Theory U: Leading from the Future as it Emerges

Citation

Dirani, K. (2011), "Theory U: Leading from the Future as it Emerges", Journal of European Industrial Training, Vol. 35 No. 3, pp. 291-293. https://doi.org/10.1108/03090591111120430

1 Book synopsis

Scharmer's book Theory U: Leading from the Future as it Emerges, takes the reader on a journey of self‐discovery and challenge, evaluating a new model of change thinking which powerfully incorporates established theories with a unique blend of individual and organisational framing. It is broken into three parts, each covering seven chapters. The first part introduces how Scharmer developed the U and its contributing theories. Theory U is a field theory, not a linear, mechanical process. Incorporated concepts of social technology include access through an open mind, access through an open heart, and access through an open will. Scharmer notes four levels of processing change and learning: reaction and response (level 1), redesigning the existing structure or process (level 2), changing thought patterns (level 3), and presencing, a concept which drives theory U (level 4).

Systems theory, Scharmer's foundation, has changed over the course of the twentieth century from a linear, explicit knowledge model to one where knowledge is embedded and situated in context. Scharmer charges philosophers and systems thinkers to delve deeper into life, coming from the belief that to truly know something you must love it. In this experience‐based philosophical approach, Scharmer defines threshold situations as experiences that enable us to change how we deepen our perception of a situation. Scharmer contends that organisations that do not achieve threshold moments will remain in a state of mediocrity.

In part two of the book, the U process is clearly defined. It begins with downloading: the collection of information for face‐value in negative habitual actions of repetitious behaviours which create barriers to an open mind. Seeing is a step further, and involves clarifying intentions, learning to listen, and creating space for dialogue. The next step is sensing: becoming reflective and intuitive towards the situation. The next step is by far the most powerful for Scharmer: presencing. It means “to connect with the source of highest future possibility and bring it into the now” (p. 163). In a group context it is unity of self (defined as our best possible self) and work (defined as our ultimate purpose). Only once this state is achieved can the next step of crystallising happen. Crystallising involves two unique wills: the small, shared will of intentions and the grand will of action. The stage of prototyping follows, creating opportunities to explore, experiment, and receive feedback in a small‐scale setting. Practicality, a continued connection to the purpose, and the action must all work together in this stage. The final stage of the U is performing. It requires three unique axes of evaluation for organisations, including the current value, the innovative and learning value, and the social context value.

In part three of theory U, Scharmer reiterates presencing as the most powerful stage of the U when he describes the implementation. He says to “lead profound change is to shift the inner place from which a system operates” (p. 377). Scharmer translates the conversational fields of downloading (autistic systems), to debate (adaptive systems) to dialogue (self‐reflective systems) and ultimately to presencing (generative systems). Scharmer contends that success depends on the capacity to sense emerging opportunities and to let go of old identities and structures. Scharmer expands on this notion of organisational movement to global actions which are dominated by the co‐dependence of three sectors: socialist systems (state), theocratic systems (spiritualists), and economic systems (business). Scharmer highlights the fifth level of systems thinking, the meta level, and invites the reader to explore the field structures of autistic, adaptive, self‐reflective, and generative systems. To conclude, Scharmer gives the practitioner a collaborative process that reflects the theoretical framework of the U: co‐initiating (seeing), co‐sensing (sensing), co‐presencing (presencing), co‐creating (protyping), and co‐evolving (performing). The journey of the U is a profound shift in thinking, communicating, structuring, and performing as an individual, an organisation, and a world.

2 Evaluation

Scharmer's Theory U integrates a wide variety of previous theories, creating new integrated thinking. These foundations include Schein's (1985) work with cultural studies and Senge's (1990) widely regarded system's thinking. Another hugely successful aspect of this book is Scharmer's use of diagrams for clarity and explanation. The multi‐layered perspective approach of the U theory allows the learner to understand this framework from multiple unique views. Scharmer also does an exquisite job of presenting “presencing” and his framework for a variety of audiences. Individuals and organisations on all levels are given not only diagrams and discussion, but unique illustrations, questions, and framing which pertains to their unique situation and necessity of Theory U. Another strength is the incorporation of individual responsibility within the context of the organisational impact. The wide use of examples from personal experiences, from organisational encounters, and from in‐depth interviews all beautifully weaves into a tapestry of excellence and conviction to the pertinence and value of this framework.

However, there are areas that lack clarity as to this framework. The first is the lack of clearly addressing how the pursuit of presencing will be more readily possible for perceptive and intuitive individuals. Greater discussion should be dedicated not only to learning about the presencing, but perhaps the failed presencing attempts by individuals. Also, in the book there are powerful examples throughout the writing. However, an overuse of conversation and interviews in comparison to scholarly connectivity leaves the desire for the counterpoints for the positioning. Without the scholarly review of this theoretical framework, including perceived omissions, a potential disproportionate support base of story and conversation to scholarly, historically proven and documented framework leaves the reader questioning the validity in historical and currently supported framework.

Throughout the book, Theory U calls upon the reader to experience a “higher power” of presencing. The author is clear in his sense of meditation, and eastern religious framing as he discusses these spiritual issues. In a world of political correctness and caution surrounding religion and mysticism, Scharmer embraces this as the foundation of the language, however, organisationally this may not be welcomed. Theory U also lacks addressing measurable results to this framing, a piece which is often missing from organisational change writing. Scharmer has laid out a powerful combination of theoretical history with a profound spin of “presencing”. The U framework fundamentally will empower the next generation of strategic change, organisational change, and organisational development consultants.

The quality and depth of this book is clearly its strength. Scharmer's Theory U is defined as a phenomenon; it is a frame‐work and language; and it is a methodology of working from a deeper place. The desire of this book is to drive us to a deeper sense of our personal understanding of our self (our greatest potential) and our work (our ultimate purpose). It is hard to read this book and not respond in an open manner.

3 In the author's own words

Presencing happens when our perception begins to connect to the source of our emerging future. The boundaries between three types of presence collapse: the presence of the past (current field), the presence of the future (the emerging field of the future), and the presence of one's authentic self. When this co‐presence, or merging of the three types of presence, begins to resonate, we experience a profound shift, a change of the place from which we operate (p. 165).

A Reviewers' details

This review was a collaborative work of graduate students at the University of Georgia in the Human Resource and Organisational Development program under the supervision of Dr Khalil M. Dirani (John Blake, Joan Bush, Greg Armstrong, Eudora Baltram, Nicholas Crapo, Robert Eichenberg, Nadra Hunter, Constance Kasputis, Susan Polite, Mandy Williams and Betsy Zint).