What is First Principles Thinking?
First principles thinking is a powerful problem-solving approach based on fundamental assumptions that cannot be broken down any further. It helps us cut through the noise and focus on the core elements of a problem.
Why is it important?
First principles thinking challenges the existing assumptions and allows us to question why things are the way they are. For instance, let’s consider the design of refrigerators. Traditionally, the freezer is located on top and the food storage area at the bottom. This arrangement was unquestioned for a long time. But why was it designed that way? Let’s dig deeper.
How can we apply it?
There are two recommended methods to apply first principles thinking:
Socratic Questioning: This involves a series of steps.
- Clarifying your thinking:
Why do I believe this? What exactly do I believe? - Challenging the assumptions:
How do I know this is true? - Looking for evidence:
Find sources and data to support your hypothesis. - Considering alternative perspectives:
What other viewpoints exist? - Examining the consequences and implications:
What if I’m wrong? What are the consequences of that? - Questioning the original questions:
Why did I think that? Was I correct?
The Five Whys: This method involves asking “why” multiple times until you reach the root cause of the problem. If the answer you get is based on tradition, beliefs, or cultural myths, you have likely reached a dogma.
Example: Refrigerator
Personally, I find the Five Whys method easier to remember and apply in practice. So, let’s revisit the example of refrigerators. Why do refrigerators have freezers on top? The answer lies in the principle of natural circulation. Basic physics tells us that cold air is denser than warm air, meaning it is heavier. As a result, through natural convection, cold air from the top flows down, cooling the air underneath and keeping the items below cool. If we peel back another layer of this onion, we gain further clarity. Older refrigerators were essentially ice-boxes, as depicted in the image below.
So, imagine this: in the old days, ice was placed in the top compartment of refrigerators, relying on natural convection to cool the items below. But hold on, modern refrigerators have ditched the reliance on natural convection. They now utilize forced convection in a closed-loop system. Why? Well, some argue that it’s easier for the compressor to push against gravity rather than working against it. But that does not still necessitate the freezer on the top. Of course now the latest designs are thankfully not constrained by this philosophy.
Example: Modern Railroad
Now, let’s dive into a captivating example that will blow your mind. Prepare to be amazed!
The standard railroad gauge in the United States is 4 feet, 8.5 inches. It seems like such an odd number, doesn’t it? But here’s the fascinating reason behind it. The gauge was adopted from England, as the US railroads were constructed by English expatriates.
But wait, why did the English build them with that gauge? It turns out, the first rail lines were constructed by the same folks who built pre-railroad tramways. And guess what? They used the same gauge.
Now, let’s take a step back and ask, why did “they” use that gauge for the tramways? Well, the people who built the tramways used the same jigs and tools they used for building wagons. And those wagons? You guessed it right. They had that particular odd wheel spacing.
But why did the wagons have that specific wheel spacing? If they had used any other spacing, the wagon wheels would break on some of the old, long-distance roads in England. Yes, that’s right—the spacing of the wheel ruts dictated the wheel spacing on the wagons.
But who built those old rutted roads? They were built by none other than Imperial Rome for their legions. Those roads have been used for centuries, and the ruts formed by Roman war chariots became the standard. Everyone else had to match those ruts to avoid destroying their wagon wheels. And since the chariots were made for (or by) Imperial Rome, they all had the same wheel spacing. Fascinating, isn’t it?
So, because of an ancient decision made by the Romans, we are still stuck with an odd gauge width for our railroads. This, in turn, influences the size of items that can be transported via railways. It’s incredible how assumptions from the past shape our present realities. That’s precisely why questioning assumptions is at the core of first principles thinking.
Why is this difficult?
Now, let’s explore why challenging assumptions can be a bit tricky.
In the earlier examples, we saw how form followed function. The design of the refrigerator was dictated by the need for cooling, based on the earlier ice box designs. However, we have yet to realize split refrigeration systems that could offer localized temperature control, similar to split air conditioners.
Here’s an intriguing fact: back in the early ’90s, a group of psychologists, led by Ronald Finke, made a fascinating discovery. They found that when it comes to creating something new, people are naturally better at uncovering the potential benefits of an existing form rather than creating an entirely new form to fulfill a specific need. This discovery sparked a new thinking approach called “Function Follows Form.”
Now, take a moment to look at the picture below. What do you see?
Most would picture this as an old television from the 80s. In our initial thought the form of the television came first, and then its function followed suit. It’s easy to see how this chronological order of form preceding function can constrain our design thinking. If we were tasked with designing a television during that era, we would likely be confined to such a setup.
Now, let’s shift our focus to bicycles. When asked to design a bicycle, most of us would start with the conventional two-wheeled form, making incremental improvements like handlebars or seats. This incremental thinking tends to hinder breakthrough innovations. The design of the bicycle, in turn, gave rise to its counterpart, the motorcycle. Even the most modern motorcycles today remain faithful to this basic form. One might argue that if something was designed in a particular way, there must have been a reason behind it. So instead of completely redesigning from scratch, why not build upon the existing design through innovation? While this assumption may hold some truth, it is crucial to question the underlying assumptions behind these designs.
Here’s where thinking techniques like TRIZ (Theory of Inventive Problem Solving) and SIT (Systematic Innovation Thinking) come into play. These methods break free from the mold, allowing us to prioritize function first and form later. They are rooted in the mental model of thinking based on first principles.
Now, let’s delve into the fascinating concept of flying cars. When someone wonders why flying cars are not yet a reality, they are often inspired by movies like “Back to the Future,” where cars take to the skies. But guess what? Flying cars already exist, and we call them airplanes. The only thing holding us back is our attachment to a specific form that limits our thinking.
So, the next time you find yourself pondering a problem or embarking on a design journey, remember to prioritize the function—the core purpose and essence—before getting caught up in the form. Embrace the power of first principles thinking and unleash your creativity to discover groundbreaking solutions and ideas.