Hello again, fellow sci-fi fans! Today, I thought I’d write about something conceptual, something that is intrinsic to so much science fiction and keeps popping up in various forms. It’s something that has appeared in countless serials, novels, tv shows, movies, and RPG’s. I am referring, of course, to the concept of the Galactic Empire, a science fiction trope that has seen many incarnations, but revolves around a singular theme of a political entity that spans the known universe.
Whether it’s a loose federation of humans and aliens spanning many different star systems, or a despotism made up of millions of worlds, all populated by human beings, or something somewhere in the middle, this trope has proven to be one of the most enduring ideas of classic science fiction.
But where exactly did this idea come from? Who was the first to come up with a futuristic, galaxy-spanning polity where millions of star systems and quadrillions of sentient beings all found themselves living underneath one roof?
Asimov’s Foundation Series:
Isaac Asimov is arguably the first science fiction author to use the concept of a galaxy-spanning empire in his literature. Known simply as the Galactic Empire, this organization was the centerpiece of his Foundation series. As fans of the books know, the entire series was built around the idea of the imminent collapse of said empire and how a small band of scientists (led by Hari Seldon) were dedicated to ensuring that the collective knowledge of the universe would be preserved in its absence. The books were based heavily on Gibbon’s History of The Decline and Fall of the Roman Empire, a compendium which explored the various reasons for the collapse of Rome and the resulting Dark Ages.
The universe of the Galactic Empire centered on a planet named Trantor. Based on his descriptions, the planet was covered by a massive urban landscape, every habitable area having been built over in order to accommodate the planet’s huge population. In addition to being the capitol of the Empire, it was also its administrative head, cultural hub, and economic epicenter. Much like Rome of antiquity, it depended heavily on the surrounding territories for food and raw materials in order to sustain itself, and was terribly hit when the Empire began to decline.
However, beyond some passing descriptions of its size, centrality and the problems facing its encapsulated population, not much is said about Trantor or many other worlds of the Galactic Empire. In fact, not much is said about the Empire itself, other than the fact that it has endured for millennia and is on the verge of collapsing. Mainly, the focus in Asimov’s Foundation is on the events that precipitated its fall and the work of the Foundation once that was complete; how they went about the process of restoring civilization in the absence of a central authority. However, the subsequent Foundation novels, which included some prequels, helped to flesh out the Empire further, providing details on member worlds and the events which preceded the development of Hari Seldon’s “psychohistory”.
Frank Herbert’s Dune:
One of the greatest examples of a galactic empire in my opinion. In the first installment of the Dune series, we are made immediately aware that humanity now inhabits the entire galaxy and are ruled from a world called Kaitan by a sovereign known as the Padishah Emperor. However, it is also made clear that while the emperor is the supreme leader, power is shared in a quasi-feudal arrangement between the noble houses (the Landstraad), a corporate entity that controls all economic affairs (CHOAM), and the various guilds (of which the Spacing Guild is arguably the most powerful). In this universe, much attention is given to the breakdown of power, the history of how it came to be, and the various member worlds and houses.
For starters, there is House Corrino, the ruling dynasty of the empire that is centered on Kaitan. Their house once ruled from a planet known as Selusa Secundus, but which has since been reduced to ashes from a nuclear attack and now serves as the emperor’s prison planet (where his elite armies are trained). More important, and central to the story, is House Atreides, the family which rules from an ocean planet named Caladan, but come to inherit the desert planet Arrakis (aka. Dune). Passing attention is also given to Geidi Prime, the industrial world run by House Harkonnen, the nominal villains of the story.
But by far, the most detailed and developed descriptions are that of the planet Arrakis, where most of the story takes place. Throughout the first novel, the planet’s ecology, native species, and inhabitants (the Fremen) are richly detailed. Given that it is the only world where the spice (an awareness drug the entire universe depends on) is mined, the world is understandably the focal point of the Dune universe. Clearly analogous to oil, the spice is a metaphor for human dependence on a single resource, and the consequences thereof. By taking control of the planet at story’s end and threatening to destroy the spice, Paul Atreides effectively becomes the universe’s new ruler. For as the sayings go: “He who controls the spice, controls the universe”, and “He who can destroy a thing controls that thing.”
