2001, the year, is a long time ago now. A person born on this date in the year 2001 may have graduated from college or university a couple of years ago, and might be a couple of years into graduate study or a new career. And yet the novelistic and cinematic story that takes its name from the year 2001 is, if anything, more relevant and more compelling than ever.
2001: A Space Odyssey may be better known, within popular culture, as Stanley Kubrick’s visionary 1968 epic of science-fiction cinema. Yet Kubrick, working from an expressed wish to craft “the proverbial good science-fiction movie,� had the good sense to work with the eminent British science-fiction writer Arthur C. Clarke in pursuit of his stated goal; and the story that emerged from their collaboration � whether one is watching Kubrick’s film or reading Clarke’s novel � unquestionably reflects the creative sensibilities and thematic concerns of both artists.
Kubrick's great theme was the danger of dehumanization - the threat that human beings could give up their own humanity. The cause of that dehumanization changes from film to film: the political and military structures that human beings create (Paths of Glory, Spartacus, Dr. Strangelove, Full Metal Jacket), the psychological malformations threatening one's humanity from within (Lolita, A Clockwork Orange, The Shining, Eyes Wide Shut), a facile trust that science can solve the problems of human evil (Clockwork again).
In Kubrick's 2001: A Space Odyssey, the agent of dehumanization is technology itself: human beings have given their machines so much power and agency that the machines do virtually all the work, leaving human beings with little to do except look at screens (rather like life today, come to think). A machine is the only character in the film to express any emotions, and the human beings in the film - with one notable exception - act like machines, or automata.
Clarke’s core interests, as set forth in novels like Childhood’s End (1953), are quite different, including artificial intelligence and the possibility of human contact with extraterrestrial civilizations; and accordingly, it should be no surprise that the novel 2001: A Space Odyssey engages both of these areas of interest.
The novel is divided into five sections. The first section, “Primeval Night,� which corresponds to the “Dawn of Man� section of Kubrick’s film, shows humankind as a set of man-apes teetering on the edge of extinction � until one of them, named “Moon-Watcher� in the book, awakens to find that something truly new has come into his world while he slept: “It was a rectangular slab, three times his height but narrow enough to span with his arms, and it was made of some completely transparent material; indeed, it was not easy to see except when the rising sun glinted on its edges� (p. 10).
This is, of course, “the monolith� � the enigmatic object whose geometrical precision shows that it was made by some extraterrestrial intelligence. The monolith is transparent in Clarke’s novel, black in Kubrick’s film; but either way, it is there to guide humans forward on an evolutionary path. Through images generated by the monolith, Moon-Watcher � and later, the other members of his tribe � learn to wield tools, to hunt for animal food, and even to kill enemies. All of this happens in the book without the accompaniment of the film’s C-major cadence from Richard Strauss’s Also Sprach Zarathustra, but it is no less powerful for that.
The book then leaps forward millions of years � like Kubrick’s film, with its famous bone-to-satellite matched cut � in Part II, “TMA-1.� The “TMA� stands for “Tycho Magnetic Anomaly,� referring to a magnetic abnormality that a group of lunar explorers have found on the Moon’s surface. Scientist and administrator Heywood Floyd � depicted more sympathetically in Clarke’s book than in Kubrick’s film � is bound on a commercial space flight from the Earth to the Moon. The world of Clarke’s 2001 is a world of ongoing Cold War tension, nuclear-war anxiety, overpopulation, and resource shortages. Dr. Floyd’s mission is to investigate an object found by American scientists on the U.S.-administered portion of the Moon (as opposed to the Soviet section).
The object � a monolith similar to the one encountered by “Moon-Watcher� and his fellow man-apes back in prehistoric times � is “a vertical slab of jet-black material, about ten feet high and five feet wide�.Perfectly sharp-edged and symmetrical, it was so black it seemed to have swallowed up the light falling upon it; there was no surface detail at all.� Deliberately buried � so that it could only be discovered by beings advanced enough to travel from the Earth to the Moon, and then to use scientific instruments to discover and excavate a magnetic anomaly � it is, as one of Dr. Floyd’s colleagues remarks, “the first evidence of intelligent life beyond the Earth� (p. 66).
The monolith does not divulge its secrets to Dr. Floyd, or to any others among the array of impressive scientists assembled in the Tycho Crater. What it does do, upon its first exposure to the lunar sunrise, is beam a powerful signal out toward the planet Saturn. This enigmatic behaviour on the part of the otherwise silent monolith leads directly into Book III, “Between Planets,� which charts the progress of the interplanetary voyage organized to seek out the reasons for the monolith’s puzzling actions.
