20100106 Tom Klein NLP & Capitalism 3.0

8/8/2019 20100106 Tom Klein NLP & Capitalism 3.0

http://slidepdf.com/reader/full/20100106-tom-klein-nlp-capitalism-30 1/30

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NLPandCapitalism3.0–AsyntheticapproachtoNLP’sdevelopmentalpotentialin

thecontextofcollectiveleadershipfromthefuture

ByTomKlein–www.tomklein.de

Introduction

AsEinsteinoncesaid,problemscreatedononelevelofcomplexitycannotbesolvedwiththetoolsandinsightsofthatsamelevel,butmustbeapproachedfromahigher

levelofcomplexitytofindandimplementthesolutions.Diltsoperatedaccordingtoa

similarlogicwhenhedevelopedhismodeloflogicallevels,establishingNLPasanapproachtolookingforsolutionsfromtheappropriatevantagepoint.

However,thecurrentlandscapeofproblemsconfrontinghumanitygoesfarbeyond

thosewhichconcernedtheNLPfounders,andsoaquestionwhichtheNLPcommunity

mightaskitselfishowcurrentchangepractitionerscanapplythephilosophy,insightsandtechnologiesofNLPtothecurrentcrises.

Whatdistinguishesthecurrentcrisesfromthosewehaveknowninthepastistheirglobalsocial,economicandenvironmentalcharacter.Thereisagaptodaybetween

whatindividualsknowandinpartpracticeandwhatwedocollectively,andthatgapputstheentireplanetatrisk.Therelevantquestionfortodayislesswhatindividuals

candotounderstandtheproblemlandscapethanwheretheinfrastructuresarethat

allowchangesinindividualconsciousnesstohaveaglobaleffectandmakecollectiveconsciousnesschangepossible.Whatweneedareinterventionsthattakethe

knowledgeaboutsolutionsthatispresentontheindividuallevelandmakeitrelevant

systemically.

NLPisbyitsveryconceptionasasetofshort-termtherapytechnologiesfocussedonovercomingpersonalconditioningtosupportindividualtransformation,andsois

limitedinwhatchangeitcaneffectonasystemiclevel.Thequestiontheniswherenew

insightsmightbeaddedandincludedsothatNLPcancontinuetomakerelevantcontributionstohumandevelopmentasneededinthecurrentglobalcontext.

InthispaperwewillusethemapofthecurrentsituationdevelopedbyOttoScharmertoanalysecapitalismanditsdevelopmentfromitsearlylaisser-faireinceptionthroughits

socialmarketeconomyformtowardswhathecallsCapitalism3.0asitisnowemerging.Havingmappedtheterritory,wewillthenlookatwhereNLPcanmakeitscontributions.

Withthisunderstandingofthecurrentproblemframe,itwillbecomeclearthatNLPcan

haveasignificantroletoplay,astheexistenceofthecapitalism3.0infrastructureswillcallforththeneedformassivechangeonthelevelofindividualbeliefs,values,

conditioningandbehaviourwhichisthehometurfofNLPcoachesandtrainers,if

peoplearetobeabletolivewellintheemergingsocialorder.IfchangeimpactssocietyasquicklyasScharmerindicates,wewillneedaveritablearmyofcoachesand

therapists—nottomentionbusinessleaders,politiciansandengineers--tohelppeoplecopewiththemassiveconsequencesforusall.

OttoScharmer,theLeadershipLabatMITinCambridge,andCapitalism3.0

Inthemidstofthefalloutfromthefinancialcrisisanawarenessseemstohave

developedamongmainstreamcommentatorsthatthepathweareoninallareasof



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political,socialandenvironmentallifeisnotsustainable.Tonameonlythemost

obviousexamples,marketandstakeholder-orientedeconomicsresultsinboomandbustcycleswhichhavereachedaglobalscaleofintensityandarethreateningthestabilityof

thefinancialandproductivesystems.Powerfulinterestsoffinancialoligarchsatthe

heartofthesystemintheUSAhavemobilizedtostaveoffhealthyregulation,andare

blockingmeasurestheIMFwouldnormallyrequireofacrisiseconomytoenablesustainablerecovery.1Economicgrowthobjectiveshaveledtoa140%utilizationrate

ofnaturalresources,withlimitsonenergy,landandwaterinsight.Coupledwithapopulationgrowthprojectedat9.5billionandatargettodoublegrowthby2050,this

willlift2billionpeopleintomiddleclassconsumptionpatterns.Describingthesetrends,MartinLees,SecretaryGeneraloftheClubofRomeconcludesthatunderany

conceivablescenario,currentconceptionsofeconomicdevelopmentareimpossibleto

realizeandtheattempttodosounsustainable.2Waterisinincreasinglyshortsupply,especiallyinthemostdenselypopulatedandpoorestareasoftheworld,andenergy

supplybasedoneasilyavailablecarbonfuelsiseitherat,orissoontoreach,itspeak.Theclimatecrisisisinfullswing,withatmosphericcarbonlevelsapproaching400ppb,

temperatureincreasesofatleast2°Cnolongertobeavoidedandwiththepolicies

discussedinCopenhagenasabasisgoingtowards4°C,andpoliticiansarehamstrungbyinterestgroupsandunabletodeveloptheglobalconsensusneededtotakecorrective

action.

AsfounderoftheLeadershipLabatMITinCambridgeandresearcheronsocial

innovation,OttoScharmerdescribesthecurrentcrisesasanexpressionofanevolutionarychangeinthedynamicsofourexistenceintheworldheraldedbythree

recentevents,i.e.thepeacefulfalloftheBerlinwall,thepeacefuldisintegrationof

ApartheidinSouthAfrica,andtheelectionofBarakObamatothePresidencyoftheUSA.

Theseeventsamounttotectonicshiftsinthepoliticalandsocialfoundationsofindustrialcivilization,andtheymarktheopeningof,andthetransitiontoanew

understandingoforderonaglobalscale.Whatobserversfailedtoperceivein1989-90whencommunismandApartheidfellwasthatthefoundationsofcapitalismaswehave

knownituntilnowwerealsoupset.WheretheAmericanadministrationofthetimebelievedtheseeventsheraldedthevictoryofold-stylecapitalismovercommunismand

pavedtheroadtosystemicdomination,itisnowclearthatold-stylecapitalismisgoing

downwithitsoppositenumber,thoughwehavebelatedlybeguntoexperiencethefact.

Thisshiftisrepresentedinourmediaasreportingonaseriesofinterconnectedcrises,

suchashealth,environment,financeandpovertyamongothersshowninchart1below.

ForScharmer,allsevenmajorcriseshedescribesareexpressionsofafailureinleadership.Butitisafailurenotinthecommonsenseofincompetentorinefficientexerciseofthemanagementcraft,butmuchmorea“spiritual”crisisofleadership,

whosemodelsoftheworldandgenerations-longconditioninginthehistoricalperiodof

industrialsociety,whethercapitalistorcommunist,havelosttheirrelevance.Whatis

1TheQuietCoup,SimonJohnson,TheAtlanticMonthly.

http://www.theatlantic.com/doc/200905/imf-advice

MartinLees,GeneralSecretaryoftheClubofRome,attheTroidosBankDialog,Teil3/9,

from03:10ofthevideoff:http://www.youtube.com/user/triodosbankde

2MartinLees,GeneralSecretaryoftheClubofRome,attheTroidosBankDialog,Teil5/9,from0:30ofthevideoff:http://www.youtube.com/user/triodosbankde



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spiritualabouttheleadershipcrisisisthatitconfrontsuswithaneedtoredefinewhatit

meanstobeapersonandwhatkindofsocietywewanttocreateinthefuture,andsodemandsfromusacollectiveactofcreationofnewmeaningtofostertheconsensusand

guidetheinitiativeswhichwillbepositionedeffectivelytorespondtothecurrent

challenges.

Scharmer’sprimaryinterestliesindiscoveringthesystemicrootcausesofthecrises.

Fortheattemptswithinthecurrentparadigmsofordertocounterthesymptomstypically“solve”problemsatonepointonlytohavethempopupmorevirulentlyat

anotherinthesystem.Thesystemicquestionis,howisitthatintelligentandlargelydecentleaders,managers,politicians,andsocialorganisationsmanagetoreproduce

consistentlywiththeircollectivebehaviourresultssodysfunctionalthattheythreaten

theveryviabilityofoursocietyandoursurvivalontheplanet?

Chart1:3

Aprimaryrootcausehemakesoutliesinthewayoureconomyischangingandhowwe

thinkabouteconomicrelationships.4Intheevolutionofeconomicthoughtandsystems

intheindustrialrevolution,economicrelationsdevelopedfirstintheformof

3

OttoScharmer,“SevenAcupuncturePointsforShiftingCapitalismtoCreateaRegenerativeEcosystemEconomy,”Draft2.1,revisedSept.2009:4OttoScharmer,KeynotespeechattheopeningoftheTriodosBankinFrankfurt,December2nd,2009:http://www.youtube.com/watch?v=oXUn8EyIILs



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shareholdercapitalism,whatScharmercallsCapitalism1.0,givingmarketsthefreedom

toregulateproductionandtradebythemselves,andmanagingorganisationsthroughhierarchicalcommandandcontrolinanawarenessrootedintheindividualego.Stage

two,orCapitalism2.0seekstoamelioratethebrutalconsequencesofversion1.0for

societythroughstateregulationandredistributionofwealth,implementedinflat

organisationsthroughparticipatorymanagementinanawarenessrootedinstakeholderinterests.

NowemergingiswhathecallsCapitalism3.0,withafocuson“intentionaleco-system

economy,”likelytobeorganisedinamyriadofcoalitions,networksandtribes,inwhichleadershipbecomesacollectiveactinanawarenessrootedintheentireeco-system.

WhereinCapitalism1.0,marketsstrivedtomasterdynamicortechnicalcomplexity,and

inCapitalism2.0governmentsseektomastersocialcomplexity,inCapitalism3.0thechallengeistomasterwhatScharmercalls“emergent”complexity,whichistheresultof

theinteractionoftheprevioustwochallenges.

