AN HISTORICAL ANALYSIS OF THE DEVELOPMENT OF THINKING IN THE PRINCIPAL WRITINGS OF MALCOLM KNOWLES
George William Henry BD, Grad Dip T
School of Learning and Professional Studies Faculty of Education Queensland University of Technology
Submitted in fulfilment of the requirements for the degree of Doctor of Philosophy
2009 2
Keywords
Adult education; adult learning; andragogy; contract learning; doctoral thesis; group dynamics; informal adult education; Knowles; leadership; leadership development; learning contracts; lifelong learning; Malcolm Knowles; pedagogy; self-directed learning; self-directed lifelong learning.
Abstract
Malcolm Shepherd Knowles was a key writer and theorist in the field of adult education in the United States. He died in 1997 and left a large legacy of books and journal articles. This thesis traced the development of his thinking over the 46-year period from 1950 to 1995. It examined the 25 works authored, co-authored, edited, reissued and revised by him during that period. The writings were scrutinised using a literature research methodology to expose the theoretical content, and a history of thought lens to identify and account for the development of major ideas. The methodology enabled a gradual unfolding of the history. A broadly-consistent and sequential pattern of thought focusing on the notion of andragogy emerged. The study revealed that after the initial phases of exploratory thinking, Knowles developed a practical-theoretical framework he believed could function as a comprehensive theory of adult learning. As his thinking progressed, his theory developed into a unified framework for human resource development and, later, into a model for the development of self-directed lifelong learners. The study traced the development of Knowles’ thinking through the phases of thought, identified the writings that belonged within each phase and produced a series of diagrammatic representations showing the evolution of his conceptual framework. The production of a history of the development of Knowles’ thought is the major outcome of the study. In addition to plotting the narrative sequence of thought-events, the history helps to explicate the factors and conditions that influenced Knowles’ thinking and to show the interrelationships between ideas. The study should help practitioners in their use and appreciation of Knowles’ works. 3
Contents Keywords ...... 2 Abstract ...... 2 List of Figures and Tables ...... 11 Referencing and Citing System ...... 12 Levels of Heading ...... 12 Statement of Original Authorship ...... 13 Ad Majorem Dei Gloriam ...... 14 Dedication ...... 14 Acknowledgements ...... 14
INTRODUCTION TO THE RESEARCH ...... 15
CHAPTER 1 ...... 15
SIGNIFICANCE AND IMPORTANCE OF THE STUDY ...... 15 The Research Problem ...... 15 Objectives ...... 16 Justification ...... 17 Scholarship and Professional Practice ...... 20 The Context of Knowles’ Life ...... 21 Conclusion ...... 22
CHAPTER 2 ...... 23
THE RESEARCH PROJECT ...... 23 Literature Reviews ...... 23 Research Design ...... 24 Epistemology ...... 24 Theoretical Perspective ...... 25 Methodology ...... 27 Method ...... 28 Conclusion ...... 32 Major Themes and Subdivisions within the Thesis ...... 33 The Phases of Knowles’ Thought ...... 34 Major Themes ...... 36 Outline of Chapters 3 to 8 ...... 37 4
THE FOUNDATIONAL WORKS ...... 40
CHAPTER 3 ...... 40
THE INITIAL THINKING (PHASE 1) ...... 40 Informal Adult Education: A Guide for Administrators, Leaders, and Teachers (1950) ...... 40 Two Major Challenges ...... 41 Acknowledgement of Sources ...... 42 Knowles’ Aims in Writing Informal Adult Education ...... 42 The Urgency of the Adult-Educational Task ...... 44 The Benefits of Adult Education ...... 45 Democracy and the Importance of a Philosophy of Education ...... 46 The Individual’s Need for Growth ...... 47 The Teaching-Learning Process ...... 49 Group Discussion ...... 51 Group Leadership ...... 52 Conclusion ...... 54 The Writings from 1954 to 1959 ...... 55 Teaching Adults in Informal Courses (1954) ...... 56 How to Develop Better Leaders (1955) ...... 57 Broad Aim of the Work ...... 57 The Shared Role of Leadership ...... 58 Leadership Training Dimensions ...... 60 Group Self-Training ...... 60 Principles for Supervisors ...... 62 Human Resource Development ...... 63 Conclusion ...... 63 Introduction to Group Dynamics (1959) ...... 64 Major Influences ...... 65 The Need to Deal with Change ...... 66 Group Dynamics as Practical Knowledge ...... 67 Leadership and the Possibility of Manipulation ...... 67 The Group as an Expression of Common Identity and Purpose ...... 68 Conclusion ...... 69 Summary of Phase 1 Thinking ...... 70 5
CHAPTER 4 ...... 73
THE EMERGING FRAMEWORK (PHASE 2) ...... 73 The Writings from 1960 to 1962 ...... 73 Handbook of Adult Education in the United States (1960) ...... 73 Typology of Adult Learning Programs ...... 74 Six Principles of Adult Learning ...... 75 Conclusion ...... 77 The Leader Looks at Self-Development (1961) ...... 77 The Search for Personal Authenticity ...... 77 Leadership Competencies: A Knowledge Hierarchy ...... 78 The Process of Self-Development ...... 79 Principles of Learning and Self-Development ...... 80 Conclusion ...... 82 The Adult Education Movement in the United States (1962) ...... 82 Knowles’ Aims in Writing The Adult Education Movement in the United States83 Defining the term “Adult Education” ...... 84 Adult-Child Learning Differences ...... 85 Predictions for the near Future ...... 85 Assumptions for the Education of Youth ...... 86 Predictions for the more Distant Future ...... 88 Conclusion ...... 89 The Writings from 1965 to 1969 ...... 91 The Leader Looks at the Learning Climate (1965) ...... 91 Knowles’ Aims in Writing The Leader Looks at the Learning Climate ...... 91 Adult-Youth Learning Differences ...... 93 A Common Approach to Learning ...... 96 Conclusion ...... 97 The Professional Nurse Looks at the Learning Climate (1966) ...... 97 The Professional Nurse Looks at Self-Development (1966) ...... 100 Higher Adult Education in the United States: The Current Picture, Trends, and Issues (1969) ...... 100 Forces for Change ...... 100 Aims of the Study ...... 102 Andragogy ...... 103 6
Issues of Curriculum and Methodology ...... 104 Trends within the Universities ...... 106 The Survival of Higher Adult Education as a University Function ...... 108 Conclusion ...... 110 Summary of Phase 2 Thinking ...... 112
THE CLASSIC TEXTS ...... 116
CHAPTER 5 ...... 116
THE DEVELOPED FRAMEWORK (PHASE 3) ...... 116 The Modern Practice of Adult Education: Andragogy Versus Pedagogy (1970)116 Knowles’ Aims in Writing The Modern Practice of Adult Education ...... 118 Andragogy Versus Pedagogy ...... 119 The Meeting of Needs ...... 121 The Mission of the Adult Educator ...... 121 The Needs and Goals of the Individual ...... 122 The Needs of the Institutions ...... 125 The Needs of Society ...... 126 Adult-Child Learning Differences ...... 127 Self-Concept ...... 127 Experience ...... 129 Readiness to Learn ...... 130 Orientation to Learning ...... 131 The Learning-Teaching Transaction ...... 131 The Capacity of Adults to Learn ...... 131 Learning as an Internal Process ...... 132 Conditions of Learning and Principles of Teaching ...... 134 The Technology of Andragogy: The Andragogical Process ...... 135 The Learning Climate...... 136 Structures for Planning ...... 137 Needs Diagnosis ...... 137 Formulating of Objectives ...... 138 Learning Design ...... 139 Conduct of the Learning ...... 139 Evaluation...... 140 7
Counselling and the Andragogical Process ...... 141 Conclusion ...... 142 Summary of Phase 3 Thinking ...... 143
CHAPTER 6 ...... 147
THE FRAMEWORK EXPANDED (PHASE 4) ...... 147 The Writings from 1972 to 1975 ...... 147 Introduction to Group Dynamics (Rev. ed., 1972) ...... 147 The Adult Learner: A Neglected Species (1973) ...... 150 Aims of the Work ...... 150 A Model of Lifelong Education ...... 151 Learning Theory Models ...... 152 Andragogy as a Model for HRD ...... 153 Self-Directed Learning: A Guide for Learners and Teachers (1975) ...... 158 Knowles’ Aims in Writing Self-Directed Learning ...... 159 Self-Directed Learning ...... 160 Andragogy ...... 162 Knowles’ Changing Perceptions of Andragogy and Pedagogy ...... 165 Role of the Teacher ...... 166 Contract Learning ...... 167 Conclusion ...... 169 Summary of Phase 4 Thinking ...... 171
THE LATER WRITINGS ...... 178
CHAPTER 7 ...... 178
THE FRAMEWORK COMPLETED (PHASE 5) ...... 178 The Writings from 1977 to 1984 ...... 178 A History of the Adult Education Movement in the United States: Includes Adult Education Institutions through 1976 (Rev. ed., 1977) ...... 179 The Adult Learner: A Neglected Species (2nd ed., 1978) ...... 181 Contract Learning ...... 182 Andragogy ...... 182 A Limited Revision ...... 184 The Modern Practice of Adult Education: From Pedagogy to Andragogy (Rev. ed., 1980) ...... 185 8
Responses to Critics ...... 185 From Pedagogy to Andragogy ...... 187 Modern Practice ...... 188 Adulthood ...... 188 Models and Ideology ...... 189 Learning Contracts ...... 191 Conclusion ...... 191 The Adult Learner: A Neglected Species (3rd ed., 1984) ...... 192 HRD and Learning Resource Systems ...... 192 Creating Lifelong Learning Communities ...... 193 Becoming a Facilitator of Learning ...... 196 Releasing the Energy of Others ...... 196 Andragogy ...... 198 Andragogy in Action: Applying Modern Principles of Adult Learning (1984) ...... 199 New Thinking ...... 200 Knowles’ Vision: Andragogy as a Flexible Model for the Future ...... 204 Conclusion ...... 205 Summary of Phase 5 Thinking ...... 208
CHAPTER 8 ...... 213
FINAL THINKING (PHASE 6) ...... 213 The Writings from 1986 to 1998 ...... 213 Using Learning Contracts: Practical Approaches to Individualizing and Structuring Learning (1986) ...... 214 Knowles’ aims in Writing Using Learning Contracts ...... 214 Contract Learning and the Andragogical Assumptions ...... 215 The Practice of Contract Learning, its Benefits and Limitations ...... 216 The Making of an Adult Educator: An Autobiographical Journey (1989) ...... 219 Knowles’ Philosophical Orientation ...... 220 Knowles’ Contribution to Adult Education ...... 221 Andragogy ...... 222 Responses to Criticisms ...... 223 Indoctrination and Mandatory Learning ...... 225 The Social and Political Arena ...... 225 9
The Future ...... 226 The Adult Learner: A Neglected Species (4th ed., 1990) ...... 228 Philosophy ...... 229 Perspective Transformation ...... 231 Whole-Brain Learning and Teaching ...... 233 The Andragogical-Pedagogical Assumptions ...... 233 A History of the Adult Education Movement in the United States: Includes Adult Education Institutions through 1976 (Reissue, 1994)...... 234 Designs for Adult Learning: Practical Resources, Exercises, and Course Outlines from the Father of Adult Learning (1995) ...... 235 The Adult Learner: The Definitive Classic in Adult Education and Human Resource Development (5th ed., 1998) ...... 238 Conclusion ...... 239 Summary of Phase 6 Thinking ...... 241
CONCLUSION ...... 243
CHAPTER 9 ...... 243
ANDRAGOGY: A MODEL FOR THE FUTURE ...... 243 Overview of the Phases of Knowles’ Thought ...... 245 Knowles’ Completed Conceptual Framework ...... 247 Lifelong Learning ...... 250 Knowles’ Completed Conceptual Framework as “An Emergent Theory” ...... 253 The Contributions of this Thesis ...... 254 Directions for Future Research ...... 257 Postscript: A Brief Personal Reflection ...... 261
APPENDICES ...... 264 Appendix A ...... 264 Malcolm Shepherd Knowles: A Brief Biography ...... 264 Appendix B ...... 272 General Literature Review ...... 272 Appendix C ...... 282 Disagreement about the Number of Books Written by Knowles ...... 282 Appendix D ...... 283 Possible Alternative Methodologies and Methods for the Research Project ...... 283 10
Appendix E ...... 286 Sequence of Significant New Content or Conceptualising in Knowles’ Writings from 1950 to 1995 ...... 286 Appendix F ...... 292 Background to the Writing of Informal Adult Education ...... 292 Appendix G ...... 303 the Age of Adult Education: Background to the works of 1954 to 1959 ...... 303 Appendix H ...... 307 Knowles’ 1962 Definition of Adult Education ...... 307 Appendix I ...... 308 Knowles’ Treatment of Andragogy in 1969 ...... 308 Appendix J ...... 310 Superior Conditions of Learning and Principles of Teaching ...... 310 Appendix K ...... 312 Competency Development for Life Roles ...... 312 Appendix L ...... 313 Procedural Questions for Implementing the Andragogical Phases ...... 313 Appendix M ...... 316 The Roots of Andragogy – An Integrative Concept ...... 316 Appendix N ...... 319 The Skills of Self-Directed Learning ...... 319 Appendix O ...... 320 The Benefits and Limitations of Contract Learning ...... 320 REFERENCES ...... 322
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List of Figures and Tables
Figure 1. Major design elements of the research project...... 33 2. Knowles’ developed conceptual framework...... 144 3. Knowles’ expanded conceptual framework (showing phase 4 developments in bold upper case font)...... 172 4. Knowles’ completed conceptual framework (showing phase 5 developments in bold upper case font)...... 210 5. Knowles’ completed conceptual framework...... 248 6. Major phases in Knowles’ adult life...... 271
Table 1. The Principal Works of Malcolm Knowles ...... 29 2. The Grouping of Knowles’ Principal Writings According to the Phases of his Thought ...... 35 3. A Comparison of the Assumptions and Designs of Pedagogy and Andragogy . 155 4. A Comparison of Assumptions and Processes of Teacher-Directed (Pedagogical) Learning and Self-Directed (Andragogical) Learning ...... 164 5. Knowles’ Changing Perceptions of the terms “Andragogy” and “Pedagogy” over the Period 1970 to 1975 ...... 166 6. Relationship between the Andragogical Phases, Contract Learning and Self- Directed Learning ...... 175 7. Knowles’ Conceptualisation of Learning Theory Models ...... 176 8. The Andragogical-Pedagogical Assumptions, 1973-1980 ...... 191 9. The Andragogical-Pedagogical Assumptions, 1973-1984 (1) ...... 199 10. The Andragogical-Pedagogical Assumptions, 1973-1984 (2) ...... 201 11. Knowles’ Changing Perceptions of the terms “Andragogy” and “Pedagogy” over the Period 1970 to 1984 ...... 206 12. The Andragogical-Pedagogical Assumptions, 1973-1990 ...... 234 13. The Andragogical-Pedagogical Assumptions, 1984-1995 ...... 237 14. Summary of Major Responses to the Critical Questions of the History of Thought ...... 244
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Referencing and Citing System
The referencing and citing system used in this thesis follows the procedures outlined in the American Psychological Association’s (2001) Publication Manual of the American Psychological Association (5th ed.).
Levels of Heading
The American Psychological Association (APA) uses five levels of heading. In this thesis, it has been necessary to make some adaptations to APA’s conventions. Because book titles have been included in many of the headings in this thesis, APA’s italicising convention has not been observed. This has created a need to convert APA’s level 1 heading to small capitals. It has also been necessary to create a sixth level of heading. The headings as used in both APA and this thesis are indicated in the table below.
APA THIS THESIS
THE CLASSIC TEXTS
CHAPTER 5 5: CENTRED UPPER CASE THE DEVELOPED FRAMEWORK (PHASE 3)
1: Centred Upper and THE MODERN PRACTICE OF ADULT Lower Case EDUCATION: ANDRAGOGY VERSUS PEDAGOGY (1970)
2: Centred Italicised Upper Introduction to Group Dynamics and Lower Case (Rev. ed., 1972)
3: Left Italicised Upper and Lower Case Knowles’ Aims in Writing The Modern Practice of Adult Education
4: Indented italicised lower case Motivation to learn. with period.
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Statement of Original Authorship
The work contained in this thesis has not been previously submitted to meet requirements for an award at this or any other higher education institution. To the best of my knowledge and belief, the thesis contains no material previously published or written by another person except where due reference is made.
Signature ______
Date ______14
Ad Majorem Dei Gloriam
Пροκοπ γ νετ μοι ν Θε · τ διδ ντι μοι σο αν δ σω δ ξαν. (Adaptation of Sirach 51: 17)
Dedication
I dedicate this work to the memory of my father, William, and the members of my family to whom I owe so much: my mother, Hazel; my brothers, Francis, Noel and Wayne; my wife, Karen; and my daughters, Yasmin and Annie-Claire.
Acknowledgements
I thank my principal supervisor, Associate Professor Brian Delahaye, for first introducing me to contract learning in the Masters course, SPN623, “Strategic Workplace Education and the Learning Organisation”. He offered just the right amount of encouragement and advice. From him, I learnt that learning could be a liberating experience. Throughout the writing of the thesis, Brian has allowed me the freedom to work in my own way and at my own pace. He has been an excellent mentor. I thank, too, Dr Robert Cope and Dr Sarojni Choy for the support and advice they offered as associate supervisors. Dr Choy joined the supervisory team in 2008 – a critical time in writing the thesis – and has been a source of great encouragement and guidance. I offer my thanks, also, to Professor Susan Danby, School of Early Childhood, for her support and encouragement during the time I was enrolled in the EdD program. Susan provided well-structured scaffolding to her students but was prepared to be flexible and encouraged me to seek early confirmation. I am very grateful for her guidance and encouragement. My dear friend, Gilbert Case, has offered invaluable insights and advice and many suggestions for improving the precision and quality of the written text. He has painstakingly read everything I have written and helped ensure that the writing preserved some semblance of order and logic. Gilbert’s support over the entire period of writing has been a great asset. My thanks to Gilbert. 15
INTRODUCTION TO THE RESEARCH
CHAPTER 1 SIGNIFICANCE AND IMPORTANCE OF THE STUDY
The Research Problem Malcolm Shepherd Knowles was a key figure in the field of adult education. This was especially so in the United States of America where he is widely regarded as the father of adult learning. How to understand his writings, however, has been a major difficulty. The problem essentially has to do with lack of consensus on the meaning of key terms. There has been much debate in the academic world both during Knowles’ lifetime and since his death but the question of interpretation remains. Many of the critics of Knowles remain unconvinced by his adjusted positions and the responses he has made to their critiques. One of the recurring themes around which debate has revolved concerns the word “andragogy”. Knowles was introduced to this term in 1966 by Savicevic (Sopher, 2003) and defined it as “the art and science of helping adults learn” (Knowles, 1970, p. 38). To many critics, this definition raised problems. Houle (1996) noted: Almost immediately, critics of Knowles and his ideas were heard, and debate about the theoretical soundness and practical utility of the new term became recurrent, reaching a zenith in the late 1980s. Knowles kept evolving, enlarging, and revising his point of view and therefore became something of a moving target, particularly since he was intimately involved with many projects at every level of magnitude in both customary and unusual settings all over the world; he could bring to discussions and debates a wealth of experience that his opponents could not match. (p. 27)
Houle (1996) went on to add, “The fluidity of Knowles’s theories makes it difficult to summarize them” (p. 27). This study has sought to construct visual representations of Knowles’ evolving conceptual framework – to show that despite Houle’s opinion, Knowles’ thinking could successfully be charted and summarised. It has attempted to understand not just the term andragogy, but the sequence of Knowles’ thinking as he developed his ideas and especially his ideas on adult learning theory. The study examined the 25 works authored, co-authored, edited, reissued and revised by him during the period 1950 to 1995. As will be explained in Chapter 2, 16 the writings were scrutinised using a literature research methodology to expose the theoretical content, and a history of thought lens to identify and account for the development of major ideas. The methodology was situated within an interpretivist paradigm and assumed a constructionist epistemology. Hermeneutical principles were used as an interpretative tool. The study did not attempt to impose viewpoints on Knowles but strove to allow an authentically “Knowlesian” perspective to emerge.
Objectives The research project situated the problem of interpretation within the broader context of a history of thought perspective. The objectives were as follows: Major Objective: To analyse historically the development of thinking in the principal writings of Malcolm Knowles. Specific Objectives: 1. to expose Knowles’ theoretical perspectives in the context of his principal writings; 2. to identify the developments of thought as they were disclosed in the major writings; 3. to clarify the logic and purpose of what was written; 4. to plot the narrative sequence of thought-events; 5. to delineate the phases through which Knowles’ thinking passed; and 6. to construct diagrams representative of Knowles’ theoretical framework at key points in his thinking.
Questions that helped guide the study were:
What were the significant factors that influenced Knowles’ thinking?
How did they do so?
What was the major theoretical content in each of Knowles’ works?
What developments of thought were disclosed in the writings?
In what sequence did the ideas develop?
How were the ideas interrelated?
How were the shifts in thinking to be accounted for?
What were the major phases in the evolution of Knowles’ thinking? 17
How did Knowles understand key terms?
In what ways did Knowles’ conceptual framework change over time?
Justification There is no doubt that Malcolm Knowles has had a major impact in the field of adult education in the United States in the second half of the twentieth century. The greatest impact has occurred in relation to Knowles’ theory of andragogy. Merriam and Caffarella (1999), two well-known adult educators in the United States, declare unequivocally, “Andragogy has been the primary model of adult learning for nearly thirty years” (p. 276). Also stated without equivocation is the remark by Houle (1996): “Andragogy remains as the most learner centered of all patterns of adult educational programming” (p. 30). Knowles’ status. Houle (1992) reports that in 1989, Syracuse University, with the help of professors of adult education in North American universities, sought to identify outstanding English-language texts in the field. Of significance is the fact that five of Knowles’ books were so identified. The five were: Handbook of Adult Education in the United States (1960); Self-Directed Learning (1975); A History of the Adult Education Movement in the United States (Rev. ed., 1977); The Modern Practice of Adult Education (Rev. ed., 1980); and The Adult Learner (4th ed., 1990). The date of this final text indicates that nominations would have been received after 1989, the year in which they were first sought. Theoretical expositions and manuals of practice. From the beginning of his writing career Knowles intended to produce books that would include theoretical expositions and have clear practical applications. His first work, Informal Adult Education, was published in 1950. The text was divided into four parts: the first, a theoretical outline, focused on the psychology of adulthood. This was followed by three sections detailing various practical applications. These included a broad explanation of methods and programs; details of lesson and administrative planning; and a treatment of how to evaluate programs. Houle (1992) points out that the value of this work has not been diminished by the popularity of the later work on andragogy. In 1970 Knowles wrote The Modern Practice of Adult Education: Andragogy Versus Pedagogy. This was followed 10 years later with a revised version subtitled, From Pedagogy to Andragogy. This text continued the pattern set by Informal Adult 18
Education. It showed how comprehensive adult education programs should be administered and organised, how adults could be helped to learn and how Knowles understood the term “andragogy”. On books dealing with the basic design of adult education, Houle (1992) states, “The most widely accepted such book is The Modern Practice of Adult Education by Knowles” (p. 274). In 1973 Knowles wrote The Adult Learner. This book went through six editions and has come to be considered a classic work (Fox, 1998; Lee, 1998; Smith, 2002b). The last two editions were published posthumously in 1998 and 2005 and were subtitled, The Definitive Classic in Adult Education and Human Resource Development. The book was essentially a theoretical treatise aimed at human resource developers, but it included many concrete examples and showed how, in practice, the theory of andragogy could be applied. Knowles’ (1975) work, Self-Directed Learning, was a practical handbook that aimed to help learners to acquire the skills of self-directed learning and teachers to support and work with them. Case studies formed the major content of Andragogy in Action, published in 1984. This text showed how andragogy could be applied to a range of situations including religious education, elementary and secondary education, higher education, business, government, industry and the professions. The book also contained some significant theoretical thinking by Knowles. Knowles’ 1986 book, Using Learning Contracts, was concerned to demonstrate that contracts could be used successfully in institutional environments as well as in the context of one to one mentor relationships. What is clear throughout Knowles’ works is that he was committed to writing books that were not just theoretical expositions but which could be used by learners and practitioners in many different contexts and learning environments. In the hands of both (learners and practitioners), Knowles’ books needed to be properly understood and this applied whether they were to be used for theory or practice or both. Criticisms. Of the many criticisms made of Knowles’ thought, there is a need to test what has been said and to do so in the light of his responses. Despite the criticisms, Knowles continues to have a strong and widespread influence. Given this situation, any attempt at clarifying terms and remedying misconceptions has value. 19
There is a very clear need for practitioners and researchers to understand as precisely as they can what Knowles was intending to mean. It is Rachal’s (2002) contention that research on andragogy has stalled because of the current confused state of definitions. There is clearly no consensus on the meaning of some key terms but Rachal does not regard adult educators as having lost interest in andragogy. He argues that it is the absence of an operational definition that is the problem. If adult educators could agree on some of the terms they were using in relation to Knowles’ work, they would be better able to collaborate (and communicate) and there would be less likelihood of their arguing at cross-purposes. By examining the historical sequence of Knowles’ thinking and by locating his terminology within that sequence, this study clarifies the language and concepts used by Knowles and contributes to a more accurate understanding of his thought and of his use of particular terminology. There is now a finite body of writing which is available for scrutiny but most of the recent writers have not drawn on Knowles’ post-1989 thinking. Two writers who specifically try to understand the later Knowles are Jarvis (2001) and St Clair (2002). St Clair, particularly, raises a number of clear hermeneutical issues. Given that most commentators on Knowles have been selective in what they have looked at, there is a need to pull together the various strands and to assess the position of Knowles up to the point of his final work published in 1995. The need for a sequential, developmental perspective. The overall rationale for the study takes into account the fact that to date there appears to be no major published work that looks at the writings of Malcolm Knowles as a whole. Specifically, the placing of a history of ideas lens over the corpus of works seems not to have occurred. There have been many studies carried out on single aspects of Knowles’ thought, for example, on andragogy, contract learning and self-directed learning but none has looked at the whole body of writing from the point of view of exposing its theoretical content and giving an account of its development. In 1989 Knowles wrote The Making of an Adult Educator. In this book, he sketched some of the main factors that had bearing on the development of his thinking. The treatment of significant factors, however, was brief and he did not reflect systematically on the conceptual and thematic content of his writings. Between 1989 and his death in 1997, Knowles continued to write and publish. Gaps in the understanding of Knowles’ works are compounded by the omission of any 20 serious examination of his thinking in the final period, 1990 to 1997. This study traces the development of Knowles’ thought in a way that has not previously been done. It provides a sequential, developmental perspective and a more complete account of Knowles’ work, thereby contributing to the body of knowledge available to adult educators.
Scholarship and Professional Practice As a consequence of the study, it is hoped that there will be a greater appreciation of the thought of Malcolm Knowles generally, and that there will be less ambivalence in evaluating his contribution to the theory and practice of adult education. This research has:
plotted the development of Knowles’ thinking over the entire span of his writing (and thereby produced a more complete account of his work than currently exists);
related the developments to significant historical, social, biographical and intellectual factors;
delineated the phases through which Knowles’ thinking passed; and
constructed representations of his theoretical framework at key points in his writing career. These outcomes
provide grounds for a greater appreciation of the value of Knowles’ works as theoretical expositions and manuals of practice; and
contribute towards preserving the legacy of Knowles.
For the purpose of using Knowles’ books as manuals of practice, this study hopes to provide an enhanced ability to navigate the texts. The study has attempted to identify the key conceptual developments in Knowles’ thinking within the major writings and to show how the thinking fits together. A more accurate understanding of where the key developments occur may contribute to an awareness of how individual books relate to each other and to a greater appreciation of the value of the works as manuals of practice. It is possible to argue, as do Hensley, Maher and Passmore (2001), that because the field of adult education remains something of a dilemma, the wisdom of long-time adult educators continues to be needed. The corollary is that the work of 21 previous scholars needs still to be kept alive. An analysis and “distillation” of Knowles’ thinking is useful in this context. In the process, it may be possible, as Schleiermacher (trans. 1977) suggested, to understand the subject better than the subject understands the self. Knowles has left the adult-educational world with a legacy of theoretical expositions and manuals of practice. Adult educators have not resolved among themselves the question of whether there can be a unifying theory of adult education, or of education generally. For those scholars who wish to further this line of theorising, the work of Knowles continues to be important. By showing the development of Knowles’ conceptual framework, this study has contributed to ongoing scholarship and, therefore, to knowledge within the field of adult education. The plotting and mapping of Knowles’ thought has produced a history of the development of his thinking. This is the major outcome of the research. It is hoped that this outcome will help practitioners in their use and appreciation of Knowles’ books and in preserving his legacy.
The Context of Knowles’ Life A consideration of biographical factors is an important part of achieving the research aims and of seeing the research problem within a personal life context. The research objectives have been framed in historical terms and it is necessary to take into account Knowles’ own life history in order to understand the factors that contributed to his thinking. Knowles’ chief intellectual influence was the philosopher, Eduard Lindeman. Long (1989) wrote a brief biography of Lindeman in order to provide a context for understanding his writings and to minimise the risk of presenting an ahistorical image. Appendix A attempts to do something similar: it looks briefly at Knowles’ life with the aim of supplying an initial background sketch prior to commencement of the study. The study does not set out to compare Knowles with his contemporaries. In Appendices A, F and G, contextual material relating to Knowles is supplied. This touches on intellectual influences and on the social and historical background, as well as on the biographical factors that had bearing on the development of Knowles’ thought.
22
Conclusion It is the theoretical sections of Knowles’ writings that are particularly important for understanding his thinking about adult learning theory and the development of his overall conceptual framework. The study has sought to expose Knowles’ thinking within his major writings and to give an account of its development. There is much in Knowles’ writings that is not of a theoretical nature. This includes material relating to institutional and organisational history, program planning and practical and administrative matters. Such material generally constitutes advice and commentary that is not directly relevant to an understanding of Knowles’ theoretical perspectives. The sequential plotting and accounting for the development of Knowles’ thought has been the primary task of the research project. 23
CHAPTER 2 THE RESEARCH PROJECT
LITERATURE REVIEWS
The thesis contains two literature reviews. Firstly, a general review was conducted which aimed to determine whether any writers had traced the development of Knowles’ thinking over the span of his writing career and, if so, whether a history of thought lens had been used as the framework through which to view his works. An additional purpose was to gain a broad overview of what educators had said about Knowles. The review of the various tributes, critiques and commentaries indicated, among other things, the influence Knowles has had in the field of adult education; the divergence of opinions that have been expressed about his writings; the themes or concepts that have provoked controversy; and the extent to which the controversy revolved around matters of interpretation. It is clear from the review that Knowles has had a major impact in the field of adult education. His intellectual sources are documented but the literature says little about the broader social and historical background. Andragogy as an overarching theme is recognised but the articulation of subordinate themes and their links with andragogy are not always clear. Concern has been expressed declaring the absence of a coherent conceptual framework and the difficulty in understanding the meaning of many terms. Although Knowles’ thinking has evolved, there is continuing uncertainty about how to understand him. There is considerable theoretical literature on adult education but limited and inconclusive empirical research on the efficacy of andragogy. This general literature review is located in Appendix B. Missing from the review is a treatment of Knowles’ works that looks at the development of his thinking overall and which tries to show how the separate writings are related to each other. There is no systematic book by book study aimed at achieving a sequential disclosure of Knowles’ thought and no use of a history of thought lens to view Knowles’ writings and to plot the development of his thinking. The present study aims to fill this gap. The second literature review is the review that resulted in this thesis. It was an ongoing task that occurred throughout the life of the study as each of Knowles’ 24 works was examined, and as contextual factors were taken into account. This examination of Knowles’ works began in Chapter 3 and continued through to Chapter 8. It is a significant and substantial review which forms the major part of the thesis.
RESEARCH DESIGN
Crotty (1998) employs a hierarchy of four terms to describe the structure of a research project: epistemology, theoretical perspective, methodology, and methods. The design elements of the present study correlate with Crotty's schema as follows: epistemology: constructionist theoretical perspective: history of thought methodology: literature research method: hermeneutical analysis The aim of this section is to briefly describe and explain these design elements.
Epistemology Crotty (1998) defines epistemology as “the theory of knowledge embedded in the theoretical perspective and thereby in the methodology” (p. 3). This element has to do with the meaning that is attributed to reality. The epistemological stance adopted in the study is that of constructionism. According to this view, “there is no meaning without a mind” (Crotty, pp. 8-9). Meaning is neither discovered nor imposed: it is constructed through a process of engaging with the realities in the world and is, therefore, neither an objectivist nor a subjectivist view (Crotty). In this thesis the engagement process involves the author, Malcolm Knowles, (indirectly through the text), the text itself and the researcher. The study has placed considerable emphasis on knowing Knowles’ aims and intentions. This is related to engagement. Because Knowles is dead, it is not possible to engage with him directly but it is possible to know what he was aiming to achieve or intending to do in each of his writings. That knowledge, together with the text, allows the possibility of constructing an understanding of his thought. No claim is being made for the discovery of objective truth and an intentional effort has been made to avoid imposing a personal or pre-determined viewpoint on the text.
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Theoretical Perspective The philosophical basis for this thesis relies on a constructionist epistemology and a history of thought perspective. Given the nature of a constructionist epistemology, it is an interpretivist, rather than a positivist or critical stance, that is appropriate. History of thought. The history of thought perspective is an interpretivist lens; it searches for patterns and complexity and aims to understand and describe rather than to control or predict (Neuman, 2000). The study intentionally avoids a critical perspective. This follows Lemon’s (1995) contention that understanding, rather than judgment or criticism, is the major goal of the history of thought. The aim is not to assess the truth or adequacy of what is said but to explain or account for it. The history of thought research tradition belongs within the field and discipline of history. It shows itself to be a coherent lens capable of making meaning out of otherwise unrelated thought-events (Colton, 1982; King, 1983; Lemon, 1995). The essential goal in using an historical lens is to bring together diverse phenomena and make them meaningful (Jordanova, 2000; Fulbrook, 2002). Bouwsma (1982) argues that this quest for meaning may be the most valuable attribute of the history of thought. Two major questions. There are two major questions asked by the historian of thought: 1. What is going on in the work? (or what is the author saying and doing in writing the work?) and 2. Why is this happening? (or what are the aims and purposes?) These two questions have been asked consistently throughout this study. An attempt has been made to state, in relation to both the individual books and the body of writing overall, what the significant thinking was and why Knowles chose to make the points he made. Speculation. The thesis is generally free of speculation. Lemon’s (1995) position is that the historian of thought should avoid discussing or analysing intentions an author never had. Of particular importance, therefore, was the discipline of containing the research within the parameters of the writings: seeing them as evidence of thought and not attempting to move beyond the evidence. Nevertheless, some speculation did occur. An example concerned the ongoing revisions of The Adult Learner. That work went through four editions in Knowles’ 26 lifetime. At no point did Knowles specifically state his intentions in revising the book but it seemed very likely that publication of Self-Directed Learning in 1975 was a sufficient reason for embarking on the second revision – and this speculation was borne out by the inclusion of significant new content from that work in the 1978 edition of The Adult Learner. There was a small number of other speculations but these only occurred where there were grounds for such speculation and details were supplied as part of the evidence. The genetic method. Using the evidence available, an historian of thought attempts to trace (rather than to predict) an author’s thinking. An essential task is to reconstruct what Lemon (1995) calls “intelligible continuity” (p. 237). Gilbert (1972) advocates a step by step process for doing so. This is important given that an intellectual development necessarily spans more than one work. The steps proposed by Gilbert involve a separate inspection of each of the author’s works. This is the genetic method; it ensures that particular thought-events are less likely to be attributed to the wrong period or circumstance and allows a more accurate plotting and accounting for the sequence of developments. The genetic method has been followed in this study. Each of Knowles’ principal writings was examined separately and in sequence and developments of thought noted and discussed as they occurred. Development of thought. The most significant aspect of the development of thinking is how and why people change their minds. Colton (1982) considers that this aspect may provide a unifying focus for the whole of the discipline of the history of thought. This thesis has aimed consistently to identify points where Knowles’ thinking has changed and to indicate where new thinking has commenced. It has done this by giving an account of the sequences of intellectual occurrences that resulted in Knowles’ changed viewpoints. The accounts are careful reconstructions showing connections with prior thoughts and steps leading up to the new thinking. Each chapter of the thesis provides an account of the development of Knowles’ thinking in one or more books. The accounts constitute specific narrative-identities. Together, they form an overall historical narrative which is grounded in the books as objectively-identifiable data which show both the changes and the continuity of Knowles’ thought. The imposition of a history of thought lens over the corpus of works makes it possible to have an overall understanding of how Knowles went about his thinking, why he focused on particular topics, what he meant by saying what he said and what 27 he intended by choosing to say what he did. The analysis yields, in Francois Wendel’s (1963) terms, an account of Knowles’ thought “just as it emerges from the documents and the historical surroundings, and not according to any ideological preferences” (p. 12).
Methodology Crotty (1998) understands methodology to be the design or plan that shapes the choice and use of particular methods. The problem for the present research is derived from an existing set of writings. It is the books that form the organisational pattern for the study. These constitute the essential data for the research and help to locate the analytical tasks within a text-oriented design. The study is structured as a literature research project. It is designed around the books, and the chapter contents and thesis organisation reflect that design. Many writers use the expression “archival research” or “documentary research” to refer to this methodology (e.g., Mason & Bramble, 1997; Dane, 1990). The literature research methodology adopted in this thesis has been modelled on design elements found in other literature research studies. The writings used as models were five published works which analysed the development of thought in the works of John Henry Newman, a person very similar in some ways to Knowles. The five works were: Goslee’s (1996) Romanticism and the Anglican Newman; Ker’s (1990) John Henry Newman; Merrigan’s (1991) Clear Heads and Holy Hearts; Walgrave’s (1960) Newman the Theologian; and Yearley’s (1978) The Ideas of Newman. These works stressed the importance of examining the whole corpus of writings; exposing the thinking in each of the works; and addressing the historical, intellectual, biographical and social contexts. Lemon (1995) affirms the need for such an approach: The more the historian of thought knows of a thinker’s character, education, upbringing, and social status; of his political, moral, and religious preferences; of the history of his times, the nature of his society, the great contemporary writers and movements – the more he knows of all these factors the better. (p. 194)
Following the example of the model texts, this study examined all of Knowles’ principal works. It attempted to identify the significant thinking and drew on secondary sources to help supply contextual and background information relating 28 to the social, historical, biographical and especially intellectual influences. Much of this contextual information is supplied in Appendices A, F and G. Evidence of Knowles’ new thinking had to be identified and located in each work prior to the imposition of the history of thought lens. All of Knowles’ works contained new content, but it was the development of new ideas, rather than new content, that was important. New content, for example, often included new appendices (not necessarily written by Knowles), new expressions of old ideas, reshaping of old material, updated bibliographies, updated research entries and practical and administrative advice. There was much advice and commentary in Knowles’ writings concerning organisational history, program planning and the practical application of ideas. Knowles’ books, generally, were both theoretical expositions and manuals of practice. The focus for the research was on the theoretical perspectives and an important step in the methodology, therefore, was the identifying and “sifting-out” of that theoretical content from the wealth of other material.
Method Crotty’s (1998) final design element is that of method. This relates to the techniques or procedures used to gather and analyse data. The following section discusses method in relation to the books selected for study and hermeneutics as the chief analytical tool. Books selected for study. Over the 46-year period from 1950 to 1995, 25 books and monographs were authored, co-authored, edited, reissued or revised by Knowles. Those works were chosen as the primary data for the study. They are listed in Table 1 and are referred to in this thesis as the major or principal writings. Together they constitute the body of theoretical and practical writing in which Knowles described and explicated his thinking. Knowles’ final work was Designs for Adult Learning, published in 1995. A fifth edition of The Adult Learner was revised with the help of Holton and Swanson and published in 1998, a year after his death. There has been disagreement about the number of books written by Knowles. This matter is discussed in Appendix C. The disagreement, however, is not an issue for the research project because all 25 titles published between 1950 and 1995 were examined in detail along with the fifth edition of The Adult Learner. 29
Table 1 The Principal Works of Malcolm Knowles
1950 1 (1) Informal Adult Education 1954 2 (2) Teaching Adults in Informal Courses 1955 3 (3) How to Develop Better Leaders 1959 4 (4) Introduction to Group Dynamics 1960 5 (5) Handbook of Adult Education in the United States 1961 6 (6) The Leader Looks at Self-Development (monograph) 1962 7 (7) The Adult Education Movement in the United States 1965 8 (8) The Leader Looks at the Learning Climate (monograph) 1966 9 (9) The Professional Nurse Looks at the Learning Climate (monograph) 1966 10 (10) The Professional Nurse Looks at Self-Development (monograph) 1969 11 (11) Higher Adult Education in the United States 1970 12 (12) The Modern Practice of Adult Education 1972 13 Introduction to Group Dynamics (Rev. ed.) 1973 14 (13) The Adult Learner 1975 15 (14) Self-Directed Learning 1977 16 A History of the Adult Education Movement in the United States (Rev. ed.) 1978 17 The Adult Learner (2nd ed.) 1980 18 The Modern Practice of Adult Education (Rev. ed.) 1984 19 The Adult Learner (3rd ed.) 1984 20 (15) Andragogy in Action 1986 21 (16) Using Learning Contracts 1989 22 (17) The Making of an Adult Educator 1990 23 The Adult Learner (4th ed.) 1994 24 A History of the Adult Education Movement in the United States (reissue) 1995 25 (18) Designs for Adult Learning 1998 26 The Adult Learner (5th ed.)
Note. The book count for first-edition works is shown in parentheses. 30
The decision to restrict the study to the principal writings was based on the desire to confine the research within manageable proportions and because it was the books and monographs that contained the developed arguments. In relation to this, Knowles stated clearly, “the first full-blown presentation of my andragogical model appeared in my Modern Practice of Adult Education: Andragogy Versus Pedagogy” (1989, p. 80). The point here is that although Knowles’ first published use of the term “andragogy” occurred in a journal article in 1968, it wasn’t until he wrote his book on the topic 2 years later, that he was able to argue his case in any developed or compelling sense. Hermeneutics. There is no single set of methods to which the historian of thought is tied but King (1983) advocates the use of hermeneutics. There are a number of different understandings and definitions of this term. Polkinghorne (1983) supplies the following (and uses the upper case “U” to refer to understanding in depth): Hermeneutics is the science of correct Understanding or interpretation. It provides an exposition of rules to guide successful Understanding so that the interpretive effort is more efficient and so that the validity of its results is safeguarded from the intrusion of arbitrariness and subjective misunderstanding. (p. 218)
Following King (1983), this thesis has employed hermeneutics as its chief analytical method. In Hermeneutics: The Handwritten Manuscripts (trans. 1977), Schleiermacher formulated two sets of canons: 44 grammatical and seven technical canons. Of these canons, two proved to be especially useful for the research: 1. The meaning of each word of a passage must be determined by the context in which it occurs (from the grammatical canons); and 2. The whole of the author’s works should be considered in terms of the parts, and the parts in terms of the whole (from the technical canons).
The second canon is generally referred to as the “hermeneutic circle”. According to Polkinghorne (1983), this may be more properly expressed as the “hermeneutic spiral” (p. 227) because each movement from part to whole increases the depth of understanding. The two canons provided the greatest help as analytical tools. In order to gain a correct understanding of the text, the parts needed to be viewed in relation to the whole (and vice-versa), and account taken of the immediate context. 31
Hermeneutics operated throughout the study as a behind-the-scenes process. The sorts of questions asked included:
Did Knowles make exactly this point in an earlier writing?
Was the wording of his ideas expressed in slightly different language?
Was the meaning essentially the same? The hermeneutical method involved a constant comparing of the parts with the whole – the whole becoming larger with the addition of each new book or edition – and a scrutinising of the context to determine whether later uses of a term conformed to earlier ones. Words, expressions and passages needed to be understood in relation to their context within the chapter and book and in relation to earlier writings. An example of the application of the canons in accounting for a particular stance was Knowles’ (1978) stated reason for tracing the history of the term “andragogy”. An examination of the context in which the action occurred showed that another reason may have been likely. Knowles’ stated explanation was the widespread adoption of the term in the literature of adult education. It is significant, however, that he placed his comments within the context of andragogy’s potential role as a unifying theory of adult learning. The tracing of the term “andragogy” appeared to have had more to do with its value as an integrative concept than its widespread use. An additional example was Knowles’ (1984b) reference to andragogy and pedagogy as “parallel” models. The meaning of the language was not immediately apparent. It was possible to interpret and explain the concept by comparing the reference with the terminology of 1980 and with other comments from 1984. That comparison made it clear that andragogy and pedagogy were used in parallel fashion when, for instance, an educator facilitating group learning employed the two models side by side. A complication was the fact that Knowles had also described the models as occupying positions on a continuum. The difficulty for the interpreter was understanding how the models could be both parallel and located on a continuum. Hermeneutical analysis has the potential to be an infinite process. Kincheloe and McLaren (2000) argue that no final interpretation need be sought because the activity of the hermeneutic circle proceeds without any need for closure. Patton (1990), however, argues that in practice the process ends when a sensible meaning and a coherent understanding free of inner contradictions has been reached. As Scott (1990) puts it, “the ultimate interpretation of the meaning of the text will derive from 32 the researcher’s judgement that this interpretation ‘makes sense’, given his or her understanding of the author’s situation and intentions” (p. 31). In this study, Patton’s (1990) and Scott’s (1990) stance has been adopted. The thesis presents a final understanding of Knowles’ thought which is based on an analysis and comparison of the 25 principal works and which takes into account Knowles’ “situation and intentions”. This presentation is accompanied by the belief that it “makes sense” and is coherent and free of inner contradictions.
Conclusion The major objective of the study was to analyse historically the development of thinking in the principal writings of Malcolm Knowles. The study employed the four design elements from Crotty’s (1998) research process schema as follows: 1. the constructionist epistemology provided the overarching philosophical rationale for the study; 2. the history of thought lens permitted a precise interpretative focus; 3. the literature research design allowed the corpus of writings to be the subject of the focus; and 4. the hermeneutical method provided tools to interpret the text.
This pattern is depicted in Figure 1. The text of each publication was treated as evidence of what Knowles was thinking. There was, however, a possibility of subjective interpretations being imposed on the text. Member checking was ruled out. The major safeguard against researcher bias and subjectivism was the broad application of Hirsch’s (1967) validation principle that the author and his context be so well known that sufficient objective evidence would be available to verify the interpretations that were made. The sequential study of the books helped protect against anachronisms and enabled a gradual disclosure of Knowles’ thought. This was an intentional element of the research design. The history of Knowles’ thinking was meant to unfold chapter by chapter as each new book or edition was examined. The aim of that unfolding was to produce an overall historical narrative setting out the development of Knowles’ thought over the 46-year period from 1950 to 1995. The completed narrative is made up of many smaller narrative-identities accounting for each book or group of books. 33
It forms the bulk of the thesis and constitutes a history of the development of Knowles’ thinking.
Figure 1. Major design elements of the research project.
Constructionist Philosophical epistemology rationale
History of thought Precise interpretative lens focus
Literature research The corpus of writings design
Hermeneutical The text method
The research methodology is not exact. The design is qualitative and the theoretical perspective interpretivist. Nevertheless, a researcher attempting a similar study using the same sources, viewing the data through a history of thought lens, employing a literature research design, and applying hermeneutical methods, could reasonably be expected to produce a similar history. The use of possible alternative methodologies and methods is discussed in Appendix D.
MAJOR THEMES AND SUBDIVISIONS WITHIN THE THESIS
This thesis has aimed to show the development of Knowles’ thinking over the course of his writing career. It has examined the 25 works authored, co-authored, 34 edited, reissued and revised by him from 1950 to 1995, and has grouped them under three major categories: the foundational works, the classic texts, and the later writings. These categories are further subdivided according to the phases of Knowles’ thought.
The Phases of Knowles’ Thought The study began with a scanning of Knowles’ major writings and a provisional separating of books into possible developmental sequences. The initial groupings were confirmed as the research progressed. By the end of the study it became clear that Knowles’ thinking had passed through six identifiable phases as indicated below: 1. the initial thinking (1950-1959); 2. the emerging framework (1960-1969); 3. the developed framework (1970); 4. the framework expanded (1973-1975); 5. the framework completed (1977-1984); and 6. final thinking (1986-1995).
Table 2 shows how the phases are related to the principal writings. The table indicates a roughly symmetrical pattern to the overall development of thought. The exposition and consolidation of Knowles’ theoretical framework occurred during the 6-year period from 1970 to 1975 when the classic texts were written. That period was preceded by 20 years from 1950 to 1969 during which Knowles wrote his foundational works and laid the groundwork for his developed theoretical framework. The period following that of the classic texts was one in which Knowles adjusted the framework, made connections and added a number of personal reflections. This occurred during the 19-year block from 1977 to 1995. Simply put, there were 20 years of initial development, 6 years of consolidation and 19 years of adjustment and reflection. This broadly symmetrical pattern of thought and its component phases were not apparent at the beginning of the study. It was only during the course of the research that it became possible to identify the overall pattern, the potential developmental labels and the books that might be included within each phase. The thesis allocates one chapter to each of the phases. 35
Table 2 The Grouping of Knowles’ Principal Writings According to the Phases of his Thought
THE FOUNDATIONAL WORKS Phase 1: The Initial Thinking 1950 Informal Adult Education 1954 Teaching Adults in Informal Courses 1955 How to Develop Better Leaders 1959 Introduction to Group Dynamics Phase 2: The Emerging Framework 1960 Handbook of Adult Education in the United States 1961 The Leader Looks at Self-Development (monograph) 1962 The Adult Education Movement in the United States 1965 The Leader Looks at the Learning Climate (monograph) 1966 The Professional Nurse Looks at the Learning Climate (monograph) 1966 The Professional Nurse Looks at Self-Development (monograph) 1969 Higher Adult Education in the United States
THE CLASSIC TEXTS Phase 3: The Developed Framework 1970 The Modern Practice of Adult Education Phase 4: The Framework Expanded 1972 Introduction to Group Dynamics (Rev. ed.) 1973 The Adult Learner 1975 Self-Directed Learning
THE LATER WRITINGS Phase 5: The Framework Completed 1977 A History of the Adult Education Movement in the United States (Rev. ed.) 1978 The Adult Learner (2nd ed.) 1980 The Modern Practice of Adult Education (Rev. ed.) 1984 The Adult Learner (3rd ed.) 1984 Andragogy in Action Phase 6: Final Thinking 1986 Using Learning Contracts 1989 The Making of an Adult Educator 1990 The Adult Learner (4th ed.) 1994 A History of the Adult Education Movement in the United States (reissue) 1995 Designs for Adult Learning 36
Major Themes Knowles focused on many themes in the course of his writing. One of the most important to him, personally, was human relationships. In his own relating to others, he strove to maintain a high level of personal authenticity. He eschewed the acting out of formal roles and readily acknowledged learning from others. As will be indicated in the chapters that follow, he tried to be open and honest and many times expressed the view that his ideas should be subjected to the test of experience. He offered his thoughts as provisional ideas to be explored and modified as necessary. Knowles applied to himself the advice he gave to members of groups: that they should not regard their contributions as personal property to be defended against attack or change. Knowles fully accepted the reality of change. Survival, the need to adapt and the avoiding of obsolescence were recurring themes in his thought. In 1962 he stated that lifelong learning was the “only insurance” (p. 280) against human obsolescence. Andragogy became the dominating theme – but one that gave rise to a model which sought to carry humans past the danger into a future of infinite possibilities. The major building blocks for Knowles’ model were: group dynamics, leadership, andragogy, self-directed learning, contract learning and lifelong learning. All were essential elements of the model but andragogy constituted the “glue” that held them together. Appendix E shows the sequence of new thinking as it occurred in each of Knowles’ 25 works published between 1950 and 1995. In drawing up the content for the appendix, an attempt was made to list the significant newly-developed themes or motifs in each work and to exclude those topics that received only passing mention or incidental treatment. Appendix E indicates that:
group dynamics and leadership development were major motifs in the early writings;
Knowles’ specifically learner-focused thinking first became apparent in 1961;
Knowles’ listing of the unique characteristics of adults as learners began in 1962;
lifelong learning became a recurring motif from 1962 on;
the four andragogical assumptions first appeared in print in 1965; 37
“andragogy” was first used in a principal writing in 1969;
the first clear presentation of Knowles’ developed conceptual framework occurred in 1970;
in 1970 Knowles viewed andragogy as a comprehensive theory of adult learning;
the behaviourist, cognitive and adult-educational learning theory models were first described in 1973 as occupying points on a continuum;
in 1973 andragogy had come to be considered by Knowles as a unified model for human resource development (HRD);
self-directed learning became a major motif from 1975 on;
contract learning also became a recurring motif from 1975 on;
in 1978 Knowles saw the possibility of andragogy being applied to lifelong learning, thereby constituting a unifying theme for all of education;
Knowles’ model for creating lifelong learning resource systems first appeared in a principal work in 1984;
in that model the andragogical phases were adapted to form the lifelong learning process; and
Knowles first wrote of andragogy being a “general theory about learning” in 1989.
Leadership, group dynamics, andragogy, self-directed learning, contract learning and lifelong learning feature prominently in this appendix. Although Knowles did not write a great deal about group dynamics after the 1960s, he continued to stress the importance of collaborative learning. The introduction of self- directed learning into his theorising in 1975 did not negate his earlier thinking. Group dynamics remained important because, ideally, learning would not occur in isolation. Self-directed learning was always seen by Knowles as being enhanced by others; the learner would draw proactively on peers, educators, consultants and resource persons as needed. In general, learning occurred in conjunction with others.
