to a large Gini coefficient and the disappearance of the middle class as two of the warning signs of the downfall of the Roman empire.

Bureaucracy

Another important principle is Jerry Pournelle's Iron Law of Bureaucracy.

Pournelle's Iron Law of Bureaucracy is that in any bureaucracy, the people devoted to the benefit of the bureaucracy itself always get in control, so that those dedicated to the goals the bureaucracy is supposed to accomplish have less and less influence, and sometimes are eliminated entirely.

It's certainly true enough that there are plenty of people as you describe: indeed they are essential. Without them there wouldn't be an organization to protect. One way to keep the organization strong is to have rules that require a lot of monkey motion: that way everyone can demonstrate that he is overworked, and needs to hire more members of the bureaucracy.

The best illustration I know happened when Administrator Dan Goldin fired hundreds from NASA Headquarters. A week later no one could remember what they did: they weren't missed at all. On the other hand, when bureaucrats get in charge of reductions in force, they always try to get rid of key people who actually do the work: that way they'll have no choice but to hire more.

Jerry Pournelle

And in Robert's Heinlein's The Moon is a Harsh Mistress, he gives the opinion that the key question which defines a political system is:

"Under what circumstances is it moral for a group to do that which is not moral for a member of that group to do alone?"

From The Moon is a Harsh Mistress, by Robert's Heinlein

For example, if a person kills somebody, it is Murder, if the government kills somebody it is Capital Punishment.

Terminology

The terminology for groups of governments gets complicated. Go to The Tough Guide to the Known Galaxy and read the entry "TRADE FEDERATION".

Coalition
An alliance between governments, during which they cooperate in joint action, each in their own self-interest. This alliance may be temporary, or a matter of convenience. A coalition thus differs from a more formal Confederation.
Confederation
An alliance between governments created by a compact, concord, concordat, covenant, pact or treaty. Confederations tend to be established to deal with critical issues, such as defense, foreign affairs, foreign trade, and a common currency, with the central government being required to provide support for all members. It is similar in structure to a federation but with a weaker central government. The member governments generally retain the right of secession. Synonyms: Alliance, Compact, Concordiat, League, Axis.
Federation
A Federation is similar to a Confederation, but the member governments have surrendered more of their rights and responsibilities to the central government. The member governments (known as states, dominions, or provinces) are still self-governing, but give up control of foreign affairs. Member governments generally lose the right of secession. Synonym: Commonwealth, Assembly.
Union
A Union is a Federation where the member governments have surrendered some control of their internal affairs. The main difference between a Union and an Empire is that the Union is voluntary. Synonyms: Amalgamation, Association, Coadunation, Consolidation, Consortium, Polity, Unification.
Sphere of Influence
A metaphorical region of political influences surrounding a government. When a government falls into another's "sphere of influence" that government frequently becomes subsidiary to the more powerful one, operating as a satellite state or de facto colony. Synonyms: Hegemony, Demesne
Suzerainty
A Suzerainty is not voluntary, the member governments have been incorporated by force. The member governments are a tributary to the conquering government (the Suzerain), and enjoys some limited domestic self-rule, but no control over foreign affairs.
Empire
An Empire is not voluntary, the member regions have been incorporated by force. The leader region is called the "metropole", the subjugated regions are called the "peripheries." The peripheries are ruled by governors, viceroys, or client kings in the name of the Emperor. Synonym: Imperium

With most of these labels, all you have to do is add a weird noun and you have your empire's name, e.g., the Unitech Polity, the Dominion of the Technomorphs, the Romulan Star Empire, the Rigel Covenant, etc. Go to The Tough Guide to the Known Galaxy and read the entry "EMPIRE".

Usually the giant stars have many planets, and Betelgeuse, with forty-seven, is no exception. Of these, six have intelligent native races, and the combined resources of the whole system are considerable, even in a civilization used to thinking in terms of thousands of stars.

When the first Terrestrial explorers arrived, almost a thousand years previously, they found that the people of Alfzar had already mastered interplanetary travel and were in the process of conquering the other worlds -� a process speeded up by their rapid adoption of the more advanced human technology. However, they had not attempted to establish an empire on the scale of Sol or Merseia, contenting themselves with maintaining hegemony over enough neighbor suns to protect their home.

From Agent of the Terran Empire by Poul Anderson

ABSOLUTE, adj. Independent, irresponsible. An absolute monarchy is one in which the sovereign does as he pleases so long as he pleases the assassins. Not many absolute monarchies are left, most of them having been replaced by limited monarchies, where the sovereign's power for evil (and for good) is greatly curtailed, and by republics, which are governed by chance.

ALLIANCE, n. In international politics, the union of two thieves who have their hands so deeply inserted in each other's pockets that they cannot separately plunder a third.

COMMONWEALTH, n. An administrative entity operated by an incalculable multitude of political parasites, logically active but fortuitously efficient.

DICTATOR, n. The chief of a nation that prefers the pestilence of despotism to the plague of anarchy.

INSURRECTION, n. An unsuccessful revolution. Disaffection's failure to substitute misrule for bad government.

INTERREGNUM, n. The period during which a monarchical country is governed by a warm spot on the cushion of the throne. The experiment of letting the spot grow cold has commonly been attended by most unhappy results from the zeal of many worthy persons to make it warm again.

RABBLE, n. In a republic, those who exercise a supreme authority tempered by fraudulent elections. The rabble is like the sacred Simurgh, of Arabian fable - omnipotent on condition that it do nothing. (The word is Aristocratese, and has no exact equivalent in our tongue, but means, as nearly as may be, "soaring swine.")

REPUBLIC, n. A nation in which, the thing governing and the thing governed being the same, there is only a permitted authority to enforce an optional obedience. In a republic, the foundation of public order is the ever lessening habit of submission inherited from ancestors who, being truly governed, submitted because they had to. There are as many kinds of republics as there are graduations between the despotism whence they came and the anarchy whither they lead.

From The Devil's Dictionary by Ambrose Bierce (1911)

Other Thoughts

Bureaucratic Scale

Arthur C. Clarke insists that large galactic governments are impossible because of their intolerable complexity. This is based upon a simple truth: As population grows arithmetically, the number of possible interactions rises geometrically.

...But all such attempts to showcase the "numbing complexity" of galactic government are unconvincing because information flows in interstellar empires needn't be all that serious, though we'll obviously need computer-bureaucrats to handle most of the red tape.

... Since silicon microcircuits can theoretically process ten billion times more data than human neurons, pound for pound and bit for bit, then maybe with computer help humans could run empires ten billion times larger than the historical imperial scale. The pre-computer Roman and British Empires ruled 30 million and 300 million people, respectively, before becoming too large. Perhaps a galactic empire using electronic administrators could handle 1019 people before it got too cumbersome. That's a billion planets with ten billion inhabitants each!

...According to Mosca's Rule: "The larger the political community, the smaller will be the proportion of the governing minority to the governed majority." Roberto Michels' "Iron Law of Oligarchy" goes still farther; asserting that growing political systems, especially empires, invariably evolve into more oligarchic (rule by the few) forms of government. So while democratic or republic empires are possible, as they grow they will slowly but implacably drift towards autocracy.

...Specialization leads to hierarchy and span of control. Hierarchy means levels of increasing managerial specialization, each level having supervisors of equal responsibility. Span of control is the number of subordinates administered by each supervisor.