Frank Herbert cited a number of influences for his galactic empire. Like Asimov, he relied a great deal on history, particularly that of the Middle East, the Crusades, and a number of feudal societies. At the same time, Herbert became fascinated with ecology, a result of his living in Florence, Oregon where the US Department of Agriculture was using poverty grasses to stabilize the expanding Oregon dunes. The article which he wrote about them, entitled “They Stopped the Moving Sands” was never completed and only appeared decades later in The Road to Dune. Nevertheless, it was from this combination of real history and ecology, how the living environment affects its inhabitants and shapes history, that the universe of Dune emerged.
Perhaps the best known example of a galactic empire, which in turn emerged from what Lucas called the Old Republic. When asked about his inspirations, George Lucas claimed that he wanted to create an empire that was as aesthetically and thematically similar to Nazi Germany as possible. This is made abundantly clear when one looks into the back story of how the Empire emerged, how its malevolent dictator (Palpatine, a Sith Lord) rose to power and began launching campaigns to eliminate anyone who stood in his way. In addition, the use of Storm Troopers, the uniforms of the imperial officers, and the appearance of Darth Vader also add visual representation to this.
However, a great deal of antiquity works its way into the Star Wars universe as well. Much like Herbert and Asimov, there is a parallel between the past and the future. The incorporation of royalty, swordfights between Bushido-like warriors, gun-toting smugglers, cantinas, dangerous towns in the middle of the desert, and all the allusions to the “Republic” and “Galactic Senate”, fair and noble institutions which ruled the galaxy before the dark times – all of these are themes taken from ancient Greece, Rome, feudal Japan, medieval Europe, and the Wild West.
In any case, at the center of Lucas’ galactic empire lies Coruscant, a planet that was clearly inspired by Trantor. Whereas in the original series, the planet was not shown or even mentioned, it receives a great deal of attention in the Star Wars novelizations, comics, and prequel movies. Much like Trantor, it is a planet that is completely dominated by urban sprawl, literally every corner of it is covered by massive sky-scrapers and multi-leveled buildings.
According to the Star Wars Wiki (Wookiepedia), roughly a trillion humans and aliens live on its surface, which is another detail that is noteworthy about Lucas’ universe. Unlike Foundation or Dune, in Star Wars, the galactic empire includes countless sentient races, though humans do appear to be the dominant species. This racial aspect is something else that is akin to World War II and Nazi Germany.
Whereas the Rebellion is made up of humans and aliens who are struggling for freedom and tolerance, the Empire is composed entirely of humans who believe in their own racial superiority. However, in a tribute to Lucas’ more creative days, not much is said about this divide, the audience is instead left to infer it from the outward appearances and behavior of the characters on screen. However, the idea receives much development in the novelizations, particularly Timothy Zhan’s Thrawn Trilogy.
Yet another take on the concept of a galactic polity: Gene Roddenberry’s United Federation of Planets. Much like the Empire of Lucas’ own universe, the Federation is made up of hundreds of member worlds and any number of races. But unlike its peers in the Foundation, Dune or Star Wars universes, the Federation only encompasses a small portion of the galaxy – between ten and fifteen percent, depending on where you look in the storyline.
Beyond their range of influence lie several competing or cooperative empires – the Klingons, the Romulans, the Cardasians, the Dominion, and the Borg. Each of these empires represent a threat to the Federation at one time or another in the story, largely because their ideologies are in direct conflict with the Federations policy of peace, multiculturalism and understanding.
This may sound a tad tongue-in-cheek, but it is the main vehicle for the story. In Star Trek, like many other sci-fi franchises, Gene Roddenberry uses alien races as mirrors for the human condition. Whereas in his vision of the future humanity has evolved to overcome the scourges of war, poverty, disease, intolerance and oppression, other races are either less advanced or openly embrace these things.
