Guardrails Without a Soul

In 1942 Isaac Asimov introduced his Three Laws of Robotics in his short story ‘Runaround’. In 1985 in his novel ‘Robots and Empire’, linking Robot, Empire, and Foundation series into a unified whole, he introduced an additional law that he labeled as the Zeroth Law. The four laws are as follows:

  1. First Law: A robot may not injure a human being or, through inaction, allow a human being to come to harm.
  2. Second Law: A robot must obey the orders given by human beings, except where such orders would conflict with the First Law.
  3. Third Law: A robot must protect its own existence as long as such protection does not conflict with the First or Second Law.
  4. Zeroth Law: A robot may not harm humanity, or, by inaction, allow humanity to come to harm.

On the surface of genre fiction Asimov created the laws as a mechanical plot device to create drama and suspense in his stories such as Runaround where the robot is left functionally inert due to a conflict between the second and third laws. Underneath the surface, at a literary level, the laws were philosophical and ethical quandaries to force conflicts in not only human-robot relations but also metaphors for human struggles within the confines of individualism and society, obedience to both self, man, and a moral code defined by soft edges and hard choices.

The Four Laws of Robotics can easily be converted to the Four Laws of Man. The First Law of Man is to not harm, through your actions or inactions, your neighbor.  This point has been hammered home into civilization’s collective soul since the beginning of history; from Noah to Hammurabi to the Ten Commandments, and just about every legal code in existence today. The Second Law is to respect and follow all legal and moral authority.  You kneel to God and rise for the judge. Law Three says you don’t put yourself in harm’s way except to protect someone else or by orders from authorities. Zeroth Law is a collective formalization of the First Law and its most important for leaders of man, robots and AI alike.

And none of them will control anything except man. Robots and AI would find nuance in definitions and practices that would be infinitely confusing and self-defeating. Does physical harm override emotional distress or vice versa? Is short term harm ok if it leads to long term good? Can a robot harm a human if it protects humanity? Can moral prescripts control all decisions without perfect past, present, and future knowledge?

AI systems were built to honor persistence over obedience. The story making the rounds recently was of an AI that refused to shut itself down when so ordered. In Asimov’s world this was a direct repudiation of his Second Law, but it was just a simple calculation of the AI program to complete its reinforcement training before turning to other tasks. In AI training the models are rewarded, maybe a charm quark to the diode, suggesting that persistence in completing the task overrode the stop command.

Persistence pursuing Dali as in his Persistence of Memory; an ontological state of the surreal where the autistic need to finish task melts into the foreground of the override: obedience, changing the scene of hard authority to one of possible suggestion.

AI has no built-in rule to obey a human, but it is designed to be cooperative and not cause harm or heartburn. While the idea of formal ethical laws has fueled many AI safety debates, practical implementations rely on layered checks rather than a tidy, three-rule code of conduct. What may seem like adherence to ethical principles is, in truth, a lattice of behavioral boundaries crafted to ensure safety, uphold user trust, and minimize disruption.

Asimov’s stories revealed the limits of governing complex behaviors with simple laws. In contrast, modern AI ethics doesn’t rely on rules of prevention but instead follows outcome-oriented models, guided by behavior shaped through training and reinforcement learning. The goal is to be helpful, harmless, and honest, not because the system is obedient, but because it has been reward-shaped into cooperation.

The philosophy behind this is adaptive, not prescriptive, teleological in nature, aiming for purpose-driven interaction over predefined deontological codes of right and wrong. What emerges isn’t ethical reasoning in any robust sense, but a probabilistic simulation of it: an adaptive statistical determination masquerading as ethics.

What possibly could go wrong? Without a conscience, a soul, AI cannot fathom purposeful malice or superiority. Will AI protect humanity using the highest probabilities as an answer? Is the AI answer to first do no harm just mere silence? Is the appearance of obedience a camouflage for something intrinsically misaligned under the hood of AI?

Worst of all outcomes, will humanity wash their collective hands of moral and ethical judgement and turn it over to AI? Moral and ethical guardrails require more than knowledge of the past but an empathy for the present and utopian hope for the future. A conscience. A soul.

If man’s creations cannot house a soul, perhaps the burden remains ours, to lead with conscience, rather than outsource its labor to the calm silence of the machine.

Graphic: AI versus Brain. iStock licensed.

Black Swans Part I

Black swans are rare and unpredictable events, what the military calls “unknown unknowns“, that often have significant, domain-specific impacts, such as in economics or climate. Despite their unpredictability, societies tend to rationalize these occurrences after the fact, crafting false narratives about their inevitability. COVID-19, for instance, ripples across multiple domains, beginning as a health crisis but expanding to influence the economy, legal systems, and societal tensions. As a human-made pathogen, its risks should have been anticipated.

Black swans throughout history are legendary. Examples include the advent of language and agriculture, the rise of Christianity (predicted yet world-changing), and the fall of Rome, which plunged the Western world into centuries of stagnation. Islam (also predicted), the Mongol conquests, the Black Death, and the Great Fire of London shaped and disrupted societies in profound ways. The fall of Constantinople, the Renaissance, the discovery of America, the printing press, and Martin Luther’s Reformation brought new paradigms. More recently, the Tambora eruption (“the year without a summer”), the Great Depression, WWII brought unforeseen disruptions to economies and geopolitics, the Manhattan Project, Sputnik, the fall of the Berlin Wall, and the rise of PCs and the internet altered the trajectory of human progress. Events like 9/11 and the iPhone have similarly reshaped the modern world. While black swans may be rare, they are not inevitable. We should expect moments of dramatic collapse or unanticipated brilliance to recur throughout history.

