ABriefHistoryofLogicalLevels

by

RobertB.Dilts

http://www.nlpu.com/Articles/LevelsSummary.htm
Thenotionoflogicallevelsreferstothefactthatsomeprocessesandphenomenaarecreatedby
therelationshipsbetweenotherprocessesandphenomena.Anysystemofactivityisasubsystem
embeddedinsideofanothersystem,whichisembeddedinsideofanothersystem,andsoon.Thiskindof
relationshipbetweensystemsproducesdifferentlevelsofprocesses,relativetothesysteminwhichoneis
operating.Ourbrainstructure,language,andsocialsystemsformnaturalhierarchiesorlevelsofprocesses.

Asasimpleexample,considertherateofchange,or"speed"ofanautomobile.Speedisafunctionofhow
muchgroundthevehiclecoversinacertainamountoftime(e.g.,10milesperhour).Thus,speedisthe
relationshipbetweendistanceandtime.Thecar'svelocityinmovingfromthegaragetothehighwaycanbe
saidtobeatadifferentlevelthanacar,garage,highway,orclock,becauseitisapropertyofthe
relationshipbetweenthem(anddoesnotexistwithoutthem).

Similarly,the"profitability"ofacompanyisatadifferentlevelthanthemachineryusedbythatcompany;
andanideaisatadifferentlevelthantheneuronsinthebrainwhichproducesthatidea.

AnIdeaIsataDifferentLevelthantheParticularNeuronsintheBrainwhichProducethatIdea

LogicalLevelsofLearningandChange

Theconceptoflogicallevelsoflearningandchangewasinitiallyformulatedasamechanisminthe
behavioralsciencesbyanthropologistGregoryBateson,basedontheworkofBertrandRussellinlogicand
mathematics.Batesonidentifiedfourbasiclevelsoflearningandchangeeachlevelencompassingand
organizingelementsfromthelevelbelowit,andeachhavingagreaterdegreeofimpactontheindividual,
organismorsystem.

Thetermlogicallevels,asIhaveuseditinNLP,wasadaptedfromBateson'swork,andreferstoa
hierarchyoflevelsofprocesseswithinanindividualorgroup.Thefunctionofeachlevelistosynthesize,
organizeanddirecttheinteractionsonthelevelbelowit.Changingsomethingonanupperlevelwould
necessarily"radiate"downward,precipitatingchangeonthelowerlevels.Changingsomethingonalower
levelcould,butwouldnotnecessarily,affecttheupperlevels.Theselevelsinclude(inorderfromhighest
tolowest):(1)identity,(2)beliefsandvalues,(3)capabilities,(4)behaviorand(5)environment.Asixth
level,referredtoas"spiritual,"canbedefinedasatypeof"relationalfield"whichencompassesmultiple
identities,formingasenseofbeingamemberofalargersystembeyondone'sindividualidentity.

HistoricalBackground

Ifirstbecameacquaintedwiththenotionofdifferentlogicaltypesandlevelsoflearning,changeand
communicationwhileattendingGregoryBateson'sEcologyofMindclassattheUniversityofCaliforniaat
SantaCruzin1976.Bateson(19041980),ananthropologistbytraining,hadthegreatestdepthandscope
ofthoughtofanyoneIhaveeverknown.Hislectureswouldcovertopicsrangingfromcommunication
theory,toBalineseart,toMaxwell'sequationsforelectromagneticfields,toschizophrenia,togenetic
deformitiesinbeetles'legs.Histalks,however,wereneveradisjointedcollectionofthoughtsorjumbled
groupofideasasthediversityoftopicsmightsuggest.Bateson'sversionofcyberneticsandsystemstheory
wasabletotapintothedeeperstructure,or"patternwhichconnects,"allofthesetopicsintoasingle
fascinatingweaveoflifeandexistence.

Reflectingback,attendingBateson'sclasswasoneofthemosttransformativeexperiencesofmylife.I
wouldsitinhisclass,listeningtohisdeepvoiceanddistinctiveCambridgeaccent,whichsoundedtome
likethevoiceofwisdom.Tome,hewas,andremains,atypeof"spiritualguide."Thoughts,ideasand
revelationswouldflowintomymind,somerelatingtohislectureandsomefromcompletelyotherareasof
mylife,education,andexperience.UsuallytheycamesoquicklyIcouldn'twritethemdownfastenough.
(ItwasalsoinBateson'sclassthatIfirstmetwifetobe,Anita.SharingBateson'swisdomhasalwaysbeen
oneofthestrongestbondsbetweenus.)

Thesewere"heady"times,whenNLPwasfirsttakingshape.AyearearlierRichardBandlerandJohn
Grinderhadpublishedtheirfirstbook,TheStructureofMagicVolumeI.Grinder,alsoaprofessor(of
linguistics)atUCSantaCruz,hadshownBatesonthemanuscriptofthebook,whichoutlinedthelanguage
patternsknowninNLPasthe"MetaModel."Batesonwasimpressedwiththework,andwroteina
preface,"JohnGrinderandRichardBandlerhavedonesomethingsimilartowhatmycolleaguesandI
attemptedfifteenyearsago....Theyhavetoolswhichwedidnothaveordidnotseehowtouse.They
havesucceededinmakinglinguisticsintoabasefortheoryandsimultaneouslyintoatoolfortherapy...
makingexplicitthesyntaxofhowpeopleavoidchange,and,therefore,howtoassisttheminchanging."

ItwasafterreadingTheStructureofMagicthatBatesonmadearrangementsforBandlerandGrinderto
meetMiltonErickson,alongtimecolleagueandfriend,toseeiftheycouldcreateasimilarmodelofthe
complexcommunicationpatternsusedbyEricksoninhishypnoticandtherapeuticwork.Thisledtomore
books,andsomeofthemostseminalworkinNLP.

Bateson'searlierwork,towhichhereferredinhisprefacetoTheStructureofMagic,washisattemptto
applyprinciplesofcyberneticsandcommunicationtheorytopsychotherapyandtheunderstandingof
psychologicalpathology.StimulatedbyNorbertWiener(thefounderofcybernetics),Batesonhadadapted
cyberneticthinkingtohumancommunicationandinteractioninordertodevelopgeneralizationsaboutthe
behaviorandmentalcharacteristicsofindividuals,groupsandfamilies,andtheinfluencesbehind
functionalanddysfunctionalsystems.Bateson'sideasfueledawholegenerationofbehavioralscientists,
andpsychotherapists.PeoplesuchasVirginiaSatir,MaraSelviniPalazzoli,JayHaley,JohnWeakland,
andothers,forexample,appliedBateson'sformulationstothetreatmentofindividualandfamilyproblems.