Outline of Chapters 3 to 8 There are nine chapters altogether in the thesis: two dealing with the research project, six corresponding to the phases, and one concluding chapter. The six phases 38 correlate directly with Chapters 3 to 8. These six chapters trace the evolution of Knowles’ thought in the context of the books in which they were written. The books provide an objective historical grounding for the ideas that contributed to the framework and allow for a gradual unfolding of Knowles’ thinking. Sections within the chapters are subdivided according to individual books or groupings of books. The purpose of the chapters is to expose Knowles’ thinking and to show the step by step developmental sequences that led to the construction of his conceptual framework. Chapter 3. The third and fourth chapters together deal with Knowles’ foundational works. Chapter 3 focuses on the initial thinking from 1950 to 1959. This constitutes the first phase in the development of his conceptual framework. The thinking at this time formed the groundwork for the later theorising. The chapter includes a reference to Appendix F on the background to the writing of Informal Adult Education (1950) and gives an account of the writings up to 1959. Group dynamics and leadership were the two major motifs. Chapter 4. Chapter 4 gives details of Knowles’ emerging theoretical framework. During the period 1960 to 1969, his thinking began to take on a distinctively adult-focused quality. The central themes became leadership, lifelong learning and andragogy. Knowles had developed a clear idea of what constituted the major adult-child learning differences. Andragogy had become a part of his vocabulary; a theoretical base was being formed; and implications (which would later become the technology of andragogy) were being explored. The chapter describes and accounts for the thinking during this second phase of writing. Chapter 5. A discussion of the classic texts occurs in the fifth and sixth chapters. The first of these texts is The Modern Practice of Adult Education (1970), which takes up the whole of Chapter 5. This work was the culmination of Knowles’ thinking up to 1970. Andragogy as a comprehensive theory of adult learning was the overarching and dominant theme for the book. The chapter discusses the major elements of Knowles’ andragogical framework showing the relationship between the theoretical base, the technology that flowed from the theory and special contexts for use of the technology. The chapter highlights the significance of the 1970 work in providing the first clear articulation of Knowles’ developed framework. A mark of Knowles’ thinking at this time was his representation of andragogy and pedagogy as opposed and conflicting systems. This was the third phase in the development of his conceptual framework. 39
Chapter 6. Significant expansions were made to the framework during the fourth phase of writing from 1972 to 1975. Chapter 6 continues the discussion of the classic texts, focusing on The Adult Learner (1973) and Self-Directed Learning (1975). A third book, Introduction to Group Dynamics (Rev. ed., 1972) – not one of the classic texts – is included in the chapter because it was published during the expansion phase of Knowles’ writing. Andragogy, contract learning and self-directed learning were the key motifs. The chapter indicates that Knowles had ceased to view andragogy and pedagogy as antithetical and mutually exclusive; they had become points on a continuum. Knowles’ new focus was on andragogy as a unified model for HRD. Chapter 7. Knowles’ later writings are discussed in Chapters 7 and 8. Chapter 7 deals with the period 1977 to 1984 during which Knowles’ conceptual framework was essentially completed. Andragogy and lifelong learning were the chief themes. During this fifth (completion) phase, the two motifs were brought together to form Knowles’ model for the development of self-directed lifelong learners. The chapter highlights the importance of Knowles’ thinking on lifelong learning as the major new ingredient allowing andragogy to function as a unifying theme for all of education. Chapter 8. The later writings continued into the period 1986 to 1995. This was the sixth and final phase in the development of Knowles’ conceptual framework. Chapter 8 shows that little new thinking occurred at this time. Most of what was written constituted minor additions and revisions to the essentially-completed framework. The dominant themes were andragogy and contract learning. Of particular significance was Knowles’ assertion that andragogy had become a “general theory about learning” (1989, p. 113). Knowles did not desist from holding up andragogy as an inclusive, cohesive and flexible model capable of moving with educators and learners into the future. 40
THE FOUNDATIONAL WORKS
CHAPTER 3 THE INITIAL THINKING (PHASE 1)
Phase 1 covers the period 1950 to 1959. During this period four books were written: Informal Adult Education (1950); Teaching Adults in Informal Courses (1954); How to Develop Better Leaders (1955); and Introduction to Group Dynamics (1959). Ideas formulated in these works constituted the building blocks that led to the development of Knowles’ 1970 andragogical framework. Treatment of the books is divided into two parts. The first focuses on Informal Adult Education and the second on the writings from 1954 to 1959.
INFORMAL ADULT EDUCATION: A GUIDE FOR ADMINISTRATORS, LEADERS, AND
TEACHERS (1950)
In his 1950 work Knowles brought the overarching theme of informal adult education to bear on his thinking. This was the first major step in the development of what would later become a coherent theoretical framework. Knowles came to the task of writing Informal Adult Education (1950) with a number of developing convictions and in the context of the broader evolution of thought that was occurring in the educational world of North America. The field of adult education was not unanimously defined but there was an active intellectual climate with new and diverse ideas circulating. This background is discussed in Appendix F. The present section describes and accounts for the ideas expressed in Informal Adult Education (1950). It follows the methodological steps and principles relating to literature research as set out in Chapter 2. The process is guided by the questions typically asked of historians of thought as described in that chapter. The two major questions are: 1. What is going on in the work? (or what is the author saying and doing in writing the work?) and 2. Why is this happening? (or what are the aims and purposes?)
In approaching the task of writing Informal Adult Education, Knowles brought with him a number of important experiences and ideas. During the Great 41
Depression, he had experienced for himself the value of motivation and self- actualisation (Knowles, 1989); he had come to see that in employment situations, experience might be more important than academic qualifications; he had developed a strong sense of personal humility and of openness to others (Jarvis, 1998, 2001); and he was convinced that people mattered more than things. Knowles had lived through two world wars. He was conscious of the damage caused to human relationships and of the fragility of democracy. He saw an urgent need to restore co- operative living, and in this education would play a major role (Knowles, 1950).
Two Major Challenges Knowles faced two challenges. The first was from Lindeman (1926b) who had made a distinction between a situation-approach to learning and a subject- approach to learning. Lindeman argued that subjects should serve situations, rather than situations being made to fit subjects. His concern was that the subject focus was becoming far too narrow and was producing teachers who were unable to meet the real-life needs of adult learners: “It is perhaps true that no single group in modern life stands in greater need of adult education than experts, specialists: those who continue to know ‘more and more about less and less’” (p. 123). Lindeman called for a new kind of textbook and new kinds of teachers. The second challenge occurred with Overstreet’s (1949) call for an education that would bring adults out of their routine and half-formed existence into a truly maturing life. It was Overstreet’s contention that no such education currently existed but he pointed the way and supplied the concept which informed so much of what Knowles wrote in this first work. Overstreet defined maturity in the following terms: A mature person is not one who has come to a certain level of achievement and stopped there. He is rather a maturing person – one whose linkages with life are constantly becoming stronger and richer because his attitudes are such as to encourage their growth rather than their stoppage. A mature person, for example, is not one who knows a large number of facts. Rather, he is one whose mental habits are such that he grows in knowledge and in the wise use of it. (p. 43)
Knowles did not directly define maturity. He saw it as being related to both learning and psychological competence and drew on Overstreet in support of his thinking. For Knowles, the goal of maturity was paramount: Informal Adult Education could easily have been subtitled, Growth towards Maturity. 42
Acknowledgement of Sources Much of Knowles’ thinking in Informal Adult Education relied on ideas gained from Lindeman and Overstreet. There were other sources of information and competing ideas and many of these were circulating as part of the contemporary wisdom of adult educators. It was not always easy to identify sources. Knowles (1950) stated: “So much of the information has become a part of the writer’s own mind that it would be impossible to trace it to its original sources” (p. ix). Knowles did, however, acknowledge the overall importance and influence of Houle as well as the specific influences of Arthur Dunham (principles of organisation and management); Carl Rogers and Arthur Shedlin (dynamics of human personality); and Lewin, Bradford, Luke and Thelen (group leadership and group dynamics).
Knowles’ Aims in Writing Informal Adult Education In writing Informal Adult Education, Knowles (1950) intended “to make a beginning in formulating good principles and good practices” (p. viii). He considered that the work of adult educators up to 1950 had necessarily been concerned with mapping the course of the field and setting goals. He saw his own work as moving beyond that point towards the new goal of determining the most appropriate principles and techniques for the education of adults. Adult education was, for Knowles, a pioneer profession. It was still “in its beginning” (p. 29) but the era was one of excitement and adventure. “Every teacher can, if he wants, strike out on new paths – with very good chances that he may strike gold” (p. 29). Knowles intended his work to be systematic. He aimed to bring together some of the experiences and techniques that seemed to be successful and to present them in a practical and methodical way. He did not, however, consider that they should be seen as a blueprint to be slavishly followed. The contents of Informal Adult Education would include step by step descriptions of what were successful outcomes for Knowles, but these were to be submitted “to the test of experience” by others (1950, p. viii). It was Knowles’ opinion that little practical help had so far been given to adult educators in the way of starting programs, building sound organisations, choosing methods, attracting participants and measuring results. He sought to meet these needs by dividing the work’s contents into four major parts. The first dealt 43 broadly with the psychology of adulthood; the second with methods and programs; the third with administration; and the fourth with evaluation. It was in the first two parts that Knowles’ theoretical stances were most clearly seen. Informal Adult Education (1950) was a foundational work. In it, Knowles mapped out his thinking and laid the groundwork for his later thought. The major focus of the work was on informal courses. Knowles distinguished these courses from both formal programs and recreational activities: When a group of people come together in a number of meetings for the purpose of learning something simply because they want to know about it, they are participating in what we would call an informal course. It would not be an informal course if the purpose was to grant credits towards a diploma or a degree; it would then be an academic course. At the other extreme, it would not be an informal course if it had no educational activity at all; it would then be a recreational activity. (p. 84)
Grades of achievement and assessment measures that compared student against student ran counter to the spirit of informal adult education. Knowles (1950) did not favour their use. Individual student progress mattered but Knowles considered the competition associated with the awarding of academic grades not to be appropriate. The student’s own awareness of having learned something useful was important. At the conclusion of a course, “a simple attendance certificate, stating specifically the nature of the achievement, will often fill a real need” (p. 113). Lindeman (1926b) had stressed the importance of organising learning around life-tasks and problems. This learning would be related to situation and context rather than to subject knowledge. Knowles built on Lindeman’s thought in his 1950 work: informal adult education was functional; it was concerned with solving real-life problems and not merely with passing on abstract knowledge. Knowles’ aim in writing Informal Adult Education, therefore, was to describe the techniques and principles for providing adults with immediately useful types of knowledge. In doing so, he used the notion of informality as a unifying principle. Looking back on his earlier work, Knowles would state that he had been trying to identify the essence of adult education – that which made it different from traditional education. He observed that “informal” was an “organizing theme” (1989 p. 76) and a step towards developing “a comprehensive, coherent, integrated theory” (1984b, p. 4). His efforts at that time were not unappreciated. Shangold (1950) described Informal Adult Education as “a landmark in the development of adult 44 education practice” and “the first comprehensive manual of basic concepts, skills and tools for adult education workers” (p. 36). In the foreword to Informal Adult Education, Overstreet (1950) declared, “It is good to have informal adult education thus clearly put on the map” (p. vi). Knowles’ initial theorising revolved around seven themes: the urgency of the adult-educational task; the benefits of adult education; democracy and the importance of a philosophy of education; the individual’s need for growth; the teaching-learning process; group discussion; and group leadership.
The Urgency of the Adult-Educational Task Knowles chose to produce a comprehensive work; he wrote in the aftermath of World War II and saw an urgent need to rebuild civilisation (Knowles, 1950). Johnson had declared in 1946, “the responsibility for achieving world peace rests upon us, the people. We cannot carry this responsibility properly unless we educate ourselves” (p. 226). In Informal Adult Education, Knowles quoted approvingly from Johnson and made the additional point that civilisation was a race between education and catastrophe. Knowles was convinced that the major problems of the age focused on human relations. Building on Johnson’s concern for democracy and education, he stated, “Solutions can be found only in education…. Every adult group, of whatever nature, must become a laboratory of democracy, a place where people may have the experience of learning to live co-operatively” (p. 9). So urgently did Knowles view the situation that he did not consider society could wait for the next generation to solve its problems. He wrote: Time is running out too fast. Our fate rests with the intelligence, skill, and good will of those who are now the citizen-rulers. The instrument by which their abilities as citizen-rulers can be improved is adult education. This is our problem. This is our challenge. (1950, p. 10)
A major consequence of this belief for Knowles was that adult education needed actively to be promoted. He spoke of adult education as “something of a crusade” (p. 198). The cause was both worthy and urgent and Knowles felt justified in incorporating into his text details of how properly to conduct a promotional campaign. For Knowles, the methods of the advertising world provided a necessary tool for educators. Adult education had to be “sold” and people had to “catch fire about its possibilities” (p. 198). 45
The Benefits of Adult Education The gains from adult education would be significant. Following Lindeman (1926b), who saw adult education as bringing meaning to the categories of experience, Knowles (1950) identified two crisis periods in the lives of people that required special help from adult education. The first was the time between school and marriage. Knowles considered school life to be highly organised and protective. The adult world, by contrast, was potentially harsh and individualistic. The second crisis period was that of old age. Both situations required that the adult make sense of the experiences. An implication for adult educators was important: “One of greatest needs of our day is a revitalizing of the means of helping people to think through the ultimate meaning of life and to find themselves in terms of that meaning” (Knowles, 1950, p. 21). The personal goals were important for Knowles. He was conscious of the challenge of the times. The damage done to human relations had still to be repaired and co-operative living restored. The search for meaning extended beyond the two crisis periods to the whole of life. Knowles described seven outcomes that would apply to the adult learner. The outcomes were not subject-specific but were related to the overarching aim of bringing meaning to the categories of experience. For Knowles (1950, pp. 9-10), adult education would help adults to: 1. acquire a mature understanding of themselves; 2. develop an attitude of acceptance, love and respect towards others; 3. develop a dynamic attitude towards life and an acceptance of the fact of change; 4. learn to react to causes not to symptoms; 5. acquire the skills to achieve the potential of their personalities; 6. understand the essential values in the heritage of the tradition and knowledge that bind people together; 7. understand society and become skilful in directing social change. The outcomes clearly benefited both learner and society. They reflected Knowles’ view of the times as moving “from crisis to crisis” (1977, p. 76) and hinted at the pre-requisite need for a democratic context to the learning process.
46
Democracy and the Importance of a Philosophy of Education Knowles (1950) was adamant that the organisational context for learning be democratic. He maintained that democratic organisation should be characterised by freedom, teamwork and voluntary acceptance of responsibility. For Knowles, a democratic philosophy would put “people ahead of things” (p. 169). He had arrived at this position in his early student days in the 1930s (Knowles, 1989) and carried the conviction into the writing of his first book. For Knowles, a democratic philosophy would be marked by an acceptance of the worth of each individual and of the ability of groups to make wise decisions. In practical terms, it would mean that programs would be planned around the real needs and interests of participants and that maximum participation would be a hallmark of the group. Knowles’ thinking, however, was not restricted to the learning context. The broader implications meant that within a democratic society individuals ought to take responsibility for their own growth – but only in so far as the learning needs were “compatible with the objectives of our society” (1950, p. 11). Knowles did not define society’s objectives. His stance on the importance of democracy, however, was clear and any learning goal that worked against the democratic process would have been problematical for him. Knowles (1950) did not directly define his own philosophical stance but he declared: Good teaching requires that the teacher and the institution have a philosophy of education. By this is meant a clear idea of what is ultimately valuable, as distinguished from the immediate objectives of individual courses. Without a philosophy of education, how can we determine what are “desirable” changes in human behavior? How can we be sure that our immediate objectives are consistent one with another and are pointed in the same direction? (p. 30)
The major planks of Knowles’ educational philosophy would emerge from his treatment of the needs of the individual vis-à-vis those of society. Knowles (1950) recognised six universal human needs: physical, growth, security, new experience, affection and recognition. He saw these as being major sources of motivation for learning. He accepted that individuals had varying patterns of needs, that these were constantly changing and that the wise educator would help adults become aware of their needs. Adult education had, also, to adapt to the changing needs and interests of adults. 47
Significantly, Knowles (1950) argued that adult educators had a responsibility to both society and the individual “to influence the development of interests in desirable directions” (p. 18). Although Knowles did not say what the directions should be, he had set out seven outcomes that would flow from adult learning. These outcomes suggested that the desirable directions should be related to the creation of a maturing, tolerant, just and peaceful society. Knowles defined adult education as “the instrument by which we can produce mature people and, through them, a mature society” (p. 8). His awareness of the world’s crisis situations led him to look to adult education as the means for “rebuilding our civilisation” (p. 8). One of the outcomes stated, “Adults should acquire the skills necessary to achieve the potentials of their personalities” (Knowles, 1950, pp. 9-10). It was clear that the education of the individual for the sake of the individual was an important part of Knowles’ educational philosophy. He was adamant that one of the goals of education was to give to each person the skills necessary to make full use of the individual’s capacities. The twin aims of helping people to be effective members of society and of helping them to develop personally in intellect, character, appreciation and physical well-being were held together in Knowles’ philosophy. They showed clearly that, for him, they were of ultimate importance in the educational process. The notion of education being an instrument for both social and individual development did not necessarily imply conflict. Knowles acknowledged that individual learning needs had to be compatible with the objectives of society. But this belief was balanced by the view of Johnson which was quoted approvingly by Knowles: “We Americans are committed to democracy, and in a democracy the people cannot leave it to the rulers to decide on political issues” (Johnson, 1946, p. 226). There is no question of Knowles’ subscribing to a belief that individuals were not part of the decision- making processes within society. He maintained that through democracy, a broad consensus would be achieved in relation to the educational goals of “citizen-rulers” (Knowles, 1950, p. 10). The collective judgment of the people would itself ensure the continuing representation of individual learning needs.
The Individual’s Need for Growth It was the need for growth, rather than any of the other universal needs, that Knowles saw as having the greatest impact on adult learning. As indicated earlier, 48
Overstreet had stated in 1949, “A mature person … is not one who knows a large number of facts. Rather, he is one whose mental habits are such that he grows in knowledge and the wise use of it” (p. 43). Knowles’ reliance on the concept of maturity is directly linked to Overstreet’s influence. Knowles took up the theme of maturity and stressed its ongoing importance as a learning motivator: The urge for growth is an especially strong motivation for learning, since education is, by definition, growth – in knowledge, skills, attitudes, understandings, and appreciation. The mere act of learning something new gives one a sense of growth…. Even in old age there is apparently a need to keep growing. (1950, p. 13) Knowles accepted fully the notion that a mature person was one whose learning had not ceased. The purpose of informal adult education was not the creation of a finished product but the provision of tools for continued self-study. Following Overstreet (1949), Knowles (1950) argued that the complexities of the world did not allow all adults to reach psychological maturity. He contended that although adults wanted to learn, many would not admit to wishing to do so. From Lindeman (1926b), Knowles had determined that the primary growth aim of many adults was to improve themselves and their situation. He recognised the problem of adults not admitting a desire to learn and attributed much of this to negative associations with childhood learning. Knowles (1950) was clear in his belief that adults were able to continue to learn. He challenged the notion that by early adulthood, people had learned all they needed to know for effective adult living: “The widespread myth that adults lose the ability to learn as they leave the twenties has been definitely exploded by modern psychological research” (p. 17). Knowles did not, in 1950, acknowledge the work of Thorndike, Bregman, Tilton and Woodyard but it was those authors who, in 1928, presented evidence to support the position he was advocating. Knowles would cite their work directly in 1965 in The Leader Looks at Self-Development. Knowles’ position, as advanced in Informal Adult Education (1950), was that older adults retained their capacity to learn but that they learned more slowly. He considered that the reduced rate of learning may have been due simply to lack of practice. He argued that people had the ability to learn throughout life and that lifelong learners seemed to lose little of their intellectual efficiency. If adult educators were able to provide continuous learning practice, they would help adults retain their intellectual power and contribute to the development of lifelong maturity. 49
The Teaching-Learning Process Having made the point that adults retained the ability to learn, and based on the thinking of Dewey (1916), Knowles (1950) proceeded to set out three essential requirements for learning: there had to be a desire to learn (learning had to be purposive); effort had to be applied (learning could not be passive); and satisfaction needed to be experienced (learning should have its reward). Despite the challenge of the times and the urgency of the need to learn, Knowles held that learning “should be pleasant, meaningful, based on real experience and satisfying” (p. 22). Knowles (1950) understood learning as an internal process essential to a person’s development. For him, teaching was a process of guided interaction involving the teacher, student and materials – the purpose of which was to produce changes in the learner. It was the learner’s needs that were important. Pressey and Robinson (1944) had described learning “as a process by which an individual makes some new skill or idea his own because in some way and to some degree it fills a need he feels” (p. 466). Knowles accepted this thinking. He wrote that learning “takes place when the individual feels a need, puts forth effort to meet the need, and experiences satisfaction with the results of his effort” (p. 31). This comment reflected his belief that learning should be purposive, active and rewarding. Lindeman (1926b) had made subject knowledge subservient to the learning situation. Knowles (1950) held that the adult educator “must not minimize the importance of the subject matter” (p. 34). He recognised the significance of subject content but, for him, it could not be the major goal of the learning process – although it remained an important means to that end. Knowles (1950) argued that the learner had natural potentialities which would be developed through the teacher’s guidance. He declared that teaching was “mostly a matter of co-operation with nature”(p. 31); it would begin with the student’s interests and would continue to focus on the student. A degree of sensitivity would be required from the teacher: “Teaching is both a science and an art” (p. 29): it has a body of knowledge derived from research and experience but the application of that knowledge to specific learning situations would require a conscious awareness of individual contexts and needs. Teaching was, for Knowles, “less a creative art than a co-operative art” (p. 29). 50
In Informal Adult Education Knowles showed clearly his concern for the things that made learning interesting. He contended that new learning should build on existing interests; that opposing points of view were more interesting than just one perspective; that well-known personalities were interesting in themselves (and not just for their subject matter); and that problems were more interesting than topics. Based on his own experience and that of other adult educators, Knowles (1950, pp. 32-35) developed a set of 13 principles of adult teaching: 1. the students should understand and subscribe to the purposes of the course; 2. the students should want to learn; 3. there should be a friendly and informal climate in the learning situation; 4. physical conditions should be favourable; 5. the students should participate and should accept some responsibility for the learning process; 6. learning should be related to and should make use of the students’ experience; 7. the teacher should know his subject matter; 8. the teacher should be enthusiastic about his subject and about teaching it; 9. students should be able to learn at their own pace; 10. the student should be aware of his own progress and should have a sense of accomplishment; 11. the methods of instruction should be varied; 12. the teacher should have a sense of growth; 13. the teacher should have a flexible plan for the course.
In explaining his principles, Knowles (1950) stressed the importance of participation and co-operation and, especially, the necessity of students sharing in the setting of course goals. Participation for Knowles meant that students would exercise independence in regulating their own learning: “The group that is largely self- managing will produce better learning experiences than the group that is dependent upon the teacher” (p. 33). In order for these outcomes to occur, it would be necessary that the instructor not take on the role of school teacher but have a self-perception of being leader and learner and be able to contribute to the sort of “social situation that is most conducive to adult learning” (p. 33). 51
The urgent need to address the challenges of the times, for people to think through questions of ultimate meaning and to find themselves in terms of that meaning, led Knowles to conclude that the learner had to become completely immersed in the learning process. He referred to the immersion as “ego- involvement” (1950, p. 36). This was the ultimate goal of educational methodology and the 13 principles.
Group Discussion Knowles (1950) accepted that the most universal method of learning was undirected real experience – a process of trial and error. The chief disadvantage of the method was not so much the process as the minimising of opportunities for interacting with others seeking the same goal. The solution, for Knowles, lay in group discussion. He saw this as becoming the basic method of adult education and one which achieved a high degree of interaction between students and teacher. Knowles regarded discussion as “a co-operative process, in which several minds work together on a basis of equality and mutual respect toward either understanding or agreement” (p. 42). Knowles (1950) considered that discussion was almost always keyed to the interests and needs of students. He argued that it would help learners to develop independent thinking skills and enable them to express themselves with clarity, confidence and humility. He was convinced that every individual had a fundamental urge to grow – to achieve greater maturity and self-direction. Knowles had taken Overstreet’s (1949) maturity concept and applied it to groups. He argued that there would be a greater likelihood of individual growth in groups that were free of authoritarian control and which were able to accept responsibility for their own direction. Openness and honesty were characteristics of Knowles’ professional life. These attributes were apparent from the time of his first major published work. In Informal Adult Education, Knowles (1950) wrote, “individual members make their contributions in the spirit that once they are given to the group they are no longer personal property that must be defended against attack or change” (p. 56). In future years it would become clear that Knowles applied this principle to himself within the academic community. Knowles considered that the principle would operate within mature groups. His attitude indicated the importance he attached to the group 52 dynamic process and the seriousness with which he viewed the problem of human relating. Knowles’ (1950) estimation of co-operative group processes generally, was that they could be applied to a wide range of contexts with far-reaching consequences. They were important not just for adult education but for the committees that organised the programs and for the contributions that would be made towards a mature and democratic society. A number of implications for leadership flowed from this stance.
Group Leadership Knowles (1950) distinguished three types of group leadership: Socratic, group-centred and leader-centred. Socratic leaders were “cross-examiners”, and the leader-centred were “directors”. Group-centred leaders, however, recognised that leadership was a function of the group and they accepted the group’s responsibility for directing its own growth. Knowles argued that the wise leader would help the group towards maturity and he questioned leadership styles that did not provide for the mature development of the individual as a self-directing and fully responsible person. For Knowles, leadership was a problem for the group to solve; it could be neither Socratic nor leader-centred. In Knowles’ estimation, a group-centred leader would be one who already possessed a democratic attitude and who had the skills to help the group acquire such an attitude for itself and for its processes. It was important for Knowles (1950) that the leader have a self-perception of being a fellow-learner. The leader should “have a progressive sense of belonging and of personally growing” (p. 101). This did not rule out the possession of specialised knowledge or functions but it did require a recognition on the part of the leader of the personal integrity and worth of each learner. With the right attitude, the leader could produce within the group a “free and democratic climate” (p. 65). The attitude of the teacher was “the strongest force in determining the climate of the group and the attitude of the students” (p. 35). The mechanisms by which groups operated were not predetermined. Those who would lead groups required the ability to adapt as necessary: There is no set pattern in group-centered leadership, no fixed rules that cannot be modified. It is rather a point of view, an attitude, a way of looking at groups as responsible organisms that are capable of thinking about themselves objectively and improving themselves. Group-centered leadership 53
makes use of various devices for improving its process and is continually searching for new ones, but none is held to be sacred, especially if it does not work. (Knowles, 1950, p. 74)
Although adaptability was essential, guidance was still needed for the leader. Knowles (1950, pp. 63-71) set out the following principles of group-centred leadership: 1. leadership is a function of the group, not of any individual; 2. leadership is responsible for establishing the climate of the group; 3. leadership helps the group to define its purposes and objectives; 4. leadership helps the group to organise itself; 5. leadership helps the group determine its procedures; 6. responsibility for making decisions is kept wholly in the group; 7. the group examines its internal problems and its process objectively in order to increase its efficiency; 8. the group is sensitive to the feelings as well as the ideas of the group members, and responds to both with equal understanding and acceptance; 9. the group uses the resources within its own members, or brings in outside resources, as its needs require; 10. the group develops the habit of testing its own thinking. Knowles looked to the leader to “master and apply the principles of educational leadership” (p. 139). These were guiding principles but they were important: they related directly to group-centred leadership and to the leader’s role as educator. As well as mastering the principles of leadership, Knowles considered a number of other characteristics to be important in the educator of adults. These included: enthusiasm, friendliness, humility, creative thinking, willingness to experiment and “an attitude of understanding and permissiveness toward people” (1950, p. 97). The possession of subject-specific knowledge mattered but status in the community or occupational group did not necessarily count. Importantly, the adult educator was to be concerned more with the growth of the individual than with the presentation of facts. Knowles (1950) maintained that the group was independent and self- directing. This stance, however, did not prevent his referring to leaders or instructors as “those who are directly responsible for the growth of the participants” (p. 238). Such a position placed considerable weight on the shoulders of the leader. The 54 democratic process would ensure that the group needs were met but, as previously indicated, Knowles saw the adult educator as one who would influence the development of interests in desirable directions. The goal was to “produce mature people and, through them, a mature society” (p. 8). Knowles’ (1950) singling out of the educator as the one who would take direct responsibility for the growth of the learner represented a significant shift from Overstreet’s (1949) position. The latter had viewed the responsibility as one shared between the individual and the educator. Knowles was looking to the adult educator for nothing less than a “major transformation … in our culture toward greater enlightenment” (p. 139). In this, he clearly recognised the enormity of what was being sought. In the final paragraph of Informal Adult Education, he wrote, Adult education faces a task of immense proportions in the immediate years ahead, the task of helping millions of grown-up people all over the world to transform themselves into mature adults. By perfecting its science now, it will be equal to the task. (p. 252)
Conclusion In Informal Adult Education (1950), Malcolm Knowles set out a clear body of theory and principles related to the teaching and learning of adults. He drew on Overstreet (1949) and Lindeman (1926b) as major sources and organised his thinking around the theme of informal adult education. This was the means by which adults would grow towards maturity. Adult education aimed to produce mature people and, through them, a mature society. Knowles’ philosophy of education held together the needs of both the individual and society. In the wake of the Second World War, he saw an urgent need to bring meaning to lives, to repair damaged relationships and to rebuild civilisation. Knowles was strongly committed to democracy and the democratic process. He was convinced that adults retained the ability to learn and that given the right conditions, learning could flourish. He contended that the principles of adult teaching, when applied to small groups, would support the necessary conditions for effective learning. The small group was the major methodological tool. It was the best means for meeting the need for individual growth and for preserving a democratic climate. Knowles (1950) saw the teacher as facilitator, learner and leader. The nature of the group, as a democratic entity, required that the teacher exercise a role in 55 accordance with the guiding principles of group-centred leadership. Knowles’ thinking about educational leadership would be developed further in the years following publication of Informal Adult Education. His concluding comments on the art of leadership included the following: We are just beginning to learn the meaning of really democratic leadership…. It has been demonstrated that people mature in groups that are mature, that they develop attitudes based on love rather than fear, that they become skillful in human relations. It has been demonstrated that groups can become amazingly efficient and productive when they become mature, when their members are freed from blockings that prevent their contributing their full capacities to the group. These are facts that potentially have far-reaching consequences to our society. (p. 83)
Knowles intended that Informal Adult Education (1950) be a beginning in formulating good principles and practices. It was a foundational work and he offered it to the adult education world with the expectation that it would be tested in practice. In the years following 1950, he would extend and further develop his thinking. His second book, Teaching Adults in Informal Courses (1954), included no new thinking. His third book, How to Develop Better Leaders, written jointly with his wife Hulda in 1955, attempted specifically to address the question of how the skills of group leadership might be taught. If leaders were to be held directly responsible for the growth of the participants, then the education of those leaders ought not to be left to chance.
THE WRITINGS FROM 1954 TO 1959
It was during the post-war years that the United States “entered the age of adult education” (Stubblefield & Keane, 1994, p. 251). This was a time of major growth in adult education. A brief discussion of the impact of this period on Knowles’ thinking is found in Appendix G. Three books bearing Knowles’ name were published between 1954 and 1959: Teaching Adults in Informal Courses (1954), How to Develop Better Leaders (1955) and Introduction to Group Dynamics (1959). The latter two works continued the thinking contained in Informal Adult Education (1950) but developed particular aspects of thinking on leadership and group dynamics. Development of thought can be seen in the 1955 and 1959 works but not in that of 1954. The major new theme taken up by Knowles in How to Develop Better 56
Leaders (1955) was that a body of knowledge existed which enabled leadership skills to be taught. This theme, which permeated the 1955 text, was not addressed in Informal Adult Education (1950). The notions of change and the importance of group dynamics as a means for helping people adjust to change featured strongly in Introduction to Group Dynamics (1959). Knowles had devoted a chapter to group dynamics in Informal Adult Education but its importance in that work related to the impact of leadership on the group’s growth towards maturity.
Teaching Adults in Informal Courses (1954)
One of Knowles’ aims in writing Informal Adult Education (1950) was to provide good principles and practices for the education of adults. In the decade following 1950, most of his energies were focused on founding and managing the Adult Education Association of the Unites States of America – and he was thinking only peripherally about adult learning theory. His writings, in the period 1951 to 1959, were concerned with leadership and group dynamics and it would not be until 1962 that his thinking would return to the theoretical world of adult learning. Four years after the publication of Informal Adult Education, Knowles published the book, Teaching Adults in Informal Courses (1954). This work contained no new thinking. It was a two-chapter volume containing the full text of Chapters 3 and 5 from Informal Adult Education. Its production was justified on the grounds that many practitioners had sought a reprinting of those chapters of Informal Adult Education that dealt specifically with the teaching of adults in informal classes (Knowles, 1954). Teaching Adults in Informal Courses was intended to provide a concise and inexpensive presentation of guiding principles and techniques. Of significance was Knowles’ (1954) remark that if he had rewritten the chapters afresh in 1954, he would have placed greater emphasis on the “dynamics of the classroom group and on interpersonal relations as a factor in learning” (p. 3). Knowles’ thinking was based on his experiences with the National Training Laboratories (NTL) in 1952 and 1954. He did not, however, accept that Informal Adult Education was deficient in any serious way. In 1950, he had stated that he was submitting his “good principles and good practices … to the test of experience” (p. viii). His view, in 1954, was that they 57 continued to stand in the light of recent research and, that based on practitioners’ reports, they had “stood the test of use” (Knowles, 1954, p. 3).
How to Develop Better Leaders (1955)
In the vacations of 1952 and 1954, Knowles participated as co-trainer and administrator (respectively) in the human relations training sessions of NTL (Knowles, 1989). Laboratory training, and especially the training carried out by NTL, focused on leadership development and group dynamics and their uses for social change (Stubblefield & Keane, 1994). In Informal Adult Education (1950), Knowles had expressed his views on the importance of human relationships, generally, of the small group as the major methodological tool for adult learning and of the leader as the one responsible for the group’s growth. His experiences with NTL confirmed and reinforced his thinking. As a consequence of his involvement in the two training sessions and of his convictions about the importance of the leader, Knowles was in a position to further express his thinking. The opportunity came in 1955 when the Editor of Association Press asked Knowles to write a book on leadership development for voluntary organisations (Knowles, 1989). The book, How to Develop Better Leaders, was written jointly with his wife, Hulda. The book does not ascribe authorship of the individual chapters to either of the two and there is no way of distinguishing their respective contributions. However, given that Malcolm has identified himself with the book and its contents, it seems reasonable to include it as part of the study of his thought. The purpose of the pages that follow is to show the broad aim of the work and the major elements of thought. It will become apparent that this book builds on the thinking of Informal Adult Education (1950).
Broad Aim of the Work The new book opened with Kurt Lewin’s distinction between authoritarian and democratic leadership. Knowles’ earlier (1950) distinctions between leader- centred, Socratic, and group-centred leadership were not maintained in the 1955 work. Knowles and Knowles (1955) preferred the term, “democratic leadership”, over “group-centred leadership”. Groups led by authoritarian leaders (whether benevolent or not) did not foster self-direction on the part of learners. For this reason, 58
Knowles (1950) rejected the traditional authoritarian leader-centred model of leadership. This stance was reflected in the 1955 work. Maximum participation within the group was essential. Knowles (1950) had made the point that although undirected real experience was the major method of learning, it did not provide for interaction with others seeking the same goal. Discussion groups, on the other hand, provided maximum opportunities for interaction between students and teacher. Although the group was seen by Knowles as being independent and self-directing, it required the help of democratic leadership in achieving independence and self-direction. In Informal Adult Education (1950), Knowles recognised clearly the difficulties involved in being a democratic leader: The leader does not succeed in establishing and maintaining a democratic group climate by being passive, but rather by straining every nerve to understand and accept each member of the group and by working laboriously to help the group to understand and improve its own processes. (p. 76)
The difficulties, however, did not mean that leadership skills could not be taught. In Informal Adult Education (1950), Knowles affirmed the worth of real-life practice, workshops and printed materials in developing theoretical and practical skills. In How to Develop Better Leaders (1955), Knowles and Knowles were unequivocal in their belief that the development of leadership skills relied on a body of knowledge and that leadership could be taught. The writing of a theoretical and practical work designed specifically for small-group leadership training was the major purpose of the 1955 work. Knowles and Knowles (1955) recognised the complex and interdependent nature of the world of the 1950s and were concerned to make a contribution to the development of leaders for those groups which, of necessity, had to exist. Leadership roles and group processes were not meant to be imposed unnecessarily on individuals. Training programs would have their value only in those circumstances where individuals needed to work together in groups.
The Shared Role of Leadership Participation in the leadership role was of particular concern to Knowles and Knowles (1955). They saw no necessary conflict in sharing group leadership but 59 stressed the importance of maturity as a group quality and leadership as a set of functions. Conflict. Knowles and Knowles (1955) maintained that there should be no conflict between individualism and skill in working in groups: “skillful democratic leadership fosters the expression of individual personality by creating opportunities for group members to make their maximum contributions and obtain maximum personal satisfactions” (p. 15). Maturity. For Knowles and Knowles (1955), the evolution of the group towards maturity was important. They restated the opinion expressed in 1950 that the growth process involved moving beyond dependence on a leader to the acceptance of full self-reliance: When a group reaches maturity it functions as a well-integrated, independent organism. It accepts responsibility for its own actions. It faces its problems and solves them objectively. It divides its tasks among its members in keeping with their abilities. It organizes its procedures according to the requirements of each situation. The members of a mature group have shifted the center of their attention from their personal concerns (such as their status in the group) to the group’s concerns (such as making a decision that will be in the interest of all). The competent leader will understand this process of natural growth and will do whatever is necessary to assist the group toward maturity. (1955, pp. 11-12)
Functions of the leader. Following Informal Adult Education (1950), Knowles and Knowles (1955) defined leadership as a set of functions rather than as a personal role. Of significance was the point that leadership could be a shared role and need not be vested in any one individual. As a consequence, Knowles and Knowles argued that the traditional leader-follower distinction had become blurred and that a clear-cut distinction could no longer be sustained. In Informal Adult Education (1950), Knowles had set out 10 principles of adult leadership. In How to Develop Better Leaders, five of those principles became functions or services provided by the leader as “convener, trainer, and co-ordinator” (Knowles & Knowles, 1955, p. 12). Knowles had not previously referred to the leader as “trainer”. This new conception reflected the degree of transferable content Knowles and Knowles (1955) saw in the body of skills required by leaders. Of particular importance was the idea that the leader would receive training in leadership functions and, in turn, would pass on to group members training in: 1. establishing a social climate; 60
2. clarifying goals and purposes and organising the group; 3. analysing situations and determining procedures; 4. making group decisions; and 5. understanding the processes and content of the group’s work. The trainer carrying out these functions would be acting in a highly circumscribed capacity. The central function of the leader was to be of service to the group. The leader was a co-worker who undertook specialised functions but who did not undermine the democratic quality of the group.
Leadership Training Dimensions Based on their understanding of the group as a democratic entity and of the functions of the leader, Knowles and Knowles (1955) proposed a new set of leadership training dimensions: 1. knowledge and skills directly related to specific leadership functions (traditional training); 2. a generalised understanding of group behaviour; and 3. group member training. Knowles and Knowles argued that complete leadership training could not rely only on the development of traditional teaching and leadership skills. They accepted that elements of such training should be retained in situations such as teaching a subject, chairing a committee and managing an organisation but were adamant that both leaders and members of groups should have an understanding of group behaviour. The two new dimensions they proposed (numbers 2 and 3 above) involved developing a generalised understanding of group behaviour that applied to all groups in all situations, and training all group members to be able to perform leadership functions. Knowles and Knowles were convinced that a complete leadership training program could not exclude any of the three dimensions.
Group Self-Training In Informal Adult Education (1950), Knowles had expressed the view that learning had to be purposive, active and rewarding. He did not consider that learning could be passive. This viewpoint was maintained in the 1955 work. Group self- training was not unconscious experiential learning. It involved 61
a carefully planned program of self-analysis in which the members of a group … look objectively and systematically at what they do. By consciously observing the effects of different actions and procedures on individual members and the group as a whole, each member begins to understand better the underlying forces that cause groups to act the way they do. Out of this understanding flow better ways of working and more efficient use of each member’s talents. Each member becomes better able to share the leadership load. In this situation every member is, in effect, a leader-in-training. And every group becomes a training group as well as a doing group. (Knowles & Knowles, 1955, p. 17)
The processes of the group were not to be the sole focus of the analysis. Knowles and Knowles expressed the conviction that, in learning from its experiences, the group would necessarily have to be aware of both the processes and the content of its work. Knowles and Knowles (1955) held that one of the purposes of group self- training was to increase the pleasure and satisfaction of working together. They maintained that all groups were capable of self-training and that the exercise imposed additional time requirements only at the beginning of the group’s existence. Trainers had three immediate goals: to obtain the group’s assent to self- training, to identify problems and to organise the self-training procedures. Knowles and Knowles (1955) were adamant that the identification of problems had to be kept objective and impersonal in order to avoid destructive criticism of individuals. This applied to all members of the group: There is no blame attached to having some shortcomings of skill in group leadership or membership participation, but these are skills which can be learned. The leader can communicate to the group an attitude of not being defensive about his own shortcomings which will make it easier for the members to look at their behavior objectively. The focus of attention must be kept on the group process and away from the personality problems of individuals, since this is a training group, not a therapy group. (p. 21)
In the initial stage of a group’s existence, Knowles and Knowles (1955) recommended the designating of certain group members as observers. Following Bradford, Stock and Horwitz (1953), the observers were admonished not to punish, preach or judge but to give facts and raise questions. Of significance was the admonition, “Don’t praise the group too much. Learning doesn’t take place by being told only pleasant things” (Knowles & Knowles, 1955, p. 23). Knowles’ (1950) position was that learning had to be active. The desire to learn was occasioned by the 62 existence of an obstacle or problem situation. Intentional effort was required to address the problem and to learn in the process. The more meaningful the problem situation was to the learner, the more that could be learned from it. This position was carried over into the 1955 work. Mentioning accomplishments was considered to be desirable if it helped the group to face difficulties honestly and constructively (Knowles & Knowles, 1955).
Principles for Supervisors The function of the observer was different from that of the supervisor. Knowles and Knowles (1955) acknowledged the difficulties inherent in supervisory relationships but saw the problems as stemming from earlier forms of leadership training. For Knowles and Knowles, the supervisory relationship was characterised by mutual respect and joint decision-making. The supervisor would offer advice, information and support and would take seriously the goal of helping other leaders grow. According to this understanding, the supervisor would function as a resource person and consultant rather than as the autocratic boss of previous times. Knowles and Knowles supplied seven principles to help the supervisor. The first stated: The supervisor recognizes that each leader is different and has different ways of doing things. He will encourage all leaders to be themselves and will refrain from trying to impose his own – or any other foreign – work habits, style, or tempo on them. (1955, p. 27)
The remaining six principles reflected the 10 principles of adult leadership supplied in Informal Adult Education (1950) and the five functions of the leader as trainer in How to Develop Better Leaders (1955). The thinking behind the seven principles was essentially the same as the others but the seven were applied to individual leaders rather than to groups. The seven principles were characterised by a non-authoritarian stance and respect for the independence and self-determination of the leader-in-training. In the summary that follows, the supervisor: 1. recognises that each leader is different and has different ways of doing things; 2. establishes a climate of warmth, respect, freedom from tension and mutuality of helpfulness; 3. encourages each leader to work out his or her own solutions to problems; 4. helps the leader to accept problems as normal in group life; 63
5. shares knowledge and understandings about individual and group behaviour; 6. helps the leader to set individual goals for development and performance; and 7. recognises that he or she possesses individual needs and that these must not prevent the personal development of others.
Human Resource Development In Informal Adult Education (1950), Knowles had not used the expression “human resources”. This term occurred for the first time in How to Develop Better Leaders (1955). In later works, Knowles’ thinking on HRD and the link between the individual and the workplace would become clearly articulated. In 1955, it was the importance of personal growth to the organisation that was stressed: Organizational leadership … is … responsible for getting jobs done, and it will be concerned with improving constantly the content, skills, and mechanics required to do the jobs. But in the long run the health and welfare of an organization is more likely to be enhanced if its leadership gives its major attention to the growth and enrichment of persons, and especially to the development of the general leadership abilities – in three dimensions – of its members. (Knowles & Knowles, 1955, pp. 28-29)
Conclusion In tracing the development of thought, the twin factors of change and continuity go together. They work to establish a perspective of “intelligible continuity” (Lemon, 1995, p. 237). Much of the thinking contained in How to Develop Better Leaders (1955) continued the thought of Informal Adult Education (1950) but expressed it in slightly different terms. The 1955 work included some themes not explicitly treated in the 1950 work. The major ideas from Knowles and Knowles (1955), not raised in the earlier work and relating to leadership development, were that:
a body of knowledge existed which enabled leadership skills to be taught;
leaders needed to contribute actively to group self-training;
leadership training programs needed to include the two additional dimensions of training in group behaviour and the training of all members in leadership functions;
group self-training (and all that it entailed) was a fundamental aspect of leadership development; and 64
the supervisory role required the application of specific principles of leadership.
There was no deviation from the conviction (expressed in 1950) that adult educational experiences had to focus on real-life problems deriving from the needs and interests of the learners. Following Informal Adult Education (1950), Knowles and Knowles (1955) reaffirmed the value of the discussion group in meeting educational needs. They also reaffirmed the inappropriateness of this method where transfer of factual information was the primary goal. As in 1950, active participation on the part of the learner remained a major concern. The underlying message for leaders-in-training, first expressed in 1950 and implied throughout How to Develop Better Leaders (1955), was that there would be a greater likelihood of individual growth in groups that were free of authoritarian control and which were able to accept responsibility for their own direction. The importance of group dynamics could not be overstated. The leader, and the group, had to have a generalised understanding of group behaviour. Knowles and Knowles (1955) recognised that an explication of the field was needed and it was to this that their attention turned in 1959.
Introduction to Group Dynamics (1959)
Knowles did not produce any major writings on adult learning theory from 1951 to 1961 but he was still concerned that important new research be disseminated. One of the requirements for leadership training spelt out in How to Develop Better Leaders (1955) was that both leaders and members of groups have an understanding of group behaviour. Much of the writing in the area, he contended, was new and too academic for many (Knowles, 1989). Knowles wanted the new learning on group dynamics to be more widely accessible. In 1959, the year in which he resigned from the Adult Education Association, Knowles published the book, Introduction to Group Dynamics. This book, like the work of 1955, was written jointly with his wife, Hulda. The comments made in the previous section about the 1955 authorship apply also to this work. Introduction to Group Dynamics was written at the request of the publisher. In taking up the task, Knowles and Knowles aimed to provide an introductory guide 65 to the literature and its main findings (Knowles, 1989). The book was not so much a treatment of group dynamics according to the thinking of its authors as a treatment of the field according to the major practitioners and researchers. It was designed as a “how to find out” book (Knowles & Knowles, 1959, p. vi) which would paint a panoramic picture of the current research and get the reader started on a new journey of discovery. Knowles’ treatment of group dynamics in Informal Adult Education (1950) had focused on the importance of leadership in helping the group to achieve maturity. The 1955 work, How to Develop Better Leaders, developed ideas about how leadership skills might be taught. The 1959 work, Introduction to Group Dynamics, attempted to provide a broad explanation of the field and details of the research base. The purpose of the latter was to look at ideas about group behaviour generally, rather than to supply information specifically on the dynamics of a classroom group or on interpersonal relations as a factor in learning.
Major Influences Kurt Lewin and the founders of NTL (Benne, Bradford and Lippit) were major influences in shaping Knowles’ thinking (Knowles, 1989). These founders argued that adults were poorly prepared to cope with the changes in society and especially those brought by technology and the physical sciences. They proposed a method of re-education to help adults gain new skills to deal with change and to help them see the group as the link between the individual and larger social structures (Stubblefield & Keane, 1994). Their method of re-education was group laboratory training – a venture in adult education. Knowles had first been exposed to the method during his MA years (1946-1949) at Chicago University. He was impressed by the view of the trainer as group facilitator, the insights that could be extracted from a group’s experiences and the idea of learning how to receive feedback non- defensively (Knowles, 1989). Knowles and Knowles (1959) built on ideas deriving from NTL. Their thinking focused on the need to deal with change; group dynamics as practical knowledge; leadership and the possibility of manipulation; and the group as an expression of common identity and purpose.
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The Need to Deal with Change In The Adult Education Movement in the United States (1962), Knowles recorded his impressions of a changing American society. On the period up to 1961, he saw a need for massive re-education resulting from the “changing patterns in rising tempo in population, technology, economic conditions, international relations, social arrangements, communications, philosophical and religious ideas, and government” (p. 76). Developments in science were challenging existing ideas, raising questions about the nature and meaning of life and opening up new frontiers of exploration (Knowles, 1962). Significantly, the Soviet Union’s achievements in space were leading to fears of a threat to the American way of life and calls for education for public responsibility (Stubblefield & Keane, 1994). In the context of ongoing change and perceived threats to the status quo, the method of re-education proposed by NTL would help people examine their thinking and deal with their fears. One of the major new social reform movements in the United States was that of the modern civil rights movement which began in 1955. Civil rights education, which was fostered through informal learning, role plays and laboratory training, challenged the existing social structures (Stubblefield & Keane, 1994). Knowles did not have an agenda for promoting social reform but he saw adult education as a means for helping people accept the fact of change and for restoring damaged human relationships (Knowles, 1950). The publishing of Introduction to Group Dynamics (1959) would help achieve Knowles’ aims and work towards addressing the fears brought about by continuing social and technological change. The urgent need to rebuild human relationships, so evident in Informal Adult Education (1950), was not as apparent in the 1959 work. Although Knowles and Knowles (1959) maintained that neglect in human relations training had created a large gap to be filled, they also saw evidence that society itself was being influenced by group dynamic thinking. They saw “a generally more democratic spirit developing in organizational life” and “an increasing number of groups … employing educational processes” (p. 71). Such a statement, they argued, could not have been made 5 years earlier. This perception could account for the fact that Knowles would write little more about group dynamics in the years following 1959.
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Group Dynamics as Practical Knowledge Knowles and Knowles (1959) set out four broad understandings of the term “group dynamics”: the complex interplay of natural forces operating within a group; a formal field of study; a body of theoretical knowledge; and a body of practical knowledge. The latter, they referred to as “technology”, which was the translation of “the findings and theories of basic knowledge into practical principles and methods” (p. 13). They stressed that the principles and methods were not derived from any ideological position about how groups ought to behave. The aim of the new technology was to help individuals change their behaviour in order to become effective members of groups. Knowles and Knowles quoted approvingly from an unobtainable 1957 writing by Bradford: “Instead of thinking about ways of ‘teaching’ facts, it is necessary to analyze the conditions which keep the individual from changing, the requirements to help him change, and the supports necessary to help him maintain his change” (Bradford, as cited in Knowles & Knowles, 1959, p. 66). The psychological needs that individuals brought into their group relationships were not considered to be appropriate subjects for moral judgments: “by understanding that all behavior is caused, the way is opened for us to become more tolerant and accepting of other people’s actions and thereby to react to them constructively rather than with irritation and rejection” (Knowles & Knowles, 1959, p. 35).
Leadership and the Possibility of Manipulation As in Informal Adult Education (1950), the role of the leader remained important in Introduction to Group Dynamics (1959). Knowles and Knowles (1959) were adamant in their belief that research was unable to identify any leadership functions that belonged universally to a leader. In normal situations, groups would thrive best in democratically-led contexts but the possibility of some situations requiring authoritarian or laissez-faire leadership was not ruled out. Knowles and Knowles (1959) recognised the existence of invisible factors within groups such as the prestige, power, influence, ability or seniority of different members. They recognised, also, that individuals acting within groups often brought with them the sometimes conflicting demands of unseen reference groups with whom the individuals were associated. The operation of invisible forces within a group could suggest the possibility of a group being manipulated but it was Knowles and 68
Knowles’ conviction that two essential ingredients in group dynamics training – the collection and examination of data about what was happening in a group, and training in shared leadership – would counteract that possibility and work towards democratic outcomes. The position of the individual mattered. Knowles and Knowles contended that the more individuals understood the forces influencing their behaviour and the behaviour of the group, the more they would be able to contribute constructively and guard against pressures towards conformity and alienation.
The Group as an Expression of Common Identity and Purpose Being able to act in a unitary manner was one of the qualities that defined a group. Knowles and Knowles (1959, pp. 39-41) set out six criteria that distinguished a group from a collection of individuals: 1. definable membership; 2. group consciousness; 3. a sense of shared purpose; 4. interdependence in the satisfaction of needs; 5. interaction; and 6. the ability to act in a unitary manner. No suggestion was made that one quality had greater weight than the others. Groups were seen by Knowles and Knowles (1959) as having “always been an important means for the accomplishment of human purposes” (p. 15). To function well, they required maximum participation and “ego-involvement” (p. 70). In Informal Adult Education (1950), ego-involvement was the ultimate goal of educational methodology. It meant losing oneself in the educational process – a process that stressed the importance of experience in learning. Group dynamics was able to provide experiences such as role playing, case studies, non-directive discussions, skill practice exercises, project activities and laboratory sessions (Knowles and Knowles, 1959). The use of applied group dynamics effectively supplied the solution to the problem raised by Knowles in 1950 – that the undirected real experience of learners lacked an essential means for enabling those learners to interact with others seeking the same goal.