Studies of government and private organizations show that the number of hierarchical levels and the span of control tends to increase as the whole system expands, but also that the two are complementary. For a given size, a wider span of control means fewer levels are needed above and below each span, producing a broad "flat" organizational pyramid. More levels means small spans suffice, giving a narrow "tall" organization with tighter control from the top. Humans seem naturally to prefer rather tall organizations, perhaps partially due to our simian heritage of vertical troupe dominance chains. Sentient extraterrestrials evolved from carnivorous cats or intelligent octopi, solitary creatures by nature, would favor flatter organizational structures.

...The best human organizations have spans of five subordinates per supervisor. Using this figure, a galactic empire controlling ten billion planets having ten billion inhabitants each would require at least 21 hierarchical levels. It is well known that human organizations with more than 6-8 levels become excessively bureaucratic.

...If we optimistically assume that a control span of 100 subordinates can be achieved for, say, human policymakers, then the number of hierarchical levels can almost be halved - from 21 down to 11. The structure of Sir Roger's bustling empire might then look something like Figure 1.

Sir Roger's Galactic Empire
(Span of control ~=100, Hierarchical Levels ~=11)
Ordinal LevelPerson, Imperial Office, or RankNumber Holding RankNumber of Planets ControlledSubjects Controlled
1Emperor110101020
2Cabinet Minister1001081018
3Peer10,0001061016
4Royal Magistrate10610,0001014
5Starkeeper1081001012
6Planetary Governor101011010
7Continental Regent1012 108
8Knight1014 106
9Burgess1016 10,000
10Gentry1018 100
11Commoners1020 1

Even with all this mechanized assistants, the Emperor will have absolutely no contact with non-interstellar personnel. His relationship with his magistrates would not be unlike those between the United States President and the mayors and city managers of American cities. To the Galactic Emperor, the starkeepers, each responsible for 100 worlds, will seem much as U.S. citizens appear to their President - with only a very rare audience being granted. Planetary governors are "the rabble."

Organizational specialist studying "control loss theory" say that in tall, human-like galactic organizations, memos would have to travel down through so many channels that most orders from top to bottom levels could be almost totally degraded to noise by they time they arrive. Economist Oliver Williamson devised a simple model to predict how goals generated at the top of a hierarchy are implemented at the bottom after passing down a number of levels in the chain of command.

If each message, on average, passes through a level 95% intact, then Williamson would claim that since orders must change hands 10 times, Sir Roger's Empire is (0.95)10 = 60% effective in carrying out its aims. At 85% per level (Williamson's lower limit based on studies of actual human organizations), effectiveness drops to 20% and only one-fifth of the Emperor's plans for the commoners ever reach fruition.

Peter B. Evans uses Williamson's control loss model to show that higher efficiencies are possible when the Emperor switches to "multiple hierarchy" systems, such as the dual hierarchy. If the Emperor creates a complete second command hierarchy in parallel with the first, his effectiveness rises by nearly two-thirds. The superiority of dual hierarchies is well-known in business (line-and-staff) and in public administration (especially Communist bureaucracies). Lattice structure systems are a more sophisticated form, involving a complete lattice of hierarchial links providing a startling multiplicity of pathways to the top. Such novel system my not encourage galactic stability, but the opportunities for palace intrigue are legion!

From "Galactic Empires" by Dr. Robert A. Freitas Jr. Ares Magazine No. 16, Winter 1983

Cyclical Governments

The Greeks, who had a penchant for giving names to things, had a convenient label for that source: anacyclosis. That was the moniker coined by the Greek historian Polybius, who chronicled the conquest of Greece by the Romans in the second century BCE. He noted that the squabbling city-states of the Greek world tended to cycle through a distinctive sequence of governments—monarchy, followed by aristocracy, followed by democracy, and then back around again to monarchy. It’s a cogent model, especially if you replace “monarchy” with “dictatorship” and “aristocracy” with “junta” to bring the terminology up to current standards.

A short and modernized form of the explanation—those of my readers who are interested in the original form should consult the Histories of Polybius—is that in every dictatorship, an inner circle of officials and generals emerges. This inner circle eventually takes advantage of weakness at the top to depose the dictator or, more often, simply waits until he dies and then distributes power so that no one figure has total control; thus a junta is formed. In every country run by a junta, in turn, a wider circle of officials, officers, and influential people emerges; this wider circle eventually takes advantage of weakness at the top to depose the junta, and when this happens, in ancient Greece and the modern world alike, the standard gambit is to install a democratic constitution to win popular support and outflank remaining allies of the deposed junta. In every democracy, finally, competing circles of officials, officers, and influential people emerge; these expand their power until the democratic system freezes into gridlock under the pressure of factionalism or unsolved crisis; the democratic system loses its legitimacy, political collapse follows, and finally the head of the strongest faction seizes power and imposes a dictatorship, and the cycle begins all over again.

It can be educational to measure this sequence against recent history and see how well it fits. Russia, for example, has been through a classic round of anacyclosis since the 1917 revolution: dictatorship under Lenin and Stalin, a junta from Khrushchev through Gorbachev, and a democracy—a real democracy, please remember, complete with corruption, rigged elections, and the other features of real democracy—since that time. China, similarly, had a period of democracy from 1911 to 1949, a dictatorship under Mao, and a junta since then, with movements toward democracy evident over the last few decades. Still, the example I have in mind is the United States of America, which has been around the cycle three times since its founding; the one difference, and it’s crucial, is that all three stages have taken place repeatedly under the same constitution.

A case could be made that this is the great achievement of modern representative democracy—the development of a system so resilient that it can weather anacyclosis without cracking. The three rounds of anacyclosis we’ve had in the United States so far have each followed the classic pattern; they’ve begun under the dominance of a single leader whose overwhelming support from the political class and the population as a whole allowed him to shatter the factional stalemate of the previous phase and impose a radically new order on the nation. After his death, power passes to what amounts to an elected junta, and gradually defuses outwards in the usual way, until a popular movement to expand civil rights and political participation overturns the authority of the junta. Out of the expansion of political participation, factions rise to power, and eventually bring the mechanism of government to a standstill; crisis follows, and is resolved by the election of another almost-dictator.

Glance back over American history and it’s hard to miss the pattern, repeating over a period that runs roughly seventy to eighty years. The dictator-figures were George Washington, Abraham Lincoln, and Franklin Roosevelt, each of whom overturned existing structures in order to consolidate their power, and did so with scant regard for existing law. The juntas were the old Whigs, the Republicans, and the New Deal Democrats, each of them representatives of a single social class; they were overthrown in turn by Jacksonian populism, the Progressive movement, and the complex social convulsions of the Sixties, each of which diffused power across a broader section of the citizenry. The first cycle ended in stalemate over the issue of slavery; the second ended in a comparable stalemate over finding an effective response to the Great Depression; the third—well, that’s where we are right now.

There’s no shortage of crises sufficient to tip the current system into its final stalemate, and no shortage of people in the political class who show every sign of being willing to give it that final push. The great difficulty just now, it seems to me, is precisely that fashionable contempt for democracy as it actually exists that I addressed earlier in this essay. In 1860, that habit was so far from finding a place in the political dialogue that the constitution of the Confederate States of America was in most respects a copy of the one signed at Philadelphia a long lifetime before. In 1932, though a minority of Americans supported Marxism, fascism, or one of the other popular authoritarianisms of the day, the vast majority who put Roosevelt into the White House four times in a row expected him to maintain at least a rough approximation of constitutional government.

