Theory U

Theory U is a framework for leading change and innovation developed by Otto Scharmer, a senior lecturer at the Massachusetts Institute of Technology (MIT). It is based on the idea that the quality of our actions and decisions is determined by the quality of awareness from which they arise. The goal of Theory U is to help individuals and organizations become more aware of their surroundings and to act on that awareness in order to bring about positive change. It is a holistic approach that considers not only the technical aspects of a problem, but also the social, cultural, and political factors that may be contributing to it. Theory U has been applied in various fields, including business, education, and public policy.

Theory U is a change management method and the title of a book by Otto Scharmer. Scharmer with colleagues at MIT conducted 150 interviews with entrepreneurs and innovators in science, business, and society and then extended the basic principles into a theory of learning and management, which he calls Theory U. The principles of Theory U are suggested to help political leaders, civil servants, and managers break through past unproductive patterns of behavior that prevent them from empathizing with their clients' perspectives and often lock them into ineffective patterns of decision making.

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Theory U : Dissociation

Otto Scharmer was intrigued by this phenomenon when he was working as a lecturer at the Massachusetts Institute of Technology (MIT) and therefore he decided to write Theory U (2009). With his Theory U (or u theory), he tries to provide points of reference so that people dissociate themselves from their habitual way of thinking. He explains in which way an individual can make their own contribution to possible solutions that are in tune with what society actually needs. Theory U is about personal leadership and a different way of thinking.

What is the Theory U model?

The Theory U, co-developed by Otto Scharmer, is represented as a U shape that moves from the left-hand side of the U to the right-hand side of the U. An individual will have to open their mind to new ideas first and they must not be obstructed by thoughts and emotions.

It is not until these obstructions are lifted that the will arises to change effectively. From this point onwards, the theory on the right-hand side slowly works in an upward direction towards reintegration and acceptance of new and innovative ideas. From this point onwards new ideas can be used in practice.

1. Co-initiating common intent: Stop and listen to others and to what life calls you to do. 5. Co-evolving through innovations: ecosystems that facilitate seeing and acting from the whole.
2. Co-sensing the field of change: Go to the places of most potential and listen with your mind and heart wide open. 4. Co-creating strategic microcosms: Prototype the new to explore the future by doing.
3. Presencing inspiration and common will: Go to the threshold and allow the inner knowing to emerge.


Theory U : Cooperation

By joining forces and working well together at all levels in organizations people are capable of relinquishing established ideas, practices and even identities. According to Otto Scharmer, this results in new ideas and solutions that can make a contribution to the environment and to the future.

Listening

A prerequisite for establishing good 'presencing' is the way in which we are able the listen. Scharmer has divided listening into four levels:

1. Downloading

When transferring information that is already largely familiar, people only listen to reconfirm what they already know.

2. Factual listening

People only listen attentively when the information is different from what they know. This new information is added to the information that is already known.

3. Empathic listening

By empathizing and seeing through someone else's eyes, people are able to understand and respect the other person.

4. Generative listening

People listen to create without their personalities getting in the way of results. By connecting their own intuition with the environment, they tap into pure thoughts and ideas.

Theory U is practice oriented

In practice managers use this as an important tool to encourage employees to deal with certain situations differently and to have an open mind with respect to new and different thoughts. A number of specific characteristics of Theory U that are linked to practice:

Holistic approach of Theory U

Theory U has a holistic approach that can be traced back to Buddhism, Taoism and Sufism. It is important to go beyond the personality and to start looking for the 'true self'. Theory U enables people throughout organizations to let go off the prevailing approach that is based on the past and to focus more on the future. This enables them to take a critical look at themselves and as a result they will then embrace their own intuitions and those of other people.

Lesson 3: Adopt the approach used in software development: prototype, test, iterate.
"Changing the world" is a tall order, and most people wouldn't even know where to begin. But Scharmer does: start with agile development. It breaks down into 3 steps:

  • Prototype.
  • Test.
  • Iterate.

When you prototype, you have to accept that the initial outcome will not be perfect. Prototypes are not meant to be a finished product, but a way for a leader to learn by gathering feedback.

When you put your idea out there before it's complete, you instantly get information about what works and what doesn't. This first test allows you to make necessary adjustments to your strategies before you invest a lot of time or money in them.

Next, continue to iterate and integrate feedback. This way, you'll improve incrementally until your project reaches the desired shape. That's exactly how agile software teams operate.

They put the prototype to test as fast as they can. They gather user feedback and implement the necessary changes. Then they "lather, rinse, repeat" this process until the final product emerges.

Thanks to this way of working, they don't fear failure or give in to unnecessary perfectionism. And neither should you.


Mulder, P. (2012). Theory U by Otto Scharmer. Retrieved from toolshero:

From Wiki:

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  • Notice (Downloading, (suspending), seeing, (redirecting), sensing, (letting go))
  • Reflect (Presensing, (letting come), Crystallizing)
  • Try ((enacting), prototyping, (embodying), performing)