Core Principles And Applications From The Essentials of Theory U

The brilliance of Otto Scharmer is captured in this his epic creation “The Essentials of Theory U.” The write elucidates “Theory U” as an awareness based method for changing systems based on a concept called presencing- A blend of the words “presence” and “sensing,” presencing signifies a heightened state of attention that allows individuals and groups to shift the inner place from which they function.

The book draws attention to Blind Spot in i.e. the ‘source’ or the ‘inner condition’ from which individuals operate, when they act, communicate, perceive, listen, pay attention, or think. This “blind spot” exists in our everyday social interactions. We know a great deal about what people do and how they do it. However, we know very little about the inner place, the source from which they operate. Two individuals in the same circumstances doing the same thing can bring about completely different outcomes, depending on the inner place from which each operates.

“The success of an intervention depends on the interior condition of the intervener.”

This book is a great resource for individuals working in the space of development, growth and change. For behavioral change to happen speeches by leaders and tools are important however, they are not sufficient. There are plenty of invisible stuff often overlooked in organizations, such as a good holding space, intention, attention, and deep listening that lead to desirable change. The quality of listening actually co-shapes how the conversation unfolds.

The book illustrates the four archetypes of listening

• Downloading: Listening is limited to reconfirming what we already know.
• Factual: Paying attention to what is most surprising, most unexpected, or most interesting. This means cultivating curiosity and paying attention to everything that deviates from earlier expectations.
• Empathic: Stepping into the perspective of another person. This requires loving the other person and activating the intelligence of the heart. It required switching on your heart.
• Generative: requires to do nothing, do not intervene, do not disengage. Just hold space for what wants to emerge- The highest and most powerful level of listening.

Generative listening requires some intentional inner work to illuminate the ‘blind spot’ and connecting to the source. The gates are however guarded by three enemies and this makes the journey even more difficult. These enemies are:

• Voice of judgement (VoJ): Blocks the gate to open mind. Creativity starts when judgement is suspended
• Voice of Cynicism (VoC): Blocks the gate to open heart
• Voice of Fear (VoF): Blocks the gate to open will

Further, there are two more challenges that limit our ability to bring about the desired change:

• Mindless action: When we blindly implement abstract ideas without any learning
• Action less mind: Analysis-Paralysis. Discussing things to the death instead of exploring the future by doing.

The aim of the theory U method is to orient our attention to the source of our action and thought for change to happen.

Water, for instance below 0oC forms ice. If we add heat and the temperature rises above 0oC, ice melts and becomes liquid water. If we continue to add heat and temperature exceed 100oC, water begins to vaporize to steam. In all three states, the water molecules H2O are same yet the material behaves differently. This is comparable to individual, group and organizational change.

When individuals in a system shift from one pattern of behavior to another, they are, still the same, but the connections among them fundamentally change and this leads to organizational change.

The book describes the concept of “Social Fields” which is an outcome of attention we bring to a situation. There are four levels of social field related to four levels of listening.

“Listening is to a conversation what welding flame is to a piece of metal. When applied briefly not much happens, but if the flame is kept directed to the metal after a while metal changes state from solid to fluid and suddenly it is ready to be molded into different shapes. Similarly in conversations as we continue to apply deep listening over a time the conversation will drop to a deeper level, to a different state and what wants to emerge will emerge. The way I, pay attention shapes how the social reality around me emerges”

• Field 1: Habitual: When individuals, group or organizations operate from the habitual field of awareness, they interpret present situation based on their habits of the past
• Field 2: Ego system: When individuals, group or organizations operate from the Ego system field of awareness, they start to suspend past assumptions and seek to see things as they are. There is a subject-object awareness, in which they clearly differentiate between observer and observed. They begin to notice something new.
• Field 3: Empathic-Relational: When attention is redirected from object to its source and people engage in empathic awareness, they sense reality from the viewpoint of other stakeholders. They begin to see a new perspective.
• Field 4: Generative Ego system: When people let go of old identities, a new space of co-creative awareness opens up.

Most of the times individuals, groups and organizations operate from the first two states. However, great leaders, inspiring performers, disruptive innovators and high performing teams tend to operate from the entire spectrum of social fields

“The key leverage point for transformational change starts with attending to how you as the change maker related to the system that you want to change and to the system that you want to give birth to.”

Presencing enables groups and change makers to co-sense and co-create the future. Profound change and innovation requires us to suspend the downloading pattern in order to activate the generative social fields. The five movements of the “U” process are:

• Co-initiating: Uncovering shared intention
• Co-sensing: Seeing reality from the edge of the system
• Co-presencing: Connecting to the highest future potential
• Co-creating: Prototyping to learn by doing
• Co-shaping: Embodying and institutionalizing the new

The method of “U” is summarized in the following 24 principles:

Co-initiating:

• Listen to what life calls you to do
• Listen and dialogue with interesting players on the edge
• Clarify intention and core questions
• Convene a diverse core group around a shared intention
• Build a container

Co-sensing

• Build a highly committed core team
• Take learning journey to the places of most potential
• Observe, Observe, Observe: Suspend the voice of judgement and connect with your sense of wonder
• Practice deep listening and dialogue: Connect with your open mind and heart wide open
• Collective sense making: use social presencing theatre and embodied knowing

Co-presencing

• Circles: charging the container
• Letting go: The presence of the circle being
• Intentional silence: Pick a practice that helps you connect with your source
• Follow your journey: Do what you love, love what you do
• Letting come: Presencing the future wanting to emerge

Co-creating

• The power of intention: Crystallize your vision and intent
• Form a core group: five people can change the world
• Create a platform or place
• Build a prototype
• Iterate, Iterate, Iterate: Always be in dialogue with the Universe
• Seek it with your hands: Integrate, head, heart and hand

Co-shaping

• Create enabling infrastructures that allow the system to sense and see itself
• Create massive capacity building mechanisms
• Labs and platform for cultivating the social soil

Finally, the book captures the following effective practices for change makers or change facilitators that will enable them in this journey:

1. Start the day with an intentional silence. The attunement sets the tone of the day.

• Rise early
• Use a ritual that connects you with your source. It can be meditation, prayer, or anything else.
• Remember what brought you to the place in life where you are right now. What is your-self? What is your work? What are you here for?
• Make a commitment to what you want to be in service of on this day.
• Feel appreciation for the opportunity to live the life that you have right now.
• Ask for help if needed.

2. End each day with four minutes of observation, as if you are looking at yourself from outside.

• Review and make notes of instances you engaged in deep listening (empathic and generative)
• If you cannot identify a single instance of deep listening, make note of that too.
• This practice done over a period has a big impact on deep listening ability of the individual.

This epic creation is a ‘must read’ if you work in the space of development, growth, or change management. The book is sure to keep you engaged and leave you with several nuggets of wisdom that will be practically useful.