The Essentials of Theory U: Core Principles and Applications

by C. Otto Scharmer

Creating a Better FutureThis book offers a concise, accessible guide to the key concepts and applications in Otto Scharmer's classic Theory U. Scharmer argues that our capacity to pay attention coshapes the world. What prevents us from attending to situations more effectively is that we aren't fully aware of that interior condition from which our attention and actions originate. Scharmer calls this lack of awareness our blind spot. He illuminates the blind spot in leadership today and offers hands-on methods to help change makers overcome it through the process, principles, and practices of Theory U. And he outlines a framework for updating the “operating systems” of our educational institutions, our economies, and our democracies. This book enables leaders and organizations in all industries and sectors to shift awareness, connect with the highest future possibilities, and strengthen the capacity to co-shape the future.

Genres: Leadership, Business, Nonfiction, Management, Philosophy, Professional Development, Psychology

192 pages, Kindle Edition

First published January 1, 2018

About the author

Dr. C. Otto Scharmer is a Senior Lecturer at the Massachusetts Institute of Technology (MIT) and founding chair of the Presencing Institute. Otto introduced the concept of “presencing”—learning from the emerging future—in his bestselling books Theory U and Presence (the latter co-authored with Peter Senge et al.). In 2015 he co-founded the online MITx u.lab, which has since activated a global eco-system of societal and personal renewal involving more than 100,000 participants from 185 countries. Otto received the Jamieson Prize for Excellence in Teaching at MIT (2015) and the Leonardo European Corporate Learning Award (2016). His new book, The Essentials of Theory U (March 2018), focuses on the core principles and practical applications of awareness-based systems change in the context of reinventing our economies, democracies, and educational systems.

For more information visit www.ottoscharmer.com.

Reviews

[Lisa Kosak · Rating 4 out of 5]

Over ten issues ago Theory U was published, and it was over 500 pages that contained numerous tables, graphs, and other insights. The author C. Otto Scharmer just released a condensed version of his original book called The Essentials of Theory U – Core Principles and Applications. This version of the book is only 157 pages and has some great insights for leaders and is the perfect size with wisdom to keep handy as you meet daily challenges.

Theory U encourages us to look at the world with fresh eyes. We need to be more cognoscente of how we pay attention to if at all, problems to avoid looking at everything as a “blind spot”. We need to be open to listening to our inner selves and be aware of any blind spots so that we can make change that sticks and benefits others.

There are three key elements to Theory U:

1. Develop a framework for recognizing blind spots with our leadership and any system changes.
2. Find a method for implementing an awareness-based shift that encompasses processes, principles, and other outside forces.
3. Develop a new “narrative” for societal changes and impacting all of our mental and institutional operating systems.

The book thoroughly explains the Theory U and delves into the various issues that happen with blind spots and how it impacts us as leaders. Scharmer offers up some actionable methods and ideas to help leaders change and take action looking beyond blind spots. I was uplifted at the author’s framework to help me develop a better awareness and be open to alternative possibilities. We need to be more present while sensing everything around us and ask for more openness and understanding from those around us.

The Essentials of Theory U is a useful paired down version of the original book. It’s a book that you will want to read carefully to pick out which nuggets will assist you in your daily challenges. It may be beneficial to take a few notes to reference and it’s a more substantial read than most of us may be accustomed to reading but well worth it.

[Mario Sailer · Rating 2 out of 5]

While the Theory U makes sense when looking at the process, I missed the scientific groundwork that corrobates the theory. It seems to be more grounded on philosophy than on sound research. When it comes to the proposed practices, I am highly skeptical.
For me, the theory is way to esoteric. Yes, we need a higher level of awareness, we need to know our „source“, the deeply ingrained believes and assumptions that guide our thinking and action. But they won’t change just by „opening our heart“. And yes, it is paramount to look at problems from different viewpoints. And again „opening our heart“ won’t do the job in my view. It is just a superficial solution. Accepting that there are different personalities (the big five) with different mental models shaped by different cultures that we have to deal with, and trying to come to a common understanding and devising solutions that serve (almost) all needs is the actual challenge here.
Putting the esoteric stuff aside, I find that the Theory U resembles a mixture of The Responsibility Process and Design Thinking / Lean Start-Up. What I actually missed is a real system view from the outside, one that deserves the term „System Thinking“.

