The late Harlow Shapley was perhaps the first astronomer ever to seriously attempt quantitatively to estimate the frequency of extraterrestrial life in the universe.⁸¹⁶ It is said that Shapley was more optimistic than his published estimates indicate, but that he deliberately chose extremely conservative numbers to forestall possible criticism from the scientific quarter. His calculation went something like this.

• Suppose that only one star out of every 1000 has any planets at all.
• Further, let us presume that out of every 1000 worlds, only a single one is located an appropriate distance from its sun (and thus has a climate suitable for life).
• Then assume that out of all these well-placed planets only one in 1000 is big enough to hold an atmosphere, and that of these worlds, only one in 1000 has a chemical composition appropriate for the origin of life.
• Combining all of these factors, we find that only 1 star in 10¹² is graced by life.
• There are at least 10²¹ stars in the universe so, according to Shapley, we may expect to find about 1,000,000,000 life sites in the cosmos.

At first blush this seems like a very large number, but upon further reflection we see it is actually quite pessimistic. Since the typical habitable galaxy has about 10¹¹ stars, only one galaxy out of ten will harbor any life at all. If this calculation is correct, humanity is very much alone.

It appears that Shapley selected his step-factors of 1000 largely out of cautious conservatism without any real basis in genuine, established scientific findings. Subsequent formulations have been devised in an attempt to deal with this major failing of the Shapley calculation. The most popular alternative among xenologists today is the so-called Drake Equation¹³¹⁷ (or "Green Bank Formula"²³⁵⁸), named for its originator Frank D. Drake, a well-known American radioastronomer currently associated with the Center for Radio-physics and Space Research at Cornell University.

Where might we expect to find alien life and civilization in nearby extrasolar space?
The following three tables may serve as starting points for discussions of this speculative question.

Due to unavoidably deficient data, Table 23.4 is complete only out to about 40 light-years. From 40-100 light-years, data are available only for about 25% of the "good suns" expected to lie at this range. The deficiency is almost exclusively among the class K stars (which are harder to measure at great distances) beyond 40 light-years, although many late class G suns are also missing beyond 50-60 light-years.

Table 23.2  lists the 75 brightest named stars in the night sky of Earth. Table 23.3  gives a complete inventory of all luminous stars within 20 light-years of Sol. Table 23.4  includes a listing of all "good suns"* within 100 light-years (30 parsecs) of Sol.

Table 23.2 Table 23.3 Table 23.4

Table 23.2 The 75 Brightest Named Stars in the Night Sky of Earth(modified after Robinson3086) 0.000016 - 63 ly 64 - 210 220 - 1600    0.000016 - 63 light-years    64 - 210 light-years    220 - 1600 light-years Table 23.3 Complete Inventory of Luminous Stars with 20 Light-Years of Sol (modified from Mattinson1114) 4-11 ly 11-15 ly 15-18 ly 18-20 ly    4.29 - 11.48 light-years    11.57 - 15.31 light-years    15.38 - 18.43 light-years    18.53 - 19.89 light-years Table 23.4 Inventory of Good Suns* (F5-K2) within 100 Light-Years of Sol (selected from Hofflied575) 4-35 ly 36-48 49-55 56-67 67-76 76-88 88-96    4-35 light-years    36-48 light-years    49-55 light-years    56-67 light-years    67-76 light-years    76-88 light-years    88-96 light-years

* In this context, a "good sun" is a Main Sequence dwarf (Sol-like) belonging to stellar classes F5-K2. The nearest to Sol is the α Centauri star system,³⁰⁸⁹ which recently has been discovered to be 6 eons old and significantly richer in heavy elements than our own solar system.³²²⁴

Table 23.5 Possible Planetary Companions of Nearby Stars

Assuming habitable worlds circle some or all of these distant stars, how might they be detected from Earth? There are four basic techniques, none of which has as yet provided absolutely unambiguous evidence for the existence of extrasolar planets.* The present state of the data is summarized in Table 23.5, at right.

Certainly the most fruitful approach to date has been the technique of astrometry.

This requires a bit of explanation.

• It will be recalled that all stars in the Milky Way orbit the galactic center much as planets circle a sun.
• Since each star moves with a slightly different velocity, celestial objects appear slowly to change position relative to each other over the years.
• Slowly, inexorably, the familiar constellations are torn asunder as the component stars move off in different directions at different speeds.
• For instance, the stars Sirius, Betelgeuse, Aldebaran and Arcturus have moved about the apparent diameter of the moon (Luna) since Ptolemy mapped them two millennia ago.
• The path traced in the sky by a wandering star is referred to as its "proper motion" by astronomers.

A lone sun traces a straight path across the sky, but a star with a retinue of invisible companion bodies should wobble slightly as it traverses the celestial vault. This is because the presence of the unseen planetary masses shifts the center of mass away from the center of the sun.

• The star, like its planets, actually circles this center of mass, which distant observers may observe as a tiny sinusoidal wobble with a period on the order of decades.
• Astrometry is a form of careful positional measurement which allows astronomers to calculate the mass and orbit of the hidden worlds based on the amplitude and frequency of wobble in the proper motion of the target star.

Imagine an hypothetical alien astronomer located 10 parsecs (33 light-years) away who wishes to demonstrate the existence of planets around Sol using astrometry. How accurate must his measurements be?

• Viewed from this distant observatory, our sun would subtend only 10^-3 arcsec (seconds of arc, or 1/3600 of a degree) in the sky.
• One-half an arcsec away from this minute yellow disk is found the giant planet Jupiter, a shining pinprick of light 10^-4 arcsec in diameter.

It is helpful to put these numbers into proper perspective in order to fully appreciate their smallness.
A second of arc is considered extremely high accuracy in all normal circumstances.

• One arcsec is the equivalent of hitting a buzzing horsefly with a rifle bullet at a range of 2 kilometers.
• But Sol would subtend only 10^-3 arcsec, which is like hitting the same horsefly in New Orleans by firing a rifle in Los Angeles (more than 2000 kilometers).
• To use another example, consider a level tabletop. When you touch it lightly, it tilts by at least a second of arc.
• At the 10^-3 arcsec level the table is like the surface of a sea — acoustic waves from people talking wash back and forth across its surface and "tilt" it by more than milliseconds of arc.
• To observe Sol’s wobble due to Jupiter, our hypothetical ET astronomer would have to be able to measure variations in proper motion of about arcsec at a range of 10 parsecs.
• The displacement of our sun due to the presence of Earth is considerably smaller, less than 10^-6 arcsec at 10 parsecs.
• The state-of-the-art of astrometric precision was roughly 3 × 10^-3 arcsec for human technology in the mid-1970s, which means that mankind is now at the threshold of the capacity to detect jovian planets circling neighboring stars.²²⁰⁰
• Scientists believe that sophisticated interferometric techniques²³⁸⁷ can increase ground-based accuracy to 50 × 10^-6 arcsec, and that large spaceborne telescopes specially designed for the task can reach 10^-6 arcsec accuracies.^3092,2865 (NASA’s 2.4-meter Space Telescope has pointing stability of 0.007 arcsec.)

The major difficulty with astrometry is that several cycles of the alien planet must be observed to identify and validate a discovery, which means several decades’ worth of data must be accumulated. Furthermore, the presence of more than one perturbing planetary body (Sol has 9) greatly complicates the mathematical analysis of periodicities in the wobble in proper motion of the target star.

To date, only astrometry has been exploited in the search for extrasolar worlds. But three other promising techniques have been discussed at length in scientific circles. The first of these is called the spectroscopic or "radial velocity" method.

Whereas proper motion is the apparent movement of a star across the sky, stellar "radial motion" is its velocity towards or away from us. We recall that light emitted from a moving object undergoes a Doppler shift in wavelength depending on the relative velocity of source and observer.

• By measuring the Doppler shift in a star’s visual spectrum, astronomers are able to determine its radial velocity.
• If a massive planet is present, then its orbit will cause the star’s radial velocity to oscillate much like the wobble in proper motion discussed in connection with astrometry.
• Rather than a positional undulation, however, the planet-hunting spectroscopist is looking for minute cyclical variations in Doppler-shifted starlight.
• This requires an instrument accurate to 0.08 mm visible light, able to detect variations in radial velocity on the order of 5 meters/second.¹⁵⁶⁸
• To date, the most sophisticated equipment has accuracies about an order of magnitude too low, but astronomers estimate that the state-of-the-art should progress enough in a decade or two to make the spectroscopic method feasible.²⁸⁶⁵

Photometry is another promising technique.

• If the orbital plane of the target solar system happens to lie precisely in our line of sight, then at some point planets will cross the face of the star and partially eclipse its light.
• If a planet the size of Jupiter crossed in front of a star like Sol, the decrease in brightness would amount to about 1% change in total luminosity. (Passage of Earth would only cause a minute 0.008% eclipse, and so on.¹²⁵⁹)
• Astronomers believe that the colorimetric and photometric eclipse signature should be fairly easy to detect and to identify.¹²⁶⁶
• One writer has calculated the probability of the onset or termination of an eclipse by any one of Sol's planets during a typical 6-hour observation period (a single night’s work at the telescope).
• For a randomly situated extraterrestrial observer, using the techniques proposed, the expected detection rate could be as high as one new solar system per year.
• About one star in a hundred should have a line of sight close enough to the orbital plane around Sol to allow all four of our inner planets to be detected by alien astronomers.**¹²⁵⁹
• Human astronomers should prove equally lucky.

The third most promising method for spotting other worlds is direct observation.
There are two main difficulties involved in this.

First there is the problem of optical resolution.

• Seen from 10 parsecs away, Sol and Jupiter appear only 0.5 arcsec apart — close to the limits of present-day ground-based telescopes.
• And planets smaller than Jupiter at the same distance, or jovian worlds farther from the star, probably could not be resolved using present instrumentation.
• The image of the star and planet would blur together.

The second main difficulty is that the extrasolar body we seek is very faint.

• Shining in reflected light, the luminosity of the planet is only about 10^-8 that of the stellar primary in the visible wavelengths.
• Dr. Bernard Oliver of the Hewlett-Packard Corporation has estimated that sophisticated "apodization" techniques (a mask fitted over the end of the telescope to selectively reduce the brightness of the star’s diffraction pattern) could be used in a 2-meter spaceborne telescope which would just barely permit a jovian world to be resolved.²⁸⁶⁵
• Indeed the Space Telescope, due to be launched by NASA in the early 1980’s, should fulfill these requirements and permit the first direct imaging of extrasolar planets.²¹⁰³

Another solution to the problem is to shift to lower frequencies where the star is relatively less bright.

• For example, in the infrared the luminosity differential falls from 10^-8 to 10^-4.²⁸⁶⁵
• In the radio things are even better: Fennelly and Matloff have estimated that jovian planets may be detectable out to 10 parsecs using intercontinental interferometry at radio wavelengths.¹⁴⁵³

Ultimately it would be nice to be able to take detailed color photographs of terrestrial worlds across interstellar distances. Is this possible?***

Lyman J. Spitzer, Director of the Princeton University Observatory, has proposed a spaceborne occulter apparatus.³⁰⁸⁰

• In this scheme, an orbiting large space telescope is pointed at the target star.
• A disk of black material is then placed in the instrument’s field of view in such a way that it exactly covers up the image of the star.
• The blazing brilliance of the primary is blotted out, permitting the detection of much fainter planetary bodies.
• According to Spitzer, NASA’s Space Telescope should suffice to resolve a jovian 10 parsecs away if an occulting disk 75 meters wide is placed 10,000 kilometers in front of the telescope.
• To spot an Earthlike extrasolar world at the same distance, a 400-meter-wide disk must be accurately positioned 250,000 kilometers ahead of the telescope.
• Citing the practical problems inherent in such a proposal, a few authors have advocated using Luna as an occulter.^3189,1095
• To pick out jovians at 10 parsecs, a 3-meter space telescope should be placed in a near-polar 8100-km-high lunar orbit.
• The curved limb of the moon periodically would blot out the star light, making possible at least minute-long observations of reflected extrasolar planet light.
• To spot Earthlike worlds, a 7-meter space telescope should be placed in high Earth orbit, again using the distant Luna as an occulter.

Still larger systems could actually begin to resolve features on the surfaces of these faraway celestial bodies. The possibility of constructing orbital and lunar telescopes comprised of giant mirrors or huge multi-mirror arrays has been discussed in the literature.^3091,3085 According to Gerard O’Neill, the fabrication of large space structures should make interstellar imaging a snap:

• It might be preferable to take advantage of a zero-gravity location by building a large number — perhaps 10,000 — of individual glass mirrors, each a meter in diameter, and providing each with a small locator-module, equipped with station-keeping gas jets.
• If the 10,000 elements were linked only by light beams, their spacing could be established by the unvarying number of wavelengths of light between each pair.
• That nonphysical linkage, computer-controlled, would have the further advantage that the mirrors could be programmed to separate and reform, like dancers in a slow-motion ballet. … If located in a cross-shaped array, with individual elements spaced ten meters apart, a telescope of that kind would have the theoretical capability of resolving something as small as a changing weather system, one thousand kilometers on a side — on the planet of a star ten light-years away.²⁷¹⁰

* See reviews by Gatewood,¹⁵⁶⁷ Huang,¹²⁷⁸ Martin^{1452,1088,1092} Matloff and Fennelly,¹⁶¹⁴ Morrison, Billingham, and Wolfe,²⁸⁶⁵ O’Leary,¹²⁴⁴ and Smith.²⁸⁶⁶

** Edward Argyle at the Dominion Radio Astrophysical Observatory in Canada has proposed a clever variation of the photometric method. Planets shine with reflected light and are located several light-minutes from the source of illumination (the star). If the emitted starlight varies, the portion reflected by the planet will be delayed in time behind the rest of the solar output. Careful photometric measurement, says Argyle, should permit the separation of these "light-echoes" from the normal starlight, thus demonstrating the presence of reflective planetary bodies and proving the existence theorem for extrasolar worlds.¹²⁸⁹

*** The surface of Betelgeuse, the giant red star in the constellation Orion, has been successfully photographed using computer-enhanced "speckle interferometry" techniques.^411,3090 Surface structures are clearly visible in the photos.

Before any two sentient races may converse across the interstellar void, they first must have each other’s attention. Each civilization must know who or what to look for, where and when to look, and how, technologically, to communicate. This is the problem of "acquisition." Each party must know that the other exists.

A number of interesting acquisition techniques have been discussed in the literature, and will be dealt with in the following sections. But there is another approach — called the "cosmic miracle" — which bypasses entirely the need for mutual acquisition. The cosmic miracle method allows one civilization to detect another without that other necessarily being aware it has been discovered. Essentially, the idea is to try to observe a kind of "cosmic advertisement" that says, loud and clear, "Here we are! Look at us!" The advertisement may be purposeful, or merely the natural byproduct of large-scale astroengineering projects. But it should be obvious.

It is surprisingly difficult to imagine a plausible celestial signpost that is clearly artificial. At first, it seems simple enough.

For instance, imagine we design a brilliant glowing "billboard" in the sky.

• It should be rectangular in shape with sharp edges and distinct vertices, and measure some fraction of a light-year on a side (say, 0.3 light-years).
• We make its color fiery crimson to attract the attention of visible-visioned creatures.
• At the exact center of this celestial marquee we place our premiere attraction: The star system to which we wish to call attention.
• The adjacent star field, as viewed from the most probable direction of contact, is nearly empty, so the star of our show has little competition for the spotlight.

Surely such a setup would be "clearly artificial," a sufficiently strange cosmic miracle to warrant the conclusion of sentient extraterrestrial intervention?

Sorry not! The above is an excellent description of the so-called "Red Rectangle" (actually it is shaped more like a very fat hourglass), discovered by astronomers back in 1915. The object, located near the southern border of the constellation Monoceros, lies 1100 light-years from Earth. The central star (HD 44179) is a visual binary, and both components are believed to be late spectral class B.³¹⁰² Astronomers have attempted to explain the appearance of the rectangle as a complicated reflection of reddish starlight from a surrounding disk of dust.²⁰⁷⁶

Many unusual possibilities crop up repeatedly in the literature. One proposal is to place in orbit around the target star a cloud of material that absorbs some uncommon band of radiation in the stellar spectrum. Viewed from afar, the star would appear to possess an artificial spectral line of unknown origin.

• The creation of such a stellar marker, as discussed by Drake and several others, would require dumping perhaps 400 tons of matter into circum stellar orbit.³¹²
• This marker material ought to be of a type that is difficult to explain by natural causes — for example technetium, a short-lived element (half-life 2 million years) which does not occur naturally on Earth or, presumably, other worlds generally.
• It is said by the proponents of this scheme that the presence of unusual markers in the spectrum of a stellar atmosphere would be difficult to explain as anything other than fairly recent technological activity by alien beings.
• Unfortunately, a great many natural "technetium stars,"³¹⁰³ "platinum stars,"³¹⁰⁴ and so forth are already known to astronomers.

Philip Morrison at MIT has suggested that a star could be converted into a giant signaling beacon if an opaque screen of dense particles were placed in orbit around it. The clouds would periodically cut off enough light (in certain preferred directions) so that the sun would appear to be flashing when seen from a distance. According to Morrison:

[The cloud] would have to weigh about 10¹⁷ kilograms (the mass of a comet), distributed in micron-size particles over a 5° zone of a sphere surrounding the star, and moving in an orbit like the orbit of a planet. If this could be modulated every six months or so., taken away and put back again, or changed to affect the interstellar intensity, we could make it beam a series of algebraic equations at us. Perhaps in that remote galaxy, some patient signalers have for 50 million years tried to modulate a star.¹⁰⁵³

(In 1970 it was reported that the eclipsing binary star CV Serpentis had stopped eclipsing, for reasons unknown.¹¹⁶³)

• There are Cepheid stars and RR Lyrae variables, suns which beat like great cosmic hearts, expanding and contracting rhythmically over fixed intervals of time. (The surface area of such objects actually grows and shrinks by as much as 40% during each cycle.¹⁸¹⁰)
• Cepheids typically are 3000 times more luminous than Sol, with periods between 1-100 days.
• RR Lyrae variables are about 100 times brighter than Sol, with cycles from 7-16 hours.
• Each star in this class of objects has its own unique period of pulsation from which it never varies.
• For instance Polaris, Earth’s "north star," is a Cepheid variable beating with a period of exactly 3 days, 23 hours, 13 minutes, and 31 seconds.¹⁵⁵⁶
  (Brightness oscillates over 0.1 magnitude, too little to notice with the naked eye.)
• Cepheids have also been known to change color, say, from yellow-green to orange and back again, during a cycle. What a fine display of "unnatural" behavior for xenologists to attribute to the doings of sentient ETs!

• There are "flash stars," cool main sequence suns which blaze up several orders of magnitude in brightness in just seconds, at irregular intervals.
  (They return to their normal state minutes or hours later.)
• Another possible candidate for "cosmic miracle" is the class of suns known as "spectrum variable stars." These suns display a periodic change in the intensity of certain spectral lines, while all the other lines remain constant.
• To take an example, a2 Canum Venaticorum has a spectral period of 5.5 days. During this interval the spectroscopic lines of the chemical ions EuII and CrII vary cyclically with opposite phases, while the SiII and MgII spectral lines remain unchanged.¹⁹⁴⁵

Then there are the so-called "interstellar masers," regions in space where natural radio lasers emit perfectly monochromatic radiation.³¹³⁴

• In one case, a water vapor maser (IC 1795) was observed to "turn on" over an 8-day period, and then "turn off" again after 1 month.³¹⁰⁶
• The recently discovered objects known as Cygnus X-l and HZ Herculis are supposedly natural x-ray lasers,³¹⁴⁰
• The Crab Nebula provides an example of a natural gamma-ray laser.³¹⁶³
• Recent satellite surveys of x-ray point sources in the Milky Way have uncovered transient sources which flick on, then off again in the space of a few months.
• It is estimated that several hundred such objects may turn on and off in our galaxy each year, but astronomers still don’t understand why.³¹⁴⁰
• And there is at least one report of a gamma-ray burster with a mysterious "gap of silence" timed to occur exactly at the peak of its burst.³¹⁶²

Perhaps a beacon consisting of a rare lasing material (say, ionized deuterium) might be considered sufficiently strange to be judged artificial, but this is highly problematical.