OneofthecentralideasintroducedbyBatesonintothebehavioralscienceswasthatof"logicaltypes"of
communicationandlearningwhichhecalledthe"mostimportant"criterionof"mind"inhisbookMind
andNature(1979).Batesonderivedthenotionofdifferentlogicaltypesofcommunicationandlearning
fromBertrandRussell'smathematicaltheoryoflogicaltypeswhichstatesthataclassofthingscannotbea
memberofitself.AccordingtoBateson(StepstoanEcologyofMind,p.202):
 Ourapproachisbasedonthatpartofcommunicationstheorywhich[Bertrand]Russellhas
calledtheTheoryofLogicalTypes.Thecentralthesisofthistheoryisthatthereisadiscontinuity
betweenaclassanditsmembers.Theclasscannotbeamemberofitselfnorcanoneofthe
membersbetheclass,sincethetermusedfortheclassisofadifferentlevelofabstractiona
differentLogicalTypefromtermsusedformembers.

Asanexample,theclassofevennumberscannotitselfalsobeanevennumber.Similarly,theclassofcats
isnotaparticularcat.Likewisethephysicalobject"cat"cannotbetreatedthesameastheclassofcats.
(Theclassofcatsdoesnotrequiremilkandkittylitter,butthemembersoftheclassfrequentlydo.)In
otherwords,thenotionoflogicaltypesdistinguishesbetweenaparticular"map"andthe"territory"to
whichthemaprelates;i.e.,betweenamental"form"andits"content."

TheOriginsofBateson'sModel

Batesonfirstformallyintroducedtheconceptof"logicaltypes"inhisarticleATheoryofPlayand
Fantasy(1954).InitBatesonarguedthat"play"involveddistinguishingbetweendifferentlogicaltypesof
behaviorandmessages.Batesonnotedthatwhenanimalsandhumansengagein"play"theyoftendisplay
thesamebehaviorsthatarealsoassociatedwithaggression,sexuality,andothermore"serious"aspectsof
life(suchaswhenanimals"playfight,"orchildrenplay"doctor").Yet,somehow,animalsandhumans
wereabletorecognize,forthemostpart,thattheplaybehaviorwasadifferenttypeorclassofbehavior
and"nottherealthing."AccordingtoBateson,distinguishingbetweenclassesofbehavioralsorequired
differenttypesofmessages.Batesonreferredtothesemessagesas"metamessages"messagesaboutother
messagesclaimingthatthey,too,wereofadifferent"logicaltype"thanthecontentofaparticular
communication.Hebelievedthatthese"higherlevel"messages(whichwereusuallycommunicatednon
verbally)werecrucialforpeople,andanimals,tobeablecommunicateandinteracteffectively.

Animalsatplay,forinstance,maysignalthemessage"Thisisplay"bywaggingtheirtails,jumpingupand
down,ordoingsomeotherthingtoindicatethatwhattheyareabouttodoisnottobetakenforreal.Their
biteisaplayfulbite,notarealbite.Studiesofhumansalsorevealtheuseofspecialmessagesthatlet
othersknowtheyareplaying,inmuchthesamewayanimalsdo.Theymayactuallyverbally"meta
communicate"byannouncingthat"Thisisonlyagame,"ortheylaugh,nudge,ordosomethingoddto
showtheirintent.

Batesonclaimedthatmanyproblemsandconflictswerearesultoftheconfusionormisinterpretationof
thesemessages.Agoodexampleisthedifficultiesthatpeoplefromdifferentculturesexperiencein
interpretingthenonverbalsubtletiesofeachother'scommunications.

Infact,Batesonnextappliedtheconceptoflogicaltypesasanexplanationforsomeofthesymptomsof
seriouspsychologicalproblemsandmentalillness.InEpidemiologyofSchizophrenia(1955),Bateson
maintainedthattheinabilitytocorrectlyrecognizeandinterpretmetamessages,andtodistinguishbetween
differentclasses,orlogicaltypes,ofbehavior,wasattherootofmanyseeminglypsychoticor"crazy"
behaviors.Batesoncitedtheexampleofayoungmentalpatientwhowentintothepharmacyofthe
hospital.Thenursebehindthecounterasked,"CanIhelpyou?"Thepatientwasunabletodistinguish
whetherthecommunicationwasathreat,asexualadvance,anadmonishmentforbeinginthewrongplace,
agenuineinquiry,etc.

Whenoneisunabletomakesuchdistinctions,Batesoncontented,thatindividualwillendup,moreoften
thannot,actinginawaythatisinappropriateforthesituation.Helikenedittoatelephoneswitching
systemthatwasunabletodistinguishthe"countrycode"fromthe"citycode"andthelocaltelephone
number.Asaresult,theswitchingsystemwouldinappropriatelyassignnumbersbelongingtothecountry
codeaspartofthephonenumber,orpartsofthephonenumberasthecitycode,etc.Theconsequenceof
thiswouldbethat,againmoreoftenthannot,thedialerwouldgetthe"wrongnumber."Eventhoughallof
thenumbers(thecontent)arecorrect,theclassificationofthenumbers(theform)isconfused,creating
problems.[Itshouldbenotedthatthisisafundamentallydifferentcommunicationproblemthansimply
having"noise"onthetelephonelinewhichobscuresthenumbers.Thecausesoflogicaltypingconfusions
arequitedifferentthanthecausesofnoisysignals.]

InTowardaTheoryofSchizophrenia(coauthoredwithDonJackson,JayHaleyandJohnWeakland,
1956),Batesonappliedthenotionofdifferentlogicaltypesasakeyelementofthe"doublebind."
AccordingtoBateson,doublebinds(specialsituationsinwhichapersonfindshimselforherself"damned
ifIdo,anddamnedifIdon't")resultedfromconfusionsandparadoxescreatedbyconflictingmessagesof
differentlogicaltypes,whichconsequentlyledtoconflictsofbehavior.