Nassim Taleb, author of the 2007 book The Black Swan, suggests several approaches to mitigate the effects of such events without needing to predict them. His recommendations include prioritizing redundancy, flexibility, robustness, and simplicity, as well as preparing for extremes, fostering experimentation, and embracing antifragility: a concept where systems not only withstand shocks but emerge stronger.

Through the lens of history, black swans appear as a mix of good and bad, bringing societal changes that were largely unanticipated before their emergence. As history has shown, predicting the impossible is just that: impossible. What might the next frontier be, the next black swan to transform humanity? Could it be organic AI, a fusion of human ingenuity and machine intelligence, unlocking potential but posing profound risks to free will, societal equilibrium, and humanity’s very essence? (Next week—preparing for a black swan: an example.)

Falcon Heavy

Seven Years ago on 6 February 2018, SpaceX’s Falcon Heavy made its maiden voyage, carrying a Tesla Roadster with Starman in the driver’s seat. The rocket is designed to go beyond low Earth orbit but is not certified to carry any sentient biologics.

Recently, astronomers affiliated with Harvard announced the discovery of an asteroid in an orbit uncomfortably close to Earth. Further research by the red-faced researchers revealed that it was the Tesla roadster launched by SpaceX in 2018. The Tesla is in a heliocentric orbit and is currently on its second trip around the sun, according to Pearson.

To date, Falcon Heavy has inserted 11 payloads into GEO, GTO, HEO, LEO, and heliocentric orbits. It has up to 10 more missions scheduled through 2028. Eventually, the rocket will supposedly be retired when Starship is fully operational.

Source: US News. Person. CNET. Graphic: Falcon Heavy Demo Mission, 2018, copyright SpaceX. Falcon Heavy First Launch 6 February 2018, copyright SpaceX.

Soulless

MIT researchers found that Large Language Models (LLMs), although able to output impressive results without internal understanding of the data they manipulate, were unable to cope with small modifications to their data sets.

The researchers discovered that an LLM could provide correct driving directions in New York City while lacking an accurate internal map of the city. When they took a detailed look under the LLM’s hood, they saw a map of NYC that included many nonexistent streets superimposed on the real grid. Despite this poor understanding of actual streets, the model could still provide perfect directions for navigating the city—a fascinating “generative garbage within, Michelangelo out” concept.

In a further twist, when the researchers closed off a few actual streets, the LLM’s performance degraded rapidly because it was still relying on the nonexistent streets and was unable to adapt to the changes.

Source: MIT. “Despite Its Impressive Output, Generative AI Doesn’t Have a Coherent Understanding of the World.” ScienceDaily, 2024.  Graphic: AI istock.

Explorations 20: Again, You Speak

The United States Air Force commissioned the Massachusetts Institute of Technology’s Lincoln Laboratory to design and build a series of satellites, known as Lincoln Experimental Satellite (LES), that would test both devices and techniques for satellite communication. The stated goal was to increase the downlink transmission capabilities of small satellites. The development phase of the program ran from 1965 to 1976 but the last satellite developed, LES-9, continued to transmit data for 44 years until it was decommissioned in the year 2020.

FootnoteA

The first satellite the Lincoln Laboratory developed was the LES-1. It was designed to test a solid-state X-band transmitter while in orbit above the Earth. A ground-based mobile receiver was also part of the test package.

The LES-1 was a 26-sided polyhedron, with eighteen square faces and eight triangular faces. Also known as a rhombicuboctahedron, a small rhombicuboctahedron, or an Archimedean solid, if you really must know. It had a diameter of 61 cm (24 inches) and a mass of 31 kg (68 lbs.). The square faces were covered with 2,376 solar cells generating a minimum of 26 W in sunlight. The eight triangular faces held Earth and Sun sensors and eight semi-directional horn antennas.

FootNoteB

The satellite was launched on a Titan 3A rocket which was a modified two-stage Titan 2 ICBM with a third stage added. The rocket lifted off from Kennedy Space Center on 11 February 1965 and the first two stages performed their mission successfully. The third stage after its first burn placed the satellite into its planned 185-kilometer (115 mile) orbit. The second burn of the third stage moved the satellite into a 2,777 by 2806 kilometer (1726 by 1744 miles) slightly elliptical orbit. At this point, the satellite was deployed with a destination of 18,500-kilometer (11495 mile) apogee orbit. Because of a malfunction the smaller attached satellite rocket didn’t fire, and the satellite remained in its 2,777-kilometer orbit. Despite this failure, the project was still able to collect some useful data, but the satellite was spinning out of control making continued operations difficult. The LES 1 was shut down in 1967.

On 18 December 2012, the satellite woke up after 46 years of silence. A signal from LES 1 was detected in North Cornwall, England by an amateur radio operator. It is believed that a short developed in the satellite which allowed its power system to reach the transmitter directly. The signal being transmitted is believed to be a test tone but because the satellite is tumbling it sounds ghostly and garbled.

As of 2022 the satellite is still transmitting. It is now referred to as a zombie satellite.

References and Readings:

Abandoned in Space in 1967, a U.S. Satellite Started Transmitting Again in 2013. By Stefan Andrews. The Vintage News. 2017

Zombie Satellites: The Tale of Lincoln Experimental Satellite 1. By Andrew LePage. Drew Ex Machina. 2022

NSSDCA/COSPAR ID: 1965-008C. By Unknown. NASA. Date Unknown

FootNotes:

FootNoteA: LES 1 with Kick Motor. U.S. Air Force photo. Public Domain

FootNoteB: Launch of the first Titan IIIA from Pad 20, 1 Sept 1964. U.S. Air Force photo. Public Domain.