• And causing a celestial maser or laser to blink doesn’t help us at all — pulsars flash in one-second cycles, and x-ray and gamma-ray* bursts of incredible intensity are observed over periods of 10 seconds or less.³¹⁴¹
• Other sources pulse semiregularly. Over an interval of a day and a half, source Centaurus X-3 emits x-ray flashes that slowly increase in duration from 4.84 to 4.87 seconds, then suddenly drop in intensity in about an hour, then return to normal 12 hours after that.¹⁴⁷⁸

* According to the "catastrophe interpretation," gamma-ray pulses are the remnants of huge nuclear explosions, the last remaining traces of a vast war fought between distant extraterrestrial civilizations.³¹⁵³

What if we wish to discover extraterrestrial civilizations which are not deliberately attempting to make their presence known to us by posting a cosmic signpost? Xenologists generally agree that probably one of the best ways to do this is to attempt to monitor the putative culture’s "technological garbage."^80,57 (But note Sagan and Sullivan.³¹⁹²) As any first-year anthropology student is well aware, that which is thrown away often bears much information about the thrower.

From the xenological standpoint there are two basic constraints on this mode of contact. First, since the effluents of technical civilization must cross interstellar distances to be detectable, said effluents must be of such character as not to suffer undue attenuation during transit. Second, the technology of the wasting culture must be sufficiently advanced and sufficiently energy-rich so that the flux of garbage into interstellar space is great enough to be detectable far from the original source. The only serendipitous effluents which satisfy both of these requirements are electromagnetic waves (radio, microwaves, etc.).

Even a backwoods emergent Type I civilization such as humanity emits enough electromagnetic garbage to be detectable over interstellar distances. Assuming for the moment that our planet represents a fairly typical primitive planetary culture, the radio spectrum of Earth indicates the presence of technological activity at the hands of presumably sentient beings. Carl Sagan explains the reasoning behind this conclusion:

Since the Earth is at a temperature of roughly 300 K, we would expect it to have an emission spectrum following the blackbody curve, except for some absorption by the atmosphere. Further, the curve should be centered at about 10 microns in the infrared and fall off inversely as the square of the wavelength toward very long wavelengths. What we find is a truly remarkable peak in the meter band. The amount of radio emission is extremely striking. Indeed, it is so large that if one observed only at meter-band frequencies and assumed the emission to be of thermal origin, the deduced blackbody temperature of the Earth would be about 40,000,000 K. This is an example of extreme disequilibrium. That is, the Earth’s radio radiation is not characteristic of thermodynamic equilibrium. The strong disequilibrium component is due to the activities of the modicum of intelligence residing on the planet.³²⁸⁷

Woodruff T. Sullivan and his colleagues have completed an extensive survey of all sources of radio leakage on our planet. The video carrier in TV broadcasting is responsible for most of the radiative wastage. Even though power emitted from antennas on tall towers is deliberately concentrated downward to avoid waste, a thin sheet nevertheless escapes over the horizon as leakage radiation into space.

• This amounts to a total effective radiated power of about 10,000 megawatts/Hz for the TV video carrier.
• 400 megawatts/Hz from FM broadcasting.
• And about 200 megawatts/Hz from BMEWS-type military radars.

According to Sullivan, the Arecibo radio dish used by NRAO in Puerto Rico, if operated by inquisitive aliens on another world looking back at Earth:

• Could detect a strong UHF television station at a range of 1.8 light-years.
• BMEWS radar could be picked up out to 18 light-years using an Arecibo-type radiotelescope.

The construction of a system similar to the proposed Cyclops SETI network (see description next section) would permit detection:

• Of video carriers out to 25 light-years (which encompasses about 300 stars).
• And BMEWS radar out to 250 light-years (covering about 200,000 stars).

Our hypothetical extraterrestrial observers who were able to detect video carrier waves would recognize them as artificial, although an additional four orders of magnitude of antenna sensitivity would be required to pick up actual program material.

After carefully monitoring the intensity and frequency variations of terrestrial transmitters for several years, distant ET scientists could deduce an incredible number of important facts about Earth:

1. The complete orbit of our world;
2. The existence of station broadcast schedules influenced by the sun;
3. The presence of an ionosphere and perhaps a troposphere;
4. The size, rotation rate, and axis of rotation of the Earth;
5. A complete map of the stations;
6. The mass and distance to the moon;
7. The size of the radiating antennas; and
8. Various cultural inferences concerning our civilization.

Sullivan elaborates further:

The deductions that might be made from this wealth of information can only be conjectured, but certainly the extraterrestrial "humanists" and scientists would all have their favorite theories concerning (i) the purposes of these transmitters, as well as their physical structure; (ii) the nature of this planet’s relationship to the sun, as well as its geography, geology, and atmosphere; and (iii) the nature of this civilization’s biology, sociology, commerce, politics, economics, philosophy, technology, and science. We feel that far more could be deduced about our culture than one would at first think. For instance, political spheres of influence could be measured quite accurately by noting the frequencies and other technical conventions of stations. Furthermore, the varying broadcast schedules of stations (set by policies of national networks in most cases) would sharply delineate political boundaries, as distinct from spheres of influence. Further possible deductions are left to the imagination of the reader.³¹⁰

As technology advances and a civilization enters the Type II stage, the waste products of an aspiring society may become even more readily apparent. For instance:

• If we place in Earth-orbit a series of gigawatt-capacity solar power satellites (as many proponents of space industrialization have urged), the minor lobes of the spaceborne transmission antenna radiation will make humanity highly visible on the galactic scene.
• Incessant radio traffic between interplanetary or interstellar ships, or between such vessels and their home planets, will contribute to the "garbage." (A gradual increase in strength of such a signal, together with a spectral blueshift might be taken to indicate the approach of a high-velocity starship towards our solar system.^1381,49,3138)
• Powerful defensive radars probably would be detectable anywhere in the Galaxy using a Cyclops-type radiotelescope array.

Let us assume a mature Type II culture which has spread itself around the parent star in the traditional Dyson Sphere configuration.

• Viewed from interstellar distances, the optical characteristics of the sun itself may appear drastically altered.
• Independent of specific engineering details, the Second Law of Thermodynamics requires that a technically advanced society that exploits the entire energy output of its stellar primary must re-radiate every bit of that energy in some degraded form to maintain thermal equilibrium.
• If the shell lies at the radius of Earth and the central star is like Sol, the mean temperature of the Dyson Sphere will be 250-300 K.
• The waste energy will come off as heat, down in the infrared portion of the spectrum around 7-10 microns.
• This waste is not easily concealed from nosy interstellar neighbors.*

One writer has suggested that beings based on a hotter biochemistry than our own might construct Dyson Spheres with a higher waste-heat temperature.

• The infrared emissions could run as high as 2-5 microns, which "would look deceptively like red giant or supergiant stars."⁶⁷³
• Marvin Minsky at MIT offers a different viewpoint: In his opinion, radiative emissions at any temperature above the natural 3 K background is wasteful and a squandering of scarce energy resources.
• According to Minsky, "the higher the civilization, the lower the infrared radiation. We should look for extended sources of 4 K radiation. There should be very few natural such sources."²² (4 K corresponds to a wavelength of about 700 microns.)

Indeed, in recent times a number of large infrared objects with solar-system-sized dimensions and temperatures below 1000 K have been discovered by astronomers,^3109,3108 including object T in the constellation Taurus and object R in Monoceros.¹³⁴⁴ But regardless of our secret hopes, says Iosef Shklovskii, a noted Soviet astrophysicist, "we must assume all astronomical phenomena natural until proven otherwise."¹⁵ Shklovskii’s well-known "Principle of Naturalness," while questioned by some,³¹⁷⁷ is widely accepted by working xenologists.

As before, much information may be concealed in the effluents of Type II societies. Soviet xenologists have given much thought to the question of "civilization detectors" and remote cybernetic analysis of advanced extraterrestrial cultures. Kardashev has suggested a way to distinguish Dyson Spheres from dust clouds across interstellar distances — the two have distinctly differently shaped emission spectra.²² If the Type II society is viewed as a complex cybernetic system then, according to Soviet radioastronomer B.N. Panovkin, much information about how the civilization actually works may be derived from its electromagnetic effluents:

[If we consider] the radiation associated with life activity as an output of this system, on the basis of an analysis of radiation one can draw certain conclusions as to the functional structure of the system and its internal organization. For example, based on the properties of radiation it can be established that a system belongs to a wide class of objects in which feedback is present. From this class, after a more detailed analysis, a narrower sub class of systems can be discriminated in which homeostasis is manifested. From the class of homeostatic objects one can isolate a group of objects possessing even more complicated functional properties — for example, "systems logic," etc. Ultimately, in principle it is possible to isolate a class of objects which (regardless of their physical structure) can be recognized as equivalent, let us say, to our earth civilization in terms of their functional properties and their manifestations.²⁵

When at last we come to an analysis of the expected appearance of the "garbage" generated by the technological activities of a Type III galactic civilization, we leap ahead at least ten orders of magnitude in available energy and complexity. Such a society should be capable (see Chapter 19) of directly altering the physical characteristics of entire galaxies. According to Freeman Dyson, the acknowledged premier speculator on the topic of galactic technology, "tame" galaxies should appear far differently than "wild" ones still in the natural state. Such taming appears largely to be absent from the Milky Way. Says Dyson:

It seems to me clear that we could turn the galaxy upside down if we wanted to, within a million years; there’s nothing in the world of physics to stop us from doing that. There may be good reasons for not doing it, and there may be good reasons why other intelligent species are not doing it. … I have the feeling that if an expanding technology had ever really got loose in our galaxy, the effects of it would be glaringly obvious. Starlight, instead of wastefully shining all over the galaxy, would be carefully dammed and regulated. Stars, instead of moving at random, would be grouped and organized. We don’t see any traces of this when we look in the sky, which is peculiar. Nothing like a complete technological takeover has occurred in our galaxy. … To search for evidence of technological activity in the galaxy might be like searching for evidence of technological activity on Manhattan Island. If an Indian from 400 years ago were to come paddling into New York harbor, he might not understand what he sees, but he would at least notice there is something there.^1558,1450

Despite the apparently "wild" state of the Milky Way, astronomers have discovered a number of highly unusual and inexplicable phenomena in the heavens.³¹³⁵ Perhaps the best-known of these is the galaxy M87, also called Virgo A. M87 is a giant elliptical galaxy located about 50 million light-years from Earth.

• Photographs clearly show a string of bright knots — the "galactic jet" — extending outward from the nuclear regions.
• Like a giant searchlight beam, the jet stretches 5000 light-years in length and measures 500 light-years thick.
• Astronomers believe that this artifact has existed only for a few millions of years, and that its total energy is approximately 10⁵¹ joules.
• If we consult (Table 19.2) in Chapter 19.20 on high technology, we find that this is sufficient energy to engage in a galactic transport operation at a speed of 40,000 meter/second, or about 0.01%c.

Other celestial oddities are known.

• Stephan’s Quintet is a congregation of five separate galaxies in the constellation Serpens, each connected to the others by mysterious gaseous "bridges."
• Many Seyfert galaxies (characterized by intense radiation emissions from their core regions) exhibit highly unusual shapes, often including jet-like structures emanating from the nucleus.
• Object 3C273 and several other quasars also have elliptical jets or tails extruding from the main body. (The tails are visually dim, but emit 90% of the total radio energy.¹²¹⁴)
• There are spectacular "radio galaxies" such as Cygnus A in which 0.01% of the total galactic mass has been catastrophically converted into radio wave energy by means unknown.¹³³⁸
• But perhaps most startling of all are the famous Ring Galaxies,³¹⁶⁴ of which about 16 have been discovered to date.^3159,3110
• These monstrous halos of stars are known to be dynamically unstable stellar aggregations with astronomically ephemeral lifetimes of only 100 million years — which implies fairly recent assembly.
• Scientists already have devised a number of theories of formation,³¹¹¹ but xenologists continue to hope.

A few speculators have pinned their hopes on some of the recently discovered marvels of the astronomical zoo, in particular the pulsars. (See   ■ Kardashev,¹³²⁰    ■ McDonough,¹³⁸⁴     ■ Verschuur,¹³³⁷   and  ■ Spaceflight¹¹⁷³.)

• Pulsars are objects which emit regular pulses of radio energy at extremely regular intervals.**
• These intervals range from 1-30 seconds for different objects.
• Pulsars are so regular that a variety of putative intelligent functions have been assigned to them by some xenologically-inclined writers.
• These range from artificial extraterrestrial acquisition beacons (the so-called LGM or "Little Green Men" theory) to waste energy from the exhaust from pulsed x-ray lasers used in some advanced starship propulsion system.
• The orthodox explanation is that pulsars are fast-spinning neutron stars with asymmetrical surface "hot spots" or polar fusion of infalling gas that traces round and round like a revolving searchlight.³¹³⁹

While it is most probable that pulsars arise by natural causes, it is quite possible that advanced technical communities may still he exploiting them as navigational buoys or galactic chronometers. To make proper use of a spinning neutron star, a Type III civilization should have available the technology required physically to rotate the spin axis of the object. ETs will need to orient the pulsar’s flashes towards certain specific preferred directions — say, into the plane of interstellar trade routes — since natural pulsars may have random orientations.

• To shift the axis of a spinning neutron star of 1 solar mass and a period of 1 second through a full right-angle turn (90°) will require at least 3 × 10²⁹ joules.
• If reorientation is accomplished in a single century, 8 × 10¹⁹ watts of power must be expended continuously over that time.
• If the alien engineers are in a real hurry and choose to do it in only 10 years, then 8 × 10²¹ watts are needed.
• The energies required to meet either of these schedules is well within the means of a Type II civilization, and a Type III galactic society would have no trouble at all.

Another favorite cosmological object for xenological speculation is the quasar.^1557,1814

• This fascinating phenomenon has a bluish starlike visual appearance and is characterized by strong ultraviolet and (usually) radio emissions.
• A large spectral redshift seems to indicate that quasars are very very far away — perhaps at cosmological distances (billions of light-years) — and their lack of proper motion against the background field of stars tends to support this conclusion.

However, quasars also vary in brightness over time periods as brief as a single day.²⁶³⁸ If it is true that no material disturbance can travel faster than the speed of light, then the maximum size of the primary quasar energy source should be on the order of a light-day in diameter.

• Assuming this is correct, quasars would have to be considerably closer, perhaps even within our Ga1axy,¹⁴⁸² because it is difficult to visualize the generation of galactic energies in a solar-system-size volume of space.
• And if quasars were really close, their computed total energy would drop to approximately of an oversized globular cluster — perhaps interpretable as a consortium of advanced Type II civilizations.

Quasars exhibit rapid fluctuations in radio brightness, in optical brightness, in polarization of visible light emissions, and so forth.^1488,1486

• Parts of quasars appear to be flying apart at velocities greater than the speed of light,^1485,3166 although several explanations have been offered to avoid violations of Relativity theory.³¹⁶⁵
• Different spectral absorption lines often exhibit different redshifts.¹⁵⁵⁶
• A few quasars, such as the BL Lacertae objects, frequently display uncorrelated variations in the radio and visible spectrums (e.g., radio power increases while visible power decreases).³¹⁶⁰
• Still more surprising, "BL Lacs" and many other quasistellar objects emit radiation with the spectral characteristics of a nonthermal source (non-black-body), which implies "that the powerhouse inside must be generating radio power by a rather exotic mechanism.^3151,3295

While such unusual behavior certainly is not "clearly artificial," to the best of my knowledge no serious studies have yet been done in which quasar emission signatures are analyzed for information content and periodicities of the sort which might be expected of the transmissions or electromagnetic "garbage" of advanced alien civilizations. Quasars, most likely are not extraterrestrial acquisition beacons, but still it is useful always to bear in mind the First Law of Serendipity: To find anything, one must first be looking for something.

* It might be possible to hide by arranging all waste heat to be radiated in a tight nonisotropic beam, straight up out of the Galactic Plane so that only a very few stars could ever hope to have any knowledge of the existence of the civilization by means of eavesdropping.

** For example, pulsar CP1919 in Vulpecula has a period of exactly 1.33730109 seconds.¹³⁸⁴

Let us assume that, for whatever reasons, an extraterrestrial civilization decides to signal rather than travel. What is the best way to do this?

The current majority opinion among xenologists is aptly summarized by Dr. Bernard M. Oliver of the Hewlett-Packard Corporation. According to Dr. Oliver, in order to receive information-laden transmissions we must at the very least be able to detect the presence or absence of a signal.

• To reliably pick up a pulse packet, the average number of particles in each such pulse must be great enough significantly to exceed the natural background noise in the communication channel used.
• In other words, signal must rise above noise.

Borrowing Drake’s Principle of Economy, Oliver then suggests that ETs will choose that signaling channel which best conserves transmitter power and which costs the least energy per bit to send. There are five criteria which may determine the particles of choice for frugal alien communicants:

1. The energy per particle should be as low as possible.
2. The velocity of transmission should be as high as possible.
3. The particles should be easy to generate, launch, and detect.
4. The particles should not be deflected by fields in space.
5. Absorption by interstellar matter should be as low as possible.

In his analysis for the Project Cyclops team, Oliver continues:

Except for photons, uncharged particles are difficult to accelerate, direct, and detect. Charged particles are deflected by magnetic fields, are absorbed by matter in space, and, except at very high energies, do not penetrate atmospheres. The total energy of a photon at 1420 MHz {radio} is one ten-billionth the kinetic energy of an electron traveling at half the speed. Photons are as fast as any known particle, are affected very little by the interstellar medium at low frequencies, and are the least energetic. Almost certainly electromagnetic waves of some frequency are the best means of interstellar communication.^57,85

While many xenologists probably remain in basic agreement with this position,²² a few permit themselves the luxury of a nagging doubt. One of these persons is Carl Sagan, who, in an oft-quoted passage from his book The Cosmic Connection, suggests that:

We are like the inhabitants of an isolated valley in New Guinea who communicate with societies in neighboring valleys (quite different societies, I might add) by runner and by drum. When asked how a very advanced society will communicate, they might guess by an extremely rapid runner or by an improbably large drum. They might not guess a technology beyond their ken. And yet, all the while, a vast international cable and radio traffic passes over them, around them, and through them.…At this very moment the messages from another civilization may be wafting across space, driven by unimaginably advanced devices, there for us to detect them — if only we knew how.¹⁵

The answer may lie right under our noses. Until this century it was widely believed that no material object could travel faster than the speed of sound. Yet the crack of a whip, involving the supersonic snap of the tip of the lash, had been known (but not understood) for thousands of years. Sagan, asserting that messages from advanced civilizations may lie in quite familiar circumstances, puts forth a fanciful suggestion:

Consider, for example, seashells. Everyone knows the "sound of the sea" to be heard when putting a seashell to one’s ear. It is really the greatly amplified sound of our own blood rushing, we are told. But is this really true? Has this been studied? Has anyone attempted to decode the message being sounded by the sea shell? I do not intend this example as literally true, but rather as an allegory. Somewhere on Earth there may be the equivalent of the seashell communications channel. The message from the stars may be here already. But where?¹⁵

Philip Morrison once noted that the really logical mode of interstellar communication may be by "Q" waves "that we are going to discover ten years from now."⁷⁰² Others have proposed highly speculative modes of virtually instantaneous contact, including:

• Wormhole switchboards,²¹⁸¹
• L- or T-fields and Universal Mind,²⁵⁹⁷
• And psychic phenomena.
• Dr. Jack Sarfatti has attempted to invest ESP with scientific validity, using his theory of Superluminal Quantum Communication. (See Gardner,³¹⁴⁵ Sarfatti,^3147,3148 and Sarfatti, Wolfe, and Toben.³¹⁴⁶)

• The essence of this theory is that it may be possible to transmit the "quality" of energy rather than the energy itself — which Sarfatti describes as the "nondynamical transfer" of information.