That’s much less true this time around. Granted, there’s less public support for overtly authoritarian ideologies—I expect to see Marxism make a large-scale comeback on the American left in the next few years, for reasons I’ll explain in a future post—but as Oswald Spengler pointed out almost a century ago, in the endgame of democratic societies, it’s not the cult of ideology but the cult of personality that’s the real danger. As the Russian proverb warns, it’s never a good idea to let the perfect become the enemy of the good; in our time, as a growing number of Americans insist that America isn’t a democracy because it doesn’t live up to their fantasies of political entitlement, it’s all too possible that one or more mass movements could coalesce around some charismatic figure who offers to fix everything that’s wrong with the country if only we let him get rid of all those cumbersome checks and balances that stand in his way. How many of the benefits of democracy I listed above would survive the victory of such a movement is not a question I would like to contemplate.

The sociological doctrine of Anacyclosis is a cyclical theory of political evolution. The theory of anacyclosis is based upon the Greek typology of constitutional forms of rule by the one, the few, and the many. Anacyclosis states that three basic forms of "benign" government (monarchy, aristocracy, and democracy) are inherently weak and unstable, tending to degenerate rapidly into the three basic forms of "malignant" government (tyranny, oligarchy, and ochlocracy). Note that "ochlocracy" refers to mob rule, not the concept of democracy created in the late 18th century.

According to the doctrine, "benign" governments have the interests of all at heart, whereas "malignant" governments have the interests of a select few at heart. However, all six are considered unworkable because the first three rapidly transform into the latter three due to political corruption.

Polybius' sequence of anacyclosis proceeds in the following order: 1. Monarchy, 2. Kingship, 3. Tyranny, 4. Aristocracy, 5. Oligarchy, 6. Democracy, and 7. Ochlocracy.

According to Polybius' elaboration of the theory, the state begins in a form of primitive monarchy. The state will emerge from monarchy under the leadership of an influential and wise king; this represents the emergence of "kingship". Political power will pass by hereditary succession to the children of the king, who will abuse their authority for their own gain; this represents the degeneration of kingship into "tyranny". Some of the more influential and powerful men of the state will grow weary of the abuses of tyrants, and will overthrow them; this represents the ascendancy of "aristocracy" (as well as the end of the "rule by the one" and the beginning of the "rule by the few"). Just as the descendants of kings, however, political influence will pass to the descendants of the aristocrats, and these descendants will begin to abuse their power and influence, as the tyrants before them; this represents the decline of aristocracy and the beginning of "oligarchy". As Polybius explains, the people will by this stage in the political evolution of the state decide to take political matters into their own hands. This point of the cycle sees the emergence of "democracy", as well as the beginning of "rule by the many". In the same way that the descendants of kings and aristocrats abused their political status, so too will the descendants of democrats. Accordingly, democracy degenerates into "ochlocracy", literally, "mob-rule". During ochlocracy, according to Polybius, the people of the state will become corrupted, and will develop a sense of entitlement and will be conditioned to accept the pandering of demagogues. Eventually, the state will be engulfed in chaos, and the competing claims of demagogues will culminate in a single (sometimes virtuous) demagogue claiming absolute power, bringing the state full-circle back to monarchy.

From Wikipedia entry "Anacyclosis"

Civilization Clusters

"Yeah." Donnan smiled rather sadly.’ "Y’know," he remarked, "when I was a kid in my teens, just before the Monwaingi came, I went on a science fiction kick. I must’ve read hundreds of stories where there were races travelling between the stars while humans had barely reached the nearer planets of their own system. But I can’t recall one that ever guessed the truth—the bloody simple obvious truth of the case. Always, if the Galactics noticed us, they were benevolent secret guardians; or not-so-benevolent keepers; or kept strictly hands off. In some stories they did land openly, as the Monwaingi and the rest actually did. But as near as I remember, in the stories this was always a prelude to inviting Earth into the Galactic Federation.

"Hell, why should there be a Federation? Why should anyone give a hoot about us? Couldn’t those writers see how big the universe is?"

—Big indeed. The diameter of this one galaxy is some hundred thousand light-years, the maximum width about ten thousand. It includes on the order of a hundred billion stars, at least half of which have at least one life-bearing planet. A goodly percentage of these latter also sustain intelligent life.

Sol lies approximately thirty thousand light-years from galactic centre, where the stars begin to thin out towards emptiness: a frontier region, which the most rapidly expanding civilization of space travellers would still be slow to reach. And no such civilization could expand rapidly any how. There are too many stars.

At some unknown time in some unknown place, someone created the first superlight spaceship. Or perhaps it was created independently, many times and places. No one knows. Probably no one will ever know; there are too many archives in too many languages to search. But in any event the explorers went forth. They visited, studied, mapped, traded. Most of the races they found were primitive—or, if civilized, were not interested in space travel for themselves. Some few had the proper degree of industrialization and the proper attitude of outwardness. They learned from the explorers. Why should they not? The explorers had nothing to fear from these strangers, who paid them well for instruction. There is plenty of room in space. Besides, a complete planet is self-sufficient, both economically and politically.

From these newly awakened worlds, then, a second generation of explorers went forth. They had to go farther than the first; planets of interest to them lay far, far away, lost in a wilderness of suns whose worlds were barren, or savage, or too foreign for intercourse. But eventually someone, at an enormous distance from their home, learned space technology in turn from them.

Thus the knowledge radiated, through millennia, but not like a wave of light from a single candle. Rather it spread like, dandelion seeds, blown at random, each seed which takes root begetting a cluster of offspring. A newly civilized planet (by that time, "civilization" was equated in the minds of space-farers with the ability to travel through space) would occupy itself with its nearer neighbours. Occasionally there was contact with one of the other loose astro-politicoeconomic clumps. But the contact was sporadic.

There was no economic force to maintain it, and culturally these clusters diverged too much.

And once in a while, some daring armada— traders looking for a profit, explorers looking for knowledge, refugees looking for a home, or persons with motives less comprehensible to a human—would make the big jump and start yet another nucleus of civilization.

Within each such nucleus, a certain unity prevailed. There was trading; for while no planet had to supply another with necessities, the materials of comfort, luxury, amusement, and research were in demand. There was tourism. There was a degree of interchange in science, art, religion, fashion. Sometimes there was war.

But beyond the nucleus, the cluster, there was little or nothing. No mind could possibly deal with all the planets in space. The number was so huge. A space-faring people must needs confine serious attention to their own vicinity, with infrequent small ventures beyond. Anything more would have been impossible. The civilization-clusters were never hostile to each other. There was nothing to be hostile about. Conflicts occurred among neighbours, not among strangers who saw each other once a year, a decade, or a century.

Higgledy-piggledy, helter-skelter, civilization spread out among the stars. A million clusters, comprising one to a hundred planets each, furnished the only pattern there was. Between the Clusters as wholes, no pattern whatsoever existed. A spaceship could cross the galaxy in months; but a news item, if sensational enough to make the journey at all, might take a hundred years.

There was little enough pattern within any given cluster. It was no more than a set of planets, not too widely separated, which maintained some degree of fairly regular contact with each other. These planets might have their own colonies, dependencies, or newly discovered spheres of influence, as Earth had been for Monwaing. But there was no question of a single culture for the whole cluster, or any sort of overall government. And never forget: any planet is a world, as complex and mysterious in its own right, as full of its own patterns and contradictions and histories, as ever Earth was.