[Eugene Pustoshkin · Rating 5 out of 5]

It is a brief summary of the key points of the Theory U framework and presencing. It can be seen as an introductory companion to the larger book Theory U. Otto Scharmer is a good writer, and reading his books gives pleasure.

[Amanda · Rating 2 out of 5]

Read for a class.

I had some difficulty understanding the various overlaps of the "U" but I did get the gist. Scharmer's theory is at times complicated and at others very simple. I appreciated the explanations and real world examples more than the diagrams of the "U".

[Suhrob · Rating 1 out of 5]

Wow... I had Theory of U queued up since a long time, but given its length I was happy to see a "condensed/intro" book on Scharmer (MIT, came highly recommended).

But holly-molly, does the emperor have no clothes!

This is a terrible intro to anything - it is not systematic, terms (all "*-ings") are often used without much explanation and even if it short it manages to repeat and meander enough.
Nonetheless what comes across is a kind of hip, but empty conceptual frameworks (to locate it vaguely in the meme-space think design thinking, systems theory/complex systems - but everything dumbbed down and woolly-packaged).

I'm sure it is great to sell workshops for good intentioned people wanting to "save the world"... and corporations wanting to sell an image of caring & thoughtfulness.

The summary did work in the sense that I removed Theory of U from my to-read list.

[Mgilbert · Rating 5 out of 5]

Theory U is an important work on leadership in an everchanging environment. This is a leading work in the current paradigm shift from pushing for change through conflict and protest to change through conversation. He advocates for deep conversations that include good, careful listening and sharing that reach to the future and generate creative responses to the challenges we face. He applies this at every scale from small groups to corporations and governmental structures. The original volume is several hundred pages. This compact version is a good summary without all the applications and examples. Since I first encountered this theory, it has turned up in many places and, I believe, offers hope for real change, thoughtful and sustainable solutions, and greater peace.

[Garry Turner · Rating 5 out of 5]

This truly is a must read for anyone that has an interesting in reversing the over-consumption of our current society.

This book walks you through background context (such as 8 billionaires owning as much wealth as half of the rest of humanity on earth), offers processes & systems to help enact change and finally leaves you feeling that you really do have the power to be part of transformational change.

This book really is accessible and open to anybody. Those that work in change, OD, HR or leadership will find particular resonance.

[Sandra C · Rating 5 out of 5]

I read this whilst doing the U.lab on edx and found it extremely helpful for both accompanying the course and for life in general.
It is very easy to read, though it has lots of depth in it, and it suited my willingness to learn more about Theory U when I didn't have the time to read the original book.

[Rebecca Epting · Rating 5 out of 5]

This is a really beautiful book about making systemic change. I never really understood how mindfulness could be connected to large system changes, but this book does it beautifully. Very meta, but very empowering.

[Amine Delage · Rating 5 out of 5]

Open eye and heart book

I loved the theory and shares cases
Insightful References
A paradigm shift to create a better world
I certainly recommend this book to executives coaches, supervisors and leaders who want to be part of a better future world

[John Oswald · Rating 4 out of 5]

A recent course on Sustainability led me to this rather cryptic looking book. What is Theory U? And why does it need an 'essentials' companion volume? I was slightly sceptical... But having read this thing of wonder, I'm really wondering where it's been all my working (and learning) life. When you get past the (considerable) jargon and linguistic superstructure of the core idea, it's like a grand overarching Theory of Everything, except from the bottom-up - consciousness itself. Grand narrative it is not; a guide to living and working meaningfully for the good of societies and the planet, it definitely is. As a good friend pointed out, there should be a word for that feeling you get when someone's put into words what you'd only experienced as a feeling. Otto Scharmer speaks from a place of having helped countless organisations with pretty pointy business / societal challenges, but he comes back to the essentials of the Theory which is his life's work - a framework, a method and a movement. A way of going beyond simply 'downloading' your usual, instinctive reaction to things but instead deeply listening, reflecting future possibility by embracing the collective - the 'eco' rather than the 'ego'. It's a 'consciousness-based systems thinking' approach. I could go on - you see what I mean about esoteric jargon? But in this, he's really hit on something which many religions have been teaching for millennia, and which only recent mainstream business thinkers have started to embrace - that there's an essential interconnectivity of everything, and that by listening to, knowing yourself, and opening yourself up to others and their collective possibilities might just be the thing that really helps us get on a better track... If I sound slightly breathless, it's because I can really see how to apply a lot of this. Excited. I can also see a lot of potential obstacles - it’s easy to get swept up in these things in our rather more prosaic, pragmatic surroundings, but still. @ottoscharmer @presencing #theoryu #ulab #guehennoreads #booksofinstagram #booksof2022