The Klingons, for example, were the enemies of the Federation because of their commitment to warrior politics. The Romulans are locked in an ongoing cold war with them because of their belief in their own racial superiority. The Dominion seeks dominance over all “solid” life forms because, as shape shifters, they fear being controlled themselves. And the Borg are an extremely advanced cybernetic race that seeks to “perfect” organic life by merging it – by force, if necessary – with the synthetic. The metaphors are so thick, you could cut them with a knife!
Yes, subtlety was never Roddenberry’s greatest attribute, but the franchise was an open and inclusive one, borrowing freely from other franchises and sci-fi concepts, and incorporating a great deal of fan writing into the actual show itself. And whereas other franchises had firm back-stories and ongoing plots, Star Trek has always been an evolving, ad hoc thing by comparison.
Roddenberry and the producers and writers that took over after his death never did seem to plan that far ahead, and the back story was never hammered out with that much precision. This has allowed for a degree of flexibility, but also comes with the painstaking task of explaining how and why humanity became a utopian society in the first place. But for the most part, the franchise leaves that one vague, arguing that space travel, technology and contact with other sentient races allowed for all of this to happen over time.
Babylon 5:One of my favorite franchises of all time! And possibly one of the most detailed examples of a galactic empire, due largely to the fact that it took shape in the course of the show, instead of just being there in the background from the beginning. Here too, we see a trade off between other franchises, the most similar being Star Trek. In this universe, there is no single galactic empire, but rather a series races that exist is a web of alliances, rivalries and a loose framework of relations.
But as time goes on, many of them come together to form an alliance that is reminiscent of the Federation, though arguably more detailed and pluralistic in its composition. When the show opens, we see that humanity is merely one of many races in the cosmic arena, most of whom are more advanced and older than we are.
The Earth Alliance, as its called, controls only a few colonies, but commands a fair degree of influence thanks to the construction of an important space station in neutral territory. This station (namesake of the show) is known as Babylon 5, aptly named because it is a place of trade, commerce, and the intermixing of peoples and cultures. And much like its namesake, it can be a dangerous and chaotic place, but is nevertheless the focal point of the known universe.
According to the back story, which is explored in depth in the prequel movie “In the Beginning”, the station began as a way of preventing wars based on cultural misunderstandings. Such a war took place between the human race and the Mimbari, a race that is central to the story, ten years prior to the show. After four abortive attempts, the station finally went online and was given the designation of five because it was the fifth incarnation of the project.
Once completed, all major races in the area sent representatives there in order to make sure their interests and concerns were being represented. Chief amongst them was Earth, the Mimbari, the Narns, the Centauri and the Vorlons, who together made up the stations executive council. Beyond them was the “League of Non-Aligned Worlds”, a group made up of fifteen sentient races who were all smaller powers, but together exercise a fair degree of influence over policy.
The Centauri, who were based on the late-period Roman Empire, are a declining power, the once proud rulers of most of the quadrant who have since regressed and are looking to reverse their fortunes. The Narns are their chief rival, a younger race that was previously occupied and brutalized by the Centauri, but who have emerged to become one of the most powerful forces in the quadrant.
Based heavily on various revisionists powers of history, they are essentially a race that is familiar with suffering and freely conquers and subjugates others now to ensure that such a thing never happens to them again. The Mimbari, an older and somewhat reclusive race, is nominally committed to peace. But as the war demonstrated, they can easily become a force to be reckoned with given the right provocation. And then there are the Vorlons, a very old and very reclusive race that no one seems to know anything about, but who nevertheless are always there in the background, just watching and waiting…
As the show progresses, we come to see that B5 will actually serve a purpose that is far greater than anyone could have foreseen. It seems that an ancient race, known only as the Shadows, are returning to the known universe. Before they can to invade, however, they must recruit from the younger races and encourage them to make war on their rivals and neighbors. This will sow the seeds of chaos and ensure that their eventual advance will be met with less resistance.