Chart2:5

Dynamiccomplexitycanbemasteredthroughsystemiccauseandeffectanalysis,and

socialcomplexitycanbemappedthoroughapproacheslikenetworkanalysis,orbe

capturedandinfluencedthroughphenomenologicalapproacheslikesystemicconstellations.Butemergentcomplexitycanbemasteredonlycollectively.Scharmer

explainsthatindialoguesonthecurrentemergentproblemsheexperiencesfour“fields”

ofcommunication:1.Downloading;2.Debate;3.Dialogue;and4.“Presencing”.The

5OttoScharmer,TheoryU,



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latteroccurswhengroupsofinnovatorsmergeinacreativeprocessinvolving“letting

go”tothepresentsituation,andintheprocesstogetherconfronttheir“blindspot,”inwhichtheyhavebeenunabletoperceiveorsensetheemergentrealitytheybelongto

andarepartofgenerating.Thecombinationof“presence”tothecurrentrealityand

“sensing”itsqualityandrequirementsresultsina“lettingcome”ofinsight,whichisthe

basisofacollective“leadingfromthefuture”outofwhichgenuinesolutionsforemergentproblemscanbefound,prototyped,scaledandimplemented.

ThePresencingInstituteprovidesthecommunicationstechnologytodealwith

emergentcomplexitythroughwhatScharmercallsTheory-U.

Chart3:6

Thetransitionsfromoneconversationfieldtothenexteachrequirethatparticularfacultiesbecomeopen,whilethe“enemies”ofthenewareconquered.Movingfrom

“downloading”to“debate”requiresthatthemindbecomeopentodifferingperspectives.Theenemywhichpreventsthisopeningisthe“voiceofjudgment,”which

rejectsthe“other”aswrong.Movingfrom“debate”to“dialogue”involvesopeningthehearttobeingtouchedandmovedbythedeepencounterof“I”and“Thou,”touse

Buber’simage,ortoenterintothedialogueexperienceasitisdescribedbyDavidBohm

inthe“Dialogue”essays.Theenemywhichpreventsrelationshipatthislevelisthecynicismoftheinjuredheart,whichhaslosttheabilitytotrustandfeel.Movingfrom

“dialogue”to“presencing”occursthroughtheopenwill,whichletsgooftheego’s

6PresencingInstituteWebsite,UBrowser,forcreativecommonsaccesstoTheoryUandPresencingtechnology,http://www.presencing.com/



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illusionofcontrolandsobecomespresenttowhatis.Theenemyinthisstepisthevoice

offear,whicharisesaslettinggothreatensegoidentityandconfrontsthe“I”withsupposedannihilation.Totheextentthategodeterminationinpresencingissacrificed,

connectionto“source”isstrengthened,whichmakesaccesstoanswerstothe

fundamentalquestionsof,“WhoismySelf?”and“WhatismyWork?”possible.From

thisconnectiontosource,sustainableactionrootedinastrongperceptionofreality,andaclarityaboutmeaningandvaluescanemerge.

Whatthetransitiontoafocusonproblemsofemergentcomplexitymeansindaily

managementpracticeisdescribedbyScharmerinamapof12managementfunctions,asthesetransitionfromdynamicthroughsocialtoemergentcomplexity.

Chart4:7

Topickupononeofthedevelopmentallines,in“Communication”undertheconditionsofdynamiccomplexityinCapitalism1.0thefocusisonpublicrelations.Communication

isone-way,fromtheproducertothecustomer.Publicrelationsstrategystrivesto

createanasymmetryofinformationonthemarket,givinganadvantagetotheselleroverthebuyer.Itisawin-losegame,predicatedoninfluencetechniques,attemptingto

createmarketsforproductsthesellerwantstopushregardlessofthesocialorhumanneedfortheproductsandwithoutregardforsocial,humanorenvironmentalcosts.

Aswithalldevelopmentallines,pressureforchangecomesthroughthelimitstosuccessofthedevelopmentalstageandthethreattosurvivalitentails.When,forexample,

7OttoScharmer,TheoryU,p.62ff.



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socialcommunicationnetworksfragmentthemarketintostakeholdergroups,and

technologycounteractsinformationasymmetrythroughtransparency,thepublicrelationsmodelbeginstodestroytrustanddamagemarketrelationships.Theresponse

underCapitalism2.0bybusinesshasbeenanascentinterestincorporatesocial

responsibility,orCSR,inwhichsocialandenvironmentaltargetscomplementfinancial

objectivesinabalancedscorecard,andaccountingpracticesorienttoatriplebottomlinemeasurementofresults.MostindustriesintheOECDarebeginningtoimplement

CSRatleastnominally,forcedtodosobygovernmentregulationoradvocacyinterestsfromcivilsociety,ifnotthroughinsightandenlightenedself-interest.

However,forproblemsofemergentcomplexity,theCSRstrategyofcommunicationfalls

shortofbeingabletogenerateresultsbeyondthosedeterminedbystakeholderor

nationalinterestsonatrulyglobalscale.Whereproblemsareglobal,andeverycauseisholisticallyconnectedwitheveryeffect,everybarrierbetweenactorsbecomesa

liability,hinderingasitdoestheneededcollectiveinsightandagreementtocollective

action.ApromisingsolutionunderCapitalism3.0willemergethroughtri-sector

innovationinitiatives,inwhichbusiness,stateandcivilsocietyactorslikeNGO’scometogethertocollectivelyreflectonanddecideglobalscaleactionstotake.

Aseconddevelopmentalline,e.g.in“Leadership”mirrorsthesameevolutionary

process.UndertheconditionsofdynamiccomplexityinCapitalism1.0,managerssteerproductionthroughmanagementbyobjectives,orMBO.Strategictargetsare

determinedbyleadersandownersinahierarchicalpowerstructureofcommandand

control.Theonlyinterestsofanysignificancearethoseoftheshareholders,whoseobjectiveistomaximizethereturnontheirinvestment,andtheseinterestsaremirrored

inthefinancialobjectiveswhoseachievementissetasperformancegoalstotheemployees.Maximizationofprivateprofitislegallyandlegitimatelypursuedatthe

expenseofthehealthoftheemployees,oftheintegrityofthesocialandculturalcontext,andofthehealthoftheenvironment,withstrategyfocussedonthesocializationofcostsforprivategainwhereverpossible.

Thelimitstoleadershipstrategy1.0lieinthesocialandhumancosts.Workersprotectthemselvesagainsttherapaciousnessofownersthroughunions,andpoliticiansare

forcedbyvotersindemocraticsystemstoregulateandsupportworkerhealth,safety,retirementandothersocialconcerns.Undertheconditionsofsocialcomplexityin

Capitalism2.0,theunfetteredprofitmotiveistemperedbystakeholderinterests.

Leadershipasaresponsebecomesinclusiveandparticipatory.Complexflat-hierarchymatrixorganisationsimproveproductivitywhilerealizingcustomer,processand

learninganddevelopmentobjectivesinadditiontofinancialkeyperformanceindicators.Resultsareachievedthrougheffectivecommunicationsandconsensuscompetence,and

throughthemasteryofcustomer-orientedprocesses,andbusinessbeginstodevelopa

humanface.

Heretoo,level-twoleadershipfailsatdealingwithproblemsofemergentcomplexity

suchasglobalwarming,explodinghealthcarecosts,andfinancialirresponsibility,asitispreciselytheorientationtotheinterestsofindividualstakeholderswhichmakes

globalsolutionsimpossible.Capitalism3.0willbydefinitiongeneratelosersamongthosewhosurvivebyshuntingcoststosocietyandtheenvironment,astherelationship

ofprivateandpublicinterestsisreversedtoallowprivateprofitonlyforcontributionstothehealthofthepublicandenvironmentalspheres.Fornow,thegripofthelobbies,forexampleincarbonenergy,privatehealthcareandfinancialservicesonpolitical



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powerissogreatthataconsensuswhichunderminestheirinterestscannotbeachieved.

Leadershipsolutionswithaglobalreacharenascentandcanatthemomentonlybepostulated.Wehaveneithertherequiredpoliticalsystems,asufficientlyconsciousand

engagedcivilsociety,norafinancialregulatoryandincentivesschemeinplacethat

wouldprovidetheframeworkforeffectiveleadershipinCapitalism3.0.Twopillarsof

the3.0worldwhichScharmerisworkingtocreateare,first,anattitudeofco-creation,inwhichheroicleadershipisreplacedbythepresencingprocessofcollectivelyleading

fromthefuturethatwantstocome,andsecond,infrastructuremeasuresatthesevenacupuncturepointstoclosethegapbetweenwhatweknowandoftendoatan

individuallevelandwhathappensatthegloballevel.

NLPandConsciousnessTransformationinCapitalism3.0

Intherelationshipofreciprocalinfluencebetweeneconomicprocessesand

consciousness,thebottleneckinthecurrentdevelopmentallinewouldseemtolieatthe

momentonthesideoftheinfrastructures.Consciousnessamongindividualsinrunning

intolimitsonitsinfluenceonsocialandpoliticalsystems,asthedynamicsofexistinginfrastructuresmoreoftenthannotmaketheeffectofindividualinsightandactioncomeouttosomethinglessthanthesumofitsparts.Newrules,regulations,

communicationanddecisionmakingsystemswouldmassivelysupportthe

manifestationof3.0insightscollectively.Atthesametime,thesumtotalofashiftinindividualconsciousnessesandbehavioursintheireffect,e.g.throughconsumption

patternsontheoveralleconomycanfocusthewilltocreatetheinfrastructures

necessaryforcapitalism3.0.Whatrole,then,canNLP,asatechnologyofconsciousnessandbehaviouraldesign,playintherealizationofglobalcollectiveleadership?

ThehistoryofthedevelopmentofNLPwouldseemtoreflectthestagesofdevelopment

ofcapitalismasScharmerdescribesit.Atitsinception,BandlerandGrindermadetheperformanceclaimthatNLPwouldbeinstrumentalin“findingwaystohelppeoplehavebetter,fullerandricherlives.”8ThefoundersinfusedNLPwithaconstructivistsetof18

presuppositions,givingitanopen-endedDNAwhichwouldfosteritsevolutionary

developmentformanydecadestocome.

Earlyoninpractice,however,NLPespeciallyintheUSAandundertheauspicesofRichardBandlerbecameassociatedwithvalueswhichcouldbeseentobealignedwitha

Capitalist1.0developmentalstage.Fromaninitialinspirationthroughthehealingwork

oftherapistslikeVirginiaSatirandFritzPearls,BandlerandmanyofhisstudentsmovedNLPintotheroleofsupportingbusinesssuccessforpersonalpowerandprofit.The

promiseof“havingbetter,fullerandricherlives”wastakenliterallytomeangettingrich,andwasfulfilledinprogrammeslikethoseofTonyRobbins’forpersonalsuccessinlife,hard-ballsalestrainingcoursesfocussedoninfluencingcustomerstobuywhatthe

sellerwanted,andhyperbolicclaimstoshort-cutstotherapeutichealingwhichunderminedthediscipline’scredibilitywiththescientificcommunity.Itwouldseem

thattheinitialpracticalapplicationofNLPleftbehindscorchedearthintheUSA,sothat

littleinthewayofnewdevelopmentshascomefromthereforsometime.