[Rick Lindeman · Rating 4 out of 5]

Toen Otto Scharmer na de val van de Berlijnse muur in de archieven van de Stasi mocht kijken wat over hem was geschreven in zijn dossier, stond er eigenlijk maar weinig. Maar wat er stond trof hem: 'Hij inspireert leiders van de [West-Duitse] oppositiebeweging'. En dat doet Scharmer eigenlijk nog steeds. Hij inspireert mensen die verandering proberen te brengen.

Er zijn veel manieren om je zijn Theorie-U eigen te maken. Zo is er een razend succesvolle MOOC (Massive online open course), waar mensen zelf aan de slag gaan met zijn theorie. In 'Hubs' doen ze dat ook gezamenlijk. Vorig jaar was ik er op één, waar we live keken naar Scharmer, en vervolgens aan de slag gingen met een veranderingsvraagstuk.

Dit boek heeft Scharmer geschreven om een toegankelijke inleiding te geven in zijn theorie, mede op instigatie van zijn uitgever: 'Otto, je grote werk is dan wel succesvol, maar als ik eerlijk ben eigenlijk onleesbaar'. Hij mixt zijn persoonlijke ervaringen (zijn jeugd op het platteland, ontmoetingen met filosofen) met de kernprincipes van zijn theorie.

In Theorie U gaat Scharmer er vanuit dat echte verandering pas kan ontstaan als je je verbindt met je bron. Gewoon luisteren is niet genoeg: je gaat zonder oordeel luisteren, empatisch en zonder vrees. Dan ontstaat er ruimte voor vernieuwing. Dat heet in Scharmers' termen 'Presencing'. Vanuit hier ga je weer omhoog in de U. Je laat je visie uitkristalliseren. Vervolgens neemt Scharmer van Design Thinking de focus op Prototypen over (Faal snel, faal vaak) zodat je uiteindelijk kan de verandering kan bewerkstelligen.

Theorie U bevat genoeg handvatten voor lastige veranderprocessen. Met dit boekje alleen ben je nog in staat die processen te begeleiden. Maar voor een ervaren facilitator biedt het nieuw gereedschap. Voor iemand die dieper in de Theorie U zelf wil duiken biedt dit een handige companion voor bijvoorbeeld een workshop of de genoemde MOOC .

[Telarak Amuna · Rating 3 out of 5]

Libro che presenta la rivoluzionaria teoria economico-sociale di Scharmer. Partendo dalla costatazione che, con il sistema attuale, l’economia e la società non funzionano per tutte le storture che le affliggono, e che, nonostante le persone amino lamentarsi, chiedendosi cosa possano fare loro contro il sistema, il sistema è creato e perpetuato da persone e quindi esse possono anche cambiarlo, il libro collega tale cambiamento a un viaggio e una riscoperta prima di tutto interiore e personale: riscoprendo se stessi e aprendosi verso la realtà circostante e verso gli altri (apertura attiva, di ascolto e di accoglimento, che permette di uscire dalla cristallizzazioni delle abitudini e di cogliere le potenzialità esterne), si compie questo percorso di immersione interiore e riemersione estroversa, percettiva all’interazione e al dialogo. Unendosi alle U delle altre persone, si crea così un’ambiente di condivisione protetto, sganciato da ciò che è in quanto aperto a ciò che è solo in potenza, ossia ciò che potrebbe essere; da questo ambiente nascono nuove idee, oppure crescono e si arricchiscono. Ho provato personalmente un circolo di condivisione basato su tale teoria, con io come case giver, ossia la persona che espone il proprio problema per risolverlo nel circolo, e in effetti la connessione profonda con le altre persone crea una sorta di cervello molteplice e molto più rapido, che restituisce idee e le affina con molte più sfumature e molto più velocemente di quanto potrebbe fare un singolo. Il libro, oltre a presentare la teoria, fornisce anche molti esempi concreti e davvero risulta rivoluzionario nella fiducia immensa che ripone nella ripartenza dalle persone e da una rete sociale di U. L’unico difetto è una certa ripetitività dei concetti da una sottosessione all’altra del libro.