Batesonbelievedthattheabilitytosortoutthedifferentlogicaltypesofmessagesandclassifications
whichwereattherootofsuchdoublebindswasessentialforeffectivetherapy.Bateson'sideasaboutthe
applicationsofthetheoryoflogicaltypestocommunicationandpsychotherapywerefurtherexploredby
hiscolleaguesWatzlawick,BavelasandJacksoninPragmaticsofHumanCommunication(1967).
ApplicationstotheProcessofLearning

Bateson'snextapplicationofthetheoryoflogicaltypeswastotheprocessoflearning.InTheLogical
CategoriesofLearningandCommunication(1964)heextendedthenotionoflogicaltypingtoexplain
differenttypesandphenomenaoflearningaswellascommunication.Hedefinedtwofundamentaltypes,
orlevels,oflearningwhichmustbeconsideredinallprocessesofchange:"LearningI"(stimulusresponse
typeconditioning)and"LearningII,"ordeuterolearning,(learningtorecognizethelargercontextin
whichthestimulusisoccurringsothatitsmeaningmaybecorrectlyinterpreted).Themostbasicexample
ofLearningIIphenomenaissetlearning,orwhenananimalbecomes"testwise"thatis,laboratory
animalswillgetfasterandfasteratlearningnewtasksthatfallintothesameclassofactivity.Thishasto
dowithlearningclassesofbehaviorratherthansingleisolatedbehaviors.

Ananimaltrainedinavoidanceconditioning,forinstance,willbeabletolearndifferenttypesofavoidance
behaviormoreandmorerapidly.Itwill,however,besloweratlearningsome"respondently"conditioned
behavior(e.g.,salivatingatthesoundofabell)thansomeanimalthathasbeenconditionedinthatclassof
behaviorearlier.Thatis,itwilllearnquicklyhowtoidentifyandstayawayfromobjectsthatmighthave
anelectricshockassociatedwiththembutwillbesloweratlearningtosalivatewhenabellrings.Onthe
otherhand,ananimaltrainedinPavloviantypeconditioningwillrapidlylearntosalivatetonewsounds
andcolors,etc.,butwillbeslowertolearntoavoidelectrifiedobjects.

Batesonpointedoutthatthisabilitytolearnpatternsorrulesofaclassofconditioningprocedureswasa
different"logicaltype"oflearninganddidnotfunctionaccordingtothesamesimplestimulusresponse
reinforcementsequencesusedtolearnspecificisolatedbehaviors.Batesonnoted,forinstance,thatthe
reinforcementfor"exploration"(ameansoflearningtolearn)inratsisofadifferentnaturethanthatfor
the"testing"ofaparticularobject(thelearningcontentofexploration).Hereports(StepstoanEcologyof
Mindp.282):

...youcanreinforcearat(positivelyornegatively)whenheinvestigatesaparticularstrange
object,andhewillappropriatelylearntoapproachitoravoidit.Buttheverypurposeof
explorationistogetinformationaboutwhichobjectsshouldbeapproachedoravoided.The
discoverythatagivenobjectisdangerousisthereforeasuccessinthebusinessofgetting
information.Thesuccesswillnotdiscouragetheratfromfutureexplorationofotherstrange
objects.

Theabilitytoexplore,learnadiscriminationtask,orbecreativeisahigherleveloflearningthanthe
specificbehaviorsthatmakeuptheseabilitiesandthedynamicsandrulesofchangearedifferentonthis
higherlevel.

Batesonalsoidentifiedseveralotherlevelsoflearningeachresponsibleformakingcorrectivechangesand
refinementsintheotherclassoflearninguponwhichitoperated.
 Zerolearningischaracterizedbyspecificityofresponse[i.e.,havingaspecificbehaviorina
specificenvironmentRD]whichrightorwrongisnotsubjecttocorrection.
LearningIischangeinspecificityofresponsebycorrectionoferrorsofchoicewithinasetof
alternatives.
LearningIIisachangeintheprocessofLearningI,e.g.,acorrectivechangeinthesetof
alternativesfromwhichchoiceismade,oritisachangeinhowthesequenceispunctuated.
LearningIIIischangeintheprocessofLearningII,e.g.,acorrectivechangeinthesystemofsets
ofalternativesfromwhichchoiceismade.(StepstoanEcologyofMindp.293)

Bateson's"LogicalLevels"ofLearning

BatesonalsodefinedalevelofLearningIV,whichwouldinvolvechangeinLearningIII.Thatis,
LearningIVwouldinvolvechangesinthelarger"systemofsystems."

IhaveaddressedthismodelextensivelyinFromCoachtoAwakener(2003),providingexamplesandan
exercisewhichspecificallyapplieseachofBateson'slevelsoflearningtohelpsomeoneupdatehisorher
"survivalstrategy."(Seepages266280.)

Chapter6summarizesBateson'slevelsoflearninginthefollowingmanner:

Learning0isnochange.Itinvolvesrepetitivebehaviorsinwhichtheindividual,groupor
organizationisstuckinarutortrapped"insidethebox"e.g.,habits,resistance,inertia.
LearningIisgradual,incrementalchange.Itinvolvesmakingcorrectionsandadaptationsthrough
behavioralflexibilityandstretching.Whilethesemodificationsmayhelptoextendthecapabilities
oftheindividualgroupororganization,theyarestill"withinthebox"e.g.,establishingand
refiningnewproceduresandcapabilities.

LearningIIisrapid,discontinuouschange.Itinvolvestheinstantaneousshiftofaresponsetoan
entirelydifferentcategoryorclassofbehavior.Itisessentiallytheswitchfromonetypeof"box"
toanothere.g.,changeinpolicies,valuesorpriorities.

LearningIIIisevolutionarychange.Itischaracterizedbysignificantalterationswhichstretch
beyondtheboundariesofthecurrentidentityoftheindividual,groupororganization.Wecould
 saythatnotonlyaretheyoutsidethe"box,"theyareoutsideofthe"building"e.g.,transitionof
role,brandoridentity.

LearningIVisrevolutionarychange.Itinvolvesawakeningtosomethingcompletelynew,unique
andtransformative.AtthelevelofLeaningIV,theindividual,groupororganizationisoutofthe
box,outofthebuildingandinanewworlde.g.,completelynewresponses,technologiesor
capabilitiesthatopenthedoortopreviouslyunknownandunchartedpossibilities.