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Conclusion
The picture of group dynamics painted by Knowles and Knowles in Introduction to Group Dynamics (1959) allowed only limited insight into their own thinking. The book adopted a “broad brush” approach to the literature and its findings which, according to a contemporary, was “one of the better brief statements of the purpose, approach, and methods of group dynamics” (Miller, 1960, p. 218). Knowles and Knowles (1959) maintained that the field up to 1959 was still too new to know what its status ultimately would be. They wrote, “The years ahead are bound to bring further exciting developments, both in pushing back the frontiers of knowledge about human relations and in applying these unlocked secrets to practical human affairs” (p. 77). Knowles and Knowles were clear, however, about the value of group dynamics as a means for helping people adjust to change. This was the major new element of thinking in the 1959 work. Leadership and group dynamics were the two important concerns addressed in the works of 1955 and 1959. Neither concern was included as a topic in the chapters incorporated into Teaching Adults in Informal Courses (1954). The significant factor in the 5 year period between publication of Informal Adult Education (1950) and How to Develop Better Leaders (1955) was Knowles’ involvement with NTL. This involvement had a major impact on the writings of 1955 and 1959. Knowles and Knowles’ thinking on leadership development was closely tied to their thinking on group dynamics. The two new themes taken up by Knowles and Knowles in 1955 and 1959, which had not previously been addressed in Informal Adult Education (1950), were:
the body of knowledge that enabled leadership skills to be taught; and
the importance of group dynamics as a means for helping people adjust to change. These themes would continue to be developed in later works. Knowles was an adult educator who sought to make a contribution to the field. Developments in group dynamics seemed eminently to suit the purposes expressed by him in 1950. Referring to the field of adult education and to the challenges facing it, Knowles wrote at the end of Informal Adult Education, “By perfecting its science now, it will be equal to the task” (1950, p. 252). The thinking 70 contained in the works of 1955 and 1959 was part of the contribution towards that goal.
SUMMARY OF PHASE 1 THINKING
In the first phase of writing Knowles laid the groundwork for his subsequent development of thinking. The major elements of thought at this time were his aims in writing; his philosophy of education; and his thinking on group dynamics, leadership, and the teaching-learning transaction. These elements contributed significantly to the development of his 1970 andragogical framework. Aims. Knowles’ focus in the initial years of writing was not on self-directed learning. His works in this period were aimed at teachers and leaders of groups, and his purposes were to provide practical and theoretical help. Knowles’ writing of Informal Adult Education (1950) was specifically directed at “formulating good principles and good practices” (p. viii). This remained an underlying goal throughout his writing career. Philosophy of education. The years 1950 to 1959 provided Knowles with the opportunity to spell out the beliefs and assumptions that guided his thinking. His major assumption was that growth towards maturity was the goal of every individual. According to Knowles, adults were required to take responsibility for their own growth but it was through adult education that they would achieve that goal. As Knowles saw it, adult education aimed to help people develop personally and as members of society. Adults needed help to make sense of their experiences, to understand society, to accept the fact of change and to think through the ultimate meaning of life. In the broadest terms, adult education aimed to produce mature people and, through them, a mature society. The importance, worth and dignity of people were important elements of Knowles’ philosophy. He was committed to democracy and the democratic process and stated many times that “people mattered more than things”. The learning context had to be democratic and had to reflect the needs of both the individual and society. Group dynamics. In his thinking, Knowles moved conceptually from the individual’s own learning to the role of the group in assisting that learning and thence to the leader in guiding and facilitating the group’s efforts. As Knowles, saw it, learning began with the individual’s engagement in a process of trial and error. 71
This was the “method of … undirected real experience” (1950, p. 46). This process, however, allowed little opportunity for interaction with others seeking the same goal, and Knowles advocated the group as the chief solution. Group interaction would increase the efficiency of learning and promote the maturity of its members. Group maturity, however, depended on the attitude and skills of the leader. There was a need for guidance in group-centred leadership and Knowles attempted to provide such guidance. Leadership. According to Knowles, the leader functioned variously as teacher, trainer, co-ordinator, facilitator, co-learner and co-worker. These roles were not based on personal qualities but on skills that could be taught. He formulated or described:
10 principles of group-centred leadership;
seven principles for supervisors; and
five functions or services of the leader as trainer. In this early stage of his writing, Knowles was exploring different ways of describing the skills and attitudes required of leaders. The sets of principles were broadly similar in their focus on the democratic process; the learning climate; the worth of the individual; and the roles of the leader. They were group or leader-focused, rather than learner-focused principles. Leadership development was important and Knowles proposed a new (more comprehensive) leadership training model. The teaching-learning transaction. The major assumptions that Knowles brought to his thinking on the teaching-learning transaction were that adults retained their ability to learn, that learning was an internal process and that active participation was required. Concerning the last point, he wrote, “the learner cannot possibly be passive; he will learn only if he takes part” (1950, p. 22). For Knowles, learning had to be intentional, purposeful, active and rewarding. He maintained that it was immediately useful knowledge that adults sought. The educational process, for them, concerned the solving of real-life problems rather than the transmission of abstract knowledge. The learning of traditional subject matter had its place but it no longer served as the primary goal of the learning process. Knowles developed 13 principles of adult teaching which had as their ultimate goal the ego-involvement of the learner. These principles were similar in kind to those he had devised for leaders and supervisors and were part of the general exploration of principles that he was undertaking during this phase of writing. 72
Contributions to the 1970 andragogical framework. The educational and philosophical goals embedded in Knowles’ early writings formed the foundation on which he built his subsequent thinking. The twin goals of
helping individuals in their growth towards maturity and
providing educators with practical and theoretical help would be directly reflected in the content of The Modern Practice of Adult Education (1970). Other elements of Knowles’ early thinking that would be incorporated into his practical-theoretical andragogical framework included:
ideas on group dynamics and leadership;
selections from the different sets of principles on leadership and teaching; and
the basic assumptions relating to the teaching-learning transaction. These were foundational elements. They emerged out of an exploratory phase but provided the basis for the later development of the theory and practice of andragogy. 73
CHAPTER 4 THE EMERGING FRAMEWORK (PHASE 2)
Phase 2 covers the period, 1960 to 1969. It was during this period that Knowles’ thinking began to take shape. The works published at this time were: the Handbook of Adult Education in the United States (1960), The Leader Looks at Self- Development (1961), The Adult Education Movement in the United States (1962), The Leader Looks at the Learning Climate (1965), The Professional Nurse Looks at the Learning Climate (1966), The Professional Nurse Looks at Self-Development (1966); and Higher Adult Education in the United States (1969). The thinking in these works is discussed under two headings: “The Writings from 1960 to 1962”; and “The Writings from 1965 to 1969”.
THE WRITINGS FROM 1960 TO 1962
In the period up to 1959, Knowles was working to establish a basic conceptual framework. In the years immediately following (1960-1962), there was a continuing focus on leadership development and a move towards explicating the unique characteristics of adults as learners. Out of the 1960 and 1961 writings emerged a typology of adult learning programs, a beginning set of adult learning principles and a basic knowledge hierarchy. In the 1962 work, Knowles, for the first time, articulated his thinking on the differences between adult and child learning; he constructed a set of assumptions relating to the education of children and youth; and made a number of predictions concerning the future of adult education. The 1962 work was also the one in which Knowles supplied a detailed definition of adult education.
Handbook of Adult Education in the United States (1960)
Knowles wished to map the progress of adult education in the United States and had the first real chance to do so as editor of the 1960 publication, Handbook of Adult Education in the United States. This title had been published previously in 1934, 1936 and 1948 under different editors and would continue to be published intermittently until 2000. 74
In briefing the authors, Knowles (1960a) advised, “the writing should not be cold and impersonal, with all your personal enthusiasm and charm of style squeezed out of it” (p. xii). This statement was made at a time when Knowles, having learned of his appointment as Associate Professor of Education at Boston University, was particularly concerned to behave in a personally authentic manner, and to avoid any acting out of a formal role. This was the time, also, when Knowles began to think of himself as “practitioner” rather than as “scholar” (Knowles, 1989). The Handbook of Adult Education had come to be regarded as a basic reference work in the field (Knowles, 1960a). It enabled adult educators to take stock of major developments and to locate themselves and their own work in the context of those developments. The 1960 work was intended to continue the existing tradition of presenting a comprehensive national picture of adult education. Twelve years had passed since the previous edition and much that was new had arisen. The 1960 edition was meant, according to Knowles (1960a), “to be a guidebook” which would “point out the landmarks of the complicated territory encompassed by the phrase, ‘adult education’” (p. xi). The six major sections of the work comprised an overview of the field, an analysis of common concerns, a description of institutional programs, a typology of adult education programs (devised by Knowles), comments about the future and a directory of organisations. Knowles contributed one chapter and the editor’s preface. Given the brevity of his contributions, only limited insight can be gained into his thinking. Knowles did, however, regard this work as one of his major books on the nature of the adult education movement (Knowles, 1989). The significant content for the later development of his conceptual framework were his typology of adult learning programs and Gibb’s (1960) six principles of adult learning.
Typology of Adult Learning Programs The Handbook of Adult Education gave Knowles an opportunity to express briefly for the first time his thinking about adult-child learning differences and what might constitute a typology of adult education programs. Knowles (1962) contended that the subject matter typology he had developed for the Handbook of Adult Education provided a starting point for later systematic development. Since 1950, he had consistently affirmed the importance of the subject matter and contended (in 1950) that the adult educator ought to influence the development of interests in 75 desirable directions. Knowles did not state what the directions or the content might be. In the Handbook of Adult Education, he set out his broad typology of adult learning programs as follows:
academic education;
education for aging;
community development;
creative arts;
economic education;
fundamental and literacy education;
health education;
home and family life education;
human relations and leadership training;
liberal adult education;
public affairs education;
adult recreation education;
science education; and
occupational education.
This classification of program areas covered what Knowles had referred to in 1950 as “the scope, depth, and vitality of the adult education movement” (p. 166). Significantly, human relations training was only one of 14 categories. The categories were not necessarily meant to be clear-cut. There was a recognition by Knowles (1960a) that the field was “in the process of developing a unique set of organizing principles for its own curriculum” (p. xiv). Importantly, for Knowles, adult education’s approach to learning was becoming more problem-centred and this would affect the way in which content was organised and classified.
Six Principles of Adult Learning Gibb (1960) contributed a chapter in the Handbook entitled, “Learning Theory in Adult Education”. In the chapter, he supplied a set of six principles for adult learning: 1. learning must be problem-centred and motivated; 2. learning must be experience-centred; 3. experience must be meaningful to the learner; 76
4. the learner must be free to look at the experience; 5. the goals must be set and the search organised by the learner; and 6. the learner must have feedback about progress towards goals. This list was accompanied by Gibb’s (1960) statement, “there is no learning theory; there are many learning theories” (p. 58). Gibb wanted to convert elements from abstract and highly generalised theories into concrete principles. For him, the principles represented what had to be true if learning in an adult setting were to be optimally effective. In reviewing his 1960 thoughts, Knowles would state later that Gibb’s writing convinced him that a beginning foundation of a theory of adult learning was being laid (Knowles, 1989). Most significantly, Knowles would write, “When I was invited to Boston University to establish a graduate program in adult education in 1960, my deepest commitment was to work at developing a comprehensive theory of adult learning” (p. 78). In the years prior to 1960, Knowles saw evidence of a distinctive body of knowledge and techniques beginning to emerge in the field of adult education. In particular, he saw an emphasis on the theory of group learning and an increasing reliance on practices such as group discussions, demonstrations, field trips and dramatic techniques. He stated in his chapter, “Historical Development of the Adult Education Movement in the United States”: Participation by the learner in an active role tended to become the dominating concept underlying the new adult educational methodology. Recognition of the fact that adults differ from children in many ways as learners has begun to lead to a differentiated curriculum and methodology for adult education. (1960b, p. 25)
Knowles wrote this comment when he was still Executive Director of the Adult Education Association. From 1961, he would attempt to gain additional insights through experimentation with adult strategies at Boston University. His own reading in the area of developmental psychology had led to an awareness that developmental stages in adults were powerful forces in promoting readiness to learn (Knowles, 1989). It would not be until the mid-1960s, however, that a beginning theoretical framework would become clear to him.
77
Conclusion In the Handbook of Adult Education (1960), Knowles recorded for the first time
his perception of a distinctive body of knowledge and techniques beginning to emerge in the field of adult education; and
his typology of adult learning programs. The Handbook did not record Knowles’ conviction that a beginning theory of adult learning was being established, nor his commitment to developing a comprehensive theory of adult learning. These matters occupied Knowles’ thinking in 1960 but they were not expressed in any of his major works until The Modern Practice of Adult Education was published in 1970. In characteristic fashion, Knowles (1960a) considered that his role as editor was chiefly that of the learner. He recognised the possible shortcomings of the work and invited critical feedback. But he also asked for tolerance – and this had to do with the nature of the practitioner’s role: “those of us who are dedicating our lives to the education of adults tend to have the myopia of missionaries, the enthusiasm of pioneers, and – perhaps in some measure – the vision of prophets” (p. xv). Knowles’ beginning vision would become clearer in The Leader Looks at Self-Development (1961) and The Adult Education Movement in the United States (1962).
The Leader Looks at Self-Development (1961)
The Search for Personal Authenticity The Leader Looks at Self-Development was published in 1961 when Knowles was Associate Professor of Education at Boston University. Knowles was concerned to develop his own authentic way of behaving as a university leader and would write later that he had experimented with acting in a formal, dignified and authoritative manner: During my first year at Boston University I tried playing this role, and I was miserable. I felt phony. My self-concept was that of a warm, tender, loving, student-centered person…. At the end of the year I toyed with the idea of resigning…. I decided to stay a second year and … started establishing warm relationships with students, being supportive rather than judgmental, facilitating their active participation in planning and conducting learning experiences, and even involving them in evaluating themselves…. I decided I could be a good professor while being myself – with very few compromises – and decided to stay on. (1989, pp. 33-34) 78
In his 1961 work, Knowles recommended that a leader planning a program of self-development have sufficient self-knowledge to identify personal characteristics and be aware of the contexts in which the leadership role would be exercised. The leader was advised to “construct a model of the kind of leader you want to be” (p. 5). Leadership types included traditional chairing functions, managing, helping, educative and human relations functions. The recognition of diverse leadership styles reflected Knowles’ own search for personal authenticity in the leadership role. This recognition did not rule out the requirement that the leader possess “a sense of the importance of his contribution as a leader in one of the ‘laboratories of democracy’ to the welfare of democratic society” (Knowles, 1961, p. 6). The works of 1955 and 1959 were silent on this matter but the imperative to work for democracy remained clear in 1961 – despite the absence of any comment on the urgency of the democratic need.
Leadership Competencies: A Knowledge Hierarchy In The Leader Looks at Self-Development (1961), Knowles provided a reading guide showing where information on specific leadership competencies could be found. A list of competencies, broadly grouped under a four-category hierarchy, was supplied. These were ranked according to ease of acquisition as follows: 1. knowledge; 2. skills; 3. insight or understanding; and 4. attitudes or feelings.
The knowledge and skills competencies appeared to operate at the instrumental level. For Knowles (1961), these were the most easily acquired but knowledge required the support of other competencies if behavioural changes were to be produced. Skills were learned by doing and Knowles advocated the use of training workshops and the seeking out of coaching help from the real-life groups in which the leader was involved. Knowles (1961) defined insight and understanding as “the ability to extract from factual information concepts and principles which can be applied to a variety of situations” (p. 8). To develop the competencies in this category, Knowles again 79 recommended training workshops but stressed the importance of feedback in real-life groups: A leader is probably missing his best opportunity for growth in understanding if he does not build into the agenda of nearly every meeting a period at the end for an analytical discussion by the total group of what happened during the meeting, how they felt about what happened, and what can be learned from the experience to improve their ways of working together in the future. (p. 9)
Attitudes and feelings, for Knowles (1961), were the most difficult kinds of learning. He argued that an old attitude could be replaced by a new one only when a person had experienced greater success with the new. Leaders needed to be able to experiment with new attitudes but required a non-punitive context in which to do so. For this reason, Knowles advocated the use of laboratory groups under the direction of permissive leaders. Knowles recognised the difficulties inherent in real-life experimentation but still maintained that groups could provide feedback when requested. In relation to others, empathy was the single most important attitude a leader could possess. Reflecting his thinking in Informal Adult Education (1950), Knowles defined empathy as “a real sensitivity to the needs and feelings of others, and a respect for the inherent dignity and worth of every person” (1961, p. 9). In relation to the self, there was no single or best strategy for leadership self-development. Leaders did require, however, an “educative attitude” – a recognition that self-development is never complete and a preparedness to learn from every new idea and life experience. Knowles saw this attitude as a universal prerequisite for any leader who honestly sought self-improvement.
The Process of Self-Development In writing The Leader Looks at Self-Development (1961), Knowles aimed to show the leader where to find help with the developmental task. Leaders were able to educate themselves but they needed to make use of the resources available to them. Knowles attached much importance to training workshops, laboratory groups and feedback from real-life groups. But reading, also, was a major source of information and Knowles intended his 1961 work (as well as those of 1955 and 1959) to contribute to that information source. The 1961 work incorporated a study guide which correlated the four categories of leadership competencies with readings from 80
15 works on leadership and group dynamics and provided Knowles with the opportunity of expressing to leaders some of his own thinking on the learning processes. Knowles (1961) reaffirmed the points made in earlier works that leadership structures were related more to a set of functions than to individual personalities and that successful leadership could be learned. He emphasised the importance of the leader acquiring the ability to help others perform leadership functions. This was a “special obligation” (p. 2) which aimed to ensure that group member training, the third of the leadership training dimensions advocated by Knowles and Knowles in 1955, would not be omitted. The 1955 work, How to Develop Better Leaders aimed to provide practical and theoretical suggestions for leadership development programs. Whereas that work focused on the teaching of leadership skills in workshops and on-the-job training, the 1961 work focused on the individual’s own efforts at self-development.
Principles of Learning and Self-Development Knowles had not, in 1950, supplied a clear set of adult learning principles. In Informal Adult Education (1950), he listed 13 principles of adult teaching. In 1961, he formulated five only. These were principles of learning and self-development. They owed their genesis to the 1950 principles but the difference between the sets was that the 1961 principles were fewer in number, were learner-focused and had embedded within them the notion of learning as self-inquiry. Also, Knowles’ principles reflected three of Gibb’s (1960) principles of adult learning. In The Leader Looks at Self-Development, Knowles (1961, pp. 2-3) set out his principles of learning and self-development as follows: 1. learning is an internal process; 2. learning is most efficient when goals are clear; 3. learning involves change in behaviour – and change tends to be resisted; 4. learning can be facilitated and strengthened through group experience; and 5. learning is enhanced by evidence of progress.
Knowles (1961) was clear in his belief that learning was an internal process; it was easy to be misled by notions of transmitting knowledge from one person to another. It was the process of “self-inquiry” that led to learning: “In the last analysis, 81 all education is self-education; a teacher can’t really teach another person – he can only help him learn” (p. 2). The self-inquiry was linked to the learner’s own needs diagnosis and helped establish the personal ownership of a clear set of goals. Although Knowles had made the point, in 1950, that learning was an internal process, he had not incorporated that notion into his 13 principles of adult teaching. His thinking had developed significantly since 1950. Knowles (1961) recognised both active and unconscious forms of resistance to learning. He advised leaders deliberately to seek criticism and reiterated his position (expressed in 1950 and 1955) on the essentially active nature of the learning process. Knowles had made the point in 1950 and 1955 that the purpose of teaching and learning was to produce change in the learner. His 1950 emphasis, however, was on growth in the learner’s maturity. In The Leader Looks at Self-Development (1961), he returned to this theme and declared that learning was “an active process of translating new knowledges, insights, attitudes, skills and values into one’s conduct” (p. 3). Knowles acknowledged the pain involved in giving up familiar ways of acting and thinking and, for this reason, suggested that the serious learner needed to be both sufficiently dissatisfied with present performance and accepting of the fact of the difficulty of change. A degree of self-analysis was required in order to ensure honesty in overcoming resistance. Feedback through shared group experience would support the learning process and give an indication of progress. Knowles insisted that the group was “an important resource, if not a necessity, for leadership self-development” (1961, p. 3). The group would contribute to the learner’s self-evaluation which, in turn, would contribute to ongoing self-development. When Gibb (1960) had formulated his six principles for adult learning, he focused on the learner rather than the teacher. In so doing, he stressed the importance of the learner “guiding his own learning process” (p. 59). Learning was tied directly to the learner’s goals, problems, intrinsic motivation, experience, interpretation of experience and emotional adjustment. In The Leader Looks at Self-Development (1961), Knowles affirmed the importance of the group in the learning process but, following Gibb (1960), he clearly identified learning with self-inquiry. The clarity of Knowles’ 1961 stance is contrasted with his 1950 position. In Informal Adult Education (1950), Knowles had 82 referred to the fundamental urge of people to grow in maturity and self-direction and to groups as being a means for providing for the mature development of the individual as a self-directing and fully responsible person. The concept of self- direction was not missing from the 1950 work: it was described more in terms of growth towards maturity than in terms of the learning process.
Conclusion By 1961, Knowles had begun to clarify his thinking about the distinctive features of adult learning. He had constructed, in 1960, a typology of adult learning programs and a year later had formulated a beginning set of adult learning principles. The 1961 work focused intentionally on the self-development of the leader. It provided Knowles with the opportunity not only of expressing his thoughts on self- inquiry, but of locating the concept within a body of learning principles. The 1961 work was the first instance where Knowles unequivocally identified learning and self-inquiry. It was the first work, also, in which Knowles had set out a basic knowledge hierarchy. Knowles (1960b) considered that a differentiated curriculum and methodology for adult education was emerging. The Leader Looks at Self- Development (1961) did not build on this perception. In 1962, Knowles would include in his historical work, The Adult Education Movement in the United States, a major assessment of the characteristics and future of adult education in the United States. This assessment would greatly influence his subsequent thinking.
The Adult Education Movement in the United States (1962)
Knowles’ 1962 work, The Adult Education Movement in the United States, was the third major contribution to the writing of North American adult education history. The two prior works were Adams’ (1944) Frontiers of American Culture and Grattan’s (1955) In Quest of Knowledge. Knowles’ 1962 work, in its revised (1977) form, was described by Houle (1992) as “the most comprehensive history of Adult Education in the United States” (pp. 4-5) and by Fisher and Podeschi (1989) as “the standard in the field” (p. 351). Since the publication of Knowles’ revised 1977 history, three additional works have been published: Stubblefield’s (1988) Towards a History of Adult Education in America; Stubblefield and Keane’s (1994) Adult 83
Education in the American Experience; and Kett’s (1994) The Pursuit of Knowledge under Difficulties.
Knowles’ Aims in Writing The Adult Education Movement in the United States When Adams (1944) began searching the existing literature on adult education for an “integrated whole”, he found an “adult educational jumble” (p. 128). He perceived the field as “a mosaic” often made out of “discrete contributions” and “as broad as human life itself” (p. 129). Almost 20 years later, Knowles (1962) referred to the “patternless mosaic of unrelated activities” (p. vi) and described how the national adult educational program had “proliferated almost haphazardly in response to myriad individual needs and interests, institutional goals, and social pressures” (p. v). In writing his history, Knowles sought to bring “some sort of order out of the adult educational chaos” (1962, p. vii). He wanted to see the field as a total system of institutional components and to understand its history. He undertook to answer the following questions (p. vii): 1. What is the nature of the field of adult education as it has emerged to date? What are its dimensions, its component parts, its general characteristics? How did it evolve, and what genetic principles seem to be guiding its development? 2. What are the dynamics of the field of adult education? What are its needs for coordination? What forces seem to be favouring and opposing coordination? 3. Where does the field of adult education seem to be going?
The 1962 work was based on Knowles’ doctoral research. In characteristic fashion, he credited Houle, his mentor, with whatever scholarly quality the work possessed and humbly remarked, “the shortcomings that can be found occurred while the professor’s back was turned” (p. x). Knowles (1962) divided his account into three major parts. The first dealt with the emergence of institutions for adult education; the second with the shaping of the field; and the third with the nature and future of the adult education movement. Knowles used the conventional divisions of American history for his analysis in Part I (Whipple, 1963) and was able to envisage a systematic classification of the field which, according to Stubblefield and Keane (1994), was a success his predecessors 84 had been unable to achieve. The study is mostly descriptive and it is only in Part III that Knowles’ own thinking and theoretical stances become evident. It was Knowles’ (1962) hope that his book would inspire professional and volunteer adult educators to work towards achieving the “great potential” (p. ix) of the adult education movement and to gain a deeper appreciation of the role and the dynamics of adult education in shaping the national culture. He quoted approvingly from Blakely (1958) who argued that a philosophy, a common cause and a common goal would help educators keep “their eyes on the same checkpoint: a lofty and distant peak of achievement” (Blakely, p. 14). Knowles intended that The Adult Education Movement in the United States would provide a sense of direction so that educators could create their own visions of the unrealised potential of adult education and “redouble their efforts to realize that potential” (pp. ix-x).
Defining the term “Adult Education” Defining the term “adult education” had been a problem and Knowles (1962) felt that this may have contributed to the difficulty faced by adult educators in building a unified field. In 1926, Nathaniel Peffer had written: What is adult education? For one thing, it is a contradiction in terms. Adult, education – what relation can they have? Education is something that happens to one when one is young. After that one has it or not as the case may be. (p. 2) In The Adult Education Movement in the United States (1962), Knowles included Peffer’s 1926 work in the bibliography but did not quote directly from it. Knowles did not accept Peffer’s position but contended that childhood education could be improved upon and that such a responsibility belonged essentially to adult education (Knowles, 1989). Knowles’ (1962) conception of adult education was considerably broader than Peffer’s and involved the term “adult education” being used to convey three meanings. Knowles had first used his three-part definition in a 1955 journal article entitled “Adult Education in the United States”. The definition was expanded and included in the 1962 work as part of the preface to that work. The first part of the definition referred to adult education as the process by which learning was continued after the completion of formal schooling and included all forms of experience; the second was the set of organised activities designed to achieve specific educational objectives for mature men and women; and the third was the idea of a field or 85 movement which incorporated individuals, institutions and all of the activities, processes and goals relating to learning by adults. The full text of Knowles’ definition is given in Appendix H. Knowles had not defined adult education in such precise terms when he wrote Informal Adult Education in 1950. At that time, he was concerned to incorporate Overstreet’s (1949) maturity concept into his writings and saw adult education as the means for producing mature people and a mature society. His provision of a definition which specifically included the notion of adult education as a definable social system was important given his intention of writing a history of the field of adult education. The Adult Education Movement in the United States (1962), was the first major work in which Knowles’ three-part definition of adult education was used.
Adult-Child Learning Differences In the Handbook of Adult Education in the United States (1960), Knowles expressed briefly his belief that a distinctive body of knowledge and techniques had begun to emerge in adult education. In 1962 he used, for the first time in a major work, the expression, “the unique characteristics of adults as learners” (p. 89) and argued that adults differed from youth as learners in the following ways (p. 255): 1. adults bring to their learning more experience and different kinds of experience than youth and are able to contribute greater resources from their experience to the learning process; 2. youth tend to regard learning experiences as preparation for the future whereas adults tend to seek solutions to particular life problems and have clearer and more immediate purposes for learning than do youth; and 3. because of greater time constraints, adults make more efficient use of the learning time available to them. The Adult Education Movement in the United States (1962) was the first major writing in which Knowles supplied details of how adults differed from youth in their learning. His thinking was influenced by Kidd’s (1959) How Adults Learn.
Predictions for the near Future In the final chapter of the work, Knowles (1962) was concerned to make predictions about the near future of adult education based on the trends and 86 assumptions operating up to 1962. The predictions, which were proffered with “considerable security”, were as follows (pp. 269-272): 1. the size of the student body of adult education would continue to expand; 2. the educational level of adult students would continue to rise; 3. the resources and facilities for adult education would gradually expand; 4. the curriculum and methodology of adult education would become increasingly differentiated from those designed for children and youth; 5. there would be a rapid expansion in the body of knowledge about the education of adults; and 6. the role of the adult educator would become increasingly differentiated from other educational roles.
In making these predictions, Knowles (1962) was arguing against the assumption that basic learning was primarily a function of youth and that adult education was chiefly a short-term, spasmodic and need-meeting activity. His view was optimistic and took account of the importance of educators reassessing the assumptions under which they operated. So optimistic was Knowles that he envisioned adult education becoming the fourth major strand of educational activity: If the conditions under which adult education continues to develop remain essentially as they are now, adult education is soon bound to match elementary, secondary, and higher education in size and significance…. But it will be tied to a set of assumptions about the nature of learning that have not changed substantially since they were formulated in the Middle Ages. (pp. 271-272)
Assumptions for the Education of Youth In earlier works, Knowles had recognised the increasing rate of social and technological change. In The Adult Education Movement in the United States (1962), he expressed, for the first time, his view that the time-span for cultural change had become compressed into less than the lifetime of an individual. Whitehead, who taught Knowles as an undergraduate student at Harvard, had declared false “the vicious assumption that each generation will live substantially amid the conditions governing the lives of its fathers and will transmit those conditions to mould with equal force the lives of its children” (1931, p. 8). By 1962, Knowles had clearly accepted this contention. 87
The rapidity of social change allowed Margaret Mead to write in 1951, “The children whom we bear and rear and teach are not only unknown to us and unlike any children there have been in the world before, but also their degree of unlikeness itself alters from year to year” (p. 34). In terms of educational consequences, Mead argued, and Knowles concurred, that the purpose of teaching had “changed from teaching what we know to teaching what we don’t know!” (Knowles, 1962, p. 273). Knowles (1962) was adamant that a new set of assumptions about the purpose and nature of education was required. The transmission of knowledge could no longer be an end in itself but would be “a means to the end of mastering the ability to learn” (p. 274). The new world required “the development of the capacity in each individual to learn, to change, to create a new culture throughout the span of his life” (p. 274). This was the new purpose for education. If it could be realised, the substance of youth education would become process (the process of learning) and the substance of adult education would become content (the content of humankind’s continually expanding knowledge). For the first time in his major writings, Knowles (1962) addressed matters relating directly to the education of children and youth. He did so primarily to establish a set of new perspectives for adult education and argued that the following assumptions be adopted (pp. 273-276): 1. the purpose of education for the young must shift from focusing primarily on the transmission of knowledge to the development of the capacity to learn; 2. the curriculum of education for the young must shift from a subject-mastery basis of organisation to a learning-skill basis of organisation; 3. the role of the teacher must be redefined from “one who primarily transmits knowledge” to “one who primarily helps students to inquire”; and 4. a new set of criteria must be applied to determine the readiness of youth to leave full-time schooling.
Knowles (1962) felt that if these assumptions were accepted by youth educators, curriculum for youth could focus on problem areas or questions, rather than on traditional subject areas. He argued that the intellectual revolution over the last 25 years and the shifting bases of human self-understanding made it difficult to sustain traditional methods and that youth needed to be taught how to learn rather than what to learn. 88
Three radically different assessment criteria would be used to determine the effectiveness of schooling. Students would be expected to show or possess:
mastery of the tools of learning;
development of an insatiable appetite for learning; and
a definite but flexible plan for continued learning. In order to be prepared for the adult world, students needed to leave school with a “burning desire” to continue learning (Knowles, 1962, p. 277). Students, and institutions together, would embark on a lifelong learning partnership: It would help to symbolize the concept of learning as a lifelong process if every institution for the education of youth would convert its graduation ritual into an exchange between the student, who would hand the president a scroll detailing his plans for continuing learning, and the head of the institution, who would hand the student a certificate stating that the institution had taught the student all it now knows about how to learn but will continue to make its resources available to him for further inquiry. (p. 276)
Knowles had used the term “lifelong learning” in Informal Adult Education (1950) but it was in his 1962 work that he spelt out clearly his thinking on the matter. The concept, which was implied throughout the 1950 work, became, in 1962, the means, not only for ensuring the continued growth of the individual, but for ensuring the survival of civilisation itself. Knowles had, in 1950, pointed out that civilisation was a “race between education and catastrophe” (p. 6). Adult education was the solution to the problem in 1950. In 1962, it was lifelong learning that would be the “last secret weapon against the destruction of civilization” and the “only insurance against the obsolescence of man” (p. 280).
Predictions for the more Distant Future For the more distant future, Knowles (1962) envisioned a set of new perspectives for adult education which would lead to a new form of adult education. If, in fact, education were to be redefined as a lifelong process, then a number of transformations eventually would follow: the work week would become the work- study week and the size of the adult student body would increase to the point of adult education becoming the largest and most significant dimension of national education; there would be a huge expansion of adult education programs and institutions; continuous, sequential and integrated programs geared to the changing developmental tasks of people as they moved through the lifespan would be 89 constructed; an integrated adult education movement (equivalent to the field of youth education) would emerge; and “educative communities” (p. 278) would begin to form. The educative community was important and Knowles (1962) had a clear conception of its role and impact on the growth and maturity of the individual: In a totally educative community everybody would be always partly a teacher and partly a learner; the highest social approval would be reserved for those activities and those persons concerned with improving the quality of human competence; and every decision by every organization and government agency would be evaluated in part according to its effect on the development of citizens toward increasing self-direction and enlightenment. (p. 279)
Great changes would be required if the new perspectives were to be realised. The school curriculum which, in Knowles’ (1962) estimation, had not changed essentially from the medieval trivium and quadrivium, required “a major revolution” before it could meet the requirements of the modern world (p. 275). The new challenge for educators was to arouse in all people the desire to become lifelong learners. Knowles went so far as to suggest that adult educators had to help the educators of youth see the new meaning of education, and … re-examine the effects of what they do in the schools on the quality of the learning their children engage in when they become adults. The highest priority subject matter for adult education in the immediate future is education about education. If that succeeds, then all education would become unified into a “lifelong education movement”. (p. 280) This was the comment with which Knowles (1962) ended his book. He wrote his work as a history of the diverse field of adult education but saw the possibility of that field evolving into a radically new and unified movement.
Conclusion
In the Handbook of Adult Education in the United States (1960), Knowles set out for the first time
his perception of a developing body of knowledge and techniques unique to adult education; and
his typology of adult learning programs.
90
In The Leader Looks at Self-Development (1961), Knowles for the first time
constructed a basic knowledge hierarchy;
suggested a beginning set of adult learning principles;
identified learning with self-inquiry; and
located the concept of self-inquiry within the body of learning principles.
In The Adult Education Movement in the United States (1962), Knowles’ significant new thinking included:
an expanded definition of adult education;
details of differences between adults and youth as learners;
predictions concerning adult education in the near future;
the construction of a new set of assumptions for the teaching of children and youth;
a precise focus on the importance of lifelong learning; and
predictions concerning the more distant future and the possibility of a radically new form of adult education.
Informal Adult Education (1950) was Knowles’ foundational work. The works in the period 1951 to 1959 continued the formative thinking and it was not until the period 1960 to 1962 that Knowles’ ideas on the distinctive elements of adult learning began to emerge. The works of the latter period form a coherent body of writing. These works clearly reflect Knowles’ new conceptions and mark a significant development in his thinking. In the years following 1962, Knowles would continue to develop his conceptual framework. He would not, however, be in a position to demonstrate the significance of that framework for his thinking until 1970. In the writings from 1965 to 1969, Knowles would concentrate on leadership development and the current state of higher adult education. He would expand on the child-adult learning differences he had described in 1962 but would make no thoroughgoing attempt to explicate the unique characteristics of adults as learners until 1970 when he published The Modern Practice of Adult Education. This work would be the culmination of 20 years of thinking and writing.
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THE WRITINGS FROM 1965 TO 1969
Knowles’ name is attached to four works from the period 1965 to 1969: The Leader Looks at the Learning Climate (1965); The Professional Nurse Looks at Self- Development (1966a); The Professional Nurse Looks at the Learning Climate (1966b); and Higher Adult Education in the United States (1969). This was the period in which Knowles began to formulate an outline of his own theoretical framework for adult learning. In 1966, Knowles met the Yugoslavian adult educator, Dusan Savicevic, and was introduced to the term “andragogy”. It was during this period that Knowles for the first time used the term to describe his thinking. As he developed his ideas on the differences between adult and child learning, self-direction took on increasing importance as a characteristic of adults. The Leader Looks at the Learning Climate (1965) was the work in which Knowles first set out fully his current thinking on what would later be called the “andragogical assumptions”. Higher Adult Education in the United States (1969) was the first major work in which Knowles applied the term to his thinking. Essentially, Knowles constructed a framework in 1965 which he called “characteristics” of adults and children as learners. A year later, he met Savicevic and heard the term “andragogy”. He then applied the term to that framework, initially in a 1968 journal article, and then in the 1969 book, Higher Adult Education in the United States.
The Leader Looks at the Learning Climate (1965)
In writing The Leader Looks at the Learning Climate, Knowles (1965) drew on the thinking from his 1950, 1961 and 1962 works. His intention was to address a broad set of eight questions but the major focus of the monograph was on adult-child learning differences.
Knowles’ Aims in Writing The Leader Looks at the Learning Climate Knowles began the writing of his monograph by setting out eight questions to which leaders often sought answers: 1. What motivates adults to learn? 2. How do adults differ from young people in their learning processes? 92
3. What techniques can I use to help people learn best? 4. Can I help people learn when I am not really a teacher by training or position? 5. Can adults learn equally well at every age through their life span? 6. What difference does previous education make? 7. Do adults learn some things better than others? 8. Is there a best time for some things to be learned?
In addressing these questions, Knowles (1965) restated his conviction, first expressed in Informal Adult Education (1950), that adults retained their ability to learn. He cited the research of Thorndike et al. (1928) which supported the notion that adults could learn at all ages but which also indicated an apparent gradual decline in learning ability in later years. Knowles drew on the subsequent work of Lorge (1963) to show that it was not the capacity to learn but the rate of learning that diminished with age. Yet even this, Knowles felt, could be explained through lack of practice: “those who keep in practice can learn most things as well at sixty as they could at twenty, and some things better” (1965, p. 2). This position was essentially the same as that advanced in Informal Adult Education. Lorge (1963) maintained that learning ability did not change significantly from the ages of 20 to 60. He stated: “age as age probably does little to affect an individual’s power to learn or to think” (p. 4). Knowles (1965) accepted this view and held that, in addition to lack of practice, factors such as social status, educational background and occupational level accounted for diminished learning. Knowles (1965) did not view the ageing process negatively. He accepted that age-related slowing in physical tempo and declines in hearing and visual acuity could affect learning but that these could be offset by changes to the learning environment and to teaching and learning practices. He noted that not all changes necessarily led to decline: as people grow older, skills may increase with practice and there may be “increasing loyalty and reliability, calmness and serenity, and a greater concern for accuracy over volume” (p. 3). Knowles (1965) was concerned to argue that an adult’s interest in learning did not change with age; it was rather the areas of interest that changed according to the different stages of the life cycle. Adults experienced a changing pattern of concerns – not a loss of interest in learning. Knowles drew on the thinking of 93
Thurman White who had described some of the features of the changing interests of adults. The source of White’s thinking was not supplied by Knowles in the 1965 monograph but White’s (1964) article, “The Emerging Curriculum”, which touched on these areas, was included in the bibliography of Knowles’ Higher Adult Education in the United States (1969). In The Leader Looks at the Learning Climate (1965), Knowles described learning as “a relatively lasting modification of behaviour resulting from a ‘learning experience’“ (p. 4). In previous works, Knowles had not stressed the permanence of the change. He restated his 1961 conviction that all education was self-education and re-expressed, in terms similar to those of 1950 and 1961, that the teacher functioned as facilitator of self-directed or mutual learning, and not as the transmitter of knowledge.
Adult-Youth Learning Differences In The Adult Education Movement in the United States (1962), Knowles described briefly three ways in which adults differed from youth in their learning. These differences related to experience, purposes for learning and use of time. In his 1965 work, Knowles reframed his thinking and set out four categories of difference relating to self-concept, accumulated experience, readiness to learn and time perspective. He pointed out, significantly, that in describing differences, the characteristics of youth education were those “typically assumed in traditional schooling” (p. 6). He did not ascribe to them any necessary or objective validity. Difference in self-concept. Because of the assumptions prevailing in traditional schools, Knowles (1965) contended that youth saw themselves as essentially dependent persons with only a passive role in the educational process. Youth were accepting of the concept of dependency and expected that important decisions in their lives would be made for them by adults. By contrast, Knowles argued that adults saw themselves as responsible, self-directing and independent personalities. They resented being treated like children and avoided situations where that could occur. This was the first time Knowles had argued this point in such a direct way. Differences in self-concept between children and adults had not been included by Knowles in his set of distinguishing features in The Adult Education Movement in the United States (1962) but the theme of self-direction was present in his earlier 94
Informal Adult Education (1950). In the latter work, it was the group that was independent and self-directing. Knowles had written about adult psychology in 1950 and had expressed his thoughts in terms of the individual’s growth towards maturity and self-direction rather than in relation to any inherent adult quality of independence. What, in 1950, was a growth urge, became, in 1965, a characteristic of an adult’s self-concept. As a consequence of the adult’s self-concept as an autonomous individual, Knowles (1965) argued that leaders should work towards involving learners in the planning and conduct of their learning, in selecting content and in evaluating progress. The learning situation, he maintained, ought to be non-judgmental and characterised by friendliness and informality. Difference in accumulated experience. Knowles had included experience as one of the three adult-youth learning differences described in The Adult Education Movement in the United States (1962). In the 1965 work, he expanded only slightly on the earlier writing. He maintained that adults were less dependent than youth on the vicarious experiences of teachers and textbooks; they brought to their learning a greater accumulation and wider variety of experience than youth; they had a broader foundation on which to build new learnings; and because of that foundation, were more easily able to relate new learnings to past experience than were youth. Knowles (1965) advised leaders of adult groups to put greater emphasis on techniques that tapped the experiences of the learners. He also warned of the importance of helping adults “unfreeze” earlier learning habits which had become fixed: some past experiences had the potential to hamper creative thinking and innovation. Difference in readiness to learn. A new element in Knowles’ 1965 thinking was his incorporation of ideas from Robert Havighurst’s (1952) Developmental Tasks and Education. This work linked developmental tasks to the major social roles occupied by adults. The roles identified by Havighurst were those of worker, mate, parent, home maker, son or daughter, citizen, friend, organisation member, religious affiliate and user of leisure time. These roles were directly related to the tasks expected of adults as they moved through the life span from early adulthood, to middle age, to maturity. Examples of Havighurst’s developmental tasks from each of the three phases of adulthood included:
getting started in an occupation; 95
achieving social and civic responsibility; and
adjusting to decreasing physical strength and health.
Knowles (1965) held that readiness to learn could be traced through changes in developmental tasks. Children, youth and adults, according to Knowles, “learn best those things that are necessary for them to advance from one phase of development to another. Each of these ‘developmental tasks’ produces a ‘readiness to learn’ that at its peak presents a ‘teachable moment’“ (p. 9). Until learners (adults or children) are confronted by the demands imposed by the requirements of a new developmental task, they are not at their optimal learning level. Knowles did not speak of degrees of readiness to learn but that notion was implied in the expression “teachable moment”. It is significant that Knowles (1965) made no distinction between children and adults in relation to the confronting of new tasks. Young children faced demands such as learning to crawl and then learning to walk. The common factor for both adults and children was the need to respond to developmental tasks. The difference had to do with the nature of the tasks and the position occupied by the learner in the life span. The needs of the learner mattered to Knowles. An important corollary spelt out by him was that leaders ought to ensure that the sequence of learnings “be strongly influenced by the developmental tasks of the learners, not just by the logic of the subject matter or the needs of the sponsoring institution” (1965, p. 12). Difference in time perspective. What, in 1962, had been referred to by Knowles as different “purposes for learning” (p. 255), became in 1965, “difference in time perspective” (p. 12). Since the writing of Informal Adult Education (1950), Knowles had consistently argued that adult learning focused on the solving of real- life problems derived from the needs and interests of the learner. The problems were current and the perspective was one of immediate application. It was Knowles’ (1965) contention that adults entered their learning experiences in a problem-centred frame of mind. Youth, by contrast, entered educational activities in a subject-centred frame of mind. Knowles (1965) considered their perspective to be one of postponed application: learning for them was a process of gathering subject knowledge and skills that could be used later in adult life. Knowles’ thinking here was similar to that 96 in The Adult Education Movement in the United States (1962) where he described adult-child learning differences and set out new assumptions for the education of youth. Knowles’ (1962) point that adults make more efficient use of the learning time available to them was not repeated in 1965. Leaders were urged by Knowles (1965) to accept as a given the problem- centred focus of adult learners and to ensure that the starting point of their learning be the actual concerns they brought with them. The central organising principle for learning sequences, he held, should be problem areas and not subject matter divisions. If a teacher maintained a person-centred approach, then a focus on problems would follow naturally.
A Common Approach to Learning Knowles (1965) did not set up a dichotomy in relation to optimal methods for the teaching of adults and youth. He indicated clearly in 1962 and 1965 that it was the set of assumptions operating in traditional schools that were not appropriate for adults. The final major point he made in The Leader Looks at the Learning Climate (1965) was that both adults and youth could benefit from the same strategies: Now that a case has been made for adults being different from youth as learners, the question might well be raised: ‘Wouldn’t youth learn better, too, under conditions in which they felt respected, were involved in the planning and conducting of their own learning, actively contributed their experience, had their learning sequenced according to their developmental tasks, and conducted their intellectual inquiry in terms of real life problems?’ The chances are probably pretty good that they would learn better, and some strides are being taken in this direction in some of the new high school curriculums. But we know that these conditions must prevail in adult education because adults are voluntary learners who have the freedom to withdraw from situations that violate their integrity, whereas youth are compulsory learners who have little choice as to whether to accept imposed instruction or not. (p. 13)
Knowles had not previously made such an explicit statement. In 1962, he had shared his vision of all education becoming a unified lifelong education movement. Such a possibility could be realised only if the assumptions relating to traditional school education were radically revised. Knowles (1962) had devised a set of assumptions for youth education. At the same time that he was devising these assumptions, he was clarifying his thinking about the differences between adult and child learning. The differences were not described in objective terms and there was 97 no necessary conflict between them and the possibility of adults and youth, together, engaging in the same sorts of educational experiences.
Conclusion The themes addressed by Knowles in The Leader Looks at the Learning Climate (1965) were chiefly: the ability of adults to continue learning throughout their life span; the changing pattern of interests during the adult years; and adult- youth learning differences and their implications for adult learning strategies. The new elements in the work were Knowles’ incorporation of ideas from Lorge (1963) and Havighurst (1952), as well as the provision of:
a revised set of categories for adult-youth learning differences;
details of how adults and youth differed in self-concept;
details of differences in readiness to learn;
suggested learning strategies for leaders of adult groups; and
a proposal for a common approach to learning.
The possibility of a paradox being created through Knowles’ recognition of adult-child learning differences and his simultaneous belief that adults and children could engage in the same sorts of learning experiences was removed by his
acceptance that the differences were based on assumptions about learning (1965);
non-ascription of any necessary or objective validity to the differences (1965); and
proposing of a new set of assumptions for the education of youth (1962). Knowles’ vision in 1965 was very much a continuation of that expressed in 1962 when he first set out his thinking on adult-youth learning differences. The 1965 suggestion of a common approach to learning was fully congruent with his 1962 thinking about a unified lifelong education movement.
The Professional Nurse Looks at the Learning Climate (1966)
Knowles’ 1965 monograph, The Leader Looks at the Learning Climate, was followed a year later by The Professional Nurse Looks at the Learning Climate. The latter contained little new thinking. It was an adaptation of the former work and reflected Knowles’ involvement in nurse education programs in the early 1960s. 98
Kett (1994) reports that it was in the early 1960s that some North American universities began to introduce special centres or institutes for women returning to college. This development was an outgrowth of the women’s movement which encouraged women to start or restart careers. By the mid-1960s, there were approximately 100 continuing education programs for women in the United States (Kett). The 1960s saw an expansion in university extension courses geared to the continuing professional development of physicians, nurses, engineers and teachers (Knowles, 1977). This was the period when government began to question the adequacy of individual self-direction and sought greater monitoring of professional standards (Stubblefield & Keane, 1994). Continuing education became mandatory for professional relicensure in many states; it was a requirement that “struck most professions with explosive force in the last half of the 1960s” (Houle, 1980, p. 279). According to Stubblefield and Keane (1994), the growth of continuing professional education was stimulated not just by the knowledge explosion and increased occupational specialisation, but also by the growing acceptance of lifelong education and “the recognition that adult learning differs from the learning of children in significant ways” (p. 264). It was within this context in the early 1960s that Knowles became involved in professional nurse education programs. In The Making of an Adult Educator (1989), he recorded two instances of his involvement. A 12-week teleconference course in adult learning principles was conducted by him for graduate nurses at West Virginia University. Knowles viewed the degree of participation by the nurses very positively. A different situation applied at Boston University where it had become compulsory for nursing administration majors at the School of Nursing to complete one of Knowles’ graduate courses in adult education. In this instance, Knowles became aware that some nurses felt no need for further training and were actively resisting participating. The publication of the two monographs, The Professional Nurse Looks at the Learning Climate (1966b) and The Professional Nurse Looks at Self-Development (1966a) was a direct result of Knowles’ involvement in nurse education programs. Knowles was convinced of the need for maximum participation by students in their learning. Such a need was reinforced by the requirements for professional relicensure and the growing demands of continuing professional education. Also, there had been, 99 since 1965, a push by the American Nurses’ Association for beginning nursing practitioners to obtain a bachelor’s degree as minimal professional preparation (Arms, Chenevey, Karrer & Rumpler, 1984). In The Professional Nurse Looks at the Learning Climate (1966b), Knowles specifically addressed the matter of resistance to learning: “Some nurses resent the suggestion that they need to do some reading, ‘I went to a good training school – back in the good old days when we learned nursing’ ” (p. 3). He made the point that, irrespective of attitude, nurses had to be both teachers and learners on a continuing basis. The necessity to learn was based on the knowledge requirement implied in the term “profession” and on an acceptance of “the necessity of an endless search for new knowledge” (Knowles, 1966b, p. 2). Knowles had not previously referred to the need for continuing professional development. His brief reference in this 1966 work came with the reminders that over the past 20 years there had been major growth in professional education for nurses; that many were taking up opportunities to learn; and that many were frustrated in their attempts to do so. As part of his encouragement to nurses to look at their learning needs, Knowles (1966b) applied the notion of changing developmental tasks to the life of a career nurse. The comments, though similar to those made in The Leader Looks at the Learning Climate (1965), were aimed directly and specifically at nurses and showed clearly the ongoing need for learning as nurses moved up the occupational ladder: The nurse’s professional role required some degree of teaching: Today’s nurse, regardless of position or working environment, is also recognizing her responsibility to teach. In-service education and staff development programs as well as on-the-job orientation training needs are requiring nurses to teach something – to somebody – at some time. (1966b, p. 2)
Knowles’ aim in publishing The Professional Nurse Looks at the Learning Climate (1966b) was to help nurses in both their teaching and learning roles. The small amount of new thinking in the work arose out of the application of ideas from The Leader Looks at the Learning Climate (1965) to the particular situation of career nurses. The 1966 work concluded with a revised bibliography.
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The Professional Nurse Looks at Self-Development (1966)
Another adaptation for nurses of an earlier work was The Professional Nurse Looks at Self-Development (1966a). This monograph was an adaptation of the 1961 work, The Leader Looks at Self-Development. Knowles (1966a) acknowledged that nurses faced “increasing challenges to develop their leadership ability” (p. 3) but he argued against the notion that responsibility for leadership rested only with those who held positions of authority. Every nurse (including the “scrub” nurse) had such a responsibility. The purpose of The Leader Looks at Self-Development (1961) was to show leaders where to find help in developing leadership competencies. This aim was maintained in The Professional Nurse Looks at Self-Development (1966a). The most significant changes were the revising and updating of the bibliography and study guide and the inclusion of a new set of references from the nursing literature. Knowles’ interest in leadership was apparent from the writing of his major work in 1950. The lowliest worker had a leadership role; so did supervisors, managers and others. Knowles looked to adult education as a means for developing leadership skills. Adult education, also, needed direction and leadership, and it was to this area that Knowles turned his attention in 1969.
Higher Adult Education in the United States: The Current Picture, Trends, and Issues (1969)
Forces for Change Knowles (1977) considered that the 1960s were years of transition from rapid change to explosive change. Lifelong learning had begun to emerge as a new paradigm in education (Stubblefield 1988). It was nurtured by the knowledge explosion which had altered the nature of work and led to an increasing complexity of occupations. One consequence was that workers at all levels had to be continually educated and trained (Stubblefield & Keane, 1994). The demands on higher adult education were great. Knowles (1977) wrote that there were “growing pressures from a variety of sources to make higher education more accessible to more people – especially part-time working adult students” (p. 297). These pressures included major expectations by federal, state and 101 local governments that universities would provide training, planning and policy services. There were demands for services, also, by occupational groups, community organisations, business, industry and labour groups (Knowles, 1969). Some of the needs Knowles (1969) saw as “pushing universities along the road of revolution” (p. 19) included:
new skills for new jobs;
the upgrading of skills for old jobs;
rehabilitative programs for prisons;
education for the handicapped;
education for women;
education for the aged; and
education for an informed citizenry.
Knowles (1969) wrote of the need for “resolving social ills of race, poverty, health, land use, pollution, and a thousand others” (p. 19). Part of the broader picture for him was his perception that adult education had a role to play in resolving these ills and that it was becoming “accepted as an essential ingredient in the national educational approach to social betterment” (p. 24). The 1960s were a time when major moves were being made to eliminate illiteracy and inequality in education (Knowles, 1977) and when government agencies were becoming increasingly involved in adult education (Colvard, 1969). President Johnson’s War on Poverty (1964-1968) focused on the importance of training for work; brought together issues of race and poverty; and looked to adult education as the instrument for solving social problems (Stubblefield & Keane, 1994). The mid-1960s to 1970 were years that witnessed aircraft hijackings, race riots, anti-war demonstrations and the assassinations of Robert Kennedy and Martin Luther King (Knowles, 1977). Hippy communities were being established in San Francisco, and movements for women’s rights and the development of human potential were growing (Stubblefield & Keane, 1994). There was a sense of dissatisfaction with the status quo. Knowles (1977) felt that this was a time of disillusionment with American leadership. The pressures exerted on the universities during these years produced a great number of non-traditional and external degree programs and the greatest growth ever 102 in adult higher education (Knowles, 1977). Paul Miller, initial chairman of the American Council on Education’s Committee on Higher Adult Education, wrote: “Looking across the vast front of American education, one finds a spectacular growth of adult education in its many forms, yet also a sustained uncertainty about how best to fit it into overall institutional goals” (1969, p. xiv). It was against this background of expansion and uncertainty that Higher Adult Education in the United States (1969) came to be written.