No wonder the speculative writers had misunderstood their own assumptions. The universe was too big for them—

From After Doomsday by Poul Anderson (1962)

The same problem of size make ludicrous all thought of a galactic government. A mere thousand systems look far too cumbersome to allow a union. And I cannot see why anyone would desire to unify them. The immense diversity of environments, races, and viewpoints in such a region argues against any common purpose. Given a hyperdrive, it is not impossible that there are occasional Norman-like interstellar conquerors, whose aggressions cause alliance to be formed against them. But even on the largest feasible scale, such activity can occupy only a minute part of the entire galaxy. And it looks improbably in any event. What value has an uncolonizable planet to imperialists? Even worlds whose biochemistry happens to be enough like home that they can be settled will not solve any population problems, as the history of Europe vis-à-vis America testifies. In short, special circumstances may produce sporadic wars and political combinations; but if so, these are highly localized.

Peaceful intercourse like trade and cultural exchange seems far more plausible. But this must also be limited. It cannot take place between races unless they are willing and able to engage in it, and do not live too far apart. Chance probably decides whether this is the case in any given sector.

I therefore imagine the long-run consequence of a hyperdrive as not one galactic civilization but widely scatted clusters of civilization. Within each cluster there are several races that have some dealings with each other and many that are not concerned, being ignored or aloof. From time to time explorers, daring traders, missionaries, refugees, or other adventurous types make a long jump in search of new territory. Where they find fertile ground, planets that are useful and natives that are receptive to them, a new cluster is begun. Contact between clusters is very tenuous and, in almost every case, unofficial. Near the galactic nucleus where the stars are closer together, and many dwellers are anciently established, conditions my not be quite this anarchic; but even there I should thing that any interstellar organization is loose and spatially limited.

Maybe several kinds of clusters exist in galactic space, their histories independent. For instance, the hydrogen and oxygen breathers can have little to trade with each other and perhaps little to say to each other once some scientific questions have been answers. But this gets up far out on the windy limb of speculation.

From Is There Life On Other Worlds? by Poul Anderson (1963)

There Once Was A Dream

There once was a dream that was Rome
You could only imagine it
Any more and all hopes would be gone

There once was a dream that was Rome
You could only whisper it
Any more and it would vanish, blown away by the wind

There once was a dream that was Rome
You could see it all around you
Every street, every statue, but so fragile, like a dream
There once was a dream that was Rome
Its marble and people realized
Thriving, working, happy , and fighting

There once was a dream that was Rome
Now standing strong
With all its people and lands, like a giant

There once was a dream that was Rome
Addicted to the sound of battle
Its beating heart now the sand of the Coliseum

There once was a dream that was Rome
Its many enemies now dulling its sword
The thriving energy that filled it depleted

There once was a dream that was Rome
Now toppled and burning
Buried in the pages of history, its true memories forgotten

There once was a dream that was Rome
Seen, but not re-enacted
For they are scared to repeat history

"There Once Was A Dream", by SHADOWasianMAN

On Earth

(Nita teleports her parents to the surface of the moon, to show them the view of the Earth)

"Harry," Nita's mother said, still looking up. The tone of her voice made her husband look up too -- and seeing what she saw, he forgot the rock.

What they saw was part of a disk four times the size of the Moon as seen from the Earth; and it seemed even bigger because of the Moon's foreshortened horizon. It was not the full Earth so familiar from pictures, but a waning crescent, streaked with cloud swirls and burning with a fierce green-blue radiance -- a light with depth, like the fire held in the heart of an opal, that light banished the idea that blue and green were "cool" colors; one could have warmed one's hands at that crescent. The blackness to which it shaded was ever so faintly touched with silver -- a disk more hinted at than seen; the new Earth in the old Earth's arms.

"There'll be a time," Nita said softly, "when any time someone's elected to a public office -- before they let them start work -- they'll bring whoever was elected up here and just make them look at that until they get what it means...."

From Deep Wizardry by Diane Duane (1985)

You develop an instant global consciousness, a people orientation, an intense dissatisfaction with the state of the world, and a compulsion to do something about it. From out there on the moon, international politics looks so petty. You want to grab a politician by the scruff of the neck and drag him a quarter of a million miles out and say, "Look at that, you son of a bitch."

Edgar D. Mitchell, Apollo 14 astronaut

"We succeeded in taking that picture [from deep space], and, if you look at it, you see a dot. That's here. That's home. That's us. On it, everyone you ever heard of, every human being who ever lived, lived out their lives. The aggregate of all our joys and sufferings, thousands of confident religions, ideologies and economic doctrines, every hunter and forager, every hero and coward, every creator and destroyer of civilizations, every king and peasant, every young couple in love, every hopeful child, every mother and father, every inventor and explorer, every teacher of morals, every corrupt politician, every superstar, every supreme leader, every saint and sinner in the history of our species, lived there on a mote of dust, suspended in a sunbeam.

The earth is a very small stage in a vast cosmic arena. Think of the rivers of blood spilled by all those generals and emperors so that in glory and in triumph they could become the momentary masters of a fraction of a dot. Think of the endless cruelties visited by the inhabitants of one corner of the dot on scarcely distinguishable inhabitants of some other corner of the dot. How frequent their misunderstandings, how eager they are to kill one another, how fervent their hatreds. Our posturings, our imagined self-importance, the delusion that we have some privileged position in the universe, are challenged by this point of pale light. Our planet is a lonely speck in the great enveloping cosmic dark. In our obscurity -- in all this vastness -- there is no hint that help will come from elsewhere to save us from ourselves. It is up to us. It's been said that astronomy is a humbling, and I might add, a character-building experience. To my mind, there is perhaps no better demonstration of the folly of human conceits than this distant image of our tiny world. To me, it underscores our responsibility to deal more kindly and compassionately with one another and to preserve and cherish that pale blue dot, the only home we've ever known."

Carl Sagan, when Voyager 1 left the solar system

Twenty thousand miles above the surface of the Earth, the artificial moon that housed the World Council was spinning on its eternal orbit. The roof of the Council Chamber was one flawless sheet of crystallite; when the members of the Council were in session it seemed as if there was nothing between them and the great globe spinning far below.

The symbolism was profound. No narrow parochial viewpoint could long survive in such a setting.

From The Lion of Comarre by Sir Arthur C. Clarke (1949)

On Empires

SF author Charles Stross point out that one has to define what exactly you mean by the word "empire."

The Aztecs ran what is generally known as an empire, but it didn't operate on the same principles as the Roman empire. (No local governors, taxation paid only on demand in the form of gifts and jewelry, outlying cities free to refuse demands -- whenever they felt like butchering the Aztec imperial emissaries and fighting the consequent war.)

This, for an Aztec-style tribute empire, the answer is: 'a long time', meaning years or decades. An empire of this sort is dependent merely on the ability of the imperial class to beat up anyone who refuses to pay tribute on demand.

The Mongol empire didn't operate on the same principles as the Roman empire, either. The horde basically destroyed any city with walls and forcibly coopted grazing land, and demanded tribute. In many cases they imposed satraps to run the local show. But they didn't attempt to colonize the natives, or as far as I know impose their culture; they just demanded food, tribute, and no defensive countermeasures. Or else. An empire of this sort is dependent on the inability of the governed to defend themselves.

What is the interstellar equivalent of the Golden Horde?

The Chinese empire didn't operate like the Roman empire, either. It had regional governors, true, and a bureaucracy, and a hereditary ruling class, but it enforced governance through control of resources -- a 'water empire' (hydraulic state, water-monopoly empire, or hydraulic despotism). If two provinces ran into trouble, an adjoining unruly provinces resources would be assigned to a loyal province. Such an empire requires tight coupling between provinces, if not between provinces and capital. An empire of this type of dependent on shared resource control.

