“I’m Sterile—but My Robot’s
Not. “
Sudarsana Srinivasan
STS—129: Artificial Life
Prof. Michael John Gorman
November 15, 2001
VON NEUMANN MACHINE: A machine which is able to build a working copy of itself using materials in its environment. This is often proposed as a cheap way to mine or colonize the entire solar system or galaxy. An early fictional treatment was the short story “Autofac” by Philip K. Dick, published in 1955, which actually seems to precede John von Neumann's original paper about self-reproducing machines.[1]
Just another case where science fiction preempts science fact? —Not exactly. John von Neumann began working on “The Theory of Automata: Construction, Reproduction, Homogeneity” in 1952 and did not complete it before his death in 1957.[2] However, parts of his theory of automata had been published in earlier papers that Philip K. Dick could have possibly read (because we know that Dick did read and was familiar with von Neumann, and wrote about his game theory).[3] The novelty of Philip K. Dick’s short story and von Neumann’s mathematical treatise’s eerie association lies not in literary prognostication, rather von Neumann’s self-reproducing automata, whether serving as an extension of humanity or as a source of immortality, were pragmatically lodged in the science of both the arms race and the space race and philosophically lodged in his pessimistic moral vision—the results of which have been deftly illustrated by optimistic Dick’s cautionary tale of a post-apocalyptic future where self-reproducing factories dominate humankind.
First let us briefly examine whether the parallel suggested by the above definition between the entity in Philip K. Dick’s short story and Von Neumann’s automata really exists. The five requirements needed to constitute a von Neumann machine are the following:
· Logical universality: can any single automaton perform all the logical operations which are performable with finite (but arbitrarily extensive) means?
· Constructibility: can the automata be constructed by other automata?
· Construction universality: can any single automaton construct every other automaton?[4]
· Self-Reproduction: is there an automaton which can both reproduce itself and perform further tasks?
· Evolution: can the construction of automata by automata progress from simpler types to increasingly complicated types?[5]
Von Neumann most thoroughly explored these criteria with his kinematic model, where the machine with its mechanical arm floats about in a “pond” of parts with which it constructs copies of itself or other machines. It is not exactly direct self-replication, because the primary automaton that constructs the secondary automatons is in need of directions for creating the secondary automatons. Von Neumann admits that “this might seem a priori impossible, on the ground that the constructing automaton must contain a complete plan of the constructed automaton, and in addition the ability to interpret and execute this plan.” His solution merely tacks onto the new machine a “description copier” that is a blueprint for its own construction.[6]
Comparing the kinematic model to Dick’s fully automatic factories, or “autofacs,” we begin to see similarities. Autofac is the ultimate and only supplier of goods for humanity in Dick’s post-apocalyptic world, and it is eminently able to fulfill von Neumann’s first three criteria. This network of factories stretching across the globe gathers its own raw materials, produces its own energy to manipulate these materials, and then follows its own information to construct each and every product within itself. It has its own “raw-material tropic” exploring crews that have ploughed through the bowels of the earth scraping bare the now desolate planet.[7] Trucks then leave the factories headed for human settlements laden with only those consumer goods that the settlement requires. The last two criteria of self-reproduction and evolution are not revealed until the end of the short story where autofac has evolved the ability to reproduce with “an ooze of metal bits”—nanites.[8] These nanites are endowed with the same knowledge and abilities as the parent autofac. It efficiently gathers materials and begins to reconstruct, from the bottom-up, improved autofacs.
There is apparently truth to the assignation of similitude between autofac and the von Neumann machine, but the necessary in depth analysis of other similarities and differences in the text that are so crucial to the context of the post-WWII period cannot begin without an understanding of the philosophy and background of John von Neumann, as revealed through both his theories as well as through the moral reflection of his philosophical opposite, Philip K. Dick. John von Neumann’s philosophy is rather unique in the sense that despite being an axiomatic, abstract mathematician, there was also an idealist basis to many of his concepts. Parts of his quantum theory and game theory give us some insight into von Neumann’s metaphysical foundations.
In his quantum theory the world has been divided into three parts: 1) the system that is actually being observed, 2) the measuring instrument and 3) the actual observer. The first two systems can be described in terms mathematical terms, the observer remains outside the range of any mathematical reductionism. The act of measurement causes a change
that takes place whenever the result of an observation enters the consciousness of the observer—or, to be even more painfully precise, my own consciousness, since I am the only observer, all other people being only subjects of my observations.
It is a case of philosophical idealism that makes consciousness a physical phenomenon and smudges the line between subject and object. Quantum theory, resting on the axiomatic principles of mathematics, can be seen as stark and impersonal, but this is the very reason for von Neumann’s cultural application of it.