Robert Forward articulates a similar notion:

Do we need communication media? Communication is the transfer of information by modulation of some form of mass-energy or space/time. But information has the dimensions of negative entropy. It is not energy by itself. It is carried on energy. It might be possible to transfer information without using any form of mass/energy to transmit it. This is of interest because Special Relativity only limits the velocity of mass/energy, not information. (Some theorists will argue with this.) But still, this leads to a speculation that we might someday have faster-than-light information transfer even though mass/energy cannot go faster than c.²⁰¹⁴

These and many other highly conjectural possibilities today remain only at the "idea" stage of technical development on this world.* Interestingly enough, however, there are at least four alternative signaling channels in which significant progress has been achieved in recent decades.

• The first two — high energy particle and neutrino communications — have, perhaps surprisingly, already reached the "practice" stage of engineering and development here on Earth.
• The other two techniques we shall discuss — gravity wave and tachyon communications — presently remain at the "theory" stage of technological development. They await verification and research before serious engineering efforts may begin.

* It will be recalled from (Chapter 17). that technical progress and the realization of new technology normally proceeds in four distinct stages: Idea, Theory, Practice, and Profit.

Based on the historical development of human communications technology, it is probably fair to say that electromagnetic radiation represents the most primitive technique for signaling across interstellar distances. Advanced cultures may possess particulate, neutrinic, gravitic or tachyonic communication channels, or they may have knowledge of only a few of these, but it is difficult to imagine any technical society in possession of any of such sophisticated technologies without at least having an awareness of photonic communication techniques.

• Electromagnetic waves are probably the easiest information markers physically to generate, and they are ubiquitous throughout the cosmos.
• Photons are most likely the most primitive communication technology available for interstellar discourse.

If this is true, which photons are the best to use? The electromagnetic communication band spans a useful frequency range of at least 16 orders of magnitude — gamma rays, x-rays, ultraviolet, visible light, infrared, radio and so forth. Unless we can identify a preferential region of the spectrum, our search for intelligent alien signals will be frustrated by the enormous number of possibilities.

The most logical place to begin is with the question of energy efficiency. Following Drake’s Principle of Economy, we should expect ETs to select those photons which transmit the greatest number of bits per second for the least cost in joules of transmission energy. Unfortunately, both bit rate and photon energy are proportional to frequency, so when the two are divided the frequency dependence drops out.

• Hence, the criterion of energy efficiency is incapable of distinguishing between photons of different frequencies.

If we look back at Oliver’s criteria (Section 24.2), we see that there are really only two of them which are useful in making a choice between photons: Noise and absorption.

• Signals transmitted over channels which are too noisy are not detected.
• Messages transmitted through a medium which absorbs them do not reach the receiver.

Figure 24.2 Integrated Flux Density of Background Radiation Likely to Obscure Interstellar Electromagnetic Communications3129 Full Size

Consider the graph in Figure 24.2. The vertical axis represents the total electromagnetic flux density in watts/meter², assuming a detector which is looking at approximately 8% of the entire celestial sphere (1 square radian of sky, or "steradian"). Noise from the most important sky sources are plotted over the various frequency ranges in which they occur. Coverage stops at 10⁷ Hz because electromagnetic waves with frequencies less than this are heavily absorbed by planetary ionospheres, and in any case, waves below 10⁶ Hz are absorbed by the interstellar medium.

What conclusions may we draw from the data?

• First, it appears that the noisiest part of the electromagnetic spectrum is the region from 10¹¹ Hz up to about 10¹⁶ Hz.
• Any signals sent by photons within this range must compete with starlight, the 3 K cosmic background, and a variety of other emissions and absorptions.
• Although interstellar communications seem least likely in this portion of the spectrum, a few xenologists have suggested making use of the laser’s ability to produce highly directional, extremely monochromatic beams.
• If the laser is tuned to emit in a stellar absorption band (a narrow frequency band where the sun is about an order of magnitude darker than normal), distant alien observers would observe an artificial spectral line winking on and off in a clearly intelligent pattern.¹⁰³⁹

A better choice is the part of the spectrum which lies above 10¹⁶ Hz. X-rays and gamma rays may be useful in interstellar communications because they are not absorbed by the interstellar medium. (See Elliot,³¹⁴⁴ Fabian,³¹³⁷ and Kuiper and Morris.²⁶⁰⁸) But attempting to search the entire range from 10¹⁶-10²³ Hz is hardly going to be easy.

• If we could check a 1 MHz band for ET signals every 10 seconds, the search time to cover the entire high frequency region would require a period of time on the order of the age of the universe.

Somehow the possibilities must be narrowed. One way to do this is to look at "magic frequencies" derived from universal physical constants or defined by well-known physical phenomena. The possibilities are endless.²⁶⁰⁸ For example:

The Compton Wavelength* of the electron is 2.420 × 10^-12 meter, corresponding to a frequency of 1.239 × 10²⁰ Hz.

• This falls almost exactly into a noise minimum between hard x-rays and gamma rays on the flux density curve in Figure 24.2 above.
• The Compton Wavelengths of the proton and neutron, respectively, are 1.32134 × 10^-15 meter and 1.31952 × 10^-15 meter, which define a "narrow" 10²⁰ Hz band between the frequencies 2.26885 × 10²³ Hz and 2.27198 × 10²³ Hz.
• This band conveniently lies in another local noise minimum on the flux density curve.
• Since it is defined by the two major particles from which all stable matter is constructed, this "baryon gap" may be the preferred region for interstellar communications using high-energy photons.

Yet another approach — one which fills in the third local noise minimum between soft and hard x-rays — is somewhat biochauvinistic. It assumes that ETs will transmit signals between favored spectral lines of atoms or ions that are biologically important to them. For instance:

• Silicon-based sentients may transmit between Si- Ka1 and Ka2 lines, located at 4.20736 × 10¹⁷ Hz and 4.20591 × 10¹⁷ Hz, defining sharply what might be called the "silicon hole" with a width of 1.45 × 10¹⁴ Hz in which signals might be detected.
• Similarly, we might define a "sulfur hole" between 5.58048 × 10¹⁷ Hz (Ka1 line) and 5.57758 × 10¹⁷ Hz (Ka2 line).
• A "chlorine hole" between 6.34108 × 10¹⁷ Hz (Ka1 line) and 6.33718 × 10¹⁷ Hz (Ka2 line) for chlorine-breathers.
• A "germanium hole" from 2.9464 × 10¹⁷ Hz to 2.9428 × 10¹⁷ Hz for germanium xenobionts; and so forth.

Figure 24.3 Free Space Microwave Window Full Size

It is clear, however, that on the basis of noise/absorption criteria alone the low frequency end of the spectrum (below 10¹¹ Hz) should be optimal for long-distance interstellar communications. The weight of xenological opinion today is that radio frequencies are the preferred mode of photonic information transmission between the stars.^57,22

But exactly which radio frequencies are best? The graph in Figure 24.3 represents an expanded view of the quietest portion of the electromagnetic spectrum. The vertical axis is no longer energy density. Rather, intensity is expressed as sky brightness (blackbody) temperature which is what radio-astronomers actually measure.

There are three fundamental sources of noise associated with all highly sensitive radio receivers.

• First there is "galactic noise," caused by synchrotron radiation arising from free electrons orbiting magnetic field lines in space. From the graph we see that this noise rises steeply below 1 GHz, depending very slightly upon the galactic latitude toward which we point our receiver.
• Second, there is "thermal noise," caused by the 3 K cosmic back ground, the relict radiation from the Big Bang.
• Third, there is "quantum noise" (spontaneous emission or shot noise), representing a fundamental quantum mechanical limitation on receiver sensitivity.

Above 1 GHz galactic noise falls below the isotropic cosmic background, and beyond about 60 GHz quantum noise exceeds the cosmic background and increases indefinitely with frequency. (It is the dominant form of noise at optical wavelengths.)

Thus from any point in interstellar space the sky is likely to be quietest from about 1-60 GHz. This is the microwave window out in free space.

Figure 24.4 Terrestrial Microwave Window Full Size

Now look at the graph in Figure 24.4 on the Terrestrial Microwave Window. Atmospheric absorption must be added for receivers located on a planetary surface under a sea of air.

• If signals from the stars arrive at frequencies above 10 GHz, they will be strongly absorbed by water vapor molecules, oxygen molecules, and many other molecules not shown.
• These substances are likely to be present in the air of any terrestrial world that resembles Earth even remotely.
• We see that the Terrestrial Microwave Window is closed virtually for all radio frequencies save those few between 1-10 GHz.
• The great majority of xenologists agree that this is the range where alien electromagnetic signals most profitably may be sought.

There is considerably less consensus on exactly where to search within the Window. Philip Morrison and Guiseppi Cocconi first suggested that the search should be made at or near the natural emission peak of neutral interstellar hydrogen gas (the most abundant element in the universe). According to these early pioneers in SETI, the preferred frequency was 1.42 GHz:

On the most favored radio region there lies a unique, objective standard frequency which must be known to every observer in the universe: the outstanding radio emission line at 1420 Mc/sec of neutral hydrogen.¹⁰³³

As the hydrogen line itself is rather noisy, a few scientists responded that searches ought to be made at integral multiples of 1.42 GHz.¹⁰⁵⁴

Since 1959, the science of radioastronomy has made tremendous advances. It is now known that there are many other elements and molecules with emission lines within the Window.

• The hydroxyl (OH) radical has emission lines at 1.612, 1.665, 1.667, and 1.720 GHz.
• Spectral lines of molecular species are also quite popular in the speculative literature.
• For instance, some have proposed listening in at 4.83 GHz — the natural formaldehyde emission line — because it is comparatively less noisy than many other natural lines.³¹²²

In the early 1970s, interest turned to what is commonly called the "water hole." Much as with the x-ray bands described above, the water hole is the band of radio wave frequencies lying between the H and OH emission lines.

• Readers familiar with chemistry will recognize that H plus OH equals water, the basic solvent for all life as we know it on Earth.

Dr. Bernard Oliver, who originated this idea in connection with his work on Project Cyclops (see below) in 1971, explains the rationale for the water hole in a particularly poetic fashion:

Nature has provided us with a rather narrow band in this best part of the spectrum that seems especially marked for interstellar contact. It lies between the spectral lines of hydrogen and the hydroxyl radical. Standing like the Om and the Um on either side of a gate, these two emissions of the disassociation products of water beckon all water-based life to search for its kind at the age old meeting place for all species: the water hole. Water-based life is almost certainly the most common form and well may be the only (naturally occurring) form. … Romantic? Certainly. But is not romance itself a quality peculiar to intelligence? Should we not expect advanced beings elsewhere to show such perceptions? By the dead reckoning of physics we have narrowed all the decades of the electromagnetic spectrum down to a single octave where conditions are best for interstellar contact. There, right in the. middle, stand two signposts that taken together symbolize the medium in which all life we know began. Is it sensible not to heed such signposts? To say, in effect: I do not trust your message, it is too good to be true!^3289,57

During the mid- and late-1970s there has been an outpouring of new ideas and proposals for preferred frequencies in SETI, so the water hole concept today has a great deal of competition. Drake and Sagan suggest using an "average value" of the H and OH natural emission lines, obtaining a kind of "molecular center of mass" frequency of 1.65 GHz as the favored interstellar channel.³¹²⁸ A related proposal is that in space, where the Free Space Microwave Window allows greater leeway, we should search the water line itself at 22 GHz²⁸⁶⁵ (or perhaps the ammonia line at 24 GHz, if we are looking for ammonia-based beings¹⁵).

We could adopt the "magic" frequency of 56 GHz, the point at which the blackbody 3 K background "thermal noise" curve intersects the "quantum noise" curve.²² Argue Drake and Sagan: "The 56 GHz channel has the provocative property of being determined simultaneously by quantum mechanics and cosmology."³¹²⁸

• Using another combination of basic physical constants, Kuiper and Morris have derived a "magic" frequency of 2.56 GHz.²⁶⁰⁸
• Then there is the intriguing suggestion of Soviet SETI researcher P.V. Makoveskii of the Leningrad Institute of Aviation Instrument Manufacture, that the most probable frequencies for interstellar radio traffic will be the natural hydrogen line frequency alternatively multiplied and divided by such constants as p, 2p, and SQRT(2).³²⁶¹
• This identifies several "uniquely artificial" frequencies, including 0.23, 0.45, 1.0, 2.0, 4.5, and 9.0 GHz.

However reasonable they may seem, each of the above proposals rests on a plausibility argument whose conclusions perhaps are suggested but certainly are not compelled by the basic facts and assumptions of xenology. A few scientists have attempted to predict the optimum interstellar signaling frequency based solely upon fundamental physical laws and conditions expected to apply to all communicative civilizations in the Galaxy.

Using his Principle of Economy, Dr. Frank Drake points out that the best radio frequency is the one in which transmission power is minimized — that is, where noise is lowest.

• This is customarily described in terms of the "brightness temperature" of the sky — the temperature a black body would have to have in order to duplicate in brightness the observed radio radiation coming from a given spot in the sky.
• Following Drake, we write the noise temperature as a function of celestial right ascension a and declination d
  (the astronomers’ way of specifying sky position) as T(a,d).
• This temperature is not constant for all radio waves, but varies as a function of frequency n.
• Typically the variation follows a "power law" — frequency raised to some variable exponent g — of the form n^-g.
• Since g is also a function of sky position, we shall write it as g(a,d). Both T(a,d) and g(a,d) can and have been measured very precisely by terrestrial radioastronomers for every point in the sky.

Finally, Drake derives the following equation for n₀ the frequency of maximum economy (of maximum communication range):

Where k is Boltzmann’s constant and h is Planck’s constant.³¹²³

What does all this mean in plain English? Simply this:

• For each position in the astronomers’ sky there exists a unique frequency of minimum noise and maximum economy.
• Whatever direction you point your radiotelescope, range will be greatest if the radio frequency determined by the above equation is used.
• Best of all, the numbers that must be plugged into Drake’s formula are already known, so n₀ theoretically may be computed today for any star system in the heavens with whom we may wish to enter into communication.
• Drake calculates that the range of frequencies of maximum economy span the Terrestrial Microwave Window from 3.75 GHz out to about 10 GHz.

* The Compton Wavelength is the change in wavelength corresponding to a loss of energy suffered by a photon whenever it collides with matter.

There are many different kinds of possible alien transmissions we might receive — local radio traffic, beamed messages to regular correspondents, beacon signals designed to attract attention, and so on. We are most likely to pick up beacons first because these should be comparatively more powerful. But xenologists disagree on the exact nature of the beacon signals we may detect.³¹⁷⁹ Artificiality criteria have not yet been worked out in full detail, but certainly not for want of trying.

A variety of radioastronomical criteria have been proposed over the years which turn out to be insufficient:

• (See Kaplan,²⁹ Konstantinov and Pekelis,²⁵ and Tovmasyan.²⁸)

According to Vsevolod S. Troitskii, a well-known Russian radioastronomer, there do seem to be two basic requirements for all beacon signals that xenologists can agree upon:

1. The signal should not leave any doubt as to its artificial origin. The artificial signal should be distinctly different in its properties from natural radiations.
2. The signal should carry some information about the transmitting civilization.³¹²⁴

The second of these criteria — information content — is highly significant. So far as we know, only the processes of life, intelligence and culture are able to impress large quantities of information onto packets of photons. Perhaps we should try to decide if there is some minimum information content than a given transmission must possess before we may regard it as artificial. As Philip Morrison points out:

A little more information content is needed than just the existence of a {stellar spectral} line of something rather rare or a very regular pulse, because if you look for a sufficiently long time, you are bound to find rare things just in the course of events. This is a very valuable lesson. Although rare things occur rarely, it is also true that rare things occur rarely.³¹²⁷

Soviet astrophysicist Nikolai S. Kardashev believes that a signal should contain at least 10-100 bits of information before we may feel confident that it is artificial in origin.³¹²⁶ Terry Winograd’s artificial intelligence computer program consists of about 10⁶ bits, but Marvin Minsky estimates that a message with as few as 10⁴-10⁵ bits, properly situated, could be considered "intelligent."²²

Hopefully the information will not be too difficult to extract. According to E.C. Shannon’s statistical theory of coding, the most efficient signals will appear indistinguishable from random thermal noise.^3186,3187 That is, a maximally information-saturated message looks like noise — unless the recipient happens to know the correct translation code. Xenologists suspect that ETs may not attempt to achieve maximum information content in interstellar beacon devices. Signals that look like noise don’t attract much attention. If such highly efficient beacon transmissions are used, they probably will be accompanied by special attention-getting messages. These are often referred to as "call signals," and may be expected to satisfy Troitskii’s first criterion listed above.*

* Timing of the call is also of paramount importance — we must know when to look as well as where and how.
 The interested reader is referred to the timing schemes offered by:

Once a genuine extraterrestrial signal of some kind has been detected, the acquisition phase ends and the communicative phase may begin. The recipient must then be able to puzzle out the meaning of the alien messages he receives.

If the signals are being transmitted purposefully, then it is likely that the ETs at the other end will have done their level best to ensure easy decipherability of their messages by the intended recipients. Coding should be relatively simple and considerably redundant, full of clues enabling SETI scientists to achieve a full translation with high validity. Since this is exactly the opposite goal to that of the science of cryptography (secret codes), xenologists often refer to it as the Principle of Anticryptography.

According to the Principle, a beacon message transmitted from another world, prima impressionis, should be optimized for easy decoding by intelligent recipients.

The Principle of Anticryptography suggests the basic format of messages we may expect to receive from the stars. Consider a sequential transmission consisting of a string of symbols of some kind.

• If the message is very lengthy, and later parts are of greater complexity in reliance upon our understanding of earlier parts, then if we tune in near the middle or the end we probably won’t be able to understand anything at all.
• On the other hand, if the message is kept very brief and repetitive then, in the words of one radio-astronomer, it "bores us to tears for decades while we try to acknowledge."⁸⁰
• In keeping with the Principle, we might expect to find "nested messages," involving a frequently repeated call signal interspersed with short but complete "language lessons."²² Every so often a self-contained package of basic information would be substituted for the language lesson.
• On yet rarer occasions, the basic information package would be replaced with a more advanced information package, and so on to higher and higher levels of sophistication.
• Such a message format is highly redundant, repetitive, error-proof, informative, and so may be tapped into at any point in the transmission without loss of meaning.

What about message contents? Will we understand what ETs are trying to say to us? A few xenologists have proposed that the "universal language" of mathematics will provide the bridge of understanding between man and alien. (See Hogben,¹¹¹² Oakley,³²⁹ Pryor,⁹⁹ and Sagan and Drake.³¹⁴³) According to one scientist, it is difficult to imagine the existence of communicative beings unfamiliar with numbers and counting. Thus the earliest messages may consist of a series of irreducible prime numbers, say, 1, 3, 5, 7, 11, 13, 17, . . . , or the value of pi out to the first twenty digits or so.

Assuming for the moment the validity of this approach, can we do better than mere counting? Dr. Hans Freudenthal, professor of mathematics at the University of Utrecht in the Netherlands, has designed a purely mathematical language which conceivably could be used in interstellar discourse between alien races. Freudenthal originally devised his system of "lingua cosmica" — Lincos for short — as an exercise in logical linguistics, but he admits it easily might serve as the contact and communicative mode among ETs.³²⁹⁰

Lincos consists of a variety of mathematical terms and phrases, to be encoded into specific combinations of radio pulses and signal shapes and then beamed out into space. It is devised purely in terms of semantics and human logic, and accomplishes understanding by building from simple beginnings. Statements are arranged in words, sentences, and paragraphs.

Freudenthal’s program begins by establishing the meaning of the terms "plus" and "equals." He would, for instance, send signals something like "beep bloop beep tweet beep beep" (1 + 1 = 2), perhaps followed by "beep bloop beep beep tweet beep beep beep" (1 + 2 = 3) and so on. Eventually it should become clear that "bloop" represents addition and "tweet" signifies equality.