Then there's the British empire. An exercise in laissez-faire capitalism gone mad, it grew and prospered as a source of cheap raw materials and cheap consumers for the industrial powerhouse of the world's first industrial nation. An empire of the British type must have close coupling between centre and periphery, for it is dependent upon trade.

Then there's the Third Reich. An exercise in colonization, characterized by 'lebensraum' in the East and a massive exercise in social and cultural control, to enforce the NSDAP's idea of good German culture upon its citizenry. Such an empire can only exist where the periphery is sufficiently close to permit mass emigration.

What, I emphasize, is an "Empire"? Only when you can answer that question can you contemplate the subsequent issue of communication delays.

Charles Stross

TRANTOR-...At the beginning of the thirteenth millennium, this tendency reached its climax. As the center of the Imperial Government for unbroken hundreds of generations and located, as it was, toward the central regions of the Galaxy among the most densely populated and industrially advanced worlds of the system, it could scarcely help being the densest and richest clot of humanity the Race had ever seen.

Its urbanization, progressing steadily, had finally reached the ultimate. All the land surface of Trantor, 75,000,000 square miles in extent, was a single city. The population, at its height, was well in excess of forty billions. This enormous population was devoted almost entirely to the administrative necessities of Empire, and found themselves all too few for the complications of the task. (It is to be remembered that the impossibility of proper administration of the Galactic Empire under the uninspired leadership of the later Emperors was a considerable factor in the Fall.) Daily, fleets of ships in the tens of thousands brought the produce of twenty agricultural worlds to the dinner tables of Trantor....

Its dependence upon the outer worlds for food and, indeed, for all necessities of life, made Trantor increasingly vulnerable to conquest by siege. In the last millennium of the Empire, the monotonously numerous revolts made Emperor after Emperor conscious of this, and Imperial policy became little more than the protection of Trantor's delicate jugular vein....

From Foundation by Isaac Asimov (1951)

If the (Alderson) Drive allowed ships to sneak up on planets, materializing without warning out of hyperspace, then there could be no Empire even with the Field. There'd be no Empire because belonging to the empire wouldn't protect you. Instead there might be populations of planet-bound serfs ruled at random by successive hordes of of space pirates. Upward mobility would consist of getting your own ship and turning pirate.

Rick Cook

On Hydraulic States

"... do you know what a water-monopoly empire is?"

"... A lot of early civilizations were water-monopoly empires. Ancient Egypt, ancient China, the Aztecs. Any government that controls irrigation completely is a water empire... See, these water-monopoly empires, they don't collapse. They can rot from within, to the point where a single push from the barbarians outside can topple them. The levels of society lose touch with each other, and when it comes to the crunch, they can't fight. But it takes that push from outside. There's no revolution in a water empire."

"That's a very strong statement."

"Yeah. Do you know how the two-province system works? They used it in China. Say there are two provinces, A and B, and they're both having a famine. What you do is, you look at their records. If Province A has a record of cheating on its taxes or rioting, then you confiscate all the grain in Province A and ship it to B. If the records are about equal you pick at random. The result is that Province B is loyal forever, and Province A is wiped out so you don't worry about it...."

"There's nothing more powerful than controlling everybody's water. A water- control empire can grow so feeble that a single barbarian horde can topple it..."

From A World Out Of Time by Larry Niven

"Hydraulic state" is a term coined by Oswald Spengler in "Decline Of The West" to describe the societies of the Eurasian arid zone which were built on massive irrigation systems. By extension to has come to apply to any society which owes its current state of existence to a massive infrastructure.

The outstanding characteristic of hydraulic states is that their existence depends utterly on maintaining this elaborate infrastructure. If that is damaged or destroyed the civilization isn't merely damaged, it collapses. Meanwhile if the infrastructure is maintained such societies tend to be extraordinarily rich and productive.

What this means is that the infrastructure has to be maintained at all costs and in a successful hydraulic state (in the pure form) this is a major consideration in everything, from government to economic policy to military posture to culture. In such states civil war and anarchy are disasters.

A space colony or a Dyson sphere is by its nature a particularly pure form of a hydraulic state. If you maintain the infrastructure it is rich and productive. Seriously damage that infrastructure and nearly everyone dies. The entire society is far more dependent on maintaining the infrastructure than any irrigation empire ever was on Earth.

Under these circumstances there is both a huge incentive (and a strong cultural imperative) to find solutions for social conflicts short of civil war -- or even strong disorder. Buying off your dissident elements by helping them build a new colony or a generation ship to go to the next star becomes a heck of a lot more attractive than fighting it out because if you fight both groups are almost certain to lose big-time.

Rick Cook

On Future Society

Some characteristics of future societies can be extrapolated from their origins. The tired old example is the "Wild West" society from the United State's pioneer period. When one is living on the frontier rim where the government and the law is a distant and tenuous thing, often the only law is what one makes oneself, i.e., "taking the law into ones own hands." As civilization and development washed over the West, society became more stodgy.

In the Albedo Anthropomorphics universe of Steve Gallacci, one has a cluster of planets colonized by slower-than-light starships (yes, the colonists are furry anthropomorphic animals, but that is beside the point). The planetary cultures that were founded as a consequence have a "shipboard discipline mentality."

Consider, on a spacecraft, if a civilian saw something like an air leak in the hull, and didn't report it to anybody, they would be endangering not only their own life but also the lives of everybody on the colony ship. So that is a crime.

In the United States on the other hand, if a person sees somebody lying injured on the side of the road, and they try to help the injured one, more often than not they wind up being sued by the injured person. Hands off, do not get involved, it is not your problem.

In the Albedo universe, with the shipboard discipline mentality, it is a crime not to try and help somebody who is injured, and there are "Good Samaritan" laws to protect the helpers.

The closest thing to social tradition available to the people of ALBEDO is shipboard discipline, and this is strongly ingrained in all levels of society. Simply stated, the individual member of society is not quite as "free" (in one sense of the word) as a 20th century western man, because the individual is strongly constrained by a set of expectations and responsibilities. The individual is expected to be an active citizen, and is conceived of as having both civil liberties and responsibilities. The fragile ecological and social environment on board colonisation ships has lead to the development of societies where the individual is expected to take his social role very seriously, and to contribute to the working of things around him. The individual is expected to behave in an intelligent, responsible manner, and to be aware of the implications of his or her actions. Citizens are expected to be aware of the long running consequences of their actions, and to act accordingly.

Thus in most cultures, if a person is injured, it is the civil duty of passers-by to assist that person however possible. If a passer-by refuses to aid the injured party, or pretends to ignore them, then the passer-by is held to be partly responsible for the subsequent condition of the injured man, and will be charged under law accordingly. Regional attitudes do vary, however. For instance, to the inhabitants of the Dornthant system, the tools of an ordered and peaceful society are its security measures, and the co-operation of the common citizen is an expected duty. To a Dornthantii, running away from or obstructing the authorities is a clear admission of guilt.

The practical upshot of the social attitudes prevalent in most cultures in ALBEDO is the creation of societies which are very politically and ecologically aware. The average citizens feel that they have a vested interest in the running of their government, their society and their planetary environment. Albedo is set in an age of REASON, where forethought and responsibility are highly valued faculties. In the context of the culture of known space, "honour" will usually equate as social responsibility.

From Albedo RPG Player's Manual by Craig Hilton and Paul Kidd

Obviously matters of practicality can also affect the shape of a society.

The Albedo universe is not colonized by human beings, instead the various planets are populated by various species of Terran animals genetically engineered to intelligence.