Aims of the Study Higher Adult Education in the United States (1969) was a study by Knowles of 173 books, monographs and papers from the ERIC Clearinghouse on Adult Education and the Library of Continuing Education at Syracuse University. The majority of the works studied came from the period 1960 to 1968. The research was commissioned by the American Council on Education which sought a report that would list and analyze recent studies in higher adult education and identify the major issues confronting the field. The aims were also intended to include an overview of higher adult education which would have value for all who had an interest in higher adult education (Colvard, 1969). There was a perception by the Council that higher adult education was not a clearly delineated field and that greater co-ordination and clarity were required (Wilson, 1969; Colvard). Knowles’ (1969) hope was that the study would provide a guide to discussion and inquiry and that it would “launch a higher adult education process” (p. 5). He saw the university as having undergone a revolution in basic character, from educating youth to serving at least equally adults and community. The revolution gave rise to a particular set of difficulties: The problem appears to be, essentially, cultural lag: the constituency of the university has been shifting toward the adult end of the spectrum while the service of the university has been shifting toward the larger community. The governance and policy structure remain much the same as when the university’s constituency was primarily youth, and its program orientation remains much the same as when services were primarily teaching and research. (p. 4)
There were no commonly accepted yardsticks against which institutions could measure their policies and practices. Knowles (1969) hoped that his research would help leaders of higher education to confront the issues and to clarify and 103 revise roles, policies and programs. The tasks were seen as being important not just for the institutions but for the viability of a knowledge-centred society. Knowles divided his analysis into sections which dealt with the purpose of the study; the current situation; forces pressing for change; trends; and contemporary issues. It was in dealing with the current trends in higher education that Knowles, for the first time in a major work, used the expression, “andragogy”.
Andragogy Knowles first met the Yugoslavian adult educator, Dusan Savicevic, in 1966. In The making of an Adult Educator (1989), Knowles recalled the year as 1967 but Sopher (2003) shows 1966 to be correct. It was at the meeting with Savicevic that Knowles was introduced to the term “andragogy”. According to Sopher, Savicevic described the European understanding of andragogy as the academic discipline which embraced the study of all aspects of adult learning. Sopher suggests that Knowles did not grasp the meaning that Savicevic had intended and saw andragogy rather as a symbol of adult learning theory. By 1965, in The Leader Looks at the Learning Climate, Knowles had formulated a rough outline of his own theoretical framework for adult learning. Following the meeting with Savicevic, Knowles was in a position to attach a name to his framework. He wrote: “It made great sense to me to have a term that would enable us to discuss the growing body of knowledge about adult learners in parallel with the pedagogical model of childhood learning” (1989, p. 79). Accordingly, Knowles applied the new term to his own thinking. The first major work in which he referred to andragogy was Higher Adult Education in the United States (1969). Knowles had used the term in an earlier 1968 journal article entitled, “Androgogy, Not Pedagogy!”. The initial spelling, “androgogy”, was based on Savicevic’s (1968b) use, but following advice from the editors of Merriam- Webster Dictionaries, Knowles adopted the spelling “andragogy” in the 1969 and subsequent works. Savicevic (1968a) also adopted this new spelling. In Higher Adult Education in the United States (1969), Knowles wrote of the meaning of andragogy: “this label distinguishes the study of adult learning and teaching from the study of youth learning and teaching symbolized by the label pedagogy” (p. 28). At this point, Knowles preserved the notion of andragogy as an academic discipline. He went on to add, however, “the four main sets of assumptions 104 on which current andragogical theory is based have to do with differences between children and youth” (p. 29). The context makes it clear that Knowles meant, “differences between adults and youth”. Of significance is the fact that the differences were precisely those set out by Knowles in The Leader Looks at the Learning Climate (1965). By associating andragogy with particular ideas on adult- youth learning differences, Knowles effectively moved away from the European understanding of andragogy towards a specific use for the term involving a particular theoretical perspective. That perspective was his own. Subsequently, “andragogy and the name of Malcolm Knowles have become inextricably linked” (Smith, 2002a, ¶ 2). In 1969, Knowles renamed one category of difference but did not otherwise modify what he wrote about adult-youth learning differences in 1965. His discussion of the topic in the later work contained no new thinking and was significantly briefer than in 1965. Knowles (1969) described the differences as those relating to self- concept, experience, readiness to learn and orientation to learning. What, in 1962, had been referred to by Knowles as different “purposes for learning” (p. 255), became in 1965, “difference in time perspective” (p. 12) and in 1969, difference in “orientation to learning” (p. 29). Knowles’ thoughts on the unique characteristics of adults as learners had been evolving since 1962. The major new development in 1969 was the attaching of the label “andragogy” to his thinking. The text of Knowles’ treatment of andragogy in the 1969 work is reproduced in Appendix I.
Issues of Curriculum and Methodology Knowles (1969) argued against adult education assuming a mere remedial role in relation to deficiencies in childhood education. He restated his conviction of 1961 and 1962 that it was no longer sufficient for education to be occupied solely with the transmission of knowledge. He declared (in terms similar to those used in 1962): “The new world requires a new purpose for education – the development of a capacity in each individual to learn, to change, to create a new culture throughout his lifespan” (1969, p. 23). Knowles (1969) argued that what he had first expressed as a hope in 1962 was, by 1969, becoming a reality. He saw evidence that lifelong learning was beginning to influence elementary and secondary education and that new curricula in Mathematics, Science and Social Studies were being organised around concepts of 105 inquiry. He saw little evidence of change in collegiate education. He maintained, however, that in higher adult education, the development of new curriculum theories, special degree programs, and educational counselling services were such as to provide “a sequential continuity of learning experiences throughout the adult years” (p. 24). Knowles had predicted this possibility in 1962. Two years later, Thurman White had written: We do not now have a continuing curriculum for adults. We do not now have an integrated curriculum. In no place in America can an adult do organized study of all his learning concerns. In no place in America can an adult pursue one learning concern, through its many changes, during his lifetime. In no place in America can an adult integrate his efforts to fulfill several learning concerns during any phase of maturity. The adult curriculum is incomplete, discontinuous, and uncommitted. (1964, p. 59) By 1969, the situation had changed and Knowles (1969) felt able to affirm that “an effort to develop total university programs based on the concept of continuity has begun” (p. 33). Since 1950, Knowles had consistently stated the need for maximum learner participation in the conduct and planning of learning experiences. In Informal Adult Education (1950), the need was described in terms of informal learning situations. In Higher Adult Education in the United States (1969), the context had changed to institutions of higher learning. Knowles (1969) maintained the same stance as in previous writings but focused on the university’s organisational structure and drew on examples from more informal settings: A problem of organization, perhaps unique to the adult educational segment of the general educational enterprise, is the role of the clientele in program development and operation. It is a cardinal principle in adult education that provision be made in the organizational structure for participants’ representatives in the decision-making process. Many public school evening programs, for example, have citizen’s advisory councils; most voluntary agency programs have program-planning committees; and cooperative extension uses county advisory committees. There is strong evidence from studies of these programs that their strength and quality correlate directly with the strength and quality of the client representation in planning. But the tradition is strong in higher education that decisions about program are made by the faculty; there are few examples across the country of mechanisms created to involve community representatives in planning courses for adult constituencies of the universities. (p. 15)
In his own classes at Boston University in the early 1960s, Knowles felt free to put into practice much of his own thinking. In The Making of an Adult Educator 106
(1989), he reported how he had experimented with:
self-diagnosis of learning needs;
student-initiated learning projects;
competency-based course syllabi;
learning contracts;
peer inquiry teams;
self-evaluation; and
performance assessment. Knowles was committed to involving his students as fully as possible in the planning and conduct of their learning. He recognised the limitations placed by the universities on their teaching staff but, by 1969, had begun to perceive significant trends in universities that took into account both the needs of the community and the unique characteristics of adults as learners.
Trends within the Universities Knowles (1969) acknowledged that most university adult educators recognised a responsibility for the education of adults. The problem had to do with the precise ways in which that responsibility would be exercised. Among the options discussed by Knowles was the view that the mere extending of a university’s existing program to the community was, at best, inadequate. According to this viewpoint, the weakness of much higher adult education lies in the mimicry of traditional curricula … the university should actively study the educational needs of communities and individual adults. In these needs it will find not only new areas where education should be provided but also the seeds of new subject matter and research problems. All the activities that bring the university into vital interaction with society should be viewed together, whether or not they fit the traditional labels of extension or adult education. Similarly, the implications of lifelong learning for the present undergraduate and graduate programs should be examined. (p. 26)
Knowles’ analysis of the literature provided positive and optimistic support for this viewpoint. His discernment of trends was as follows (Knowles, 1969, pp. 30- 33): 1. There is a tendency toward greater flexibility in the manner in which adults can work toward a baccalaureate degree; 2. the new formats for adult learning invented in recent years are rapidly exceeding traditional credit courses in student participation; 107
3. the special problems of urban living and of increasing urbanisation of society in general are causing urban universities to become more deeply involved in research and educational programs directly concerned with city living and city planning; 4. special programs to meet the unique needs of women as a separate audience are being developed across the country; 5. the average citizen’s increased interest in the arts and in cultural activities generally has pressed universities into a more active role in providing for the cultural needs of their communities; 6. attention to adult educational counselling, as an integral part of continuing education and especially as an aid to independent study, is increasing; 7. increased attention is given to in-service training for adult education faculty in the concepts and skills of the new adult educational technology; 8. concepts of academic excellence and standards of evaluation are developing which are geared to the unique functions of higher adult education and the unique characteristics of adults as learners; 9. implications of the concept of continuing education for the education of undergraduates are beginning to receive attention; 10. attention to developing educational programs and services for alumni and other members of the college and university community is increasing.
In explaining his findings, Knowles (1969) restated the assumptions he had proposed for the education of youth in 1962. He returned to the possibility (expressed in 1965) of there being a common adult-youth approach to learning and pointed out that, by late adolescence, individuals had acquired most of their adult traits: there was evidence to suggest that adolescents, as well as adults, learned better when taught according to andragogical principles. Knowles went so far as to write, “some analysts of higher education are attributing the current unrest on college campuses to the pedagogical orientation of undergraduate curricula, teaching, and governance” (1969, p. 32). There was in this comment a clear suggestion that student demands for reform could be met by the adoption of andragogical teaching methods and programs. 108
The Survival of Higher Adult Education as a University Function Knowles (1969) maintained that the ultimate issue confronting higher adult education in the 1970s was that of survival. He argued that society had a massive need for relevant and dynamic programs for the continuing education of adults and that if the institutions of higher education could not satisfy those demands, they would be met elsewhere. Knowles noted, in particular, the higher educational services provided by business and industry, government agencies, professional associations, and proprietary schools. His position was that already, a substantial volume of higher adult educational services was provided outside the academic institutions. Knowles (1969) held that an increasing proportion of participants in continuing education would be graduates; they would enter programs as educated persons and would bring with them an awareness of having to take responsibility for inquiry. The universities and other institutions of higher learning were ideally suited to accommodate such students but there were national, state and institutional issues to be resolved. In the final chapter of Higher Adult Education in the United States (1969), Knowles supplied details of the issues needing to be worked through. Some issues had bearing at the highest level of government. Knowles asked, for instance, whether there should be a White House conference every 5 years to reassess the needs and resources of higher adult education as an instrument for achieving national goals. He also raised the question, “how can more effective international relations be achieved on the part of our national higher adult education enterprise: with international organizations such as UNESCO, with other national systems of higher adult education, with overseas developmental and growth endeavours?” (p. 44). Knowles (1969) saw the possibility of American adult education playing a key leadership role in world-wide continuing education. He noted the establishment of some American extension programs overseas but feared that university adult educators might be so preoccupied with maintaining their own operations that they would have little energy left to perform leadership roles. The resolving of issues at all levels would help. At the institutional level, it was important that institutions of higher learning have an understanding of how they related to each other. Knowles specifically raised 109 the matter for consideration in 1969. He had, in 1962, predicted the emergence of an integrated adult education movement and saw its mission then as being primarily to engage the representatives of the various institutions … in the construction of a master plan for human growth during the adult years that would enable each institution to make those contributions to an individual’s development that it is uniquely qualified to make, and to make those contributions in such a way that they would build cumulatively on the contributions of all other institutions. (p. 278)
Co-ordination was important. In order for an integrated adult education movement to emerge and, for the benefit of the individual, institutions had to clarify their goals and their relationships. Of particular importance for Knowles was his developing theory of adult learning. He had, in Higher Adult Education in the United States (1969), explained his understanding of andragogy and noted that the theory was “at this time … largely speculative” (p. 29). Knowles asked institutions to consider three sets of questions directly related to the unique characteristics of adults as learners (1969 p. 45): 1. Should the curriculum and methodology of higher adult education be based on different assumptions and concepts than the regular programs for youth? How shall these assumptions and concepts be formulated, disseminated and adopted? 2. Should the quality of programs (and the evaluation of the students in them) be assessed according to different standards from those used to assess the regular programs for youth? If so, how should these differential criteria and standards be formulated, disseminated and adopted? 3. Is it essential to effective program development for an adult clientele that the constituents be involved in the planning of programs affecting them? If so, what mechanisms for involving the clientele in program development can be created which do not conflict with the already established university decision- making machinery?
Despite the existence of many issues needing to be resolved, Knowles (1969) contended that adult education had established itself as an identifiable field of practice and was moving into the phase of an organised social system. This phase, according to Knowles, was characterised by efforts to:
achieve policy clarification; 110
define roles of subsystems;
achieve co-ordination;
establish norms and standards;
provide for the continuing development of personnel;
relate to similar movements in other countries; and
gain understanding and support from the public. Higher adult education had provided leadership for the entire field of adult education. As Knowles (1969) saw it, the issues still to be resolved provided the agenda for continuing higher adult education leadership in the next decade. Survival remained an issue but it was not the survival described by Knowles in Informal Adult Education (1950) and The Adult Education Movement in the United States (1962). Knowles’ thinking in those works was that adult education and lifelong learning would work to ensure the survival of civilisation. This thought was not apparent in the 1969 work. Instead, it was the survival of higher adult education as a university function that was at stake. Such survival, Knowles (1969) declared, was “threatened unless university policy-makers successfully resolve the issues now confronting them” (p. 46). Knowles’ concern for co-ordination and direction in the field of adult education go back to his years from 1951 to 1959 as Executive Director of the Adult Education Association of the USA. Knowles’ opinion, in 1960, was that adult education had not attained unified national status nor had it achieved recognition as an instrument of national policy. The unity, direction and co-ordination of the field remained important concerns for him. In 1962, he wrote The Adult Education Movement in the United States. In doing so, he hoped to be able to view the field as a total system of institutional components and to bring “order out of the … chaos” (p. vii). Knowles’ aims in writing Higher Adult Education in the United States (1969) were fully congruent with his concerns for order, direction and co-ordination within the field of adult education.
Conclusion
The period 1965 to 1969 opened with Knowles’ The Leader Looks at the Learning Climate (1965). It was in this work that Knowles spelt out fully his thoughts on the unique characteristics of adults as learners. The adult-child learning 111 differences described by him in The Adult Education Movement in the United States (1962) were very brief. The first full treatment of the topic occurred in 1965. It was in this work that Knowles
revised and expanded his categories for adult-youth learning differences;
supplied details of differences not given in 1962;
made a proposal for a common approach to learning.
In the monographs, The Professional Nurse Looks at Self-Development (1966a) and The Professional Nurse Looks at the Learning Climate (1966b), Knowles, for the first time, expressed a clear interest in continuing professional development and especially that of the nursing profession. These works were adaptations of The Leader Looks at Self-Development (1961) and The Leader Looks at the Learning Climate (1965). The period 1965 to 1969 closed with Knowles’ Higher Adult Education in the United States (1969). The major new dimension to Knowles’ writing, as expressed in that work, was the application of his thought to institutions of higher learning. Newly-addressed topics included:
trends and issues confronting higher adult education;
survival of higher adult education as a university function;
the leadership function of American higher adult education.
In 1969 Knowles also returned to adult-child learning differences, but his treatment of those differences was not as complete as that given in The Leader Looks at the Learning Climate (1965). The most significant new development was the attaching of the label “andragogy” to thoughts which were first fully expressed in 1965. It was this term that Knowles would use to convey his ideas in The Modern Practice of Adult Education: Andragogy Versus Pedagogy (1970). In terms of Knowles’ thinking on adult learning theory, the 1970 work would contain no major surprises. The treatment of andragogy, however, would be fuller than anything previously given and would involve Knowles’ arguing his case in a cogent and compelling way. The publication of The Modern Practice of Adult Education would be the culmination of 20 years of reading, writing and research.
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SUMMARY OF PHASE 2 THINKING
In his second phase of writing, Knowles took significant steps towards developing a comprehensive theory of adult learning. This was a new aim and one that went considerably further than the formulating of good principles and practices. Key developments at this time were Knowles’ expanded definition of adult education, his development of a typology of adult learning programs and basic knowledge hierarchy, the compiling of a new set of adult learning principles, a classifying of adult-child learning differences and the attaching of the label “andragogy” to his thinking. These developments, like those of Phase 1, contributed significantly to the 1970 andragogical framework. Adult education defined. Knowles’ understanding of adult education was not narrowly conceived. His definition took into account the general experiences of adults when learning, the particular programs and activities they engaged in, and the whole field of adult learning. This breadth was important in relation to Knowles’ later hope of seeing andragogy function as a unifying theory of adult education. Typology of adult learning programs. Knowles’ typology was meant to reflect the scope, depth and vitality of adult education. In the period 1960 to 1969, he began increasingly to perceive the emergence of a unique curriculum and methodology for adult learners. The typology did not rule out avocational and recreational learning. It was broadly conceived and reflected his understanding of the wide compass of adult education. The 14 categories of the typology were not necessarily clear-cut. As Knowles saw it, the adult’s approach to learning was problem-centred and conditioned by the need both to engage in developmental tasks and to function as a member of society. These factors had an important bearing on the way in which content was classified and organised. Knowledge hierarchy. Knowles had been writing about competency development since 1950. Very early in the second phase of his writing, he set out a broad classification of competencies he considered necessary for leadership self- development. These were described under a four-category hierarchy ranked from lowest to highest as: knowledge, skills, insight or understanding, and attitudes or feelings. Attitudes and feelings were the least subject to rational examination and, therefore, were the most difficult forms of learning. Knowles accepted that a learner’s education was never complete and that an educative attitude was a 113 prerequisite for continued self-development. An essential component of that attitude was an openness to learn from every new idea and new experience. The hierarchy was important in relation to andragogy’s ability to assist learners at any point along the learning continuum and, later, to identify with some of the newer thinking on critical reflection and perspective transformation. Adult learning principles. The first set of principles with a strong learner focus was produced in the second phase of writing. Knowles took one of his earlier teaching-learning assumptions, that of learning as an internal process, and placed it first in a set of five new adult learning principles. These principles recognised both active and unconscious forms of resistance to learning as well as the pain involved in giving up familiar ways of acting and thinking. They were also positive and optimistic. Knowles suggested ways of dealing with resistance to learning and, importantly, made a direct link between learning and self-inquiry. The principles took seriously the belief that learning was tied to the learner’s own goals, problems, motivation, experience and self-evaluation. They gave a specific place to group experience as a means for facilitating and strengthening learning. Although few in number, the principles were significantly different from any Knowles had previously produced. The principle that learning was an internal process, combined with the idea that learning involved the whole person, led easily to the construction of thoughts on self-concept, experience, readiness to learn and orientation to learning. Knowles had been thinking about principles of learning and teaching since 1950. Those principles prepared the groundwork for, and contributed to, the development of the adult-child learning difference framework. Adult-child learning differences. A new development in the second phase of writing, and one which arose out of Knowles’ desire to describe the unique characteristics of adults as learners, was his classification of adult-child learning differences. The first, very brief, exposition of thinking on these differences occurred in 1962. Knowles added to that in a major way in 1965 and returned to the topic again, briefly, in 1969. The 1969 categories of difference were expressed in terms of self-concept, experience, readiness to learn and orientation to learning. The adult-child learning difference framework provided an operational context in which principles of adult learning could be applied. This was particularly so in terms of Knowles’ belief that all education was self-education. As Knowles 114 understood it, self-education was not a principle that applied in traditional childhood education – but it could, and should, apply to adult education. The notion that adults differed from children in respect to self-concept was essentially a theoretical construct built around the principle of self-education. Knowles’ language was unambiguous: “Youths tend to see themselves as essentially dependent persons…. Adults, on the other hand, tend to see themselves as responsible, self-directing, independent personalities…. Adults tend to resist learning under conditions that are incongruent with their self-concept as autonomous individuals” (1965, p. 6). The link between learning and self-directedness was clear. Also clear was Knowles’ conviction that the differences related to assumptions about learning rather than to any objective reality. Andragogy. In 1965 Knowles was already writing about “the new technology of adult education” (p. 7). The essentials of the adult-child learning difference framework were in place by that year. The attaching of the label “andragogy” signified Knowles’ preparedness to mark his thinking in a distinctive way. Whatever may be said of the meaning of the term as it was used originally in Europe, and Knowles’ own observations of the field of adult education in North America, his particular use of the term gave to his thinking an identifying label that it would not otherwise have possessed. It is unlikely, however, that Knowles’ ideas would have been significantly or radically different had he not come across the term “andragogy”. His conceptual threads were already being woven into a useable garment. The label allowed the garment to be identified as coming from Knowles and not just as one of the many proffered in the adult-educational market place. Knowles applied the term “andragogy” to his thinking before the first full exposition of his ideas in 1970. His belief was that the expression permitted the proper positioning of adult education in the field of educational discourse, particularly in relation to childhood education. In his writing, however, Knowles made such a strong link between andragogy and his four andragogical-pedagogical assumptions that the term came to be associated more with him and his assumptions than with educational discourse generally. Contributions to the 1970 andragogical framework. By 1969, The Modern Practice of Adult Education was one year off being published. Knowles’ initial thinking was bolstered and supported by new ideas that would make possible the development of a coherent theoretical framework. The chief contributions from the 115 period 1960 to 1969 included:
a broadened understanding of adult education;
the development of a typology of adult learning programs;
the arranging of competencies for self-development into a knowledge hierarchy;
a new set of learner-focused adult learning principles;
four sets of assumptions relating to adult-child learning differences; and
use of the expression “andragogy”. These contributions would be added to the earlier ones to form a new framework for understanding adult learning. 116
THE CLASSIC TEXTS
CHAPTER 5 THE DEVELOPED FRAMEWORK (PHASE 3)
THE MODERN PRACTICE OF ADULT EDUCATION: ANDRAGOGY VERSUS PEDAGOGY (1970)
This chapter discusses and accounts for Knowles’ Phase 3 thinking in the context of the writing of The Modern Practice of Adult Education (1970). This was the first work in which Knowles fully expressed his ideas on andragogy. Knowles wrote The Adult Education Movement in the United States in 1962. In a bare 200 words, he set out his thinking on adult-child learning differences. In 1965, he wrote The Leader Looks at the Learning Climate. In this work, his treatment of the topic went to a number of pages. Four years later, Knowles wrote Higher Adult Education in the United States. It was in this work that Knowles, for the first time in a major writing, applied the term “andragogy” to his thinking. His discussion of andragogy in 1969 was not as thorough as that of 1965. Knowles was, however (in 1969), near to completing The Modern Practice of Adult Education. This was the work toward which his thinking was being directed and in which he would give a detailed and full account of his thinking. In terms of Knowles’ overall thought, The Modern Practice of Adult Education had been long in the making. Knowles intended this work to be a successor to Informal Adult Education (1950). He noted, however, “I soon discovered that my perception of the theory of adult education practice had moved so far from where it was in 1950 that I really had to write a new book” (1970, p. 5). The entire focus of Knowles’ 1950 work had been on informal adult education as distinct from formal academic courses and recreational activities. In 1960 Knowles had gained his PhD and had been appointed Associate Professor of Adult Education at Boston University. By 1970 he had spent 10 years in this appointment and was thoroughly aware of the needs of students in institutions of higher learning. As a practitioner in the field of academic adult education, Knowles had come to the conclusion that it was no longer useful to distinguish between formal and informal courses (Knowles, 1970). 117
The Modern Practice of Adult Education (1970) incorporated significant new thinking by Knowles. He imposed an andragogical structure on his previous thoughts and reframed and re-expressed much that had been written earlier. The themes discussed by him in a new way dealt with the needs of individuals, institutions and society; the mission of the adult educator; the assumptions relating to adult-child learning differences and to the teaching-learning transaction; and the technology for applying andragogical theory. Knowles’ treatment of these topics involved a mix of old and new thinking. Where previous themes were again addressed, they were generally covered in a more detailed and comprehensive manner. Knowles (1970) wrote with conviction. His language tended to be stronger and more forceful than in earlier writings. Also, for the first time, he made frequent use of the notion of conflict: conflict between the pedagogical and andragogical assumptions; conflict between education and indoctrination; conflicting values and needs; and conflicting missions of the adult educator. Knowles’ experiences at Boston University had given him first-hand insight into the nature and problems of graduate and undergraduate education. He had come to see that in the course of their studies, undergraduates did not generally learn the skills of self-directed inquiry. He wrote: “They enter graduate school still dependent on their teachers to diagnose their needs for learning, formulate their learning objectives for them, tell them what they need to know, and then evaluate what they have learned” (1970, p. 376). Knowles (1970) was, however, convinced that students could become self- directed learners provided they were “plunged into” (p. 376) self-directed activities, were well-coached and had supportive environments. His experiences led him to conclude that after one semester’s immersion in the process, most students would become fully-fledged self-directed learners. The attitude of competitiveness, carried over from earlier schooling, took longer to overcome. This attitude, Knowles felt, did not fully change until the final stages of a master’s program. Knowles (1970) observed that, for most students, striving for self-direction in learning was “a euphoric, ego-expanding … life-enhancing” experience (p. 376). In the very last lines of The Modern Practice of Adult Education he reported and commented, “As one student wrote in his evaluation, ‘It’s like a narcotic – I’ve become addicted.’ And that is what our program is all about – continuing education” (p. 376). It is clear that Knowles regarded his program as a success. In writing his 118
1970 work, he invited readers to make their own assessment of the principles of the new technology of andragogy.
Knowles’ Aims in Writing The Modern Practice of Adult Education Knowles’ original intention in writing The Modern Practice of Adult Education (1970) was to revise his 1950 work, Informal Adult Education. His ideas on the theory and practice of adult education, however, had developed to the point where a simple revision of the earlier work was no longer possible. The structure of both books differed. Informal Adult Education had been divided into four parts dealing with the psychology of adulthood, program methodology, administration, and evaluation. The 1970 work was comprised of three sections dealing with the emerging role and technology of adult education, the administration and organisation of comprehensive programs and the application of andragogical principles to particular learning activities. When Knowles wrote Informal Adult Education (1950), he was aware of the challenges made by Lindeman (1926b) and Overstreet (1949). Lindeman had called for a new kind of textbook and new kinds of teachers; Overstreet had called for an education that would bring adults into a truly maturing life. Knowles’ new challenge in writing The Modern Practice of Adult Education was to explore “a comprehensive theory” of adult education that would give “coherence, consistency and technological direction to adult-education practice” (1970, p. 5). Both books had the same general purpose: to serve as planning guides and problem-solving tools but whereas the 1950 work employed the notion of informality as an overarching theme, andragogy became the dominant motif in 1970. Much of the practical, organisational and administrative advice that Knowles gave in 1950 appeared also in the 1970 work but the advice, in 1970, was incorporated into a structure that allowed it to be understood within an andragogical framework. Knowles used the three major sections in The Modern Practice of Adult Education (1970) to explicate his understanding of andragogy, to show how andragogical principles could be applied to comprehensive programs of adult education and to show how those principles could be applied, also, to specific learning contexts. Knowles (1970) took the view that his ideas, generally, were not necessarily the truth, nor the best; they were, rather, tools for presenting a framework. Knowles’ own role in writing The Modern Practice of Adult Education was that of a helper; he 119 saw his readers as adult educators who were seeking to improve their practice and who were prepared to compare and test ideas. The writing of the book represented a sharing of Knowles’ experiences and points of view. Because his ideas were expressed with conviction, Knowles felt that his readers ought to bring to the text an attitude of gentle scepticism. The speculative nature of the current state of thinking on adult learning theory was recognised by Knowles (1970). Adult education, as an identifiable field of study and practice was, according to him, in its fifth decade but the precise scientific foundation for a technology of adult education was lacking. Knowles declared, “for adventurous souls with a high tolerance for ambiguity, this is much the most exciting phase in the evolution of a new discipline” (p. 16). Educators would need to take risks and to construct theories that would later have to be modified. Knowles aimed to help his readers in their learning. He assured them: “I shall do my best to make this book a good example of an adult-learning experience” (p. 15). It was Knowles’ (1970) intention to show clearly the assumptions on which the theory of andragogy was based. He used the word “theory” (e.g., pp. 5, 298) to describe his thinking but did not define what he understood by the term. He acknowledged that he had borrowed the label “andragogy” from his European colleagues and admitted not having certainty about the correctness of the andragogical assumptions. In a manner similar to that of 1950, he stated that the assumptions were to be challenged, tested and modified through the process of inquiry.
Andragogy Versus Pedagogy Knowles believed, in 1970, that andragogy was a new word to American readers. He acknowledged Savicevic’s 1968 article, “Training Adult Educationists in Yugoslavia”, but was apparently unaware of Lindeman’s earlier use of the term in 1926 and 1927. Knowles referred to andragogy as “an emerging technology for adult learning” (1970, p. 37). He did not define the expression “technology” in 1970 but in his article “Androgogy, not Pedagogy!” (1968), he had written, “we have been developing a new technology – methods, techniques, and materials – that is tailored to these unique characteristics of adults as learners” (p. 351). The practical emphasis was both clear and important. 120
Knowles (1970) described his thinking as “a highly personal statement of a beginning theory about adult learning” (p. 16). He defined pedagogy “as the art and science of teaching children” (p. 37) and andragogy as “the art and science of helping adults learn” (p. 38). Although Chapter 3 of The Modern Practice of Adult Education (1970) was subtitled “Farewell to Pedagogy”, Knowles’ presentation of ideas was only gently polemical. The strongest remark he made was that “traditional pedagogy is irrelevant to the modern requirements for the education of both children and adults” (p. 38). This sentiment had its origins in Knowles’ 1962 writing where he called for a new set of assumptions for the education of children and youth. From a future vantage point, Knowles would look back and write, “I saw the andragogical and pedagogical models … as being dichotomous and antithetical: andragogy was good and pedagogy was bad; or at best, pedagogy was for children and andragogy was for adults” (1989, p. 80). This estimation, however, is not strictly borne out in the text. For instance, Knowles (1970) adopted essentially the same stance he took in 1965 when he argued for a common approach to learning. His position in 1965 was that whereas traditional pedagogical assumptions were not appropriate for adults, the andragogical assumptions could apply to both adults and youth. In 1970, he wrote, I believe that andragogy means more than just helping adults learn … it means helping human beings learn…. The process of maturing toward adulthood begins early in a child’s life and … as he matures he takes on more and more of the characteristics of the adult on which andragogy is based.” (pp. 38-39)
His conclusion was that “many of the principles of andragogy have direct relevance to the education of children and youth” (1970, p. 54). Andragogical principles, therefore, had potential relevance to all people whereas traditional pedagogical assumptions were significantly limited in the extent of their application. As Knowles (1970) saw it, many of the new developments in school programs were beginning to show evidence of andragogical principles. These developments, however, were piecemeal and a new set of assumptions about youth education was still required as well as a new technology to implement those assumptions. Knowles had proposed a new set of assumptions in 1962 in The Adult Education Movement in the United States but he had not then been in a position to supply details of the new technology. That lack was remedied in 1970. 121
Of the three main sub-divisions in The Modern Practice of Adult Education (1970), it was in Part 1 that Knowles’ theoretical stances were most clearly articulated. His overall thinking on adult learning theory was premised on three sets of key ideas relating to the meeting of needs, adult-child learning differences and the learning-teaching transaction. Part 1 laid bare the assumptions on which Knowles’ thinking was based.
The Meeting of Needs
As Knowles understood it, the role of the adult educator was intimately linked to the meeting of needs. This section sets out his thinking on
the mission of the adult educator;
the needs and goals of the individual;
the needs of the institutions; and
the needs of society.
The Mission of the Adult Educator In The Adult Education Movement in the United States (1962), Knowles described his vision for the future. Part of that vision involved the emergence of educative communities. Eight years later, Knowles (1970) wrote, “The mission of adult education is becoming clearer: It is to develop a total environment conducive to human growth and fulfillment – an educative community” (p. 34). An educative community was sensitive to the needs of all its members and although everyone was partly learner and partly teacher, there were some who exercised particular educational functions (1970, p. 22):
the career educators developed new knowledge and techniques and provided leadership for the field overall;
the program, planning and training directors provided oversight of comprehensive programs; and
the teachers, group leaders and supervisors worked directly with learners. The mission of these educators was to work towards satisfying the needs and goals of individuals, institutions and society. If adult educators were to fulfil their mission in helping to meet needs and in promoting growth, a new and expanded role would be required. 122
Knowles had not previously used the term “change agent” in his major writings. This was a new term reflecting the increasing involvement of adult educators in social and institutional concerns, the growing complexity of their role and the higher social status being conferred on them. Knowles (1970) wrote of this new practitioner: As an agent of change his responsibilities now extend far beyond the routine scheduling of activities in response to cursory expressions of interest. His responsibilities entail, rather, the involvement of his clients in a penetrating analysis of their higher aspirations and the changes required to achieve them, diagnosis of the obstacles that must be overcome in achieving these changes, and planning of an effective strategy for accomplishing the desired results. His part in this process is that of helper, guide, encourager, consultant, and resource – not that of transmitter, disciplinarian, judge and authority. He recognizes that it is less important that his clients know the right answers to the questions he thinks are important than that they know how to ask the important questions and find the answers for themselves. His ultimate objective is to help people grow in their ability to learn, to help them become their mature selves. (p. 34)
Knowles (1970) considered that adult education had entered an “exciting phase” (p. 16). He repeated his 1950 comment that people needed to “catch fire about its possibilities” (1950, p. 198; 1970, p. 190) and introduced his “far out notion of adult education as an art form” (1970 p. 129). He called for a creative and flexible attitude among adult educators: A truly creative adult educator is able to excite committees and councils and colleagues on the staff into joining him in a creative attitude, with the result that creative ideas will flow from many sources…. Data about needs are taken as challenges to experiment with more effective ways of meeting needs rather than as rigid boundaries. (1970, p. 130) The needs that had to be met applied to individuals, institutions and society.
The Needs and Goals of the Individual A major belief of Knowles (1970) was that learning was built on the meeting of needs. It was a “need-meeting” and “goal-striving” process (p. 50) that occurred within the context of growth towards maturity. He wrote: An individual is motivated to engage in learning to the extent that he feels a need to learn and perceives a personal goal that learning will help to achieve; and he will invest his energy in making use of available resources … to the extent that he perceives them as being relevant to his needs and goals. (pp. 50-51)
123
In Informal Adult Education (1950), Knowles had expressed his belief that the learning needs of the individual ought to be compatible with the objectives of society. He did not, in 1950, define those objectives. In The Modern Practice of Adult Education (1970), he stated, “the primary and immediate mission of every adult educator is to help individuals satisfy their needs and achieve their goals” (p. 23). He saw these goals and needs as those relating to ultimate human fulfilment and identified three such ultimate needs and corresponding subordinate missions. These related to the prevention of obsolescence, the achievement of self-identity and growth towards maturity. The prevention of obsolescence. The first ultimate need of the individual was the prevention of obsolescence. Eight years earlier, Knowles (1962) had spoken of “the obsolescence of man” (p. 280) in relation to the need for lifelong learning. He did not consider, in 1970, that that need had been met. Accordingly, a subordinate mission of the adult educator was to help individuals both identify learning as a lifelong process and acquire the skills of self-directed learning. The achievement of self-identity. A second ultimate need was for individuals to achieve complete self-identity through the development of their full potential. Knowles had expressed similar thinking in 1950: the acquisition of skills necessary for individuals to achieve the potentials of their personalities would flow from adult learning. This was one of seven outcomes Knowles had listed in 1950. The new element in Knowles’ (1970) thinking was his inclusion of ideas from Maslow (1954) and especially Maslow’s hierarchy of human needs. At the top of the hierarchy was the need for self-actualisation. In order to achieve this self- actualisation, the adult educator had to help individuals learn how to gratify needs at each of the levels. Growth towards maturity. Knowles’ (1970) third ultimate need was the maturity of the individual. Growth towards maturity was a major motif that permeated Informal Adult Education (1950). It was applicable to individuals, to groups and to society, and was a major goal of adult education. Knowles (1950) had drawn heavily on the writings of Overstreet (1949) in order to support his thinking. In 1970, he referred only briefly to Overstreet. Because maturity was a major goal of adult education, there was a need to move beyond Overstreet to identify the yardsticks by which adult educators might assess their mission. Accordingly, 124
Knowles (1970) redirected his thinking to focus on the critical dimensions of the maturing process. The dimensions indicated the direction in which individual growth should occur. The adult educator, Knowles (1970) argued, had an obligation to help the learner move from dependence toward autonomy; from passive learning toward active inquiry and from ego-centricity toward realistic self-appraisal. The dimensions also included maturing in self-acceptance and self-identity; growth in rationality and originality; and an increasing ability to perform at higher levels. The facilitating of these dimensions constituted the third subordinate mission of the adult educator. The dimensions were interdependent and Knowles (1970) held that opportunities for their growth were provided by every educational activity. A skilful teacher would try to induce positive growth in all dimensions – including tolerance for ambiguity. Learners moved on a scale from zero to infinity in each of the dimensions, and learnings from a given experience would be incorporated in proportion to their relevance to the learner’s position on the scale. In 1950 Knowles had recorded six universal human needs. He returned to these in 1970 and expanded slightly on his thinking about them. He renamed the needs, “basic human needs” (p. 80), and restated his belief in the importance of the need for growth. Knowles drew on the psychological and psychiatric literature to show that the growth need was the most basic and universal drive of all. He commented, I’ll have to go along with Abraham Maslow in assuming that the highest human need is for self-actualization, and that we work at it until we die; and with Harry Stack Sullivan, that the deepest human need is for self-esteem, and that each of us has an obligation to help each other achieve and maintain it. (1970, p. 85)
Knowles noted in The Modern Practice of Adult Education (1970) the possibility of identifying other ultimate needs. His purpose in 1970, however, was not to produce an exhaustive list but to demonstrate the complex nature of the tasks faced by the adult educator. Knowles had made the point that the primary mission of the adult educator was to help individuals satisfy their needs and achieve their goals. That work was of the highest order because it also affected a person’s need for meaning and purpose. Lindeman had declared, “life’s meaning … must reside in the things for which people strive, the goals which they set for themselves, their wants, 125 needs, desires, and wishes” (1926b, p. 8). Knowles referred to this statement and in so doing implied that the adult educator had the highest philosophical goal: to help people find meaning in life.
The Needs of the Institutions Knowles did not, in 1950, refer to the needs of institutions. His writing of The Adult Education Movement in the United States (1962) and his earlier work in editing the Handbook of Adult Education in the United States (1960) showed the strength of his interest in the sponsoring institutions. Knowles had been teaching at Boston University for 10 years. He had become increasingly familiar with the institutions of higher learning and in 1969 wrote Higher Adult Education in the United States. By 1970 Knowles was in a position to articulate, for the first time in a major work, his thinking on the needs and goals of institutions vis-à-vis those of the learner. Knowles (1970) recognised that one of the missions of the adult educator was to help institutions become increasingly effective as institutions. He accepted that organisations had their own needs for survival and self-actualisation. American industry was highly involved in education and the processes of adult education were basic tools of organisational growth. A difficulty arose, however, when the needs of individuals came into conflict with the needs of the sponsoring institutions. Knowles commented: It is a legitimate mission of the adult educator to use his art to bring about a better understanding of his institution, but this is a mission requiring the highest ethical commitment, for the line of demarcation between education and propaganda is a fine one. (1970, p. 32)
In situations of conflict, therefore, the adult educator could be faced with choosing which mission to serve – the individual’s or the institution’s. Knowles’ (1970) solution was thoroughly educational and fully consonant with his ideas on leadership and group dynamics: Increasingly … adult educators are resolving such conflicts between education and indoctrination by taking the institution as his client and helping its leaders to engage in a process of self-study, as a result of which the institutional goals are often broadened to provide wider areas of freedom for individual growth. (p. 30)
As an initial response, such a solution did not appear to compromise Knowles’ belief that the primary and immediate mission of the adult educator was to 126 help individuals satisfy their needs. The solution, however, would rely for its success on the willingness of institutional leaders to engage in the process of self-study. A significant new thought in The Modern Practice of Adult Education (1970) was Knowles’ contention that if an organisation intended to foster adult learning to the fullest possible degree, it would have to “stimulate individual self-renewal to the extent that it consciously engages in continuous self-renewal for itself” (p. 61). Knowles (1970) did not lose sight of the fact that the institutions were made up of people. He recognised that part of the adult educator’s art was to help the target populations within the institutions to learn new behaviours that would produce stronger organisations. Such target populations included governing boards, administrators, supervisors, members and others. Knowles saw the role of the educator in this context as that of change agent.
The Needs of Society The theme of obsolescence was taken up by Knowles (1970) again in his consideration of the needs of society. He maintained that society was not coping with “the condition of perpetual change” (p. 33). Society had deep needs and was presenting these as an urgent challenge to the adult educator. Knowles had expressed similar ideas in 1962. His contention in 1970 was that this was an “accelerating obsolescence” (p. 33). The mission of the adult educator in this context was very broad. The citizenry had to be able to change and the adult educator had to be able to deal simultaneously with several different societies. All societies had used adult education processes to produce the kinds of citizens they needed. It was Knowles’ (1970) belief that American society had reached the point where it had acknowledged the urgency of its situation and had made adult education a major instrument of its national policy. Knowles (1970) contended, however, that adult education had not made the impact on society of which it was capable precisely because teachers of adults had not known how to teach adults differently from children. He repeated the convictions expressed in his earlier writings (1961 to 1969) that the mere transmittal of knowledge was no longer sufficient and that education had to be understood as a lifelong process of discovering what was not currently known. His conviction was that adult educators who had been attempting to depart from traditional pedagogical 127 practices could guiltlessly continue to do so because of the emergence of the new technology of andragogy.
Adult-Child Learning Differences
The second set of key ideas on which Knowles (1970) based his thinking on adult learning theory were his andragogical assumptions. These focused on adult- child learning differences. Knowles first wrote about adult-child learning differences in The Adult Education Movement in the United States (1962). Further discussion followed in The Leader Looks at the Learning Climate (1965) and Higher Adult Education in the United States (1969). In The Modern Practice of Adult Education (1970), Knowles described “four crucial assumptions about the characteristics of adult learners that are different from the assumptions about child learners on which traditional pedagogy is premised” (p. 39). These assumptions had the same descriptors as those used by Knowles in 1969. The discussion in 1969, however, was not as thorough as that in the 1965 work where Knowles had fully described his thinking on adult-youth learning differences. In The Modern Practice of Adult Education (1970), Knowles built on his 1965 thinking. His aim was to describe the assumptions and to explore the implications deriving from them. A major difference between the 1965 and 1970 writings was that, in the latter, the four assumptions were set clearly within the context of the individual’s growth towards maturity. Knowles had made the point in 1965 that when discussing the characteristics of children as learners, he was referring to those characteristics which were “typically assumed in traditional schooling” (p. 6). In 1970 he restated the point: “The differences between children and adults are not so much real differences, I believe, as differences in assumptions about them that are made in traditional pedagogy” (p. 53). The four assumptions related to self-concept, experience, readiness to learn and orientation to learning.
Self-Concept Knowles’ first andragogical assumption – and by far the most important to him – was that as a person matures “his self-concept moves from one of being a dependent personality toward one of being a self-directing human being” (1970, p. 128
39). This point had been made by Knowles in 1965. What was new was the fuller discussion and explication of the concept. The child entered the world in a state of complete dependency at birth and came to accept as normal the imposed will of the adult world. The child was regarded as a full-time learner and the concept of dependency, Knowles (1970) argued, was encouraged and reinforced “until the last possible moment” (p. 39). Knowles (1970) contrasted the situation of the child with that of the adult who possessed a new and different self-concept and no longer had a normal role as full-time learner. The adult enjoyed a new status as worker, spouse, parent and citizen. These roles involved non-educational responsibilities; they reflected the adult’s ability to make independent decisions and to be self-managing and self- directing. According to Knowles (1970), the individual who had developed the perception of being wholly self-directing had reached the point, psychologically, of becoming an adult. At that point the individual experienced, also, a deep need to be perceived by others as being self-directing. A major consequence of this shift in self- perception was that adults tended to avoid and resent being in situations (including learning situations) that treated them like children. In Informal Adult Education (1950), Knowles had referred to “emotional blockings” and “negative associations with childhood learning” (p. 4). These were some of the obstacles that adults had to overcome if they were to succeed in their learning. This theme was continued in The Modern Practice of Adult Education (1970). As Knowles saw it, some adults retained a memory of being treated with disrespect in the classroom. This led to an “anticipated pain” (1970, p. 40) and a reluctance to engage in any further learning. Knowles contended that the expectation of some adults that teachers would regard them as children was so strong that they would exert pressure on the teacher to behave accordingly. Where a teacher succumbed, Knowles saw resistance and resentment as outcomes. In situations where adults were first exposed to adult learning strategies, shock and disorganisation were possible initial reactions. Knowles (1970) wrote: Adults typically are not prepared for self-directed learning; they need to go through a process of reorientation to learning as adults – to learn new ways of learning. Once an adult makes the discovery that he can take responsibility for his learning, as he does for other facets of his life, he experiences a sense of release and exhilaration. He then enters into learning with deep ego- 129
involvement, with results that are frequently startling both to himself and to his teachers. (p. 40)
It was Knowles’ own experience of undergraduate and graduate students at Boston University in the 1960s that allowed him to write with such clarity about this transformation. In his 1968 article “Androgogy, not Pedagogy!”, Knowles affirmed clearly his belief that the concept of self-direction lay at the heart of andragogy. In 1970 he wrote, “the single most critical difference between children and adults as learners is the difference in assumptions we make about their self-concepts” (p. 44).
Experience Knowles’ second andragogical assumption was that, as a person matures, “he accumulates a growing reservoir of experience that becomes an increasing resource for learning” (1970, p. 39). Knowles (1970) repeated the comments he had made in 1965 about adults having a greater volume and different kinds of experience from children. He restated, also, his beliefs that adults were, themselves, a rich resource for learning; that they had a broader foundation on which to build new learnings; and that they had a tendency, because of fixed habits and patterns of thought, to be less open minded. Knowles’ (1970) new thinking focused on the notion that an adult’s identification of self was based largely on experience. He contended that experiences, for children, were things that happened to them; they were external events that were not integrally related to self-identity. The situation for adults was significantly different: to an adult, his experience is him. He defines who he is, establishes his self- identity, in terms of his accumulation of a unique set of experiences. So if you ask an adult who he is, he is likely to identify himself in terms of what his occupation is, where he has worked … and what his achievements have been. An adult is what he has done. (p. 44)
Knowles concluded that because of the link between experience and identity, adults had a deep investment in the value of experience. In a learning situation, a failure to draw on a learner’s experience could lead to feelings of rejection by the learner. 130
The same three implications discussed by Knowles in The Leader Looks at the Learning Climate (1965) were included in The Modern Practice of Adult Education (1970). The discussion in the later work was only slightly fuller than in 1965 and included a small amount of new thinking. The implications in 1965 and 1970 were concerned with experiential techniques; practical applications; and learning how to learn from experience. In his new thinking, Knowles (1970) stressed the importance of adult educators moving beyond the use of learners’ experiences to illustrate new concepts; there was a need for learners to plan and rehearse the ways in which they could apply their learnings to daily life. Knowles held that provision needed to be made for this in the actual design of learning experiences. There was a need, also, for learners to free their minds from preconceptions and to learn how to learn by analysing their own experiences.
Readiness to Learn Knowles’ third andragogical assumption was that, as a person matures, “his readiness to learn becomes oriented increasingly to the developmental tasks of his social roles” (1970, p. 39). Knowles had discussed this assumption previously in The Leader Looks at the Learning Climate (1965) and Higher Adult Education in the United States (1969). His treatment of the topic in 1970 touched on two points not covered earlier. Havighurst (1952) had defined a developmental task as: a task which arises at or about a certain period in the life of the individual, successful achievement of which leads to his happiness and a success with later tasks, while failure leads to unhappiness in the individual, disapproval by the society, and difficulty with later tasks. (p. 2)
Knowles had not previously defined this term. In The Modern Practice of Adult Education (1970), he drew on Havighurst to show the importance of developmental tasks and the need to take seriously the concept of readiness to learn. Havighurst and Orr (1956) had stressed that adulthood was as much a developmental period as childhood: People do not launch themselves into adulthood with the momentum of their childhood and youth and simply coast along to old age…. Adulthood has its transition points and its crises. It is a developmental period in almost as complete a sense as childhood and adolescence are developmental periods. (p. 1)
131
Following their thinking, Knowles (1970) affirmed that the adult’s social development was of the same order of importance as the child’s physiological and mental maturation. The points Knowles had made in 1965 concerning the timing of learnings and the grouping of learners were restated in 1970. There was no new thinking.
Orientation to Learning Knowles’ fourth andragogical assumption was that, as a person matures, “his time perspective changes from one of postponed application of knowledge to immediacy of application, and accordingly his orientation toward learning shifts from one of subject-centeredness to one of problem-centeredness” (1970, p. 39). This assumption had been discussed previously in The Leader Looks at the Learning Climate (1965) and Higher Adult Education in the United States (1969). There was no significant new thinking in 1970. In Knowles’ (1970) discussion of the technological implications of orientation to learning, he restated the points he had made earlier concerning the orientation of adult educators, the organisation of the curriculum and the design of learning experiences. There was no significant new thinking.
The Learning-Teaching Transaction
The third set of key ideas on which Knowles (1970) based his thinking on adult learning theory were his learning and teaching assumptions. These focused on: 1. The capacity of adults to learn; 2. learning as an internal process; and 3. conditions of learning and principles of teaching.
The Capacity of Adults to Learn Knowles had stated in Informal Adult Education (1950) that “adults can learn throughout life” (p. 18). He returned to this theme in The Leader Looks at the Learning Climate (1965) and drew on the research of Lorge (1963) and Thorndike et al. (1928) to support his arguments. Knowles (1970) was fully aware of the significance of the research to the field of adult education. He briefly restated the 132 arguments he had made in 1965 and declared, “the central proposition on which the entire adult-education movement is based is that adults can learn” (1970, p. 49). Knowles maintained in 1950 that lack of practice was an inhibiting factor in adult learning. In 1965, he added physiological changes as additional factors. Others also were important. His belief was that “differences … that spring from such factors as social status, educational background, occupational level, and native intelligence, are greater than age differences in affecting … ability to learn” (1965, p. 2). In The Modern Practice of Adult Education (1970) Knowles re-expressed his thinking in the following terms: The basic ability to learn remains essentially unimpaired throughout the lifespan … if individuals do not … perform as well in learning situations as they could, the cause must be sought in such factors as the following: -Adults who have been away from systematic education for some time may underestimate their ability to learn, and this lack of confidence may prevent them from applying themselves wholly. -Methods of teaching have changed since most adults were in school, so that most of them have to go through a period of adjustment to strange new conditions. -Various physiological changes occur in the process of aging, such as decline visual acuity, reduction in speed of reaction, and lowering of energy levels, which operate as barriers to learning unless compensated for by such devices as louder sound, larger printing, and slower pace. -Adults respond less readily to external sanctions for learning (such as grades) than to internal motivation. (p. 50) Knowles did not repeat his 1965 comments on social status and native intelligence.
Learning as an Internal Process In 1961 and 1965 Knowles affirmed clearly his belief that learning was an internal process. A major corollary was that the notion of a teacher transmitting knowledge could no longer be regarded as useful for understanding the learning process of adults. This stance was maintained in The Modern Practice of Adult Education (1970) – with Knowles adding the point that where the teacher functioned as transmitter of information, the focus tended to be on the subject matter and not on the students. A similar point had been made by Lindeman in 1926 and Knowles drew on this in support of his own position. Knowles (1970) was adamant that the methods that most directly involved students in self-directed study would produce the greatest learning. For him, this was a major implication of the fact that learning was an internal process. As an internal 133 process, learning was controlled by the learner and engaged the entire person intellectually, emotionally and physiologically. Since 1950, Knowles had spoken consistently of the importance of being immersed in the learning process. This was the principle of ego-involvement and it was this principle that lay “at the heart of the adult educator’s art” (1970, p. 51). Knowles’ (1970) discussion of the learning process included some significant new thinking. For him, the central dynamic of learning was the actual experience of the learner – which he defined as “the interaction between an individual and his environment” (p. 51). Experience had a significant impact on learning: The quality and amount of learning is … clearly influenced by the quality and amount of interaction between the learner and his environment and by the educative potency of the environment. The art of teaching is essentially the management of these two key variables in the learning process – environment and interaction – which together define the substance of the basic unit of learning, a “learning experience.” The critical function of the teacher, therefore, is to create a rich environment from which students can extract learning and then to guide their interaction with it so as to maximize their learning from it. (p. 51)
Faith in the ability of individuals to learn for themselves was the “theological foundation” of adult education (Knowles, 1970, p. 51). This was a new term in Knowles’ major writings. It required that educators suppress their compulsions to teach what they believed students should learn in favour of helping students to learn for themselves what they wanted to learn. An educator’s failure to possess such a faith, according to Knowles, could hinder rather than facilitate learning. Knowles had, in 1962, set out his vision of the future of education in which he called for a redefinition of the role of the teacher. In The Modern Practice of Adult Education (1970), he made clear his belief that the need for such a redefinition was the single most important consequence of andragogical theory. Since 1950, Knowles had consistently argued for the guiding and helping role of the teacher. In 1961, he clearly identified learning with self-inquiry and denied the teacher any real ability to teach another person. By 1970, Knowles had reached the point where he could describe the adult educator as “one who has some responsibility for helping adults to learn” (p. 21). Knowles did not suggest that educators had less responsibility than previously in the teaching-learning transaction. His view was that the teacher’s responsibility lay “less in giving ready-made answers to predetermined 134 questions and more in being ingenious in finding better ways to help … students discover the important questions and the answers to them themselves” (p. 51). Knowles accepted that where an educator was involved in a learning situation, the educator’s responsibility was a shared one. However, that did not rule out the exercise of some direct responsibilities: The teacher … retains responsibility for facilitating the planning by suggesting procedures and coordinating the process…. The teacher … is to serve both as a strong procedural technician – suggesting the most effective ways the students can help in executing … decisions – and as a resource person or coach, who provides substantive information. (1970, pp. 272, 292)
Given such a stance, Knowles felt able to repeat his 1950 comment that the adult educator was “directly responsible for the growth of the participants” (1950 p. 238; 1970, p. 225).