InabreakwithBandler,JohnGrindercreatedthe“NewCode”asanattempttorectify

theperformativecontradictionheobservedinmanyofthefirstgenerationofNLPpractitioners.

8Wikipedia,from the book jacket of Bandler and Grinder (1975b)



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Inthelate70sInoticed(JG)asignificantnumberofNLPtrainedpractitionerswho

werestunninglyeffectiveindoingchangeworkwithclientsyetthesesame practitionershadchosennotto,orlackedthechoiceto,applythepatternsofNLP

successfullytothemselves.Ithereforesetoutwiththeintentionofdesigningasetof

patternsthatwouldbothcorrectthecodingflawsoftheClassiccode(roughlymy

collaborativeworkwithBandlerfrom1974through1978)thatcouldnotbeeffectivelypresentedunlessthepresenterwascongruentwithselfapplication.9

InterpretedthroughtheframeworkofScharmer’scapitalistdevelopmentalline,one

couldsaythatBandler’sNLP,thoughconstructivistinitsconception,developedanoutwardresults-orientationinpracticethatsoughttomasterdynamiccomplexityinthe

materialworldandregardedpersonalgrowthassomethingofinstrumentalinterestin

theserviceofoutwardgoals.Incontrast,Grinder’sattempttorefocusNLPonsubjectivecongruitywouldfitwiththeunderstandingofcapitalism2.0,withitsfocusonsocial

complexity.ItisnotsurprisingthatGrinder,togetherwithRobertDilts,becameadrivingforceinthedevelopmentofEuropeanNLP.Theresult,astheexampleofa

reviewofacourseataEuropeanNLPschoolbytheGuardianintheUKexplains,isaset

ofvaluesthroughwhichtrainersare“anxioustoproveyoucanbedecentandnon-overbearing-British,youmightcallit-andstilllearntheartsofhumaninteraction.‘You

cannotnotcommunicate,’asaposteronthewalldeclared.Andso,ourpersonablehosts

explained,youmightaswelllearntodoitwell."10NLPinits“green”incarnationundercapitalism2.0isprimarilyconcernednotwithinfluenceforpersonalgain,butwith

rapportforsocialbelonging,andwithdevelopingprofessionaldialoguecompetencetofosterthestakeholderconsensusrequiredforactionina2.0environment.

NeitherBandler’sAmericanNLPnorGrinder’sandDilt’sEuropeanadvancehaveledthe

developmentofconsciousnessintheirrespectiveeconomicandculturalcontexts,however.Rathertheyhavebeenlaggingenablersofexistingstagesinthe

developmentalline.Bandlerdidnotinventtheneo-liberalideology,butservedtomakepeoplemoreeffectiveinlivingoutitsvaluesintheirpersonalconsciousnessand

behaviour.Likewise,GrinderandDiltsmayhaveanaffinitytotheproblemsofsocialcomplexity,buttheirreformulationofNLPformatsandtheirapplicationofthemethods

toresolvingproblemsofsocialcomplexityservetoconfirmthe2.0developmentalstage

andhelppeoplebecomemorecompetentatlivingit,ratherthantoadvanceitsevolution.

IfNLPistoplayasupportiveroleinthecapitalism3.0world—nottomentioninthe

transitionfrom2.0to3.0—itwouldfirsthavetounderstandwhatthenext

developmentalstageisgoingtobe,andthendevelopboththeconsciousnessandtheformatstoenablethetransformation.

Wilber,Graves,DevelopmentalLinesandtheNextLevel

Manyofthemodelswhichcouldmapthepatharealreadypartofcurrentresearchand

dialogueinNLPcircles.Aspartofthegeneralmovementtounderstandandfosterchange,explanatorymodelsareappearingwhichtakeadevelopmentalorevolutionary

approach.Asprobablythestrongestexample,KenWilber’sAQAL-Modelattemptsto

9http://en.wikipedia.org/wiki/New_Code_of_NLP-cite_note-010http://www.guardian.co.uk/lifeandstyle/2007/jul/21/weekend.oliverburkeman



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bringtogether“allquadrants,all(developmental)lines,alllevels,stagesandstates”ina

theoryofeverythingpertainingtohumanevolution.11Summarizingtheanalysisofhumandevelopmentofabout100researchersandincludingtheirextrapolationsof

wherewemightgofromhere,Wilberhascreatedamapofdevelopmentcodedtothe

naturalcolourspectrumoflight,wheretheredendofthespectrumrepresentslower

frequency,lesscomplexstagesandthevioletendthehigherfrequency,morecomplexstagesofdevelopment.

Chart5:12

Accordingly,Capitalism1.0couldbeunderstoodintermsoftheAmbertoOrangelevelofdevelopment,rootedinamixtureofabsolutisticconceptsoftruthandorderand

animatedbyastrivingforpersonalfulfilmentinthematerialworld.Thevalues-orientationtendstowardsawillingnesstosatisfyegoneedstoday,evenattheexpense

ofothers.Thinkingisataconcreteorformaloperationallevel,self-identityis

conformisttoconscientious,whiletheculturalworldviewexistsinatensionbetweena

11see,e.g.KenWilber,IntegralSpirituality12KenWilber,IntegralSpirituality,p.



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projectionofpowerandmeaningontoamythicalGodandtheEnlightenment

rationalismoflogicalpositivismandscientificmethodandexperimentation.

Capitalism2.0isathomeinthemorecomplexGreenbandwidth.Herethinkinghas

developedtheabilitytotakemultipleperspectivesandseethetruthexpressedineach,

withoutfeelingtheneedtocollapsethedifferencesintoonepointofview.Differenceisexperiencedasenrichingandconstructive,wheremanymindsaremoreintelligentthan

one,andteamsofdifferentpeoplemoreeffectiveandrobustthanisolatedindividuals.Individualsexperiencethemselvesfirstasmembersofasociety,forwhichtheyare

willingtosacrificeimmediategratificationforgreaterbenefitsforboththemselvesandotherslater.Paradoxically,theworldviewisindividualisticratherthanconformist,

sinceconsciousnessatthislevelisabletosustainindividualityinthepluralityof

differentperspectives,andfindsitselfenrichedinitsidentitythroughitsawarenessofotherviewsbyseeingitselfthroughtheperspectiveoftheother.

BothAmber-OrangeandGreensharewhatWilbercallsafirst-tierqualityof

consciousnessbasedonthestrivingtosatisfydeficiencyneeds.Theexistentialquality

ofperceiveddeficiencycolourstheselevelswiththefearofloss,inthecaseof1.0ofnothavingenough,power,statusandmaterialthings,andin2.0ofnothavingenoughsocial

fulfilmentandbelonging.TheNLPwhichemergedfromBandler’sbusinessand

personaldevelopmentprogrammescouldbesaidtohaveburnedoutthroughtheego-realizationneedsofitsteachers,strivingforsuccessevenattheexpenseofothers,

tippingintopowergamesandattemptsatcontrolthroughthemanipulativeapplicationoftheformats,andultimatelyplayingwin-losegameswithpeoplewhowereperceived

ascompetitors,asshowninthelegalbattlesBandlerfoughttowincontroloverthe

nameasatrademarkandsecurethebusinessopportunitiesforhimselfattheexpenseof

hiscolleaguesandthemovementintheUSA.3.0issueswerefarremoved,theneedsoftheegotakingprecedenceoverallotherconcerns.

Theconsequencesofthestrivingtosatisfydeficiencyneedsin2.0atthelevelofGreen

aresociallymoresophisticated,butnolessdevastatingintheireffectontheabilitytosolve3.0problems.WhereAmber-Orangeovervaluestheego,Greenbecomesbogged

downinacomplexquagmireoffeelings,interests,interdependenciesandgroup-think

throughadevaluationoftheego.Since,forexample,everyinterestisdeemedtobevalidinitself,thelegitimacyofinterestsisnotweighedagainstcriteriaofalarger

viability,butisdeterminedthroughconsensusthattendstowardsthelowestcommondenominator.Advocacyofapointofviewasbetterthananothercontravenesthe

principleofequalityanditssensitivitytothemarginalizationofothersasthemost

sacredofgreenvalues,andtriggerssanctionsforanti-socialbehaviour.SinceGreenhasovercomeandleftbehindthenotionofonetruth,notestofthelegitimacyoftruth

claimsofvaryingperspectivesisundertakenatall,oftenregardlessoftheirillusionary,

neuroticorhiddenegotisticalqualities,orsimplyoftheirimpracticality.GreenNLPthrivesinanenvironmentofinfinitespaceforeveryfeelingandpointofview.Whileit

developstheabilitytolistenandunderstanddifferingpointsofviewandsohelpstoliftconsciousnessandbehaviouroutoftheconditioningtodominanceofAmber-Orange,

whatisoftenlostistheabilitytoperformrealitytestswhichmightexcludesomepoints

ofvieworsomefeelingsfromequalconsiderationforthebenefitofthelargerwhole.

Wilberdescribestheshiftfromfirst-tiertosecond-tierconsciousnessaqualitativelynewkindofchallengeinourdevelopment,asitmarksthetransitionoutofdeficiency



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consciousnessandintoself-actualizationneeds.Secondtierinformsandempowersour

capacitytoconsciouslyevolve,bothindividuallyandasaspecies.CommentingontheGravesvaluesdevelopmentalline,hesaysthat,

Withthecompletionofthegreenmeme,humanconsciousnessispoisedfora

quantumjumpinto"second-tierthinking."ClareGravesreferredtothisasa"momentousleap,"where"achasmofunbelievabledepthofmeaningiscrossed."In

essence,withsecond-tierconsciousness,onecanthinkbothverticallyandhorizontally,usingbothhierarchiesandheterarchies(bothrankingandlinking).

Onecantherefore,forthefirsttime,vividlygrasptheentirespectrumofinteriordevelopment,andthusseethateachlevel,eachmeme,eachwaveiscrucially

importantforthehealthoftheoverallSpiral.…Becausesecond-tierconsciousness

isfullyawareoftheinteriorstagesofdevelopment—evenifitcannotarticulatetheminatechnicalfashion—itstepsbackandgraspsthebigpicture,andthus

second-tierthinkingappreciatesthenecessaryrolethatallofthevariousmemes play.Second-tierawarenessthinksintermsoftheoverallspiralofexistence,and

notmerelyinthetermsofanyonelevel.13

Capitalism3.0canundoubtedlyfunctiononlyonasecond-tierlevelofconsciousness.If

itistoplayaproductiverole,howcanNLPitselfmakethe“momentousleap”toWilber’s

colourcodelevelofTeal,andwhatwouldasecond-tierNLPbeabletocontributetothesolutionstoemergingcomplexityproblems?