Touseacomputeranalogy,datastoredinacomputerislikeLearning0.Itjustsitsthere,unchanging,to
beusedoverandoveragainwhateverprogramsarerunningonthecomputer.Runningaspellchecking
programonthatdatawouldbelikeLearningI.Aspellcheckprogrammakescorrectivechangesina
particularsetofdata.

Ifthedatabeingchecked,however,isnottextbutnumbersandfinancialfiguresthatneedtobeupdated,
noamountofrunningthespellcheckerwillbeabletomakethepropercorrections.Instead,theuserwould
havetoswitchtoaspreadsheetorsometypeofaccountingsoftware.Getting"outofthebox"ofone
programandswitchingtoanotherislikeLearningII.

Sometimesthecomputeroneisusingisincapableofrunningtheneededprogramanditisnecessaryto
switchcomputersaltogether,orchangeoperatingsystems.ThiswouldbelikeLearningIII.

Todevelopacompletelynewdevice,suchasaprogrammablemolecularcomputingmachinecomposedof
enzymesandDNAmoleculesinsteadofsiliconmicrochips,wouldbelikeLearningIV.

TheDevelopmentof"NeuroLogicalLevels"

Batesonwentontoapplythetheoryoflogicaltypesmoregenerallytomanyaspectsofbehaviorandto
biology.Tohim,logicaltypingwasa"lawofnature,"notsimplyamathematicaltheory.Hecontended
thatatissuethatismadeupofagroupofcells,forinstance,isadifferentlogicaltypethantheindividual
cellsthecharacteristicsofabrainarenotthesameasabraincell.Thetwocanaffecteachotherthrough
indirectfeedbacki.e.,thefunctioningandconnectionsoftheoverallbraincaninfluencethebehaviorofa
singlebraincellandtheactivityofasinglebraincellcontributestotheoverallfunctioningofthebrain.
Indeed,acellmaybesaidtoaffectitselfthroughtherestofthebrainstructure.

AsastudentinhisEcologyofMindclass,Batesoninstilledinmetheimportanceofconsideringlogical
typesandlevelsinallaspectsoflifeandexperience.And,becauseIwasexposedtotheseideasatthesame
timeIwasbecominginvolvedinNLP,Bateson'sapproachhasalwaysbeenanintegralpartofmy
understandingofNLP.Hisdistinctionsaboutdifferentlogicaltypesandlevelsoflearningseemedof
particularlyprofoundsignificance.

InapaperIwroteinNovember1976(publishedinRootsofNLP,1983),forinstance,Iattemptedto
distinguishbetweenlogicaltypesandlogicallevels.IvividlyrememberdiscussingthepowerofBateson's
notionsoflogicallevelsandlogicaltypeswithaparticipantinanNLPcoursethatIwasteachinginOslo,
Norwayin1986.ThepersonwasalsofamiliarwithBateson'sworkandwewerereflectingonthedeep
importanceoflogicaltypesandlevelsoflearning.Webothagreed,however,thattheseideashadnotbeen
appliedasfullyandpragmaticallyastheycouldbe.Irecallsaying,"Yes,someonereallyshouldapplythe
notionoflogicallevelsinamorepracticaleverydaysense."Assoonasthewordsleftmymouth,itwasas
ifIhadgivenmyselfthecommand.

Iwasalreadyempiricallyawarethattherewasanimportantdistinctionbetweenpeople'sphysicalactions
andbehaviorsandthedeepercognitiverepresentationsandstrategieswhichtookplaceintheirminds.It
wasalsoobviousthatprocessesonabehaviorlevelweredifferentthanthoseonamentallevel.Tying
someoneup,forinstance,couldstopthatpersonfromphysicallytakingrevenge,butcouldnotkeephimor
herfromcontinuingtoplanrevenge;infact,itwilloftenencourageit.Itwasalsoclearthatdevelopinga
cognitivecapabilityinvolveddifferentdynamicsthansimplyinfluencingsomeonephysically.Mywork
withlearningstrategies,forinstance,hadconvincedmethatitwasmuchmoreexpedienttoteachaperson
tospellbyprovidinganeffectivestrategyforspellingratherthantosimplypunishthemwheneverthey
misspelledaword.

Ihadalsobeguntoworkwithpeople'sbeliefsandbeliefsystems.AsIdid,itbecameevidentthatthey
werenotsimplyanothertypeofstrategy.Instead,theyoftentendedtooperateuponparticularstrategies.
Thatisacertainbeliefcouldeitherfunctionasmotivationorinterferencetothedevelopmentofastrategy.

ThisseemedtobetofitwithBateson'snotionofa"hierarchy"oflogicallevels.Theterm"hierarchy"
comesfromtheGreekhieros,meaning"powerful,supernatural,orsacred,"andarche,whichmeans
"beginning"or"rule."Theimplicationisthatthelevelsofahierarchygetcloserandclosertothesourceor
beginningofthatwhichismostsacredorpowerful.Thisimplicationhasalsoledtotheuseoftheterm
hierarchytorefertoanygradedorrankedseries,suchasaperson's"hierarchyofvalues,"oramachine's
"hierarchyofresponses."Theconnotationofthisbeingthatthoseelementsatthetopofthehierarchy
"comefirst,"orare"moreimportant"thanthoseatthelowerlevels.

ItwasthisaspectofhierarchythatfirstledmetochoosetheparticularlabelsIhaveusedtodescribethe
variouslevelsinmyNeuroLogicalLevelsmodel.AswithallkeyNLPdistinctions,theselabelsdidnot
ariseasaresultofsomerationalization.Rather,aspartofmyNLPtrainingwork,Iwasfrequentlyteaching
seminarparticipantstheusageofasetofverbalreframingpatternsIhaddeveloped,knownas"Sleightof
Mouth."Thisofteninvolvedpeoplerespondingtonegativestatementsmadeaboutthembyothers.Ibegan
tonoticethatcertaintypesofstatementsweretypicallymoredifficultforpeopletohandlethanothers,
eventhoughthetypeofjudgmentbeingassertedwasessentiallythesame.Forexample,comparethe
followingstatements:

Thatobjectinyourenvironmentisdangerous.
Youractionsinthatparticularcontextweredangerous.
Yourinabilitytomakeeffectivejudgmentsisdangerous.
Yourbeliefsandvaluesaredangerous.
Youareadangerousperson.