Von Neumann could never believe that the ideals of science, nor those of the scientist, could refrain from cooperating with social forces, and that science could not cloister itself within its ivory towers.
His social and political upbringing as a Hungarian Jew, a marginalized and delicate position despite his family’s wealth, fostered a sense of insecurity for von Neumann concerning his seemingly tenuous place in the world.[9] His studies in Germany in the 1930s exposed him to the increasing restrictions placed upon Jews, as well as endowed him with a sense of responsibility. Intellectuals who had been self-absorbed in their abstruse research and “…uninvolved in the political tensions and occupational uncertainties of their hosts [German Universities]…” had seemingly led to the collapse of the Weimar republic. Historians agree that “…the universities were part of the system which made the Nazi take-over possible.”[10] Von Neumann’s realization of this contributed to his emigration from Germany and his participation in the development of The Bomb.
The Manhattan Project and von Neumann’s role as mathematical consultant at Los Alamos took a considerable amount of time away from his theory of automata. Self-reproducing automata were a side project for von Neumann, and he had no qualms about abandoning it frequently for the far more important project of the atomic bomb. His consultation work was not only with the esoteric science and erudite scientists of Los Alamos, but with the military and government establishment for whom he devised criteria for selecting the ideal bombing locations.[11] As public as he was in his participation in the development of the atomic bomb, he was as private about his pet project of self-reproducing machines. When Norbert Wiener jokingly wrote to him “I am very much interested in what you have to say about the reproductive potentialities of the machines of the future…it may be an opportunity for a new Kinsey report,” von Neumann quite dryly denied any contact with the media concerning his theories.[12]
Even after the bombings on Hiroshima and Nagasaki in 1945, von Neumann pressed for increasing arms research and development, perhaps as an extension of his strategic game theory. His anxiety was the result of his political distaste for the Soviets and viewed U.S.-Russian alliance during the war as a necessary evil. He became increasingly preoccupied by future international political dangers and began to advocate a preventative war, in marked contrast to the public anguish of other engineers of the atomic bomb such as Robert Oppenhiemer. Game theory presents a world of people who relentlessly and ruthlessly pursue what is in their own best interests using their greatest resources of skill and calculation; therefore, agreeing to international control and the ultimate elimination of nuclear weapons would be viewed as irrational in this context. His optimism concerning the progress of science in the face of his pessimism concerning human nature led to his whole-hearted support of the arms race.
When von Neumann’s bellicosely insists
That present vague fear and vague talk regarding the adverse worldwide effects of general radioactive contamination are all geared to the concept that any general damage to life must be excluded […] Every worthwhile activity has a price, both in terms of certain damage and of potential damage—of risks—and the only relevant question is, whether the price is worth paying…[13]
Dick responds with the world of “Autofac.” It has been five years from the beginning to the end of the “Total Global Conflict” in his fictional world, a credible WWIII scenario for a real world only ten years past the last world war, and effects of fallout are shockingly evident.[14] This is a planet without cows. Remaining buildings are covered with a “radiation pox” and the landscape is barren but for metallic ash and herds of mutated rats that traverse “…the titanic ugly sore of an H-bomb crater, half-filled with stagnant water and slime, a disease- ridden inland sea.”[15] Humanity has been reduced to either those infantalized by the paternalistic autofacs or “tattered scarecrows” of beings who rebel and live outside the reach of the reach of the factories. Mankind’s struggle is no longer against an outside enemy, but rather against the once helpful machines programmed by The Institute of Applied Cybernetics (and interesting allusion to Norbert Wiener’s research). The institute has either been destroyed or is simply not able to communicate to the factories that the war has ended, and that humans once again have the time and inclination to look after their own needs.
Interestingly, the humans attempt to defeat the autofacs by using elements of game theory. In this world, the machines have replaced humans as the mindless maintainers of materialistic values, as a factory automaton intones “ ‘raw materials intake is at a dangerously low ebb; what basic materials still exist whould be utilized in the manufacture of consumer commodities.’ ”[16] Each factory is designed to produce for its own sector and not work in conjunction with other autofacs. Knowing that the humans stockpile tungsten, a substance two different autofacs have run out of in order to lure them into a fight—which is precisely what happens. The factories once again imitate humanity by waging war on other automatic factories over rare materials. Depressing and desolate as this moral vision is, Dick, however, does not want this to be misconstrued as fatalistic for he says “ ‘science fiction is uniquely a kind of semi-reality. It is not a statement that “this is,” but a statement, “What if this were.” The difference is crucial in every respect.’ “[17]
This threat to life posed by the development of nuclear weapons developed the primary, instinctual reaction in von Neumann to produce the unusual, self-reproducing automata, which alone would stave off annihilation of humankind. This peculiar synthesis can be seen in the comment made earlier by Norbert Wiener concerning the applicability of a Kinsey report (that usually addresses the sexuality, gender, and reproduction of humans) to von Neumann machines as an interesting counterpoint to von Neumann’s public work on the production of destructive military technology. A few months after the first atomic test von Neumann is reported to have said
Supernovae—those mysterious stars which suddenly are born in great brilliance and, as quickly, become celestial cinders—could be evidence that sentient beings in other planetary systems had reached the point in their scientific knowledge where we stand now, [and] having failed to solve the problem of living together, had at least succeeded in achieving togetherness by cosmic suicide.[18]
Perhaps organic life in the universe is doomed to a self-derived death, and self-reproducing machinery is the only avenue to immortality.