Second-tierNLP—aVision

AnexampleofwherethejourneyforsecondtierNLPmightgocanbetakenfromJoseph

Jaworski,whoisaleadingfigureinwhatScharmerdescribesastheemergingfourthfieldofpresencingandwhichlikelyoccursoutofasecond-tierconsciousnessinWilber’s

model.Inhisrun-uptofoundingtheAmericanLeadershipForum,JaworskimetwithDavidBohm,thephysicistand“Diaolgue”author,tofindorientationforhisquesttolift

leadershipinAmericatoanewlevelofcompetenceforthecomingchallenges.InaninterviewwithOttoScharmerin1999,JaworskidescribeshowBohmindicatedthat

whatheneededtodotosolvemanyoftheproblemsofleadershipwasto“removethe

blocksthatseparatethesepeople.Thenyoucanoperateasasingleintelligenceforthe

goodofthecommunityortheregion.”14 TheALFwhichhewentontofounddidmuchgroundbreakingworkintryingtounderstand“howtobringthesekindsofcollapsing

boundaryexperiencesabout,howtoproducethatexperience.Andnotjustindividually,butonagrouporcollectivelevel.”OneapproachJaworskichosewastobringtogether

25communityleadersfromallareasofcommunitylifewhowereatthetopoftheir

game,introducetheminanorientationworkshoptotheprinciplesofcollectiveleadership,andthengoforsevendayswiththemintothewildernessunderthe

guidanceoftheOutwardBoundorganizationtoproducetheexperienceofwhatitcould

meantocollapsebarriersbetweenthemandallowthemtoworkasonecollectiveunitinthewildernesssetting.Thehopewasthatthisexperiencewouldfunctionasfourth

fieldconditioningandaguidinglighttotheirleadershipinthecommunitywhentheyreturned.

13http://rationalspirituality.com/articles/Ken_Wilber_Spiral_Dynamics.htm14http://www.dialogonleadership.org/interviews/Jaworski-1999.shtml-five,andsubsequentquotes



13

Feelingattheendofthe80’sthatitwastimetomoveon,JaworskiwasaskedtoheadupthecurrentiterationofthescenariogroupatRoyalDutchShell.UnderAriedeGeusthe

companyhadestablishedanadvancedplanningprocessbasedonthedevelopmentof

alternativescenariosofworldwidetrendsintothefuture.Jaworskitooktheopportunity

toapplyhisinsightsfromtheAFLperiodtothecorporateplanningsetting.Whathefoundwasthat,“Everythingwasveryrational.Theirwholescenarioplanningprocess

wasveryrational.Iultimatelywantedtogodeeperandgobeneaththesurface,tosensethefuturethatwantedtoemerge,whichpeopleatShelldidn’tunderstand.Andthiswas

likebeing…fromanotherplanet.”Ratherthansimplydownloadandupdatethevisionsofthefutureinrationalandanalyticinterviewsonbusinessissueswiththevarious

managersatthecompany,Jaworskioversteppedrationalboundariesindeeplistening

interviewsonaone-on-onebasisto“puttogetheranunbelievablepictureoftheinternalworldofShell.Ihadtheseboundaryblurringexperienceswithmanyofthem.”The

resultwasapairofprofoundscenarios,called“Barricades”and“NewFrontiers,”ofwhichthesecondwhichwasadoptedoversteppedtheboundariesofconventional

thinkingatthetime,helpedtomoveShellintoaforward-lookingculturechangeprocess,

andpreparedthecompanybetterthanitscompetitorsfortheshiftintoalternativeenergysourcesandamulti-polarpoliticallandscape.15

AftertheShellperiodandduringhisnextphaseinBostonwithPeterSengeattheMITOrganizationalLearningCenter,JaworskiwrotehisbookSynchronicitytogetherwith

BettySueFlowerstoformulatetheessenceofhisleadershipdevelopmentquest.Thequestionunderlyingthebookwas,

Howtoaccessourhighestsourceofcreativitysothatwecangivebirthto

somethingentirelynew.Toknowwhatitisthatwantstohappenintheworldandbringitforthintoreality.IhadhadalltheseexperiencesI’vebeendescribingtoyou,

butifyouseparatetheseintodifferentthings,intodifferentrealms,howwouldIbringitalltogether?IwantedtobringtheseexperiencesandwhatIhadlearned

fromDavidBohm,FranciscoVarela,RupertSheldrakeandotherstogetherinacoherentsetofprinciples.Ibelievethatthemostimportantrealmofleadershipis

theonethatwe’vebeendiscussing.It’sthiscapacitytocollectivelysensewhatitis

thatiswantingtobebroughtforthintheworld,andtobringitforthasitdesires.

Jaworski’spathwasoneofaction,confrontingoldsystemswithfourthfield,second-tier

principlesandopportunities.Whenaskedwhatmadethedifferenceinhisworkand

whatmadeitsuccessfulinovercomingoutdatedpatternsofleadership,hesaidthatinhisexperienceitwasnotsoimportantwhat aleaderdid,wherebyitwasclearthatheneededtobecompetentinhismanagerialcraft.Norwasitsoimportanthow hedid

whathedid,thoughanorientationtosocialcomplexityisasecondprerequisitefor

success.Essentialwas fromwheretheleaderacted.Fourthfieldcollectiveactionisgeneratedbyleadershipwhichstartsfromandactsoutofthefourthfieldfromthe

beginning.Itistheleadingfromthefuture,beingintheserviceof“whatiswantingtobebroughtforth,”andfindingotherswhosharethespaceofthefourthfieldtogetherwith

youwhichultimatelymakesthedifferenceinresultsachievedindealingwithcurrent

problems.

15JosephJaworski,Synchoronicity:TheInnerPathofLeadership,Part4.22,“NewFrontiers,”Berrett-KoehlerPublishers,1998.pp.160ff



14

ThisinsightimpliesforNLPthatneithertheleveloftechnologyembodiedintheformats,northesocialcompetencedevelopedbyapplyingtheformatscongruentlywill

resultinanycontributiontothefourthfield,second-tierconsciousnessfromwhere

collectiveleadershipfromthefuturebecomespossible.Onthecontrary,afocuson

moreeffectiveOrangeormoreauthenticGreenensuresthattheleaptoTealwillremainforeverbeyondNLP’sreach.

Totakeitsnextevolutionarystep,NLPwillhavetorelaunchitsself-identityfroma

second-tierplatform.Thequestionof“fromwhere”actionistakenalsoinvolvesthequestionof“whatfor”actionistaken.UsingScharmer’sTheoryUasorientation,this

wouldmeanthatNLPwouldneedtoactfromanawarenessof“whatiswantingtocome

forthcollectively.”WhatthismeansindetailcanbeexplainedintermsofthevaluesdevelopmentallineinGraves,wheresecond-tieriscolor-codedtoyellow/turquois

(Wilber’sTeal)below.

Chart6:16

Second-tieroriginationrequiresthatthreemovementsbecompleted.First ,alllevelsup

toGreenhavebeenlivedthrough,understoodandintegrated.Second ,thelimitsoffirst-

16SteveSelf,AQALCollage,second-tierlevelsinWilber’sfourquadrants.Forthefullcollageseehttp://in.integralinstitute.org/avantgarde/self/1_06.shtml



15

tiervalueshavebecomesoclearinexperienceandunderstandingthatnoalternative

remainsbuttogobeyondthem.Andthird ,theneedandwillingnesstogobeyondfirst-tiermodesismademanifestintheleaptosecond-tieraction.Whilethefirsttwo

movementsarepreconditions,thethirddemonstratesthatonehasarrived.Forthe

transformationofconsciousnesstosecond-tiercannotberealizedthroughthoughtor

feeling,butonlyphenomenologicallythoughtheexperienceofinitiationof,orparticipationincollectiveleadershipprocessesthathaveanactualeffectontheworld.

Atthesametime,secondtierisastateofbeingthatisbeyondaction.Itis

transformationalbyexample.Itsleadersachieveresultsnotbywhattheydo,butbythewaytheyare,suchthatotherslearntofollowbyexperiencingintheleadersomeone

whointhequalityofhispersondemonstrateswhatitmeanstoliveasanintegralor

holisticself.17InScharmer’sU-Process,thesearetheanswerstothequestions,“Whoismyself?”and“Whatismywork?”answerednotintellectually,emotionallyorsocially,

butinthetransformationaleffectofourbeing,andoftheresultsofactionsinitiated

fromthat(collective)beingstate.

Examplesoftheeffectivenessofactionemanatingfromasecond-tierstateofbeingaremyriadinhumanhistory.Wehaverecordedcasesoverthousandsofyearsofindividual

expressionsofpost-rational,transpersonalorilluminatesstates.18Whatisnewisthe

direneedforthesestatestobecomelevelsofmaturitythatarecollectivelyachievedonalargescale,andarestableenoughtobecometheplatformforsustainableglobal

economic,socialandconsciousnesschange.

ForNLPtomakethetransition,then,itwouldneedtoinitiateandbringtosuccessful

completionprojectsincollectiveleadershipfromthefuture,anditwouldneedtoleadbyexamplethroughthecharacterandqualityofitsservicetoglobalsurvivalandquality

17"Characterteachesaboveourwills.Menimaginethattheycommunicatetheirvirtue

orviceonlybyovertactions,anddonotseethatvirtueorviceemitabreathevery

moment."RalphWaldoEmerson

18E.g.Lao-tse,Taoteking

OnLeadership

Awiseleader,Ishardlynoticed.

Thelesswisearehonouredandcelebrated.Inferiorleadersarefearedandhated.

Incompetentleadersareridiculedandscorned.

Hewhoincompletetrustbelievesinthegood,

Leadspeopletofulfilment.

Awiseleadersweighshiswordsanddeeds

Withcare.Almostimperceptiblyheleadstoself-discovery.

Arehisworkscompletedandthegoalachieved,Allfeel:Wediditourselves.



16

oflife.Todate,NLPhasnotbeenknownforitstransformationalworkonacollective

level.Whatwouldsuchaconceptthenlooklike?