This section, perhaps the most famous part of 2001: A Space Odyssey, chronicles the voyage of the spaceship Discovery toward Jupiter and Saturn. On board are three survey scientists in hibernation; mission commander David Bowman; mission assistant Frank Poole � and HAL. His name, we are told, stood “for Heuristically programmed ALgorithmic computer� (p. 92), and Clarke always insisted that the name of his computer character was not a sly reference to IBM, with each letter rolled back one. HAL is “the brain and nervous system of the ship� (p. 92), and Clarke makes no bones regarding his feelings about HAL’s ability to think, as opposed to imitate the thought process:
Whether Hal could actually think was a question which had been settled by the British mathematician Alan Turing back in the 1940s. Turing had pointed out that, if one could carry out a prolonged conversation with a machine � whether by typewriter or microphones was immaterial � without being able to distinguish between its replies and those that a man might give, then the machine was thinking, by any sensible definition of the word. Hal could pass the Turing test with ease. (pp. 93-94)
Nowadays, with the film The Imitation Game winning all sorts of awards, and Dr. Turing’s likeness being placed on the Bank of England’s 50-pound note, everyone knows Dr. Turing’s name; but the manner in which Clarke interpolates this detail into his novel shows how firmly this imaginative epic is grounded in the best science of its time.
Book IV, “Abyss,� shows the unintended consequences of creating a computer of such all-powerful intelligence. Hal detects an error in an antenna-control device, but the astronauts� examination of the device reveals no such fault. Confronted with evidence that he might have made a mistake, Hal insists that “If you check my record, you’ll find it completely free from error� (p. 138); but shortly afterward, he begins working to terminate the lives of his human shipmates.
In Kubrick’s film, the reasons for Hal’s breakdown remain unrevealed; the viewer is left to assume that Hal has simply decided that he can best complete the mission by himself, without human “interference.� Clarke, who seems to sympathize with Hal, takes pains to emphasize, in a chapter titled “Need to Know,� that Hal, whose whole purpose is to share information, has been “living a lie,� told not to reveal to his human shipmates the real reason for the Discovery mission. As Clarke puts it, the mission planners� “twin gods of Security and National Interest meant nothing to Hal. He was only aware of the conflict that was slowly destroying his integrity � the conflict between truth, and concealment of truth� (p. 152). That neurosis, in Clarke’s analysis, motivates Hal’s behaviour.
Fortunately for the future of humankind, David Bowman is equal to the challenge posed by Hal’s murderous rebellion. He bears the first name of the giant-killing hero from the Old Testament, and his surname references the bowman Odysseus � both heroes who could not defeat their enemies by physical force, and therefore had to use their wits in order to survive and prevail. Like the biblical King David and the mythological Odysseus, David Bowman finds a way to overcome Hal and continue with the mission � though he does so with remorse, and with the knowledge that Hal’s demise will leave him more alone than any other human being has ever been.
Finally learning the truth about his mission, David Bowman in Book V (“The Moons of Saturn�) heads toward the Saturnian moon of Japetus, the target of that mysterious signal emanated from the monolith on the Moon. An even vaster and larger monolith � “TMA-1’s big brother!� (p. 193), as Bowman excitedly notes � turns out to provide a sort of dimensional portal to impossibly faraway portions of the Universe; and Bowman, the oxygen in his ship running low as a result of damage caused by Hal’s rebellion, decides to approach the newly discovered “TMA-2� in one of Discovery’s space pods.
“The Star Gate opened. The Star Gate closed� (p. 203). That pithy declaration by the novel's narrator accompanies the last words that Bowman speaks in the novel: “The thing’s hollow � it goes on forever � and � oh, my God! -- it’s full of stars!� (p. 202). With that, Bowman is off on his “journey beyond the infinite� (a prospective early title for the 2001 book and film project).
In the film, of course, this section, titled “Jupiter � And Beyond the Infinite,� is a phantasmagorical light show that goes on for several minutes. In the book, Clarke must use language, and does so quite successfully, to convey the idea that Bowman goes through the Star Gate on a voyage that reveals the answers to mysteries of the Universe. And then, in accordance with his Odyssean surname, David Bowman completes his own odyssey and returns to Earth as a new type of being, as far above ordinary human beings as we are above the man-apes of the time of “Moon-Watcher.�
There is always the question, of course, of whether Clarke’s novel 2001 would be as substantial a work without Kubrick’s landmark film. Seeing 2001: A Space Odyssey at the Uptown Theatre in Washington, D.C., during a brief theatrical re-release of the film in the autumn of the year 2001, was the high point of my moviegoing life. Watching the film on the Uptown’s 70- by 35-foot Cinerama screen, I saw how every part of the screen was crammed with telling and engaging imagery, in a way that no TV showing could ever convey. There is no other movie quite like it.
People back in 1968 were reading Clarke’s novel as a sort of “Cliff’s Notes� guide to the movie, to help them through the more enigmatic portions of Kubrick’s film. Returning to the novel now, after some time away from the film, I find that 2001 the novel holds up well as a novel, comparing well with other classic Clarke works such as Childhood’s End.
I last re-read 2001: A Space Odyssey in July of 2019, around the time of the 50th anniversary of the landing of Apollo 11 on the lunar surface. The moon landing was just a year away, something eagerly anticipated all over the world, when Clarke’s novel and Kubrick’s film were released. Both the book and the film 2001 posit a world where the moon is dotted with American and Russian colonies; in real life, of course, no one has been to the moon since the Apollo 17 crew left the lunar surface in 1972. I think of the sense of wonder, the exploratory spirit, the yearning after great mysteries that is at the heart of 2001: A Space Odyssey, and ask myself: Is there something left in human beings that still reaches for the stars? Or will we continue to settle for staring into the screens of ever-more-complex telephones?