The Vorlons and the Mimbari ambassadors (Kosh and Delenn) are aware of this threat, since their people have faced it before, and begin recruiting the station’s two human commanders (Jeffrey Sinclair and John Sheridan) to help. This proves difficult, as the Shadows appear to have contacts on Earth as well and are backing the power play of Vice President Clarke, an ambitious man who wants to be a dictator. They are also ensuring that the Centauri and Narn go to war with each other as a way of keeping all the other member races preoccupied.
However, using the station as a rallying point, Sheridan, Sinclair, Delenn and Kosh eventually manage to organize the younger races into a cohesive fighting force to turn back the Shadows. Things become more complicated when they realize that the Vorlons are also the enemy, being involved in a power struggle with the Shadows that goes back eons. However, with the help of other First Ones (very old races) and a commitment to stand on their own, they manage to force both sides to leave the known universe.
In the wake of the war, a new spirit of cooperation and cohesion is formed amongst the younger races, which eventually gives rise to the Interstellar Alliance. This organization is essentially an expanded version of the League, but where members are fully aligned economically and politically and committed to defending each other. This comes in handy when the allies of the Shadows, younger races who are armed with all their old mentors’ gear, come out of hiding and begin to make trouble!
Naturally, the full story is much more complex and I’m not doing it justice, but this is the bare bones of it. Relying on historic examples and countless classic science fiction themes, J. Michael Straczynski establishes a detailed universe where multiple races and political entities eventually come together to form a government that rules the known universe and stands the test of time.
Here we have a franchise that had multiple inspirations, according to the creators. The focal point of the franchise is on massive war machines, known as battlemechs, which were apparently inspired by Macross and other anime. However, the creators also came to incorporate a back story that was very European in its outlook, which revolved around the concept of an ongoing war between feudal states.
One could make the case that the Shogunate period of Japan, a time of ongoing civil war, was also a source of inspiration for this story. However, upon familiarizing myself with the background of the series, I couldn’t help but feel that the whole thing had a predominantly Russian feel to it. In addition to the heroic characters being named Alexandr and Nicholas Kerensky, something about the constant feudal warfare and the morally ambiguous nature of humanity in the story seemed analogous to much of Russia’s troubled history.
To break it down succinctly, the story takes place in the 31st century, a time marked by incessant warfare between different clans and worlds, all of which are populated by humans.Terra (as Earth is now called) was once the center of a grand empire known as the Star League. After centuries of conflict, in what is known as the “Succession Wars”, Earth and many its immediate neighbors were rendered damaged or completely uninhabitable.
As a result, the focal point of the universe resides within the Inner Sphere, a region that is 500 light years away from Earth and dominated by five Great Houses. The leader of each house claims to be the rightful successor of the Star League, and hence the houses are all known as the Successor States. Outside the Inner Sphere lies the Periphery, a large ring of independent star systems that predate the League and the Successor States, but are inferior to them in terms of technology. Though nominally independent, none of these regions have the ability to stand against the houses of the Inner Sphere, and thus avoid conflict with them whenever possible.
A key feature of the Battletech universe is the absence of sentient species outside of the human race. This serves to make the ongoing warfare more realistic, as well as establishing how the current state of war is a direct extension of earlier rivalries (some dating all the way back to the 20th century). Another interesting feature about this franchise is the fact that humanity has not evolved very far beyond its current state, in spite of the lengthy passage of time.
Again, the constant state of warfare has much to do with this, which has had a slowing and even reversing effect on the technological development of many worlds. In short, the franchise is gritty, realistic, and has a pretty dim view of humanity. In addition, there is a palatable sense that humanity’s best years are behind it, and that barring the appearance of some external threat, humanity will war itself into extinction.
