Building the Future, Theory U at work: Re-imagining Public Policy Regarding Gender-Based Violence in Ecuador
By José Romero Keith, Ph.D [1] [2]
My gratitude to Fundación Esquel [3] for holding the space to explore gender based violence. They provided the centerpiece of the trust container. Thank you to Marcela Gavaldon Vela, for leading the deep and meaningful practices of silence; and to Ruben Navarro for his mastery in supporting the needed technology.
Introduction
What follows is a series of questions and answers that will shed light on the principles and methods of Theory U. I have used the example of a project currently being directed by the Fundación Esquel in Ecuador [4] to help answer these questions. The Theory U methodology was used to explore a complex social problem and generate a clear pathway to move forward.
Fundación Esquel creates and funds social, economic and health programs, and works to bridge divides between socially marginalized populations, including indigenous people. Fundación Esquel’s four main areas of commitment are sustainable development, services for children and youth, democracy and citizen education, and entrepreneurial development.
Fundación Esquel was asked by the Ecuador National Assembly to help them develop policies to curb gender-based violence in Ecuador.
What is Theory U?
Theory U is a revolutionary paradigm for awareness based systemic global change, a methodology for applied social change, and a body of social technologies or tools for operative application. It is a dynamic process that allows change agents to find new insights, fresh perspectives, and new learning which allow participants to move forward collectively. Theory U does not limit the change process to the generation of “controlled products”, “outcomes”, “outputs”, or “results.” It nurtures the social field[5] in order to find the energy or acupuncture points [6] for sustainable evolution. Desired change is not an “imposed” condition, but more of a carefully crafted confluence of emerging forces which are ready to be recognized and enlivened. Theory U is also the title of a book by Otto Scharmer, professor at MIT. [7]
Four levels of resources are available to the Theory U social change practitioners: a new social paradigm that integrates social theory and awareness-based systems thinking. A methodology that consists of five articulated movements for effecting social transformation. A set of social technologies or tools that generates practical solutions to the complex problems of sustainable human development. A global movement for social transformation, articulated through trained change agents who practice the U method and tools and share a knowledge-generation network.
Theory U provides a complete repository of theoretical knowledge, a methodology, and operational tools for practical action.
What is the purpose of Theory U?
In essence, Theory U exits to generate awareness based system´s change and social transformation. Six specific objetives describe its operational dynamics, To :
· Generate trust and strategic alliances among key stakeholders.
· Identify the blind spots which must undergo transformation.
· Stimulate innovative and creative thinking for dynamic change.
· Provide blueprints and social prototypes for structural social transformation.
· Close the gaps between theory and practice.
· Build sustainable futures.
Theory U at Work: Fundación Esquel [8] has operated in Ecuador and the LAC region for 30 years. It has as its mission implementing new social sciences and technologies, global methodologies, and tools for social action. The Board of Directors [9] is aligned in their commitment to reinvent themselves; generate a renewed and revitalized social fabric in Ecuador; enhance the scope of their already significant endeavors; and generate strategic global alliances.
A key priority for Fundación Esquel is to work with the members of the National Assembly of Ecuador to develop public policy to counter gender-based violence. Based on our experience with the methodologies and tools of Theory U, we [10] proposed that Theory U laboratories be used to explore the systemic causes of these rampant abuses and catalyze the generation of visionary public policy to influence and generate desired changes.
What are the lenses used during Theory U laboratories?
Theory U uses awareness-based systems thinking. It goes beyond Logframe linear analysis and thoroughly examines the three foundational levels of causality: Structures, Thought, and Source. Why? Understanding different levels of causality can help us generate sustainable solutions. Tending to complex global problems demands awareness-based systems thinking. Recognizing “blind spots” allows a deeper exploration of the problem and makes sustainable solutions visible.
The “iceberg” model, shown in the above diagram, helps the practitioner visualize Theory U´s way of approaching awareness-based systems thinking. The topmost visible forms are the symptoms. Here we find the ecological divide, the separation between Self and Nature; the social divide, or separation between Self and Others; and the spiritual divide, or separation between self and Self. [11]
Once symptoms are framed, the practitioner can dive deeply into the ocean of unknown causes: Structures, Thought, and Source. Conventional Logframe thinking limits itself to examining the relationship between symptoms and the first level causes found in Structures. The Theory U paradigm invites us to discover the Thought that underlies Structures and explore the Source that underlies Thought.