Conditions of Learning and Principles of Teaching The strong role allocated to teachers in the Modern Practice of Adult Education (1970) was reflected in Knowles’ formulation of 16 principles of teaching and their associated conditions of learning. In Informal Adult Education (1950), he had supplied 13 principles of adult teaching; in How to Develop Better Leaders (1955), seven principles for supervisors; and in The Leader Looks at Self- Development (1961), five principles of learning and self-development. The 1970 principles contained elements from these sets but they were rearranged and incorporated into a new structure with a new focus. The 1970 principles had a clear and precise focus on the teacher as helper. This theme was present in Informal Adult Education (1950) but it was not a significant element in the 1950 principles of teaching. Principles 7 and 8 of 1950 for instance stated, “The teacher should know his subject matter” and “The teacher should be enthusiastic about his subject and about teaching it” (p. 12). By contrast, in the 1970 principles, Knowles wrote of the teacher helping students to clarify their aspirations, to diagnose gaps, to organise themselves, to exploit their experiences, to apply new learnings and to develop procedures for self-evaluation. Even when not explicitly couched in such terms, the 1970 principles reflected the teacher’s overall helping role. 135
The 1970 principles were linked to seven superior conditions of learning. According to Knowles (1970), these learning conditions were produced by practices in the learning-teaching transaction that adhered to the principles of teaching. The conditions were superior because they were “more conducive to growth and development than others” (p. 52). Knowles held that both the conditions of learning and the principles of teaching were superior. They were built on his previous thinking and were more comprehensive than any previous list in his major writings. Their underlying concerns had been part of Knowles’ thinking since his first major work in 1950. Their continued presence indicated the ongoing importance he attached to issues such as the learning needs of adults, the learning environment, relationships, student involvement in learning and students’ own experiences. Details of the conditions of learning and principles of teaching are set out in Appendix J.
The Technology of Andragogy: The Andragogical Process
Knowles (1970) proposed a seven-step process by which andragogical theory might be applied. The steps were technological implications that followed from the four andragogical assumptions and especially from the conception of an adult as a self-directing human being. They related to the learning climate, structures for planning, needs diagnosis, formulating of objectives, learning design, conduct of the learning, and evaluation. Knowles had briefly discussed some of these implications in 1965 but in The Modern Practice of Adult Education (1970), the treatment was comprehensive. The technological implications constituted the practical applications of the theory of andragogy and were described by Knowles as the “phases” of “the andragogical process” (1970, p. 54). The andragogical process was, as Knowles (1970) saw it, to be used consistently in the application of andragogical principles to comprehensive programs of adult education and to particular learning experiences. The structure for the major part of The Modern Practice of Adult Education (1970) was based on these steps. These same phases also formed the steps in Knowles’ organic model of learning design. The andragogical process had applicability to all levels of program planning and could be used in the context of individual counselling. 136
The Learning Climate Knowles (1970) wished to see a reduction in the social distance between teachers and students but he remained conscious of the teacher’s role in influencing the learning climate. He wrote, “the behavior of the teacher probably influences the character of the learning climate more that any other single factor” (p. 41). Knowles (1970) stressed the importance of both the physical and psychological climates to adult learning. In Informal Adult Education, he had touched on these matters in setting out his “Principles of Adult Teaching” (1950, pp. 32-36) and in his treatment of group dynamics. Knowles’ (1970) new emphases included a focus on the symbols of childishness and the notion of extending the climate of adultness beyond the classroom to total institutions. He noted: One can sense rather quickly as he enters an institution … whether it cares more about people or things, whether it is concerned about the feelings and welfare of individuals or herds them through like cattle, and whether it views adults as dependent personalities or self-directing human beings”. (1970, p. 41)
Knowles had first expressed his ideas on the importance of people over things in Informal Adult Education (1950). He continued to do so in The Modern Practice of Adult Education (1970). There was a need for organisations to provide an educative environment. Knowles (1970) recognised that they possessed both work and human purposes and that adult education was the means by which those purposes could be furthered. Knowles maintained, however, that an organisation was not simply an instrumentality for providing organised learning activities: the environment it provided had the capacity to facilitate or to hinder learning. According to Knowles (1970), the basic characteristics of an educative environment were: respect for personality; participation in decision making; freedom of expression; and shared responsibility in defining goals, planning and conducting activities, and evaluating. An educative environment would exemplify democratic values and practice a democratic philosophy. Such a philosophy would be characterised by a concern for the development of persons, a deep conviction as to the worth of every individual, and faith that people will make the right decisions for themselves if given the necessary information and support. It gives 137
precedence to the growth of people over the accomplishment of things when these two values are in conflict. It emphasizes the release of human potential over the control of human behavior. In a truly democratic organization there is a spirit of mutual trust, an openness of communications, a general attitude of helpfulness cooperation, and a willingness to accept responsibility, in contrast to paternalism, regimentation, restriction of information, suspicion, and enforced dependency on authority. (p. 60)
Structures for Planning Knowles’ commitment to democracy and the democratic process had been evident since 1950. That commitment continued into the writing of The Modern Practice of Adult Education (1970). In 1950, he had stressed the small group’s function as the major methodological tool in adult education. In 1970, he made clear his thinking that the small group could provide the structure for mutual planning. He was adamant that the ideal situation was to have a group “small enough for all participants to be involved in every aspect of planning every phase of a learning activity” (p. 272). For larger groups, he advocated the use of subgroupings. The teacher still had responsibility for suggesting procedures and co-ordinating the planning but there ought to be no situation where provision was not made for learner involvement in the planning process. In conditions where planning structures were difficult to implement, Knowles recommended the formation of a committee that was “as representative of the participant population as possible” (p. 273). Such was the strength of his feelings, that he argued that the committee be replaced or augmented by participant-selected representatives “at the earliest moment feasible” (p. 273).
Needs Diagnosis In 1965, Knowles affirmed that adults could be helped to diagnose their own learning needs. In 1970, he made clear his stance that the adult’s self-concept of self-directivity is in direct conflict with the traditional practice of the teacher telling the student what he needs to learn. Indeed, it is even in conflict with the social philosophy that society has a right to impose its ideas about what he needs to learn on him. (p. 41)
Nevertheless, Knowles did recognise the importance of holding together the diagnostic needs of individuals, organisations and society. He noted, A crucial element in the art of the adult educator is skill and sensitivity in helping the relevant parties to assess the educational needs of individuals, organizations, and society; to negotiate some congruence among them; and then to stimulate the translation of needs into interests. (1970, p. 86) 138
Knowles (1970) argued that because adult education had been tied so closely to pedagogy in the past, little attention had been given to developing structures and procedures for self-diagnosis. But students needed models to clarify the values and expectations of teacher, institution and society; diagnostic experiences were needed to provide feedback; and help was needed to measure gaps between present and desired competencies. Some such help was given to leaders by Knowles in his monographs The Leader Looks at Self-Development (1961) and The Leader Looks at the Learning Climate (1965). For Knowles (1970), motivation to learn arose out of the learner’s awareness of a gap between present and desired competencies and the possession of a clear direction for self-improvement. The competencies were discussed according to the categories of Knowles’ (1961) knowledge hierarchy: knowledge; understanding and insight; skills; and attitudes, interests and values. Knowles (1970) acknowledged the difficulties faced by adults having their first andragogical experience. He noted that one of the greatest impulses of students was to show how good they were. He contended, “the notion of engaging in a self- diagnostic process for the purpose of revealing one’s weaknesses – one’s needs for additional learning – is both strange and threatening” (p. 275). For students entering their learning in a defensive frame of mind, he advocated human relations training as the most effective technique for inducing a self-diagnostic attitude.
Formulating of Objectives The formulating of objectives was a necessary step in the andragogical process. Knowles (1970) recognised a degree of confusion in the literature and suggested the use of the following terminology:
“aims” or “general purposes” for broad social and institutional goals;
“targets”, “priorities” or “program objectives” for long-term outcomes of total programs; and
“activity objectives” or “learning objectives” for specific outcomes relating to particular learning activities. Knowles was concerned to ensure that all levels of objectives reflected the spirit of andragogy. He viewed learning objectives as self-determined directions for self- development. Because learners aimed at achieving their full potential, he found “discordant” the “notion of terminal behavioural objectives” (p. 136). For Knowles, 139 the behaviourists’ methods needed to be treated with caution: their objectives did not reflect the concept of an adult as a self-directing organism engaged in a process of continuing self-development. Knowles applied his thinking to the highest level of objectives. He wrote: “Statements of general purpose can be made congruent with the spirit of andragogy by describing what an institution will help people to do, rather than what it will do to people” (p. 122).
Learning Design Learning design was the transformation of learning or program objectives into a pattern of activities. This was essentially a process plan but Knowles (1970) did not view it mechanically. Rasmusen (1950) had described the structure of art in terms of originality, individuality, and freedom of action – the opposites of imitation, conformity and reaction. Knowles applied Rasmusen’s thinking to learning design and urged adult educators to be creative in their planning. Learning design, he felt, should have “the flavour of an art form” (p. 289) and this should be seen in the planning of comprehensive programs as well as in individual learning activities. Responsibility for the learning plan was a shared one. Rasmusen (1950) had declared, “Creativeness … is democracy in practice” (p. 1). Knowles (1970) accepted this point and acknowledged the interests of many in the design process but, importantly, he held that in andragogy, the starting point in the planning was always the adult’s interests, “even though the end objective may be to meet his (and an institution’s and society’s) needs” (p. 79).
Conduct of the Learning Knowles’ (1970) ideas on the conduct of learning were derived directly from his thinking on the learning-teaching transaction. The importance of involving adults in the planning and conduct of learning had been consistently acknowledged by him since 1950. He reaffirmed this position in 1970 and restated his 1961 conviction that a teacher was not really able to teach another person. Learning was an internal process and the teacher was not a transmitter of knowledge but a facilitator and resource person. For an adult, the ownership of a learning activity relied on the individual’s involvement in both the planning and implementation phases. Knowles wrote, “in congruence with the adult’s self-concept of self-directivity, andragogical 140 practice treats the learning-teaching transaction as the mutual responsibility of learners and teacher” (1970, p. 43).
Evaluation Knowles, in 1970, had come to view evaluation as a rediagnosis of learning needs. He felt that when learners themselves adopted this perspective, they entered more readily and constructively into the evaluation process. Although the teacher had the task of helping learners obtain evidence of their learning, the process was essentially one of self-evaluation. Tests needed to be used with caution. Knowles (1970) was of the opinion that “tests often smack of childhood schooling to adult learners” (p. 235). If they were to be used, the learner, ideally, would be fully involved in the decision to have them and in their administration and analysis. Knowles referred to students constructing their own tests for before-and-after diagnosis of learning but he did not accept that those or other tests should be used for comparing students. Such a use was “antiandragogical” (p. 235). In 1950, Knowles had written, “the use of grades introduces an element of formality and competition that runs counter to the very spirit of informal adult education” (p. 114). Knowles repeated that remark in 1970 but changed the words “informal adult education” to “andragogy”. His concerns had become wider and his language stronger: The crowning instance of incongruity between traditional educational practice and the adult’s self-concept of self-directivity is the act of a teacher giving a grade to a student … it is the ultimate sign of disrespect and dependency, as the one who is being judged experiences it. (p. 43).
In assessing their learning, students would look to their teacher and to their program. Self-evaluation would be modelled by teachers who would show their own openness to feedback. It would involve, also, an assessment of how the educational program itself had inhibited or facilitated students’ learning. The adult educator had an obligation to assist students in making this assessment. Learning mattered. Accordingly, Knowles (1970) did not consider that programs should be evaluated according to external criteria. He maintained that the program’s own objectives should form the basis of evaluation. 141
Knowles’ (1970) feeling was that evaluation had become “a much- overemphasized sacred cow” and “the source of more confusion, frustration, and guilt among adult educators than any other aspect of their work” (p. 219). The persistence of learners and their satisfaction with a program could serve as an adequate indicator of the worth of the program. Adult educators did face a conflict between the values of scientific precision and self-actualisation but Knowles held that this was essentially a conflict between the assumptions of traditional pedagogy and modern andragogy.
Counselling and the Andragogical Process In The Adult Education Movement in the United States (1962), Knowles had made a number of predictions about the future of adult education and in Higher Adult Education in the United States (1969), he had argued that society had a massive need for relevant and dynamic programs for the continuing education of adults. His view was optimistic and he hoped that educators would reassess the assumptions under which they operated. So optimistic was he that he envisioned adult education becoming the fourth major strand of educational activity. In The Modern Practice of Adult Education (1970), Knowles proffered the theory and technology of andragogy as a new framework for adult educators. His hope of seeing the field achieving its potential as the fourth level of the national educational enterprise could be realised – but it would require also “a sophisticated process of educational counseling” (p. 184). Knowles (1970) viewed educational counselling as program planning in relation to specific individuals. In that process, the counsellor was involved in five of the seven steps of the andragogical process. These phases (numbered according to the original seven) were as follows (p. 184): 1. establishing a climate conducive to self-analysis and self-direction; 3. assessing the learning needs of the individual; 4. helping the individual to formulate step by step learning objectives; 5. helping the individual to identify resources and map out a sequence of learning experiences; 7. helping the individual continuously to evaluate progress toward objectives and to repeat the cycle. 142
This five-phase process assumed that mechanisms for mutual planning were already in place and that it was the learner, rather than the counsellor, who implemented the learning plan. The linking of the work of the counsellor to the steps in the andragogical process enabled Knowles (1970) to write, “I foresee a time when counseling will be the central, integrative function for the entire field” (p. 186).
Conclusion
Knowles had spent 20 years refining his thinking on adult learning theory but much of what he wrote in The Modern Practice of Adult Education (1970) was not new; the four assumptions relating to adult-child learning differences had been identified and discussed in the 1965 and 1969 works. The major new element in 1970 was the way in which Knowles arranged his thinking. He constructed a framework made up of three major parts:
a theoretical rationale for andragogy;
a methodology for applying the theory (the technology of andragogy); and
provision for adapting the technology according to the different needs of the counsellor and the adult educator.
Incorporated within this theoretical and practical framework were particular aspects that had not been touched on previously:
the adult educator as change agent;
individual needs and the ultimate goals of human fulfilment;
individual needs vis-à-vis those of the institutions and society;
Maslow’s (1954) hierarchy of human needs;
the critical dimensions of maturity;
the needs of institutions; and
definitions of andragogy and pedagogy. The Modern Practice of Adult Education (1970) also provided fuller discussions and explanations of:
the mission of the adult educator;
the needs of individuals; and
the andragogical assumptions. As well, categories of thought were reframed and re-expressed in relation to:
the factors affecting adult learning; 143
principles of teaching and learning; and
a methodology for applying adult learning theory.
Stylistically, The Modern Practice of Adult Education was written with a verve that was not quite so apparent in the earlier works. It employed, for the first time, the language of conflict: adult education was caught up in a world of conflicting assumptions, values, needs and missions. The work reflected the breadth of experience Knowles had brought to his theorising. It was a mix of old and new thinking, reframed categories of thought and greatly expanded discussions. It was both a theoretical exposition and a manual of practice. Since the early 1960s, Knowles had consistently thought of himself as a practitioner of adult education rather than as a scholar. In The Modern Practice of Adult Education (1970), he had set out fully his thinking on the new technology of adult education. In the last two appendices of the work he supplied case study details of how he had applied the andragogical process to girl scout leadership training and to his own graduate students. Knowles invited readers to make their own assessment of what he had written. The practice of adult education remained important. He noted, “the final test of any theory of social practice is the guidance it gives to the improvement of that practice” (p. 298).
SUMMARY OF PHASE 3 THINKING
In writing The Modern Practice of Adult Education (1970), Knowles aimed to explore a comprehensive theory of adult learning. His framework as it was first developed is depicted in Figure 2. Knowles did not construct this representation: it is based on the logic of his thought as expressed in 1970. The depiction shows the major elements of 1970 but not those of future years. The 1970 framework had three major components: the theory of andragogy, the technology of andragogy and provision for different applications of the technology. The theoretical base was made up of three sets of key ideas. The practical application of the ideas occurred through implementation of the seven phases of the andragogical process. These phases constituted the technology of andragogy. A facilitator would routinely employ all seven phases but not every 144 situation required the use of seven phases. Knowles specifically provided for counselling contexts in which five phases only would be employed.
Figure 2. Knowles’ developed conceptual framework.
The Theory of Andragogy: Three Sets The Technology of Andragogy: Seven of Key Ideas Phases of the Andragogical Process
1. Meeting of needs 1. Climate setting 2. The four andragogical-pedagogical 2. Planning structure assumptions 3. Needs diagnosis - self-concept 4. Objectives - experience 5. Learning design - readiness to learn 6. Implementation - orientation to learning 7. Evaluation 3. The teaching-learning transaction
Facilitating Counselling
Phases Phases 1-7 1, 3, 4, 5, 7
Andragogy as a Comprehensive Theory of Adult Learning
The theory of andragogy. Knowles built his theory around three sets of key ideas: (1) the meeting of needs, (2) adult-child learning differences and (3) the teaching-learning transaction. The unifying theme in all three sets of ideas was the individual’s growth towards maturity. 1. As Knowles saw it, learning was built on the meeting of needs. It was a need-meeting and goal-striving activity that occurred within the context of growth towards maturity. The adult educator had a major role to play in helping learners satisfy their needs but was required also to take into account the needs and goals of the institutions and of society. 2. Learning for adults, according to Knowles, could not proceed effectively using traditional pedagogical assumptions. Adults had unique characteristics as learners that distinguished them from children. Those characteristics related to maturational differences in: self-concept; experience; readiness to learn; and 145 orientation to learning. The differences constituted the core of the andragogical- pedagogical assumptions – the most important of which was self-concept. Implications for the practice of andragogy flowed from all of the differences but it was self-concept that had a direct bearing on each of the seven phases that made up the andragogical process. 3. The central proposition justifying adult-educational activity for Knowles was that adults could learn. The learning was an internal process that relied on strategies aimed at engaging the learner in self-directed inquiry. Superior principles of teaching existed and these produced the most supportive conditions for adult learning. These teaching and learning assumptions were directly related to Knowles’ thinking about an adult’s growth and development. In the briefest terms, Knowles’ position was that although adults were different from children in four significant ways, they could still learn. The learning arose out of the necessity to meet fundamental needs and relied on strategies aimed at self-directed inquiry which were supported by superior principles of teaching and conditions of learning. The technology of andragogy. The technology of andragogy had to do with the practical application of the theory. It involved the methods, techniques, and materials that were tailored to the unique characteristics of adults as learners. In The Modern Practice of Adult Education (1970), Knowles set out a seven-step process that needed to be followed in order properly to implement the theory of andragogy. The steps constituted the technological implications that flowed from the andragogical assumptions. These were the “phases” of the “andragogical process”. They were also referred to as “design elements” (1973, p. 104) and “process elements” (1975, p. 60) and involved: 1. the establishment of a climate conducive to learning; 2. the creation of an organisational structure for participative planning; 3. the diagnosis of needs for learning; 4. the formulation of directions for learning (objectives); 5. the development of a design of activities; 6. the operation of the activities; and 7. the rediagnosis of needs for learning (evaluation). The steps emerged directly out of the theoretical basis established by Knowles and included significant elements from the pre-1970 phases. The sixth step, the operation 146 of the activities, was closely linked to Knowles’ thinking on the teaching-learning transaction. All seven steps were intended to engage the learner fully in the learning process and to provide a structure for the educator to follow in implementing and understanding the theory of andragogy. Specific contexts for applying the technology. The andragogical process was, as Knowles saw it, to be used consistently in the application of andragogical principles to comprehensive programs of adult education and to particular learning experiences. It had applicability at all levels of program planning but whereas
the adult educator would employ seven phases;
the counsellor would use five only. Educational counselling was program planning in relation to specific individuals. Knowles’ 1970 conviction was that in contexts other than counselling, all seven phases would be used as part of the normal process of applying andragogical theory. The Modern Practice of Adult Education (1970) disclosed the major elements of Knowles’ conceptual framework. This was a theoretical-practical construct incorporating a partially-developed theoretical base and comprehensive practical exposition which included provision for applying the technology in specific contexts. There were some areas in need of further explication. In particular, the research base that supported Knowles’ thinking had not been fully articulated and no real provision had been made for individual learners (as readers of the text) to consider their own use of andragogical principles. Knowles had aimed his 1970 writing at professional educators but his conviction as to the importance of self-directed inquiry meant that he could not leave unattended the needs of learners who wished to explore for themselves the theory and practice of andragogy. Little time would elapse, however, before the new thinking was published. Phases 3 and 4, together, constituted a 6-year period of exposition and expansion of Knowles’ new andragogical framework. 147
CHAPTER 6 THE FRAMEWORK EXPANDED (PHASE 4)
THE WRITINGS FROM 1972 TO 1975
In the fourth phase of writing, Knowles made significant additions to his conceptual framework. This was the period 1972 to 1975 during which three books were published: Introduction to Group Dynamics (Rev. ed., 1972), The Adult Learner (1973) and Self-Directed Learning (1975). This chapter discusses and accounts for Knowles’ Phase 4 ideas in the context of these writings. This brief period marked a time of ongoing development and refinement in Knowles’ thinking. The landmark work, The Modern Practice of Adult Education, had been published in 1970 but it did not include Knowles’ final thinking in “the evolution of a new discipline” (1970, p. 16). The 1972 work added little to what Knowles had previously written. The other two works, however, showed significant developments of thought. Knowles began to express his ideas in terms of learning theory models; he specified details not previously recorded; defined terms; supplied references from the research literature in support of the theory and practice of andragogy; added a new andragogical assumption; identified questions that defined practitioners’ skill requirements; and introduced contract learning as a major strategy for self-directed learners. At the same time, Knowles’ perception of andragogy was changing. The strongly antithetical stance he had adopted in 1970 gave way to a less rigid and more considered position by 1975. Two critics of The Modern Practice of Adult Education (1970) were Houle (1972) and London (1973). Knowles responded to Houle as early as 1972 but the clearest and most developed expression of his thinking in the period 1972 to 1975 had to wait until publication of Self-Directed Learning in 1975.
Introduction to Group Dynamics (Rev. ed., 1972)
In 1972, Malcolm and Hulda Knowles published their revised edition of Introduction to Group Dynamics. There was a 13-year gap between publication of the first and second editions. In the space of that period, Knowles had completed his doctoral studies, taken up his appointment at Boston University, and refined his thinking on adult learning theory to the point where he was able to expound it fully 148 in The Modern Practice of Adult Education (1970). The years from 1960 to 1971 were a time when Knowles’ thoughts were directed to areas other than group dynamics. Publication of the revised edition of Introduction to Group Dynamics, however, allowed the reader little insight into Knowles’ thinking. The new work, like the original, was intended as an overview of the literature of the field rather than as a means for Knowles to express his own thoughts on the subject. Knowles and Knowles (1972) indicated that many developments had occurred in the field of group dynamics since 1959 and that a need for a book to bridge the gap between social scientists and practitioners continued to exist. They maintained that the field was still relatively new and reflective of the picture they had painted in 1959 when they had stated, “The years ahead are bound to bring further exciting developments, both in pushing back the frontiers of knowledge about human relations and in applying these unlocked secrets to practical human affairs” (1959, p. 77). In the revised book, the overall focus did not change and the original “how to find out” thrust was maintained. The most important change in the book was the major updating and recategorising of bibliographic information. Some new content was included and some older material reorganised. Both editions of the work adopted a “broad brush” approach to the group dynamics literature and its findings. Very little new thinking on the part of Knowles and Knowles was revealed in the revised work. A major aim of the 1959 edition was to help adults cope with changes in American society. Knowles and Knowles did not build on this theme in the revised work but Knowles had, only 2 years earlier in The Modern Practice of Adult Education, referred to “the accelerating obsolescence of man” (p. 33). In 1977, he would refer to the “explosive change” of “this era … of turmoil” (pp. 283-284). This reference was in relation to the social and scientific developments of the 1960s and 1970s. The educational scene he saw as “turbulent, confused and fermentative as the other scenes…. There were direct attacks on the quality of education and even on the legitimacy of organized education at all” (p. 290). According to Stubblefield and Keane (1994), the 1970s were years when “anyone could become an expert” (p. 283). A marketplace psychology had developed which, they asserted, was characterised by an “antiscientific and anti-intellectual bias” (p. 283). The NTL Summer programs at Bethel had begun to move away from 149 their earlier focus on group dynamics and interpersonal relations towards new forms of self-expression. Personal growth groups were formed and these developed into the human potential movement of the 1970s (Stubblefield & Keane). Knowles (1977) reported that the movement involved a “heavy emphasis on self-awareness, expanded states of consciousness, meditation, emotional and physiological release, self- actualization, and other activities bordering on the psychotherapeutic or mystical” (p. 318). Knowles and Knowles (1972) noted the attention being paid to group dynamics in the popular mass media. They contended, however, that relatively few Americans had a proper understanding of the field. Even so, they indicated the possible existence of up to 200 privately operated human growth centres. They acknowledged the greatly increased use of group techniques in education, the widening spectrum of institutions conducting research, and the volume of literature being produced in the field. There was a clear attempt by university research centres, government agencies and other groups to become involved in the research process. This activity was at variance with the antiscientific and anti-intellectual thrust of the popular media. Knowles and Knowles wished to contribute to the dissemination of the research literature. In doing so, they would help counter some of the prevailing popular attitudes. Knowles and Knowles (1972) were conscious of the contrasting methodologies of contemporary research in group dynamics. They acknowledged the growing emphasis on precision and statistical methods but expressed the view that qualitative methods were “a rebellion against the fragmentation and dehumanization of human beings and their relations, and an insistence on a more holistic, creative, subjective, value-oriented approach to the study of man” (pp. 28-29). The description of qualitative methodology in these terms indicated a research preference that Knowles would make more explicit in later works. The revised edition of Introduction to Group Dynamics aimed to bring readers up to date with developments in the field. In reviewing those developments, Knowles and Knowles (1972) focused particularly on applied group dynamics and research up to 1972. They felt that by then the greatest impact of the field on society had been in leadership training and organisational development. This was important. It meant that their 1959 perception of a growing democratic spirit in organisational life was confirmed: the target of human relations training had moved away from 150 collections of individuals towards total social systems. Organisational development had become a “major type of social practice” (1972, p. 82) and a whole new profession – that of change agent – had emerged to support this practice. In Informal Adult Education (1950), Knowles had attached great value to human relations training. It was necessary, he argued, for the preservation of democracy and the rebuilding of civilisation. The emergence of organisational development and the new profession of change agent demonstrated the worth of such training. Knowles and Knowles (1972) summarised the state of affairs in the field of group dynamics up to the point of writing and charted a course through the literature. That was their goal in producing the revised edition of Introduction to Group Dynamics. They would write no further joint works. Future books by Knowles would expand on the ideas presented in The Modern Practice of Adult Education (1970). These books would develop themes related to the theory and practice of andragogy but would not return to the theme of group dynamics.
The Adult Learner: A Neglected Species (1973)
Aims of the Work When Knowles wrote The Modern Practice of Adult Education in 1970, he did not clearly identify a body of research to support his thinking. That deficiency was remedied in 1973 with the publication of The Adult Learner. This book had as its original working title, “Learning Theory and Human Resources Development”. It was aimed at HRD personnel who wished to improve the quality of their practice and addressed questions such as, “which learning theory is most appropriate for which kind of learning?” and “what are the implications of the various learning theories for total organizational development?” (Knowles, 1973, p. 2). The Adult Learner (1973) was intended as an overview of the literature on theories of education and as a means for Knowles to express his own thoughts on the subject. The book also provided Knowles with the opportunity to develop some of his earlier (1962) thinking on lifelong learning and the future of education. He presented his ideas in terms of models: a model of lifelong education, learning theory models, and andragogy as a model of HRD.
151
A Model of Lifelong Education In 1972 UNESCO’s International Commission on the Development of Education published its report, Learning to be: The World of Education Today and Tomorrow (Faure et al.). The commission proposed that lifelong education become the master concept in educational planning in both developing and developed countries. As part of its survey of the literature, the commission cited the following: “The man submitting to education must become the man educating himself” (p. 161); “tomorrow’s education must form a co-ordinated totality in which all sectors of society are structurally integrated…. It will be … continual … individualized and self-directed” (p. 163). The commission’s thinking was aimed at changing the “fundamental conditions of man’s fate” (p. 163). The language and concepts were very similar to those of Knowles. When working papers were sought as part of the post-publication consultation process, Knowles (1973) wrote a response entitled “Toward a Model of Lifelong Education” which he included as an appendix in The Adult Learner. His model was based on three assumptions: 1. the purpose of education was to develop competencies for human living; 2. the primary purpose of schooling was to help children and youth learn the skills of learning; and 3. the school curriculum needed to be organised according to a spiralling series of individual learning projects.
Some important new content was included in the model. In terms of the first assumption, Knowles had referred to life roles as early as 1950 but he had not previously set out a taxonomy of the roles or their required competencies. In 1973 he provided a “beginning” taxonomy as shown in Appendix K. New ideas were also expressed in relation to the second assumption. In 1962, when proposing a new set of assumptions for the education of youth and children, Knowles had referred to the importance of developing in youth a capacity to learn. He did not at that time specify the particular learning-skills required but did so in 1973 when describing his model of lifelong education. The minimum skills needed by youth included the ability to: 1. engage in divergent thinking; 2. formulate questions for research; 152
3. identify data required to answer questions; 4. locate relevant and reliable sources of data; 5. select and gather data; 6. organise, analyse and evaluate data; 7. generalise, apply and communicate answers to the questions raised.
The third assumption was not essentially new. In 1962, Knowles had referred to youth’s need for “ever broadening and deepening sequences of inquiries … organized around problem areas” (p. 275). In 1973, these became a “spiraling series of individual learning projects” (p. 162). In this, Knowles was influenced by the language and thinking of Tough (1971). Knowles (1973) presented his model as a “skeleton” (p. 160) and expressed the hope that others would build on it. He pictured a time when students who were educated under the model would emerge as self-directed learners. These students would not formally graduate. In words reminiscent of 1962, he wrote, “there will be no such thing as graduation. There will be no such thing as adult education. There will only be lifelong education” (1973, p. 163).
Learning Theory Models Leonard Nadler (1973) indicated that human resource developers had constantly sought Knowles’ help in understanding learning theories as applied to adults. Educational programs had become a commodity for mass marketing (Stubblefield & Keane, 1994), but the buying of educational programs, Nadler noted, usually involved “buying learning theories” (p. vii). A major aim of The Adult Learner (1973) was to support HRD personnel in their understanding of adult learning theory. The book allowed Knowles the opportunity to compare different theories of learning and teaching and to show where his own thinking on andragogy fitted within the overall research spectrum. Knowles did not, in 1970, define the term “theory”. In 1973, he suggested that a theory should aim to provide “both explanations of phenomena and guidelines for action” (p. 2). His estimation of the way in which researchers used the term, however, led him to conclude that a theory is what a given author says it is: if you want to understand his thinking you have to go along with his definitions. So here is mine: A theory 153
is a comprehensive, coherent and internally consistent system of ideas about a set of phenomena. (p. 6)
Knowles (1973) referred to the research as “a jungle of learning theory” and “a strange world … with savage tribes in raging battle” (p. ix). He felt that an understanding of the theory was necessary but difficult to achieve. The major difficulties were that there were too many theories for the adult educator to cope with and that “all of the scientific theories” were “derived from the study of learning by animals and children” (p. 12). The “mist began to clear” for Knowles (1973) when the theories were viewed through the conceptualising of Reese and Overton (1970). These authors made a distinction between mechanistic and organismic models of psychological development. They stated, “In the mechanistic world view, the model for all phenomena is the machine; in the organismic world view, the model is the biological organism and its activities” (p. 117). Every theory, they argued, presupposed a more general model according to which the theoretical concepts were formulated. The two most significant for psychology were the mechanistic and organismic models. Reese and Overton (1970) argued that models could not be true or false – only more or less useful. Importantly, they contended that models provided rules of inference and showed how theory was to be applied. Knowles (1973) drew on their thinking to suggest that learning theories could be classified according to three models: behaviourist, cognitive and adult education models. He identified the behaviourist with training, cognitive with teaching and adult education with self- directed inquiry. This was the first time in a major writing that Knowles had expressed such thoughts.
Andragogy as a Model for HRD In writing The Adult Learner (1973), Knowles aimed to place andragogy within an HRD context. He explained the background to his search for a theory of adult learning and made clear his feelings about the inappropriateness of pedagogy in HRD programs. Using stronger language than in The Modern Practice of Adult Education (1970), he referred to “the millstone of pedagogy” (1973, p. 42) and to traditional education as being “progressively regressive”. (p. 41). It was not just schools but American culture (home, school, religious institutions, youth agencies 154 and governmental systems) that Knowles saw as the problem. The need and the capacity to be self-directing were part of the individual’s organic development but the culture, according to Knowles, did not support that development. Knowles (1973) restated his conviction that the pedagogical-andragogical distinctions related to assumptions about adults and children as learners rather that to any clear-cut differentiation between them. A major new element was the citing of research literature in support of the four andragogical assumptions. In relation to readiness to learn, Knowles drew on the work of McClelland (1970) to argue that a person need not wait passively for the natural development of readiness to occur but that this could be stimulated proactively through self-diagnostic procedures, higher levels of aspiration and exposure to better models of performance. McClelland’s (1970) thinking focused on principles of motive acquisition. He had formulated 12 propositions which aimed to show how the achievement motive could be developed in adults. These were based on pilot courses, research findings and psychological theory. At the time of writing, social scientists were actively testing the theory with school children in slums (Miles & Charters, 1970). Also in 1970, Freire had published his Pedagogy of the Oppressed. In 1984, Knowles would propose a new andragogical-pedagogical assumption from ideas possibly implied in the readiness to learn assumption and reflecting the thinking McClelland and Freire. Knowles (1973) had come to view traditional pedagogy as “reactive learning” and andragogy as “proactive learning” (p. 172). This was a new perspective. His model of lifelong education with its focus on skills development aimed to help educators of youth move away from reactive processes. Adults also needed skills to be proactive – skills which Knowles listed in an appendix to The Adult Learner. Conceptually, the skills were located within the design phase of the seven-phase andragogical process. For the first time in a major writing, Knowles (1973) described andragogy as a “process model” of learning theory, and pedagogy as a “content model” (p. 102). The distinction was based on the notion that andragogy aimed to provide procedures and resources for learning whereas pedagogy aimed to transmit information and skills. In The Adult Learner (1973), Knowles presented a “skeletal description” (p. 101) of his andragogical model of HRD. The four andragogical assumptions and the seven phases of the andragogical process were major elements of that framework. It 155 was these elements that Knowles used as a basis for comparing the andragogical and pedagogical models. Table 3 compares the two models according to Knowles’ understanding and shows their underlying assumptions.
Table 3 A Comparison of the Assumptions and Designs of Pedagogy and Andragogy
Assumptions Design Elements
Pedagogy Andragogy Pedagogy Andragogy
Self-concept Dependency Increasing self- Climate Authority-oriented Mutuality directiveness Formal Respectful Competitive Collaborative Informal
Experience Of little worth Learners are a rich Planning By teacher Mechanism for resource for learning mutual planning
Readiness Biological Developmental Diagnosis of needs By teacher Mutual self- development tasks of social roles diagnosis social pressure
Time Perspective Postponed Immediacy of Formulation of By teacher Mutual negotiation application application objectives
Orientation to Subject centered Problem centered Design Logic of the subject Sequenced in terms learning matter of readiness ______
Content units Problem units
Activities Transmittal Experiential techniques techniques (inquiry)
Evaluation By teacher Mutual re-diagnosis of needs ______
Mutual measurement of program
Note. From The Adult Learner: A Neglected Species (p. 104), by M. S. Knowles, 1973, Houston, TX: Gulf Publishing. Copyright 1973 by Elsevier. Reprinted with permission.
The Adult Learner (1973) was the first work in which Knowles presented the andragogical-pedagogical assumptions in table form. The table shows time perspective as an additional assumption. In Knowles’ discussion of the assumptions, however, time perspective is treated under orientation to learning as it had been in 1970 and 1969. When describing the same assumption in prior works, Knowles had spoken of “difference in time perspective” (1965, p. 12) and “purposes for learning” 156
(1962, p. 255). All of these expressions referred to the same ideas. The separating of time perspective from orientation to learning in 1973 appears not to be significant. In the text, both are regarded as part of the one assumption. The major part of The Modern Practice of Adult Education (1970) was taken up with Knowles’ descriptions and explanations of the andragogical process as it applied to comprehensive programs. Knowles had not, in 1970, supplied the theoretical underpinnings that specifically supported the seven-phase process. In The Adult Learner (1973), he quoted extensively from the research literature to support his thinking. Of particular significance was Knowles’ (1973) reference to the work of Tough (1971) who had researched the learning projects of adults and found that up to 70% of such projects were planned by the learners themselves. Tough’s study of self- initiated learning reinforced Knowles’ own thinking in relation to the conditions of learning, the role of the teacher and the importance of problem areas. So taken was Knowles by Tough’s research that he wrote, “I now prefer Tough’s concept of learning projects as a basis of organizing adult educational programs to my earlier concept of problem areas” (p. 49). Compared to the wealth of practical commentary on the seven phases that Knowles had supplied in 1970, relatively little was said in The Adult Learner (1973). Most of the 1973 commentary on the phases was a briefer version of that in The Modern Practice of Adult Education (1970). The major difference in 1973 was that Knowles adapted his comments specifically to the HRD context. Knowles (1973) singled out climate setting as the most critical element in the HRD process. He argued: If the climate is not really conducive to learning, if it doesn’t convey that an organization values human beings as its most valuable asset and their development its most productive investment, then all the other elements in the process are jeopardized. (p. 108)
Knowles considered that the human resource developer had to view the entire organisation as a client in order to affect that organisation’s learning climate. In doing so, individuals within the organisation would benefit. Knowles had taken the view in 1970 that in situations of conflict between an organisation and an individual, the educator should regard the institution as client and try to help its leaders engage in a process of self-study. In 1973, he argued for 157 negotiation between the two but added, “I make no bones about the fact that there are ‘givens’ in every situation – such as minimal organizational requirements, and that we have to accept and live with them” (p. 111). This stance reflected Knowles’ increased involvement in HRD activities and institutional education. He acknowledged the shift in his own professional life and in that of many of his colleagues. He had moved from educating “collections of individuals” (1973, p. 101) to working with, and influencing, institutions and “whole environments”. Significantly, however, Knowles noted, “I don’t see this as an either- or dilemma; there is need for both the direct facilitation of the development of individuals and the indirect facilitation of their development through improving the educative quality of their environments” (1973, p. 101). Essentially, Knowles’ 1970 stance on the primary mission of the adult educator remained unchanged. The human resource developer, however, had the added responsibility of contributing to the survival of an organisation. Survival as a theme was present in Knowles’ writing in 1950 and continued in other works up to 1973. By 1970, organisational problem solving had become a function of HRD (Stubblefield & Keane, 1994). In The Adult Learner (1973), Knowles wrote, “the role of the Human Resources Developer” will be “more crucial than any other role in determining which organizations will be alive twenty years from now and which will be extinct” (p. 123). Knowles (1973) considered that his andragogical model of HRD was sufficiently cohesive and flexible to enable HRD personnel to carry out their task. He presented it as “a unified model” that could “incorporate principles and technologies from various theories and still maintain its own integrity” (p. 102). He located the behaviourist, cognitive and adult education models on a learning ability and complexity continuum and contended that human resource developers would use one or other of the three learning theory models in their work, depending on such things as organisational management philosophy, long-term organisational goals and whether the learning demands of the organisation required training, teaching or education. Where simple training tasks were required, a mechanistic model would be appropriate. With complex educational tasks an adult-educational model would be appropriate. Cognitive models would have their place in contexts between the simple and complex. 158
The needs and situation of the individual as a human person, however, were not to be ignored. Knowles (1973) noted, the individual is a whole person; he is not a machine at one moment … and a self-actualizing human being at another. I believe that the risk of the individual’s being dehumanized by training and teaching situations can be minimized (1) if they are presented to him as optional steps up the ladder of self-development, and he chooses them for this purpose; and (2) provision is made in each situation for the development of learning skills that will prepare him for the next level. (p. 100)
Knowles was convinced that a self-directed learner would be able to draw proactively on the whole range of materials and resources – which might include “even the most didactic teacher or linear teaching machine program” (p. 117). In 1970, Knowles presented andragogy as “a beginning theory about adult learning” (p. 16). His concluding thoughts in 1973 were expressed in very similar terms: “the Human Resources Developer … will have to know a new theory of human resources development…. I have tried to make at least a beginning with andragogy” (p. 123). It is clear that Knowles, in presenting his thinking to practitioners and in showing where it fitted within the overall research spectrum, considered his andragogical model to be a sound basis for the work of HRD practitioners. Practitioners who sought to implement Knowles’ ideas would find them spelt out fully in The Modern Practice of Adult Education (1970). In 1975 Knowles would write Self-Directed Learning. This book would further support adult educators in their work of implementing the seven phases of the andragogical process.
Self-Directed Learning: A Guide for Learners and Teachers (1975)
The soaring college enrolments in the 1970s were due largely to the entry of students older than 21 years. The student body was becoming more diverse and higher education was becoming the leading provider of adult education in the United States (Stubblefield & Keane, 1994). Although universities and colleges made incursions into non-traditional adult education, the increases were driven by credit- seeking students (Kett, 1994). Knowles (1977) estimated that by 1974, one third of the 9.8 million credit students were aged 25 years or over. Stubblefield and Keane described the situation as follows: 159
Universities confronted a student body non-traditional in age, attendance patterns, and learning orientation. Students were increasingly adult and part- time; they arranged educational activities around family, community and career responsibilities; and they entered or reentered higher education to further career goals. (p. 256)
It was against this background of change that Knowles moved from Boston University to North Carolina State University in 1974. Knowles had spent 14 years at Boston University and at the time he left, his graduate school in adult education was home to over 150 EdD students (Knowles, 1989). Knowles regarded the period 1960 to 1974 as a time of tremendous personal growth. He had developed his thinking on andragogy to the point where it constituted a “sound basis for further research and theorizing” (1989, p. 20). In moving to North Carolina State University, he was in a position to teach his courses totally according to andragogical principles.
Knowles’ Aims in Writing Self-Directed Learning According to Kett (1994), the challenge for educators at this time, was that adult students continued to seek mastery of bodies of knowledge within traditional classroom contexts. At the level of broad program planning, Knowles had, in writing The Modern Practice of Adult Education (1970), attempted to meet such a challenge. Some had argued (e.g., Jahns, 1973) that the attempt needed to be greatly expanded if it were to have much impact on actual instructional practice. Knowles wrote Self- Directed Learning (1975) precisely to meet the sort of need expressed by Jahns. Knowles (1975) recognised that many of the new developments in education – developments which included responses to the new student constituency – required learners to take greater responsibility for their learning. He saw learners as still being unprepared for this task and he saw the context as applying to high schools, technical institutes, colleges and universities. His aim in writing Self-Directed Learning (1975) was to help both learners and teachers. Learners needed to acquire the skills of self- directed learning, and teachers needed to know how to support and work with such learners. Importantly, Knowles would be introducing the concept of learning contracts. Given the anxieties shown by learners, he aimed to facilitate their entry into the process with greater security and ease. Self-Directed Learning (1975) performed a new function for Knowles. He admitted not having previously used the printed word as the sole means for helping 160 people become self-directed learners. Although the work had separate sections directed to the learner and to the teacher, Knowles urged readers not confine themselves to their respective section only. The book could be used as a resource by the teacher or the learner alone but, for best results, learners and teachers together would use the book and each would make suggestions to the other as appropriate. In writing Self-Directed Learning (1975), Knowles described his motives as those “of a missionary” (p. 10). He admitted his bias in thinking that self-directed learning was the best way to learn but he also acknowledged that there were situations in which teaching, instruction and indoctrination were called for. The reference to indoctrination as a legitimate learning method was both new and unqualified. Knowles had, in 1973 (in describing learning theory models), made distinctions between training, teaching and education. Self-directed inquiry was appropriate for education; and mechanistic models for training; but no mention was made of the appropriateness of indoctrination. This situation would be clarified only slightly in 1989. Despite Knowles’ (1975) missionary zeal, the individual’s own learning needs and conditions had to be met. To the learner he wrote, “I see your role as being an active inquirer and wanting to learn all you can from the resources I can provide – but on your own terms, at your speed, and in your own style” (p. 10). Knowles was clear in not wanting his ideas to be impositions on the will of the learner. To the teacher, he indicated his intention of avoiding a prescriptive stance. The treatment of self-directed learning would be expressed in terms of Knowles’ own journey of self- discovery.
Self-Directed Learning Knowles (1975) contended that one of the most significant findings from Tough’s (1971) research was that when adults engaged in learning episodes without being taught, they were “naturally” self-directing (p. 129). Knowles had cited Tough in 1973 but had not previously made this point. He contended that the prior experiences of adult learners could cloud the naturalness of their learning. Many students, he argued, have been so conditioned to having teachers tell them what they are to learn and how they are to learn it that they become confused and worried when confronted with the responsibility of thinking through what they want to learn and how they will go about learning it. (p. 129) 161
According to Knowles (1975), the short-term acquisition of skills of self- directed learning was necessary because the skills supported effective proactive learning; they were consonant with the natural processes of psychological development; and they enabled learners to take greater responsibility for their own learning. The long-term issue for Knowles (1975), however, was survival. Knowles had touched on this theme consistently throughout his writing career. In the works of 1950 and 1962, it was the survival of civilisation that mattered; in 1969, the survival of higher adult education as a university function; in 1973, organisational survival; and in 1975, the survival of both the individual and the human race. Knowles (1975) contended: The “why” of self-directed learning is survival – your own survival as an individual, and also the survival of the human race. Clearly, we are not here talking here about something that would be nice or desirable; neither are we talking about some new educational fad. We are talking about a basic human competence – the ability to learn on one’s own – that has suddenly become a prerequisite for living in this new world. (pp. 16-17)
Knowles (1975) did not consider that the expression “self-directed learning” should connote learning in isolation. His contention was that learners would normally conduct their inquiries in association with helpers such as teachers, resource people and peers. He noted, “there is a lot of mutuality among a group of self-directed learners” (p. 18). The relationship of the learner to peers and teachers was meant to be mutually helpful; it was a collaborative and consultative relationship intentionally lacking in competition. As Knowles saw it, the learner needed to regard teachers and peers as helpers with resources to share. Despite Knowles’ (1975) strong feelings about the mutuality of self-directed learning, participation by others was not demanded. But self-directed learning did require action on the part of the learner. Knowles defined self-directed learning as a process in which individuals take the initiative, with or without the help of others, in diagnosing their learning needs, formulating learning goals, identifying human and material resources for learning, choosing and implementing appropriate learning strategies, and evaluating learning outcomes. (p. 18)
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Despite its frequent prior use, this was the first time in a major writing that Knowles had defined the term. Learners acting on the definition would be implementing five of the seven phases in the andragogical process. The climate-setting and mutual- planning phases appear to be assumed as already existing or not being necessary where the student initiates the learning. In the beginning stages of self-directed learning, students would have to deal with conceptual problems. Two of these involved questions of structure and content. Knowles’ (1975) procedure was to advise students that they would be working within a process structure – not a content structure. This did not imply that there was no content; the process structure helped facilitate the acquisition of content. The design was different from that of a content structure which, according to Knowles, dealt with transmitting content. Students would arrive at a clear definition of the content to be acquired after having gone through the first four phases of the andragogical process. This advice was consistent with Knowles’ developing thoughts on the differences between andragogy and pedagogy. In 1973, he had made a distinction between process and content models of learning design. By 1975, he had come to express the differences in terms of self-directed learning and teacher-directed learning. The perceptions were not mutually exclusive but were rather changes in emphasis. The 1975 emphasis was self-directed learning.
Andragogy In the years following publication of The Modern Practice of Adult Education (1970), criticisms of Knowles’ thinking arose. Two early critics were Houle (1972) and London (1973). Houle argued in his book, The Design of Education, that andragogy and pedagogy were not essentially different – that education was a single fundamental process. Knowles, in reviewing Houle’s book, responded by admitting that although his initial perception of andragogy and pedagogy was of two essentially dichotomous systems, he currently saw them as two ends of a continuum “with andragogy becoming increasingly in tune with reality with the maturation of the learner” (1972, p. 663). London, in a review of The Modern Practice of Adult Education, supported Houle’s contention and added that there was little value in importing another term into the already “confusing array of jargon” (p. 67). 163
In terms of the responses Knowles made in his major writings, no changes were evident in The Adult Learner (1973). In Self-Directed Learning (1975), however, there were some clear developments. These developments related to:
the definition of andragogy
the use of alternative language
a new assumption
a new way of viewing the assumptions
The definition of andragogy. Up until 1973, Knowles’ definition of andragogy had been “the art and science of helping adults learn” (1970, p. 38). In 1975 Knowles made a parenthetical qualification to his definition: “Andragogy is defined … as the art and science of helping adults (or, even better, maturing human beings) learn” (p. 19). The use of alternative language. The table comparing the assumptions and designs of pedagogy and andragogy that Knowles (1973) had included in The Adult Learner (Table 3 of this thesis) was reproduced in 1975 with some major changes. In the new table (Table 4 of this thesis), the expressions “pedagogy” and “andragogy” were either replaced by “teacher-directed learning” and “self-directed learning” (p. 60) or were repositioned parenthetically after the new terms. “Design elements” were replaced by “process elements”, and “problem units” by “learning projects” and “learning contracts”. Tough’s (1971) influence is discernible in Knowles’ (1975) use of “learning projects”. A new assumption. In addition to the previous andragogical-pedagogical assumptions, Knowles (1975) included a new one called “motivation”. According to Knowles, teacher-directed learning assumed that students were motivated to learn in response to external rewards and punishments; self-directed learning assumed that learners were motivated by internal incentives and curiosity. The 1973 separation of time perspective and orientation to learning was not repeated in 1975. A new way of viewing the assumptions. A note not previously included in the 1973 table was Knowles’ (1975) advice that the data should be read as poles on a spectrum rather than as black-and-white differences. This position reflected the thinking expressed in Knowles’ (1972) response to Houle that his current preference was to think of the differences as ends of a continuum rather than as dichotomous systems. In 1973 Knowles had located the behaviourist, cognitive and adult 164 education models on a learning ability and complexity continuum. His explicit advice in 1975 was a direct extension of this line of thinking. Knowles’ revised (1975) table is shown in this thesis as Table 4.
Table 4 A Comparison of Assumptions and Processes of Teacher-Directed (Pedagogical) Learning and Self-Directed (Andragogical) Learning
(Please read as poles on a spectrum, not as black-and-white differences)
Assumptions Process Elements
About Teacher-directed Self-directed Elements Teacher-directed Self-directed learning learning learning learning
Concept of the Dependent Increasingly self- Climate Formal Informal learner personality directed organism Authority-oriented Mutually respectful Competitive Consensual Judgmental Collaborative Supportive
Role of learner’s To be built on more A rich resource for Planning Primarily by teacher By participative experience than used learning decision-making
Readiness to learn Varies with levels of Develops from life Diagnosis of needs Primarily by teacher By mutual maturation tasks and assessment problems
Orientation to Subject-centered Task - or problem- Setting goals Primarily by teacher By mutual learning centered negotiation
Motivation External rewards and Internal incentives, Designing a learning Content units Learning projects punishments curiosity plan Course syllabus Learning contracts Logical sequence Sequenced in terms of readiness
Learning activities Transmittal Inquiry projects techniques Independent study Assigned readings Experiential techniques
Evaluation Primarily by teacher By mutual assessment of self- collected evidence
Note. From Self-Directed Learning: A Guide for Learners and Teachers (p. 60), by M. S. Knowles, 1975, New York: Cambridge Adult Education Co. Copyright 1988 by Pearson Education. Reprinted with permission.
Knowles maintained in Self-Directed Learning (1975) that the andragogical- pedagogical assumptions were not, in themselves, good or bad. Different situations would require the use of different assumptions. The attitude of the learners was determinative. Knowles had first made this point in 1973. He continued the theme in 165
1975. Self-directed learners would recognise occasions when they needed to be taught pedagogically and would enter into those situations in a searching and probing frame of mind. They would exploit their experiences as resources for learning without losing their self-directedness. In taking this stance, Knowles (1975) was contending that andragogical- pedagogical distinctions had more to do with the attitude of teachers and learners than with actual adult-child learning differences. Knowles’ beliefs about teacher attitudes were entirely consonant with his position that the andragogical and pedagogical models dealt with commonly-held assumptions. He argued: “The teacher who makes one set of assumptions will teach pedagogically whether he or she is teaching children or adults, whereas the teacher who makes the other set of assumptions will teach andragogically whether the learners are children or adults” (p. 19). Knowles’ revised table of assumptions (Table 4) reflects this thinking.
