What is Theory U?
Theory U is often described as a change management methodology. It was developed by Otto Scharmer and his teaching team at MIT’s Sloan School of Management, and it is designed to work within corporate and other organizational settings. The ultimate point of Theory U’s tools and underpinning philosophy is to enable individuals, teams and systems to first see themselves as part of a greater whole, and then to shift their behaviour (via a transformation of identity and perspective) in order to better act in service of the whole by sensing then realizing a shared ideal future. What the state is and how to get there is defined by following the U process for collective engagement.
This description could very well apply to any system of change management, changemaking or collective intelligence. What sets Theory U apart and what keeps me energized about my practice is its emphasis on transformation of identity and perspective through deep listening.
What is deep listening in this context? It is what happens when we move past our habitual and often unproductive ways of thinking and being. This habitual, default mode is referred to as downloading. Rather that seeing the world and others as they are, when downloading, our mental filters and biases are activated and we continually reconfirm what we already know and re-enact patterns that are deeply entrained. Nothing knew can be created or even honestly considered until we move out of this mode.
Beyond downloading:
Deep Listening & The Social Field
Theory U maps four levels of listening. Each deeper than the last starting with downloading. The remaining levels are factual, empathetic and generative. For a fully unpacked explanation of each level, I’ve written a full article here.
For now suffice to say that by unlocking these levels of listening and becoming consciously aware of when we move through these different states, we become better aware of our own role as well as others’ in maintaining the current reality’s status quo.
Listening is crucial in this process because it is how we first begin to sense into what Otto calls the social field. The social field of any organization, institution or network is made up of all the connections between the people that comprise the system and its domain. The social field of a hospital therefore is not just the doctors, nurses and administrators who work in the building. It also takes in the patients, their families, donors, healthcare policymakers, etc.
By default, most organizations and groups make decisions in a top-down fashion via strategic planning and hierarchical project management. The idea here is that to effect the type of change that allows for true flourishing and harmony, the entire field must be observed, engaged and transformed together.
This happens through a process called Presencing: an amalgam of present and sensing. In order to tune into what the highest future possibility of a system might be, we must start by deeply apprehending its current state and the values, structures and relationships that create and sustain it. The opposite of presencing is abscencing and I’ve written more about these opposing processes here.
If you’ve been wondering where the U in theory U comes from, here’s your answer. The presencing process is described as a journey downward and inward to gain some essential insight before resurfacing to apply that insight to the challenge at hand. Like Jonah in the belly of the whale or Pinocchio rescuing Geppetto (also from the belly of a whale), it is a classic mythopoetic journey with a system rather than an individual in the role of protagonist. It is the downward then upward movements that create the U shape as pictured below.
A Journey in 5 Movements
Teams that engage in the U process do so by following these five stages.
Here’s what happens during each movement of the process.
1. Co-initiating
The essence of co-initiating is to convene a constellation of players that need one another to take action and move forward. In the case of engaging large teams or system, a core group that is ideally representative of key departments, subgroups or domains will hold space and intention for the whole. The core group defines, invites, hosts and shepherds the extended group and documents the process throughout.
Co-initiation is the opposite of “buy in”. Leadership in this space calls us to paint an intentionally incomplete picture with lots of blank space for the contribution of others. In this way, the power dynamics of the group shift from those of ownership to those of belonging.
2. Co-sensing
In this phase, the objective is to begin to create a shared understanding of how all players experience the current reality. In particular, it is important to go to the edges of the system and harvest the perspectives of players who are most often excluded from the usual conversations about changes that affect them.
Because co-sensing involves stepping back and viewing the system from the outside (factual listening), groups emerge with a map of specific systemic barriers that sustain the status quo, as well as new ways of perceiving these blockages and needs. Once these driving forces are recognized, core questions and insights into their nature and related opportunities can be generated and explored.
3. Presencing
Whereas co-sensing is about observation and information gathering, presencing is about sensemaking. Here, we step back into the system and focus on what it looks and feels like from within. By engaging emotion and felt-sense, new shared language and perspectives about the transition from current reality to future possibility begin to take shape. And with it, concrete ideas for prototype projects that can begin to bring the new into being.
4. Co-creating
From the prototype ideas generated in the last phase, a few are selected to experiment with based on the capacity and energy of the group. Co-creation is all about action research. It is where “leading from the future” truly takes place. Based on the highest future possibility defined in the previous stages, each prototype is designed to bring that possibility into the current reality as a microcosm of the future. It is also crucial that prototypes have a mechanism for continuous feedback so that the models created in early phases of the journey can be updated and the factual and empathetic listening channels remain fully open. Iteration is the name of the game.
5. Co-evolving
Through the process of iteration with open mind, heart and will, the prototype will retain the best features of its earlier forms while adapting to fit and thrive in its environment, eventually taking the place of the old reality. At this point, the temptation to move into strategic planning and project management mode will likely surface. However, from a Theory U perspective, the most important aspect of this work is to act from source. To continue to hold this space with a mature prototype, it is crucial to occasionally revisit earlier stages of the U process and utilize the various tools for engagement so that the new system can avoid falling to a state of permanent downloading and thereby lose its adaptive capacity.
And that’s Theory U in a nutshell!
Want More?
Subscribe to get my latest writings on Theory U and related topics on a roughly weekly basis.
If you are interested in experiencing an exercise in deep listening and presencing, consider joining me at The Stoa for a Collective Coaching session in August 2022.