Theory U at work: Fundación Esquel explained that the most urgent need was to discover the blind spots in existing public policy regarding gender- based violence. Their key question was, how do you discover the blind spots? The Theory U response is clear: we explore causalities through the lens of systems thinking; we thus very naturally discover blind spots. We are empowered to explore convoluted mazes, which are inevitably complicated by our own personal, organizational, cultural, and social denial. For example, in terms of gender-based violence, some guiding questions that were developed during our exploration sessions included: What are the hidden and overt causes of a patriarchal system of male domination? Throughout history, what factors have contributed to male superiority within a culture? How is male domination expressed in different cultures? Why and how is male domination invisible in cultures?
The following image illustrates the Five Movements which compose the Theory U method. [12]
The Five Movements synergistically engender sustainable change.
Flexibility is at the core of the Theory U journey; a pre-established sequence of application is not mandated. On the contrary, the appropriate Movement can be applied according to the nature of the problem. For example, we can start a U journey by implementing Movement Two: what knowledge needs to be explored and clarified? Or we can begin with Movement One, creating an intention for all participants. Or we can work on Movement Two and Four at the same time, and develop appropriate questions about the next action steps. Flexibility generates creativity, innovation, and evolution.
Theory U posits that linking mind, heart, and hand or action in each of the Five Movements allows deeper understanding, new relationships, fresh commitment, and collaborative action. To launch the Fundación Esquel’s gender-based violence and public policy project with the National Assembly of Ecuador, a “social intervention” was designed.
Because Fundación Esquel had worked with the National Assembly during the last decade, it was natural that they serve as the “trust container” and thus become the social agency responsible for the implementation of the project. A trust container is a support group that engenders innovative learning and creates an arena in which future possibilities can be collaboratively manifested. [13]
The first step in the social intervention was to train Fundación Esquel´s leaders and project managers in the theory and practice of building “trust containers.” During the Theory U induction training, they were guided by the following questions:
· Intention. Why is Fundación Esquel committed to creating public policy to end gender-based violence?
· System´s thinking approaches. How can the National Assembly congressmen and women most effectively collaborate to identify the blind spots in gender-based violence in the Ecuador social system?
· Sources of energy. What sources of inspiration can the National Assembly draw on to confront gender-based violence in Ecuador?
· The theory-practice dilemma. How can the National Assembly activate strategic social prototypes to generate innovative solutions?
· Building the future. How do we see the entire social/cultural field, i.e., how will policies generated by the National Assembly embody a new social system and move the entire society forward?
We used the Theory U paradigm to explore gender-based approaches to policy making. This exploration necessitated deep dives into the topics of systemic patriarchy, feminism, gender violence, intersectionality, symbolic domination[14], femicide, and most importantly, gender-based judgments, prejudices, and stereotypes.[15]
We then jointly organized a Theory U workshop on “conscious leadership” for the members of the National Assembly involved in developing public policy regarding gender-based violence. In Theory U, the concept “transformational leadership” is synonymous with “awareness based systemic transformational leadership”. In the Spanish language we found that the concept that best reflects this approach is “conscious leadership”[16]. In the first session, we presented its key components: strengthening strategic alliances, systemic vision, innovation in thought, crystallization of the future, praxis, and evolution. Subsequent sessions were created to explore the social technologies, i.e, the power of intention, the art of listening, the practice of silence, and merging theory with practice, thought and action.
The key question that emerged from the conscious leadership workshop was:
“As women, we have been the victims of gender-based violence. This is experienced as physical, moral, and symbolic cultural violence. Because of these experiences, we feel that we are the objects of hate, mistrust, reaction, duality, and polarization. Gender-based violence is invisible. How do we turn these feelings of frustration and contraction into constructive activism?”