• In the first chapter of his book on Lincos, Freudenthal goes on similarly to introduce the concepts of subtraction, multiplication, division, basic symbolic logic ("and," "or," and "follows"), negatives, integers, decimals, fractions, and zero.
• In the second chapter the concept of time makes its appearance, including "seconds," duration, wavelength, frequency, "before," "after," and "occurs."
• In chapter 3, Freudenthal develops concepts of correct and incorrect, right and wrong, good and bad; to count, to search, to find, to describe, to prove, to change, to add or omit; to know, guess, understand, and mention; nearly and approximately, much and little, soon and long ago, age and now; necessary and possible, enable, be forced, allowed, forbidden; politely; conflict between necessity, duty, and desire; and so forth.

For example, Freudenthal’s language lesson to teach the concepts "correct" and "incorrect" to ETs runs as follows:

As vocabulary slowly builds, ever more sophisticated statements become possible.

• In chapter 4 of Freudenthal’s book, mechanics and spatial extent are dealt with, including concepts of distance, position, length, growth, volume, motion, waves and oscillations, speed of light, mass, and astronomical concepts.
• Later chapters delve into geography, anatomy and physiology including the human reproductive process.
• By staging "plays" between symbolic human "actors," Lincos ultimately should be capable of portraying diverse facets of human behavior, emotions, social conventions, philosophies and religious rituals.

Unfortunately, there are many problems with the "universal mathematical language" approach.

• As we know, no system of logic is or can be universal. Gödel’s Theorem suggests that alien systems of mathematics, logic and philosophy necessarily must be at least somewhat incongruent.
• ETs may not understand our system of numbers, our Euclidean geometry, our Aristotelian bimodal logic, our astronomically-derived Newtonian physics, or our sequential Periodic Table of the Elements, simply because they view the universe through different sensors and thus reach different conclusions based on different theories.
• So aliens may not understand human-designed artificial languages like Lincos.

Still, the possibility of totally nonintersecting systems of knowledge is probably remote in most first contact situations. It is unlikely that man and alien will have absolutely nothing in common. In most cases, ETs evolving on Earth-like worlds should have much in common with us by virtue of the similarity of our native environments. To the extent the two paradigms do intersect, a basis for communication may be established from which the areas of nonintersection later can be cautiously explored. The most likely region of intersection in this case probably is in the hard sciences — physics, chemistry, geology, meteorology, and so on.

Figure 24.5 Sample Interstellar Pictogram Pictogram a Pictograms b and c Pictogram c Pictogram a   Suppose above string of 250 pulses ("1") and 1021 pauses ("0") is received by a terrestrial radiotelescope during a scan of the Epsilon Eridani star system. There are a total of 1271 data bits. 1271 is the product of two prime numbers, 31 and 41. This suggests a two-dimensional message, in which the data are laid out sequentially in a rectangular grid pattern of rows and columns. Pictograms b and c   There are two possible ways of doing this – 41 rows or 31 rows. As we see at left, the choice of 41 rows produces an evidently random arrangement of dots. But if the same data are set out in a grid with 31 rows, as shown at right, the pattern is striking and informative.1056 Pictogram c   What does the message say? It appears that the creatures depicted in the lower center part of the pictogram, presumably the species that sent the message, are beings having two arms, two legs, and an erect posture much like humans. Sexual cues suggest a mammalian physiology, with long-maturing offspring born one at a time and cared for during youth by pairs of bisexual parents. The crude circle and column of dots at the left suggest their sun and planets, and the being on the left is pointing at the fourth world which is evidently their home. The planets are numbered down the left-hand side in a ‘binary code" different from the one normally used by human computer scientists. The numbers one through eight are given in this new code. The creature on the right is pointing at the "binary number 1011, which is six in the alien code. Perhaps the ETs have 6 fingers on each hand. There is also a dimension line at far right, labeled with the "binary" number 11101. In the alien code, this is eleven, so we infer that the beings are eleven somethings tall. Since the only length we both know for certain is the wavelength of the radio waves upon which the message was transmitted (say, 10 centimeters, corresponding to 3 GHz), then the ETs must be 10 × 11 = 110 cm in height. (They are a race of pygmies.) The objects at the top of the pictogram represent atoms of hydrogen, carbon and oxygen, so their life chemistry is based on carbohydrates much like our own. The wavy line commencing at the third planet indicates it is a water world, and the fish-like form shows there is marine life there. Since the bipeds know this, they must have at least interplanetary space travel capability.

Other approaches to the problem of extraterrestrial message anticryptography have been proposed. Perhaps the most popular of these is the interstellar pictogram, anticipated by H.W. and C. Wells Nieman back in 1920.¹⁷⁰ The basic idea is that a string of radio pulses, coded as on/off, black/white, or 0/1 could he arranged in a rectangular raster pattern to form a two-dimensional pictorial image much like modern television systems (Figure 24.5).

Imagine you receive a string of 1271 zeros and ones on an appropriate interstellar frequency band. How might this be translated?

• The mathematically-inclined reader will recognize that 1271 is the product of two prime numbers, 31 and 41.
• This suggests that the data should be laid out sequentially on a gridwork either of 41 rows and 31 columns or 31 rows and 41 columns.
• As illustrated in Figure 24.5, the former of these makes little sense whereas the latter appears highly informative.¹⁰⁵⁶

Variations may be imagined. For instance:

• We could use perfect squares rather than "rectangular primes." If the message has 1681 bits, which is 41 × 41 exactly, then there is only one way to lay the message out and the two-choice ambiguity is avoided.
• We might also receive a three-prime message, say with 2717 bits, which, when correctly arranged, permits the reconstruction of a spatial mode complete with height, width, and depth.
• If one of the three primes represents a time dimension, we will have the equivalent of an extra terrestrial Mickey Mouse cartoon. (The time-prime should be clearly distinguished from the spatial-primes for this purpose.
• The author suggests a message of 5819 bits, consisting of 11 sequential frames of 23 × 23 bits each.)
• Yet another twist, first proposed by Y.I. Kuznetzov of the Institute of Energetics in Moscow, is the possibility of transmitting a 3-D interstellar pictogram using variations in frequency, intensity, and pulse delay to build up each of the three physical dimensions of the image of a solid object.²²
• The pictogram mode of contact has appeared repeatedly in science fiction.^70,1748

A number of chauvinisms associated with all pictogram schemes may render them significantly less universally interpretable.

• First, the idea of laying data out in a grid-shaped raster seems logical enough to human scientists. Our TV sets work in essentially the same way.
• But aliens may have different ideas and technologies. Perhaps they use spiral scanning (either the Archimedean or logarithmic variety).
• At least one ancient human language was written in this format, and spiral tracing once was seriously proposed for use in Earthly television systems.¹³⁵¹
• Aliens with spiral scanning video tubes may send messages of 1429 bits (an indivisible prime) to be laid out sequentially in a spiral pattern. Would we ever guess?

Another chauvinism is cultural in nature. According to Jan B. Deregowski, lecturer in psychology at the University of Aberdeen:

A picture is a pattern of lines and shaded areas on a flat surface that depicts some aspect of the real world. The ability to recognize objects in pictures is so common in most cultures that it is often taken for granted that such recognition is universal in man. Although most children do not learn to read until they are about 6 years old, they are able to recognize objects in pictures long before that; indeed, it has been shown that a 19-month-old child is capable of such recognition. If pictorial recognition is universal, do pictures offer us a lingua franca for intercultural communication? There is evidence that they do not: Cross-cultural studies have shown that there are persistent differences in the way pictorial information is interpreted by people of various cultures.⁶⁶

Certain tribes in Africa, for example, are unable to recognize photographs as representations of the real world. They just don’t see things the way we do. And these are our fellow human beings. How much more difficult may be the problems of interpretation where ETs are involved?

A third and very serious chauvinism is the tacit assumption that all sentient alien creatures must necessarily be visually oriented.

• Consider a pelagic world inhabited by intelligent technological dolphins: These creatures have devised a special telescope which converts radio waves into acoustical signals which they can hear.
• One day their equipment is aimed at Earth and they receive the standard 31 × 41 pictogram, which they promptly arrange into an appropriate rectangular format of sonic pulses.
• But since the pictogram was assembled from the viewpoint of visual beings, the sentient dolphins cannot make head nor tail of our message.
• Reality just doesn’t sound that way to them.

Figure 24.10 Messages from Interstellar Probes: The Pioneer 10 Plaque

Table 24.4 Complete Texts of the Voyager 1 and Voyager 2 Phonograph Records

Pioneer 10 & Voyagers Figure 24.10 Table 24.4 Figure 24.10 Messages from Interstellar Probes: The Pioneer 10 Plaque At right is a drawing of the engraved gold-anodized aluminum plate which is now hurtling out into inter stellar space at about 0.0043%c, in the general direction of Aldebaran in the constellation Taurus. (Click to view at full size) The message begins at the top with a schematic representation of the "hyperfine transition" of neutral atomic hydrogen: In going from a state in which the spin of the electron and proton are aligned, to a state in which they are opposed, radio waves at 1.42 GHz are emitted. Since hydrogen is the most abundant element in the universe, and the "hyperfine transition" the most common change of state for hydrogen, it is expected that alien radioastronomers will early detect this radiation and thus understand the significance of the symbols engraved on the plaque. Since a frequency of 1.42 GHz is a wavelength of 21 centimeters, this is adopted as the unit of length by the binary digit designation "1" under the line connecting the hydrogen atom symbol. At the extreme right are depictions of human beings. Next to them are tote marks indicating the binary number eight. Eight times 21 centimeters is 1.68 meters, the average human height. The outline of the Pioneer craft behind them confirms this estimate. Where does the Pioneer craft come from, and when was it launched Curious ETs can answer these questions by carefully examining the plaque. At left of center is some object centered among 15 other objects. Each is labeled with a very long string of binary digits; the only thing that can be known to this accuracy is the period of a pulsar. Since pulsars slow down at known rates, scientists estimate that even 106-108 years after launch, the launch date of Pioneer can be pinpointed by ETs to the nearest century or millennium. The solid line to each pulsar represents its relative distance from Pioneer’s launch point. Using computer analysis, our solar system may be located to within 60 light-years from anywhere in our Galaxy. Our position is specified to 1 of 1000 possible Stars. As a final aid in locating Sol, the Solar System is sketched along the bottom of the plaque. The path of the Pioneer spacecraft is also shown, emanating from the third planet, then whipping past the fifth and on out into inter stellar space. The distance of each world from the sun is given in binary digits. Finally, the radio dish points back at the third planet as it makes its exit from the system. Clearly, the intelligent beings are there. Table 24.4 Complete Texts of the Voyager 1 and Voyager 2 Phonograph Records Contents Pictures Carter's message Waldheim's message Greetings Sounds Music Contents of the Voyager Record*   Pictures (in electronic form). President Carter's message (in electronic form). U.N. Secretary General Waldheim's message (spoken). Greetings in 60 languages. Sounds at Earth. Music * NASA Press Release 77-159, Aug. 1, 1977. Pictures (in electronic form) 1-25 26-50 51-75 76-100 101-116 Images 1-25   1. Calibration circle, Jon Lomberg. 2. Solar location map, Dr. Frank Drake. 3. Mathematical definitions, Dr. Frank Drake. 4. Physical unit definitions, Dr. Frank Drake. 5. Solar system parameters, Dr. Frank Drake. 6. Solar system parameters, Dr. Frank Drake. 7. The Sun. Hale Observatories. 8. Solar spectrum. H. Ecklemann. 9. Mercury, NASA. 10. Mars, NASA. 11. Jupiter, NASA. 12. Earth. NASA. 13. Egypt. Red Sea, Sinai Peninsula and the Nile, NASA. 14. Chemical definitions, Dr. Frank Drake. 15. DNA Structure, Jon Lomberg. 16. DNA Structure magnified. Jon Lomberg. 17. Cells and cell division, Turtox/Cambosco. 18. Anatomy 1: Field Enterprises Educational Corp. and Row, Peterson Co. 19. Anatomy 2: Do. 20. Anatomy 3: Do. 21. Anatomy 4: Do. 22. Anatomy 5: Do. 23. Anatomy 6: Do. 24. Anatomy 7: Do. 25. Anatomy 8: Do. Images 26-50   26. Human sex organs. Life: Cells, Organisms, Populations. 27. Diagram of conception, Jon Lomberg. 28. Conception. Lennart Nilsson. 29. Fertilized ovum, Lennart Nilsson. 30. Fetus diagram, Jon Lomberg. 31. Fetus, Dr. Frank Allan. 32. Diagram of male and female, Jon Lomberg. 33. Birth, Wayne Miller. 34. Nursing mother, UN. 35. Father and daughter (Malasla), David Harvey. 36. Group of children, Ruby Mera. 37. Diagram of family ages. Jon Lomberg. 38. Family portrait. Nina Leen, Time, Inc. 39. Diagram of continental drift. Jon Lomberg. 39. Structure of Earth, Jon Lomberg. 41. Heron Island (Great Barrier Reef of Australia), Dr Jay M. Pasachoff. 42. Snake River and Grand Tetons, Ansel Adams. 43. Seashore, Dick Smith. 44. Sand dunes, George Mobley. 45. Monument valley. 46. Forest scene with mushrooms, Bruce Dale. 47. Leaf, Arthur Herrick. 48. Fallen leaves, Jodi Cobb. 49. Snowflake over Sequoia, Josef Muench, R. Sisson. 50. Tree with daffodils, Gardens of Winterthur. Images 51-75   51. Flying insect with flowers, Borne On The Wind. 52. Diagram of vertebrate evolution, Jon Lomberg. 53. Seashell (Xaneidae). 54. Dolphins, Thomas Nebbia. 55. School of fish, David Doubilet. 56. Tree toad, Dave Wickstrom. 57. Crocodile, Peter Beard. 58. Eagle. Donona. 59. Waterhole, South African Tourist Corporation 60. Jane Goodall and chimps, Vanne Morris-Goodall. 61. Sketch of bushmen. Jon Lomberg. 62. Bushmen hunters, R. Farbman. 63. Man from Guatemala, UN. 64. Dancer from Bali, Donna Grossenor. 65. Andean girls. Joseph Scherschel. 66. Thailand craftsman, Dean Conger. 67. Elephant. Peter Kunstadter. 68. Old man with beard and glasses (Turkey). Jonathon Blair. 69. Old man with dog and flowers, Bruce Bnumann. 70. Mountain climber. Gnston Rebuffat. 71. Cathy Rigby. Philip Leonian. 72. Sprinters (Valeri Borzov of the U.S.S.R., in lead), The History of the Olympics. 73. Schoolroom, UN. 74. Children with globe. 75. Cotton harvest, Howell Walker. Images 76-100   76. Grape picker. David Moore. 77. Supermarket, H. Eckelmann. 78. Underwater scene with diver and fish, Jerry Greenberg. 79. Fishing boat with nets, UN. 80. Cooking fish. Cooking of Spain and Portugal. 81. Chinese dinner party, Michael Rougier. 82. Demonstration of licking, eating and drinking, H. Eckelmann. 83. Great Wall of China. H. Edward Kim. 84. House construction (African), UN. 85. Construction scene (Amish country), William Albert Allard. 86. House (Africa), UN. 87. House (New England). Robert Sisson. 88. Modern house (Cloudcroft, New Mexico) . Dr. Frank Drake. 89. House interior with artist and fire. Jim Amos. 90. Taj Mahal, David Carroll. 91. English city (Oxford), C. S. Lewis, Images of His World. 92. Boston, Ted Spiegel 93 UN Building Day. UN. 94. UN Building Night. UN. 95. Sydney Opera House, Mike Long. 96. Artisan with drill. Frank Hewlett. 97. Factory interior. Fred Ward. 98. Museum. David Cupp. 99. X-ray of hand. H. Eckelmann. 100. Woman with microscope. UN. Images 101-116   101. Street scene. Asia (Pakistan), UN. 102. Rush hour traffic, India. UN. 103. Modern highway (Ithaca), H. Eckelmann. 104. Golden Gate Bridge. Ansel Adams. 105. Train. Gordon Gahan. 106. Airplane in flight, Dr. Frank Drake. 107. Airport (Toronto), George Hunter. 108. Antarctic Expedition. Great Adventures with the National Geographic. 109. Radio telescope (Westerbork, Netherlands), James Blair. 110. Radio telescope (Arecibo), H. Eckelmann. 111. Page of book (Newton, System of the World). 112. Astronaut in space. NASA. 113. Titan Centaur Launch, NASA. 114. Sunset with birds, David Harvey. 115. Spring Quartet (Quartetto Italiano), Phillips Recordings. 116. Violin with music score (Cavotina). Copy of President's Message Placed on Voyager Record (in electronic form)   This Voyager spacecraft was constructed by the United States of America. We are a community of 240 million human beings among the more than 4 billion who inhabit the planet Earth. We human beings are still divided into nation states, but these states are rapidly becoming a single global civilization. We cast this message into the cosmos. It is likely to survive a billion years unto our future, when our civilization is profoundly altered and the surface of the Earth may be vastly changed. Of the 200 billion stars in five Milky Way galaxy, some — perhaps many — may have inhabited planets and spacefaring civilizations. If one such civilization intercepts Voyager and can understand these recorded contents, here is our message: "This is a present from a small distant world, a token of our sounds, our science, our images, our music, our thoughts and our feelings. We are attempting to survive our time so we may live into yours. We hope someday, having solved the problems we face, to join a community of galactic civilizations. This record represents our hope and our determination, and our good will in a vast and awesome universe." Jimmy Carter, President of the United States of America The White House, June 16, 1977. U.N. Secretary General Waldheim's message (spoken)   As the Secretary General of the United Nations, an organization of 147 member states who represent almost all of the human inhabitants of the planet Earth, I send greetings on behalf of the people of our planet. We step out of our solar system into the universe seeking only peace and friendship, to teach if we are called upon, to be taught if we are fortunate. We know full well that our Planet and all its inhabitants are but a small part of the immense universe that surrounds us and it is with humility and hope that we take this step. Kurt Waldheim Greetings in 60 languages   Sumerian Akkadian Hittite Hebrew Aramaic English Portuguese Cantonese Russian Thai Arabic Roumanian French Burmese Spanish Indonesian Kechua Dutch German Bengali Urdu Hindi Vietnamese Sinhalese Greek Latin Japanese Punjabi Turkish Welsh Italian Nguni Sotho Wu Korean Armenian Polish Netali Mandarin Gujorati Ila (Zambia) Nyanja Swedish Ukranian Persian Serbian Luganada Amoy (Min dialect) Maratbi Kannada Telugu Oriya Hungarian Czech Rajasthani Sounds OF Earth on Voyager (In Order of Sequence)   Whales Planets (Music)     Volcanoes Mud Pots Rain Surf Crickets, Frogs Birds Hyena Elephant Chimpanzee Wild Dog Footsteps and Heartbeats     Laughter Fire Tools Dogs, domestic Herding sheep Blacksmith shop Sawing Tractor Riveter Morse Code Ships Horse and Cart Horse and Carriage Train Whistle Tractor Truck Auto gears Jet Lift-off Saturn 5 Rocket Kiss Baby Life signs — EEG, EKG Pulsar Music on Voyager Phonograph Record (In Sequential Order)   1. Bach Brandenburg Concerto Number Two, First Movement. Karl Richter conducting the Munich Bach Orchestra. 2. "Kinds of Flowers" Javanese Court Gamelan, recorded in Java by Robert Brown, Nonesuch Explorer Record. 3. Senegalese Percussion, recorded by Charles Duvelle. 4. Pygmy girls initiation song, recorded by Colon Turnbull (Zaire). 5. Australian Horn and Totem song. Recorded in Australia by Sandra LeBurn Holmes. Barnumbirr-Morning Star Record. 6. "El Cascabel" Lorenzo Barcelata. The Mariachi Mexico. 7. "Johnny B. Goode", Chuck Berry. 8. New Guinea Men's House, recorded by Robert MacLennan. 9, "Depicting the Cranes in Their Nest" recorded by Coro Yamaguchi (Shakubachi). 10. Bach Partita Number Three for violin. Gavotte et Rondeaus, Arthur Gruminux, violin. 11. Mozart Magic Flute, Queen of the Night (Aria Number 14) Edda Moser. soprano. 12. Chakrulo. Georgian (USSR) folk chorus. 13. Peruvian Pan Pipes performed by Jose Maria Arguedas. 14. Melancholy Blues performed by Louis Armstrong, Columbia Records. 15. Azerbaijan Two Flutes. Recorded by Radio Moscow. 16. Stravinsky. Rite of Spring. Conclusion. Igor Stravinsky conducting the Columbia Symphony Orchestra. 17. Bach Prelude and Fugue, Number One in C Major from the Well Tempered Clavier, Book Two. Glenn Gould, piano. 18. Beethoven's Fifth Symphony, First Movement. Otto Klem Klemperer conducting, Angel Recording. 19. Bulgarian Shepherdess Song. "Izlel Delyo hajdutin." sung by Valya Balkanska. 20, Navajo Indian Night Chant. Recorded by Williard Rhodes. 21. The Fairie Round from Pavans, Galliards, Almalus. Recorded by David Munrow. 22. Melanesian Pan Pipes. From the collection of the Solomon Islands Broadcasting Service. 23. Peruvian Women's Wedding Song. Recorded in Peru by John Cohen. 24. "Flowing Streams" -- Chinese Ch'in uu music. Performed by Kuan P'ing-Hu. 25. "Jaat Kahan Ho"-- Indian Raga. Performed by Surshri Nt-tan Bai Kerkar. 26. "Dark Was the Night" performed by i Blind Willie Johnson. 27. Beethoven String Quartet Number 13 "Cavatina", performed by Budapest String Quartet.