Now with most Terran mammals, the female is only sexually attractive to the male when they go into estrus (aka "in heat"). At other times the males could care less (similar to the attitudes of young pre-adolescent boys who think that girls are stupid and icky, an attitude that undergoes a marked change when puberty strikes). Consequence: in the Albedo universe there are no nudity taboos, and mixed-gender washing and toilet facilities are the norm.

But when estrus occurs the females must go into seclusion and/or use powerful deodorants. Otherwise the all the males within smelling distance suddenly start acting like sexually frustrated 16 year old boys.

When Frank Herbert wanted to write his novel Dune, he did not want his future society to be some sort of cyberpunk future. He wanted something medieval in space. So he postulated in his future history a period where people revolted against computers and related technology in the "Butlerian Jihad", which outlawed all thinking machines. This justified Herbert's desired medieval future.

On Energy

Another one is Thomas Homer-Dixon, a Canadian economist who wrote The Upside of Down. Homer-Dixon marshals evidence that all great empires rise and fall by controlling the dominant energy supply of their age. The Romans used roads and aqueducts to harness solar energy (in the form of food) from around the Mediterranean basin, and used that surplus to fund the most complex society of its time. The Dutch empire rose on its superior ability to master wind technologies — the windmill and the ship — to extend its land holdings, run early manufacturing industries, and extend its trading reach around the globe. The British empire rose on coal-powered steam engines, which gave it more productive industries, railroads, electrical generators, and faster ships. The US eclipsed the Brits due to its vast wealth in oil — a far more concentrated and fungible fuel — and inventions from cars and planes to plastics and fertilizers that allowed it to make the most of its advantages. And the Chinese are now making huge investments in renewable energy and safer, more efficient second-generation nuclear power, which they can use to fuel their ascent to global primacy.

The bottom line in Homer-Dixon’s theory is this: Everything that Americans understand as "wealth" under the current paradigm comes from oil. It’s the foundation of our entire economy, and the ground our superpower status stands on. Our cities are built on the assumption of cheap, plentiful oil. Our consuming patterns are made possible by a fleet of oil-burning trucks, ships, and planes that bring us goods made in oil-driven factories. Our warmaking machine, which is largely tasked with protecting our oil interests around the world, is the single largest consumer of energy on the planet. Even our food is created with vast oil-based inputs of fertilizer and pesticides; and we enjoy a year-round variety of foods (bananas! chocolate! coffee!) that is unprecedented in human history because oil makes cheap transport and refrigeration possible.

And the pain and fear caused when we're forced to face this fundamental fact explains quite a bit about why ideas like climate change and peak oil are so viscerally terrifying to so many Americans. (In many right-wing circles, denial about the American oil addiction is now a core piece of their political identity. It’s considered anti-American to even suggest that getting off oil is necessary or possible.) We are so deeply invested in oil, in so many ways, that it’s almost impossible for us to envision a world beyond it. We stand to lose so much that it’s hard to fathom it all.

And this, says Homer-Dixon, is why no empire has ever survived an energy-related phase shift with its full power intact: the reigning hegemons are always too deeply invested in the current system to recognize the change, let alone respond to it in time. And so they are always superceded by some upstart that’s motivated to put more resources and risk into aggressively developing the next source. The decline of oil as the energy reality of the world has deep implications for every aspect of American life in the coming century. It’s a phase shift at the deepest level.

Science fiction writers who are writing about interstellar empires might want to contemplate the upheaval caused when the empire reaches "peak antimatter". Also interesting is how the rise of the 17th century Dutch seaborne empire was due in part to their superior utilization of wind energy, in the form of the Fluyt ship. The galactic mercantile empire of the Technomorphs' could be based on the remarkably efficient zero-point-energy reactors of their trader starships.

On War

Germinating in regions far apart, these empires easily mastered any sub-utopian worlds that lay within reach. Thus they spread from one planetary system to another, til at last empire made contact with empire.

Then followed wars such as had never occurred before in our galaxy. Fleets of worlds, natural and artificial, manoeuvred among the stars to outwit one another, and destroyed one another with long-range jets of sub-atomic energy. As the tides of battle spread hither and thither through space, whole planetary systems were annihilated. Many a world spirit found a sudden end. Many a lowly race that had no part in the strife was slaughtered in the celestial warfare that raged around it.

From Star Maker by Olaf Stapeldon (1937)

"- and then, of course, continue till all the barbarians have been conquered," said Manuel.

"Why?" I demanded. "Interstellar imperialism can't be made to pay. It does for the barbarians because they haven't the technical facilities to produce at home what they can steal elsewhere. But Sol would only be taking on a burden."

"For defense," said Manuel. "You don't think I'd let a defeated enemy go off to lick his wounds and prepare a new attack, do you? No, everyone but Sol must be disarmed, and the only way to enforce such a peace is for Sol to be the unquestioned ruler." He added thoughtfully: "Oh, the empire won't have to expand forever. Just till it's big enough to defend itself against all corners. And a bit of economic readjustment could make it a paying proposition, too. We could collect tribute, you know."

"An empire-?" asked Kathryn. "But the Commonwealth is democratic-"

"Was democratic!" he snapped. "Now it's rotted away. Too bad, but you can't revive the dead. This is an age in history such as has often occurred before when the enforced peace of Caesarism is the only solution. Maybe not a good solution but better than the devastation we're suffering now. When there's been a long enough period of peace and unity it may be time to think of reinstating the old republicanism. But that time is many centuries in the future, if it ever comes. Just now the socio-economic conditions aren't right for it."

He took a restless turn about the bridge. A million stars of space in the viewport blazed like a chill crown over his head. "It'll be an empire in fact," he said, "and therefore it should be an empire in name. People will fight and sacrifice and die for a gaudy symbol when the demands of reality don't touch them. We need a hereditary aristocracy to put on a good show. It's always effective, and the archaism is especially valuable to Sol just now. It'll recall the good old glamorous days before space travel. It'll be even more of a symbol now than it was in its own age. Yes, an empire, Kathryn, the Empire of Sol. Peace, ye underlings!"

"Aristocracies decay," I argued. "Despotism is all right as long as you have an able despot but sooner or later a meathead will be born-"

"Not if the dynasty starts with strong men and women, and continues to choose good breeding stock, and raises the sons in the same hard school as the fathers. Then it can last for centuries. Especially in these days of gerontology and hundred-year active lifespans."

I laughed at him. "One ship, and you're planning an empire in the Galaxy!" I jeered. "And you yourself, I suppose, will be the first emperor?"

His eyes were expressionless. "Yes," he said. "Unless I find a better man, which I doubt."

Kathryn bit her lip. "I don't like it," she said. "It's- cruel."

"This is a cruel age, my dear," he said gently.

He added after a moment, as if to himself: "Hate is a useful means to an end but damned dangerous. We'll have to get the racist complex out of mankind. We can't conquer anyone, even the Gorzuni, and keep them as inferiors and hope to have a stable empire. All races must be equal." He rubbed his strong square chin. "I think I'll borrow a leaf from the old Romans. All worthy individuals, of any race, can become Terrestrial citizens. It'll be a stabilizing factor."

From "The Star Plunderer" by Poul Anderson (1952)

In the short story "Shadow on the Stars" by Algis Budrys (1954), Miranid of the Farla empire has just finished explaining to Henlo why conventional theory holds that a decisive interstellar war is impossible. Now he explains the sneaky trick they are going to do in order to avoid conventional theory and destroy the upstart barbarian Vilk empire.