As per the Theory U method, to explore this powerful question, we first created sessions for “meaningful conversations”. National Assembly members were invited to participate in meditation exercises to quiet the agitation of the mind, help overcome stress, and enter areas of inner creativity. This deep inner silence encouraged deep reflection, creative thinking, fresh perspectives and inspiration, and new ways of examining gender-based violence. The energy points that can most effectively move the cultural ecosystem of gender-based violence started to appear. They were expressed in the following statements,
“Let’s start to listen. Let´s stop the noise and mechanical bickering that occurs during debate between opposing political parties. In gender related topics, we can shift our focus and learn from what is happening globally. Let´s open up our perspectives. As a culture, we are so scared of making mistakes. Let´s start taking collective risks. We need to include dialogue with our indigenous women. Gender is an invisible form of violent colonization. We need to recognize, learn how to name it, talk about it, and find a new language that allows us to move into more meaningful conversations”.
In the next part of the process, we focused on exploring the three enemies of the mind: judgement, sarcasm, and fear.[17] When these three enemies come together, inaction and paralysis take over. We then practiced the antidotes: the art of listening, welcoming blind spots, and practicing systemic vision. As one of the outcomes of practicing the antidotes, we created the option of follow-up trainings to enable deeper exploration.
A “collective resonance”[18] exercise was carried out after each session. Participants were asked to choose one word that best described their feeling after the session. The words that emerged from the Theory U participants were compiled into the following statement:
“I feel in harmony, calm, with a great desire to learn, grateful, moved, with light and clarity, at peace, I feel my soul is alive”
What were the most important lessons from the Fundación Esquel Theory U laboratories?
1. The Theory U Method is robust, resilient, and flexible.
Faced with the National Assembly’s challenge of exploring gender-based violence in Ecuador and developing public policy to address the issue, the Theory U method proved to be robust and flexible. In each session we employed the five Movements of Change using them as needed to meet the learning needs of the group
We discovered that there is a synchronistic relationship between the Theory U method and its tools. However, the Theory U method is so flexible that it can successfully incorporate tools from other methodologies, such as group dynamics, Emotional Intelligence, popular education, systemic thinking, etc. Ms. Dolores Padilla [19]from Fundación Esquel summarized the relationship between method and tools by commenting:
The Theory U method is the foundation upon which the desired change is designed; the tools can be simple or sophisticated, depending on the desired outcome. The important thing is that the selection of tools be done with imagination.”
2. Mastery in the application of Social Technologies tools is an essential part of the Theory U method.
Social technology tools animate the innate connection between heart, mind, and hand or action. During these sessions participants worked with the following tools:
· the art of listening: evolving from habitual downloading-based listening, into debate, and then from empathic dialogue into generative listening. [20]
· the practice of silence: learning to witness and suspend judgement. Silence then generates inspiration and new perspectives. [21]
· the art of conscious leadership: successful implementation of strategic alliances, systems thinking, clear vison, crystallization, working with the theory-practice dilemma, and orientation towards a desired collective future.
· the art of recognizing the three enemies of the mind: prejudice, fear, and sarcasm; breaking through analysis-paralysis.
Combining relevant gender-based content with generative questions, and social technologies and tools. This generates innovative learning, a space of magic and alchemy, which is conducive to progressive solutions.
3. The Theory U Method enhances the fertility and productivity of the social field.
Interactive sessions with the National Assembly members cultivated fertile social fields for learning. During the workshop, members of the National Assembly learned about, but above all practiced, listening, systemic vision, and silence. These practices animated “deep thinking” which functions as the seed for causal thinking and alternative public policy.
The central problems of gender-based violence are summarized in the following questions, which the General Assembly members formulated in a collaborative dialogue:
How can we transform the pain of gender-based violence into positive, constructive, restorative action? How can we move ourselves from the paralysis of rancor to the freedom of substantive action that will generate collective solidarity? What tools can we imbibe so that our own personal growth reflects our collective decisions and our implementation of future policies?
During the collective resonance exercises, the key phrases that emerged in response to these questions were:
We feel at ease with the key practice of silence. We have an immense desire to learn. We appreciate our own history, and we support yours. We are grateful to Fundación Esquel for helping us to grow and develop. I feel moved. I feel light. I feel clarity. I trust the sincerity in Fundación Esquel’s efforts. I experience peace in silence and a new depth which allows me to see things more clearly. Everything is summed up with the words, “I feel my soul is alive.” I can help develop policies which will provide effective solutions.