A couple of things stand out about each of these examples of a galactic empire. And for anyone interesting in creating their own, they are considerations which have to be taken into account. All of the previous creators, from Isaac Asimov to Weisman and Babcock, either took a singular approach on these issues, or adopted a combined one. Here they are, as I see them:
Humans and Aliens: This is arguably the most important consideration when developing a sci-fi franchise, especially one where a galactic empire is concerned. The creator must decide, is this going to be a universe where humans and aliens coexist with one another, or is it going to be strictly human? Both options open up a range of possibilities; for example, are humans and aliens living together in harmony in this story, is one subjugated to another, or something else entirely? What’s more, what role will the aliens play? Are they to be the benign, enlightened aliens who teach us “flawed humans” how to be better, or will we be the the species that’s got things figured out and they be allegorical representations of our past, flawed selves? Inevitably, aliens serve as a sort of mirror for the human condition or as examples of past human societies, in any story. There’s simply no way around it, not if we want them to be familiar and relateable.
Utopian/Dystopian: Another very important decision to make when creating a universe is the hue its going to have. In short, is it going to be a bright place or a dark place? Would humanity advance as a result of technology and space exploration, or regress because improved weapons and tools merely meant we could do more harm? Both visions serve their purpose, the one eliciting hope for the future and offering potential solutions to contemporary problems, the other making the point that the human condition is permanent and certain behaviors will never be overcome. However, in my opinion, the most respectable approach is to take the middle road on this. Sci-fi franchises, like those of Straczynski and Alastair Reynolds (creator of the Revelation Space universe) did their best to present humanity as being morally ambiguous. We were neither perfect nor unsalvageable. We simply did our best and tried to make a difference, but would always have our share of flaws.
Space Travel: Almost all galactic empires are agreed on this one front. When it comes to creating a extra-solar empire, one that encompasses hundreds or even thousands of star systems, one needs to be able to travel faster than the speed of light. It might mean contravening the laws of physics (causing Einstein to roll over in his grave!) but you can’t really do it otherwise. Whether it’s by the Alcubierre drive, hyperspace, warp, jump gates, or folding space, all of the aforementioned franchises incorporated some kind of FTL. Without it, humanity would require thousands or even millions of years in order to expand to encompass the known universe, at which point, we’d probably have evolved to the point where we were no longer even human! In addition, the problems of subjective time and perspective would wreak havoc with story lines, continuity, and the like. Better and easier to just say “Here (zoom!) Now there!”
Technology: Following on the heels of FTL is the issue of how technology in general is treated within the universe in question. Will it be the source of man’s betterment and salvation, of their downfall, or something in between? Star Trek is a perfect example of the former approach, set in a future where all hunger, disease, poverty and inequality have been eliminated through the application of technology. Despite the obvious utopianism of this view, the franchise really isn’t that far off if you think about it. If we did have matter replicators, machines that could manufacture food, materials and consumer goods out of simple trace elements, then money, precious metals and other artificial means of measuring wealth would become obsolete. In addition, there’d be no more food shortages or distribution problems to speak of, not as long as everyone had access to this technology. And if fusion power and warp technology were available, then energy would be cheap and abundant and commerce would be rapid and efficient.
However, Roddenberry would often show the downside of this equation by portraying societies in which technology had been allowed to run amok. A good example is an episode in Star Trek TNG where the Enterprise comes upon a planet that is run by an advanced machine named Custodian. The people of the planet have grown entirely dependent on the machine and have long since forgotten how to run and maintain. As a result, they have become sterile due to radiation poisoning and are slowly dying off. Another perfect example is the Borg, a race of cybernetic beings that are constantly expanding and assimilating anything in their path. In terms of aesthetics, they are dark, ugly and sterile, traveling around in ships that look like giant cubes that were slapped together out of toxin-spewing industrial junk. Is there a more perfect metaphor for the seemingly unstoppable march of technological progress, in all its darker aspects?