Surprisingly enough, the Arecibo radio pictogram was not mankind’s first intentional space message for ETs. Pioneer 10, a spacecraft, was first.

Pioneer 10 was launched toward Jupiter on 3 March 1972, loaded with scientific equipment designed to measure the radiation environment surrounding the giant planet.

• Traveling at 11,000 meter/second, the interplanetary probe encountered Jupiter on 4 December 1973 and swung around its massive bulk at close range.
• Assisted by a kind of "slingshot effect," the spacecraft rapidly accelerated up to 23,000 meter/second.
• In 1976 it reached the orbit of Saturn, and three years later the orbit of Uranus, where its radio signals finally became too weak for detection from Earth.
• In 1983 Pioneer 10 will cross the orbit of Pluto and head out into deep space at an interstellar cruising speed of 0.0043%c (13,000 meter/second).³¹³⁶
• It will become the first manmade object to leave the solar system, our first interstellar spacecraft.*

Attached to the exterior of the vehicle is a 6" × 9" gold-anodized aluminum plate engraved as shown in Figure 24.10. The message announces our existence to the cosmos. Any alien species which picks it up and deciphers its meaning can tell who built it, when and where it was built, how tall we are, our basic physiology, and our approximate technology at the time of launch.¹⁶⁸

A vastly more sophisticated message was affixed to each of the follow-up missions to the jovian worlds in the late 1970s, called Voyagers 1 and 2.³¹³¹ Instead of a simple plaque, a phonograph record was the chosen medium. The Voyager phonograph record contents are too lengthy to reproduce here but are listed in Table 24.4.**

• The record is a 12" copper disk to be played at 16 2/3 revolutions/minute using a ceramic cartridge and stylus enclosed for the purpose.
• Instructions for playback are written in pictorial sign language on the outside of the aluminum can holding the record.

Remarks Carl Sagan optimistically:

If they’re able to tool around in interstellar space picking up stray, derelict spacecraft,
they ought to be able to figure out our instructions.***

* According to computer projections, Pioneer 10 is creeping out into a relatively empty region of space. Estimates indicate that it should pass fairly close to the star Aldebaran (aTauri), which is 68 light-years from Earth, in the year 1,601,983 A.D.

** [Editor's note - for a more thorough presentation of the Voyager Golden Record, see Voyager Golden Record]

*** Computer projections by Michael B. Helton at JPL show that the Voyagers, like the Pioneers before them, will not closely encounter any alien solar systems.

• Voyager 1 will pass Pluto’s orbit late in 1987 and head out toward the constellation Ophiuchus (Declination 10.1º, Right Ascension 17h, 20m).
• Voyager 2, assuming it goes to Uranus but not Neptune, will exit the solar system in mid-1989 on the way to Capricornus (Declination -14.9°, Right Ascension 21h, 1m).
• In about 40,000 years both craft should coast to within 1.7 light-years (Voyager 1) or 1.1 light-years (Voyager 2) of AC+79 3888, a fourth magnitude star.
• Voyager 2 should pass a similar distance from another star (AC -24 2833-183) 100,000 years later in Sagittarius
• And about 375,000 years after that, Voyager 1 will pass within 1.5 light-years of AM +21 652 in the constellation of Taurus.³²⁰⁷

While penurious planetary Type I societies may only be able to afford radio wave communications, we have already pointed out that technically sophisticated civilizations (whose technologies realize theoretical maxima in matter-energy systems) should view signals and probes as energetically indistinguishable alternatives for interstellar communication. Both may be used by advanced Type II or Type III cultures, for a variety of different purposes and functions. But energy efficiency cannot be used to distinguish the two choices when maximum technology is available. We must look elsewhere for distinguishability criteria.

The author believes that probes are probably the method of choice for technically advanced civilizations. In support of this position, he would like to offer several criteria which he believes argue persuasively for the inherent superiority of starprobes in interstellar communication.

First, there is the issue of communications feedback.

• A probe which discovers a garrulous inhabited world may engage in true conversation with the indigenes, an interchange and interweaving of cultures.
• Interactive exchanges may take fractions of a second between questions and answers.
• On-site starprobes, perhaps in orbit around the host’s sun or planet, can carry on real-time educational and linguistic functions with a precision no remote signaling system can match.
• As an added benefit, such intelligent devices would provide a noise-free channel of communication on any frequency of the contactee's own choosing.
• By comparison, the traditional beacon scenario appears little more than a sterile data swap requiring millennia for each cycle rather than milliseconds.
• With photonic transmissions, different sentient species cannot really converse.

Second, there is the question of acquisition efficiency.

• A beacon may radiate useful energy and information out into space for centuries, millennia, or even longer without getting any response. This energy, since it was detected by no receiver, essentially was wasted and constitutes pure economic loss for the sending society.
• Such a scheme necessarily assumes an inordinate (and possibly selectively disadvantageous) degree of generalized altruism on the part of the transmitting culture.
• Starprobes, on the other hand, become independent agents as soon as they are launched. There is no further need for energy expenditure by the transmitting society.
• Sophisticated messenger probes will be self-repairing, self-programming, and capable of refueling or recharging at every port of call.
• They can wait patiently in orbit for hundreds or even millions of years, waiting for the emergence of a communicative culture on suitable planets in the system.
• Alternatively, they may hop from star to star until they find communicative lifeforms, and then enter into an exchange at no further cost to the original transmitting society.
• A subsidiary but nonetheless important benefit of starprobes is that they may function as "cosmic safety deposit boxes" for the cultural heritage of the contacting civilization. If the transmitting society is destroyed or the culture perishes for whatever reasons, the starprobes they sent to other worlds can still tell their story to any willing ears for perhaps geological time periods thereafter.

Third, there is the overwhelming advantage of military security for the transmitting race.

• Interstellar beacons are an invitation to disaster at the hands of unknown predatory alien civilizations. In any situation involving contact via signals, the transmitting society has given away the position of its home star system at great risk for mere speculative benefits.
• This terrible breach of military security may be remedied by using starprobes instead of signals. If local intelligent activity is detected by a probe in orbit around a target star, the machine may open contact with the indigenous technical species without ever having to disclose the whereabouts of its creators.
• If it is necessary for the starprobe to report what it has learned to the transmitting society from time to time, this easily may be accomplished in a manner which is virtually impossible to trace or to decode (e.g., by relaying trapdoor-function-encoded data through a series of widely dispersed and complexly organized repeater stations).
• In other words, starprobes can safeguard security in an exchange between alien societies.*

For these and many other reasons (see Chapter 17), more and more xenologists are beginning to view the interstellar messenger probe as the preferred mode of communication among extraterrestrial civilizations.
(See ■ Benford,³²⁷⁰   ■ Betinus,³¹⁵⁶   ■ Bracewell,^1041,1040,80   ■ Clarke,³²³⁰   ■ Forward,⁷¹⁸   ■ MacGowan and Ordway,⁶⁰⁰  and   ■ Niven.²³¹)

* To guarantee the physical security of both races (host and visitor), perhaps each should send a probe to some common neutral meeting place far from the home star of either civilization.

• The two starcraft could then rapidly interrogate each other, interactively exchange information, and then move off and report back the results to their respective creators without risk.
• For the contact, a meeting site should be chosen that is known and accessible to both parties but which itself harbors no life (or only insignificant lower forms that pose no threat).
• Examples might include nearby O or B stars, local pulsars or black holes, white dwarfs, giant or supergiant suns, or very young solar systems located between the two potentially communicative alien civilizations.

Figure 24.11 Synopsis of an Interstellar Probe Mission718 Launch to mid-point Deploying the lander mesh Search and probe Mission to α Centauri   Earth to α Centauri In 1998, an interstellar spacecraft, which has been drifting in space in the region beyond the Moon, launches itself toward the triple star system α Centauri. It thrusts at high acceleration, its engines running at a power level that is ten times the power of a Saturn V rocket. The exhaust of hot hydrogen plasma glows like a bright star, visible both night and day. After four months the probe has left the Solar System, and has reached ⅓ the velocity of light. It begins its long drift through interstellar space using its bulky first stage shell as a radiation barrier to protect it from the constant rain of high energy particles produced by its high speed through the interstellar hydrogen. Deploying the lander mesh   Laser pulses from interstellar probe scanning Proxima Centauri One After drifting quiescently for 12 years (it has now covered four light years), it sheds its first stage, turns around, and begins deceleration. As the probe velocity drops well below relativistic speeds and it approaches its target, the spacecraft opens up from a compact mass into a 100-meter-diameter sphere. The sphere is a dense wire mesh embedded with arrays of tiny sensors and transmitters, close coupled to complex digital molecular circuitry, all held together and interconnected with high strength, one-dimensional superconductive fibers. The array of sensors spaced over the hundred meter sphere collect the light and radiation from the three stars in the α Centauri system and correct the rocket thrust to zero in on Proxima Centauri. Searches for a planet As it approaches the small red star, the probe searches for a planet. It is there, along with three others further out. The other three are cold, and probably lifeless, but they will be visited before the probe leaves Proxima to investigate the other two stars in the α Centauri system. With its thruster at low power, the probe approaches the planet — Proxima Centauri One — constantly beaming pictures and sensor data back to Earth using a phased array of solid state lasers scattered densely over its mesh surface. Earth will not see the pictures of the new planet for 4.3 years, long after the probe has completed its survey and moved on to the other planets and stars in the α Centauri system. Search, probe, record, report   Collecting information With no feedback possible from Earth, the computer circuits distributed through the sphere analyze for themselves the information its sensors collect as it approaches. The probe swings into a near polar orbit of the new planet and begins a survey. Wideband sensors sensitive to the entire electromagnetic spectrum produce imagery in the radio, microwave, infrared, visible, and ultraviolet bands. The one hundred meter size of the detector array gives the picture a resolution of less than 1 meter even from the 1000 km orbital altitude. Picosecond pulses of laser light beam down as a laser radar to measure the height variations of the topography. Certain regions that might have life are interrogated with selected laser wavelengths, and their return light analyzed to look for absorption or fluorescent bands characteristic of organic compounds. Lander mesh A few regions that have the most potential for life are selected. Small portions of the sensor mesh on the sphere detach from the main probe mesh and are driven down into the atmosphere with radiation pressure from the lasers on the probe. The small mesh sections drift down to the surface, collecting and storing images as they descend. The mesh settles on the surface where specialized chemically sensitive molecular circuits react to the various forms of chemical compounds found there. Data relay back to Earth The orbiting probe interrogates the lander mesh with a laser beam, collects the images and chemical data it has stored, combines it with the other information that it has collected, and sends a detailed report back to Earth. The probe then moves on to the next planet in the system, more slowly now, for it is no longer as lavishly supplied with fuel as it was at the start of its mission. It will not stop until it has made a complete survey of every planet in the three star system. This will take a long time, but the probe has a lot of time. It will be at least 30 years before man will arrive to take over.

Assume that an advanced alien technical civilization institutes a major starprobe program and dispatches computerized messenger vehicles to spy out neighboring solar systems. One plausible "standard entry procedure" (Figure 24.11) might run as follows:

1: Preliminary acquisition – 0.5 light-year away, traveling at 10%c, the starprobe makes its first high-resolution scan of the target and makes slight course adjustments to increase accuracy. Braking engines are activated.

2: Messenger searches for the star’s Zodiacal Light, stray sunlight scattered from the dust and debris surrounding the star. All planets lie in this thin blanket of dust, so the probe corrects its course so as to enter the plane of the solar system. Speed has fallen to l%c or less.

3: Approach on cometary orbit until solar irradiance sensors indicate that the midpoint of the local habitable zone (for the desired biochemistry) has been reached — say, just above the melting point of water. Drop into a circular, circum solar orbit.

4: Seek out and examine any planets in or near the ecosphere, and examine each for spectroscopic evidence of, say, water and oxygen in the atmosphere. Select the first planet having both in appropriate concentrations and move into orbit around it.

5: If the body is accompanied by a large natural satellite (such as Luna in the case of Earth), perturbations will seriously disrupt a simple global orbit. To negate the disturbing influence of the moon, settle into a relatively stable Trojan Point orbit. (For Earth, two of these points lie in the lunar orbital path both 60° ahead and behind.)

6: Activate search sensors to infeed data to look for any signs of intelligent life or technological activity. Collate and compile the information.

7: Record positional star map, including accurate fix on home world. Transmit to home world a preliminary report of sensor findings, including astronomical, biological and technical data gained by scanning and eavesdropping on the target planet.

8: Begin routine signaling or other activity to announce presence and to attract attention. If no intelligence is in evidence, enter dormant mode with specified wake/sleep schedule for periodic resampling of planetary environment and basic self-maintenance functions.

What sorts of things might the visiting probe look for to determine if intelligence exists on the planet?

• To be visible from space, the intelligence must manifest itself in artifacts. Direct photographic reconnaissance from the distance of lunar orbit could be very difficult.
• To resolve the artifacts of human civilization unambiguously would require a visible-light telescope with an effective diameter of many tens of meters.
• A neutrino detector to pick up evidence of fission of fusion power generation on the surface of the planet probably would be too massive.
• Atmospheric heat flow and composition analysis should be highly suggestive (e.g., fluorocarbon aerosols in the stratosphere probably cannot be generated naturally in an oxygenic carbon-aqueous biosphere), but may still be too ambiguous.

The two most critical parameters of technological civilizations — energy usage and information flow rate — frequently will be directly measurable from space.

• At night, the waste energy escaping the metropolitan regions of Earth can be measured from orbit, so the starprobe should be able to assemble a fair estimation of global power consumption.
• As for information flux, the silent alien craft could detect countless powerful radio stations whose emissions seem to wax and wane with the daylight.
• Assuming the ET spy is smart enough, it should be able to listen in on our transmissions, learn our languages and customs, and tap into our cultural and technological heritage.
• Before it makes overt contact, it will probably know a great deal about us.

What is the best way to attract attention and to initiate first contact with a planetbound Type I civilization such as our own?

• The orbiting starprobe could turn on a bright light or explode a bomb, but this would be inefficient, ambiguous, and might not even be seen at all by the intelligent planetary inhabitants.
• Contact lander craft or robot encounter vehicles could be soft-landed on the surface, but this is a rather tall order for a modest-sized automated starcraft.

Ronald Bracewell, a Stanford University radioastronomer and an early advocate of interstellar messenger probes, has suggested that once intelligent radio emissions have been detected by the starprobe the selection of frequency and message is relatively easy:

What frequency will it use? In the case of a messenger probe, this is a nonproblem, since the probe can rest assured that on any frequency where a transmitter can be detected there will also be, somewhere, a receiver! The probe can choose any frequency which is already plainly in use. This automatically guarantees that someone is listening, because no one transmits if nobody is listening. … It is true that at least one receiver will be tuned in, and perhaps a large audience, but will they pay attention to an unwanted, interfering signal? If the probe gives out something that you don’t want, you will go away. So a simple procedure would be for the probe to amplify and transmit the same TV program or military communication it was receiving. Its signals would then have the appearance, to us, of echoes exhibiting delays of seconds to minutes depending upon its distance from Earth. For instance, if we were listening to the radio, each word would be heard twice, first by direct transmission from the station and then again a little later via the probe.^85,80