The members of the Ecuador National Assembly moved from paralysis, free exploration, to collective advancement of nurturing the social field.
4. The Theory U Method creates a safe trust container for plunging into the uncertainty of the future. [22]
The “trust container” builds a network of support for participants in which they can safely flourish in an uncertain future. Trust containers allow for diversity; they encourages vulnerability and cultivate connection with deep learning and courage.
Fundación Esquel provided solid support to the National Assembly participants during this process. The reasons for this are as follows: Fundación Esquel has been fulfilling a role of trust and social commitment in Ecuadorian society for 30 years. It has been working with the National Assembly for almost two years on this particular project. There is special trust between collaborators, especially the feminist activists who have been socially active for years. Sessions on the Theory U method were held with Fundación Esquel prior to the sessions with the Assembly members. These encounters generated an atmosphere of greater cohesion; they allowed Fundación Esquel to explore and become familiar with the Five Movements, and participate in the workshop with fluidity and flexibility. Another very important factor was that before each session we met for 15 minutes to develop a collective intention for the event. This connected all participants in a shared vision for future work.
How does transformational leadership operate within the Theory U journey and method?
The following components were included in training change agents and seasoned social change practitioners:
· Becoming familiar with the 5 Movements of the Theory U method, and learning how to use them.
· Practicing and mastering the Four Levels of Listening and Conversing.
· Exploring the three foundational levels of causality: Structures, Thought, and Source.
· Becoming adept in the following capacities:
- alliance building
- knowledge management
- creative innovation
- social prototyping
- evolutionary systems development
· Explore vertical leadership,[23] or how to co-sense the social field.[24] This means: developing a panoramic view of all social actors involved; examining all existing internal and external power relationships; identifying the intention; recognizing acupuncture or leverage points of the social system, i.e. those points of social energy, which when touched, can move the whole system, i.e. leverage points[25]; and discovering open windows where social pressure can move the whole social system.
When these components are activated, holistic change evolves in the most natural way. Change is not achieved by implementing “pre-defined conceptions derived from a LogFrame planning process. Change is realized by nurturing its seed in fertile soil
When is it most beneficial to use The Theory U processes?
The Theory U processes are most effective when:
· Leaders and social change agents identify a common intention for change, a desire for new solutions, and a search for innovation.
· They recognize they are “stuck,” unable to solve a problem, and wish to move forward.
· Leaders can collaborate with a core group of change agents who collectively wish to solve the problems.
How do you envision the future of Fundación Esquel’s work with Theory U?
In addition to its work on gender-based violence, Fundación Esquel has identified other existing existing areas of opportunity that it hopes to activate in the near future.
- Fundación Esquel´s ongoing projects will be reviewed from the perspective of the 5 Movements of Theory U and their potential of becoming innovative social prototypes. To keep to the topic of gender equality, the next one under review will be “political parties, democracy and gender equality” in Ecuador.
- Fundación Esquel will train its staff in Theory U methods and tools. Training will continue through MIT’s ULAB [26] and InnovAAAction in the Spanish language.[27]
- Fundación Esquel will forge alliances with other Latin American countries and organizations that are interested in addressing gender-based violence through Theory U. Alliances will be propelled in the context of the CLIC, Centro Latinoamericano de Inteligencia Colectiva (Latin American Center for Collective Intelligence). [28] CLICs objective is to nurture and propel structural social transformation in the Latin American region, through the utilization of state of the art innovative methods and tools for systemic social change.
Conclusion
When Theory U is applied in a complex setting, such as the Ecuador National Assembly’s development of public policy to counter gender-based violence, traditional outcomes and outputs are not expected in the short term. Theory U is a dynamic change process with a long term vision. It is not to be understood as a conventional LogFrame exercise, with a base line, short three year implementation process, and monitored indicators scoped to short term outputs. It is an organic, non-vertical, non-controlled, awareness-based change dynamic, with a long term vision.
