Introduction
- Why does an apple fall from the tree?
- Why does the earth revolve around the sun without falling into it?
- Why does the atmosphere not dissolve into outer space?
- Why is it so difficult to build an airplane?
These questions seem to have different answers, but of course, they share the same root cause: gravity.
In this example, gravity is the first principle that, once thoroughly understood, solves all riddles.
First principles thinking is a Magic Move you can make to advance in any area of life, from personal relationships to business decisions.
What is first principles thinking?
First principles thinking is a powerful way to simplify complex problems by identifying their root causes. It involves using open-mindedness and analytical skills to break down a challenge into its basic components and then rebuilding reality in a way that addresses the problem at hand.
The benefits of thinking in first principles.
Thinking from first principles is helpful for many reasons:
- It simplifies complex problems.
- It improves both the speed the quality of your decision-making.
- It can help to see beyond current assumptions and preconceptions. By taking a step back and looking at a condition from the originating perspective, you can often come up with new ideas and solutions.
- It allows you to question everything you know and explore all possible alternatives. When you can look at things in a new light, you can often find better ways of doing things.
- It helps you to become more self-aware. You learn to control your thoughts and emotions, which leads to a more productive and meaningful life overall.
Famous historical examples of first principles thinking.
Scientists, inventors, entrepreneurs, writers, and other creative professionals alike have used first principles thinking to come up with new theories, test hypotheses, and develop innovative solutions:
- Socrates used it to question the opinions of his contemporaries.
- The Wright Brothers used it to develop the Wright Flyer, the first successful airplane.
- Nikola Tesla uncovered some of nature’s first principles to create more than 120 inventions.
- Henry Ford used it to create the first affordable automobile.
- Steve Jobs used it to create some of the most iconic products in history.
- Isaac Newton described in mathematical equations the principles of time, force, and motion that paved the way for modern physical science. He wrote these principles down in his book The Principia (literally ‘The Principles’) in 1687.
- Albert Einstein famously went deeper into Newton’s laws of motion and developed his theory of relativity.
- Charles Darwin used first principles thinking to uncover the process of evolution.
The list goes on and on. The world would not be where it is today without the power of first principles thinking.
How to arrive at first principles?
First principles thinking requires intention, concentration, and perseverance. It involves three phases:
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Assess current reality
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Identify first principles
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Shape future reality
We have further broken down these phases:
The phases and their steps in a nutshell:
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Assess current reality
1. Observe what's happening and collect information.
2. Group the information to reduce complexity.
3. Simplify the observations by describing the characteristics of each category in a simple way. -
Identify first principles
1. Recognize the key elements that give rise to the different characteristics.
2. Understand the interplay between these elements that causes the old reality.
3. Transcend the old reality by looking at the key factors in a new light. -
Shape future reality
1. Combine these elements differently, change some of their characteristics and test the effects.
2. Reintegrate your new understanding through practical applications.
3. Expand to new, broader applications.
Practical examples
What follows are a few practical examples of this process in action.
These illustrations are not meant to analyze the problem and possible solutions completely. They are presented to motivate you to try first principles thinking the next time you have to solve a complex challenge yourself.
Example 1: Building iron ships.
Not long ago, no one thought of building ships of iron because iron does not float naturally. Nowadays, ships are seldom built of anything else, though the characteristics of iron and water have not changed. This new reality was created through first principles thinking:
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Assess current reality
1. Observe: Wood floats while iron sinks.
2. Group: Wooden items categorized by weight, size.
3. Describe: Same substance at different scale stays afloat. -
Identify first principles
1. Recognize: Weight and density matter.
2. Understand: Buoyancy depends on volume of water displaced by the object.
3. Transcend: The same principle applied to different substances would cause them to float. -
Shape future reality
1. Combine: Test hypotheses on new substances and learn from failures.
2. Reintegrate: Build iron ships.
3. Expand: Create new applications that transcend the initial question, but rely on same principle remaining true.
From this example, it is clear that:
- What has changed is not nature but the depth of our insight into the principles of nature. Our understanding has expanded to a more intelligent perception of the law of floatation: we now see that wood floats and iron sinks, as both materials are subject to the same principle working under opposite conditions.
- The principle we have uncovered is that anything will float, which bulk for bulk is lighter than the volume of water displaced by it.
- By including in our calculations the displacement of the vessel and the specific gravity of the material, we now make iron float by the very same law by which it sinks.
Archimedes famously shouted, “Eureka!” (“I’ve found it!”) when he grasped some of the first principles governing floatation. The principle of floatation is also called the Archimedes principle.
This illustrates the power of first principles thinking: Done well, you feel thrilled to have arrived at the root cause of a problem or complex question.
Example 2: Resolving workplace conflicts.
First principles thinking can be applied to resolving disputes in the workplace:
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ASSESS CURRENT REALITY
1. Observe: There are a lot of conflicts in our workplace.
2. Categorize: Visible aggression, status competition, humiliation of subordinates, blame game between departments, office gossip between employees.
3. Simplify: Interpersonal conflicts, inter-role conflicts, inter-team conflicts. -
Identify first principles
1. Recognize: We have no core values, a lousy vision, mission, and the wrong incentive structure.
2. Understand: Conflict is the outcome of this much more fundamental cause.
3. Transcend: How do the same elements produce different outcomes in other organizations? -
Shape future reality
1. Combine: Recombine these elements to get a different outcome. Test and adjust.
2. Reintegrate: Implement and keep measuring impact in real life.
3. Scale up: Apply to more teams, to customer support, product creation, etc.
Example 3: Improving people’s nutritional behavior.
In this example, we applied first principles thinking to assess why people struggle with their nutrition despite knowing which choices are good for them and which ones are not:
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ASSESS CURRENT REALITY
1. Observe: People consume all kinds of unhealthy foods and drinks.
2. Categorize: Salty foods, refined foods, high-sugar food, alcohol.
3. Simplify: When, where, with whom, and how much. -
Identify first principles
1. Recognize: Physical hunger, emotional distress, social pressure and other environmental triggers play a role.
2. Understand: These triggers are processed and create a craving for unhealthy nutrition in a situation where it is easily accessible. Poor eating habits result.
3. Transcend: We need a holistic approach that addresses both biology + physiology + sociology + environment. -
Shape future reality
1. Combine: Let's test new interventions that raise awareness of what drives nutritional behavior. Measure with metrics and create rules for different scenario's.
2. Reintegrate: Apply this new approach into people's personal reality.
3. Scale up: Scale to a larger population and create new applications that honor the same fundamental behavioral principles.
Conclusion
First principles thinking is a high-impact Magic Move. It empowers you to separate causes from effects, recognize points of maximum leverage, and create practical solutions to complex problems. The process and examples we have outlined show that your responsibility is to:
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Analyze current reality to uncover the key elements.
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Uncover the universal principles that determine how these elements manifest and interact.
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Provide the conditions that make the principles work in new ways, transcending anything in your past experience.
This framework outlines how all actual progress has been achieved up to the present. Likewise, it is how all progress must be achieved in the future. And for our personal growth, we can use this Magic Move to deal with our own challenges.