Figure 24.12 Bracewell Probes: First Contact Scenario80 First Contact Scenario The Message Language Barrier The Limit Mission Accomplished Galactic Club Time Scale of Dialogue Bracewell Probes: First Contact Scenario   The detailed contact plan of the "Bracewell probe," outlined in Figure 24.12, is one eminent xenologist’s view of the most likely way it may happen. Says Bracewell: I believe we are on the eve of plugging into the galaxy-wide communication network.1040 The Message   It will be televised In my opinion, the message will be in television. Television is like sign language; although you and I may not speak the language, we can exchange through signs or pictures. Geometrical shapes furnish a means whereby we learn each other's language. The words in the dictionary that can defined by drawings probably run into the thousands and those that can be defined by animated drawings are many more. Not only nouns, but many adjectives, adverbs, and verbs can be depicted through television. Other words are harder, but if one had a dictionary and already knew a few thousand basic words, one could interpret some of the more difficult ones. To speculate a bit Until we set up a common language, television also permits us to ascertain quickly the answers to questions of basic importance, such as where the probe came from. The probe, too, would like us to know this without delay. To speculate a bit: I will assume that television is what we are going to see and that the first picture will be of a constellation of stars familiar to us, followed by a zooming in on the home star. At one time I thought the picture of the constellation would have one star winking on and off like an electric sign, but anyone who can make an animated movie to do that can just as readily simulate a zoom lens. The zoom lens technique is a very quick way for a foreign probe to tell us which star it came from without knowing our name for the star, or our coordinate systems, or anything about our language. You might also want to know how we are going to get our TV screen synchronized to its system of transmission. If the probe keeps running its program until we get the number of lines per frame and so on worked out and arrange a set to display it, then we can report our readiness by repeating the program back. Alternatively, since it has been listening in on our TV transmissions, it might oblige us by adopting one of the numerous standards in use on Earth. Fantastic travelogue Now that we know the home star, the probe will zoom in further until the star grows into a visible disc, perhaps with starspots. From their motion we will know the axis of rotation. The planetary system will then be displayed, and at last we will zoom in on Superon, the home planet. Clearly a fantastic travelogue lies ahead, and it is well within the capacity of a modest probe to execute the simple steps required to display this information. Programmers on Superon After this brief preview there is some rather serious business to attend to, namely: the messenger probe must convey to us the schedule of listening that is being observed on Superon and the frequency being used this rather tier urgent. Afterward the probe is dispensable, but until the schedule and frequency are conveyed the probe's mission is incomplete. I believe this job can be accomplished with pictures, but I surmise the programmers on Superon will surprise us by the brevity and clarity of their particular method of conveying this vital information. Language Barrier?   Learn our language The nature of our direct transmission to Superon is a matter of taste. Obviously we can send zoom movies to match those the probe will have shown us, but much more interchange can take place with the probe while our direct transmission is being readied. I believe the probe can learn our language in printed form quite readily, working with an animated pictorial dictionary that we furnish for its computer memory. At first, its expressions might be quaint, but there is no reason why its compositions should not be televised back to it in corrected form. To be sure of getting a point across, the probe can do what we do — say it again in different words and if we don't understand, we can question. Beautiful mathematics Knowledge of our language will enable the probe to tell us many fascinating things: The physics and chemistry of the next 100 years. Wonders of astrophysics yet unknown to man. Beautiful mathematics. After a while it may supply us with astounding breakthroughs in biology and medicine. How it will end But first we will have to tell it a lot more about our biological makeup. Perhaps it will write poetry or discuss philosophy. Perhaps the messenger knows how the universe started, whether it will end, and what will happen then. Maybe the probe knows what it all means, but I wonder … I think that is why Superon wants to consult us! The Limit   The probe to advise In time, the probe's store of knowledge will be used up, as it is only a modest probe. Presumably the computing part need only be the size of a human head, which is, we know, large enough to store an immense amount of information. Meanwhile our transmission to Superon will have commenced. One might ask whether it would be better to use our language or Superese, which we could learn from the probe. Now while I think the probe could learn a functional form of our language, I don't think it would be practical to teach it to the people of Superon. The continual checks and confirmations, corrections and repetitions that are possible between ourselves and the probe resemble face-to-face encounters between humans meeting on language frontiers and would be ruled out by the round-trip delay to Superon and back. It is true that we could transmit our pictorial dictionary followed by text, and hope for the best: if the probe met an untimely demise that would be the only course. However, by the time the probe is well advanced in its mastery of our language, it will possess an on-board translation program that converts our language to Superese. Therefore we can copy its program and either transmit it to Superon or translate into Superese locally before transmission. Perhaps the probe would advise us as to our degree of success. Mission Accomplished   Spheres of exploration expanding around intelligent communities in the galaxy, Superon, our nearest superior neighbor, has just contacted the earth. Some time ago, is found technical life at A, which is now making its own sphere of exploration. From what has preceded we can see that the messenger probe scheme for contact: Overcomes dependence on terrestrial socioeconomic and political stability over centuries. Circumvents the problem of determining the proper frequency. And is well adapted to its primary mission of detecting our existence and announcing the location of Superon. Reports home If the probe accomplishes no more than this, it has achieved the initial detection that seems so fraught with difficulty if attempted by direct radio. In fact it does better by reporting to a home base which is ready and waiting to receive the report! The Galactic Club   Spectacular news Meanwhile, back on Superon, much time has elapsed since the messenger probe set out, so receipt of the probe's report is dependent on the very kind of political and economic stability that Superon should avoid relying on. But this is a relatively mild dependence for several reasons. First, the schedule and frequency of transmission as well as the report's direction of arrival are known, in fact, have been known well in advance. Second, the receiving equipment exists. Third, no financial outlay of great magnitude is required. And, fourth, the report will be interesting because of the new data it contains about another planetary system even if it does not carry the spectacular news that Superon is ultimately seeking. Chain of communication As a protection against assorted mishaps, such as failure of report to reach Superon, the probe can announce to us the location of the other chain of communication. For there will likely be a galactic club whose members are experienced at finding developing communities such as ours and inducting them into the galactic community. Each will have responsibility in its own sphere of influence and will engage in an ongoing program of launching messenger probes, at an annual rate appropriate to local priorities, in an endeavor to comb their unexplored frontiers for new technical life. An idea of scale may be obtained by referring to the drawing on the previous page, where four superior communities — A, B, C, and Superon — are shown. The shaded circles, ranging in radius from 10 to 25 light-years represent the volumes of space around those communities that have been rather closely inspected by well-equipped expeditions; the larger circles show the limit now reached by the messenger probe program. 100 light-year range Superon has reached the 100 light-year range, finding the Earth. Some time ago it located technical life at A, which was inducted into the chain, is now a superior community, and is participating in the messenger probe program as indicated by the circle showing the progress of A's own exploration. Two other members of the chain are B, which is relatively old and has explored more space, and C, which was inducted by B long ago. Superon is in contact with C, not as a result of probe exploration but because Superon became independently aware of the existence of C when news of its discovery was relayed via links in the chain not shown in the diagram because they are not in the plane of the paper. Meeting of automatons Had this not been so, an interesting situation could have arisen in the lens-shaped region of overlap between Superon and C, where each could have had messenger probes in the field. (It is a whimsical thought to contemplate two automatons, both far from home in the reaches of space, exchanging notes about their builders, though I admit it is not a very likely encounter.) Unexplored localities Many localities remain unexplored in the vast crevices between the expanding spheres. For example by the time Superon expands its probed sphere from the 100-light-year radius to the 125-light-year radius indicated by the dashed line, it will have doubled the number of stars visited. Therefore even this apparently modest expansion will require much time. Of course, the exploration is helped as new communities such as A take over part of the work. The Time Scale of Interstellar Dialogue   A long-term project If the messenger probe plan is so good, why do scientific publications to extraterrestrial contact refer mainly to radio? I think the answer is that if a superior community averages one launching per year, 1,000 years will pass before enough probes have been launched to cover the likely stars within 100 light-years. When the first technical life is discovered, decades will elapse before the probe's report filters back. In addition, we have to consider the travel time of the probe to the star's environs. Depending upon the size of engine the probe uses, the travel time could be kept down to centuries or even decades. But a community that is prepared to wait it out for 1,000 years does not need to hurry. Perhaps 10,000 years travel time would be reasonable; it depends on a trade-off involving reliability in transit, cost per unit, number of launches per annum that can be afforded within the budget allocation, and the maximization of the probability of success. This is indeed a long-term project! (By the way, note that interruption of the launch program does not affect the chances of success of probes already launched; the plan is tolerant of diversion of resources to urgent priorities.) Contact between civilizations Of course, the human lifespan being what it is, we are reluctant to contemplate programs that stretch over many centuries; we have to realize that interstellar contact is not contact between individuals, but a contact between civilizations. This is a slightly depressing thought for action-oriented people. The arrival of a probe would be exciting. Nonetheless, the individual who directs the launching, be it a probe or a radio signal has to face the reality that it will not be he who receives the answer.

In other words, the best frequency for a starprobe to use to attract attention is one which is already in use, since this guarantees a listening audience. The best message to send is a duplicate of whatever was transmitted, since this guarantees an interested audience.* The detailed contact plan of the "Bracewell probe," outlined in Figure 24.12, is one eminent xenologist’s view of the most likely way it may happen. Says Bracewell: "I believe we are on the eve of plugging into the galaxy-wide communication network."¹⁰⁴⁰

Near indeed — is it possible that we have already detected a Bracewell probe? Duncan Lunan, former President of ASTRA (Assn. in Scotland for Technology and Research in Astronautics), once advocated that, just possibly, we have.

The story begins in 1927, during research then in progress on round-the-world radio echoes. (These echoes are propagated by reflections between the charged layers of the ionosphere and the Earth itself, and take about 1/7 second to circle the planet and return.)

• Taylor and Young in the United States reported hearing echoes they couldn’t explain, signals with delays of only hundredths of a second and coming from a point 2900-10,000 kilometers overhead.
• Today we surmise these came from the Van Allen radiation belt, discovered in 1958 by the Explorer I satellite, but in 1927 the effect was a real mystery.

Later that year Carl Størmer, a Norwegian mathematician, chanced to meet a telegraphist by the name of Jorgen Hals, who told him that the 10,000-kilometer delay was no so astounding since he, Hals, had heard echoes of three full seconds which he believed were coming from the moon.

• Størmer, fascinated by this, conducted his own experiments on the phenomenon with the assistance of Balthus van der Pol, a telecommunications specialist at Philips Radio, Eindhoven. In November and December of 1928, Størmer and van der Pol published two letters to the editor in the prestigious British science weekly Nature.^211,210
• In these letters they described their work which confirmed Hals’ claims. The first sequence reported by van der Pol, and confirmed by Størmer, consisted of pulse delays at the following intervals: 8, 11, 15, 8, 13, 3, 8, 8, 8, 12, 15, 13, 8, and 8 seconds.
• This was one of the first reports on the so-called Long Delayed Echoes (LDEs), and many more such sequences were later recorded by Størmer and van der Pol, and others.²⁸⁶⁹

Following the suggestion by Bracewell that LDEs are remarkably similar to the general kind of message we might expect to receive from an alien starprobe, Duncan Lunan³¹³² puzzled over the meaning of the delay times. He decided to start with the assumption that LDEs were signals from an extraterrestrial spacecraft, an evidentiary technique which once worked for Heinrich Schliemann in the discovery of the ancient city of Troy.

• The delay times, Lunan noted, were not the sequence of prime numbers that many had expected would accompany the first alien call signal.
• Yet if they were artificial they must have some meaning.

Figure 24.13 Space Probe from Epsilon Boötes?3132

First van der Pal sequence, evening of 11 October 1928 (tentatively identified as an incomplete map of Boötes). This diagram can be interpreted as demanding an intelligent reply. By moving the 5th pulse (delayed 3 seconds). To a position where it is delayed by 13 seconds (marked ×), the constellation Boötes is completed. This is the required answer and if transmitted back, the probe should transmit further information. Note the 8-second "barrier" dividing the diagram into 2 parts. The position of a Boötis — "Arcturus" — can be interpreted as tentatively identifying the map as compiled 13,000 years ago. A tentative conclusion is that the probe arrived here from Epsilon Boötis 13,000 years ago.

Lunan decided to make a graph plotting delay time against sequence number. The result, to his surprise and delight, was the pictogram reproduced in Figure 24.13.

• According to Lunan’s original interpretation, the drawing represents a picture of the brightest stars in the constellation Boötes.
• The positions of the stars are shifted as they might have appeared 13,000 years ago (due to proper motion across the sky), so this may be when the probe first arrived in our system and compiled the original sky map.
• One star, Epsilon Boötis, is displaced to the left of the vertical line a distance equidistant from its true position on the right.
• To Lunan, the message seemed clear: The home star of the alien craft was Epsilon Boötis.
• Finally, since LDEs were known to follow the path of Luna’s orbit,¹¹²⁴ the starprobe presumably was located in Earth orbit at one of the two Trojan Points.

Lunan’s interpretation of LDEs was immediately questioned by the scientific community.^172,1125

• Occam’s Razor demands that the simplest explanation of phenomena should prevail, and experiments by the American researcher F.W. Crawford and his colleagues³¹³³ and others¹⁰⁸⁹ have led to the conclusion that LDEs probably are the result of shock wave propagation and amplification in the F-layer of the Earth’s ionosphere.
• Also, LDEs appear to occur seasonally, whereas an interstellar messenger would be expected to transmit on a continuous basis. A.T. Lawton and his coworkers in Great Britain have even beamed call signals at the trailing lunar Trojan Point in an attempt to elicit some response from the hypothetical starprobe, but no intelligent return signals were ever detected.

What is the latest word on Lunan’s theory? Lunan himself apparently abandoned his early hypothesis when it was discovered that the Epsilon Boötis double star system has suns much more massive than Sol, and thus probably too short-lived for life to have evolved. Lunan’s new hypothesis is that the starprobe’s point of origin was Tau Ceti. This has received support from others:

[Lunan] has since claimed that Epsilon Boötis would be a prime navigational reference for a starflight from Tau Ceti to the Sun; as seen from Tau Ceti, our Sun would lie in Boötis. In 1975 a Russian astronomer, A.V. Shpilevski, published an alternative interpretation of the 11 October 1928 LDEs in the Polish magazine Urania. By plotting the same dot series in a different way he found a star map of the constellation Cetus, with the star Tau Ceti indicated as the star of origin. If the star map has any reality, it shows us that the probe came from the nearby star Tau Ceti, from which no radio noise has ever been detected.³²⁵⁷

Of course, the probe could simply broadcast high-powered radio interference on the appropriate frequencies. However, instant replays of local broadcasts would appear more friendly than indiscriminate jamming, and would also indicate that the starprobe was prepared to interact and communicate with the indigenous civilization.

Bracewell probes are just one kind of nonhuman artifact we may discover in our own solar system.³¹⁵² Foster,¹¹³⁶ Macvey,²⁷²⁴ and others have described a number of alternative possibilities:

• Space Laboratories — may be crewed by biological lifeforms, cyborgs, automata, robots, or other mechanical devices.³²⁷⁹
  • • May also exist as wrecks, hulks, or otherwise in derelict condition
• Repeater Stations — automatic and designed to operate for long periods of time unattended.
  • • Capable of receiving, sifting, organizing, and retransmitting signals across interstellar distances.
    • May be part of a galactic communications network, relaying messages using radio waves, x-rays, neutrinos, tachyons, or whatever.³⁴¹⁸
• Telemetry Stations — designed to observe, detect, and record changing local environmental characteristics, and perhaps to transmit these data, together with its own operational status, periodically to some agent or agency located outside the solar system.
  • • Interactive functions are not ruled out, but basic mission is observation.³²⁹³
• Marker Buoys — transmits navigational beams which future starships from the same visiting alien civilization can use to home in on Sol.
  • • Another function may be to tag fuel dumps, valuable local mineral deposits, databank storage facilities, unusual objects of special or potential interest, or caches of essential equipment left behind by a former expedition.
• Monuments and Edifices — serving to record or to symbolically identify past expeditions to a site; grave markers for deceased, unborn, or hibernating alien astronauts; nonfunctional obelisks or plaques.³²⁵⁶ Might also serve as informational or data repositories such as:
  • • A Saunders Databank.²⁶¹¹
    • Edie’s organic message carriers in meteorites or comets.^150,154
    • Or something like the "Extraterrestrial Message Block" on display at the National Air and Space Museum in Washington, D.C.³¹⁵⁷
• Tools and Implements — all sorts of equipment ranging from lost screwdrivers and wrenches (or the alien equivalent) to cast-off electronic components.
  • • Sophisticated recording or sensing instruments.
    • Abandoned computers.
    • Unserviceable nuclear reactors.
• Refuse or Debris — blocks or shards of metal, ceramic, or plastic scrap and other waste materials clearly of extraterrestrial manufacture or origin.
  • • Undecomposed biological wastes or debris.
    • Deposits of industrial tailings.
    • Sites of chemical or radioactive contamination.
    • Alien corpses in spacesuits.³²⁹⁴
• Environmental Evidence — unnatural rearrangement of surface terrain; fused rock; inexplicable radioactive "hot spots".
  • • Severe paleomagnetic or geomagnetic anomalies.
    • Destruction of planetary bodies (our Asteroid Belt?).
    • Planetary orbital anomalies (our Pluto?).
    • Unusual geological or planetological phenomena (Saturn’s rings?).
• Another suggestion is that our DNA code may itself be an alien message left behind on a lifeless Earth eons ago by visiting ETs.
  • • Its ability to survive and to reproduce seems a perfect solution to the problem of durability over geological timescales.^3178,2611

Are there any preferred locations in the Solar System when alien artifacts are most likely to be found? Many writers have suggested that there are four distinct places where physical evidence of the past presence of ETs may be found:

1. Objects in transient hyperbolic orbits around the Sun. (Single pass through our Solar System, very difficult to detect)
2. Objects in permanent orbit around Sol. (Orbit may be highly eccentric, or perfectly circular. Difficult to detect, but we have lots of time to look.)
3. Objects in orbit around planets, moons, or asteroids.
4. Objects located on or below the surfaces of planets, moons, or asteroids.

It would seem that (3) and (4) would offer the best prospects for easy detection.
We have already mentioned (3) in connection with Bracewell probes.

• These devices might be parked in a stable synchronous orbit or in the Trojan Points if there’s a large natural satellite nearby.
• Unusual moons such as Iapetus or Titan of Saturn, Triton of Neptune, and Charon of Pluto similarly may be tagged with orbiting artifacts.

Table 24.5 Total "Stabilized" Surface Area Available in Solar System for Long-Term Deposition of Alien Artifacts(modified from Foster1136)

What about possibility (4), surface artifacts?

• The majority of planetary surfaces in our Solar System are unsuitable for the long-term preservation of objects soft-landed from space.
• Only a very small proportion of the total surface area of our System has any degree of permanence at all, and the forces of erosion which occur on any world with an appreciable atmosphere (or winds) or widespread geological plate tectonic (or volcanic) activity suffice to rule out many major planetary bodies.
• We must therefore exclude Venus, Earth, Mars, Jupiter, Saturn, Uranus, and Neptune.
• This leaves the surfaces of Mercury, Pluto, most of the moons of planets, and all of the asteroids.

Table 24.5 at right shows the total "stabilized" surface area available for extremely long-term storage of alien artifacts in our Solar System.

What if future astronauts from Earth stumble upon an artificial device or artifact clearly of alien manufacture, in the Solar System or elsewhere? Do we have the right to tamper with, and possibly destroy, property belonging to ETs? Or can we claim eminent domain or "salvage rights" and thus convert it to our own use, however we see fit? (After all, it is intruding in our solar system — can’t we do what we like with it?) What if we mistakenly activate the mechanism, or use it incorrectly, and it causes us serious harm? Can we demand reparations from the extraterrestrial race that left it here, under some notion of "attractive nuisance"?

• Certainly the aliens who planted the artifact are technologically far in advance of ourselves, assuming we find it in our Solar System before we have achieved interstellar travel capabilities.
• The mere fact that we have found the object thus suggests either that it was intended to be found or that it was not intended to be hidden (the ETs don’t care if we find their sandwich wrappers).
• Technically advanced aliens should be able adequately to hide an artifact from querulous human explorers. So such machines or devices probably will not be equipped with "death rays" or similar unpleasantries to ward off intruders.
• If intended to be found, starprobes ought not be designed to be tamper-proof by curious sentients. In fact, in the interests of interstellar amity, the alien artifact should clearly demonstrate that it has nothing to hide (except the location of its home star); that it is a messenger of information, peace, and goodwill; and that it is not to be feared, suspected, or avoided.
• It should be easily disassemblable. The sacrifice even of a complex and expensive machine may well be worth the avoidance of interstellar hostilities between races.

If probes or artifacts are discovered by human astronauts, the event represents a variety of first contact and a tremendous opportunity for communication and technical progress. Duncan Lunan, summarizing the conclusions of an ASTRA study entitled "Man and the Stars,"¹⁰⁰¹ offers the following practical advice for handling alien devices of various types:

If [astronauts] stumbled on something accidentally, perhaps they should leave it alone until experts get there, but that is not practicable on interplanetary or interstellar missions. In the interplanetary situation, they should send data back to Earth but not touch, in the first instance — the approach from there will be determined by what the thing appears to be and whether it still appears active. The next stage would be to try radio and light signals on it, with caution if we don’t know what it is: we may get a reaction as well as data. Before any close approach there would have to be tests for radioactivity etc., even if the object appears inactive.

A small enough object could be brought back to Earth for study, but that decision requires great caution — the thing could be a container for radioactive or biological waste, or a weapon platform. It is entirely possible that something dumped, or launched, by someone else could be dangerous to us. If brought back for study, the object should be placed on the Moon or in Earth orbit rather than landed. If it is small enough to be brought back the odds are that we detected it by its emissions, therefore it is probably still active. We should be prepared for this situation to turn into a true Contact — the object could be one of Professor Nonweiler’s hypothetical cryo-bio-packages, or an escape capsule with the occupant in suspended animation.

For a large, immobile object, detected for instance on a planetary surface by photographic survey, we would have to establish on-site investigation facilities. Even so the first checks should probably be made by Lunokhod-type vehicles, because of a reaction when we begin active study with radio, x-rays, etc. How far would we go in active examination — would we take such a thing apart at any stage? Arthur C. Clarke’s "Sentinel" was meant to be broken, so that its makers would know intelligence here had mastered spaceflight and atomic energy. The black monolith, the version of the device depicted in 2001: A Space Odyssey, had only to be dug up: as soon as sunlight struck it, it was activated and began its study of us. In the former case, the destruction of the pyramid was to bring "Them" back; in the latter, where the monoliths were supposedly responsible for the development of our intelligence, we were directed to the third monolith which delivered the next part of the programmed learning course. The object we find in real life, however, may be more functional. If it is a navigational beacon, for example, interfering with it may bring a repair crew rather than a Contact team.