In “Autofac” the nuclear threat has been realized with disastrous results. But once again the notion of self-reproducing machines is suggested as a sign of hope for humanity. There are no children in the story, perhaps because humans, due to heavy doses of radiation, are incapable of reproduction. As Dick suggests “ ‘if factories became fully automated, they might begin to show the instinct for survival which organized living entities have,…and perhaps develop similar solutions.’ “[19] Even the humans in the tale who have pitted themselves against the automatic factories remark that if the nanite pellets the autofacs are creating are capable of escaping earth then “ ‘That would be neat—autofac networks throughout the whole universe.’ ”[20] As products of humanity, the autofacs will live on elsewhere while humanity on earth struggles to live on.
The current definition of “von Neumann machine” has taken on the connotation of machinery for use in space colonization. Tensions with the Soviets over space exploration spilled over into this region of space research as well. NASA, in 1980, released a report concerning the feasibility of using self-reproducing automata to create factories to exploit the moon. NASA’s theory is a pleasing amalgamation of both von Neumann and Dick’s self-reproducing machines. It credits von Neumann for his theory of self-reproducing automata yet simultaneously admits that “Von Neumann’s kinematic machine construction system appears to have had no intellectual progeny whatsoever.”[21] The self-reproducing factories were to be built using nanotechnology, just like Dick’s autofacs.
Simplistically, it seems as though Cold War tensions created the death drive of the arms race and the sex drive of the space race. Self-reproducing automata were humanity’s efforts to extend its own life in the face of an imminent nuclear holocaust pushed by men like von Neumann who were willing to sacrifice lives now in order to ease the anxiety of uncertainty over the future, and Dick’s wasteland landscape of his fiction is a moral mirror asking us whether and why such a solution of self-reproducing machinery is preferable to the avoidance of the atomic problem.
Von Neumann, John. Theory of Self-Reproducing Automata. Ed. Arthur W. Burks. Urbana: U of Illinois, 1966.
Warrick, Patricia S. Mind in Motion: The Fiction of Philip K. Dick,Carbondale: Southern Illinois University, 1987.
Warrick, Patricia S. “The Labyrinthian Process of the Artificial.” philip k. dick. Ed. Martin Harry Greenberg and Joseph D. Olander. New York: Taplinger Publishing, 1983.
[1] Anders Sandberg, “V,” Transhumanist Resources, 11 Mar. 2000, Anders Sandberg, 11 Nov. 2001, <http://www.aleph.se/Trans/Words/v.html>.
[2] John von Neumann, Theory of Self-Reproducing Automata, ed. Arthur W. Burks (Urbana: U of Illinois, 1966), xv.
[3] Patricia S. Warrick, Mind in Motion: The Fiction of Philip K. Dick (Carbondale: Southern Illinois University, 1987), 35.
[4] Von Neumann, 266.
[5] Von Neumann, 287.
[6] Von Neumann, 288.
[7] Philip K. Dick, “Autofac,” Variable Man (New York: Ace Books, 1957), 188.
[8] Dick, 209.
[9] Steve J. Heims, John von Neumann and Norbert Wiener: From Mathematics to the Technologies of Life and Death (Cambridge: The MIT Press, 1980), 35.
[10] Joseph Ben-David, The Scientist’s Role in Society: A Comparative Study (Englewood Cliffs: Prentice Hall, 1971), 138.
[11] Heim, 212.
[12] Heim, 213.
[13] Heim, 263.
[14] Dick, 185.
[15] Dick, 193.
[16] Dick, 192.
[17] Warrick, Mind in Motion, 195.
[18] Heims, 197.
[19] Patricia S. Warrick, “The Labyrinthian Process of the Artificial,” philip k. dick, ed Martin Harry Greenberg and Josephy D. Olander (New York: Taplinger Publishing, 1983), 25.
[20] Dick, 210.
[21] “5.2 Theoretical Background”, Advanced Automation for Space Missions, eds. Robert A. Freitas, Jr. and William P. Gillbreath 1980, 13 Nov. 2001, <http://www.islandone.org/MMSG/aasm/AASM52.html>.