Thejudgmentbeingmadeineachcaseisaboutsomethingbeing"dangerous."Intuitively,however,most
peoplesensethatthe"space"or"territory"impliedbyeachstatementbecomesprogressivelylarger,and
feelanincreasingsenseofemotionalaffectwitheachstatement.Forsomeonetotellyouthatsomespecific
behavioralresponsemadewasdangerousisquitedifferentthantellingyouthatyouarea"dangerous
person."InoticedthatifIheldajudgmentconstantandsimplysubstitutedatermforenvironment,
behavior,capabilities,beliefsandvalues,andidentity,peoplewouldfeelprogressivelymoreoffendedor
complimented,dependingonthepositiveornegativenatureofthejudgment.

Tryitforyourself.Imaginesomeonewassayingeachofthefollowingstatementstoyou:

Yoursurroundingsare(stupid/ugly/exceptional/beautiful).
Thewayyoubehavedinthatparticularsituationwas(stupid/ugly/exceptional/beautiful).
Youreallyhavethecapabilitytobe(stupid/ugly/exceptional/beautiful).
Whatyoubelieveandvalueis(stupid/ugly/exceptional/beautiful).
Youare(stupid/ugly/exceptional/beautiful).

Again,noticethattheevaluationsassertedbyeachstatementarethesame.Whatchangesistheaspectof
thepersontowhichthestatementisreferring.

Environment
Behavior
 Capability
BeliefsandValues
Identity

Thisintuitivesensibilityseemedtoreflectsomethingfundamentally"neurolinguistic"inrelationtothese
statements.

Thesedistinctionsfellintoplaceevenmoresolidlywhenitoccurredtomethattheycorrespondedtothe
sixfundamental"W"questionsthatweusetoorganizeourlives:where,when,what,how(thebackward
"w"question),whyandwho.

Environment:Where?When?
Behavior:What?
Capability:How?
BeliefsandValues:Why?
Identity:Who?

ItwasintheFallof1987thatIfirstappliedthelabelsincommonusagetodayasthe"ABC'sofNLP":

a.whatIAm(A)identity
b.whatIBelieve(B)beliefsandvalues
c.whatIamCapable(C)ofcapabilities
d.whatIDo(D)Behavior
e.myEnvironment(E)
TheNeuroLogicalLevelsModelofNLP

The current Neuro-Logical Levels model (Dilts, 1989, 1990, 1993, 2000, 2003)
adds another level. According to the model, there are six different levels,
paralleling those defined by Bateson, that influence and shape our relationships
and interactions in the world:

For Whom? For

Spiritual Vision & Purpose
What?
Permission &
A. Who I Am - Identity Who?
Motivation
B. My Belief system - Values and
Mission Why?
Meanings
C. My Capabilities - Strategies and
Maps & Plans How?
States
D. What I Do or have Done - Specific
Actions & Reactions What?
Behaviors
Constraints &
E. My Environment - External Context Where? When?
Opportunities

Themostfundamentallevelofinfluenceonourrelationshipsandinteractionsisthesharedenvironment
i.e.,whenandwheretheoperationsandrelationshipswithinasystemororganizationtakeplace.
Environmentalfactorsdeterminethecontextandconstraintsunderwhichpeopleoperate.Anorganization's
environment,forinstance,ismadeupofsuchthingsasthegeographicallocationsofitsoperations,the
buildingsandfacilitieswhichdefinethe"workplace,"officeandfactorydesign,etc.Inadditiontothe
influencetheseenvironmentalfactorsmayhaveonpeoplewithintheorganization,onecanalsoexamine
theinfluenceandimpactthatpeoplewithinanorganizationhaveupontheirenvironment,andwhat
productsorcreationstheybringtotheenvironment.

Atanotherlevel,wecanexaminethespecificbehaviorsandactionsofagrouporindividuali.e.,whatthe
personororganizationdoeswithintheenvironment.Whataretheparticularpatternsofwork,interaction
orcommunication?Onanorganizationallevel,behaviorsmaybedefinedintermsofgeneralprocedures.
Ontheindividuallevel,behaviorstaketheformofspecificworkroutines,workinghabitsorjobrelated
activities.

Anotherlevelofprocessinvolvesthestrategies,skillsandcapabilitiesbywhichtheorganizationor
individualselectsanddirectsactionswithintheirenvironmenti.e.,howtheygenerateandguidetheir
behaviorswithinaparticularcontext.Foranindividual,capabilitiesincludecognitivestrategiesandskills
suchaslearning,memory,decisionmakingandcreativity,whichfacilitatetheperformanceofaparticular
behaviorortask.Onanorganizationallevel,capabilitiesrelatetotheinfrastructuresavailabletosupport
communication,innovation,planninganddecisionmakingbetweenmembersoftheorganization.

Theseotherlevelsofprocessareshapedbyvaluesandbeliefs,whichprovidethemotivationand
guidelinesbehindthestrategiesandcapabilitiesusedtoaccomplishbehavioraloutcomesinthe
environmenti.e.,whypeopledothingsthewaytheydotheminaparticulartimeandplace.Ourvaluesand
beliefsprovidethereinforcement(motivationandpermission)thatsupportsorinhibitsparticular
capabilitiesandbehaviors.Valuesandbeliefsdeterminehoweventsaregivenmeaning,andareatthecore
ofjudgmentandculture.

Valuesandbeliefssupporttheindividual'sororganization'ssenseofidentityi.e.,thewhobehindthewhy,
how,what,whereandwhen.Identitylevelprocessesinvolvepeople'ssenseofroleandmissionwith
respecttotheirvisionandthelargersystemsofwhichtheyaremembers.Identitycanbeviewedasbeing
composedoftwocomplementaryaspects:theegoandthesoul.Theegoisorientedtowardsurvival,
recognitionandambition.Thesoulisorientedtowardpurpose,contributionandmission.Charisma,
passionandpresenceemergenaturallywhenthesetwoforcesarealigned.

Typically,amissionisdefinedintermsoftheserviceperformedbypeopleinaparticularrolewithrespect
tootherswithinalargersystem.Aparticularidentityorroleisexpressedintermsofseveralkeyvalues
andbeliefs,whichdeterminetheprioritiestobefollowedbyindividualswithintherole.These,inturn,are
supportedbyalargerrangeofskillsandcapabilitiesthatarerequiredtomanifestparticularvaluesand
beliefs.Effectivecapabilitiesproduceanevenwidersetofspecificbehaviorsandactions,whichexpress
andadaptvalueswithrespecttomanyparticularenvironmentalcontextsandconditions.