This means, that we are not only looking for “products” or “results.” In the initial application of Theory U, we are focused on the discovery of blind spots, insights, fresh perspectives, and new learning that will allow us to tackle uncertain challenges and move into desired long term change. Thus, the focus is on the collective resonance created through significant conversations, and the exploration generated by awareness-based thinking. In this case, the collective resonance of Fundación Esquel and the National Assembly congresswomen indicates that the social field is fertile for continued work.
The more we continue to build trust, reflect together, make new discoveries, find new language, and extend the boundaries of collective awareness, the more Ecuador’s social system will transform and advance. Theory U has launched a substantive transformation social prototype in the Ecuadorian congress.
Footnotes
1 Dr. José Romero Keith, InnovAAAccion Consultanting. Director and Founding member, https://www.romerokeith.org/; jose.k.romero@post.harvard.edu
[2] This article has been edited in English by Robert Pacini, rhpmurali@gmail.com
[3] Fundación Esquel, Ecuador, https://esquel.org.ec/es/
[4] Fundación Esquel, Ecuador, https://esquel.org.ec/es/
[5] Otto Scharmer defines the social field as, “It is the quality of relationships among individuals, teams, and institutions that give rise to collective behavior and practical results.” The Essential of Theory U, Core Principles and Applications, page 14
[6] Donella Meadows, Leverage Points, Places to Intervene in a System, https://donellameadows.org/archives/leverage-points-places-to-intervene-in-a-system/
[7] Otto Scharmer, Theory U, Leading from the Future as it Emerges. The Social Technology of Presencing, BK, 2009
[8] Fundación Esquel Ecuador, https://www.esquel.org.ec/
[9] https://esquel.org.ec/es/quienes-somos/equipo/equipo-de-trabajo.html
[10] InnovAAAtion Consultanting. https://www.romerokeith.org/ Dr. José Romero Keith, Director y Fundador, romero453@gmail.com, jose.k.romero@post.harvard.edu
[11] Otto Scharmer, The Esssentials of Theory U, Core Principles and Applications, BK, 2018, page 3.
[12] Otto Scharmer, The Essentials of Theory U, BK, Core Principles and Applications, BK; 2018
[13] Kelvy Bird, Containers, Medium, https://medium.com/presencing-institute-blog/containers-458a26083f00
[14] Pierre Bourdie, La Dominación Masculina, Boudie-Pierre-la-dominacion-masculina.pdf
[15] Cook y Cusak, Estereotipos de Género, estereotipos-de-genero.pdf
[16] Conscious Leadership in Spanish is “liderazgo conciente”
[17] Otto Scharmer, The Essentials of Theory U, BK, Core Principles and Applications, BK; 2018 page 23.
[18] Collective resonance is a felt sense of energy, rhythm, or intuitive knowing that occurs in a group of human beings and positively affects the way they interact toward a common purpose.
[19] Dolores Padilla, Advisor to the President of Fundación Esquel.
[20] Otto Scharmer and the four levels of listening. Video YouTube, https://www.youtube.com/watch?v=eLfXpRkVZaI&t=15s
[21] Kabat Zinn on Non_judgement; video YouTube, https://www.youtube.com/watch?v=yNICQ-x_Gek
[22] Kelvy Bird, Presencing Institute, Containers, https://medium.com/presencing-institute-blog/containers-458a26083f00
[23] Otto Scharmer, on Vertical Literacy, https://medium.com/presencing-institute-blog/vertical-literacy-12-principles-for-reinventing-the-21st-century-university-39c2948192ee
[24] José Romero Keith, From Project Manager to Transformational Leader, Medium, https://romero453.medium.com/from-project-manager-to-transformational-leader-a-key-challenge-for-sustainable-development-896afbf18780
[25] Donella Meadows, Leverage Points, Places to Intervene in a System, https://donellameadows.org/archives/leverage-points-places-to-intervene-in-a-system/
[26] ULAB 1X, EDX, MIT, u.lab: Leading From the Emerging Future | edX
[27] INOVAAACCION, Cursos de Liderazgo conciente basados en Teoría U, cursos en español, InovAAAcción Consulting (romerokeith.org)
[28] For further information on CLIC, and ways of becoming partners, contact Humberto Salazar, Director Ejecutivo Fundación Esquel, https://www.esquel.org.ec/es/quienes-somos/equipo/equipo-de-trabajo.html