InnovationFrames,Concepts,GoalsandMethodsforImplementingSecond-Tier

NLP

Toeffectglobalchangeistointroduceinnovationintotheinfrastructuresandconsciousnessofsystemsateverylevel.Innovationprocessesdescribethepractical

stepstoimplementchangeweknowweneedtomake.Wereitsimpletoinnovate,thenwewouldalreadyhaveanswerstomanyofourproblems.Thechallengeliesnotinthe

processesthemselves,whicharematureandsupportedbyexcellentsoftwaresolutions.

Ratheritisa“front-loading”issuewhichneedstobemastered,andwhichoperatesaccordingtotheprincipleof“garbagein,garbageout”towhichmostattemptsat

innovationsuccumb.

Forexample,thefinancialorientationtowardsshareholdervalueandshort-termprofit

maximizationatanawarenesslevelofcapitalism1.0,controlledbymeansoffinancialkeyperformanceindicators,hasaninherenttendencytofocusonprofitbasedon

productivitythroughcostreduction,andinitsriskmanagementtofocusonlimitingrisk

toincreasecontrolandpredictability.Asaresult,innovationtendsgoawayfrominventingtrulynewproductsandservicestowardslineextensionsinanexisting

portfolio,whichisoneofthelowestvalueinnovationlevelsandnowaytomaster

difficultproblems.Forinnovationonhigherlevels,short-termfinancialorientationandaneedformechanicalcontrolaretoxicintheireffectsonresults.19

Theinnovationprocesstakesthesubjectivequalitiesitisgivenasinput,suchas

presuppositions,styles,tendencies,philosophies,andvalues,andefficientlyproduces

productsandserviceswhichmirrorthisinput:Inthecaseofinnovation-averseapproachestobusiness,thegarbagethatcomesoutsimplymirrorsthesubjective

garbagethatwentin.Innovation,therefore,confrontsuslesswithobjectivechallenges

oflimitstotechnologythanwithsubjectivechallengestothewaywethinkandlive,toourperception,beliefsandvalues.TheGermantrendresearcherMatthiasHorxwrites

in“Wiewirlebenwerden,unsereZukunftbeginntjetzt”(tr.HowWeareGoingtoLive,OurFutureBeginsNow),abookontrendsandfuturescenarios,thatwhatwouldshocka

timetravellerfromahundredyearsagomostaboutthewaywelivetodayisnotourtechnology,suchashousing,personalandmasstransportation,energygenerationor

19Properlyunderstood,theshareholdervalueconceptdoesnotexcludestakeholder

interestsonaCapitalism2.0level,nordoesitreducestrategytoshort-termprofitgoals.Introducedasametrictoconstrainaself-serviceattitudeamongprofessionalmanagers

inthe1980’s,ithasinthemeantimebecomedivorcedfromitsoriginalintention,sothatearlierproponentslikeJackWelchnowsaythat,"Onthefaceofit,shareholdervalueis

thedumbestideaintheworld...Anyfoolcanjustdeliverintheshorttermbysqueezing,

squeezing,squeezing...Shareholdervalueisanoutcome,notastrategy.“BusinessWeekinterview,March16th,2009:

http://www.businessweek.com/bwdaily/dnflash/content/mar2009/db20090316_630496.htm



17

communication,whichforthemostpartexistedinprincipleandinsimplerforms

alreadyinhistime,butthechangeinourbeliefs,valuesandbehaviours.Ourmorality,ourapproachtosexuality,authority,race,nationality,communication,relationships,

politicsandenvironmentwouldposeafargreaterchallengetohisabilitytounderstand

andliveinourworldthananythingphysicalhemighthavetodealwith.

Projectedintoourfuture,itisoursubjectivityandinter-subjectivitywhichalsosetsthe

greatestlimitstoourpotentialfordevelopment,anditisatthispointthatNLP,withitstechnologyandexperienceineffectingchangeinpeople,hasacontributiontomake.To

dosopractically,however,asecond-tierframeofmeaningandaninfrastructureframeworkisneededtogivetheAmber-OrangesuccessformatsandtheGreen

emotionalandsocialformatsaTealmeaningandeffectonthecollectivelevel.

Twointerlinkedprocessescouldbehelpfulinachievingthesechangegoals,oneprocess

toshowwhereexactlysubjectivetransformationworkisneededonacollectivelevel,

andtheotheraprocesstoimplementthechanges.Thefirstcouldbeprovidedbya

three-dimensionalinnovationmatrix,inwhichareasandlevelsofinnovationarelinkedtolevelsofsubjectiveandinter-subjectiveevolution,tomapoutwhereexactlytransformationworkneeded.Aninnovationmatrixofthiskindmapsteninnovation

typesagainstseveninnovationlevels.TheGravescolour-codingshowstheoverall

developmentallevelofthecultureoftheorganizationinthewayitunderstandsanddealswithchangeattheintersectionofinnovationtypesandlevels

Belowisanexampleofsuchathree-dimensionalinnovationmatrix.

Charts7and8:



18

,hieved?

When you look back on the results of the last years, where do you believeat you stand today?

change level. Only one point per

line. Add Graves levels withbackground colours.

ovation

els /ovation

es

New to the

world

New to the

industry

New to the

company

Renovation

of existingcategories

Incremental

improve-ments

Just

repositioning

Cost

reduction

Explanation An idea

which iscompletelynew to the

world

An idea

which iscompletelynew to your

company

An idea

which is newto yourexisting

product line

The next

version of anexistingproduct line

Small

improvements, newfeatures,

correcting

mistakes

Reposition-

ing anexistingproduct

Cost

reductionwithoutsignificant

changes to

the product

sinessdel

How youdesign your

businessmodel

Gravescolours for

levels of development

->

works

d alliances

How

stakeholderssupport each

other

Texts

describingthe facts ->

ablingcess

How yousupport

valuecreation

processesand people

re process How youdesign your

coreprocesses

duct

formance

How you

design yourproducts

ducttem

How yourcreate and

developplatforms for

your productportfolio

ue addedcepts

How you addvalue

dimensionsto physical

products

annel What saleschannels you

use, offer orinvent

nd Whatcommunicati

ons channelsyou use,

offer orinvent

stomerperience

Whatemotional

relationshipyour

customersexperience

When you look at the requirements of the

rket, where do you believe you need to? (below)

How to do the analysis: Mark the change

level. Only one point per line. Add Graveslevels with background colours.

ovation

els /ovationes

New to the

world

New to the

industry

New to the

company

Renovation

of existingcategories

Incremental

improvements

Just

repositioning

Cost

reduction

siness

del

How you

design yourbusiness

model

works

d alliances

How

stakeholderssupport each

other

abling

cess

How you

supportvalue

creationprocesses

and people

re process How youdesign your

coreprocesses

ductformance

How youdesign your

products

ducttem How yourcreate and

developplatforms for

your productportfolio

ue addedcepts

How you addvalue

dimensionsto physical

products

annel What saleschannels you

use, offer orinvent

nd Whatcommunicati

ons channelsyou use,

offer orinvent

stomerperience

Whatemotional

relationshipyour

customersexperience



19

TheInnovationMatrixFacilitationProcess:Groupsresponsibleforinnovation,

includingleaders,technicalexperts,projectmanagersandsalesandmarketing

managersmeettogaugetheinnovationleveloftheorganisationinthetentypesof

innovation,andthenreflectonthelevelatwhichtheorganisationalcultureunderstandsanddealswiththeneedforinnovationinthoseareasofaction.Oncethegroupshave

filledoutthe“actual”matrix,theintersectionpointsarediscussed,causesareanalysed,andconsequenceslookedat.Forexample,alargefamilycompanywhosebusiness

modelhasgonethroughnomorechangethantheoccasionalrepositioningfor40years,andwhosecultureishierarchical,managedbycommandandcontrolinanauthoritarian

self-understanding,whichisbureaucraticinitsoperationsandrisk-averseinits

controlling(Gravesblue/WilberAmber),willfinditdifficulttoseeandacceptthecomingendoftheproductlifecyclewhichmadeitamarketleader40yearspreviously.

Inthereflectiononcompanycultureandthelackofstronginnovationinrecentyears,

thestakeholdersmaycometounderstandhowparticularassumptionsabout

management,beliefsdevelopedthroughpastsuccess,andvaluesthathaveemergedascompanyculturemayposeathreattothecompany’sfurtherexistenceifthemarketmovesandthemanagers’perceptionignoresthefactsinfavourofconventionandhabit.

Thegroupsarethenaskedtolookatthemarket,thecompetition,technologicaldevelopments,andfuturetrendsandthenassesswheretheyneedtobeonthe

innovationscaletosurviveandprosper,andwhatkindofculturewouldbeneededto

supportthechangeandthenewlevelofcomplexityitinvolves.Intheprocessthegroupmightbecomeawarethatthecompanyneeds,forexample,totransformitselffrom

beingaproductproducertobecomingasolutionsandservicesorganization,focussednotonengineering-drivenimprovementstoexistingproducts,butdrivenratherbythe

marketandfocussedonsystemsintegrationandinterfacetechnologies.Thecultureneededtomaketheseinnovationssuccessfulmightbeprojectandprocess-oriented,flexibleandagileandsonon-hierarchicalbothinitsorganisationalstructureandinits

managementstyle(Gravesgreentoyellow/WilberGreentoTeal).A“tobe”visionoftheinnovationinthebusinessmodelismappedinthe“tobe”innovationmatrixandthen

formulatedasamission,values,visionandstrategy.

Thegroupsthenconfrontthedeltabetweenthe“tobe”and“actual”organisation.

Innovationgoalsareset,andinnovationinitiativesareformulatedwhichtakeinto

accountthecriticalsuccessfactorswhichthetransformationmustmaster.Achangevisionisformulatedandachangeprocessdesigned.

SoftFactsInterventionsonaPathnotonlytoCultureChange,buttoaLeapin

LevelstoSecondTier

Theoperationalchallengeofimplementingwhathasbeenenvisionedliesinconfrontingthesubjectiveconditioningofboththepeopleandtheirorganisationalculture.70%of

allmergersfaileithercompletelyorinlargepartbecausecultureincompatibility.70%

ofallIT-integrationprojectsfailtorealizetheobjectivesandsynergiesforwhichtheywereintendedbecauseofchallengestohabitualwaysofdoingthings.Most

organizationaltransformationprojects,suchasleanmanagement,processre-engineering,orrestructuringachieveshort-termresults,onlytoseetheculturefallback

intoprevioushabitswhentheinitiativesend.Changemanagementhelpsdramatically



20

toenablebuy-inandsustainabilityforchange.However,totheextentthatchange

managementitselfoperateswithinthepresuppositionsofaparticularculturallevelofdevelopment,itcanonlyhelptoreproduceexistinghabitsdressedupinotherclothes.