Thereisanotherlevelthatcanbestbereferredtoasaspirituallevel.Thislevelhastodowithpeople's
perceptionsofthelargersystemstowhichtheybelongandwithinwhichtheyparticipatewecouldcallthis
leveloneof"transmission."Theseperceptionsrelatetoaperson'ssenseofforwhomorforwhattheir
actionsaredirected,providingasenseofvision,meaningandpurposefortheiractions,capabilities,beliefs
androleidentity.

ThewayinwhichtheselevelsinteractwitheachotherisdirectlyparalleltoBateson'slevelsoflearning:

Aparticularbehavioralreactiontoaparticularenvironmentalstimulusisessentiallyareflexor
habitLearning0.
Correctivechangeinbehaviorsinordertoreachaparticularoutcomeinvolvesconnectingthat
behaviortosomethingbeyondtheenvironmentalstimulisomeinternalmentalmap,planor
strategy.Thisinvolvestheexerciseofaparticularcapabilityorthedevelopmentofanewone
LearningI.
 Developmentsincapabilitiesarestimulatedandshapedbybeliefsandvalues;whichfunctionto
classifyandcategorizeaspectsofourmentalmaps,behaviorsandenvironmentandconnectthem
toemotionsandothermotivationalstructuresLearningII.

Changesinbeliefsandvalueswouldinvolvelinkingtoasystembeyondthosebeliefsandvalues
(anidentity)thattheyhavebeenestablishedtoserveLearningIII.

Gettingoutsidethatsystemandconnectingtoalarger"systemofsystems"(i.e.,the"field"or
"spirit")wouldbenecessarytoachieveachangewithinaparticularsystemoridentityitself
LearningIV.

RelationshipofBateson'sLevelsofLearningtoNeuroLogicalLevels

Eachlevelfunctionsbyintegratingandoperatinguponthelevelbeneathit.Clustersofchangeoractivity
atanyparticularlevelwillalsoinfluencethelevelaboveit.Considerthefollowingexamples:

Thespeedofacarisafunctionofthechangeindistanceitmakesinrelationshipto
time(environment).
Pushingthegaspeddleorbrakeofacarwithone'sfootisabehaviorwhichaltersitsspeed.
Thecapabilityofmaintainingthespeedlimitisafunctionofintegratingamentalmapwithone's
perceptionsinordertoregulatethewayinwhichoneusesone'sfoot.
Respectingthespeedlimitisaresultofvaluinglawsandbelievingthatthereareconsequencesif
theyarenotkept.Ifonedoesnotvaluethespeedlimit,onewillnotmaintainit,evenifoneis
capable.
Beinga"gooddriver"(identity)isafunctionofaligningallofthem.
Thekeysofapiano,thesounditmakesandnotesonapageofsheetmusicareintheenvironment.
Pushingdownapianokeywithone'sfingerisabehavior.
Playingmusic(sightreadingthenotesandcoordinatingone'sfingertoproducesoundsintheright
order)isacapability.
Appreciatingmusicisafunctionofbeliefsandvalues.
Takingontheidentityof"amusician"isacombinationofallofthem.
Noticethatthistypeof"hierarchy"involvesmorethananarbitraryrankorderingofelements.Inscience
andmathematics,forinstance,hierarchyisusedtodenote"aseriesoforderedgroupingsofpeopleor
thingswithinasystem."Usuallythesegroupingshave"fewthings,oronething,atthetopwithseveral
thingsbeloweachotherthing,"likeaninvertedtreestructure.Examplesfromcomputerscienceincludea
directoryhierarchy,whereeachdirectorymaycontainfilesorotherdirectories,ahierarchicalnetwork,ora
classhierarchyinobjectorientedprogramming.

NeuroLogicalLevelsare"hierarchic"inthisway.Thatis,eachlevelinthehierarchyisrelatedto
groupingsofphenomenaorexperiencesfromthelevelbelowit.Thus,thesystemoflevelscanbe
representedasaninvertedtreestructure.

NeuroLogicalLevelsCanBeRepresentedasaSeriesofOrderedGroupingsintheFormofan
Inverted"TreeStructure"

Whenwereachthelevelof"spirit"andfield,wecanflipthetreestructuresothatitextendsupwardlike
thebranchesofatree.Thisillustratesthesuccessivelylargersystemsand"fields"ofwhichweareapart.

TotalSystemofNeuroLogicalLevels

Theimplicationofthistreestructureisthatasingleidentityisshapedby,andreflectedin,aparticular
groupofbeliefsandvalues.Eachbeliefandvalue,inturn,isrelatedtoaparticulargroupofcapabilities.
Thecapabilitiesrelatetospecificgroupingsofbehaviors,andthebehaviorsultimatelyrelatetoparticular
clustersofenvironmentalconditions.

Atthelevelofbehaviorchange,behavioristheprimefocus.Internalrepresentationsareonlyrelevantto
theextentthattheysupportbehavior.
Atthecapabilitylevelofchange,internalrepresentationsaretheprimaryfocus.Behaviors,intheformof
accessingcues,arerelevantonlyinsomuchastheysupporttheestablishmentordevelopmentofinternal
representations.Onceinternalrepresentationsareformed,behaviorscanbegeneralized.

Changeatthelevelofbeliefsandvaluesfocusesontherelationshipsbetweenrepresentations.Thecontent
oftherepresentationsismuchlessimportantthantheirsubmodalityqualities.Thisiswhychanging
submodalitiesproducessuchsignificantaffectiveresponses.(Changesinsubmodalitiesi.e.,makinga
picturelarger,smaller,morecolorful,stillormoving,etc.tendtoprovoke"approach/avoidance"
responsessuchasfear,pleasure,desire,etc.)

Changeatthelevelofidentityfocusesontherelationshipsbetweenthebeliefsandvalueswhichmakeupa
person'sbeliefsystem.

Achangeinspiritderivesfromthecollectionofidentitieswhichmakeupthe'field."