"Our barbarian friends have another weakness, which we have up to this point not been able to utilize without compromising its existence. I 've carefully saved it until now, and they have considerately not discovered it within themselves."

"The Vilks, of course, were able to make war quite successfully. Since they were operating as a horde of mobile independent principalities, and since they were after loot and glory only, they were never forced to gain what civilized nations would term 'victory', or 'conquest.'"

"They were reapers, harvesting the same field again and again, and gradually extending their boarders. They had no time for the re-education of subject peoples to their own ideals or patriotic causes -- a fact further implemented by their total lack of such civilized appurtenances. They merely informed their vassals that they had become the property of whatever Vilk it happened to be, and levied tribute accordingly. They left it to the natural fertility of the Vilk soldier to gradually erase all traces of independent nationality among such nations as could interbreed, and to the natural inertia of generations of slavery among such as could not."

"The result has been the gradual accumulation, in Vilk ranks, of a number of Vilks who are not Vilks."

Miranid seemed anxious to stress the point.

"And these Vilks may be good, barbarian Vilks like all the rest of them. But some of them inevitably feel that their particular kind of Vilk is better fitted to rule the communal roost."

"A situation, you will agree, which does not apply among such civilized communities as Farla, which may have its internal dissensions, but no special uniforms of hide-color, limb-distribution, or digital anomalies around which infra-nationalistic sentiments may be rallied."

Miranid stabbed the chart with his dividers. "We will slice here, here, and here, with most of our lighter units supported by some heavier groups. You and I, Henlo, will take the remainder of the main fleet and spit right through to Vilkai, where we will crown some highly un-Vilkish Vilk king of the Vilks, and then leave him to perish."

"The entire sorry mess will slash itself to suicide in the petty nationalistic squabbles which are sure to follow the precedent we set them. We will be enabled to do so quite easily by the allies which our housewifely intelligence corps have neatly suborned for us."

From "Shadow on the Stars" by Algis Budrys, as edited by David Drake in Space Dreadnoughts

On the Rise and Fall of Great Powers

These (statues) were brooding men; men who stared down at him out of their thousand pasts. Men who had stood with a planet for a throne and watched their Empire passing in ordered glory from horizon to horizon across the night sky of Earth - men worshipped as gods on out-world planets, who watched and guided the tide of Empire until it crashed thundering on the shores of ten thousand worlds beyond Vega and Altair. Men who sat cloaked in sable robes with diamond stars encrusted and saw their civilization built out from the Great Throne, tier on shining tier until at last it reached the Edge and strained across the awful gulf for the terrible seetee suns of mighty Andromeda itself...

The last few of the men like gods had watched the First Empire crumble. They had seen the wave of annihilation sweeping in from the Outer Marches of the Periphery; had seen their gem-bright civilization shattered with destructive forces so hideous that the spectre of the Great Destroyer hung like a mantle of death over the Galaxy, a thing to be shunned and feared forever. And thus had come the Interregnum.

Kieron had no eyes for these brooding giants; his world was not the world they had known. It was in the next chamber that the out-world warrior paused. It was a vast and empty place. Here there were but five figures and space for a thousand more. This was the Empire that Kieron knew. This Empire he had fought for and helped secure; a savage, darkling thing spawned in the dark ages of the Interregnum, a Galaxy-spanning fief of star-kings and serfs - of warlocks and spaceships - of light and shadow. This Empire had been born in the agony of a Galaxy and tempered in the bitter internecine wars of re-conquest.

From "The Rebel of Valkyr" by Alfred Coppel (1950)

The races of man had spread across the spiral arm and toward the great whorl of the central galaxy.

By the year 970 H. C. (Calendar of the Holy Church), date of the last known Empire Census, there were more than 11,000 inhabited planets in the Empire, plus a known 1,700 more on the frontier-and estimates of at least 3,000 more beyond that whose existence was known but not confirmed. How many human beings there were simply could not be estimated.

Vast fleets of starcruisers whispered through the darkness, the fastest of them journeying a hundred light-years every three hundred days.

-but the Empire spanned a thousand light-years. More.

No matter how great the speeds of the starcruisers were, the distances of the galaxy were greater. At the fastest speed known to man it still took more than ten years to cross from one end of known space to the other. And the distance was growing. For every day that passed, 240 light-days were added to the scope of man's known frontiers.

Man was pushing outward in all directions at once, an ever-continuing explosion. For every ship travelling toward the galactic west, there was another headed for the galactic east; and the rate of man's outward growth was twice as fast as anyone could travel.

At the farthest edges of the Empire was the frontier. Beyond that lay unexplored space. Every man that fled into that wilderness dragged the frontier with him. The frontier followed willingly, and after a while, when that particular piece of itself matured, it became a part of the Empire, and the state of mind known as frontier had moved on. Thus, the Empire grew.

Even so, there were places where the Empire was only a dim legend. The further it reached, the more tenuous was its control. There were vast undeveloped areas within its sphere, areas that had simply been overlooked in man's headlong rush outward. Communications followed the trade routes, and there were backwaters in that flow of information.

News traveled via the Empire Mercantile Fleets, synthesized as Oracle tabs. Or via independent traders, synthesized as rumor. It leapfrogged from planet to planet, not according to any kind of system, but by the degree of mercantile importance in which any plan et was held by its immediate neighbors.

Every event was the center of a core of spreading ripples-unevenly growing concentric circles of reaction; like batons, the Oracle tabs were passed from ship to ship, from fleet to fleet, from planet to planet, passed and duplicated and passed again; taking ten, twenty or thirty years to work their way across the Empire. By the time any part of the human race received news from its opposite side, it was no longer news, but history.

The Empire's communications were the best possible, but they weren't good enough.

Control depends upon communication.

Weak communications means weak control, eventually no control at all.

Such was the state of the Empire at the time the skimmers became feasible. The Empire needed them.

They were the ultimate spaceship.


The Empire had always been unwieldy and unmanageable. By the year 970 H.C. it was not so much an empire as a loosely organized confederation. Lip service was paid to the idea of a unified central government for all the races of man, but the Empire was only as strong as its local representative.

Where that representative was only one agent with an Oracle machine and a twice-yearly visit from a trading ship, the Empire was a distant myth. Where that representative was an Imperial Fleet, the Empire was law. And there were all the possible variations in between. Some were just, some weren't.

The Empire passed no laws; they could not guarantee uniform enforcement. Instead, they wrote suggested codes of moral behavior for use by representatives of the Imperial Council. Agents of the Empire were free to apply them - or not apply them - as they saw fit. Or, at least to the degree that they could enforce them.

The Empire maintained few fleets of its own - and these stayed close to home. Instead letters of marque were issued.

Member planets and systems often had their own armadas to police their own territories. Often, those territories consisted of as much volume as those armadas could effectively patrol. Armed with letters of marque, these fleets were automatically acting in the name of the Empire. As agents of such, their duties were what ever their admirals wanted them to be. In return, the badge of the Empire made them - and their control - legal.

The local governments controlled the fleets, and in so doing, they wielded the real power. Some were just; some weren't. The Empire didn't care - as long as they paid their taxes. Most of them did.

In return, they received the benefits of Empire.

In addition to the implied legality of their regimes, they were automatically privy to the vast scientific and cultural library represented by the sum total of humanity. The Empire continually collected and distributed. It functioned as a gigantic clearing house of knowledge, literature, art and music. Member planets disseminated their contributions freely through the system - part of the price they paid for being able to tap the system in return. The exchange was always a bargain: the knowledge of one planet traded for the knowledge of a thousand.