WhereNLPcanmakeaprofoundcontributiontosecond-tieractionisindoingthe

transformationalworktohelppeopletakeaconstructivistapproachtoactionandeffectivelylearnnewattitudes,behavioursandhabits.Thevisionforproducts,services,

organizationandculturecanbearrivedatthrougha3Dinnovationmatrix.Operationalsuccesswilldependonopeningthemind,theheartandthewilltogetbeyondsubjective

limitationsandengagingthemassuccessfactors.

Keyelementsonthepathtopresencinginsecond-tierconsciousnessare:

1. Learningtosee–understandingandinterpretingartefacts2. Understandingbeliefdrivers–discoveringandchangingaxioms,

presuppositions,beliefs

3. Connectingtothepowerofvalues–recognizing,challenginganddevelopingvalues-basedstructuresinordertoovercomebarrierstoinnovation

4. Developingsharedpicturesofthefuture–developingscenariosthroughcollectivedialogueprocessesandtheirintegralapplication

5. Usingthepowerofdevolvedorganizations–understandinghowsocialinnovationworks,andbuildinginfrastructureswhichenabletribestochangethe

world

6. Developinginnovationstrategies–findingone’sinnovationDNA7. Leadingstrategicconversations–buildingtri-sectorcollectiveleadership

processestoimplementinnovationonaglobal-localscale

Actionarea1:Learningtosee–understandingandinterpretingartefacts

AnothersayingascribedtoEinsteinisthatfisharethelastcreaturestonoticewater.It

isnaturalforthebraintotakeitshabitualenvironmentforgranted.However,theworld

weliveinisnolongerprimarilynatural,butwasmadebypeopleintheprocessofourculturaldevelopment.Oneoftheprincipleeffectsofmovingfromlevel3tolevel4inthe

U-processistorecognizethatthepolicies,structures,processes,economics,andculturewefeelsubjecttoandoftenvictimizedbyarenothingbuttheresultofourown

collectivedoing.Themarket,forexample,isnotlikeaplantoramountain,whichare

factsofnaturethatformthecontextinwhichhumanityevolved,butratherlikeacarorbuilding,whicharethingsthatsomeonehasinvented.Yetweexperiencethemarket

underCapitalism1.0and2.0asanexternalforce,asafactoflife,asifouractionshadnothingtodowithitsexistence.Ithasbecomesodeeplyembeddedinourperceptualpresuppositionsandhabitsthatweencounteritasathingweexperience,notanactthat

weperform.Ithasbecomeanartefact—asopposedtoabiofact—whoseanthropologicalanalysiscangiveusinformationaboutthecultureofitscreatorsand

users.Theinterpretationofthemarketasasocialartefactlaysbarethehistorical

reasonsforitscreation,thebeliefsandvaluesuponwhichitsexistenceisbased,andtheinterestsandaimsitservestosatisfy.Learningtoseethefactsaroundusasartefacts

movesthemfromtherealmofthingstowhichwearesubjectintothatofactionsupon

whichwehaveinfluenceandsoempowersusineffectingchange.Wethusbringourselvesintoapositioninwhichwedaretoaskourselves,e.g.whetherthemarketwe

nowhaveistheoneweneedorwanttohaveinfuture,sothatwecangetdowntothebusinessofcreatinganalternativevisionandplanningitsimplementation.



21

InathreadonScharmer’s“7AcupuncturePointstotransformCapitalism”paperonthe

needfortransformationinfrastructures,DavidHodgson,aCommunitymember,commentsthat

Insteadofcapitalism3.0Ihavebeenmovingtowardsavariantofthephrase‘the

sacred|spiritual|enlightened|livingeconomy’.

Ibelievewehavetomoveentirelypasttheparadigmofcapitalism,andshiftourconceptualcenterofgravityfromcapital,anabstraction,mind,tosomethingalive,

whole,andintegrated,sothatwecancomebacktolifeasJoannaMacymightsay.

Andtodefinethelivingeconomyasaplatformtosupportglobalcollectivewell

being.Grossinternationalhappinessasthemeasureofsuccess. 20

Avisionlikethiswouldbeaninnovationwhollynewtotheworld.Italsoupendsthe

mostdearlyheldpresuppositions,beliefsandvaluesofmostofthebusinesscommunity,andisamortalchallengetotheideologiesofamber-orangeandgreen.

Iwriteinresponse,

Weseemtolackthematurityforatruecollective.Forexample,inthepoliticaldebateoverhealthcarereformintheUSatthemoment,theterm"socialism"serves

totriggerfeartodiscreditgovernmentactionfocusedoncollectivewell-being--

whichtomyshockalotofpeopleseempassionately(hysterically?)tobebuyinginto!Whatisthetraumabeingactivatedhere?Imagesofthecollectiveinpopular

mediaaremostlypathologicallynegative,aswiththe"Borg"insciencefictionTV,

orinbusinessaswiththebattleagainstopensource(bySunatonepointifIremembercorrectly),ashostiletoinventivenessandvitalityseentobebasedon

motivationthroughintellectualpropertyrights.

Wehave(hopefully)movedbeyondthepainfullyforcedcollectivesofthepast

(empire,feudalism,communism,fascism)thatIcouldimaginebeingsourcesofthenegativecollectiveinsocialmemory.Butweseemtolackvisionsofself-fulfilling

collectivesofthefuture.Nevertheless,wedonothaveachoicebetweenindividual

freedomandcollectiveaction.Bychoosingindividualfreedomfromthecollectivecontext,wegenerateadysfunctionalcollective,whichunderminesindividual

freedom.Thechoiceisnotbetweengovernmentornogovernment,butbetween goodandbadgovernment(goodgovernmentbydefinitionbeinglimitedtowhatit

candowell--butdoingwhatitcandowellwithfullintelligenceandcommitment).

Oneofthethingsgoodgovernmentcoulddowouldbetoensurealevelplayingfield

forthemechanismofthemarketthroughintelligentregulationfocusedperhapson

anunderstandingof“holisticcollectivewell-being”contributedbycivilsociety.Themarketisjustamechanism.Butwedonothaveaproperlyfunctioningmechanism

inthemarketatthemoment,becausespecialinterestshavetiltedtheplayingfieldmassivelyintheirfavourwiththeirstrategyofprivatizingprofitswhilesocializing

costs.Couldwenotreconceiveofthemarketasasocialtechnology?Markets

mediatebetweenbothindividualandsocialinterests(asOttodescribesbrieflyinhismentionofProsper.comasanalternativetotheintermediaryroleofclassicalbanks

infacilitatingcredit).Atthemomenttheyareinthethralloftheoligarchs,butthey

20http://www.blog.ottoscharmer.com/?p=123#comments,comment2



22

couldjustaswellbeliberatedtoperformtheirsocialfunctionconstructively.Social

infrastructurescouldcutoutthemiddle-men,sothatthemarket—andsocapitalism?—coulddoitsjobforeveryone.

Asteponthewaymaylieinhealingtheunconsciouslypathologicalrelationship

manyhavetothecollective(awayfromthepastofenforcedsocialcohesiontowardsexperiencesofademocraticgenerativecommunity).Maybeweneedtofocusmore

oncreatingimagesofthefulfilmentoftheselfincollectiveaction(I’mthinkingof presencingtheatreinthemediahere).Couldcapitalismperhapsbeliberatedby

art…? 21

Tothecommentontheamber-orangeconservativeAmericanresponsetotheneedfor

collectiveaction,onecouldaddthattheliberalleftAmericanresponseandtheEuropeanreflextodotheoppositeandmassivelyexpandtheroleofthestateineconomiclifeis,

becauseofitscostandineffectiveness,justasunsustainable.WhereAmber-Orange

tendstowardsreligiousandmarketfundamentalism,Greentendstowardsstate

fundamentalism.

WhatcontributioncanNLPmaketohelphealthepathologicalrelationshiptothe

collective—bothitsabsoluterejectionanditsabsoluteembrace?Withasecond-tier

awarenessasitsplatform,afullspectrumofformatswhichcanhavetherequiredeffectareimmediatelyavailable.Tonamejustafew:

- metamodelexplorationsofthepresuppositions,beliefs,valuesandconditioningbehindhystericalfearofcollectivesandinfantiletrustincollectives

- submodalityinterventionstoquestionandchangerepresentationsofcollectives- re-imprintstohealtraumaticactualexperienceswithdestructivecollectives

- reframinginterventionstomakeconstructivemeaningsforcollectivesaccessibleandavailable

- systemicinterventionstomakeconsciousandresolveentanglementswiththe

experienceofdestructivecollectivesfromthefamilyorsystembackground

- fastphobiastodisempowerthevisualanchorsforimaginedfears

ForScharmer,“Theshiftfromdownloadingtoseeingissimple—althoughnotalwayspainless.Threedistinctprinciplescanhelpustomovefromdownloadingtoactually

seeing.Theyare:(1)clarifyquestionandintent,(2)moveintothecontextsthatmatter,

and(3)suspendjudgmentandconnecttowonder.”22NLPcanprovidethecraftsmanshipinthebackgroundtoimplementtheprinciples.

Actionarea2:Understandingbeliefdrivers–discoveringandchangingaxioms,

presuppositions,beliefs

Havingsurfacedaxioms,presuppositionsandbeliefbehindtheartefactsofexistence,thechallengeisthentochangethosewhichareunproductive,createtheconditionsunder

whichviablealternativescangrowanddevelop,andhelpinthecollectiveleadership

processestoundoblocksonthislevelonanongoingbasis.

21sameasabove,comment1322OttoScharmer,TheoryU,SocietyforOrganisationalLearning,Cambridge,Massachusetts,2007,p.131



23

Fromaconstructivistunderstanding,beliefsaregeneralizationsfromexperienceabout

oneselfortheworld.Withlongerhabituation,thebeliefsmakeclaimstovaliditya priori,independentlyofexperienceandwilloftenmaintainthemselvesinthefaceof

consciousawarenessofcontraveningfacts(“Iknowitsnottrue,butIstillbelieveit.”)

UndesirablebeliefscanbechangedwithclassicalformatsliketheWalkingBeliefChange

ofMcDonaldandDilts23orwithsubmodalitiesformats,andforcompetentNLPpractitionersandself-coachesthesearesimpleexercises.