Asimov’s Foundation series also had a pretty benign view of technology. In his universe, the people of Terminus and other Foundation worlds distinguished themselves from their neighbors through their possession of superior technology and even used it to their advantage wherever possible. In the first novel, for instance, the Foundation’s scientists began to travel to neighboring worlds, places that had the use of nuclear power and began teaching them how to rebuild it. Over time, they became a sort of priestly caste who commanded reverential respect from the locals thanks to all the improvements their inventions brought to their daily lives. When in the first book a warlord from the neighboring planet of Anacreon tries to conquer them, they then respond by cutting off all power to the planet and their forces, and use their status as religious leaders to foment rebellion against him.
However, other franchises have a different take on technology and where it will take us. For example, Battletech tends to look at technology in a darker perspective. In this future, the focus of technological development is overwhelmingly on battlemechs and weapons of war. In addition, the ongoing war in the series has had a negative effect on the development of other forms of technology, particularly the kinds that are beneficial to society as a whole. In short, technology has not corrected for mankind’s flaws because it has failed to remove the greatest cause of war and suffering – i.e. ambition!
Frank Herbert, on the other hand, took what could be construed as a mixed view. Whereas in his universe, instantaneous space travel is possible, energy shields, laser guns and nuclear power are all in existence, the overall effect on humanity has not been progressive. In the first Dune novel, we learn that humanity fought a holy war against thinking machines and automation over ten thousands years prior to the main story (the Butlerian Jihad). The target of the jihad was apparently a machine mentality as much as the machines themselves, and the result was a sort of compact whereby future generations promised never to develop a machine that could take the place of a human being. That, in addition to the invention of energy shields, led to the development of a feudal society where nobles and merchant princes were once again responsible for controlling planetary resources, and where armies went to war using swords and daggers in addition to lasers, slug throwers and missiles.
In subsequent novels, this was developed even further to present a sort of twofold perspective on technology. On the one hand, it is shown as being potentially harmful, where a machine mentality and a society built on unrestricted production of material goods can lead to social chaos and anarchy. Not necessarily because it can be harmful in and of itself, but because it can lead to a situation where humans feel so alienated from themselves and each other that they are willing to regress to something simpler and less free. On the other hand, advanced technology is also shown to have a potentially retrogressive effect as well, forcing people to look backwards for solutions instead of forwards. One can see genuine parallels with history, like how industrial civilization, in spite of all its benefits, led to the rise of fascism and communism because of its atomizing and alienating effects on society. Or how the Japanese of the post-Shogunate period deliberately regressed by destroying their stores of muskets and cannons because they feared that the “coward weapons” were detrimental to the Bushido.
Personally, I thought Herbert’s perspective on things was by far the most brilliant and speculative, packed full of social commentary and irony. It was therefore a source of great disappointment that his successors (Brian Herbert and KJA) chose to present things in a far more myopic light. In the prequels to Dune, particularly the Legends of Dune series, the jihad is shown to be a struggle between advanced machines that have enslaved the human race and the few free human worlds that are locked in a life and death struggle to defeat them. However, in twist that is more contradiction than irony, they find the solution to their problem by using nukes to level every machine planet. The fact that the “free worlds” relied on slave labor to compensate for the loss of automation was somewhat interesting, but would have been far more effective if the enemy machines were not portrayed as purely evil and the protagonists as selfless heroes.
The concept of a galactic empire is something that has a long history and many, many incarnations. But as always, the purpose of it seems to be to expand the focus of the commentary so that as many possible aspects of the human condition can be explored. By placing human beings on hundreds or thousands of planets, authors generally seek to show how different places can give rise to different cultures. This is as true of different parts on the globe as it is for different planets in the universe. In addition, the incorporation of aliens also gives us a chance to explore some of the deeper sociological questions, things that arise out of how we interact with different cultures around the world today. For in the end, all science fiction is really about history and the period in which it is conceived, regardless of it being set in the future. Like all other genres, the real aim is to serve as a vehicle for speculation and investigation, answering questions about who we are and what makes us us.
Whew! I think I got a little tongue and cheek there myself! In any case, I enjoy delving into this conceptual stuff, so I think I’m going to do it more often here. Next time, something a bit lighter and more specific. I was thinking about something along the lines of PLANETKILLERS! Stay tuned!