[Kim Jordan · Rating 5 out of 5]

This book is a game-changer, and not just personally or professionally. It’s a game changer societally. It teaches a system of change that can be utilized with organizations to raise their state of consciousness so that they can envision and act on new ways of cooperating and creating a more just, harmonious, sustainable world.

One key of the system is that every member of a group needs to be represented in the process. The beauty of this is that every member of the group gets direct insight into every other members experience of the group AND they get to see how they themselves have been either contributing or not contributing to the success of the group.

Another key is Presencing - the capacity to sit in silence with self and or others and sense the emerging future. This tool is a subtle but profound shift in one’s usual meditation.

Yet another key is the somatic component, meaning that movement of the body is also included in the system of change. If you have experienced somatic therapy or somatic coaching, you probably already know that it is a game changer in and of itself.

I should add that I took the free course “uLab: Leading from the Emerging Future” in tandem with the reading of this book, so I got to experience Theory U in action, and that probably made a world of difference. I have no idea what it would be like to read the book without taking the class.

To quickly conclude, Theory U combines radical social inclusivity with a profound meditation technique and the inclusion of meaningful, symbolic physical movement to create palpable, inspiring, new paradigm thinking, feeling, sensing, envisioning, engaging, and acting. I wholeheartedly believe it is one of the keys to humanity turning around the crises that we currently face.

[Arya Harsono · Rating 3 out of 5]

Pre-reading for the 10-month MIT Sloan School of Management and United in Diversity joint Global Program, Innovative Dynamic Education and Action for Sustainability (IDEAS) Asia Pacific , and essentially encapsulates the structure of the program. I'd been familiar with the organizational work that Scharmer and his close colleague Peter Senge from attending previous IDEAS cohorts' seminars in 2018. After being trained in systems dynamics for economic models and spending the last few years understanding and developing such models, I was curious to explore further the application of systems thinking in the organizational context.

On the surface, it seems so hokey and riddled with self-help clichés that should be common sense. But, ironically, the principal idea of U Theory is to let go of that cynicism bred by existing judgments and approach this new frame with an open mind, open heart, and open will, and so it is in diving into the lessons that I, as the reader, am practicing unlearning and viewing the system as the authentic self. As Scharmer himself one said, "Experience is not what happens to us. Experience is what we do with what happens to us." I finish this book and write this review as I am en route to Manila for the co-initiating workshop and will try to keep its lessons in mind, approaching the solo travel and participation in the events with a refreshed open-mindedness and willingness to grow.

[Maik Arnold · Rating 4 out of 5]

This edition of the Theory U is easier digestible than the 500 page or more of the unabridged text. The book is compelling in many ways and provokes new thinking about innovation, systemic thinking and change management. Theory U comprises three main elements: a framework, method and new narrative for change that may help to develop future perspectives. I generally liked the approach but the following two aspects costed the fifth star. First, I found the merchandising strategy at the end of the book annoying. I think the PI workshops do not need to be sold via a book, This remains far behind the goals of the book to open thinking in a new dimension. Second, the development of the post-growth ideological undertone should have been more reflected at the end of the book. With the words of Amanda Montell, it's a bit cultish. In what way is the U Theory accessible and inclusive not only for the Global North but also for the Global South? - I leave the answer to that question to the other readers.

[Kirill Meshkov · Rating 1 out of 5]

Disclaimer first: A - I'm surely dumb as fck and going to hell, and B - Who knows, maybe you can still become a butterfly by reading this book. But...
This book recipe looks like this to me:
• Describe your idea in a single tweet (ok, a thread), be surprised how short or obvious it is
• so put it in a fantasy world full of god-only-knows-what-it-means terms like "the intelligence of the heart" and other magic creatures. Cool, now we have a few chapters to start with!
• Sprinkle the text with "leadership", "innovation", "agile" or any other sale-driven buzzwords of your taste. Good job!
• more metaphors, icebergs, mountains, ponies, everything works because it sounds kinda cool
• and remember calls to action never hurt anybody: don't rush the events, open your heart, let your experience influence your future (go girl! *fingers click*) and other jaw-dropping revelations
• Done! Your evening is wasted.

[Eduardo Taylor · Rating 4 out of 5]

I really liked it concepts and practical approach towards its implementation but (and this applies to everything in life) it depends solely on the individual's determination to believe in that change. People with a want of trying new approaches to organisational structures will love this.