Thechallengeforsecond-tierinitiativesistoenablechangeonthelevelofgroupsor

systemsintheirculture.ForScharmer,aneffectiveapproachingroupstochangingbeliefsistoengagein“dialogue,”withtheintentionofopeningtheheartandbreaking

downboundaries.DavidBohmdescribesthechallengeasfollows:

Nowwhydoweneeddialogue?Peoplehavedifficultycommunicatingeveninsmall

groups.Butinagroupofthirtyorfortyormore,manymayfinditveryhardto

communicateunlessthereisasetpurpose,orunlesssomebodyisleadingit.Whyis

that?Foronething,everybodyhasdifferentassumptionsandopinions.Theyarebasicassumptions—notmerelysuperficialassumptions—suchasassumptionsaboutthemeaningoflife;aboutyourownself-interest,yourcountry’sinterest,or

yourreligiousinterest;aboutwhatyoureallythinkisimportant.

Andtheseassumptionsaredefendedwhentheyarechallenged.Peoplefrequently

can’tresistdefendingthem,andtheytendtodefendthemwithanemotional

charge.…Thepointisthatdialoguehastogointoallthepressuresthatarebehindourassumptions.Itgoesintotheprocessofthoughtbehindtheassumptions,not

justtheassumptionsthemselves. 24

NLPhasvastexperienceingoingintotheprocessofthoughtbehindassumptions.Forexample,abusinessmanwhocomestocoachingforself-sabotagingfailureshehascausedinanotherwiseflourishingbusinessmightdiscoverthatthebeliefthat“acamel

wouldsoonergothroughtheeyeofaneedlethanarichmanintoheaven,”isbehindthe

failures.Unconsciously,thebeliefdetermineshisbehaviourtosuchanextentthathedoessomethingtocreateproblemsinhisbusinesswheneverheisatriskofachieving

greatsuccesses.Askedwhetherheconsciouslysubscribestofundamentalistreligiousbeliefs,hesays“clearlynot,”andthereasonhehascomeintocoachingistoresolvethe

conflictheisexperiencingwithhimself.Uponexamination,thebeliefisfoundtoreside

inayoungerpartofhispsyche.Analysisofitsoriginshelpshimtounderstandthethinkingprocessofthechildheoncewas,whichledtotheformulationofthebelief.

Throughtheintervention“GrowingaPart”thechild’sthinkingprocessusupdatedtoadultconsciousnessandthedysfunctionalbeliefisreplacedbyconsciousadultthinking.Theconflictisresolvedinthattheintentionofthechildisseparatedfromchildish

conclusionsandisconnectedtotheresourcesoftheadultperson,whofulfilstheintentionthoughviablebehavioursinhiscurrentreality.

GoethecapturesthefundamentalexperienceofouridentitywhenhisFaustexclaims:“ZweiSeelen,ach,wohneninmeinerBrust!”(Alas,twosoulbeatwithinmybreast).

Humanbeingsareintheirindividualityconstitutionallynotonewiththemselvesortheir

environment,inthiscaseasaconsequenceofpartspsychologyandtheautonomyof

23http://www.nlpu.com/Patterns/pattern3.htm24DavidBohm,Dialogue,RoutledgeClassics,2004,pp.8-9



24

psychologicalpartsandtheirexperiences,beliefsandconclusions.Underthese

conditions,apersonisunabletoevolvewithhisenvironmentandrespondrealisticallytoitschallenges.

ForBohm,therootcauseofconflictsbetweenbeliefsandrealityliesinthe

fragmentationofthought.Hedescribeshowonthefirstlevel,

Fragmentationisoneofthedifficultiesofthought,butthereisadeeperroot,whichisthatthoughtisveryactive,buttheprocessofthoughtthinksthatitisdoing

nothing—thatitisjusttellingyouthewaythingsare.Almosteverythingaroundushasbeendeterminedbythought….Thewholeecologicalproblemisduetothought,

becausewehavethoughtthattheworldisthereforustoexploit,thatitisinfinite,

andsonomatterwhatwedid,thepollutionwouldallgetdissolvedaway.…The pointis:thoughtproducesresults,butthoughtsaysitdidn’tdoit.…Usually,when

youhaveaproblem,yousay,‘Imustthinkaboutittosolveit.’ButwhatI’mtrying

tosayisthatthoughtistheproblem. 25

NLPhasthetechnologytodealwiththeproblemofthoughtinmanyways.ButBohmgoesontosaythat,“Infact,mostofitcomesfromacollectivebackground.”WhileNLP

haswaysofperceivinganddealingwithcollectivesourcesofindividualbelief,itlacks

thetechnologyforunderstandingandchangingbeliefonacollectivelevel.NoNLPformatwouldliftanationcollectivelyoutoffundamentalistaxiomsofitscollective

thinking.Yetwearefacedwithnothinglessthanachallengeonaworldscaleifwewant

toeffectchangeinanyofthesevenacupuncturepointsinScharmer’smap.

Scharmermakessome“diagnosticobservationsaboutthecurrentstateofthecollectivebodyofconversationthathappensinorganizationsandinstitutionsdaytoday,moment

tomoment,”whichmirrorsthedynamicsofindividualidentityandthought:

1. Theindividualintentionofmostparticipantsinmostorganizationsistooperate

fromthespaceofcreativeemergence,notfromthedarkspaceofpathology.

2. Yetthecollectivelyenactedoutcomeisthatmanyconversationsinmanyormostorganizationstakeplaceinthepathologicalspaceofanti-emergence,notthespace

ofcreativeemergence3. Hence,wecollectivelydowhatnobodywants:weoperateinthetoxicatmosphere

ofpathologicalpatternsofconversation.

4. Suchaconversationalspaceistoxicorlimitingintworespects:itpreventsindividualparticipantsfromaccessingtheirdeeperlevelsofbeingand

consciousness,anditpreventscollectiveinstitutionsfromco-evolvingwiththeirenvironmentsbyaccessingthedeeperstreamsofcollectiveemergence. 26

AcolleagueofScharmer’s,UrsulaVersteegenhasdevelopedthetechnologyofthe“dialogueinterview”toenablegroupstomovefromthedestructiveanti-spaceof

pathologicalbeliefandconversationtothecreativeUspaceofconversationalreality

creation.27Sheusesadialogueprocesstoidentifyemergingthemesinlarge-scalechangeprocesses:

25

DavidBohm,pp.10-1226OttoScharmer,TheoryU,pp.287-8827TheformatisavailableunderthecollectivecommonsagreementthroughtheU-Browserat:http://www.presencing.com/tools/index.shtml



25

PRINCIPLES

Createtransparency andtrustaboutthepurposeandtheprocessoftheinterview.

Practicedeeplistening(figure).

Suspendyour“VoiceofJudgment”:lookatthesituationthroughtheeyesoftheinterviewee,don’tjudge.

Accessyouignorance:Astheconversationunfolds,payattentiontoandtrustthe

questionsthatoccurtoyou.

Accessyourappreciativelistening:Thoroughlyappreciateandenjoythestorythatyouhearunfolding.Putyourselfinyourinterviewee’sshoes.

Accessyourgenerativelistening:Trytofocusonthebestfuturepossibilityfor yourintervieweeandthesituationathand.

Gowiththeflow :Don’tinterrupt.Askquestionsspontaneously.Alwaysfeelfreetodeviatefromyourquestionnaireifimportantquestionsoccurtoyou.

Leveragethepowerofpresenceandsilence:Oneofthemosteffective“interventions”asanintervieweristobefullypresentwiththeinterviewee—and

nottointerruptabriefmomentofsilence.

Interviewerscomeforthelargestpartfromwithinthesystemwhichistobecollectively

seenandunderstood.Thefourthfieldmerginginthegroupwhichcantakeplaceinthe

processcomesfromasecond-tierabilityandattentiontosensethecollectivepatternsbehindthestatementsintheinterviews.InwhatVersteegencomparestoa“jam

session,”theinterviewersmeetwiththetranscriptsoftheirinterviewsandbeginreadingindividualsentencesoutloud.“Theinstrumentsarethepeopleyou

encountered—yourinterviewees;thesheetsofmusicarethetranscriptsinfrontofyou;

andthepieceofmusicthatyourarecreatingisthesocialartofseeingandsensingtheemergingsystem,theonethatyoutriedtoelicitinthethoughtandwordsofyour

interviewees.”Aseachinterviewerreadsoutloud,hespeaksasifstrikinganoteinacollectivejazzimprovisation.Intothepause,anotherreadsasentenceinresponse.As



26

thepiecedevelops,apicturebeginstoemerge.“Theygetintoarhythm,andlearnto

listentothemusicthatspeaksfromwhatremainsunsaidbetweenthequotes—theemptyspaceinbetween(deepdive).…theybegintotuneintosomeoftheemerging

patterns,picturesandpolarities…theybegintoshifttheplaceoflisteningtoward

listeningfromthewhole,thecommongroundfromwhichalloftheinstances,stories

andquotesarose.”28

NLPisnotneededforsuchcollectiveprocesses—atleastinthepartofcollectivedialogue.It’scontributionwilllikelylieinworkingwithwhatthecollectiveleadership

processtriggersintheindividualparticipants.If,forexample,theexperienceamemberofthegrouphashadwithapathologicalcollectiveistriggeredbythedeepdiveofthe

group,theensuingpersonalpsychologicaldramawillblockhisabilitytoevolvewithand

contributetothegroupprocess.Insomecasesthedeepdialoguestatewillsufficenotonlytosurface,butalsotocleartheblock,asdeeplisteninghasahealingqualityallits

own.Atthesametime,presencinggroupsarefromtheirintentionnottherapygroups,

andthemembersgenerallynottrainedtherapists.Whatistriggeredbyasecond-tier

experiencemaybehealedwithNLP’sfirst-tiertechnologiesappliedinasecond-tierstateofawareness.29

ActionArea3:Connectingtothepowerofvalues–recognizing,challengingand

developingvalues-basedstructuresinordertoovercomebarrierstoinnovation

Thefocusofthinkingandactionintheworldcouldbesaidtobemovingfromaleft-

brainedtoaright-brainedfunctionalemphasis.30Thelastcenturysawanunparalleledstringofsuccessesintechnologyandculturethroughscientificandanalyticmethods.