Knowles’ Changing Perceptions of Andragogy and Pedagogy Knowles’ conceptualising of the andragogical-pedagogical distinctions changed slightly over the period 1970 to 1975. In 1970, his focus was on adult learning assumptions and child learning assumptions. He had viewed these as antithetical differences. In 1973, the terms “andragogy” and “pedagogy” were applied to two learning theory models with distinctive aims – one, a content model and the other, a process model. The models were linked to the learning being undertaken rather than to assumptions about adult or child learning. In 1975, the focus changed to teacher-directed learning and self-directed learning. These two approaches occupied different positions on a learning continuum. It was the attitude of the teacher and learner that made “the difference between andragogical and pedagogical education” rather than “the difference in the assumptions underlying their theory and practice” (Knowles, 1975, p. 21). By 1975, the terms “andragogy” and “pedagogy” had ceased to have the antithetical quality they had had in 1970. The boundaries of Knowles’ thinking had become less rigid and his attitude more flexible. Table 5 shows Knowles’ changing emphases over the 6-year period.
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Table 5 Knowles’ Changing Perceptions of the terms “Andragogy” and “Pedagogy” over the Period 1970 to 1975
Year Andragogy Pedagogy Comment
1970 Adult-learning assumptions Child-learning assumptions “Andragogy versus pedagogy”
The Modern - applicable to adults and many - not appropriate for adults Practice of Adult children Education - “good” - “bad”
1973 Process model of learning theory Content model of learning theory HRD practitioners choose different models according to the situation The Adult - provides procedures and resources - transmits information and skills Learner - proactive learning - reactive learning
1975 Self-directed learning Teacher-directed learning “poles on a spectrum”
Self-Directed - “not necessarily good” - “not necessarily bad” It is the attitude of the learner and the Learning teacher that makes the difference
Role of the Teacher Knowles described in Self-Directed Learning (1975) how his self-concept had changed from that of teacher to facilitator of learning. His earlier beliefs were that as he encouraged self-direction in learning, his students would change but his performance would remain unchanged. His experience, however, was that after his students had acquired the skills of self-directed learning, they required of him a different role. Knowles (1975) explained his experiences in changing his attitude and recounted the difficulties involved in divesting himself of the “protective shield of an authority figure” (p. 33). He had to be open about his weaknesses and be clear to students in indicating precisely what resources he could offer. Significantly, resources had to be offered to students on their terms; the compulsion to pose as an expert had to be resisted. Knowles had to join his students “honestly as a continuing co-learner” (p. 34). In his role as facilitator of learning, Knowles (1975) found himself functioning “primarily as a procedural guide and only secondarily as a resource for content information” (p. 34). In this new role, a different set of procedural skills was needed. These were directly related to the seven phases of the andragogical process and were based on question such as: 167
How can I create an atmosphere characterised by both mutual caring and support, and intellectual rigour? (climate setting)
At what points shall I present optional procedures for students to decide on? (planning)
How can I make it possible for students realistically and non-threateningly to assess gaps in their competency levels? (diagnosing needs for learning)
How can I help students translate diagnosed needs into learning objectives? (setting goals)
What kinds of help will I give particular learners in designing their learning plans? (designing a learning plan)
How can I make myself available to subgroups and individuals? (engaging in learning activities)
How can I present judgments that will enhance rather than diminish learners’ self-concepts? (evaluating learning outcomes)
The questions listed by Knowles (1975) were new and were grouped according to the andragogical phases. They indicated the complexity of the tasks faced by adult educators and were, Knowles felt, significantly different from those involved in transmitting information. The questions are listed in Appendix L.
Contract Learning For the first time in a major writing, Knowles (1975) dealt with the topic of contract learning. The primary responsibility of a facilitator of learning, he maintained, was to help students develop competence as self-directed learners. The fairness in awarding academic grades, however, was a major concern. As early as 1950, Knowles had argued against their use in informal contexts. Only 5 years prior to writing Self-Directed Learning (1975), he had maintained that students regarded them as “the ultimate sign of disrespect and dependency” (1970, p. 43). By 1975, Knowles had spent 15 years working in higher adult education and was increasingly involved in HRD consultancy. He was aware of the needs and demands of organisations and institutions. His solution, as expounded in Self-Directed Learning, was contract learning. The meeting of needs of the individual, the institution and society was one of the sets of key ideas on which Knowles had based his thinking in The Modern 168
Practice of Adult Education (1970). At the level of broad program planning, he had argued for the holding together of the three needs. In Self-Directed Learning (1975), contract learning became the means by which the adult educator would provide for this in specific learning contexts. Knowles wrote: The learning contract is a means of reconciling … “imposed” requirements from institutions and society with the learners’ need to be self-directing. It enables them to blend these requirements in with their own personal goals and objectives, to choose their own ways of achieving them, and to measure their own progress toward achieving them. The learning contract thus makes visible the mutual responsibilities of the learner, the teacher and society. (p. 130)
Knowles (1975) regarded contract learning as a rigorous learning plan applicable to all content areas. The first step in developing a plan involved the learner becoming familiar with the given objectives of a course and then determining personal goals that went beyond those of the syllabus. The given objectives were associated with core content or learnings that all students needed to acquire. In an appendix to Self-Directed Learning (1975) entitled, “Guidelines for Contract Learning”, Knowles indicated that learners focusing on core content only, would contract for a B-level grade. Those who wished to pursue additional goals would opt for an A-level contract. The latter indicated learnings that the student would “perform with distinction in one or more aspects of the content” (p. 131). The difference between an adequate and distinguished accomplishment was a matter for negotiation between the learner and the instructor but would include consultation with peers. Elsewhere in the 1975 work, Knowles included the possibility of a learner opting for a C-level contract. This level was for a “passing” accomplishment (p. 49). It was Knowles’ (1975) hope that in preparing draft contracts, learners would think through the criteria that differentiated excellent, adequate and passing levels. That academic standards did matter, was shown by Knowles’ evaluation of the students’ drafts: I study these first drafts very carefully and frequently write my detailed reactions indicating what revisions will have to be made in the contracts in order for me to find them acceptable at the levels of grade specified. Only when a contract is revised to the point where it calls for a level of performance that I feel represents A quality will I agree to a contract for an A. I must confess that this system puts a lot of pressure on students in a competitive academic environment to overextend themselves, and I 169
frequently find myself encouraging students to contract for a B or C rather than to sacrifice their health or possible achievement in other courses. On the other hand, it has been my experience that this system produces a high degree of motivation along with an output of energy that results in superior learning. (p. 38)
Details incorporated into a contract included learning objectives, learning resources and strategies, evidence of accomplishment, and criteria and means of validating evidence. The last category, Knowles (1975) contended, was the most difficult to formulate. Evidence of accomplishments had to be judged. Knowles advised students: “don’t try to be too ambitious about being scientific. The important thing is that you have some experience in weighing the evidence about what you have learned and judging how convincing it is to you.” (p. 27). Despite the fact that learners would seek and receive validating feedback from peers, experts and teachers, Knowles remained committed to the notion of self-evaluation. By 1975, Knowles had come to equate andragogical learning with self- directed learning. He applied the term “self-directed learning” to both the assumptions and the process elements of andragogy, that is, to both the theory and the technology of andragogy. The learning contract was included within the design phase of the andragogical process. Its importance was practical, not theoretical: it constituted a practical element within the theoretical-practical framework of andragogy. The place of the learning contract in relation to the andragogical phases was shown in Table 4.
Conclusion
The period 1972 to 1975 was a time of significant refinement of thinking for Knowles. The 1972 revision of Introduction to Group Dynamics contained little that was new but Knowles indicated in that work a clear preference for qualitative research methodology. Since 1950, he had consistently held that people mattered more than things. His research preference reflected the value he attached to the human person and to research methods that adopted holistic approaches. The Adult Learner (1973) was a book focusing on theory. In it, Knowles supplied for the first time:
details of the research that supported his thinking on the andragogical and pedagogical assumptions; 170
details of the research that supported the seven phases of the andragogical process (i.e., on the technology of andragogy);
a tabular presentation of andragogical-pedagogical differences;
a definition of theory;
a classification of learning theory models;
a beginning model of lifelong education;
a taxonomy of life roles and their required competencies; and
a minimal list of learning skills required by youth. Knowles’ overarching hope was that andragogy could serve as a unified model for HRD.
The final work in the period 1972 to 1975 was Self-Directed Learning. This book was very much a manual of practice. It aimed to show how self-directed learning could be applied to particular learning situations. In the book, Knowles
defined the term, “self-directed learning”;
expanded his definition of andragogy;
came to equate andragogy with self-directed learning;
included motivation as a new andragogical assumption;
made explicit his perception of andragogy and pedagogy as points on a continuum;
listed the questions that identified procedural skills for teachers of self- directed learners; and
introduced contract learning as a major strategy for self-directed learning.
The period 1972 to 1975 was one in which Knowles displayed a changing set of perceptions of andragogy and pedagogy. His thinking became less rigid and this was related to his desire to see andragogy function as a cohesive but flexible model for HRD. Human resource developers did function as trainers (as well as teachers and facilitators of self-directed learning). In order to achieve flexibility, Knowles’ model had to take into account the provision of pedagogical methods where such methods were appropriate. Andragogy and pedagogy could no longer be seen as antithetical and mutually exclusive. The intellectual journey Knowles had taken over the period 1950 to 1970 culminated in the writing of The Modern Practice of Adult Education (1970). That 171 journey did not stop in 1970. Knowles had consistently maintained that his thinking was provisional and that it was offered to educators on the basis that they would test it for themselves in practice. To learners, Knowles offered his ideas in the same spirit: “I … have faith that you will test them against your own value system, personality style, and experience, and will either reject or adapt those that don’t stack up” (1975, p. 11). By 1975, Knowles had made good the two major deficiencies of The Modern Practice of Adult Education (1970). The theoretical research base for andragogy was supplied in The Adult Learner (1973) and strategies for using the technology in specific learning situations were provided in Self-Directed Learning (1975). The three works of 1970, 1973 and 1975 together formed a developed and coherent exposition of the theory and technology of andragogy.
SUMMARY OF PHASE 4 THINKING
In the years following 1970 Knowles introduced a number of new ideas relating to the andragogical research base, motivation, contract learning, self-directed learning, learning theory models, andragogy as a unified framework for HRD, and the learning continuum. These ideas led to a strengthening and expanding of the Phase 3 framework. In Phase 3 Knowles had considered andragogy to be a comprehensive theory of adult learning. He had constructed a conceptual framework that provided a theoretical base and a methodology for applying the theory. By 1975 he had come to regard andragogy as a coherent and unified framework for HRD. Knowles’ expanded understanding of andragogy is depicted in Figure 3. New or additional elements are shown in bold upper case font. In relation to theory, the number of sets of key ideas has increased from three to four and the number of andragogical-pedagogical assumptions from four to five. Contract learning and self- directed learning have been placed alongside facilitating and counselling as specific contexts for applying andragogical theory. The learning continuum showing the relative positioning of the training, teaching and self-directed inquiry models is a new element which is linked directly to the facilitator’s use of these three models within the andragogical framework. 172
Figure 3. Knowles’ expanded conceptual framework (showing phase 4 developments in bold upper case font).
The Technology of Andragogy: Seven The Theory of Andragogy: FOUR Sets Phases of the Andragogical Process of Key Ideas 1. Climate setting 1. Meeting of needs 2. Planning structure 2. The FIVE andragogical-pedagogical 3. Needs diagnosis assumptions 4. Objectives - self-concept 5. Learning design (INCLUDING THE - experience LEARNING CONTRACT) - readiness to learn 6. Implementation - orientation to learning 7. Evaluation - MOTIVATION 3. The teaching-learning transaction 4. LEARNING THEORY MODELS
Facilitating Counselling SELF-DIRECTED CONTRACT LEARNING LEARNING Phases Phases 1-7 1, 3, 4, 5, 7 PHASES PHASES 3, 4, 5, 6, 7 2, 4, 5, 7
TRAINING TEACHING SELF-DIRECTED MODEL MODEL INQUIRY (BEHAVIOURIST) (COGNITIVE) MODEL (ADULT- EDUCATIONAL)
THE LEARNING CONTINUUM
Andragogy as a Unified Framework for HRD
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The andragogical research base. Although Knowles, in the fourth phase of writing, supplied details of the research literature that supported his thinking, that information did not affect the structure of the newly-disclosed framework. The details bolstered Knowles’ position and provided a theoretical strengthening of the framework. The research literature had influenced his thinking prior to his exposition of the theory and practice of andragogy and led to the construction of the 1970 framework. But details of the research base could not be omitted – even after publication of The Modern Practice of Adult Education. Knowles was aiming his writing at HRD practitioners. Andragogy was a new concept and support for the cause still needed to be garnered. The new information constituted a “fleshing-out” of existing elements in the framework but added no new elements. Motivation to learn. It was during the fourth phase of writing that motivation to learn was added to the list of andragogical-pedagogical assumptions. Its inclusion was not based on new research data. Knowles supplied a brief description of the new assumption but gave no accounting for its introduction. In the final two phases of his writing, he would cite some references in support of the assumption. Contract learning. An important addition to the andragogical construct was Knowles’ inclusion of the learning contract within the design phase of the andragogical process. Contract learning was a process of contracting with the self or with others to design and implement learnings in a way that was congruent with andragogical principles. It provided for collaborative decision-making that took into account the needs of the individual, the institution and society. The learning contract itself was a process plan that incorporated the following four andragogical design elements (with original numbering): 2. a mutual-planning structure; 4. formulation of objectives; 5. development of a learning plan; and 7. evaluation. A self-directed learner would take the initiative in two of the remaining steps in the andragogical process: 3. diagnosing learning needs; and 6. implementing the planned activities. 174
Contract learning, therefore, was a major strategy which, when used by self-directed learners, accounted for all but one of the andragogical phases. In terms of its relationship to the andragogical process, contract learning was very similar to self-directed learning, but the two were not the same. Knowles conceived of contract learning as a tool which, by requiring a certain commitment from learners, and by providing organisational and structural support, helped to develop the skills of self-directed learning. These skills would become an essential component of the lifelong learning processes. Self-directed learning. Related to Knowles’ thinking on contract learning was his exposition of how self-directed learners would implement the andragogical phases. His specific provision for this meant that the procedural needs of counsellors, educators and self-directed learners were supported in the conceptual framework. The seven phases of the andragogical process constituted the general pattern of steps to be followed in applying andragogical theory. In the case of self-directed learners, however, Knowles did not include the climate-setting and planning-structure phases. These were assumed to be already existing or not necessary in situations of student- initiated learning. Self-directed learning was the process by which learners took the initiative in the following five phases (with original numbering): 3. diagnosis of learning needs; 4. formulation of learning goals; 5. identification of resources and development of a plan of activities; 6. implementation of the planned activities; and 7. evaluation of the learning outcomes.
The difference between this pattern and that relating to contract learning, generally, was that the needs diagnosis and implementation phases were included with self-directed learning, whereas the mutual-planning structure was not. Table 6 shows the relationship. The contract learning sequence did not necessarily imply that the needs diagnosis and implementation phases would be initiated by the learner or that they would be facilitated by an educator. Either or both could occur. When embarking for the first time on self-directed learning, some assistance would be needed. Table 6 shows the way in which contract learning could lead to self-directed learning: the learner new to self-direction would operate within a participative planning structure and would receive assistance with needs diagnosis 175 and implementation of the learning plan. Assistance and feedback would also be given in relation to objectives, learning design and evaluation. The proficient self- directed learner, however, when working outside the framework of a learning contract, would have no need for a participative planning structure and would, as a matter of course, initiate the needs diagnosis and implementation phases of the learning process as well as the other phases in the process. The single major difference between self-directed learning and the use of learning contracts by a self- directed learner was the omission of the mutual-planning structure from the self- directed learning sequence.
Table 6 Relationship between the Andragogical Phases, Contract Learning and Self- Directed Learning
Andragogical Phases Contract Self-Directed Learning Learning
Climate setting
Participative planning structure X
Needs diagnosis X
Objectives X X
Learning design (resources and strategies) X X
Implementation X
Evaluation X X
There was some ambivalence in relation to Knowles’ use of the term “self- directed learning”. He clearly understood self-directed learning as comprising five specific phases of the andragogical process and as being part of the structure of the andragogical framework. But he also had a broader understanding of the term. At one point, he was using the expression synonymously with andragogy: he equated pedagogy with teacher-directed learning and andragogy with self-directed learning (1975, pp. 18-21, 60). In that instance, he applied the term to both the andragogical assumptions and the andragogical phases, that is, to both the theory and the technology of andragogy. That use occurred only in 1975. Knowles was not able to sustain it because he was already thinking of andragogy as a unified model for HRD. He had come to regard andragogy as a model that provided for training, teaching and 176 self-directed learning. The breadth of his understanding of andragogy, therefore, meant that self-directed learning had, in the long term, to take on the more restrictive meaning associated with five particular process elements. Learning theory models. Knowles first introduced his ideas about learning theory models in the fourth phase of writing. Drawing on the thinking of Reese and Overton (1970), who argued that theories were based on models of the phenomena they were trying to explain, Knowles suggested that educational theorists were basing their thinking on three different models of the human person. Depending on the details of a particular theory, humans were conceptualised as machines or brains or living organisms. Knowles proposed a typology of learning theories according to the model of the human person they subscribed to. Table 7 shows Knowles’ conception of these models. It is based on his discussion of the concepts in 1973 and 1975 and on his 1989 reflections concerning this phase of his writing. The table shows Knowles’ perceived relationships between the terms. Although Knowles used the expression “model” interchangeably (e.g., “cognitive model”, “pedagogical model”, and “content model”), his grouping of descriptors was consistent.
Table 7 Knowles’ Conceptualisation of Learning Theory Models
Model Behaviourist Cognitive Adult-educational (and “humanistic”)
Conceptualisation of the human machine brain living organism person
Assumptions Mechanical Pedagogical Andragogical (“Mechanistic”)
Purpose training teaching self-directed inquiry
Role of the educator trainer teacher facilitator
Learning design skills-based content process
Tasks simple moderate complex
Andragogy as a unified framework for HRD. It was in this phase of writing that Knowles presented andragogy as a unified framework that could incorporate principles and technologies from the behaviourist, cognitive and adult- educational models. There would be no violation of integrity because the operating principles and overarching rationale were clear: the educator would always be aiming 177 to assist individuals to become self-directed learners but, depending on the needs of the learner and of the organisation (including whether training, teaching, or education was required), the educator would use one or other of the learning theory models. Self-directed learners could simultaneously draw on methodologies from all three models. From the perspective of andragogy as a unified framework for HRD, andragogy and pedagogy could no longer be seen as antithetical and mutually exclusive. Some strong language still occurred in this phase (e.g., “the millstone of pedagogy”), but it appears that Knowles was directing that language to pedagogy as it was traditionally understood and practised – and not to pedagogy as part of a broader framework that supported and nurtured self-direction in the learner. The learning continuum. In Phase 4 Knowles located the three learning theory models on a learning ability and complexity continuum. The cognitive model occupied a position midway between the behaviourist and adult-educational models. Differences were not clear-cut; it was the position on the continuum that was important. Phase 4 additions to the framework. Knowles’ 1970 (Phase 3) conceptual framework was expanded, strengthened and given greater flexibility by:
the inclusion of research data that supported the assumptions and processes of andragogy;
the introduction of motivation as a new andragogical-pedagogical assumption;
the introduction of contract learning and self-directed learning as specific contexts for use of the andragogical phases;
the incorporation of behaviourist, cognitive and adult-educational models into the framework;
the positioning of those models onto a learning continuum; and
the designating of andragogy as a unified model for HRD. The framework was still not complete and further elements would be incorporated during the course of the next phase. 178
THE LATER WRITINGS
CHAPTER 7 THE FRAMEWORK COMPLETED (PHASE 5)
THE WRITINGS FROM 1977 TO 1984
The fifth phase covered the period 1977 to 1984. During that time Knowles continued to revise and assess his thinking. He also responded to the criticisms of andragogy that had been growing since publication of The Modern Practice of Adult Education in 1970. His new thinking focused on:
the meaning of key terms: andragogy, modern practice, adult, ideology, HRD, theory, parallel, self-directed learning;
the benefits and practice of contract learning;
the organisation and content of the andragogical-pedagogical assumptions;
andragogy as a newly-emerged comprehensive theory of adult learning;
andragogy as a unifying theme in adult education; and
a vision of new institutional forms in the future. It was in this period, also, that Knowles
traced the history of the term “andragogy”;
changed the subtitle of The Modern Practice of Adult Education;
developed a model of lifelong learning systems; and
described the characteristics of a healthy psychological climate.
The five books written or revised by Knowles during this period and in which he expressed his new ideas were: A History of the Adult Education Movement in the United States (Rev. ed., 1977); The Adult Learner (2nd ed., 1978 and 3rd ed., 1984); The Modern Practice of Adult Education (Rev. ed., 1980); and Andragogy in Action (1984). This chapter discusses and accounts for the Phase 5 ideas in the context of the five works published during this phase.
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A History of the Adult Education Movement in the United States: Includes Adult Education Institutions through 1976 (Rev. ed., 1977)
In 1962, Knowles wrote The Adult Education Movement in the United States. That work was revised in 1977 with the new title, A History of the Adult Education Movement in the United States. The 1977 edition, like its predecessor, allowed only limited insight into Knowles’ thinking on adult learning theory. Both books focused on the history of the institutions and the field (or movement) of adult education. In the 15 years between publication of the two books, no author had completed or updated the historical picture. These were teaching years for Knowles and his attention had been focused on the theory and practice of adult learning. Nevertheless, when offered the opportunity to revise the 1962 work, he accepted. The new content in the 1977 history covered the years 1961 to 1976. Knowles (1977) felt that he could tackle the historiographical task “more objectively” (p. v) than previously because of the 18-year gap between his time as Executive Director of the Adult Education Association of the USA and the present. Conversely, writing so close to contemporary events also made judgments difficult. Knowles drew considerably on his personal experiences and observations; he asked that the reader be an “equally responsible participant-observer” (p. 283). A very small amount of the new content dealt with Knowles’ theoretical perspectives on adult learning. Referring to andragogy, he wrote, in the past tense, about “the emergence of a comprehensive theory of adult learning” (1977, p. 345). Previously, he had referred to this theory as “developing” (1969, p. 28) or “beginning” (1970, p. 16). The publication of The Adult Learner (1973) and Self- Directed Learning (1975) were significant milestones for Knowles. These books furnished the theoretical and practical aspects that were not covered in The Modern Practice of Adult Education (1970). Knowles was writing a history that he himself helped create. Publication of the works of 1970, 1973 and 1975 enabled him to see, as having emerged within the field of adult education, a comprehensive body of theory and practice. Partly as a result of the emergence of this comprehensive theory, Knowles (1977) argued adult education had become increasingly differentiated from traditional child and youth education. The differences were seen chiefly in terms of curriculum design and methodology, and the roles of teacher and learner. But 180
Knowles reported that teachers of children and youth were also discovering the value of the new theoretical framework. Acceptance of andragogy by a broader constituency influenced his understanding of the term. Knowles had been making increasingly explicit his belief that andragogy applied to people of all ages. The idea that andragogy meant helping human beings learn was implied as early as 1965 when Knowles first wrote about a common approach to learning by adults and youth; the notion was present in an explanatory sentence in 1970 (although it was not part of the actual wording of the 1970 definition); and in 1975, Knowles had inserted a parenthetical reference to “maturing human beings” (p. 19) as part of his definition. By 1977, the parentheses had disappeared and Knowles’ new definition of andragogy became, “the art and science of helping human beings learn” (p. 344). In 1962, Knowles had made a number of predictions about the future of adult education. His assessment of those predictions in the light of events up to 1976 was that they were justified. Knowles’ major new thought about the future in 1977 was that the adult education knowledge base would grow as a result of new discoveries in:
life-span developmental processes;
environmental influences on learning;
biological and chemical factors in learning; and
extrasensory phenomena in learning.
Knowles (1977) acknowledged that some of his 1962 thinking about the education of children and youth may have seemed farfetched but UNESCO’s report, Learning to Be (Faure et al., 1972), reinforced for him his own thinking on the importance and the necessity of reorganising all of education around the concept of lifelong learning. The report, he declared, was “not the ranting of a group of irresponsible education radicals, but the careful thinking of respectable representatives of ‘the establishment’” (p. 349). Because of UNESCO’s support for the concept of lifelong learning and the readiness of governments and institutions to examine the implications, Knowles (1977) felt that it would become “the central organizing concept for all of education within perhaps not more than a decade or two” (p. 347). 181
Knowles returned to the idea of the educative community which he had previously described in 1962 and 1970. If lifelong learning were to become a reality, then Knowles (1977) envisaged a “new institutional form – perhaps a lifelong learning center” (p. 347) coming into being. Such a centre would draw on all of the resources of a locality to form an educative community. Significantly, it could lead to “ending the monopoly of formal educational institutions” (p. 347). Knowles’ (1977) vision for the future was very similar to that of 1962 and 1973. He declared, “There will no longer be early childhood educators, youth educators, and adult educators. There will only be facilitators and resource persons of self-directing lifelong learners” (p. 349).
The Adult Learner: A Neglected Species (2nd ed., 1978)
There was a space of only 5 years between publication of the first and second editions of The Adult Learner. Knowles did not explain his reasons for revising the book in 1978. In the period between publication of the two editions, however, Knowles had written Self-Directed Learning (1975) and produced the revised work, A History of the Adult Education Movement in the United States (1977). Developments of thought had occurred in both the 1975 and 1977 works. Of significance for the revised edition of The Adult Learner (1978), were Knowles’ (1975 and 1977) expanded definitions of andragogy, his introduction of contract learning as a major strategy for self-directed learning and his perception of andragogy as having emerged as a comprehensive theory of adult learning. The new content in The Adult Learner which reflected these developments included:
guidelines for using learning contracts in an HRD context;
a discussion of Westinghouse Electric’s implementation of learning contracts and andragogical theory;
a model of core competencies for adult educators; and
a discussion of the origins and use of the term “Andragogy”. Contract learning was the only major topic carried over from Self-Directed Learning (1975) into the second edition of The Adult Learner.
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Contract Learning In 1975, 2 years after publication of the first edition of The Adult Learner, Knowles had introduced contract learning as a major strategy for self-directed learning. The Adult Learner was designed as a manual for HRD personnel and it is indicative of Knowles’ view of the importance of contract learning for HRD that he included it in the revised edition of the work. The benefits of contract learning were enormous: Without question the single most potent tool I have come across in my forty- three years of experience with adult education is contract learning. It has solved more problems that plagued me during my first forty years than any other invention. It solves the problem of the wide range of backgrounds, education, experience, interests, motivations and abilities that characterize most adult groups by providing a way for individuals (and subgroups) to tailor-make their own learning plans. It solves the problem of getting the learner to have a sense of ownership of the objectives he or she will pursue. It solves the problem of identifying a wide variety of resources so that different learners can go to different resources for learning the same things. It solves the problem of providing each learner with a visible structure for systemizing his or her learning. Finally, it solves the problem of providing a systematic procedure for involving the learner responsibly in evaluating the learning outcomes. (Knowles, 1978, pp. 127-128)
In order to demonstrate the value of learning contracts for HRD, Knowles included a discussion of Westinghouse Electric’s experiences in implementing continuing personal development plans for its executive team. In Self-Directed Learning (1975), he had included guidelines for the use of learning contracts but these guidelines were designed for his own students at North Carolina State University. The guidelines provided in The Adult Learner (1978) were designed specifically for the HRD context. In order to help learners specify their learning objectives, Knowles also supplied lists of core competencies that would apply to adult educators in their roles as
learning facilitator;
program developer and administrator; and
consultant.
Andragogy Chapter 3 of the 1973 edition of The Adult Learner had the title, “Theories of Learning Based on Studies of Adults”. Following Knowles’ new (1977) thinking, the 183
1978 title became, “The Emergence of a Theory of Adult Learning: Andragogy”. Referring to the growing body of notions about the unique characteristics of adults as learners, Knowles (1978) wrote, “Only in the last decade have these notions evolved into a comprehensive theory of adult learning” (p. 28). According to Knowles (1978), it was Lindeman’s The Meaning of Adult Education (1926b) that laid the foundation for a systematic theory. Knowles contended that Lindeman had distinguished between adult and conventional education, rather than between adult and youth education. He appears to have been unaware that Anderson and Lindeman (1927b) had affirmed the existence of child- adult learning differences which they considered to be “inherent in life itself” (p. 3). Knowles had cited Lindeman (1926b) in 1950 and 1970 but had not previously argued for an adult-conventional education distinction in the thinking of Lindeman. Knowles’ inclusion of this argument in the 1978 work appears to be based on his changing perception of andragogy and his new belief, first expressed in 1972, that andragogy and pedagogy were two points on a continuum, rather than two dichotomous systems. For the first time in a major writing, Knowles (1978) expressed the hope that andragogy would provide a unifying theme for all of education. This line of thought had been developing since 1965 when Knowles first suggested the possibility of adults and youth benefiting from the same learning conditions. Knowles had hoped in 1973 that andragogy could provide a unified model for human resource developers. By 1978, his vision extended beyond HRD and learning conditions to the whole field of education. He saw andragogy as a concept that would bring together the principles, concepts and research findings of adult learning into an integrated framework. He wrote, The field of adult education has long sought a glue to bind its diverse institutions, clienteles, and activities into some sense of unity; perhaps andragogy will give it at least a unifying theory. And, extended in its application to the concept of lifelong education, perhaps andragogy will provide a unifying theme for all of education. (1978, p. 51)
In the works of 1969, 1970, 1973 and 1975, Knowles had touched very briefly on the etymology of the word “andragogy”. In the 1978 edition of The Adult Learner, he traced, for the first time in a major work, the history of the use of the term from 1833 to the present. Knowles’ account was based on non-English data and 184 he gave no indication of the first uses of the term in English. Lindeman (1926a) and Anderson and Lindeman (1927a, 1927b) had used “andragogy” in English-language workers’ publications. Knowles would briefly acknowledge this in 1989. Knowles’ (1978) stated reason for providing the account was the widespread adoption of the term in the literature of adult education. It is significant, however, that he placed his comments within the context of andragogy’s development as a unifying theory of adult learning. The tracing of the term “andragogy” appears to have had more to do with its value as an integrative concept than its widespread use. Knowles’ discussion, entitled, “The Roots of Andragogy – An Integrative Concept”, is reproduced in Appendix M.
A Limited Revision The 1978 edition of The Adult Learner was not a major revision of the earlier work. In terms of Knowles’ theoretical perspectives, there was little that was new. Apart from including some material on contract learning, the second edition did not build, in any important way, on the overall perspective of Self-Directed Learning (1975). Of particular significance, however, was Knowles’ hope of seeing andragogy function as a unifying theme for all of education. This hope was expressed in the briefest of terms; it could not be conceptualised fully until a more complete model of lifelong learning had been constructed. That model would be constructed in 1984 when Knowles would describe in detail his four-step proposal for the creation of lifelong learning resource systems. The table comparing the assumptions and design elements of andragogy and pedagogy first published in 1973 (Table 4 in this thesis) and revised in 1975 (Table 5 in this thesis) was left in its unrevised form in the 1978 edition of The Adult Learner. The revised table had brought the data into conformity with the overall perspective of Self-Directed Learning (1975). At first sight, it would appear that Knowles retained the unrevised table in 1978 because contract learning was the only topic originating in 1975 that he had included in the revised version of The Adult Learner. That conjecture, however, is difficult to sustain given that the 1984 and 1990 editions of The Adult Learner also retained the original table. No other thinking from Self- Directed Learning was incorporated into the 1978 work. Neither the 1973 nor the 1978 editions of The Adult Learner gave succinct single-sentence definitions of andragogy comparable to those of 1970 or 1977. 185
Knowles’ latest (1977) definition of andragogy as “the art and science of helping human beings learn” (p. 344) was not repeated in 1978. Nevertheless, Knowles’ hope of seeing andragogy become a unified theme for all of education showed clearly his thinking on the applicability of andragogy to learners of all ages.
The Modern Practice of Adult Education: From Pedagogy to Andragogy (Rev. ed., 1980)
Responses to Critics In 1980 Knowles revised The Modern Practice of Adult Education. In the 10- year period between the writing of the two editions, the following of his works were published: Introduction to Group Dynamics (Rev. ed., 1972); The Adult Learner (1973); Self-Directed Learning (1975); A History of the Adult Education Movement in the United States (Rev. ed., 1977); and The Adult Learner (2nd ed., 1978). These works expressed both the continuity and developments of thought that had occurred during the years 1970 to 1980. Some developments were specific responses to critics. Knowles’ (1972) assertion, as mentioned in the previous chapter, that andragogy and pedagogy formed two ends of a continuum, came in response to a criticism by Houle (1972) that education was a single fundamental process. But there were other criticisms as well. In a 1979 journal article entitled, “Andragogy Revisited Part II”, Knowles responded to a philosophically-focused debate on andragogy in the journal, Adult Education. The debate had begun with an argument by McKenzie (1977) against Houle (1972) and London (1973). McKenzie had argued that a philosophical vacuum existed in the professional field of adult education and that the concept of andragogy contributed significantly to philosophical discourse in the field. McKenzie’s contention was that because adults and children were existentially different, their education would be similarly different. Elias (1979) challenged this stance. He equated andragogy and pedagogy with progressive and traditional education, respectively, considering them to be representative of “two different approaches to the education of children and adults” (p. 255). He wished to avoid “extreme forms”, maintaining that the teaching process was essentially the same. Accordingly, he saw no value in retaining the notions of 186 andragogy and pedagogy. Andragogy, for him, was a misguided attempt at enhancing the status of adult education. McKenzie’s (1979) article, “A Response to Elias”, recognised the lineal descent of andragogy from progressivism but argued against too close an identification of the two. Using Reynolds’ (1971) terminology rather than that of Kuhn (1962), McKenzie held that andragogy was “simply a paradigm” (p. 258). The paradigm was an existentialist one, and in support of this, McKenzie drew on the thinking of Kneller (1964) who maintained that the teacher “is not in his classroom primarily to impart knowledge (realism), or as a consultant in problem situations (pragmatism), or as a personality to be emulated (idealism). His function is to assist each student personally in his journey towards self-realization” (p. 66). Knudson (1979) objected to the classifying of humans into different kinds of beings such as children, adults and the elderly. His focus was on degrees of difference (rather than on kinds) and he proposed the term “humanagogy” as a unifying concept that would take into account human growth and development over the entire life-span. Knudson’s feeling was that different philosophical perspectives excluded knowledge about some aspects of human development. Humanagogy as a remedy would incorporate principles from pedagogy, andragogy and gerogogy. It was, he maintained, “not an extremist view” (p. 261). Knowles (1979) acknowledged the authors who had contributed to the debate and took the opportunity to clarify his position. He wrote without ambiguity: I have realized for some time now that I made a serious mistake in subtitling The Modern Practice of Adult Education: “Andragogy versus Pedagogy,” and presenting their two sets of assumptions about learners as a dichotomy. The subtitle should have been “From Pedagogy to Andragogy” and the assumptions should have been presented on a continuum. (p. 52)
In an apparent reference to Elias, Knowles (1979) explained that his intention was to present teachers with the choice of an alternative set of assumptions. The need for this choice was based on the difficulty involved in applying traditional pedagogical assumptions to adult learning. Since 1965, Knowles had made frequent references to the voluntary nature of adult education. It was this factor, he argued, that had led to the initial pinpointing of the pedagogical problem: adults would not return to experiences in which they were treated as children. Conversely, Knowles 187 held that the delay in discovering problems in teaching children pedagogically was a consequence of the compulsory nature of traditional childhood education. Knowles (1979) referred to Western education as being “ideologically committed” to the pedagogical model (p. 52). Andragogy would provide an alternative but, according to Knowles, an ideological pedagog would want to keep me dependent on a teacher, whereas a true andragog would want to do everything possible to provide me with whatever foundational content I would need and then encourage me to take increasing initiative in the process of further inquiry. (p. 53) Knowles concluded his response to the debate by asserting unequivocally: “I am not saying that pedagogy is for children and andragogy for adults … and I am certainly not saying that pedagogy is bad and andragogy is good” (p. 53).
From Pedagogy to Andragogy The preface in the 1970 edition explaining the aims of the work was not reproduced in 1980. There is, however, no evidence in the 1980 work that Knowles’ original intention of providing a planning guide and problem-solving tool had changed. The book maintained its tripartite division and much of the 1970 content remained unaltered. Knowles’ 1970 comment that the work did not provide “pat answers”, “neat categories” and “proved theories” (p. 16) was repeated in 1980 (p. 14). Andragogy constituted a “framework of assumptions and principles” that was “more self-revelation than eternal revelation” (1980, p. 245). Knowles had consistently argued that his ideas were to be tested by learners and educators. This stance was maintained in 1980. In revising The Modern Practice of Adult Education (1980), Knowles acted on his 1979 thinking and replaced the subtitle Andragogy Versus Pedagogy with the new expression, From Pedagogy to Andragogy. This was the first time this expression was used in a major writing. The subtitle, however, did not represent a new idea. Since 1972, Knowles had been viewing andragogy and pedagogy as two points on a continuum rather than as dichotomous systems. Knowles’ language had been softening in the period 1972 to 1980. In the first edition of The Modern Practice of Adult Education, the Chapter 3 section introducing andragogy had been subheaded, “Farewell to Pedagogy” (p. 37). In 1980 the subheading became “In the beginning was pedagogy” (p. 40). The equivalent sections in the 1973 and 1978 editions of The Adult Learner had been subheaded 188
“The Millstone of Pedagogy”. By 1980, this language and its connotations were absent. Publication of the revised edition of The Modern Practice of Adult Education enabled Knowles to bring the work up to date with his current thinking. The book was not a new work; much of the earlier content was expanded and re-expressed. Significant new material relating to Knowles’ theoretical stances included discussions of the meaning of modern practice; adulthood; models and ideology; and the inclusion of target dates in the learning contract design.
Modern Practice In a new chapter entitled “What is Modern Practice?” Knowles (1980) explained that “modern” was a very temporary state and that the “half-life” of current practices was approximately 10 years. He saw four major developments influencing adult-educational practice in the eighties and nineties. These were: a new conception of the purpose of education; a shift in focus from teaching to learning; lifelong learning; and new delivery systems. Knowles’ comments about these influences were not new. He had not, however, previously grouped these factors into a class of major modern influences. The modern task of education had become “one of finding new ways to link learners with learning resources” (p. 20).
Adulthood In Informal Adult Education (1950), Knowles did not directly define adulthood. He had expressed the concept in terms of a person’s growth towards maturity but did not state any specific criterion by which a person’s adult status might be defined. Knowles had drawn on Overstreet (1949) to make the point that it wasn’t so much the number of years a person had lived as the psychological competence the person had developed that was important. Knowles’ concern in 1950 had been to link maturity with learning so that adults who were learning could be regarded as adults who were maturing. Maturity was not something to be attained once for all. No clear definition of adulthood was supplied by Knowles in any of his major writings up to and including 1980. In his revised edition of The Modern Practice of Adult Education (1980) he touched briefly on the meaning of the term “adult” and suggested that both social and psychological definitions were important; the social 189 definition related to individuals who performed the social roles typically assigned to adults; and the psychological definition related to those whose self-concept was that of being autonomous and self-directing individuals. Knowles (1980) continued to view the link between learning and adulthood as important but he did not specify how to identify individuals who should be treated as adults educationally. The tradition of defining the role of a student as that of a child complicated matters as did the fact that children and youth themselves were “likely to be adult to some degree” (p. 24). The question as to who should be treated as an adult educationally could be answered “only as a matter of degree” (p. 24). This position was fully congruent with Knowles’ conception of andragogy and pedagogy occupying different positions on a learning continuum.
Models and Ideology From 1979 on, Knowles began to refer to pedagogy as an ideology. There is nothing in the major writings to show what led to this use of the term but it is possible that he was influenced in his thinking by his experiences at North Carolina State University. Knowles retired from that institution in 1979 at the age of 65 years, which was the university’s standard retirement age. Carlson (1989), however, noted that no effort was made to retain Knowles after he had reached that age. Criticism that Knowles had received at both Boston University and North Carolina State University was due in part, Carlson argued, “to andragogy’s challenge to traditional university ideology” (p. 231). In tracing the development of the expression “andragogy”, Knowles had, in 1978, referred to the Dutch term “andragogics” which concerned the methodology and ideology of andragogy. Apart from that one reference, he had not previously, in a major writing, written about the relationship between ideology and the assumptions of adult and child learning. In his journal article, “Andragogy Revisited Part II” (1979), he referred to the ideological commitment of western educators to pedagogy and to the “ideological pedagog” (p. 53). His thinking about ideology was made more explicit in the 1980 edition of The Modern Practice of Adult Education. Knowles (1980) did not see andragogy as an ideology but he considered that many traditional teachers and learning theorists had “an almost ideological attachment to the pedagogical model” (p. 59). It was something he felt they had to be loyal to, to enforce with sanctions (like normative grading), and to “protect from 190 heresy”. The consequence of this thinking, for Knowles, was that such pedagogues would underrate the realistic value of the andragogical assumptions, preferring to keep learners dependent despite their having achieved the capacity for self-directed learning. This was the first time in a major writing that Knowles had made this point. He saw andragogy as a system of assumptions that encompassed the pedagogical model. This inclusiveness took account of a learner’s potential need for pedagogical strategies and made their use “legitimate” (p. 59). Knowles did not, in 1980, state that this stance was a reason for his not regarding andragogy as an ideology; nevertheless, the attribute of inclusiveness would have made the identification of andragogy with ideology difficult. The clarity that was lacking in 1980 would be put right in 1984. Knowles asserted in 1980 that andragogy was “simply another model of assumptions about learners to be used alongside the pedagogical model of assumptions” (p. 43). This assertion was new. It was, however, qualified by the comment (based on 1973 thinking) that it was the suitability of “fit” that determined the choice of model. Knowles had used the language of models in 1973 but this was the first time he had described andragogy as “simply another model”. A table comparing the andragogical and pedagogical assumptions was included in the new edition of The Modern Practice of Adult Education. Unlike the table supplied in 1978, Knowles (1980) returned to the same categories and some of the terminology used in Self-Directed Learning (1975). The significant difference about the 1980 table compared with the tables in the two editions of The Adult Learner was the inclusion of motivation as a category and the exclusion of time perspective. Compared with the 1975 table, however, Knowles made slightly less use of the terms “self-directed learning” and “teacher-directed learning”. The discussion of the assumptions in 1980 included no commentary on the restored motivation category. Essentially, there were two forms of the andragogy-pedagogy table: the 1973 and 1978 table which included time perspective but excluded motivation; and the 1975 and 1980 table in which that pattern was reversed. It was only in 1975 that the discussion in the text directly correlated with the categories shown in the table. Details are summarised in Table 8.
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Table 8 The Andragogical-Pedagogical Assumptions, 1973-1980
1973 1975 1978 1980 The Adult Learner Self-Directed Learning The Adult Learner The Modern Practice (1st ed.) (2nd ed.) (Rev. ed.) Text Table Text Table Text Table Text Table Page(s) 45-49 104 19-21 60 55-59 110 43-54 390 Self-concept X X X X X X X X Experience X X X X X X X X Readiness to learn X X X X X X X X Time perspective X X Orientation to learning X X X X X X X X Motivation X X X
Learning Contracts The first edition of The Modern Practice of Adult Education was written prior to Knowles’ introduction of contract learning as a major strategy for self-directed learning. The topic had been dealt with in 1975 and 1978 and was treated again, with much practical advice, in 1980. Knowles had written enthusiastically about contract learning and this attitude continued with his 1980 reference to it as “a truly magical way to help learners structure their own learning” (p. 243). Two new developments in Knowles’ (1980) thinking included his recognition of the need for strong support for learners in the evaluation phase of the contract and his inclusion of target dates in the contract as a “self-disciplining device” (p. 244) for meeting objectives. The support was needed because many learners became anxious as a result of not having previously taken such a degree of responsibility for their learning. The specifying of target dates would enable a more efficient scheduling of time.
Conclusion Developments of thought in the revised edition of The Modern Practice of Adult Education (1980) focused essentially on the clarification of terms. Many of the appendices in the 1970 edition were replaced in 1980 and this was mainly to bring the content up to date and to provide guidelines and supporting material for contract learning. Although there was much new material of a practical nature, Knowles’ theoretical perspectives, as they had developed up to the time of writing, had already been put into print in Self-Directed Learning (1975) and the two editions of The 192
Adult Learner (1973 & 1978). The process of clarifying and refining terms would continue into the next two works.
The Adult Learner: A Neglected Species (3rd ed., 1984)
Knowles’ major aim in writing The Adult Learner was to provide HRD personnel with an overview of the literature on theories of learning and teaching. His specific aims were to locate andragogy within an HRD context, to show its practical utility and to explain its theoretical underpinnings. Those purposes continued through the first, second and third editions of the work. Revisions to the second edition mostly involved an updating of the discussions on learning theorists (and their theories) and the inclusion of new appendices. This pattern was continued with the third edition in 1984. Knowles was, at this time, a member of the Task Force on Lifelong Education of the UNESCO Institute for Education (Knowles & Associates, 1984). New content in the third edition reflected this involvement. The important new material included appendices by Knowles entitled “Creating Lifelong learning communities”, “From Teacher to Facilitator of Learning” and “Making things happen by Releasing the Energy of Others”. Other new content included refined thinking on andragogy and a conceptualising of organisations as learning resource systems.
HRD and Learning Resource Systems Knowles wrote The Adult Learner (1973) with human resource developers in mind but neither in 1973 nor in 1978 had he defined the expression “human resource development”. In the third edition, however, he wrote, “Human Resources Development … includes adult and continuing education in educational institutions, business and industry, government agencies, health agencies, voluntary organizations, religious institutions, labor unions, mass media, and by commercial providers” (1984d, p. 1). Since 1962, Knowles had been writing about educative communities. In 1970, he began to write about organisations as providers of educative environments and, in 1980, about “a total environment conducive to human growth and self- 193 actualization” (p. 38). It was in 1980, also, that Knowles first described an organisation as a “system of learning resources”. The significant new thinking in 1984 was his visualisation of the human resource developer as the manager of an organisation’s learning resource systems. This conceptualising required a changed role for the human resource developer. Two questions needed to be asked in order properly to fulfil this role: “What are all of the resources in our system that are potentially available for the growth and development of people?” and “How can we make more effective use of these resources for the systematic and continuous development of our people?” (1984d, pp. 138-139). Contract learning would provide an important means for answering the latter question.
Creating Lifelong Learning Communities Knowles transferred his new thinking about learning resource systems onto his older ideas about educative communities. He had first referred to the educative community in 1962 and 1970. In 1973, when proposing his lifelong learning model, he had referred to the “learning resource center” (p. 162) and, in 1977, to the “lifelong learning center” (p. 347). Knowles suggested, in 1977, that these might become the new institutional forms for education. This thought was continued in the third edition of The Adult Learner with his prediction that lifelong learning resource systems would become the new institutional form. Organisations were not the sole occupiers of the learning resource systems niche, however. Knowles’ (1984d) central thesis was that any social system including family, neighbourhood, organisation, agency, community, state and nation, could be conceptualized as a system of learning resources. This notion arose out of the application of systems theory to education which, as Knowles saw it, provided a new way of thinking about education. In creating a model of lifelong learning systems, Knowles (1984d) built on his earlier (1973) model of lifelong education. The new model was based on eight assumptions. The ideas they expressed were not new but their grouping into a body of assumptions to support the model was new. The assumptions were as follows (1984d, pp. 181-182): 1. learning in a world of accelerating change must be a lifelong process; 2. learning is a process of active inquiry with the initiative residing in the learner; 194
3. the purpose of education is to facilitate the development of the competencies required for performance in life situations; 4. learners are highly diverse in their experiential backgrounds, pace of learning, readiness to learn, and styles of learning; therefore, learning programs need to be highly individualised; 5. resources for learning abound in every environment; a primary task of a learning system is to identify these resources and link learners with them effectively; 6. people who have been taught in traditional schools have on the whole been conditioned to perceive the proper role of learners as being dependent on teachers to make decisions for them as to what should be learned, how it should be learned, when it should be learned, and if it must be learned; they therefore need to be helped to make the transition to becoming self-directed learners; 7. learning (even self-directed learning) is enhanced by interaction with other learners; and 8. learning is more efficient if guided by a process structure (e.g., learning plan) than by a content structure (e.g., course outline).
Knowles (1984d) envisaged four steps in the creation of a lifelong learning resource system: all the resources in a community had to be identified; the information gathered needed to be incorporated into a data bank; a policy-making mechanism had to be established; and a lifelong learning process designed. Knowles had written previously about the role of the educational counsellor (1970, 1980) and educational brokering (1977). The brokering agencies which had emerged in the United States in the early 1970s (Stubblefield & Keane, 1994) were seen by Knowles (1984d) as playing important roles in making data bank information available to learners, educators and counsellors. Knowles’ vision provided no role for traditional teachers. In their place he saw educational diagnosticians, planning consultants, resource people, administrators and co- ordinators. The resource people, as content specialists, would work with proactive learners and would not function in the manner of traditional teachers. The five steps of the lifelong learning process shown below would illustrate the roles of the new educators. 195
Knowles did not expect lifelong learners to work in isolation. There was a lot of “mutuality” in their learning which was expressed through collaboration with others and especially with professional educators who brought a degree of expertise to the teaching-learning transaction. As Knowles saw it, lifelong learners were self- directed learners who were prepared to draw proactively on that expertise and work with the range of professionals such as counsellors, consultants, facilitators and resource persons. The design of Knowles’ (1984d) lifelong learning process was based on the seven-phase andragogical process but assumed the use of learning contracts. The planning structure, objectives and learning-design elements were incorporated into the learning contract phase and the climate-setting phase became learning skills assessment and development. The five steps in the lifelong learning process were as follows: 1. the individual would enter one of the centres of the system for learning skills assessment and skills-development exercises; 2. the individual would then be referred to an educational diagnostician to obtain a profile of diagnosed learning needs; 3. the individual would next be referred to an educational planning consultant for help in designing a learning contract; 4. the learner would then go to the resources, alone or with others, to carry out the learning plan; 5. upon completion of the learning plan the learner would return to one of the centres of the system for a rediagnosis of learning needs and development of the next level of learning plan.
In the 1973 edition of The Adult Learner, Knowles had supplied a minimal list of learning skills required by youth. He had not at that point formulated his thinking on contract learning. In 1984 the list was adapted to include elements required for the design and implementation of a learning contract. The new set of learning skills is reproduced in Appendix N. As indicated earlier in this chapter, Knowles had, in 1977, pictured a time when there would no longer be adult and childhood educators – only “facilitators and resource persons of self-directing lifelong learners” (p. 349). The 1984 vision supplied details that had only been hinted at in 1977. The fact that Knowles had, by 196
1984, proposed a set of lifelong learning assumptions and produced a lifelong learning process – based on the andragogical assumptions – meant that his theoretical framework had broadened to the point where it could be regarded as a unifying theme for all of education. Knowles’ 1978 wish was that andragogy might be extended in its application to include lifelong learning and so function as an overall integrative framework for education.
Becoming a Facilitator of Learning In 1975, Knowles had described his journey from being a transmitter of content to a facilitator of learning. He did not supply the context in which this transition occurred. In the 1984 edition of The Adult Learner, he made it clear that it was when teaching at George Williams College in Chicago (and whilst studying for his master’s degree) that he first “decided to switch from being a teacher to a facilitator of learning” (1984d, p. 190). It is significant that even before the publication of his first book and before he had taken up his professorship at Boston University, Knowles was committed to being a facilitator of learning. Of particular significance, was Knowles’ (1984d) remark that his psychic rewards were no longer gained from controlling students but from “releasing” them (p. 191). This comment was made by him as he reflected on his early teaching years. It was recorded in The Adult Learner (1984) in an appendix entitled, “From Teacher to Facilitator of Learning” which was included in the book as an example of the application of the Einsteinian energy system to teaching. This was the first of two such examples.