If we were leaving or launching an object that was intended to be found, we would put information or instructions on the outside {e.g., the Pioneer 10 plaque}. So if the object we find doesn’t have any, we should treat it with caution. But the absence of instructions may just mean that the makers did not expect intelligence to find it — we don’t put external data on our interplanetary probes, arid probes from intelligence elsewhere in the Solar System (e.g. Jovian or Venus life) might be harmless even if unmarked. An intelligence from elsewhere, exploring the System before our time and anticipating the development of one or more intelligent lifeforms here, might be expected to leave unambiguous message-artifacts like Professor Bracewell’s hypothetical repeaters, and plant them in as many places as possible.¹⁰⁰¹

Figure 24.14 Project Daedalus: Mission to the Stars2953

1 2 3 4 5 6 7 8 9 10 11

Full Size The Daedalus starship takes shape in orbit around Callisto, near Jupiter. A new frontier is about to open. Full Size Jovian Aerostat Factory. Factory modules floating in the atmosphere of Jupiter harvest the isotope Helium-3 for use as fuel in the Daedalus starship. On the left is the overall scheme, with ascent vehicle docked. At right is detail of the factory complex. Full Size Basic Vehicle Configuration of Daedalus Starship. Full Size Schematic diagram of Daedalus nuclear pulse propulsion system, using fuel pellet implosion. Full Size Complete Daedalus vehicle prior to the start of the boost phase. Full Size At low thrust, the Daedalus starship leaves Callisto’s orbit. Soon it will have escaped from Jupiter and the Sun and head into interstellar space on its half-century flight to another star. Full Size Results of stellar target ranking out to 12 light-years. Full Size Basic Daedalus starship mission profile: Basic mission profile to Barnard’s Star, giving distance from the Solar System as a function of time into mission. Full Size Daedalus vehicle second stage, after separation. Full Size The main Daedalus vehicle. Already well into the encounter with the planetary system of the target star, detects new phenomena on the star and deploys a high-velocity-gain subprobe to attempt a closer look. Full Size Deployment of Daedalus planetary probe at encounter with planet having two satellites. Key to Figure: Final checks, calibrations, and choice of trajectory; Deploy inert materials and chemical tracers; Final maneuver to pass to starward side of planet; Deploy subprobes (one probe is lost at planet); Begin active sounding with radar and laser; Activate sub-probes, begin high-speed data acquisition, trigger chemical tracers; Cease high-speed data acquisition, continue sounding, begin observation of tracer trails, begin probe interrogation and data dump to main bus.

If technically advanced alien civilizations can build starprobes and send them to Sol, how long will it be before humanity can construct and launch interstellar messenger vehicles of its own? A small group of engineers and physicists, all members of the British Interplanetary Society (BIS), decided to find out.

• In February 1973 they initiated Project Daedalus, an impressive four-year feasibility study of a simple interstellar probe mission using only present-day technology or reasonable extrapolations to near-future capabilities.
• More than 10,000 man-hours were expended directly on the Project, which culminated in April 1977 with a prototype design and finally in 1978 with the publication of the final report.

The following is a very brief summary of the design and mission specifications for Project Daedalus (Figure 24.14), the first comprehensive starship design study in the history of mankind.²⁹⁵³

The basic mission profile involves an unmanned and undecelerated starprobe which executes a flyby of Barnard’s Star at a distance of about 6 light-years from Earth.

• This particular target was chosen, not because of its inherent superiority to a Centauri (a closer and more likely system to harbor life³²²⁴).
• But rather because it lies near the midpoint of the expected maximum useful range of the Daedalus vehicle — roughly 10 light-years.
• The final design calls for a starship with a total initial mass of 54,000 tons, of which 50,000 tons is propellant in the form of deuterium/helium-3 frozen fuel pellets.
• The vehicle consists of a two-stage nuclear pulse rocket, a widely discussed conventional interstellar propulsion technique that has been described extensively in the literature. (See Chapter 17.)

The trip to Barnard’s Star would require about 20 years of R&D effort (design, manufacture, and vehicle checkout), 50 more years of flight time at about 12%c, followed by another decade of data transmission from the probe relating to approach, encounter, and exit science.

• Therefore a basic funding commitment over at least the next 80 years would be required for implementation and successful completion of the mission.

As shown in the time-into-mission graph in Figure 24.14 (Tab #8 above), the Daedalus starprobe would leave the Solar System probably from near-Jovian space. This is because the helium-3 needed for fuel is rare on Earth and must be harvested from the atmosphere of Jupiter using "aerostat factories" floating in the jovian air at medium altitudes. (This technology obviously requires at least a mature spacefaring Type I cultural level among humans, which should be attainable in the next century here on Earth.)

• The boost period, involving three propellant tank drops and a single stage separation, would last 3.8 years.
• At the end of these events, the starprobe would have achieved a cruising velocity of about 12%c.
• During the flight out the payload remains active, making continuous measurements and constantly reporting data back to Earth.
• A wide variety of "coast phase" scientific investigations would be undertaken, including direct detection and observation of interstellar particles and fields and innumerable detailed astrometric very-long-baseline measurements of distances to other stars and of the size of the Galaxy.
• At the time of encounter with the Barnard’s Star system, a dispersible payload would be deployed much like the multiprobe Pioneer Venus (1978) spacecraft or the warheads of a MIRV’ed missile.
• As the vehicle approaches Barnard’s Star, two onboard large space telescopes (Palomar-size 5-meter reflectors) swing into action, beginning the search for planets and an accurate determination of their orbits.
• Once these orbits are established, heavily instrumented subprobes would be launched on close-intercept trajectories for more detailed observations.
• The main ship carries 40 tons of extra fuel for this purpose, and the main propulsion system would be used for each maneuver.
• Throughout the encounter period the subprobes — up to 18 in number — would pass their data back to the mother ship, which receives the transmissions on each of eight 10-meter-diameter radio dishes studding the starprobe’s exterior.
• This information is processed and condensed by Daedalus’ semi-intelligent computer system, which is housed in a central core running through the payload.
• Later it is relayed back to Earth during the post-encounter period using the bowl of the dormant second-stage engine as a giant radio communications dish.
• The total mission payload is about 500 tons, a large fraction of which is in the dispersible subprobes.
• A typical subprobe weighs more than 10 tons and measures 20 meters in length. Prior to deployment each is shaped like a narrow conical frustrum in order to facilitate radial packing into the cargo bay.
• Each subprobe’s communication channel, operating on a 1-kilowatt transmitter, can beam as much as 11 million bits/second of data back to the main vehicle in "video" mode.
• When talking to Earth, the starprobe uses a 1-megawatt radio transmitter operating at 2-3 GHz with a maximum bit rate of 864,000 bits/second.
  (See encounter scenario, Figure 24.14, Tab #11)

The Daedalus starship design includes many necessarily innovative features too numerous to mention here. One example is the "wardens," created to help ensure the vehicle’s self-sufficiency:

The requirement for a high degree of reliability suggested that a system of "Self Test and Repair" philosophy should be adopted. Also, the payload effectiveness could be enhanced if it were possible to re-organize experiments when required en route. Further, in order to avoid the contaminated environment of the main vehicle it became desirable to place the particles and fields experiments a long way (several thousand kilometers) from the main vehicle. These requirements led to the concept of robot self-propelled vehicles carrying specialized tools and general manipulators. These vehicles would have a limited degree of data processing and machine intelligence, but any high level decision making would be carried out by the main mission computer on the main ship. Two of these "wardens" would be provided, each having a mass of about 5 tons. A total mass of spares of 15 tons would be available.²⁹⁵³

Starprobe Daedalus may never be built, but it is perhaps a primitive prototype design for the exploratory interstellar spacecraft of the coming century. It provides a firm basis for discussion of the plausibility of Bracewell probes and other artifacts that may find there way into our Solar System at the hands of alien adventurers. To those who remain skeptical of the ambitions of the BIS’s Project Daedalus, let them recall that it was the same British Interplanetary Society that conceived a model for a manned moon lander mission a mere 30 years before Armstrong and Aldrin first set foot on lunar soil.

According to Dr. Eric R. Pianka, a population ecologist at the University of Texas at Austin, two populations, when they interact, may or may not affect each other. If they do, the influence may be beneficial or adverse. Using these basic notions, Dr. Pianka devised a simple taxonomic technique which xenologists can use to classify all possible interactions between pairs of sentient alien populations.²⁸⁶

• Let us designate a beneficial effect with a "+".
• A detrimental effect with a "-".
• And no effect with a "0".
• Where two groups interact with mutual negative effect, Pianka designates the interaction as (-,-).
• When both benefit, it is (+,+); and so forth.

Thus, there are a total of six fundamentally distinct ways in which two intelligent species may interact as outlined in Table 25.1.

In this classificational scheme, competition (-,-) occurs when each of two populations affects the other adversely.

• Typically both require the same resources that are in short supply, so the presence of each population inhibits the other.
• Xenological might include the competition between human interstellar colonizers and humanoid native indigenes on a distant Earthlike planet, or between two Type II stellar civilizations for the matter and energy in the solar system of the same class G star.
• Competition may be economic, social, political, or even religious. The most extreme form is war.

Predation (-,+) takes place when one population affects another adversely but benefits itself from the interaction.

• For instance, a predatory alien society may choose to destroy other societies it meets, killing the sentient inhabitants and then preying upon their planetary, stellar, or technological resources. (Predation for food, more common in biological situations, is less likely across interstellar distances but may still occur when alien colonists invade a less-technically-advanced world.)

Parasitism, another (-,+) interaction, is similar to predation except that the host population is not killed outright but is exploited over some period of time.

• Powerful parasitic ET conquerors from advanced stellar civilizations might leave heavily armed garrisons on subject worlds where native populations had been enslaved for the purpose of dismantling the planet for its mass or building huge fleets of warships to be used in a subsequent wave of conquest (perhaps fueled with hydrogen drained from the local star).

Amensalism (-,0) is said to occur when one population is adversely affected by another but the other is unaffected.

• In the xenological context, perhaps one civilization is so advanced that it regards the other as a mere nuisance, "flicking" it off as we would swat a gnat.
• Another example of amensalism would be when a technically sophisticated race gives a less-advanced society so much technical information that it either loses spirit and becomes dependent on the superior race, or is virtually destroyed when it tries to use knowledge that it cannot fully understand.

Neutralism (0,0) occurs when the two populations avoid contact altogether. There is no real interaction and neither affects the other in any significant way.

• Such a situation might obtain if two warring starfaring civilizations agreed to cease hostilities, suspend all mutual interactions, erect a "neutral zone" which each society agrees not to cross, and then continue their expansionistic conquests in other directions.

Commensalism (+,0) takes place when one population benefits while the other is not affected.

• Familiar examples in biology are the mosses, bryophytes, bromeliads, orchids and other plants that grow on the trunks and branches of trees.
• The commensal population flourishes at no visible expense to the trees because they occupy the surface of what is in effect protective tissue (whose function is not thwarted by the presence of the symbionts.)
• An analogous situation between xenological populations might involve a powerful Type III civilization that allowed a puny planetary society to freely wander the corridors of the Galactic Library. The galactic culture would be unaffected, but the planetary culture might be benefited enormously.

Finally we have cooperation (+,+), which occurs when two populations interact in a way that is beneficial for both.

• This may include trade, cultural exchange, integration of the two societies and the synthesis of a higher level of organization, or joint military ventures of conquest.

Mutualism (+,+) is similar to cooperation except that the relationship between the two populations is obligatory rather than facultative. That is, neither race can exist in the absence of the other.

• An example here might involve a parallel to ants and aphids, where one ET society provides the foodstuffs needed by both and the other provides umbrella military protection from alien predators and competitors.

Figure 25.1 Principle of Competitive Exclusion

The Principle of Competitive Exclusion states that unless the niches of two species differ, they cannot coexist. In effect, one race says to the other, "This environment isn’t big enough for the both of us." According to modern population biologists, a pair of very similar species can coexist only if new aspects are added to the environment, so that one part favors one species and the other part favors the second species. Examples in biological ecologies abound. For instance, above are the life histories of two species of flour beetle. In pure flour Tribolium defeats Oryzaephilus (left graph). But when fine glass tubing is added to the flour — creating tiny shelters to which Oryzaephilus can escape — the two species can coexist (right graph) (after Wilson et al.3313)

Some ecologists have claimed that each of the above six classes of interaction may be described mathematically and the exact outcome predicted given certain initial conditions.

• "Competition theory," for instance, was devised more than fifty years ago by Lotka and Volterra. The Lotka-Volterra Competition Equations describe the growth of two competing species in limited environments, given the specific reproductive rates of the two races and the environmental carrying capacity for each alone.
• In 1934 Gause experimentally verified the major result of the Equations — that no two species that are ecologically identical can long coexist.³³¹³

This Principle of Competitive Exclusion, or Gause's Law as it is sometimes called, may be restated as follows:

The maximum competition is to be found between those species with identical needs.³¹⁹⁸

The two graphs in Figure 25.1 illustrate the Principle in two competing species of flour beetle. Analogous situations readily may be imagined in the context of interaction between two extraterrestrial civilizations. Mathematical models of commensalism, predation, and the rest may yield similar insights for xenologists.

• Of course, the commingling of two highly complex alien societies will require a vastly more sophisticated analysis than that provided by the Lotka-Volterra Equation and similar formulations such as "game theory"^{820,3394,3487} and other models of interaction.
• Further, the sociocultural data needed to properly evaluate each new situation will necessarily be incomplete and thoroughly ambiguous in many first contact situations.
• For these and other reasons, many xenologists today eschew attempts to precisely and mathematically model interactions between hypothetical alien societies.
• Most favor a more qualitative generalized approach.
• This has led to the emergence of a new subdiscipline in xenology known as "metalaw" — the study of possible laws applicable to all relations between alien intelligences.⁶⁸⁹

Science fiction all too often portrays extraterrestrials as a kind of "interstellar Avon lady," providing humans with innumerable goods and services.⁷⁸ At the other extreme, ETs are frequently described as murderous villains from the stars who conquer Earth and enslave humanity. Neither of these alternatives seems to represent a useful basis upon which to establish metalegal relationships.

• There may be stringent rules limiting what one race will allow itself to give or sell to another, less-developed one.
• And if a society has a policy of destroying every alien ship as soon as it is met, and then turning to attack the ET's home planet, someday it will tackle a civilization that is too powerful and will itself be destroyed. As one writer notes: "Interstellar checkers is not a viable mode of existence."¹⁰⁰¹

As the author has pointed out elsewhere,²⁰⁰¹ the history of human expansion has been a sordid tale of subjugation, colonization and exploitation.

• The Europeans were perhaps most notorious in this regard. Natives of foreign lands were shipped back to the Continent and placed on display as if mere zoo animals, even though they differed in appearance only slightly from the colonists.
• Our early settlers in this country displaced the Indians similarly, herding them into compact reservations on worthless land and imposing upon them our way of life and our system of government (to a large degree).
• And the technologically advanced nations weren't the only ones to expand by means of ruthless incursion and expulsion of indigenous races.
  • • The Aborigines ran out the Tasmanians.
  • • The Malays routed the Sakai.
  • • The Bantus expelled the Hottentots …  The tally of human aggression is virtually endless.

We see that a constant in human sociopolitical evolution has been the need and desire for security against foreign invaders. From this we may infer that any civilized alien race may regard physical security as a primary requirement in any first contact situation. We may call this the Principle of Defense.

• But this notion is not easy to apply in practical situations. The main difficulty is in drawing the line between defense and offense.
• That is, must we wait for the ETs actually to attack us before we try to defend ourselves, or do we attack their strike bases before they can launch against us?
• That is, how far do we go with what military strategists call "anticipatory defense"?
• And there may be instances in which we do not realize we have been attacked until it is too late:
  • • Infiltration by human-looking androids.
  • • Planetary inoculation with "propaganda viruses."
  • • And irresistible radio messages from the stars are common themes in the science fiction literature.

Another suggested basis for metalegal relations that has gained wide currency is the so-called Principle of Noninterference. The gist of this idea is that each culture should leave others entirely alone — let them evolve naturally, with no help or interference from outsiders.

• If cultural integrity is to be strictly maintained, the technically inferior race must be totally isolated.
• Yet the mere knowledge that advanced race even existed would probably be enough to interfere with the normal development of a society.
• Must we therefore insist that extraterrestrial civilizations remain in total ignorance of each other? Is cultural quarantine really desirable?
• And the whole idea of strict noninterference may be bad.

As anthropologist Magoroh Maruyama once said:

Many anthropologists say: Don’t disturb this culture because it is the result of so many thousands of years of evolution that it’s perfect. Now that’s entirely a wrong idea, based on the Western kind of logic. Cultures change; all biological and, social processes change.³³⁹⁵

A third suggestion is that all ETs should simply apply the Golden Rule in their dealings with one another. This basic principle seems to crop up again and again in the philosophical and religious writings of humankind. For example:

• "What is hateful to thyself, do not unto thy neighbor" (Babylonian Talmud).
• "A man should treat all living creatures as he himself would be treated" (Sutra-Kritanga).
• "You must expect to be treated by others as you have treated them" (Seneca).
• "Do naught to others which if done to thee would cause thee pain" (Hindu Mahabharata 5.1517).
• "Great Spirit: Grant that I may not criticize my neighbor until I have walked for a moon in his moccasins" (Sioux Indian Prayer).
• "We should behave to friends as we would wish friends to behave to us" (Aristotle).
• "Hurt not others with that which pains yourself" (Buddhist Udanavarga 5.18).
• And, of course, "As you wish men to do to you, so also do you to them" (Christian Bible, Luke vi. 31).

Applying the Golden Rule, we should treat aliens as we would wish to be treated ourselves. Conversely, they should treat us as they themselves would wish to be treated, assuming the universality of the metalegal principle.

But the late Andrew G. Haley, the world's first "space lawyer" and widely regarded as the father of metalaw, pointed out the fallacy in this approach far back as 1956, at the Seventh International Astronautical Congress in Rome.⁶⁹³ According to Haley, metalaw, defined as "the law governing the rights of intelligent beings of different natures and existing in an indefinite number of different frameworks of natural laws," would require a different moral basis than present Earthly law.

The traditional Golden Rule is starkly anthropocentric; that is, it reflects the subjective needs and wishes of humans. In the case of generalized contact, application of the principle would require each interacting species to impose its own sociobiologically-derived goal structure and motivations upon the other race.

• As Haley observed, to treat other sentient creatures as we would desire to be treated might well mean their destruction.
• Similarly, if ETs treat us as they would wish to be treated, it could destroy us. This conclusion derives from the simple fact that two sentient species inevitably must differ in their physiological, psychological, and sociocultural specifics.
• It would be better for each race to find out how the other desired to be treated, and to act accordingly.

Accordingly, Haley proposed the following as the Great Rule of Metalaw:

Do unto others as they would have you do unto them.⁶⁹³ 

In other words, we should treat aliens as THEY want to be treated, not as WE think they ought to be treated. This is a very simple means to ensure both the safety and the equality of metalegal partners.

However, in practice the Great Rule might be as difficult to apply as the Principle of Defense and the Principle of Noninterference. If we are to ascertain the desires of the other party, we may have to interact with them to a certain degree — and this may cause sociocultural damage. George S. Robinson of the Institute of Air and Space Law at McGill University in Montreal has raised another issue:

Who, or what, determines that which is "injurious or hurtful to some other being"? If mankind is to make such a determination, it is of necessity one which is anthropocentric in nature. If an alien being is to make the determination, is not man deprived of some rights as an integral party? Or perhaps there is a compromise based on an understanding of all participants of the ultimate laws of nature permitting or tending towards a balanced universal ecosystem? If there is truth in the latter approach, again we must turn to the principle involved in Haley's Interstellar Golden Rule — do not disrupt unilaterally the ecosystem of an alien sentient being.¹⁰⁷⁹

Others fear that to treat aliens as they wish to be treated may imperil humanity. In the most extreme case, ETs may wish to be treated as conquerors. Remarks S.W. Greenwood:

The Great Rule of Metalaw proposed by Andrew Haley appears to have aroused surprisingly little critical comment. It seems to me to be a highly dangerous approach to the problem of how to behave in the presence of an alien intelligence. Literally it appears to direct an Earthman to do whatever an alien desires. What should be done when an alien desires an Earthman to hand over his vehicle, his equipment, and his crew? It is evident that the Rule of Metalaw would often be unworkable.¹¹⁸¹

Table 25.2 Suggested Metalegal Rules and Formulations 1 2 3 4 5 6 7 8 9

Table 25.2 summarizes the many metalegal rules which have been suggested by various human philosophers, theologists, xenologists and other writers for use in dealings between sentient races.