I agree that evolving into a co-evolution mindset would improve almost all human social processes. It presents a practical challenge that can be implemented in almost every situation because its core relies on system awareness.

Still, I wonder if what needs to happen is a complete reset of the system (educational, financial, governance, economic) for this to be implemented. Maybe its my corporate pessimism, but the changes that need to happen will take such a toll on the existing value structure that such transformation becomes ardous and even refused.

[Martijn · Rating 3 out of 5]

3.5 stars, tldr below

Upside: I will have learned things from the book about how to listen, how to learn, how to work in teams and how to enable change. About putting aside my own convictions and keeping an open mind. I even subscribed to the u.lab course to continue these lessons. These insights are recommended for anyone who want to do multidisciplinary or societal teamwork. I advise these people read this.

Downside: the book lacks structure and uses vague terms that feel like mere buzzwords. Instead of clarifying, it makes the message more unclear. It's a missed opportunity because the underlying ideas are definitely worth conveying to a broad audience.

Tldr: useful and important message, but the vague terminology and unstructured text bring the score down. Tip: find a summary online and skip the book.

[Jason Watkins · Rating 2 out of 5]

2.4 stars: Look, from an epistemological perspective Scharmer does a great job explaining how we come to know…knowledge and the various influences at play. The “U” is helpful from that perspective. Aside from that, this book is chock full of esoteric concepts and buzzwords rife to spark capital sales which the author laments, rather ironically. That said, it is useful to step back and appreciate our own and our societies’ approach to meta-cognition. And so, I would still recommend the book. It’s a quick read but the salient learning point is the sense-making process of the U itself on the left side. The right side…generative thinking and collaboration leaves much to be desired. You could probably get just as much from this watching a 5 minute YouTube recap.

[Andrea Montuschi]

An interesting book that summarizes Otto Scharmer's famous Theory U, wasting way fewer pages than the original book.
The theory is fascinating and the book full of examples, though the impression is that the author still repeats the same concepts several times - having followed the u-lab course by MIT, I must say that the final videos by Otto do a good job of summarising his own theory even more and, for some people, those videos might be enough.
Having said all this, I still recommend this book.

[B Smith · Rating 4 out of 5]

Otto Scharmer's ability to "see the system" - a key success factor in being able to change the system - and his useful framing and tools to let go of the broken parts and embrace the emergent new-and-improved make this a must read for all of us working towards creating the future we want.

I consider this book a great companion to the Presencing Institute's web resources (https://www.presencing.org/) as well as Scharmer's Medium posts (https://medium.com/@ottoscharmer).

[Harry Keller · Rating 3 out of 5]

There are lots of compelling ideas here, but they are wrapped in so much terminology, charts and procedures that it’s incredibly hard to hold it all in your head and “get it”. Maybe that’s normal for the condensed version. While I enjoyed reading it and while I’ve probably subconsciously absorbed aspects and integrated them into my thinking, I couldn’t explain theory U to anyone. It remains quite convoluted and not very accessible to me.

[Cimg13 · Rating 5 out of 5]

Se debe de leer

Este libro ejemplifica lo que está sucediendo a lo largo de distintos sectores que influyen nuestras vidas, a pesar de estar en un momento de cambio aun se necesita mayor conciencia y el autor nos regala ejemplos prácticos para lograrlo.

[Carl Lens · Rating 3 out of 5]

Next level tree hugging. A bit out of my comfort zone. I feel not capable of understanding this which makes it fascinating. Only three stars because I can’t make enough sense of it. I will reread later and revise judgment.

[Mutia Rizqydiani · Rating 4 out of 5]

Like many peolpe who read this for the first time, the idea of Theory U made me frowned and a bit skeptical at first. But, Otto described the concept with many relatable examples and case stories that made it easier to digest

[Michael MacRae · Rating 3 out of 5]

I’ve been struggling with the concept of this book, it really walks on the edge between science and pseudoscience. Being present and aware of the environment whilst planning for change or impact is a great concept, but the journey into politics and individual opinion was unnecessary.

[Jim · Rating 4 out of 5]

A great view on change and how to implement it by continuing to follow what you believe. Professor Scharmer does a good job of explaining Theory U and how to implement it in our own lives properly.

[kaki · Rating 4 out of 5]

Dense.

[Christoph · Rating 3 out of 5]

Design Thinking in anderen Worten mit einem Aufruf zu mehr social entrepreneurship. Leider hinten raus viel Werbung in eigener Sache