Withthegoodresultsfromthefocusonfactsandfigureshascomeabeliefthatleft-brainedapproachestothechallengesoftheworldarenotonlyadequate,butaretheonlypossibleoption.Asourexperienceconfrontsusmassivelywiththefactstothe

contrary,andouranalysesincreasinglyshowthatitisournaïvebeliefintheefficacyof

enlightenmentthinkingwhichhasgottenusintothecurrentmessinthefirstplace,leadersaresearchingincreasinglyforalternativesthatwillhelpustodescribe,

28OttoScharmer,TheoryU,p.29229Inmyownshortexperiencewithapresencinggroup,Isenseatendencyamongdeep

listenerstoconfuseTealcollectiveprocesseswiththeGreenprocessofsocialand

emotionalunderstandingthroughsharingingroups.AsGeorgePór,asocialentrepreneuremergingfromalonghistoryofspiritualpracticewhotookpartconfesses,

“Inthespiritoffulldisclosure,IalsoadmitthatIamarecovering‘beinginthehereandnow’addict.Ofcourse,there'snothingwrongwithstayinginthebottomoftheUforas

longasneeded.Myconcernisaboutwhenitbecomesanaddictionandpreventsusfrom

movingupontherightlegoftheU.Thatpreventionstartsfrequently,byexcludingtheprototypingdimensionoftheUfromthedesignoftheeventandreplacingitwith

"somethingwillemerge"thatafriendofmytermedas‘theopiumoftheculturalcreatives.’”30DanielPink,AWholeNewMind,foranentertainingandinsightfuldescriptionofthe

shiftintheproductionofaddedvaluefromlogical,sequential,specifiable“left-brained”activitiesthroughoutsourcingandautomationtocreativeactivitiesbasedonpattern

recognition,subjectiveevaluation,relationshipsandcreativitygenerallyassociatedwiththeoperationofthe“rightbrain.”



27

understandandinfluencethesuccessfactorsforchangewithwhichtherightbrainisat

home.

Fromthevalue-basedmanagementassociatedwiththeshareholdervalueideology,

thereisanincreasinginterestbeingshowninmanagementthoroughvaluesinthe

broadersenseofthingswhichareimportanttousbeyondthefinancialbottomline.

TheGravesmodelisusefulinthisregardinhelpingvariousstakeholderstodescribewhatisimportanttothemacrosstheentirepycho-social-political-economiclandscape

oftheirorganizationsandtheirfieldsofengagement.Withtheappropriateinfrastructure,Graves’developmentallinecanbeusedtovisualizethedeltasbetween

whatisimportanttoemployees,managersandcustomers,amongothers.Inaddition,it

canbeusedtoanalysethedevelopmentaltrendsandshowwhattheenvironmentinwhichanorganisationworksdemands.Acrossallthedifferences,areasofactioncanbe

identifiedtoclosethegapsandcreatealignment,sothatvaluesconflictsnolonger

paralyseessentialinitiatives,butinsteadsupportanddrivethemaseffectivelyas

possibletowardstheachievementofresults.

Varioustoolsprovidequestionnairesandthevisualizationofanalysestosimplifythe

processofidentifyingproblemsandareasofaction.ChristopherCowan,withDonBeck

oneofGraves’formerassistantsandthefoundersofSpiralDynamics,hastogetherwithNatashaTodoroviccreatedseveralanalysistoolsinthisdirection.31

AtOrgProf3.0aquestionnairehasbeenprogrammedtoenablesystemanalysisthroughtheprismofGraves’valuesmodel.Thevaluesofstakeholdersareelicitedthroughan

onlinequestionnaire,theirexperienceofthecurrentsituationororganisationiscaptured,andtheirrecommendationsforhowthevaluesapproachshouldbedifferentis

described.Visualizedinvariousgraphs,deltascanbemadeoutandquestionsaskedininterviewsoropen-space,worldcaféorappreciativeinquiryworkshopswithacollectivepresencingintentionastowhatvalueswouldbeuseful,arewantedandwould

leadtosuccess.Changeinitiativesaredescribedtorealizethevaluesvisionandactions

agreeduponforimplementation.32

Chart9:

31AssessmentofWorldViews,ChangeStateIndicator,andAssessmentofThinkingand

Coping:http://www.spiraldynamics.org/resources_assessments.htm32Contact:[email protected]



28

Forleaderswhoareaccustomedtomanagingwiththekeyperformanceindicatorsina

balancedscorecard,orevenmoresimplywithfinancialgoalsandobjectives,avalues-basedmanagementapproachcanseem“unreal.”Yetfromasecond-tierperspective,

whatisrealandunrealisoftenturnedonitshead.AsJackWelchputitintherecentBusinessWeekinterview,“...youwouldnevertellyouremployees,‘Shareholdervalueis

ourstrategy.’That'snotastrategyyoucantouch.That'snotastrategythathelpsyou

knowwhattodowhenyoucometoworkeveryday.Itdoesn'tenergizeormotivateanyone.Sobasicallymypointis,increasingthevalueofyourcompanyinboththeshort

andlongtermisanoutcomeoftheimplementationofsuccessfulstrategies.I'vealways

feltthatway,andI'vealwayssaidIfeltthatway.”Putinmoresecond-tierterms,whatcountsiswhatissubjectivelyandinter-subjectivelyimportanttopeople.Thatwestill

forthemostpartactasiftheeconomicsystemwereafactofnatureandnotanartefactofhumanityisareflectionofBohm’sproblemofthinking,notofthefacts.Avalues

approachtomanagementcanhelpustobecomeawareofwhatisimportanttous,andof

whatalsoneedstobecomeimportanttous,andcanprovideuswithamuchmorerealisticunderstandingofthenextstepsinourdevelopment.

Inthechangeprocessstemmingfromtheanalysisofthedeltasinthecollectiveleadershipprocess,itismanagingtomakethetransitionfromoneleveltothenext

whichistheprimarychallenge.NLPcansupporttheprocessthroughclassicalinterventionslikereframing,orformatstoresolvevaluesconflicts,andsoenable

individualstomasterthepersonalaspectsofthecollectivetransformation.

ActionAreas4-7:RealizingSecond-TierOrganisations,ProcessesandCultures

ThebottomoftheUisforScharmerthegoalofsubjectivesideoftheprocess,andthebeginningoftheinnovationswestrivetofindandimplement.Havingconfrontedour



29

“blindspot,”andfoundanswerstothequestionsofwhoweareandwhatourworkis,

thejobofcrystallizing,prototypingandscalinginitiativesfallsintothetoolsetsoftriedandtestedinnovationprocesses.Successinthefront-loadingpartoftheinnovation

process,theleftsideoftheU,isnotfinishedinonego.Ratheritislikeallorganic

learninganiterativeaffair,towhichwereturnagainandagain,inspiredordrivenbythe

experienceswehaveinourimplementationefforts.

Tobrieflysummarizetheinnovationtoolsfortheright-handsideoftheU:

4.Developingsharedpicturesofthefuture–developingscenariosthrough

collectivedialogueprocessesandtheirintegralapplication

Manytriedandtestedmethodshelporganizationstoformulatetheirsharedunderstandingintoacoherentvisionasanexpressionoftheirsharedpicturesofthe

future.OneofthemostadvancedexamplesisgivenbytheShellscenarioprocess.Some

belongtothetoolsetsofstrategyconsultantsandaresupportedbypowerfulIT

architectures.Onasimplerlevel,leaderscanemployfacilitationformatssupportedbyfacilitationchartsforstraightforwardcollectivedialoguesonvision.GroveConsulting,forexample,provides5differentvisionformats,fromtheMoviesVisionthoughCover

StoryVision,MandalaVision,JourneyVisiontoBigWavesVision.Alltheformats

provideavisualconstellationpointbasedonaright-brainedmetaphortoenablethecollectivevisioningprocessinthecrystallizationphase.



5.Usingthepowerofdevolvedorganizations–understandinghowsocial

innovationworks,andbuildinginfrastructureswhichenabletribestochangethe

world

Theissueofinfrastructuresisprobablythemostcriticalanddifficultofthestepsofthe

right-handU,andScharmer’spaperisanexcellentreferenceforunderstandingwhatisinvolved.

Atthesametime,itispartofthesecond-tiertaskinthissteptounderstandhow

radicallynewtherealityoforganizationhasbecomeinthecontextofcomputers,telecommunicationandtheinternet,andtolearnhowtooperatewiththesocial

networks,tribesanddevolvedorganizationsthathavecomewithit.GoogleSearch,

MySpace,FaceBook,LinkedIn,Xing,Obama.com,Wikipedia,OpenSourcesoftwaredevelopment,Twitter,andsoon,provideexamplesofhowinnovationemerges

chaoticallyfromunguidedsocialinteraction.Fromthe“green”rebellioninIranto

spontaneouspartiesorganizedbya“tribal”leaderenabledthroughTwitterasdescribed

bySethGodin,organizationhasslippedfromthecontrolofstrategistswhowouldseektouseittotheirownends.Everysuccessfulmomentofcontrolisunderminedbythereactionofdevolvednetworkstothenextattempt.Whichmessageswillgoviraland

capturetheimaginationsofmillionsacrossallbordersandculturescannotbepredicted,

despiteeverincreasingattemptstoexerciseinfluence.Thebasicmessage,however,isthatcontrolinthefirst-tiersensehasbeenultimatelylost.Andthequestionforsecond-

tierinitiativesistodiscoverwhatistimely,whatisrelevant,whatinspiresandis

attractivetodrawthetalentandengagementandthemassesonalevelbeyondcontroltomakeachangehappen.

6.Developinginnovationstrategies–findingone’sinnovationDNA

Oncecommonunderstandinghasbeenachieved,andacommonvisionhasbeendescribed,thetoolsofinnovationmanagementcometobearonproductdevelopment.

ITcompaniesprovideinnovationprocesses,frombusinessintelligencetoproduct

lifecyclemanagement.Organizationalstrategiesarederivedfrommarketorprocessrequirements.

7.Leadingstrategicconversations–buildingtri-sectorcollectiveleadership

processestoimplementinnovationonaglobal-localscale

Thisisthestepinwhichcompetenceandcommitmentshowoverthelong-term.Having

usedthenetworkandhavingbeenfoundbythetribe,thequestioniswhatcanoneachieveandonwhatscale?Thisistheunexploredland,thoughsomerolemodelslikeGore,ObamaorAveryLovinsdoexist.

Conclusion

OntherightsideoftheU,NLPhasnoparticularphilosophicalortechnological

leadershipqualities.Asoneofthefirstconstructivistapproachestopersonaldevelopment,however,itcanbeconsideredtobeaphilosophicalgrandfathertothe

movementswhichhaveemergedonasocialscale.Whetheritwilleverreinventitselfto

thepointofbecomingaconstellationpointforsecond-tierpolitical,business,socialandenvironmentalactivismremainstobeseen.Inanycase,itcanplayanimportant

Documents

20100106 Tom Klein NLP & Capitalism 3.0