Of course, there was a communications problem.

With eleven thousand inhabited planets (at last known census), that implies eleven thousand local languages. At least.

More than a few of those planets were divided into nations. More than a few of those nations were multi-cultured. Many of those cultures had several different languages - technical, literate, colloquial and argot Plus subdivisions. Not to mention dialects.

So the Empire distributed the Oracle machines, gave them out freely to its member states. The standardized keyboard-and-scanning-plate configuration of the machines was familiar from one end of known space to the other; anyone with access to an Oracle and a translating tab could read information out of any other stasis bite in existence.

It worked. More or less.

The Empire had grown too fast, too far. And it was still growing. The typical growth pattern of mankind. Cancerous.

One way to control an empire is to control the pulsing of its lifeblood - its interstellar commerce, the huge ships that swim between the stars.

Indeed, it was the only way to control the recalcitrant government of a far distant planet - threaten to cut it off from its interstellar brothers, especially those beyond its immediate reach. Expel it from the Empire altogether -

- at which point it becomes fair prey to any armada bearing the Empire insignia. After all, wasn't it a matter of restoring order? And weren't the armadas legal representatives of the Empire itself?

An Empire ship would never attack another Empire ship or planet; that would be a violation of the sacred trust of the Empire. But an attack on an independent ship or government - well, that was something else altogether.

The Empire insignia was a license - but only to be used against those who did not bear it. Neat. Effective.

The Empire held that one trump card, and it was enough. It was the card of mutually recognized legality, an insignia recognized by all mankind and one that indicated its bearer subscribed to a known code of behavior. It was a safe-conduct pass through troubled spaces and a basis upon which any two humans could meet for trade, or news, or simply for the exchange of pleasures. It was the card of the open market - and few would endanger their right to participate in that market by defying the Empire. They feared their neighbors too much.

And the Empire could do things for them that they could not do for themselves - recognition of that fact is the foundation upon which many secure governments are based. As long as a government can do things for the taxpayer that he cannot, or will not, do for himself, then that government is relatively safe.

Let that government stop meeting its obligations to its constituency, and it is in danger. Or let its constituency gain the power to do for itself...

In the year 970 H.C., the Empire held the power - but it was the kind of power that was hard to exercise.

It was the kind of power that was terrifying only in its absence. Men needed the Empire, if only for the continual reassurances it gave them that they were not alone. That somebody or something was standing behind them.

One could not pay homage to a government that might take ten or more years to respond, but at the same time its distant existence was comforting in the same way the existence of the Holy Church of Mankind was. It was one of those eternal institutions that one could measure one's life against. Indeed, sometimes it was only because of those eternal institutions that a life had any meaning at all.

(That the Holy Church had been born with the Empire and had grown with it was more than coincidence. The two were complementary entities, mutually interdependent. Their motives were purported to be dissimilar, but their goals were alike. Both were aligned toward power and control over men.)

The Empire, like the planets it ruled, was of man - made up of men.

And some were just. Some weren't.

Some of them had a vision of what the Empire could be. Some didn't.

The Empire itself was neither just nor unjust. It existed simply to fulfill a purpose - communication between all men; but whenever action was taken in its name, that action reflected the men directing it. If they were just, then so was the Empire. If they were unjust-

The Empire had been a corporation that had grown - a trade corporation that had swelled into a proper government simply because it was there when the time came. It had the tools and the abilities to fill the needs of trade between the stars. It issued its own notes, backed them by its trade, and was unsurprised when they became the standard against which other coinages were measured. Because it was a business, it responded to the wants and needs of those it served. By the time it was two hundred years old, it had become a fair and benevolent government - in fact, if not in name. An other two hundred years and even the name was honored.

The Empire Trading Corporation first, later the Empire Company. Finally just the Empire..

-and then it collapsed.


THE Empire hadn't collapsed overnight, but just how long the collapse had taken and to what extent it had occurred, no one knew.

The collapse of the Empire meant the collapse of organized communications.

A few straggling ships every now and then, some unreliable rumors, and the occasional wisp of years-old radio waves - too many member planets knew too little of what had happened.

But even as the Empire died, it was proving its power. It left as its legacy a universal standard for all men-the Oracle machines and the language.

Interlingua had been the language of trade and the language of science. Without the Empire, it was a dead language - but like a language called Latin known millennia earlier, it continued to be taught and used, first in the hope that the Empire might be resurrected, then later with the realization that the language was now the only link left to the other worlds of men. A man who spoke Interlingua could travel anywhere and survive. He could make his wants known, he could converse and he could trade.

Without the Empire, trade still continued-not on the same vast scale, of course, but between neighboring systems. It was enough to keep the language alive.

Interlingua was also the language of the Oracle machines; they still remained. The cultural heritage of mankind was not lost; it merely lay scattered across the galaxy in a thousand thousand machines and in a million million tabs. It was there for the asking - it needed only a man to reach for it. The knowledge waited for a man to begin the arduous task of once more gathering it all together.

As the years wore on, many of the old habits remained; the Empire insignia was still put on ships of peaceful intention: the traditions continued because there was nothing to replace them with. In some places the conventions broke down; in others, they endured.

From Space Skimmer by David Gerrold (1972)

Abel had a map of Trantor in his study, so designed as to show the application of that force. It was a clear crystalline ovoid in which the Galactic lens was three-dimensionally laid out. Its stars were specks of white diamond dust, its nebulae, patches of light or dark fog, and in its central depths there were the few red specks that had been the Trantorian Republic.

Not "were" but "had been." The Trantorian Republic had been a mere five worlds, five hundred years earlier.

But it was a historical map, and showed the Republic at that stage only when the dial was set at zero. Advance the dial one notch and the pictured Galaxy would be as it was fifty years later and a sheaf of stars would redden about Trantor’s rim.

In ten stages, half a millennium would pass and the crimson would spread like a widening bloodstain until more than half the Galaxy had fallen into the red puddle.

That red was the red of blood in more than a fanciful way. As the Trantorian Republic became the Trantorian Confederation and then the Trantorian Empire, its advance had lain through a tangled forest of gutted men, gutted ships, and gutted worlds. Yet through it all Trantor had become strong and within the red there was peace.

Now Trantor trembled at the brink of a new conversion: from Trantorian Empire to Galactic Empire and then the red would engulf all the stars and there would be universal peace—pax Trantorica.

Abel wanted that. Five hundred years ago, four hundred years ago, even two hundred years ago, he would have opposed Trantor as an unpleasant nest of nasty, materialistic and aggressive people, careless of the rights of others, imperfectly democratic at home though quick to see the minor slaveries of others, and greedy without end. But the time had passed for all that.

He was not for Trantor, but for the all-embracing end that Trantor represented. So the question: How will this help Galactic peace? naturally became: How will this help Trantor?

The trouble was that in this particular instance he could not be certain. To Junz the solution was obviously a straightforward one. Trantor must uphold the I.S.B. and punish Sark.

Possibly this would be a good thing, if something could definitely be proven against Sark. Possibly not, even then. Certainly not, if nothing could be proven. But in any case Trantor could not move rashly. All the Galaxy could see that Trantor stood at the edge of Galactic dominion and there was still a chance that what yet remained of the non-Trantorian planets might unite against that. Trantor could win even such a war, but perhaps not without paying a price that would make victory only a pleasanter name for defeat.

So Trantor must never make an incautious move in this final stage of the game.

From The Currents of Space by Isaac Asimov (1952)