NeuroLogicalLevelsandtheNervousSystem

In1988Iencodedtheconceptasthemodelof"NeuroLogicalLevels,"whichrelatesBateson'slevelsof
processingtothenervoussystem.Batesonhimself(StepstoanEcologyofMindpp,249250)contended
thatthehierarchyformedbythevariouslevelsoflearningwouldcorrespondto"hierarchiesofcircuit
structurewhichwemayindeed,mustexpecttofindinthetelencephalizedbrain,"claimingthat"we
shouldlookforwardtoaclassificationorhierarchyofneurophysiologicalstructureswhichwillbe
isomorphicwith[thevariouslevelsoflearning]."Theconceptof"NeuroLogicalLevels"proposesthat
different"logicallevels"areafunctionofdifferenttypesofneurologicalorganization,andmobilize
successivelydeepercommitmentsofneurological"circuitry."

Thelevelofneurologythatismobilizedwhenapersonischallengedatthelevelofmissionandidentity,
forinstance,ismuchdeeperthanthelevelofneurologythatisrequiredtomovehisorherhand.To
experiencetheenvironment,apersoncanpassivelyadjusthisorhersenseorgans.Totakeactionina
particularenvironment,apersonneedstomobilizemoreofhisorhernervoussystem.Inorderto
coordinatethoseactionsinacomplexsequence,suchasdancingordrivinganautomobile,apersonhasto
utilizeevenmoreofthenervoussystem.Formingandmanifestingbeliefsandvaluesaboutcapabilities,
behaviorsandtheenvironment,requiresanevendeepercommitmentofneurology(includingthoserelated
tothe"heart"and"guts").Asenseofselfarisesfromatotalmobilizationofthenervoussystematallof
theotherlevels.Ingeneral,then,higherlevelsofprocessmobilizeadeepercommitmentofthenervous
system.

Aparticularenvironmentismadeupoffactorssuchasthetypeofexternalsetting,weatherconditions,
food,noiselevel,etc.,thatsurroundanindividualorgroup.Neurologically,ourperceptionsofthe
environmentrelatetoinformationcomingfromoursenseorgansandperipheralnervoussystem.To
perceiveaparticularenvironment,forinstance,anindividualviewsitwithhisorhereyestoseeany
relevantobjects,listenswithhisorherearstohearsignificantsounds,smellsodorsthroughhisorher
nose,andfeelsthetemperatureoftheaironhisorherskin.Thepersonalsomakesmanysubtleand
unconsciousadjustmentstomaintainbalance,respondtochangesintheintensityoflightandsound,
acclimatetotemperaturechanges,etc.Thus,theperipheralnervoussystemessentiallyrelaysinformation
relatedtotheenvironmenttoandfromthebrain.Itisresponsibleforproducingsensationsandpurely
reflexreactions.

Behaviorrelatestothespecificphysicalactionsandreactionsthroughwhichweinteractwiththepeople
andenvironmentaroundus.Neurologically,ourexternalbehaviorisaresultofactivityinourmotor
systems(thepyramidalsystemandcerebellum).Nonreflexivebehaviorsinvolvethepsychomotorsystem,
adeeperlevelofneurologythanthesenseorgans.Thepsychomotorsystemcoordinatesourphysical
actionsandconsciousmovements.
Capabilitieshavetodowiththementalstrategiesandmapspeopledeveloptoguidetheirspecific
behaviors.Whilesomebehaviorsaresimplyreflexiveresponsestoenvironmentalstimuli,mostofour
actionsarenot.Manyofourbehaviorscomefrom"mentalmaps"andotherinternalprocesseswhose
sourceiswithinourminds.Thisisalevelofexperiencethatgoesbeyondourperceptionsoftheimmediate
environment.Youcanmakepicturesofthingsthatdonotrelatetotheparticularroomyouarein,for
instance.Youcanrememberconversationsandeventsthattookplaceyearsago.Youcanimagineevents
thatmayhappenyearsfromnow.Behaviorswithoutanyinnermap,planorstrategytoguidethemarelike
kneejerkreactions,habitsorrituals.Atthelevelofcapabilityweareabletoselect,alterandadaptaclass
ofbehaviorstoawidersetofexternalsituations.Thus,"capability"involvesmasteryoveranentireclass
ofbehaviori.e.,knowinghowtodosomethingwithinavarietyofconditions.Neurologically,developing
cognitivecapabilitiesisafunctionofhigherlevelprocessinginthecortexofthebrain.Itisinthecortex
(orgraymatter)ofthebrainthatsensoryinformationisrepresentedintheformofmentalmaps,associated
withothermentalrepresentations,orpiecedtogetherinimagination.Thistypeofprocessingisusually
accompaniedbysemiconsciousmicromovements,or"accessingcues"(eyemovements,breathingrate
changes,slightposturaladjustment,voicetoneshifts,etc.).

Valuesandbeliefsrelatetofundamentaljudgmentsandevaluationsaboutourselves,othersandtheworld
aroundus.Theydeterminehoweventsaregivenmeaning,andareatthecoreofmotivationandculture.
Ourbeliefsandvaluesprovidethereinforcement(motivationandpermission)thatsupportsorinhibits
particularcapabilitiesandbehaviors.Beliefsandvaluesrelatetothequestion,"Why?"

Neurologically,beliefsareassociatedwiththelimbicsystemandhypothalamusinthemidbrain.The
limbicsystemhasbeenlinkedtobothemotionandlongtermmemory.Whilethelimbicsystemisamore
"primitive"structurethanthecortexofthebraininmanyways,itservestointegrateinformationfromthe
cortexandtoregulatetheautonomicnervoussystem(whichcontrolsbasicbodyfunctionssuchasheart
rate,bodytemperature,pupildilation,etc.).Becausetheyareproducedbydeeperstructuresofthebrain,
beliefsproducechangesinthefundamentalphysiologicalfunctionsinthebodythatareresponsiblefor
manyofourunconsciousresponses.Infact,oneofthewaysthatweknowthatwereallybelieve
somethingisbecauseittriggersphysiologicalreactions;itmakesour"heartpound,"our"bloodboil,"or
our"skintingle"(alleffectsthatwecannottypicallyproducevoluntarily).Thisishowapolygraph
functionstodetectwhetherornotapersonis"lying."Peopleshowadifferentphysicalreactionwhenthey
believewhattheyaresayingthanwhentheyarebeinguntruthfulorincongruent.