• Many are unfeasible even in theory, some are unworkable in practice, but all appear to be based on anthropocentric considerations which derive from the sociobiological framework and essentially simian psychology of man.
• We are still left with the problem of developing a set of nonconflicting, serviceable metalegal rules.

A major step toward this goal was achieved in 1970 by the Austrian jurist and legal writer Dr. Ernst Fasan. In his book Relations with Alien Intelligences,³⁷² Dr.Fasan attempted to develop a sophisticated, self consistent set of eleven basic metalaws which he believes should be applicable to interactions among all sentient beings in the universe because they are divorced from the details and specifications of individual races.

The central philosophical underpinning for Fasan's Metalaws is the so-called Categorical Imperative, first elaborated by the 18th century German philosopher Immanuel Kant.³⁴⁹²

• The main thrust of the Imperative, which is said to hold for any rational being, is that no activity can be ethical for one if it is not ethical for all.
• In Kant's own terminology it is a moral axiom which is true for every sentient creature: "Act in such a way that the maxim of your will can at the same time always be valid as a principle of general legislation."
• That is, if a particular course of action will lead to contradiction or a generally destructive result, then it is proscribed by the Categorical Imperative.
• Thus if one contemplates murder, he should ask: "Would it be desirable for everyone to murder?" Clearly it would not, as the murderer’s own death would be the result. This inherent contradiction rules out murder as a viable "principle of general legislation."²⁰⁰⁰

Fasan then goes on to discuss the physical nature of extraterrestrial beings. He points out that all living organisms select those acts which will minimize entropy and build internal order out of external chaos. As Fasan observes:

So life must necessarily fight, with every sort of movement and decision, the influence of entropy. Evolution means gathering more and more information which enables the organism to better withstand entropy. This gathering of information produces the highest possible level of life: Life coupled with reason and intelligence. Life is reasonable and intelligent if it can understand itself. Like all living beings, the intelligent ones — but consciously so — will choose the alternative which seems to be the least harmful, which seems to be most anti-entropical.³⁷²

Those beings which are the proper subjects of metalaw, says Fasan, therefore must of necessity possess the following five characteristics:

1. The ETs are alive in the negentropic sense.
2. The ETs have intelligence, consciousness, free will, and empathy.
3. Each metalegal partner is physically detectable by the other.
4. The aliens have existence or activity within three-dimensional space.
5. The ETs have some, if only rudimentary, will to live.

Using the Categorical Imperative and these five basic assumptions about the nature of all sentient extraterrestrials, Dr. Fasan derives eleven metalaws of presumably universal validity, reasoning along the following lines.

First, to destroy or harm intelligent life is necessarily illegal. This is simply a prohibition against increasing entropy for intelligent life. The rule might be phrased as follows: "Any act which causes damage to another race must be avoided."

• This confers both rights and obligations on all sentient races.
• If one race does not comply, then the injured race should have the right to protect itself.
• So every race has the right to defend itself against harmful acts perpetrated by another race.

The basic will to live will not permit any intelligent race to consider itself inferior.

• The Categorical Imperative will not permit any race to consider itself superior, because that would mean that every race could consider itself superior.
• Therefore, all intelligent races of the universe have, in principle, equal rights and values.
• Since no one may have sovereignty over an equal partner, every partner of Metalaw has the right of self-determination.

Any interaction between mutually detectable races may result in a collision of interests. Damage may be present or future, immediate or prospective. Since the preservation of life is a precondition for its further development, opposing interests must be resolved in a way that gives priority to avoiding actual present damage to existence over possible future damage to development.

• Hence the preservation of one race has priority over the development of another race.
• Similarly, no race has the right to seek benefit by demanding that another race inflict damaging entropy upon itself to help the first race out.
• It is not a legal but an ethical principle that one race should help the other by its own activities.
• Also, if a race is damaged by past acts of another then it should be able to demand positive action to remove the damaging consequences of those acts.
• The Categorical Imperative tells us that such is a viable metalegal rule since, according to Fasan, if every race were free to inflict harm on another race without any obligation of restoration, the legal insecurity would increase and the damaged race might feel inclined to retaliate with force.
• In case of damage the injurer must restore the integrity of the injured party.

Of course, if restitution is impossible it cannot be demanded. Living organisms are not capable of performing the impossible. Even if restitution is possible but would threaten the very existence of the damager himself, says Fasan, still it is not mandatory.

• No person nor nation must destroy itself in order to fulfill any legal obligation.
• The basic trend of life is to preserve its own existence.
• The concept of life itself prohibits any rule which would demand suicide.
• In other words, no rule of Metalaw has to be complied with when compliance would result in practical suicide for the obligated race.

Finally, the Categorical Imperative demands that relations between intelligent beings must be based upon truth and honesty.

• If one race relies to its detriment upon faulty information or broken promises made by another race, the damaged race has suffered unlawful harm.
• Metalegal agreements and treaties must be kept. And since every conceivable race of aliens must exist or act in three-dimensional space, all sentient species need living space as a necessary condition for their existence.
• Every race has a title to its own living space.

In descending order of importance and precedence, Dr. Fasan summarizes his eleven metalaws as follows:

1. No partner of Metalaw may demand an impossibility.
2. No rule of Metalaw must be complied with when compliance would result in the practical suicide of the obligated race.
3. All intelligent races of the universe have in principle equal rights and values.
4. Every partner of Metalaw has the right of self-determination.
5. Any act which causes harm to another race must be avoided.
6. Every race is entitled to its own living space.
7. Every race has the right to defend itself against any harmful act performed by another race.
8. The principle of preserving one race has priority over the development of another race.
9. In case of damage, the damager must restore the integrity of the damaged party.
10. Metalegal agreements and treaties must be kept.
11. To help the other race by one’s own activities is not a legal but a basic ethical principle.³⁷²

There is little doubt that Dr. Fasan’s approach represents a significant and welcome step towards the synthesis of a workable set of metalegal rules of conduct, valid a priori for all sentient beings in the universe. However, Fasan’s Metalaws appear to have a single serious flaw which calls into question the validity of several of the derived principles.

That flaw is the Categorical Imperative itself.

• When Kant promulgated his Imperative involving maxims of general legislation, he entirely ignored the possible existence of a sentience of a qualitatively higher order than that possessed by humanity.
• In Kant's view, creatures are either rational or they are not — there are no other alternatives. Fasan, by adopting the Categorical Imperative as the basis for his metalegal formulations, falls into the same anthropocentric trap.
• His discussion of the physical nature of extraterrestrial beings makes it clear that he too regards human-style intelligence as "the highest possible level of life."³⁷²

Many xenologists today believe that multiple orders of higher sentience are quite possible. As the author suggested in (Chapter 14) (and see below), there may exist a series of successively more sophisticated intellectual emergents in the evolution of sentience — plateaus of intelligence perhaps keyed to the data processing efficiency of alien minds.

• Individuals comprising extraterrestrial societies may possess simple reactivity (such as plants on Earth).
• Or personal consciousness (as in humans).
• Or they may exhibit yet higher orders of awareness not possessed by humans which we have labeled, for convenience, "communality," "hypersociality," "galacticity" and "universality."

Kant’s Categorical Imperative cannot be valid for interactions among beings of qualitatively different orders of sentience, any more than it can be used to guide human dealings with beehives or termite mounds.

Let us try to repeat Fasan's analysis of a priori metalaw, avoiding entirely the notion of Categorical Imperative and relying instead solely upon considerations involving entropy.

• That is, we shall attempt to formulate a set of metalegal principles working solely from the basis of what the author has termed "thermodynamic ethics", or thermoethics.

The basic organizing influence in the universe is life.

• Life involves the utilization of a flow of energy to draw order from chaos and build internal complexity with an accumulation of information. Living beings thus are anti-entropic, or negentropic, entities.
• The principle of negentropism is, in a manner of speaking, the "natural law" applicable to all living (matter-energy) beings located anywhere in the universe, regardless of their size, shape, biochemistry, sentience, or culture.
• (Fasan unwittingly devised a "natural law" applicable to all Homo sapiens, the Natural Law of Man. This is nothing more than what E.O. Wilson might call "mammalian law."³¹⁹⁸)

Hence we may state the Principal Thermoethic as follows:

All living beings should always act so as to minimize the total entropy of the universe, or so as to maximize the total negentropy.

In other words, living beings should always act to further the mission of life in the cosmos, which is to reduce the universe to order by building the maximum complexity into the mass-energy available.

• Note that the Principal Thermoethic defines the optimum relationship between an individual and his universe, rather than between individuals.
• It is fundamental to all thermoethical decisions that one's actions are judged against a cosmic, not local, standard.
• Consequently it may be ethical to do some act which decreases local order, if the net result is an increase in the total order of the universe.

How does the Principal Thermoethic apply to contact interactions between intelligent extraterrestrial races? In this universe there may exist many different kinds of creatures with widely varying levels of sentience and cognitive awareness. Some societies will possess more information than others; some beings will process information faster or more efficiently than others. Thus there is a natural ordering or continuum of all living things.

• Those entities which are more negentropic are better serving the mission of life in the universe, hence they are inherently "more ethical."
• Those beings which engender the same negentropy as others are "equally ethical."

Therefore, we may state the Corollary of Negentropic Equality, which follows directly from the Principal Thermoethic, in this way:

All entities of equal negentropy have equal rights and responsibilities; the more negentropic an entity, the greater are its rights and the deeper are its responsibilities.^{Note #1}

As ecologist Eric Pianka has pointed out, there are only 3 basic kinds of interaction which can take place:
Detrimental (-), neutral (0), and beneficial (+). According to the Principal Thermoethic:

• Detriment is equivalent to a loss of information, an increase in the disorder of the universe.
• Detrimental (-) acts violate the Principal Thermoethic, and hence are unethical.
• Neutrality (0) implies that information is neither created nor destroyed, but merely maintained. Since there is no law of conservation of information analogous to the conservation of mass-energy, a positive act is required to preserve order in the cosmos.
• Such acts are thermoethical; failure to so act is unethical.
• Finally, beneficence (+) is equivalent to a gain of information, a decrease in the total disorder of the universe.
• Beneficial acts which affirmatively generate negentropy fulfill the Principal Thermoethic, and hence are ethical.

Summarizing, we see that three distinct duties devolve upon all thermoethical entities in the cosmos, following directly from the Principal Thermoethic. These may be called:

• The "duty to avoid harming."
• The "duty to preserve."
• The "duty to create."
• The duty to avoid harm must necessarily take precedence over the other two, since it is useless to create and impossible to save information if it is simultaneously being destroyed.
• Similarly, it would be wasteful (and thus entropic) to garner new information if one is incapable of preserving it.

These three duties may be cast in the form of three fundamental thermoethical Canons, applicable to the interactions between all living beings in the universe a priori:

We may rephrase these duties in somewhat less technical language as a hierarchical code of behavior for all living beings, as follows:

Each Canon may be used to generate a number of specific metalaws to guide interactive behavior in particular situations.

• For example, from Canon I we have Metalaw I-1, the Entropic Censorship Rule: "In any first contact situation, the Contactor should never give the Contactee any matter-energy or information inputs that may cause the Contactee entropic harm."^#5
• Next might be Metalaw I-2, the Entropic Defense Rule: "Every race has the right to defend itself against entropic (disordering) acts perpetrated by another race, provided the entropic cost of such defense is less than the loss of negentropy sought to be avoided."^#6
• Metalaw I-3, the Biosphere Preference Rule, might read as follows: "Every race is presumed to be entitled to the biosphere which it occupies."^#7
• Then there is Metalaw I-4, the Free Egress Rule, which holds: "Living entities have the right to travel to any biosphere, subject to the restriction that they must not entropicate (disorder) indigenous living systems."^#8

Canon II similarly gives rise to a number of specific metalaws, applicable to relations between extraterrestrial races so long as no metalaws associated with Canon I are violated.

• For instance, we have Metalaw II-1, the Preservation Preference Rule: "The preservation of one race must have priority over the development of another race."^#9
• There is Metalaw II-2, the Infinite Sinks Rule: "Every race has a duty to avoid infinite information sinks or, in other words, no race should demand or submit an impossible request."^#10
• We have Metalaw II-3, the Rule of Restitution: "In case of entropication of one race by another, the race causing the damage must restitute the living universe for the loss of information."^#11
• Then there is Metalaw II-4, called Pacta Sunt Servanda: "Metalegal agreements and treaties must be honored."^#12

If the proscriptions and duties imposed by Canons I and II are observed, then sentient beings may work with metalaws derived from Cannon III.

• For example, there is Metalaw III-1, the Rule of Submission: "Every race should willingly submit to negentropic acts effectuated by a more negentropic race, provided the information gained by such acts is greater than the total entropy suffered."^#13
• Then we have Metalaw III-2, the Negentropication Rule: "Each race should perform whatever positive actions are necessary to assist in the development of beings of higher negentropy than themselves."^#14
• Also we have Metalaw III-3, the Rule of Permissible Suicide, which goes as follows: "Any race may commit a suicidal act if the local entropication suffered thereby is exceeded by the universal negentropy gained."^#15
• A more moderate version of the same principle is Metalaw III-4, the Self-Jeopardization Rule: "Any race may risk entropication of any of its component parts if the probable negentropy to be gained thereby exceeds the probable entropication."^#16

What will first contact actually be like? How will the participants regard each other?

• It is often suggested that when humanity encounters technologically advanced aliens they may seem as gods to us.
• It is said that they will be capable of miracles and, in essence, "magic" — and that they may be as far beyond us in intelligence as we are beyond the ants.

In the author’s opinion, each of the above statements represent gross understatements of the most probable reality.

Table 25.3 First Contact Power Differentials: Contactor’s Advantage

The first most important basic parameter that we would like to know about any alien civilization we may encounter is:

• What is their matter-energy-handling capability?
  What class of civilization are they?

This single datum will give us a good idea as to what level of contact interaction we may expect.

From our considerations of cultural power utilization we have recognized that there may exist four major classes of mature civilization in the universe:

• Planetary societies (10¹⁵ watts continuous)
• Stellar cultures (10²⁶ watts)
• Galactic communities (10³⁷ watts)
• Universal civilizations (10⁴⁷ watts)

Therefore, in any bilateral first contact situation there can only be sixteen distinct levels or modes of contact along the mass-energy scale, as summarized in Table 25.3. The data in the table are called "power differentials," representing the difference in mass-energy-handling capability between the two interacting races. The numbers here are expressed in terms of the contactor's advantage over the contactee.

Looking at Table 25.3 as a whole, there seem to be four distinct power differentials that may occur in any first contact.

• First, the two civilizations may be roughly equal in power usage, in which case the power differential in the contact situation is ~10⁰, or 1.
• Next, two societies may meet whose power consumption differs by ~11 orders of magnitude, or by ~22 orders of magnitude, or, finally, by as much as 32 orders of magnitude.

Table 25.4 Comparison of Various First Contact Scenarios, based on Relative Power Differentials

Each such contact event is a qualitatively different situation. To help put the above figures into some kind of reasonable perspective, the series of comparisons assembled in Table 25.4 should prove helpful. In the leftmost column we have the logarithm (order of magnitude) of the power differentials likely to be encountered in most first contact scenarios.

• So, for instance, we may imagine a contact in which the log power differential between the cultures is about zero. This would be roughly equivalent to a nation like the United States, which commands about 10¹² watts, coming into contact with another nation of similar power handling ability, say, West Germany.
• Next, imagine a meeting between cultures differing in power usage by 11 orders of magnitude. This would be like a contact between the entire United States and a society in command of only 10 watts of power. Such a meager society could operate one tiny light bulb, play a single miniature pocket radio, or perhaps paddle one small canoe slowly into New York harbor. The phrase "hopelessly outclassed" is an extreme understatement.
• But it gets much worse! Imagine a contact in which the power differential is 22 orders of magnitude. Compared to the entire energy output of the United States, this would only be about 10^-10 watts — one-thirtieth the power output of a single human neuron — and some one-hundred-thousandth of the energy expended by a swimming rotifer. An amoeba swimming at low speed uses about 10^-10 watts, so the power differential in such a contact scenario would represent a difference between the contacting societies as great as that between the entire United States and an amoeba pseudopoding slowly into New York harbor.
• Finally, consider the most extreme case of a power differential of 32 orders of magnitude, which works out to about 10^-20 watts in comparison to all of U.S. society. It is hard for us to conceive of differences in power that are this large. 10^-20 watts is about enough energy to evaporate one molecule of water every ten seconds from the surface of the sea. We thus arrive at the incredible comparison of a society with the power of the United States confronting another race whose power usage is barely enough to evaporate a single molecule of water off the back of a tiny amoeba as it swims into New York harbor.

These latter comparisons span such enormous scales that they boggle the mind into incredulity. Such levels of contact are wholly beyond any normal human experience.

• How are we to visualize a meeting between extraterrestrial societies which differ in energy as much as the entire United States and a single amoeba?
• And what if we are that poor lone protozoan, naively wafting into the galactic equivalent of New York harbor? Not only would such a civilization seem godlike to us, it would actually be God for any practical purpose that can be imagined.

Figure 25.2 Timescale for Technological Advance

Table 25.5 Estimated Number and Distance to Nearest Earthlike Technological Civilization

The timescales of technological advance give us some important clues as to the nature of the technical societies we are most likely to encounter. Consider the graph in Figure 25.2. If we depict human technical advance — as measured by energy output, population of, radios or telescopes, or whatever — as a function of time, we find that technological advance appears almost to be what mathematicians call a "step function" over geological and evolutionary timescales.

• Progress is nil for a very long time; all of a sudden, technology shoots up to the maximum theoretical limits as defined by the fundamental laws of physics in the universe.
• Based on our discussions elsewhere in this book, it appears that Type II stellar civilizations will not be technology limited at all. Anything that is physically possible in theory, they should be able to accomplish in practice.

From a technological point of view, then, it would appear that the vast majority of sentient societies may lie on either side of the step (assuming humanity is a typical case).³⁸⁵³

• Most cultures may be regarded as "impotent" or "omnipotent" insofar as technical abilities are concerned.
• Only a tiny fraction of all evolving technological societies will be in the transition phase occupied by present-day humanity.
• Or, to put it in another more striking way, in any contemporary first contact situation humans are vastly more likely to encounter gods or animals, almost never peers.
• Indeed, it may be viewed as unethical for any omnipotent civilization to contact a society which is technologically impotent or in transition.

Table 25.5 puts numbers to this basic idea. Using our estimates of the probable number of extraterrestrial civilizations in our galaxy and a "reasonable" value for the Drake Equation constant L₀ of 10^-2 cultures/year (see Chapter 23), the author has calculated the mean number and distance to civilizations that are today at approximately the human technological level.

• "Human level" is taken as a technological "window" in time of about 10,000 years (and we are probably in the last millennium of this span of progress).
• Even given the most optimistic value for civilization lifetime imaginable — 10⁹ years — there are only a thousand other cultures like us in the entire Galaxy, and each is 6700 light-years from the nearest other.
• As we select more modest values for L, we begin to suspect that we may be lucky to find another society at our same stage of development in the entire Milky Way.
• We might well be the only technical civilization undergoing a technological step-transition in the Galaxy at the present time.

Thus in a very real sense, in a Milky Way galaxy possibly teeming with life, mankind may yet be quite alone.