Releasing the Energy of Others The second example of the application of Einsteinian energy principles to teaching was the appendix entitled, “Making Things Happen by Releasing the Energy of Others”. In this appendix, Knowles returned to the matter of leadership. This had always been important to him and he had dealt with it in varying degrees throughout the period 1950 to 1984 but not in any major way since publication of the 1966 monograph, The Professional Nurse Looks at Self-Development. Notions derived from systems theory and the Einsteinian conception of energy, prompted Knowles (1984d) to rethink questions of leadership. He held that it was no longer appropriate to view the output of a system in terms of the limited 197 vision and ability of the leader. His contention was that the highest function of leadership was in “releasing the energy of the people in the system and managing the processes for giving that energy direction toward mutually beneficial goals” (p. 193). This was an essentially creative role for both the leader and those in the system. The notion of relinquishing control had been present in Knowles’ writings prior to 1984. Knowles had, in 1970, identified democratic organisations as those that emphasised “release of human potential over the control of human behavior” (p. 60). Fifteen years earlier in How to Develop Better Leaders (1955), Knowles and Knowles had asked the question, “What makes good leaders?” (p. 7). Their ideas then were not dissimilar to those of 1984: a good leader had to “lose control” (1955, p. 12) yet simultaneously provide guidance and assistance to the group. This was a point that Knowles had first made in Informal Adult Education (1950). Knowles and Knowles (1955) had observed that leadership development was on “the brink of a transition from … the pre-scientific to the scientific” (p. 7). In 1984, Knowles still felt only “on the verge of beginning to understand how to optimize the release of the enormous pent-up energy in … human energy systems” (1984d, p. 200). Nevertheless, Knowles considered, in 1984, that he had identified the characteristics that distinguished “releasing leaders” (or creative leaders) from “controlling leaders”. Though similar to his earlier thoughts on democracy and leadership, the identified characteristics were based on observations of leaders rather than on any previous ideas. His reading of the research literature confirmed his observations. As he saw it, creative leaders: 1. made positive assumptions about human nature; 2. recognised that people’s commitment to a decision was proportionate to their involvement in the decision-making process; 3. believed in and used the power of self-fulfilling prophecy; 4. valued individuality; 5. stimulated and rewarded creativity; 6. were committed to a process of continuous change and were skilful in managing change; 7. emphasised internal motivators over external ones; and 8. encouraged people to be self-directing. These were the central characteristics derived from Knowles’ (1984d) reading and observations. He did not regard the list as exhaustive. 198
Andragogy A significant development in the 1984 edition of The Adult Learner was the introduction of a new andragogical-pedagogical assumption: the need to know. The logic of this assumption may have been implied in Knowles’ earlier understanding of readiness to learn. In the discussion of this latter assumption in 1973, Knowles had referred to McClelland’s (1970) thinking on ways of promoting the achievement motive and, in 1980, he had referred to educators helping learners discover their “needs to know” (p. 44). He had not previously used this expression in the context of readiness to learn and it is not clear whether, in this instance, he was referring to developmental needs or to an understanding of purposes for learning. Whatever the case, by 1984, a new assumption had been introduced. As Knowles saw it in 1984, adults needed to know the reasons for learning before committing themselves to it. This contrasted with his view of pedagogy which he understood as expecting of learners no real understanding of how particular learnings would apply to their lives. The teacher’s own explanations focusing on passing exams and being promoted were sufficient. In discussing this assumption, Knowles (1984d) argued that the first task of the facilitator was to help learners become aware of their need to know and in support of this he cited Freire’s (1970) call for consciousness-raising among peasants in developing countries. In addition to the provision of a new assumption, Knowles (1984d) returned to the description of motivation he had first supplied in 1975. In relation to pedagogy, he stated, “Learners are motivated to learn by external motivators – grades, the teacher’s approval or disapproval, parental pressures” (1984d, p. 54). Although adults might also respond to external motivators such as better jobs, promotions and higher salaries, Knowles held that the most potent were internal pressures such as the desire for increased job satisfaction, self-esteem and quality of life. The andragogy-pedagogy table that had been appearing in Knowles’ writings since 1973 was reproduced in the 1984 edition of The Adult Learner. Despite variations to the table in Self-Directed Learning (1975) and The Modern Practice of Adult Education (1980), and despite changes to the in-text discussions, the three editions of The Adult Learner preserved the table in its original 1973 form. Table 9 shows the elements of the andragogy-pedagogy table and the in-text discussions from 199
1973 up to August 1984, the publication date of the third edition of The Adult Learner.
Table 9 The Andragogical-Pedagogical Assumptions, 1973-1984 (1)
1973 1975 1978 1980 Aug 1984 The Adult Learner Self-Directed The Adult Learner The Modern The Adult Learner (1st ed.) Learning (2nd ed.) Practice (3rd ed.) (Rev. ed.) Text Table Text Table Text Table Text Table Text Table Page(s) 45-49 104 19-21 60 55-59 110 43-54 390 53-61 116 The need to know X Self-concept X X X X X X X X X X Experience X X X X X X X X X X Readiness to learn X X X X X X X X X X Time perspective X X X Orientation to learning X X X X X X X X X X Motivation X X X X
Knowles’ perception of pedagogy as an ideology which he had first expressed in 1979 was developed further in 1984. In the third edition of The Adult Learner, he distinguished between an ideology and an alternative set of assumptions. He defined an ideology as “a systematic body of beliefs that requires loyalty and conformity by its adherents” (1984d, p. 62). Most significantly, he made explicit his belief that ideology was a critical factor in distinguishing between the andragogical and pedagogical learning theory models. The critical difference for Knowles was that the pedagogical model was an ideological model which excluded the andragogical assumptions, whereas the andragogical model was a system of assumptions which included the pedagogical assumptions.
Andragogy in Action: Applying Modern Principles of Adult Learning (1984)
The highlights of Knowles’ adult-educational career, according to Bard (1984), were the graduate programs conducted by Knowles and the students they produced. In response to questions such as “who has been applying the andragogical model in institutions?”, Knowles (1984c) felt obliged to make accessible information he had received from colleagues and former students. Andragogy in Action was intended to be a vehicle for sharing what had been learned. It was to be a compilation 200 of applied andragogical experiences that “would go beyond principles and models to offer organizational experiences of andragogy in practice” (Bard, p. x). In Andragogy in Action Knowles referred to his own journey in understanding learning theory but did not claim ownership of andragogy. He wrote, I close this preface with a clear disclaimer of personal ownership of the andragogical model. I was the first to use the term in the adult educational literature in the United States, but I did not coin it; I stole it from the Europeans. And many other researchers, theoreticians, and practitioners have contributed to it. (1984c, p. xvi) At the time of writing, Knowles still appeared to be unaware of Lindeman’s use of “andragogy” in 1926 and 1927. He was, however, clear that his own practice had improved as a result of the creative designs and techniques of innovative practitioners.
New Thinking There was little new thinking by Knowles in Andragogy in Action (1984). The bulk of the book consisted of 36 chapters authored by others. Knowles wrote the beginning and concluding chapters, the preface and brief introductions to each of the contributed chapters. New thinking by Knowles mostly involved a reassessing of terms, and focused on andragogy as theory, the andragogical-pedagogical assumptions, andragogy and pedagogy as parallel models, self-directed learning, climate setting (including pleasure as one of the psychological characteristics) and andragogy as adult-educational “glue”. Andragogy as theory. Knowles reassessed his use of the term “theory”. His references to andragogy as a theory began in 1970 with publication of The Modern Practice of Adult Education and continued into the fourth edition of The Adult Learner (1984). This fourth edition was published in the same year but prior to Andragogy in Action. Cross (1981) had addressed the matter of andragogy and theory and Knowles (1984b) responded by reaffirming that andragogy aimed to organise knowledge about adult learners and their learning into a “system of concepts” which was a “framework of assumptions, principles, and strategies” (pp. 7-8). He no longer felt confident to apply the label “theory” to andragogy: “I don’t know whether it is a theory; this is a controversial issue” (p. 7). He did, however, continue to employ the language of models to both andragogy and pedagogy as he had done since 1973. 201
The andragogical-pedagogical assumptions. In his discussion of the two models in Andragogy in Action, Knowles (1984b) described the assumptions of self- concept, experience, readiness to learn, orientation to learning and motivation. This pattern differed from that in the 1984 edition of The Adult Learner with the placing of the need to know in the context of orientation to learning – something Knowles had not previously done. This positioning appears not to have been significant. Knowles had only once treated the need to know as a category in itself, and this was in the third edition of The Adult Learner. The table of andragogical-pedagogical assumptions that had been appearing in recent works was not continued in Andragogy in Action. Table 10 shows the contents of the table and in-text discussions up to publication of Andragogy in Action in October 1984. At this point in time, Knowles appeared still to be in the process of defining the content and organisation of the andragogical-pedagogical assumptions.
Table 10 The Andragogical-Pedagogical Assumptions, 1973-1984 (2)
1973 1975 1978 1980 Aug 1984 Oct 1984 The Adult Self-Directed The Adult The Modern The Adult Andragogy in Learner Learning Learner Practice Learner Action (1st ed.) (2nd ed.) (Rev. ed.) (3rd ed.) Text Table Text Table Text Table Text Table Text Table Text (No table) Page(s) 45-49 104 19-21 60 55-59 110 43-54 390 53-61 116 8-12 Need to know X Self-concept X X X X X X X X X X X Experience X X X X X X X X X X X Readiness X X X X X X X X X X X Time X X X Orientation X X X X X X X X X X X Motivation X X X X X
Andragogy and pedagogy as parallel models. Knowles had been referring to andragogy and pedagogy as two points on a continuum since 1972. “Continuum” was used in contradistinction to the “versus” of 1970. In Andragogy in Action (1984b), he wrote: “I now regard the pedagogical and andragogical models as parallel, not antithetical” (p. 12). Knowles did not explain how the two models could simultaneously be parallel and situated on a continuum. The aim of Andragogy in Action, however, was to look at practical examples of andragogy and Knowles had 202 already expressed his conviction that learners and human resource developers should, in practice, choose andragogical or pedagogical strategies depending on the particular needs and background of the learner. In 1980, as indicated earlier in this chapter, Knowles had stated that the andragogical model was to be used “alongside” the pedagogical model (p. 43). The “alongside” makes clear the sense in which the models were parallel: an educator facilitating group learning would, when necessary, employ the two models side by side. The simultaneous side by side use would not necessarily undermine the notion of the models occupying different ends of a learning spectrum. It is clear from the examples given by Knowles, that it is the learner who moves along the continuum. However, a significant qualification was made in Andragogy in Action – and this had not been made previously – that the andragogical and pedagogical assumptions described in the book were those of a “pure and extreme form” (1984b, p. 9). This language implied the existence of other, less pure variants, occupying non-extreme positions on the continuum. Self-directed learning. In 1975, Knowles had equated andragogical learning with self-directed learning and applied the term “self-directed learning” to both the theory and the technology of andragogy. There was no evidence of a further development in his understanding of the term until 1984 when he described self- directed learning as one of the “foundational elements” (1984a, p. 420) on which andragogy was built. He made no other comments in 1984 to clarify the relationship between self-directed learning and andragogy. Climate setting. Establishing a supportive learning environment had been important to Knowles from as early as 1950. He had supplied detailed suggestions for climate setting in his 1965 work, The Leader Looks at the Learning Climate, and continued to do so in varying degrees up to 1984. In 1973, he had argued that climate setting was the most critical element in the HRD process. The significant new thinking in Andragogy in Action (1984) was Knowles’ identifying and discussion of the characteristics needed for a healthy psychological climate. These were as follows: mutual respect; collaboration; mutual trust; supportiveness; openness and authenticity; pleasure; and humanness. Knowles considered these to be more important than the physical environment. He had touched on most of them in a general way in earlier works but 203 had not previously grouped them into an identifiable set of characteristics. The last two characteristics, pleasure and humanness, had not been discussed in earlier works. Lindeman (1926b), had placed particular importance on the joy of learning and had gone so far as to write, “adult education will have justified itself if it does nothing more than make adults happier in their hours of leisure” (p. 39). Knowles had not previously developed this line of thought in a major writing. By 1984, however, after adding two psychological characteristics to his earlier ideas on the constituent elements of the learning climate, he declared: Learning should be one of the most pleasant and gratifying experiences in life; for, after all, it is the way people can become what they are capable of being – achieving their full potential. It should be an adventure, spiced with the excitement of discovery. It should be fun. (1984b, p. 16) This was one of the characteristics of the psychological climate and, as such, it applied potentially to all people. The inclusion of “humanness” served to stress the importance of climate for all human learning. Knowles (1984b) argued that the more people believed they were being treated as human beings, the more they would be likely to learn. The climate of humanness summed up the other characteristics and reinforced the notion that learning was a thoroughly human activity. Andragogy as adult-educational “glue”. As well as reassessing his use of the term “theory”, Knowles may also have been rethinking his ideas on andragogy’s ability to provide the unifying adult-educational “glue” he had referred to in 1978. Knowles (1984b) observed that andragogy’s greatest impact had been in action; the model had been adopted in many parts of the world in a wide variety of educational settings and at every level of education. But he also cited Cross’s (1981) “lucidly and objectively” argued discussion on andragogy where she had stated, “whether andragogy can serve as the foundation for a unifying theory of adult education remains to be seen” (p. 227). It is not clear why Knowles cited this passage. His 1978 vision of andragogy extending its influence through lifelong education so as to form a unifying theme for all of education was only 6 years old. It may have been that by 1984, Knowles was becoming increasingly aware of the criticisms of andragogy which, as Houle (1996) reported, “was reaching a zenith in the late 1980s” (p. 27).
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Knowles’ Vision: Andragogy as a Flexible Model for the Future The final chapter of Andragogy in Action (1984) was a summary by Knowles of the effectiveness of andragogy in various settings. His estimation, based on the experiences of the contributing authors, was that andragogy was not culture-bound, nor tied to any socio-economic level, nor content limited or age restricted. Adaptability, in any degree, was a hallmark of andragogy: the andragogical model is a system of elements that can be adopted or adapted in whole or in part. It is not an ideology that must be applied totally and without modification. In fact, an essential feature of andragogy is flexibility. (1984a, p. 418)
Flexibility did not imply permanence; the possibility of andragogy being replaced by another model in the future was not ruled out: “I fully expect the andragogical model to be modified, enriched, and perhaps superseded by new knowledge about learning in general and learning of adults in particular” (Knowles, 1984a, p. 422). Knowles had always held that andragogy needed to be tested in practice by learners and educators but this was the first time he had referred to the possibility of the andragogical model being superseded by newer forms of knowledge. Andragogy in Action (1984) was significant because it demonstrated Knowles’ faith in the flexibility and practical utility of andragogy. But it was significant, also, because it expressed his uncertainty (or apparent uncertainty) about:
applying the term “theory” to andragogy;
andragogy’s ability to form a unifying theme for adult education; and
andragogy’s long-term future. Nevertheless, building on his thinking in The Adult Learner (1984) and especially on creating lifelong learning communities, Knowles continued to ascribe a positive role to andragogy for the future. He wrote of “nearing the end of the era of our edifice complex” (1984a, p. 422) and saw the new challenge as one of finding ways to maintain the human touch as educators and learners alike learned to use electronic media in new ways. Only the andragogical model, he contended, provided the guidelines for accomplishing that feat.
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Conclusion
The period 1977 to 1984 was one of ongoing revision of the new ideas that had peaked in the mid-1970s with publication of The Adult Learner (1973) and Self- Directed Learning (1975). By 1975 Knowles’ conceptual framework was moving towards completion. Developments in the years following had to do with Knowles’ growing understanding of the application of andragogy to lifelong learning. The most significant change was the inclusion in the framework of a body of theory and of practical thinking related to lifelong learning. The refining, adjusting and expanding of earlier ideas continued but most developments did not affect the structure of Knowles’ framework. The change of subtitle in The Modern Practice of Adult Education (1980), although significant, did not affect the framework. There was, however, some uncertainty about the content and organisation of the andragogical- pedagogical assumptions. Knowles appeared to be unable to settle on the number of assumptions and on a direct correlation between the in-text discussions and table content. Knowles’ understanding of the terms “andragogy” and “pedagogy” changed only slightly over the period 1977 to 1984. This occurred chiefly in 1980 and 1984 with his growing perception of pedagogy as an ideology. There was no new thinking in 1977 or 1978 that had bearing on how he understood the two terms. Andragogy in Action included no specific comments on the differences but did refer to both models as being parallel. Table 11 shows Knowles’ developing perceptions of the two terms from 1970 to 1984. A softening of tone, in terms of the language used by Knowles, first became apparent in 1975 and continued into the period 1977 to 1984; it was most clearly seen in the revised edition of The Modern Practice of Adult Education. New thinking occurred in each of the five works published during the period. In his 1977 work, A History of the Adult Education Movement in the United States, Knowles
came to view andragogy as “having emerged”;
provided an expanded definition of andragogy as “the art and science of helping human beings learn”; and
foresaw lifelong learning as the central organising concept for all of education. 206
Table 11 Knowles’ Changing Perceptions of the terms “Andragogy” and “Pedagogy” over the Period 1970 to 1984
Year Andragogy Pedagogy Comment
1970 Adult-learning assumptions Child-learning assumptions “Andragogy versus pedagogy”
The Modern - applicable to adults and many - not appropriate for adults Practice of Adult children Education - “good” - “bad”
1973 Process model of learning theory Content model of learning theory HRD practitioners choose different models according to the situation The Adult - provides procedures and resources - transmits information and skills Learner (1st ed.) - proactive learning - reactive learning
1975 Self-directed learning Teacher-directed learning “poles on a spectrum”
Self-Directed - “not necessarily good” - “not necessarily bad” It is the attitude of the learner and the Learning teacher that makes the difference
1980 Not an ideology Capable of being used ideologically “From pedagogy to andragogy”
The Modern “simply another model” “two alternative models” Practice of Adult Education Encompasses the pedagogical model
1984 Includes the pedagogical Excludes the andragogical Ideology is the critical factor in assumptions assumptions distinguishing between the two The Adult models Learner (3rd ed.)
1984 (No new thoughts on how the two models differed from each other) Parallel models
Andragogy in Action
In the second edition of The Adult Learner (1978), Knowles
described the benefits of contract learning;
traced the history of the term “andragogy”; and
expressed the hope that andragogy would provide a unifying theme for all of education.
In the revised edition of The Modern Practice of Adult Education (1980), Knowles
Replaced the subtitle Andragogy Versus Pedagogy with the new expression, From Pedagogy to Andragogy;
explained what constituted modern practice;
discussed the meaning of the term “adult”;
supplied a more precise definition of pedagogy as an ideology; 207
described andragogy as “another model of assumptions”; and
included target dates in the learning contract design.
New thinking occurred also in the third edition of The Adult Learner (1984). In this work, Knowles
defined HRD;
conceptualised the role of the human resource developer as manager of an organisation’s learning resource systems;
created a model of lifelong learning systems;
outlined a body of theory related to lifelong learning;
developed a five-phase lifelong learning process;
presented lifelong learning resource systems as possible new institutional forms;
developed a new set of self-directed learning skills;
identified the characteristics of releasing or creative leaders;
introduced the need to know as a new andragogical-pedagogical assumption; and
defined ideology as a critical factor in distinguishing between andragogy and pedagogy.
In the final work of the period, Andragogy in Action (1984), Knowles
expressed doubt about applying the term “theory” to andragogy;
ceased to identify the need to know as a separate andragogical assumption;
introduced the term “parallel” to describe the relationship between andragogy and pedagogy;
referred to the two models, as they had customarily been described by him, as “pure and extreme” forms;
referred to self-directed learning as one of the “foundational elements” of andragogy;
identified pleasure and humanness as psychological characteristics of the learning climate and made a clear affirmation that learning “should be fun”;
appeared to question andragogy’s capacity to function as adult-educational “glue”; and 208
presented andragogy as an evolving and flexible model for a new educational world.
Knowles’ vision for the future was first described in 1962. He had hoped then that all of education might become a lifelong education movement. His 1965 proposal for a common approach to learning added to that picture and pointed directly to what he would later call “andragogy” as the means for realising the vision. In 1973 he came to visualise the disappearance of graduation from institutions and even the existence of adult education as a separate field. By 1977, the picture had become more detailed: educators of children, youth and adults would disappear and be replaced by facilitators and resource persons of self-directing lifelong learners; lifelong learning would become the central organising concept for all of education; the monopoly of formal educational institutions would end and a new institutional form – the lifelong learning centre – would emerge. This picture was further developed in 1984 with lifelong learning centres becoming lifelong learning resource systems, and educators (who already had ceased to be teachers of youth or children) becoming learning skills assessors, educational diagnosticians, educational planning consultants and resource people. The role of andragogy in this picture was described in 1978 as the “glue” that would bind together the principles, concepts and research findings of education. When applied to the concept of lifelong learning, Knowles saw the possibility of andragogy providing a unifying theme for all of education and forming the means by which his 1978 vision might be achieved. Knowles’ construction of a lifelong learning resource systems model significantly changed the character of his framework. The andragogical model moved from being a comprehensive theory of adult learning (1970) to a unified framework for HRD (1973) to a model for the development of self-directed lifelong learners (1984). Knowles pictured the edifice complex as coming to an end – but an evolving and flexible andragogical model would continue to provide a means for maintaining the human touch in an educational world dominated by electronic media.
SUMMARY OF PHASE 5 THINKING
The fifth phase of Knowles’ writing was marked by important additions to his conceptual framework. These related to the need to know as a new andragogical- 209 pedagogical assumption, the parallel use of different learning theory models, and andragogy as a model for the development of self-directed lifelong learners. The incorporation of these new ideas effectively meant the completion of Knowles’ conceptual framework. In the previous phase Knowles had come to regard andragogy as a unified framework for HRD. By the end of the fifth phase, his vision had expanded to the point where he saw andragogy as a conceptual model incorporating concepts of self-directed learning and lifelong learning into a comprehensive theoretical framework. Knowles’ essentially-completed conceptual framework is shown in Figure 4 and the major new additions indicated in bold uppercase font. Also indicated in the new representation is a different arrangement of learning theory models to show their possible parallel use by educators. In this framework, the number of sets of key ideas has grown from four to five and the number of andragogical-pedagogical assumptions from five to six. The lifelong learning process, which is a new arrangement of processes, is clearly shown to be the goal toward which the entire andragogical process points. The need to know. A new andragogical-pedagogical assumption was introduced into Knowles’ framework during the fifth phase of his writing. This assumption, the need to know, brought the total number to six. Knowles had included motivation as an assumption in the previous phase and it is likely that the two assumptions were linked because if, as Knowles maintained, adults needed to know the reasons for learning before committing themselves to it, then that information could constitute an internal motivator for learning. Parallel models. In the previous phase, Knowles had incorporated the behaviourist, cognitive and adult-educational models into his framework and positioned them onto a learning ability and complexity continuum. In Phase 5, he made clear his thinking that the models would be used alongside each other in parallel fashion. There was no clash between the ideas of being parallel and located on a continuum: the models would operate side by side and the learner would move between them (along the continuum) as necessary. Knowles had been clear previously in showing how he positioned the three learning theory models on a continuum. In Phase 5 of his writings, he referred to the andragogical and pedagogical assumptions as those of a “pure and extreme form” 210
Figure 4. Knowles’ completed conceptual framework (showing phase 5 developments in bold upper case font).
The Theory of Andragogy: FIVE Sets of The Technology of Andragogy: Seven Key Ideas Phases of the Andragogical Process
1. Meeting of needs 1. Climate setting 2. The SIX andragogical-pedagogical 2. Planning structure assumptions 3. Needs diagnosis - NEED TO KNOW 4. Objectives - self-concept 5. Learning design - experience 6. Implementation - readiness to learn 7. Evaluation - orientation to learning - motivation 3. The teaching-learning transaction 4. Learning theory models 5. LIFELONG LEARNING
Facilitating Counselling Self-Directed Contract Learning Learning Phases Phases Phases 1-7 1, 3, 4, 5, 7 Phases 2, 4, 5, 7 3, 4, 5, 6, 7
Training Self- model Directed Inquiry model
THE LIFELONG LEARNING PROCESS Teaching Model 1. SKILLS ASSESSMENT AND DEVELOPMENT 2. NEEDS DIAGNOSIS 3. LEARNING CONTRACT 4. IMPLEMENTATION 5. EVALUATION
The Learning Continuum
Andragogy as a Model for the Development of Self-Directed Lifelong Learners
(1984b, p. 9). This language implied the existence of other, less pure variants, occupying non-extreme positions on the continuum but did not take into account the 211 behaviourist or “mechanistic” model. It is not clear whether Knowles was subsuming it within the pedagogical model. The broad thrust of his thinking focused on andragogy and pedagogy. It is likely that the Phase 4 expansion of thinking to include the behaviourist model had more to do with the human resource developer’s need to provide training activities within an adult-educational context, and Knowles’ wish that andragogy should function as a model for HRD, than with any strong feeling on his part that it should be included. Andragogy as a model for the development of self-directed lifelong learners. In the fifth phase of writing, Knowles began to broaden further his conception of the andragogical model. This new conceptualising was made possible by Knowles’ developing ideas on lifelong learning and his broadened understanding of andragogy as “the art and science of helping human beings learn” (1977, p. 344). The framework became a model for the development of self-directed lifelong learners, and was no longer just a theory of adult learning (1970) or a unified framework for HRD (1973). This new structure was theoretically conceivable in the previous phase but Knowles’ thinking on lifelong learning was then in its early stages. At that time Knowles proposed three lifelong learning assumptions which were related to life-role competencies, basic learning skills and individual learning projects. In 1978 Knowles wrote: “Perhaps andragogy … extended in its application to the concept of lifelong education … will provide a unifying theme for all of education” (p. 51). That possibility was made real for Knowles with his new model for creating lifelong learning communities. The model was made up of theory (which included elements of systems theory and eight lifelong learning assumptions); a set of four practical steps for creating lifelong learning resource systems; and a process design which incorporated self-directed learning skills and life-role competencies. Three of the practical steps for creating lifelong learning communities lay outside the andragogical framework. They concerned community resources and organisations, data storage processes and policy-making mechanisms. The fourth step, the designing of a lifelong learning process, was directly linked to the andragogical framework. In terms of locations within that framework, the lifelong learning theory formed part of the overall body of andragogical theory, and the lifelong learning process constituted a new arrangement of five steps based on the seven phases of the andragogical process: 212
1. skills assessment and development; 2. needs diagnosis; 3. the design of a learning contract; 4. implementation; and 5. evaluation.
The lifelong learning process differed from the andragogical process in two ways. Firstly, it assumed the use of learning contracts and, therefore, did not identify objectives, planning structure and learning design as elements of the process: those elements were incorporated within the learning contract design. Secondly, the lifelong learning process did not include the climate-setting phase. In its place was a new phase: professionally-guided skills assessment and development. There was only one difference between the lifelong learning process and the use of learning contracts by a self-directed learner. That difference was the inclusion in the lifelong learning process of skills assessment and development. Essentially, the acquisition of the skills of self-directed learning meant the entry of the learner into the world of lifelong learning. The inclusion of these new ideas meant that the andragogical model could no longer be conceived in a narrow (adult education only) sense. Andragogy had become a model for the development of self-directed lifelong learners and Knowles was finally in a position to offer it to the educational world as a unifying theme for all of education. Learners and educators were entering “a world of infinite potential” (Knowles, 1984a, p. 422). As Knowles saw it, andragogy was the only model flexible enough to move with them into the future. Phase 5 additions to the framework. In Phase 5 Knowles developed his conceptual framework to the point where it became an inclusive, cohesive and flexible model capable of providing a unifying theme for all of education. The Phase 5 additions introduced into the framework:
a sixth andragogical assumption;
provision for the parallel use of different learning theory models;
lifelong learning theory; and
a lifelong learning process. These additions effectively brought to completion the development of Knowles’ conceptual framework. Some minor adjustments would be made in the final phase. 213
CHAPTER 8 FINAL THINKING (PHASE 6)
THE WRITINGS FROM 1986 TO 1998
The sixth and final phase in Knowles’ writings covered the period 1986 to 1995. Titles of works published during those years were: Using Learning Contracts (1986); The Making of an Adult Educator (1989); The Adult Learner (4th ed., 1990); A History of the Adult Education Movement in the United States (Reissue, 1994); and Designs for Adult Learning (1995). This chapter discusses and accounts for the Phase 6 ideas in the context of those five works but includes, also, a brief consideration of the fifth edition of The Adult Learner published posthumously in 1998. Knowles died in November 1997, aged 84 years. Up to 1984 he had written 15 books and monographs and 185 articles. In the period 1977 to 1984, he had been revising and refining his works but in the final years, his emphasis changed. He became more reflective and began to focus on his overall life’s work and on some of the gaps that may have existed in his writings. This was a time both of reflection and of new writing. Most of the principal writings in this final period were of a practical nature. The theoretical work had been presented during the years 1970 to 1975 with publication of the classic texts, and various adjustments and refinements made in the years following up to 1984. New thinking in the final period involved the making of links that had not previously been made and the putting into print of ideas not previously expressed. New or revised writing by Knowles during the period 1986 to 1995 focused on:
contract learning;
philosophy;
Knowles’ contributions to adult education;
the social and political arena;
andragogy;
the andragogical process;
self-directed learning;
developments in learning theory; and 214
Knowles’ vision for the future. Some of these topics had been touched on previously; others, not at all. This was a period when Knowles attempted consciously to remedy deficiencies and gaps in his writings and to say what previously had not been said.
Using Learning Contracts: Practical Approaches to Individualizing and Structuring Learning (1986)
Knowles’ aims in Writing Using Learning Contracts Knowles had first written about contract learning in 1975. In the writings of subsequent years, he included much practical advice and commentary but did not expand on his earlier theoretical perspectives. By 1986, 11 years had passed since publication of Self-Directed Learning. In the space of that time, and especially in the 7 years following retirement in 1979, Knowles had been conducting workshops in the United States and overseas. In Using Learning Contracts (1986), he noted the rapid spread of learning contracts in organisations and the wide range of differences in their format and quality. It was his impression that “a great number of instructors” were “hungry for new approaches” (p. 247). Knowles (1986) dedicated his book to those educators in America and around the world who were looking for new strategies in their work with adult learners. His aim was to present case examples of contract learning as resources for both learners and educators. He held that didactic instructors who had no interest in investigating new approaches should “not be pressured into” contract learning (p. 247) but he also felt that Using Learning Contracts might provide “ammunition” (p. 245) for innovators who wished to convince their colleagues that it could be used in a variety of situations without loss of control, accountability or academic standards. Knowles (1986) hoped that use of the book would lead to a general improvement in the quality and effectiveness of contract learning. He acknowledged the confusion and anxiety felt by many when first exposed to the process. His intention was to present an illustrative but non-exhaustive collection of contracts employed in real-life situations that would both allay fears and serve as a source book for administrators, instructors and learners. He hoped, further, that the book would stimulate experimentation and a refining of ideas, and he invited practitioners to submit examples for inclusion in a possible future edition. 215
Using Learning Contracts (1986) supplied case examples of learning contracts in a range of settings including independent study; classroom courses; clinical placements, graduate assistantships and internships; continuing professional and management development; and total degree programs. The bulk of the work was made up of these contracts. The book was intended to be practical and one chapter only was devoted to the theoretical rationale for contract learning. Apart from the case examples, there were two new areas dealt with in the book. These involved firstly, a specific linking of the andragogical assumptions to contract learning and secondly, a brief discussion covering the practice of contract learning and its benefits and limitations.
Contract Learning and the Andragogical Assumptions Knowles’ most thorough discussion of contract learning had been in Self- Directed Learning (1975). That book had been intended as a practical work and Knowles did not specifically cite the research literature that supported contract learning. The discussions in 1978, 1980 and 1984 did not add substantially to the 1975 perspective. Using Learning Contracts (1986) was the first work to build on the earlier thinking. In 1986 Knowles traced the conceptual roots of contract learning back to the Dewey-inspired theory and practice of independent study which had begun in the early 1920s. He briefly cited literature from the years following and up to the 1980s to show how the research had subsequently been expanded and enriched. The research included his own writings. Knowles’ analysis of the literature and his own experience led him to contend that contract learning was one of the most effective and efficient ways of involving learners and individualising instruction. Knowles (1986) referred to andragogy as a conceptual model that incorporated concepts of self-directed learning, independent study, individualised instruction and lifelong learning. His aim was to make the points that andragogy was a comprehensive theoretical model and that the approach to learning that was most congruent with the model was contract learning. In explaining the theoretical basis for contract learning, Knowles (1986) returned to the six andragogical assumptions he had described in the 1984 edition of The Adult Learner. For the first time in a major writing, he made direct links between the assumptions and contract learning: 216
The need to know. “Learners need to understand the need to learn…. In the process of drafting a learning contract, learners are subtly challenged to think through why they are undertaking to learn something” (p. 41). Self-concept. “The psychological definition of adult is ‘one who has achieved a self-concept of being responsible for himself or herself’…. Contract learning … involves the learners in making decisions about what will be learned, how it will be learned, when it will be learned, and whether it has been learned” (p. 41). Experience. “Because of their experience, adults have developed different styles of learning … levels of operation … needs and interests … speeds of learning, and … patterns of thought…. Learning contracts are almost always individualized plans for learning” (p. 41). Readiness to learn. “Learning contracts provide the flexibility to enable different learners to time their learning according to their readiness to learn” (p. 41). Orientation to learning. “Adults have a task-centered or problem-centered orientation to learning…. Learning contracts enable learners to state their objectives in terms of tasks or problems that are related to their life situations” (p. 42). Motivation. “Learning contracts challenge learners to tap into the intrinsic motivators” (p. 42).
The Practice of Contract Learning, its Benefits and Limitations Pin-pointing the time when learning contracts first came into use was not possible. Knowles (1986) conjectured: “At some point, some innovative instructor must have started using learning contracts” and “the word must have spread that it was an effective way to structure learning” (p. 42). In relation to his own acquisition of the idea, Knowles could only state: “I don’t even know from whom I stole it. I think it was just an idea that was floating in the air in the mid-sixties, and I reached up and grabbed a piece of it and started experimenting” (p. xi). Knowles’ first experiments, in fact, began as early as 1961 during his second year at Boston University. This was 14 years prior to publication of Self-Directed Learning. He reported in Using Learning Contracts (1986) that his students became “persuaders” and began “spreading the word” (p. 72). But persuasion had its limitations and Knowles preferred piloting or demonstrating as the means for conveying to others the benefits of contract learning. 217
The difficulty for academic institutions, as Knowles (1986) saw it, was that contract learning raised questions such as, “What will happen to our traditions, rules and regulations, and standards?” (p. 48) and led to fears of loss of control and accountability. Knowles accepted that initially there may have been some instances of low academic standards and poor quality learning, but his belief was that with appropriate institutional support, and learner and staff preparation, contract learning could successfully be introduced into institutions. Using Learning Contracts (1986) was the first work in which Knowles began to use the language of persuasion. His reference, earlier in this chapter, to his book constituting “ammunition” for practitioners and his reference, later in this chapter, to negotiation’s role in creating a “wedge” in academic circles constitute a new element in his writings. He had not previously used such language and its appearance here may indicate the strength of his belief in the importance of contract learning in the development of professional competence. Knowles (1986) was convinced that professional competence required of educators that they adopt new strategies, including contract learning. He was impressed by the changes in teachers that had come about simply by reading the literature on self-directed and contract learning, and contended that teachers became ready to investigate new approaches to learning after they had become dissatisfied with traditional pedagogy. An understanding of adult-educational theory would help professional educators in choosing from the range of strategies available to them: The ability to incorporate new techniques into a growing repertoire of techniques and then choose the technique that is most effective for accomplishing a particular educational objective is a competence that separates the professionals from the amateurs in adult education. This ability grows out of their having an understanding of a good theory of adult education methodology. (p. 3)
Changes could also come about through interaction with students. Knowles (1986) described his own perception of being a co-learner and one engaged in a process of shared inquiry. He willingly acknowledged his debt to those whose learning he helped facilitate: “I can state unequivocally, that over the years I have learned more from and with my students than from all the teachers I have studied under combined” (p. 246). 218
Negotiation was an essential element in contract learning and Knowles (1986) argued that the relationship created by it had important implications for change: A negotiation relationship between learners and instructors … may be the deepest wedge of all in the traditional academic bastion, for it begins to redefine the role of the instructor away from totally controlling didactic teacher toward facilitator of learning who is willing to share control to some degree. But it also places a heavy responsibility on the instructor to be open and clear about what the boundaries of freedom are (and why) and what his or her criteria for making evaluative judgments will be. (p. 149)
In relation to learners, Knowles had noted in 1975 that the evaluation of evidence was the most difficult part of the contract to formulate and, in 1980, he had stressed the need for support in this phase by both instructors and peers. In 1986, he identified the four most critical points in the contracting process as (p. 45): 1. orienting the learners to the processes of self-directed and contract learning; 2. negotiating the learning contract; 3. providing psychic support and resource information, and monitoring progress; and 4. evaluating the evidence of accomplishment of the objectives of the contract.
There were some situations in which contract learning was not suitable and Knowles (1986) indicated, in particular, those involving the development of precise psychomotor skills (including machine operation and surgical procedures), human relationship skills requiring group interaction and the acquisition of content that was totally unfamiliar to the learner. Knowles had not previously spelt out the limitations. Knowles (1986) acknowledged that there was no necessary correlation between intellectual ability and the capacity to benefit from independent study but he accepted that deeply dependent learners presented special problems and that some learners were in need of particular help: If we accept the proposition that the primary mission of education should be to develop the skills of self-directed learning, then presumably we should make contract learning available to all learners and find ways to give special help to those who find it difficult. (p. 43) It was Knowles’ (1986) opinion that independent study was a liberating experience for both able and slow learners. He cited Baskin (1962): Although independent study has been thought of most often as a release of the swift and able learner from bondage to a plodding pace, permitting him to 219
leap ahead with joy, it may equally be thought of as an emancipation of the slower but still respectable learner from a dizzying pace that leaves him baffled and defeated. (as cited in Knowles, p. 43) Knowles attributed this passage to Baskin (1962) but the wording as quoted did not appear in the article cited. Knowles was convinced of the benefits of contract learning. Prior to 1986, the second edition of The Adult Learner (1978) was the only major work in which he had described those benefits, and his treatment at that time was brief (160 words). But there was no doubt in Knowles’ mind that contract learning was beneficial. In Using Learning Contracts (1986), he described the benefits in detail. His descriptions related to ego-involvement, resource use, discipline and self direction, evidence of outcomes, structure, feedback, cost-effectiveness and commitment to learning. The benefits applied to both learner and instructor but a theme running through the descriptions was the benefit of load reduction for traditional instructors who currently found themselves functioning as directors of learning, resource persons and disciplinarians. Some of the benefits had been touched on incidentally in earlier writings but this was the first time in a major work that Knowles had set out fully what he considered the benefits to be. The benefits and limitations described by him in Using Learning Contracts are reproduced in Appendix O.
The Making of an Adult Educator: An Autobiographical Journey (1989)
By 1989, Knowles had been retired for 10 years. He was aged 76 years and had been involved in adult education for 54 years. He had written 16 books and monographs and 197 articles. His conceptual framework was as complete as it was going to be and his two most recent works were largely of an applied and practical nature. He was in the refinements phase of his writing and it might have seemed that there was little more he would have wanted to write. The publisher, Jossey-Bass, however, had asked Knowles to write a series of essays on ideas he had not previously expressed or which he wanted to express differently from earlier writings. Knowles took up the challenge and wrote what he described as “a series of snapshots of a life in the process of becoming something” (1989, p. xviii). The book was to have been entitled simply, The Making of an Adult Educator. The subtitle, An Autobiographical Journey was added because of 220
Knowles’ concern that the work not be construed as an adult educator’s “how-to-do- it” manual. As a series of snapshots, the book does not conform to a standard autobiography. It has eight chapters with the following titles: 1. Becoming an Adult Educator: My Journey 2. Eight Episodes that Changed my Life 3. Landmarks and Heroes in Adult Education 4. How my Ideas about Adult Learning have Evolved and Changed 5. Fifteen Questions I am Frequently Asked and Answers I Give 6. How I am Evaluated and how I React to and Use Criticism 7. Technology and Education: My Reflections and Projections 8. Looking toward the Twenty-First Century
This thesis has already traced the development of Knowles’ thinking up to 1986 and there is not a great deal that is new in relation to what has already been accounted for or written in earlier works. New or modified thinking in The Making of an Adult Educator focused on Knowles’ philosophical orientation; his contribution to adult education; andragogy; his responses to criticisms; indoctrination and mandatory learning; the social and political arena; and the future.
Knowles’ Philosophical Orientation Knowles took the opportunity in The Making of an Adult Educator (1989) to write, for the first time in a major work, a brief credo stating the philosophical basis of his own thinking. Tenant (1986) had contended that Knowles, in drawing on humanistic and behavioural psychology, was dealing with “two quite different (and opposing) therapeutic traditions” (p. 119). Knowles readily acknowledged his intellectual sources and was not afraid to speak of himself as an eclectic who would apply different traditions, where relevant, to particular contexts. He wrote: My own philosophical orientation has its roots in the humanistic, pragmatic, and existential frameworks of John Dewey, Eduard Lindeman, Abraham Maslow, Carl Rogers, and their associates…. I believe in the fundamental goodness of human beings, in their right to self-determination, in their almost infinite potential, in their latent ability to self-actualize, and in their innate ability to learn. I believe with Dewey in the central role of experience in learning and with Lindeman in the intrinsic relationship between learning and living. I also believe that environmental conditions can – and often do – inhibit the fulfillment of these beliefs and that part of the mission of adult 221
educators is to influence environment. I also believe that the philosophical premises of the behaviorists, such as Skinner, and the cognitive theorists, such as Bruner and Gagne, are in touch with some of the realities of the human condition, and I have no hesitation about applying them when they are relevant to a given situation. (For example, I make a good deal of use of Skinner’s concept of reinforcement and Bruner’s concept of intelligence- driven discovery.) So I accept (and glory in) the criticism that I am a philosophical eclectic or situationalist who applies his philosophical beliefs differently to different situations. I see myself as being free from any single ideological dogma, and so I don’t fit neatly into any of the categories philosophers often want to box people into. (pp. 111-112)
Although, in earlier writings, Knowles had made detailed references to the works of Dewey, Lindeman, Maslow and Rogers, this was the first time in a principal work that he had made such a direct statement linking them to his own beliefs and philosophy.
Knowles’ Contribution to Adult Education Knowles (1989) argued that by 1989 adult education had become “an integral part of the American way of life” (p. 72) and the largest segment of the national educational enterprise. His contention was that almost all social institutions were “engaged in some way in the education of adults” (p. 71). He was prepared to acknowledge his contribution to the field and his role in influencing and determining the direction taken by it: I think that I have contributed to the broadening and deepening of our understanding of the nature of the adult educational movement in this country and its historical roots.… I am willing to take a little credit for the fact that the adult educational enterprise in this country is an open system…. I have contributed somewhat to the literature of self-directed learning, program planning, and a theoretical base for research in our field…. I can see that I could have made other contributions if I had devoted time and energy to them…. On the whole, though, I have no regrets about putting my emphases where I did. (pp. 99-100)
Some of the things Knowles (1989) indicated he could have done differently included establishing a better balance between action research and experimental research, building stronger links with adult educators in other countries and providing greater leadership in influencing public policy making. Nonetheless, his contributions led to his feeling “more pride than humility” (p. 139). The pride was related to the history of which he had become a part: 222
I now see myself as part of a long stream of events, ideas, and evolving institutional forms. I am not a Johnny-come-lately. I have roots that go way back in time…. I am part of a long and significant historical movement…. An adult educator is someone who is important in the eyes of history. I am proud to be an adult educator…. I, too, am leaving a small footprint in the sands of time. (p. 72)
Andragogy Especially significant for Knowles was his andragogical model. He saw this as the contribution that had made “the greatest impact in terms of theory, practice, and research” (1989, p. 98). Knowles believed he was the first to have used the expression “andragogy” in the adult-educational literature in the United States – and he specifically stated this in 1984. In 1987, however, he wrote the Foreword to Stewart’s Adult Learning in America: Eduard Lindeman and his Agenda for Lifelong Education (1987). In reading the manuscripts, he admitted to having learned many new facts about Lindeman. Stewart had supplied details of the use of “andragogy” by Anderson and Lindeman in 1927. These details had first been reported by Brookfield in 1984. But Stewart also recorded an earlier instance of such use by Lindeman in 1926. Given that Knowles had not, prior to 1989, acknowledged Lindeman’s use of the expression, it is likely that he first learned of it from Stewart. Two years later, when tracing the history of the expression in The Making of an Adult Educator (1989), Knowles explicitly mentioned Lindeman’s 1926 and 1927 uses of the term. In The Making of an Adult Educator (1989), Knowles described his current thinking about the andragogical and pedagogical assumptions under the heading “Where I Stand Now”. The position outlined by him in that section contained no new thinking; the assumptions were the same six that were discussed in the 1984 edition of The Adult Learner and the treatment considerably shorter. Even so, that did not preclude the possibility of further development. Knowles wrote: “I am … certain that if this book is revised in ten years, it will report substantial changes in my thinking” (p. 85). Knowles had in 1984 been reassessing his use of the term “theory” as applied to andragogy. In 1989 he addressed the matter more fully, arguing that in the social sciences literature, there was little agreement as to the meaning of the word. He cited two dictionary definitions that might apply to andragogy: “the analysis of a set of facts in their relation to one another” and “a belief, policy, or procedure proposed or 223 followed as the basis of action” (1989, p. 112). It was Knowles’ opinion that andragogy qualified as a theory according to both definitions but his preference, following 1984, was to think of andragogy as a model of assumptions about learning. He added that andragogy could also be regarded as a conceptual framework that served “as a basis for an emergent theory” (1989, p. 112). This statement suggests a return to pre-1970 thinking and may indicate Knowles’ recognition that among adult educators there was no unanimous acceptance of andragogy as theory. More will be said about this, however, in the concluding chapter. Notwithstanding the comments above, Knowles (1989) continued to use the expression “theory” in relation to andragogy and went so far as to assert that “andragogical theory” had “become a general theory about learning, subsuming the pedagogical assumptions but placing them in the initial stages of totally new learning” (p. 113). The precise language used by Knowles at this point was new, although he had, from as early as 1973, spoken of andragogy as “a unified model” that could “incorporate principles and technologies from various theories and still maintain its own integrity” (1973, p. 102). Significantly, Knowles’ apparent questioning in 1984 of andragogy’s ability to function as adult-educational “glue” seemed to have ceased: he recounted the thoughts he had first expressed about andragogy providing a unifying theme for all of education and added, “after a decade of thought and experience I still harbor such hopes” (1989, p. 177).
Responses to Criticisms In describing his research leading up to the writing of the first edition of The Adult Learner (1973), Knowles depicted learning theorists as “a mean bunch of people” who said “nasty things about one another” (1989, p. 46). Even so, he readily acknowledged the “rethinking” and “refinement” of his theory (p. 115) and the changes in his practice that resulted from criticisms and feedback. He admitted that in his early professional years he tended to interpret negative feedback as personal attack. It was his experience with NTL that led to his non-defensive processing of criticism to the point where he began to “suspect” even positive feedback (p. 115). Knowles’ thinking was that adult educators were meant to keep on learning and that feedback provided “one of the chief sources of energy for … growth” (p. 115). 224
That did not mean, however, that feedback was accepted uncritically. Two concerns which Knowles (1989) felt were representative of the general thrust of criticisms were
that andragogical theory had not been tested empirically; and
that learning contracts imposed too rigid a structure on learners. In relation to the first, Knowles (1989) argued that there was a growing body of qualitative and quantitative research being reported in the literature. The former, he felt, was supportive of the theory but the latter tended “to focus on one element of the theory and ignore its interdependence with other elements” (p. 113). Additionally, it was Knowles’ feeling that the term “empirical” did not refer only to controlled laboratory experiments or statistical research. Case studies, diaries and action research also constituted empirical research and were “much more productive than quantitative methods” (p. 114). In relation to the second concern, Knowles (1989) spelt out the non-essential nature of contract learning. In response to the question, “Are learning contracts an essential ingredient of self-directed learning?” he answered, “No, but they are the most effective devices I have yet discovered for helping learners organize their learning in a systematic, individualized, self-paced, process-structured way” (p. 94). Knowles had, 3 years earlier in Using Learning Contracts, noted that contract learning was not suitable for all situations or individuals. The 1989 statement was an unequivocal declaration of this position made in response to criticisms. The notions of flexibility and negotiation constituted an essential part of the response: I repeatedly point out that contract learning is not a panacea appropriate for all occasions but a tool to assist learners when they are fairly clear about what they want to learn. I also maintain that learning contracts should be treated as infinitely renegotiable as learners discover new objectives and resources in the process of carrying out their contracts. I have a hunch that the very term contract implies a rigidity that is associated with its legal use. I suggest that in situations in which this presents a problem the term learning plan or learning agreement be used instead. In the literature learning contract is used most frequently. These same critics also sometimes suggest that a learning contract opens up the possibility of a teacher’s imposing his or her will on the learner, which is why I emphasize that the contracting process be treated as a process of mutually trusting and helpful negotiation between a learner and a resource person; and this implies the importance of specialized training for the resource person. (Knowles, 1989, p. 114)
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Indoctrination and Mandatory Learning A further example of Knowles’ flexibility was his recognition that indoctrination had a place in education. He had first suggested this in 1975 but gave no indication of the conditions that would have to prevail in order to justify the practice. From as early as 1973, however, he had been arguing for a flexible model of adult learning which allowed for both andragogical and pedagogical practices. In The Making of an Adult Educator (1989), Knowles made, for the first time in a major writing, a clear statement that “straight indoctrination” would be “an appropriate form of education in some situations, particularly where protection of human life is involved” (p. 93). This qualification had not previously been made and no other details were supplied. It was significant, however, that Knowles conceded the possibility of some people being incapable of achieving self-direction in learning. These were the “pathologically dependent” who were “more likely to be found in mental institutions than in the normal community” (p. 92). This point qualified Knowles’ earlier (1986) stance that there was no necessary correlation between intellectual ability and the capacity to benefit from independent study. The voluntary nature of adult education continued to be important for Knowles. He had, in an earlier journal article, expressed his views about mandatory professional education but had not previously done so in a major writing. In The Making of an Adult Educator (1989), he made clear his hope that mandatory continuing professional education would be a transitional phenomenon – one that eventually would give way to a voluntary process through the core curriculum of pre- professional education. Knowles recognised that some of the professional schools were already incorporating principles of self-directed learning in their strategies and he considered that over time, the concept of continuing professional development would become embedded “in the heart” of practitioners (1989, p. 96). In this, Knowles supported the needs of society in making such demands of their professionals.
The Social and Political Arena Knowles (1989) continued to hold that self-directed study was a liberating experience. He made an explicit acknowledgement of the influence of Freire (1970) and supported challenges to the “existing system” (p. 96). He did not present an agenda for social reform but accepted that adult education increased inequalities in as 226 much as “the more education people have, the more likely they are to participate in adult educational activities” (p. 97). Knowles maintained at the time of writing (1989) that almost one-fifth of adult Americans were functionally illiterate. This was the new “millstone” (p. 72) around the neck of adult education and the biggest challenge for the era ahead. It required for its solution, according to Knowles, a federally-supported national strategy. Government was susceptible to the pressures of an educated society and Knowles reproduced in The Making of an Adult Educator (1989) a comment made in 1974 by staff members of the national department of education in Brasilia: Malcolm Knowles is more subversive than Paulo Freire, since Freire had the political goal of overthrowing the government as integral to his approach, and therefore the government had a basis for exiling him. Knowles, on the other hand, has no political goals in his andragogical approach, but only the goal of producing self-directed learners. But if we succeed in producing truly self- directed learners, they will know what to do about the government, and it will have no basis for exiling anybody as they did with Freire. (p. 44)
In terms of his own leadership, Knowles (1989) did not regard himself as a political activist. He expressed some regret that the adult education movement in the United States had not exerted the same influence on national policies as had occurred in other countries, and that he had not done more to guide the movement into addressing social issues. He wrote: I am just not good at political action. My strength lies in creating opportunities for helping individuals become more proficient practitioners. I kept hoping that others would take up the mantle of leadership in political action, and several have made useful contributions in this direction. But, as I see it, this is still a yawning gap in our field and a challenging opportunity for the next generation of adult educational leaders. (p. 146)
The Future Knowles had been writing about the purpose of education since 1950. From 1973 on, he had begun to refer to competencies for human living. The citizen role of 1973 became, in 1989, the role of “global citizen” (p. 134). Knowles had come to envisage a new national educational system that would develop co-operative and globally-minded citizens. He described the highest competence in this new system in the following terms: In my twenty-first century reincarnation I would want an educational system that would help me become a competent person, with my highest competence being that of continuous, self-directed, lifelong learning – the ability 227
continuously to anticipate new conditions and to change in ways that would enable me to avoid becoming obsolete. And I would want the same thing for all the inhabitants of this planet. (p. 132) Knowles was adamant that the educational system of the twenty-first century could neither permit nor encourage the cessation of learning at any age or stage. Knowles envisaged the lifelong learning resource system as the new institutional form in which entire communities would work collaboratively in pursuit of learning. The lifelong learning process was the learning mechanism that operated within the lifelong learning resource system. That system relied for its success on an adequate identification of community resources and ready access to them by learners. Knowles painted a futuristic picture of a highly interrelated world of learning that would draw on the resources of institutions, voluntary organisations, economic enterprises, the media, episodic events (such as exhibits, rituals and anniversary celebrations), environmental resources and people. The lifelong learning resource system would operate under policies and procedures established by a governing board composed of representatives of the participating institutions, organizations, economic enterprises, media, and various categories of learners. It would be managed by a professional staff especially trained in lifelong education theory and practice, systems theory, information theory, and collaborative administration. In each community there would be a main center in which would be located a data base that contains information about all the learning resources available to the community (an educational brokering center) and makes that information available to all members of the system, including individual learners. There would be satellite centers within walking distance of every citizen. (Knowles, 1989, p. 133) The last point was important. People mattered to Knowles; keeping the home close to the satellite centres helped preserve the human touch in a world dominated by technology. Knowles’ 1989 vision of the future was similar to that expressed in the 1984 edition of The Adult Learner. It was a vision that saw new roles for teachers and the lifelong learning resource system becoming the new institutional form. In 1984, Knowles had described future educators as learning skills assessors, educational diagnosticians, educational planning consultants, resource people, administrators and co-ordinators. He returned to those roles in The Making of an Adult Educator (1989) but expanded on his earlier thinking and reframed the categories to conform to his new vision of a national (and possibly global) educational enterprise. 228
Knowles (1989) indicated, firstly, that there would always be a need for generalists. These educators would be persons of “superb leadership abilities” (p. 149) who possessed a broad understanding of
theories of learning;
principles of designing a variety of learning experiences;
methods and techniques of facilitating learning;
management of learning environments; and
principles and strategies of staff development. These generalists would be both managers and designers of lifelong learning resource systems. Secondly, there would be adult educational specialists (facilitators of learning with a deep understanding of the learning process) who would replace teachers (and possibly counsellors). Technical specialists, such as specialised content experts, evaluation experts, media and materials producers; and learning environment engineers, would constitute a third category. The fourth category would be made up of professors and researchers. These educators would work in the highly interdisciplinary and non-traditional area of “professional education in lifelong learning” (p. 150). Knowles saw a growing demand for such professional educators and for a “variety of types of researchers” (p. 150). He left unexplained the term “variety” but elsewhere in The Making of an Adult Educator (1989) had noted that some of the “new frontiers” in research included learning’s relationship to physiology, hemispheric differences, environment and extrasensory perception. Knowles wrote: “our discipline is just now taking off to discover new galaxies in our educational space … The next several decades will be the most revolutionary, expansive, and innovative in our field in all of history” (pp. 148, 146).