Itistheintimateconnectionbetweenbeliefsanddeeperphysiologicalfunctionsthatalsocreatesthe
possibilityforthemtohavesuchapowerfulinfluenceintheareaofhealthandhealing(asinthecaseof
theplaceboeffect).Becauseexpectationsgeneratedbyourbeliefsaffectourdeeperneurology,theycan
alsoproducedramaticphysiologicaleffects.Thisisillustratedbytheexampleofthewomanwhoadopted
ababy,andbecauseshebelievedthat"mothers"weresupposedtoprovidemilkfortheirbabies,actually
begantolactateandproducedenoughmilktobreastfeedheradoptedchild!

Thelevelofidentityrelatestooursenseofwhoweare.Itisourperceptionofouridentitythatorganizes
ourbeliefs,capabilitiesandbehaviorsintoasinglesystem.Oursenseofidentityalsorelatestoour
perceptionofourselvesinrelationtothelargersystemsofwhichweareapart,determiningoursenseof
"role,""purpose"and"mission."Inourneurology,ouridentitycanbeassociatedwithournervoussystem
asawhole,andprobablyinvolvesdeepbrainstructuressuchasthereticularformation.Thereticular
formationisalargegroupofcellsdeepwithinthebrainstem.Fibersfromthisareaprojectviathalamic
nucleitolargeassociationareasinthecortex.Thereticularformationisaregulatorofthestateof
alertness;itsdestructionatthemidbrainlevelresultsinastateofcoma.(Incontrast,largeareasofthe
cortexmaybedestroyedwithoutalossofconsciousness.)

Identityisalsophysiologicallyrelatedtotheimmunesystem,endocrinesystem,andotherdeeplife
sustainingfunctions.Thus,changeortransformationofidentitycanhaveatremendousandalmost
instantaneouseffectonone'sphysiology.Medicalresearchonindividual'swithmultiplepersonalities
(Putnam1984)showsthatremarkableanddramaticchangescanoccurwhenanindividualswitchesfrom
oneidentitytoanother.Forinstance,thebrainwavepatternsforthedifferentpersonalitiesareusually
completelydifferent.Somepeoplewithmultiplepersonalitiescarryseveraldifferentpairsofeyeglasses
becausetheirvisionchangeswitheachidentity.Otherindividualswillhaveallergiesinonepersonality
andnotinanother.Oneofthemostinterestingexamplesofphysiologicalchangewithdifferentidentities
isthatofawoman,admittedtoahospitalfordiabetes,who"baffledherphysiciansbyshowingnot
symptomsofthedisorderattimeswhenonepersonality,whowasnotdiabetic,wasdominant..."
(Goleman,1985).

Spirituallevelexperiencehastodowithoursenseofbeingpartofsomething,onaverydeeplevel,thatis
beyondourselves.Itistheawarenessof,whatGregoryBatesoncalled,"thepatternwhichconnects"all
thingstogetherintoalargerwhole.We,asindividuals,areasubsystemofthislargersystem.Our
experienceofthislevelisrelatedtooursenseofpurposeandmissioninlife.Itcomesfromaskingthe
questions:"Forwhom?"and"Forwhat?"ThisisthelevelthatIbelieveBatesonwasindicatingwhenhe
referredtoLearningIV.

Neurologically,spirituallevelprocesseshavetodowithatypeof"relationalfield"betweenourown
nervoussystemsandthoseofotherpeople,formingatypeoflarger,collectivenervoussystem.Theresults
ofthisfieldofinteractionaresometimesreferredtoasagroup"mind,"agroup"spirit,"ora"collective
consciousness."Thisfieldalsoincludesthe"nervoussystems,"orinformationprocessingnetworks,of
othercreaturesandbeings,andevenourenvironment.

AsBatesondescribedit:

Theindividualmindisimmanentbutnotonlyinthebody.Itisimmanentinpathwaysand
messagesoutsidethebody;andthereisalargerMindofwhichtheindividualmindisonlyasub
system.ThislargerMindiscomparabletoGodandisperhapswhatpeoplemeanby"God,"butit
isstillimmanentinthetotalinterconnectedsocialsystemandplanetaryecology.(Stepstoan
EcologyofMind,1972)

Ithasbeenspeculatedthatthislevelofprocessingandchangeinfluencesourenvironmentandourselves
throughwhatRupertSheldraketermed"morphogeneticfields."Itisoftenusedtoexplainphenomena
whichinvolveactionatadistance,suchashealingthroughprayerandtheeffectsof"thehundredth
monkey;"i.e.,situationsinwhichchangeinapartofapopulationstimulateschangeinanothermemberof
thepopulation,orthegroupasawhole,withoutanydirectphysicalcontact.

In summary, NeuroLogical Levels are made of the following "hierarchy" of

neurophysological structures:

Holographic- Individual nervous systems combining to form a

Spiritual
larger system
and deep life sustaining functions (e.g., reticular system).
Immune system and endocrine system- Nervous system as a
A. Identity
whole,
and deep life sustaining functions (e.g., reticular system).
Beliefs & Values Limbic and autonomic control system (e.g., heart rate, pupil
B.
dilation, etc.)
- Unconscious responses.
Cortical systems- Semi-conscious actions (eye movements,
C. Capabilities
posture, etc.)

D. Behaviors Motor system (pyramidal & cerebellum)- Conscious actions

 E. Environment Peripheral nervous system- Sensations and reflex reactions.

ThefirstbooksformallymentioningthisformulationofLogicalLevelswereChangingBeliefswith
NLPandBeliefs:PathwaystoHealthandWellBeing,bothpublishedin1990.

TheLogicalLevelsmodelhascontinuedtobedevelopedandenriched,andhasbecomethebasisofmany
recentNLPprocessesandtechniques.MybookFromCoachtoAwakener(2003)appliesthemodelasa
primaryroadmapfortheprocessofpersonalcoaching.NLPII:TheNextGenerationprovidesaanin
depthdescriptionoftheNeurologicalLevelsmodelanditsrelationtoSetTheory,MathematicalGroup
Theory,hierarchicallevels,Korzybski'slevelsofabstraction,Russell'slogicaltypes,ArthurKoestler's
(alsousedbyKenWilbur)notionof"holons"and"holarchy,"andsimple"chunking."

Copyright2014byRobertB.Dilts