The Adult Learner: A Neglected Species (4th ed., 1990)
One year after publication of The Making of an Adult Educator (1989), Knowles published the fourth edition of The Adult Learner. In the Foreword to the third edition, Nadler had referred to the work as “a classic in the field of adult learning” (1984, p. ix). That comment was repeated 6 years later in the fourth 229 edition. As with the previous two revisions, Knowles did not state his reasons for revising the book. However, given his familiarity with the research literature, his awareness of the rapid expansion of knowledge, his 1980 statement that the “half- life” (p. 18) of current adult-educational practice was approximately 10 years and Nadler’s reference to the work as “a classic”, Knowles may have felt some pressure to prolong the book’s currency. As it turned out, this would be his final revision of the work. Between the two editions of The Adult Learner, Knowles had published Andragogy in Action (1984), Using Learning Contracts (1986) and The Making of an Adult Educator (1989). The major changes in the 1990 edition involved:
an updating of the citation lists of learning theorists and researchers;
an updating of the bibliography;
the addition of a brief consideration of philosophy and adult learning;
the addition of a brief treatment of perspective transformation; and
the inclusion of an appendix on whole-brain learning and teaching. None of these changes appears to have had any direct link with developments in the three preceding works but it is possible to trace some sequences in relation to the discussions on philosophy, perspective transformation and whole-brain learning. The presentation of the andragogical-pedagogical assumptions was identical to that in the third edition of The Adult Learner (1984). This applied to both the table and the in-text discussion and appeared to confirm the development of a settled pattern of data presentation.
Philosophy In The Making of an Adult Educator (1989), Knowles had, for the first time in a major writing, given an account of his philosophical orientation and an acknowledgement of the major sources of influence on his philosophy. Philosophy had not figured prominently in the writings up to 1989 but the aims and purposes of adult education implied the need for a philosophy – a point Knowles had noted as early as 1950. Knowles had hoped that readers of Informal Adult Education (1950) would be exposed to a consistently-applied philosophy of education. He had made the point that educators and institutions, in order to determine the nature of desirable changes in human behaviour and to achieve consistency in their aims, required such a 230 philosophy. This he understood as “a clear idea of what is ultimately valuable” (p. 30). Knowles’ (1950) discussion of the needs of the individual and of society made it clear that education was an instrument for both social and personal development; education was aimed at both the good of society and of the individual. In 1962, in order to advance the case for a unified vision and direction for adult education, Knowles had cited Blakely’s (1958) call for a common cause, goal and philosophy. Knowles had cherished a long-term hope of bringing unity and direction to the field. The major works of 1960, 1962, 1969 and 1977 all reflected that hope. Between 1977 and 1979, a philosophically-focused debate on andragogy had been conducted in the pages of Adult Education. Knowles did not, at that time, address the philosophical issues raised but a point had been made by Knudson (1979) that the different philosophical perspectives of educational theorists excluded knowledge about some aspects of human development. Seven years later, Tenant (1986) questioned Knowles’ use of different and opposing psychological traditions. It is possible that Knowles was conscious of comments such as these when he produced his philosophical credo in 1989. He was, at the time, in a reflective phase of his writing. In 1990, Knowles reported briefly on the philosophical issues that had been of concern over the previous 60 years and concluded with a mention of the major books on the philosophy of education that had appeared up to the 1980s. Knowles’ analysis of the literature up to 1948 indicated that the major emphasis had been on the aims and purposes of adult education as a social movement. The underlying premise, as he saw it, was that a unified and potent adult education movement could only emerge if all programs in all institutions were working towards a common goal. The field had resolved itself into two camps: those seeking the improvement of individuals and those seeking the improvement of society. This situation continued into the 1950s. Knowles (1990) referred, for the first time, to a national conference on the philosophy of education held at North Andover, Massachusetts in 1956. The conference addressed the following issues (Knowles, 1990, p. 45):
What is the purpose of adult education – adult education for what?
What is the relationship between content and method in instruction? 231
Should individual interests and desires prescribe the curricula of adult education, or should the needs of society play a determining role in the creation of educational programs?
What implications do different theories of knowledge, or of the nature of man and society, have for the planning and operation of adult education programs? Knowles noted that the conference did not resolve these issues. In 1950 he had begun his own thinking in these areas, and by 1973, with the publication of the first edition of The Adult Learner, he had canvassed all of the issues. Taken together, Knowles’ 1989 credo and his 1990 discussion of philosophy, may be seen as pointing to the mixed philosophical pedigree of andragogy, its incorporation of answers to the major questions raised by philosophers of education, and its ability to provide a unified vision and direction for the field.
Perspective Transformation An area of new theorising which Knowles reported on in the fourth edition of The Adult Learner concerned fundamental changes in the personal perspectives of learners. Change within the learner had been a motif in Knowles’ writings from as early as 1950. In Informal Adult Education, he had argued that the purpose of education was to create changes in people’s knowledge, skills, attitudes, values and understanding. These changes were part of the broader process in which the adult educator helped people to “transform themselves into mature adults” (1950, p. 252). The process was not without its difficulties and, in 1961, Knowles had specifically acknowledged the pain experienced by learners in giving up familiar ways of acting and thinking. He had suggested at the time, that if changes were to occur, then serious learners would need to be both sufficiently dissatisfied with their present performance and accepting of the fact of the difficulty of change. Self-analysis was an important part of the change process. New dimensions had been added to Knowles’ thinking in 1970 and 1984. In 1970, he had begun to speak of the adult educator as an agent of change who would guide learners in a “penetrating analysis” (p. 34) of their higher aspirations and the changes associated with them, and in diagnosing the obstacles that needed to be overcome in achieving change. In 1984, he had begun to think of the facilitator as one who would help learners become aware of their needs to know – and in this 232 connection, he had cited Freire’s (1970) consciousness-raising work among peasants in developing countries. The role of the educator in guiding and stimulating change was a persistent element in Knowles’ thinking. That element had the potential to be enriched by new directions in theorising about the purposes of teaching and learning. Knowles’ 1961 thinking was not couched in terms of paradigm shifts but when the language of “perspective transformation” and “critical reflection” began to enter the literature of adult education, he reported it in the fourth edition of The Adult Learner. There were two matters of interest: the fact of the new thinking and implications for the facilitator of learning. In writing about the new directions, Knowles (1990) alluded to Mezirow’s (1985) use of the expression “perspective transformation”. Knowles’ report on the research consisted mostly of excerpts from Brookfield (1986) concerning the term, “critical reflection” which Brookfield held was “somewhat akin to perspective transformation … or ‘conscientization’” (p. 213). The Brookfield (1986) passages cited by Knowles (1990) focused on the nature of critical reflection as the “significant personal learning” brought about through the questioning of internalised norms and the adoption of new behavioural and moral perspectives. Brookfield commented that such learning “entails fundamental change in learners and leads them to redefine and reinterpret their personal, social, and occupational worlds” (p. 214). Knowles (1990) also cited Brookfield’s (1986) advice that facilitators needed to prompt learners to consider alternative perspectives – despite the process being confronting and anxiety-producing. According to Brookfield, effective facilitators would encourage learners to consider rationally and carefully perspectives and interpretations of the world that were different from those they already held. It was, he stated, “this dimension of increased insight” that was “sometimes ignored in treatments of adult learning” (p. 286). Knowles (1990) did not supply a definition of perspective transformation from Mezirow. It appears that he wished to use the terminology of Mezirow but attach to it the thinking of Brookfield (1986) whose purpose was “to place the prompting of this form of learning at the heart of what it means to be a good facilitator” (p. 286). Knowles’ thinking in 1961, 1970 and 1984 had been developing 233 in a way that was congruent with the new ideas of Mezirow and Brookfield. Andragogues could be understood as working towards the same goals.
Whole-Brain Learning and Teaching An additional area of new research which Knowles had touched on briefly in earlier works was that of whole-brain learning. In the 1984 edition of The Adult Learner, he had indicated that significant new research was being carried out on learning style and physiology. This related to the “right-brain, left-brain” metaphor. Knowles’ prediction, at the time, was that the major new discoveries in learning within the next decade, would concern the physiology and chemistry of learning. References to this research were made again by Knowles in 1989 and 1990. Knowles included in the 1990 edition of The Adult Learner the appendix entitled, “The Application of Brain Dominance Technology to the Training Profession” as an example of how research was developing. His concern was also to point out that whilst the new lines of research were producing knowledge that could be applied to existing theories, they were not producing comprehensive theories of their own. Although not directly stated, the implication was that andragogy remained the only comprehensive learning theory currently available to educators. Knowles had, in 1984, conceded the possibility of andragogy being superseded by newer forms of knowledge. In 1990, however, he made no acknowledgement that this had happened – or was likely to occur soon.
The Andragogical-Pedagogical Assumptions Knowles included in the 1990 edition of The Adult Learner the andragogy- pedagogy table he had first introduced in 1973. The table remained unchanged through all four editions of The Adult Learner; it is not clear why that was so. In relation to the in-text discussion of the andragogical-pedagogical assumptions, Knowles appeared to have settled on the six assumptions he had first discussed in the third edition of The Adult Learner in 1984. Those six were: the need to know, self- concept, experience, readiness to learn, orientation to learning and motivation. They were repeated in 1986, 1989 and 1990. It was only in Andragogy in Action (1984) that Knowles reverted to the earlier (1975) pattern of assumptions. There was no obvious reason for that reversion. Table 12 shows the pattern of assumptions as they 234 appeared in the books from 1973 to 1990. The columns for the four editions of The Adult Learner are shaded and show the consistency of the tables in their presentation.
Table 12 The Andragogical-Pedagogical Assumptions, 1973-1990
1973 1975 1978 1980 The Adult Learner Self-Directed The Adult Learner The Modern (1st ed.) Learning (2nd ed.) Practice (Rev. ed.) Text Table Text Table Text Table Text Table Page(s) 45-49 104 19-21 60 55-59 110 43-54 390 The need to know Self-concept X X X X X X X X Experience X X X X X X X X Readiness to learn X X X X X X X X Time perspective X X Orientation to learning X X X X X X X X Motivation X X X
Aug 1984 Oct 1984 1986 1989 1990 The Adult Learner Andragogy in Using Learning The Making of an The Adult Learner (3rd ed.) Action Contracts Adult Educator (4th ed.) Text Table Text (No Text (No Text (No Text Table Table) Table) table) Page(s) 53-61 116 8-12 41-42 82-85 55-63 119 The need to know X X X X Self-concept X X X X X X X Experience X X X X X X X Readiness to learn X X X X X X X Time perspective X X Orientation to learning X X X X X X X Motivation X X X X X
A History of the Adult Education Movement in the United States: Includes Adult Education Institutions through 1976 (Reissue, 1994)
Knowles first wrote The Adult Education Movement in the United States in 1962. That work was revised 15 years later, in 1977. Up until 1994, no other history of North American adult education had been published. As indicated in Chapter 4, Houle (1992) regarded Knowles’ work as the “most comprehensive” (p. 5) available. By 1994, however, 17 years had elapsed since publication of the second edition. 235
The 1994 reissue involved only two changes to the 1977 work: an additional preface and an additional bibliography. Knowles noted at the end of the preface that by 1994 “adult education had moved from the periphery to the center of our national educational enterprise” (p. iv). The new (additional) bibliography covered the period 1977 to 1994 but did not include two major histories published in the same year as the reissue. These two histories were Stubblefield and Keane’s (1994) Adult Education in the American Experience and Kett’s (1994) The Pursuit of Knowledge under Difficulties. These books brought the history up to date but presented the data in significantly different ways from Knowles. As at February 2008, no further histories of North American adult education have been published since. It is significant that Kett (1994) remarked, “Adult education is no longer a marginal activity, but professional adult educators have become increasingly marginal to the education of adults” (p. xviii). Only 5 years earlier, Knowles (1989) had presented an expanded vision of the roles of future adult educators. That vision implied the highest importance and relevance of the professional adult educator. Knowles appeared not to have been aware of the concurrent publishing of the new histories. His knowledge of the field of adult education would very likely have led him to conclude differently from Kett but the opportunity to enter into debate did not and would not arise.
Designs for Adult Learning: Practical Resources, Exercises, and Course Outlines from the Father of Adult Learning (1995)
The final book written by Knowles before his death in November 1997 was published in 1995 under the title, Designs for Adult Learning. An additional book would be revised and published in 1998 but it would not be wholly Knowles. It would include contributions by different authors and significant new content. Designs for Adult Learning (1995) was written as part of the ongoing response to the question raised earlier by the publisher, Jossey-Bass, as to whether there was anything not previously published which Knowles felt still needed to be put into print. He had answered that question initially with publication of The Making of an Adult Educator (1989), but now considered that further material could yet be published. Knowles had been responsible for designing and conducting many 236 courses, conferences and workshops and felt that others might benefit from his planning. Designs for Adult Learning was a compilation of course, workshop and conference designs as well as a number of exercises and guides relating to the phases of the andragogical process. In all of the writings from 1970 on, Knowles had consistently maintained that the andragogical process was comprised of seven elements (or steps or phases). There were only three exceptions to that pattern: counselling and self-directed learning would employ five phases, and contract learning, four. In the design of comprehensive programs and particular learning experiences, the educator would normally employ seven phases. For the first time, and in his final work, Knowles wrote, “an andragogical process design consists of eight components” (1995, p. 5). The new component was placed prior to the original seven and was entitled, “Preparing the Learners for the Program” (p. 5). The details made it clear that Knowles was speaking about something he had previously included within the climate-setting phase. This preparation component had not been a phase on its own and at no point earlier had Knowles given any signal of this change. No reason was given for the singling out of material from the climate-setting phase and there is no indication in the writings up to 1995 of any factor that may have contributed to this development. Designs for Adult Learning (1995) was intended to be a practical work and, in addition to the new phase for the andragogical process, there were only two other matters that touched on Knowles’ theoretical perspectives. Both developments appeared to indicate, on Knowles’ part, a return to earlier thinking. The first was the use of “versus” in the heading under which he discussed the andragogical assumptions. The heading read, “Learning Theory: The Andragogical Model Versus the Pedagogical Model” (p. 1). The discussion in the text, however, included a comment Knowles had made in previous years that he regarded “the pedagogical and andragogical models as parallel, not antithetical” (p. 3). “Versus” did not appear elsewhere in the text nor were there any connotations in the discussion which supported its use. Its inclusion in the heading appears not to be significant. The second development was Knowles’ treatment of the andragogical assumptions. There was a tabular presentation and discussion of the assumptions in which Knowles returned to the five that had been treated earlier in Self-Directed Learning (1975) and Andragogy in Action (1984). The significant omission in those 237 works was the need to know. On the basis of the in-text discussions in 1986, 1989 and 1990, it appeared that Knowles was settling on six, rather than five andragogical assumptions. The 1995 work, however, did not support that opinion and the concluding comment in Chapter 7 that Knowles seemed unable to settle on the number of assumptions appears still to stand. Table 13 shows the pattern of assumptions over the period 1984 to the final work in 1995. It was in August 1984, that Knowles first included the need to know as an assumption, thereby increasing their number to six. That number was not reflected in the tables (where they occurred), but it seemed, up to 1990, that Knowles was preferring six as the total number of assumptions.
Table 13 The Andragogical-Pedagogical Assumptions, 1984-1995
Aug 1984 Oct 1984 1986 1989 1990 1995 The Adult Andragogy in Using Learning The Making of The Adult Designs for Learner Action Contracts an Adult Learner Adult Learning (3rd ed.) Educator (4th ed.) Text Table Text (No Text (No Text (No Text Table Text Table table) table) table) Page(s) 53-61 116 8-12 41-42 82-85 55-63 119 1-3 89-90 Need to know X X X X Self-concept X X X X X X X X X Experience X X X X X X X X X Readiness X X X X X X X X X Time X X Orientation X X X X X X X X X Motivation X X X X X X X
Knowles would write no further books. He had settled at Fayetteville, Arkansas in 1991 and it was there that he died on November 27, 1997, aged 84 years. Knowles’ contributions to adult education had become widely recognised and, among those who saw his works as classics, some would act to preserve their life and their usefulness.
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The Adult Learner: The Definitive Classic in Adult Education and Human Resource Development (5th ed., 1998)
In the year following the death of Knowles, Holton and Swanson (1998b) acted to ensure that The Adult Learner would “remain a classic in the field of adult learning” (p. ix). They published a revised and updated (fifth) edition of that work with the new subtitle, The Definitive Classic in Adult Education and Human Resource Development. A sixth edition would follow in 2005. Holton and Swanson acknowledged that the book had “stood as a core work on adult learning for over a quarter of a century” (p. ix) and hoped that the new edition would both advance adult learning and carry Knowles’ vision into the next century. The 1998 edition reproduced large portions of the fourth edition but added much new material. The first four chapters in the earlier work dealing with learning theory were reproduced with the addition of some stylistic changes, editorial comment and summaries at the end of each chapter. Only four of the 13 appendices in the 1990 book were reproduced. The new book was comprised of three parts: part one (109 pages) was almost completely the work of Knowles; part two (70 pages) was wholly new; and part three (82 pages) included approximately two thirds new material. The fifth edition was, therefore, very much a new work but one which the authors hoped would convey “harmonious” messages about
lifelong learning;
faith in the human spirit; and
the role of adult learning professionals.
Theoretical material deriving from Knowles and carried over into the new book from previous editions of The Adult Learner has had its development traced in earlier sections of this thesis. It is not the purpose here to trace the development of new ideas in the 1998 edition nor to comment on the new material. Holton and Swanson (1998a) recognised that their work represented the passing of an era. They acknowledged the impact of Knowles’ thinking on adult education and in a section entitled, “Dedication”, paid tribute to Knowles as follows: Malcolm was one of the world’s leading scholar-practitioners of adult learning. He was a member of a generation that experienced the fullest range of character-building phases the United States has known: a massive influx of immigrants, several wars, an economic depression, waves of technological advances, the civil rights movement, the dominance of the knowledge 239
worker, and an optimism about the human spirit. While Malcolm participated in all this, he was one of the thinkers and doers rising above the milieu and pointing the way for a dynamic democracy. Equivalent leaders of his generation, in such areas as economics, quality improvement, religion, and psychology, have finished their work and their legacy lives on in the next generation. Malcolm’s early understanding of the importance of adult learning has provided insight that will guide the professions dedicated to adult learning into the next millennium. (p. v)
Conclusion
The period of revision and refinements that followed publication of the classic texts continued on into the final period of Knowles’ life. The years 1986 to 1995 were years of reflection in which Knowles assessed the value and completeness of his previous thinking, traced his autobiographical journey, drew together ideas not previously connected, and added the explanations and descriptions needed for a fuller understanding of his theoretical perspectives. With the exception of Designs for Adult Learning (1995), the writings in this final period were characterised not by changed thinking but by the addition of ideas and commentary arising out of Knowles’ reflections on his life and work. This was a time, also, when some of Knowles’ language took on an adversarial quality. Using Learning Contracts (1986) was the first major work to add substantially to the ideas expressed in Self-Directed Learning (1975). For the first time, Knowles
made direct links between the six andragogical assumptions and contract learning;
explained fully his understanding of the benefits and limitations of contract learning; and
began to use a particular form of language: “ammunition”, “wedge” and “bastion”.
The reflective quality of the period was most evident in the 1989 work, The Making of an Adult Educator, where Knowles, for the first time in a major writing,
made clear his philosophical orientation;
assessed his own contribution to the field of adult education;
acknowledged Lindeman’s use of “andragogy” in 1926 and 1927;
described andragogy as a “general theory about learning”; 240
made clear his understanding of the term “empirical”;
made an unequivocal statement of the non-essential nature of contract learning;
qualified his support for “straight indoctrination”;
expressed his thinking on mandatory professional education;
explicitly acknowledged the influence of Freire on his thinking;
referred to adult illiteracy as adult education’s new “millstone”;
reflected on his role in promoting social reform;
wrote of the “global citizen” and of the role of the educator in a possible future global educational enterprise.
In the fourth edition of The Adult Learner (1990), Knowles described new writings or research on adult education topics:
the philosophy of education;
perspective transformation; and
whole-brain learning and teaching. The discussions of these topics constituted reports by Knowles rather than new thinking on his part – but their inclusion had implications for the way in which andragogy could be interpreted or understood. Knowles’ final work was Designs for Adult Learning (1995). New developments in this work included:
a change in the number of andragogical process elements;
a reversion to five, rather than six, andragogical assumptions; and
a one-instance only return to the use of “versus” in describing the andragogical and pedagogical assumptions. The use of “versus” may be related to the use of “ammunition”, “wedge” and “bastion” in Using Learning Contracts (1986); however, it remains unclear why these changes occurred so late in Knowles’ writing career. Designs for Adult Learning appears to be an exception to the general pattern of development up to the point of writing. Knowles’ thought had been progressing in a broadly consistent way and it is difficult to reconcile the final developments as they appeared in print in 1995. Many researchers (e.g., Cooke, 1994; Henschke, 1973; Sopher, 2003) have had the opportunity to put questions directly to Knowles and to seek clarification of 241 his meanings and intentions. Since his death, that is no longer possible. Clarification, however, may still occur through a detailed study of his other writings. This thesis has relied on the books as the major source of information on Knowles’ thinking. Those books have revealed an intelligible continuity in the development of thinking over the period 1950 to 1995. The absence of any radical discontinuity means that Knowles’ conceptual framework remains intact. Some questions still remain but the necessary links between ideas have been established and a broadly consistent train of thought developed over almost half a century of writing.
SUMMARY OF PHASE 6 THINKING
In the final phase of writing, Knowles made clear his belief that andragogy had become a general theory about learning. In this instance, he appears to have been referring to the inclusive nature of the andragogical model. This was a Phase-5 viewpoint. Its presence in the final phase shows that Knowles had not retreated from his earlier thinking: he continued to hope that andragogy would be a unifying theme for all of education. Knowles’ thinking in the final phase did not affect the structure of the andragogical framework. Among the new ideas expressed at this time was the explicit linking of contract learning to the andragogical assumptions. Contract learning, however, as a particular set of andragogical process elements, was already linked to the andragogical assumptions. The connections Knowles made constituted a strengthening of those links rather than an addition of new structural elements. Other important new thinking included Knowles’ ideas about the number of andragogical assumptions and process elements. In all of the writings from 1970 on, he had consistently maintained that the andragogical process was comprised of seven elements, with the exception of the counselling, self-directed and contract learning processes. This view was maintained into the final phase of writing except for Knowles’ very last book, published in 1995, where he provided for a general process design of eight elements. A similar situation occurred in relation to the number of andragogical assumptions. In the works of 1986, 1989 and 1990, Knowles appeared to be preferring six, rather than five assumptions. In 1995 he reverted to five only, omitting the need to know. 242
The 1995 work, therefore, shows some variation from the general thrust of Knowles’ thinking. It is possible that he had concluded that the exact number of andragogical assumptions and design elements was not important. Such thinking had no necessary implications for the structure or soundness of the andragogical framework. Regardless of number, the andragogical-pedagogical assumptions continued to have their place as part of andragogical theory and the process elements remained the major steps in applying that theory. Figures 2, 3 and 4 have shown the evolution of Knowles’ conceptual framework. This framework was essentially complete in 1984 at the end of the fifth phase of writing. During this phase Knowles had come to regard andragogy as a conceptual model that incorporated the concepts of self-directed and lifelong learning into a comprehensive theoretical framework. He did not alter his stance on this during the final phase of writing. A graphical portrayal of Knowles’ conceptual framework is not provided at this point because Phase 6 did not require the making of any significant structural changes to that framework. Figure 4 will, however, be reproduced in the next chapter as part of a description of Knowles’ completed conceptual framework. 243
CONCLUSION
CHAPTER 9 ANDRAGOGY: A MODEL FOR THE FUTURE
Knowles’ writings were aimed primarily at professional educators whom he regarded as playing a major role in helping individuals and society deal with change. These practitioners were change agents capable of releasing the energy and power of learners. Knowles wrote with enthusiasm and optimism: The one characteristic that will be shared by … these professionals … will be a deep dedication to the concept of lifelong learning and a sense of excitement about having a part in bringing about a “third wave” of humanity – people who value and excel in constant change. I would love to be starting my career in this transforming era! (1989, p. 150)
Those educators who chose to read Knowles’ books would find in them a new way of viewing their role and a new theory and technology showing how to go about their tasks. He provided for his readers the theoretical expositions and manuals of practice they would need if they were to fulfil their role of producing lifelong learners in a world of accelerating change. Lindeman (1926b) had called for a new kind of textbook and a new kind of teacher. Knowles produced the new textbooks and, through them, nurtured the new teachers. In producing the new textbooks Knowles maintained a generally consistent train of thought over almost half a century of writing. His thinking at first was exploratory. It focused on principles of teaching and leadership and on the basic assumptions of the teaching-learning transaction. Knowles’ emerging awareness, in the mid-1960s, of adult-child differences led to the development of andragogy as a theory of adult learning. The first major exposition of the theory occurred in 1970 with publication of The Modern Practice of Adult Education. By 1973 the theory became a unified framework for HRD. By 1984 Knowles’ vision had considerably expanded and his theory became a model for the development of self-directed lifelong learners. Knowles had moved beyond adult education to education for all – but throughout this developmental sequence, he continued to apply the term “andragogy” to his thinking. 244
Table 14 Summary of Major Responses to the Critical Questions of the History of Thought
Critical Questions of the 1 2 3 4 5 6 History of Thought The Initial Thinking The Emerging Framework The Developed Framework The Framework Expanded The Framework Completed Final Thinking
The need to preserve The need to adapt to change A vision of adult education as The need to make andragogy The hope that andragogy The need to maintain Impulse democracy and restore co- the fourth major strand of applicable to as wide a group could provide a unifying theme continuous, self-directed, operative living educational activity of learners as possible for all of education lifelong learning
Providing a body of sound Providing a new set of Constructing a Expanding the scope and Incorporating a body of Making minor additions and principles and practices for assumptions for the education comprehensive theory of adult- usefulness of the andragogical theory and practical thinking adjustments to his framework What was Knowles doing? adult education of children and of adults educational practice model on lifelong learning into his See Figure 2 See Figure 3 framework See Figure 4
Group dynamics ======
Leadership ======
What was Knowles thinking? Andragogy ====== (major strands of thought)
Lifelong learning ======------======
Contract learning ======------======
Self-directed learning ====
Education was seen to be Lifelong learning would be the Andragogy would give Andragogy had become a Andragogy had become an Andragogy had become a Knowles’ thinking at the end playing a role in preserving a answer to the problem of rapid coherence, consistency and unified framework for human evolving and flexible model for general theory about learning of the phase democratic society change in society technological direction to adult- resource development a new educational world educational practice
Year 1950 1959 1960 1969 1970 1972 1975 1977 1984 1986 1995 245
Overview of the Phases of Knowles’ Thought There were many ideas and strands of thought developed by Knowles during the course of his writing. Six stand out as those given most direct and explicit attention by him: group dynamics, leadership, andragogy, lifelong learning, contract learning and self-directed learning. These were the major elements that contributed to the building of his conceptual framework. Table 14 shows the relationship between these themes, the phases of Knowles’ thinking and the major questions asked by the historian of thought. In the first column of the table, the subheading marked “Impulse” indicates the impelling forces that drove Knowles in his thinking. It answers the “why?” question of the historian of thought. The two subheadings, “What was Knowles doing?” and “What was Knowles thinking?” together answer the question, “What was going on in the writings?” The contents of the table are necessarily reductionist: they express in the broadest of terms what Knowles was thinking and doing and why he took up the themes that he did. The table, therefore, is a highly-generalised summary of Knowles’ thinking through the phases of his thought from 1950 to 1995. The evolution of Knowles’ thinking as it unfolded in his principal writings has been discussed in detail in Chapters 3 to 8. Table 14 does not try to recapture that detail. It aims to show in summary fashion the major strands of thought developed by Knowles and the points at which he was engaged in building his conceptual framework. The table shows the movement of major ideas across the span of years from 1950 to 1995, and indicates the three phases during which Knowles was actively building his framework. The table refers to Figures 2, 3 and 4 which depict the developed, expanded and completed frameworks that emerged during the three theory-building phases. For the purpose of introducing the table, the section that follows comments on the first two phases only. Table 14 indicates that in Phase 1 Knowles was driven by an urge to safeguard democracy and to contribute towards the rebuilding of relationships. He was conscious of the enormous damage caused by two world wars and saw an urgent need to act. In response to this need he sought to provide a body of sound principles and practices for adult education. Knowles regarded his first book, Informal Adult Education (1950) as such a body. He wrote: The time has come … to make a beginning in formulating good principles and good practices…. This book attempts to bring together into a systematic 246
statement some of the principles and techniques that have seemed to be successful under a variety of circumstances. It is not a finished blueprint. (p. viii)
The principles and practices would help education to play its role in restoring co-operative living. Democracy was fragile and the educational task remained urgent. This was a major reason for the zeal with which Knowles entered into his writings. It also explains his insistence on the importance of democracy in group learning processes and in group leadership. This thesis has identified a number of strands of thought in the early years, but group dynamics and leadership were the two major motifs up to 1959. By 1959 Knowles had come to perceive in society and in organisational life a growing democratic spirit. He linked this to education. This perception provided motivation for continuing to write. This was especially important given that he had come to recognise that society was changing with unprecedented rapidity. The challenge of adapting to this state of affairs lay at the heart of Knowles’ thinking throughout the second phase of his writing. His solution was lifelong learning. This, also, was important because it emerged relatively early in the time-frame of his writings. Within the 10-year period that made up Phase 2, Knowles worked at clarifying his thoughts, especially in relation to the assumptions on which education was based. The driving force was the need to adapt to change, and the task was the provision of a new set of assumptions for education that would allow lifelong learning to occur, thereby addressing the challenge posed by rapid change. Knowles’ new sets of assumptions laid the foundation for his subsequent theory building in Phases 3 to 5. Andragogy was the dominant paradigm in Knowles’ thought, and one way or another, all of his ideas could be related to it. There were elements of uncertainty and inconsistency in Knowles’ thinking but their significance was minor compared to the importance of the completed framework and its focus on lifelong learning. Knowles’ thinking formed an integrated whole. His completed framework was a coherent theoretical-practical construct that incorporated most of the elements of his thought and which posited lifelong learning as an ultimate goal. 247
Knowles’ Completed Conceptual Framework Knowles expressed very clearly his understanding and hope of seeing andragogy function as an inclusive, cohesive and flexible model capable of providing a unifying theme for all of education. From as early as 1965 he saw a compatibility between adult and child learning approaches. That perspective never left him. When writing about adult-child learning differences, he stressed that he was referring to assumptions as they were traditionally understood. There was no conceptual confusion. Figure 5 shows the major elements of Knowles’ completed conceptual framework. This depiction is based on the logic of his thought as expressed in the writings from 1970 to 1994. Because Knowles’ 1995 work, Designs for Adult Learning, is considered here to contain variations from Knowles’ general pattern of thinking, the framework in its completed (Phase 5) form includes references to the “six andragogical-pedagogical assumptions” and the “seven-phase andragogical process”. The theoretical base was made up of five sets of key ideas: (1) the meeting of needs which incorporated ideas on the needs of the individual, institutions, and society; (2) the six andragogical-pedagogical assumptions: self-concept, experience, readiness to learn, orientation to learning, motivation, and the need to know; (3) the teaching-learning transaction which dealt with the capacity of adults to learn, learning as an internal process, and conditions of learning and principles of teaching; (4) learning theory models which Knowles had classified as behaviourist, cognitive and adult-educational types; and (5) lifelong learning which included elements of systems theory and eight lifelong learning assumptions. These five sets of key ideas constituted the body of theory from which the technology of andragogy was derived. The dependence of the technology on the theory is shown by the arrow between the first two boxes. Essentially, the technology was seen by Knowles as the set of implications that flowed from andragogical theory. The implications were described as “steps”, “phases”, “design elements” and “process elements”. They were made up seven phases concerned with climate setting, planning structure, needs diagnosis, objectives, learning design, implementation of learning, and evaluation. The practical application of the theory occurred through implementation of these seven phases. 248
Figure 5. Knowles’ completed conceptual framework.
The Theory of Andragogy: Five Sets of The Technology of Andragogy: Seven Key Ideas Phases of the Andragogical Process
1. Meeting of needs 1. Climate setting 2. The six andragogical-pedagogical 2. Planning structure assumptions 3. Needs diagnosis - need to know 4. Objectives - self-concept 5. Learning design - experience 6. Implementation - readiness to learn 7. Evaluation - orientation to learning - motivation 3. The teaching-learning transaction 4. Learning theory models 5. Lifelong learning
Facilitating Counselling Self-Directed Contract Learning Learning Phases Phases Phases 1-7 1, 3, 4, 5, 7 Phases 2, 4, 5, 7 3, 4, 5, 6, 7
Training Self- model Directed Inquiry model
The Lifelong Learning Process Teaching Model 1. Skills assessment and development 2. Needs diagnosis 3. Learning contract 4. Implementation 5. Evaluation
The Learning Continuum
Andragogy as a Model for the Development of Self-Directed Lifelong Learners
Leading from the technology box are four arrows indicating four sets of phases which relate to specific contexts in which andragogy is practised. The first 249 context box is that of the facilitator who would routinely employ all seven phases from climate setting to evaluation. Moving from the facilitator’s box are three parallel arrows indicating the parallel use by the facilitator of different learning theory models. Depending on a learner’s particular needs, the facilitator would choose training (behaviourist), teaching (cognitive) or self-directed inquiry (adult- educational) models of learning for use with learners. The models would be used in parallel fashion, that is, they would operate side by side and the learner would move between them as necessary. This side by side movement is indicated by the positioning of the three models on a learning continuum which shows the lifelong learning process as its end point. Although a facilitator’s use of training and teaching models would lead to progress along the learning continuum, it was the self-directed inquiry model that would lead most directly to the development of lifelong learning skills. Not all situations required the use of seven phases. This is indicated by the three additional context boxes labelled, “counselling”, “self-directed learning”, and “contract learning”. A counsellor would be involved in a five-phase process which assumed that mechanisms for mutual planning were already in place and that the learner, rather than the counsellor, implemented the learning plan. In the case of self- directed learners, Knowles did not include the climate-setting and planning-structure phases. These were assumed to be already existing or not necessary in situations of student-initiated learning. Self-directed learners would take the initiative in diagnosing their needs, formulating objectives, designing a learning plan, implementing the plan and evaluating the learning. The learning contract was a particular process plan that incorporated a mutual-planning structure, formulation of objectives, development of a learning plan, and evaluation. The facilitating, counselling, self-directed learning and contract learning boxes represented more than just collections of phases. They represented tools, strategies and resources that learners would draw on, or processes they would engage in. Facilitators, counsellors, self-directed learners and users of learning contracts would all be engaged in a process leading to the development of lifelong learning skills – either in themselves or in others. The arrows leading from the four context boxes indicate that movement. The lifelong learning process was the goal towards which the phases pointed. 250
The lifelong learning process box indicates that full entry of the learner into the lifelong learning process began with professionally-directed learning-skills assessment and development activities. Knowles stressed that the skills of self- directed learning were the skills required for lifelong learning, and that it was those skills that would be assessed and developed in Phase 1 of the lifelong learning process. Subsequent steps would involve the learner in needs diagnosis, the design of a learning contract, implementation, and evaluation. Movement through the phases ensured the learner’s active and ongoing involvement in the process of self-directed lifelong learning. That process represented the fullest expression of the adult- educational and humanistic model of learning. An important corollary of the development of Knowles’ conceptual framework was that andragogy could no longer be narrowly conceived. Andragogy had become a model for the development of self-directed lifelong learners.
Lifelong Learning The real complexity and importance of Knowles’ thinking is hidden within the pages of his books. A cursory reading of his works shows the dominance of andragogy as an overarching theme. A closer reading reveals his early concerns with adult-child learning differences and a sequence of changed understandings leading up to publication of the second edition of The Modern Practice of Adult Education (1980). Knowles’ interest in lifelong learning, and the impact that that had on the development of his thinking, however, is not quite so easily discerned. Knowles first mentioned lifelong learning in 1950 but it did not become a motif in his writings until 1962 with the publication of The Adult Education Movement in the United States. At that time, Knowles was conscious of the rapidity of change in society and saw lifelong learning as the only means for preventing human obsolescence. As indicated in Chapter 4, Knowles proposed a new set of assumptions for the education of youth which he hoped would lead to a redefining of education as a lifelong process. This process, he hoped, would lead to the development of a unified lifelong education movement. From as early as 1962, Knowles recognised the potential unity of all fields of education. By 1969 he was perceiving changes in elementary and secondary education which he attributed to the influence of ideas on lifelong learning. He did not so easily recognise such changes in adult education. Accordingly, in The Modern 251
Practice of Adult Education (1970), he returned to the theme of obsolescence and stressed the importance of the adult educator helping individuals identify learning as a lifelong process and acquiring the skills of self-directed learning. By 1970 Knowles had come to recognise clearly the link between self- directed learning and lifelong learning. He was not, however, in a position to develop his thinking further in this area until he had constructed a model for lifelong learning. A beginning was made on this in The Adult Learner (1973) and Knowles expressed his hope that students educated under the model would emerge as self-directed learners. In 1977 Knowles predicted that lifelong learning would become the central organising concept for all of education. This, he pictured as occurring within the span of the following 10 or 20 years, by which time educators would have become facilitators and resource persons of self-directed lifelong learners. This picture of the educator was exactly that of the andragogue that Knowles had painted in 1970. It was an easy matter, therefore, for Knowles to make a direct link between lifelong learning and andragogy. In 1978 he expressed his hope that the concepts of andragogy could be applied to lifelong learning, thereby providing the means by which all of education might be unified. Knowles’ prediction was not unrealistic. He had been teaching for 19 years, during which time he had applied the theory and technology of andragogy to his own students. For him, andragogy was a given; it was an existing and workable body of knowledge and practice that aimed to produce self-directed lifelong learners. The linking of andragogy to lifelong learning, and the picturing of lifelong learning as being a reality within 20 years was a logical consequence of the development of Knowles’ thinking and of the working out of his ideas in practice. There was, however, much thinking still to do. Knowles’ 1973 model of lifelong education was a first response which lacked a methodology for implementation and a framework for locating the theory and practice within the broader educative community. If lifelong learning were to become the central organising concept for all of education by the end of the century, it would require considerably greater articulation and an involvement of all parties with stakes in education. Knowles’ (1984d) proposal for creating lifelong learning communities was an attempt to remedy the conceptual and methodological deficiencies and to show the 252 importance of interconnectedness within learning resource systems. The proposal provided an explication of the theory underlying the concept of lifelong learning; a process design for implementing the theory; and suggested steps for creating lifelong learning resource systems. In designing the lifelong learning process, Knowles drew directly on the seven andragogical phases. These were regrouped to form a new set of five. They assumed the use of learning contracts and made provision for professionally-guided skills assessment and development. The new purpose for education was the development of continuous, self-directed, lifelong learning as the highest competence of future citizens. Knowles’ model, first published as a working paper for UNESCO in 1983, was included as an appendix in the third (1984) edition of The Adult Learner. In the literature, Knowles’ name is not generally associated with lifelong learning. This was despite his membership of UNESCO’s Task Force on Lifelong Education. It may be the case that because the lifelong learning resource system advocated by him was not a current reality in American society, educators perhaps felt no need to engage with him in discussion. Knowles’ vision was expressed in unambiguously futuristic terms: I would want my twenty-first-century education to take place not in schools and colleges … but in a Lifelong Learning Resource System…. I would enter the satellite center nearest my home, starting perhaps at age four or five and returning periodically for the rest of my life. My first experience would be having an assessment made of my level of learning ability – my current level of skill in planning and carrying out a self-directed learning project. Skill development exercises would be provided … to help me move to a higher level of ability in self-directed learning – regardless of age. I would then be referred to an educational diagnostician. This person … would help me determine which life role, at what level of performance, would be appropriate for my next stage of development…. I would leave the diagnostician with a profile of diagnosed learning needs. Next, I would be referred to an educational planning consultant. This person would … work with me … in designing a learning plan. I would then go to the learning resources specified in the learning plan, wherever they might be in the community, and carry out the plan. Upon completion of the learning plan I would return to the LLRS center for a rediagnosis of learning needs and the development of a next-level learning plan…. A three-year-old might start with the simplest competencies of the role of friend, then move to one of the competencies of the role of citizen … to … the role of learner. These roles might well be the focus for the next several years, with increasingly complex competencies for each role – particularly … the role of learner. In early adolescence the emphasis would gradually shift to the roles of unique self, citizen, and worker. In the adult years the emphasis would be on the roles of worker, citizen, family member, leisure-time user and cultural literate…. I feel certain that given this 253
approach to education I would indeed be able to survive – even thrive – in a world characterized by an accelerating pace of change. (1989, pp. 132-136)
There is no doubt that Knowles saw lifelong learning as a major goal of the educational process. Nevertheless, he spent much of his post-retirement time conducting faculty workshops for colleges and universities. This work had a predominant HRD focus, as did most of his published writing. The works from 1984 on were largely aimed at HRD practitioners, especially, The Adult Learner (1984, 1990), Andragogy in Action (1984), Using Learning Contracts (1986), and Designs for Adult Learning (1995). It is not surprising, therefore, that Knowles has not generally been associated with lifelong learning. It was only in the third and fourth editions of The Adult Learner (1984, 1990) and The Making of an Adult Educator (1989) that he gave an account of his thinking on lifelong learning communities (or resource systems). Apart from the content of those works, Knowles did not actively promote or further develop his ideas on lifelong learning. In 1984 Knowles was 71 years old and 5 years into retirement. It is possible that he felt he had expended sufficient energy promoting andragogy as a model for HRD. Promoting andragogy as a lifelong learning model may have been something he wished to leave to his successors.
Knowles’ Completed Conceptual Framework as “An Emergent Theory” In his 1986 work, Using Learning Contracts, Knowles described andragogy in the following terms: In the late 1960s and early 1970s there appeared in the literature a conceptual model of learning and instruction that incorporates the concepts of independent study, individualized instruction, and self-directed and lifelong learning into a comprehensive theoretical framework. It was labeled “andragogy,” meaning the art and science of helping adults learn (later extended to the art and science of helping people learn). (p. 41)
Knowles did not use the exact expression, “andragogy as a model for the development of self-directed lifelong learners” but the statement above shows that he clearly regarded andragogy as a conceptual model incorporating concepts of self- directed and lifelong learning into a comprehensive theoretical framework. As indicated in the previous chapter, Knowles had also referred to andragogy as “a general theory about learning” (1989, p. 113). It is unlikely that he would have made such a statement if he did not recognise the breadth of the andragogical 254 framework and the ability of that framework to include lifelong learning within its boundaries. However, in the same work in which Knowles made that statement, he also described andragogy as “a conceptual framework that serves as a basis for an emergent theory” (1989, p. 112). Given that Knowles had previously spoken about andragogy as having “evolved into a comprehensive theory of adult learning” (1978, p. 28) and as being “a unified model” of HRD (1973, p. 102), it is likely that he was thinking of the final form of andragogy – that which included lifelong learning – as the “emergent theory”. It has been argued in this thesis that by 1984 andragogy had become a model for the development of self-directed lifelong learners. A qualification that needs to be made is that that argument, relying as it does on the logic of Knowles’ thought, applies to andragogy at the theoretical level. In practice, andragogy had not become a model for the development of self-directed lifelong learners – but the ingredients for the model were in place and the theory would remain “emergent” until the establishment, in the future, of concrete conditions permitting the creation of lifelong learning resource systems. This would be the point at which Knowles’ vision would be realised, and andragogy would then function both in theory and in practice as a model for the development of self-directed lifelong learners.
The Contributions of this Thesis This thesis has revealed aspects of Knowles’ thought that have not previously been documented. In particular, it has presented a picture of Knowles’ completed conceptual framework and has shown the importance of lifelong learning within that framework as the goal towards which the andragogical process pointed. More broadly, the thesis has produced an overall narrative history of the development of Knowles’ thinking. This was the major aim of the research project but the depictions of Knowles’ developed, expanded and completed conceptual frameworks constitute important and significant additional outcomes. The thesis has examined the 25 books and monographs authored, co- authored, edited, reissued and revised by Knowles over the 46-year period from 1950 to 1995. The writings were scrutinised using a literature research methodology to expose the theoretical content, and a history of thought lens to identify and account for the development of major ideas. A broadly-consistent and sequential pattern of thought focusing on the notion of andragogy emerged. The study revealed that after 255 the initial phases of exploratory thinking, Knowles developed a practical-theoretical framework he believed could function as a comprehensive theory of adult learning. As his thinking progressed, his theory developed into a unified framework for HRD and, later, into a model for the development of self-directed lifelong learners. The study traced the development of Knowles’ thinking through the phases of thought, identified the writings that belonged within each phase and produced a series of diagrammatic representations showing the evolution of Knowles’ conceptual framework. The aim of the study was to write a history of the development of Knowles’ thought as it unfolded in the principal writings. This history was not known in advance but was disclosed as the study progressed. The methodology allowed for a gradual exposition of themes and their interrelationships: the books were examined in sequence except for those of 1977 and 1989 which were read early in order to establish background historical context. It was only in the concluding chapter that it became possible to state with any degree of confidence the phases through which Knowles’ thought had passed and to label them appropriately. The final diagrammatic representation of Knowles’ conceptual framework, similarly, did not become possible until the penultimate chapter was written. This thesis has contributed to adult-educational scholarship by presenting a conceptual and historical backdrop against which terms may be understood and criticisms of Knowles evaluated. There have been many writers who have critiqued Knowles’ thinking. The criticisms in general have tended to focus on particular elements of thought without seeing them in relation to the whole. This study has shown how Knowles’ thinking did not remain at a static level or at the level of broad generality. It was nuanced and developed over time into a cohesive conceptual framework incorporating a number of interrelated elements. The framework as presented in this thesis challenges many of the assertions made by critics. Some of the critics have suggested, for instance, that Knowles
did not possess a coherent conceptual system (Smith, 2000b; Hartree, 1984)
did not fully articulate his key ideas (Tennant, 1986; Jarvis, 2001; Hartree, 1984);
did not substantially modify his definition of andragogy (Rachal, 2002); 256
always seemed committed to the andragogy-pedagogy distinction (Jarvis, 1998);
did not spell out the relationship between contract learning and andragogy (Jarvis, 2001). The study allows the possibility of responding to these criticisms. It has shown the depth and breadth of Knowles’ andragogical framework; its constituent elements; and the relationship between the elements and the whole. It has also shown the steps in the evolution of that framework. Not only does the study challenge some of the stereotypical viewpoints about Knowles, it provides a response to the viewpoint of Houle (1996) that “the fluidity of Knowles’s theories” presented a “moving target” (p. 27) that made summarising them difficult. The thesis constitutes a history of the development of Knowles’ thought. This is the major and most significant outcome of the research. In particular, it shows the impact of lifelong learning on the evolution of Knowles’ andragogical framework and has constructed representations of that framework at key points in his writing career. The history covers the entire period of Knowles’ major writings beginning in 1950 with Informal Adult Education and ending in 1995 with Designs for Adult Learning. In addition to plotting the narrative sequence of thought-events, the history helps to explicate the factors and conditions that influenced Knowles’ thinking and to show the interrelationships between ideas. As a history of thought, the thesis provides a more complete account of Knowles’ works than currently exists and contributes significantly to the body of knowledge available to adult educators. It is hoped that the ideas expressed in this thesis will help practitioners in their use and appreciation of Knowles’ works. Possible reader outcomes include the following:
a greater awareness of how Knowles’ books are related to each other;
an enhanced ability to understand and navigate the texts;
a greater appreciation of the value of Knowles’ works as theoretical expositions and manuals of practice;
a greater appreciation of the purposes of Knowles’ writing generally; and
less ambivalence in evaluating Knowles’ contributions to the theory and practice of adult education.
257
Andragogy has had, and continues to have, a major influence on adult education in the English-speaking world and especially in the United States. This is an important reason for persisting with research. Three contemporary researchers comment: 1. “Researchers should be expected and indeed have the obligation to examine the validity of a theory which has had such a pervasive influence in the field of adult education” (Rachal, 2002, p. 211); 2. “Research related to Knowles and andragogy is not complete …. Many leaders who are rebels are not appreciated as much in their times as they are after their deaths. More research related to Knowles and andragogy will be conducted and possibly the significance of the andragogical approach will be appreciated more in the future. His popularity will continue” (Sopher, 2003, pp. 444-445); and 3. “Like any theoretical perspective, andragogy reflects both the context of its conception and the convictions of its creator. Illuminating this background can help educators to engage with andragogy more fully” (St Clair, 2002, p. 3).
This thesis has aimed to meet the sorts of needs expressed by Rachal (2002), Sopher (2003) and St Clair (2002). It has made a major contribution by helping to show, in Sopher’s words, “the significance of the andragogical approach”. It has done this by setting the development of that approach within the context of its creation. St Clair’s contention is that such contextualising will help educators in the important task of engaging more fully with andragogy. To date, no similar research has been published.
Directions for Future Research As indicated in the previous chapter, Holton and Swanson (1998a) consider that Knowles’ insight will continue to “guide the professions dedicated to adult learning into the next millennium” (p. v). Questions arise as to the ways in which this influence might be exerted and the areas most likely to be affected. Given the impact of Knowles’ thinking on adult education and his continuing influence, further research is amply justified. St Clair (2002) argues that contemporary practice has moved away from some of Knowles’ emphases – that communities of practice de-emphasise individual 258 learners and that diversity and the need for different practical and theoretical approaches are recognised. Also, Jarvis (2001) considers that the development of research into experiential learning and lifelong learning has made redundant many of the concerns of andragogy. Knowles would very likely deem such comments to be misunderstandings of andragogy. His position on these points was that learning is enhanced in conjunction with others; that diversity and flexibility are essential components of andragogy; and that the entire andragogical construct is aimed at producing self-directed lifelong learners. Studies focusing on misconceptions about Knowles’ thinking and on the applicability of his thought to contemporary theory and practice would be very useful. Knowles pictured andragogy moving with educators into the twenty-first century. North American adult educators have recognised the presence and the impact of andragogy up to the end of the twentieth century and many authors have written about Knowles’ influence. Research tracing the extent of his influence in the years up to the present, both within and beyond North America, would contribute to an understanding of current and possible future developments in the field of adult education. Many theses and dissertations have been written on Knowles or on aspects of his thought, and especially on andragogy and the applications of andragogy to specific contexts. The research includes anecdotal, expository and empirical studies. The investigations, Rachal (2002) suggests, “rarely reach a wide audience” (p. 211). A synthesis of some of the major findings would be of value in disseminating the research and in helping identify areas needing further study. Some research has endeavoured to provide context for the study of Knowles by comparing his thought with others (e.g., Sawyers, 1994). A broad comparative study of Knowles and thinkers such as Mezirow, Rogers, Freire, Maslow, Tyler, Illich, Neill and Revans would supply additional context for understanding the development of Knowles’ thinking and help show convergent and divergent lines of thought. This study has focused on the development of Knowles’ thinking as expressed in his principal writings and not on other aspects of his life or work. The thesis was not intended to be a biography or an examination of the impact of Knowles’ thought on the broader social and academic world. Other studies could involve looking in detail at the subsequent impact Knowles’ life has had on others; 259 evaluating his overall contribution to North American educational bodies, institutions and policies; and determining areas in which his thought may be susceptible to further development by adult educators and human resource developers. In relation to this last point, Holton and Swanson have included material in the fifth and sixth editions of The Adult Learner (1998, 2005) showing some of the new perspectives that have bearing on the development and use of andragogical principles. Hase and Kenyon (2000) have written a paper, “From Andragogy to Heutagogy”, in which they aim to expand and build on the work of Knowles. There is much potential for continued research in this area. For the reason of being able to sustain a manageable research project, this thesis has focused only on the major published writings of Knowles. Inclusion of a broader range of genres (journal articles, personal papers, correspondence, photographs, scrapbooks, speeches, meeting and workshop documentation) could add greater depth. The Syracuse University library archives, as part of the Adult Education History Project, house the collection of Malcolm Knowles’ papers from 1930 to 1985. The collection appears to include copies of the published journal articles but not copies of the published books, and would be an important resource for researchers wishing to probe beyond the level of Knowles’ principal writings. Carlson (1989) wrote at the end of his article, “Malcolm Knowles: Apostle of Andragogy” If Knowles is to be faulted … it may be for the noblest fault of all, from an American point of view. The failure of Malcolm Knowles may well be that the theory, the philosophy, and the principles he proclaimed did not approach the quality of his actions. His preaching did not live up to his practice. (p. 233)
This statement suggests the possibility of an additional line of research comparing Knowles’ thinking and practice. This study has not attempted to make such a comparison. To do so would have required moving outside the writings to a consideration of the experiences of students, peers and others who had been in contact with Knowles. Carlson’s comment begs a response. It may have been that so seriously did Knowles take the notion of andragogy that he had no other option but to practise it wholly in his professional life. Research into the agreement between what he wrote and what he practised could provide deep and valuable insights into our understanding of Knowles. 260
In publishing the first edition of The Modern Practice of Adult Education (1970), Knowles aimed to explore a comprehensive theory of adult learning. By 1984 he felt that he had met and surpassed that goal. Not everyone, however, agreed. Hartree (1984) in her article, “Malcolm Knowles’ Theory of Andragogy” concluded, “Whatever one calls it, it would appear that adult education is still a discipline in search of a theory” (p. 209). Houle (1992) recognised Knowles’ efforts in working towards the building of a complete and coherent framework for education at all ages but was reluctant to award the prize for achieving that goal to Knowles. If adult educators have not resolved among themselves the question of whether there can be a unifying theory of adult education, or of education generally, then a furthering of the line of theorising begun by Knowles continues to be important. There were many influences on Knowles – all providing opportunities for further research. Two influences, in particular, had to do with relationships. Houle, Knowles’ academic mentor, and Hulda, Knowles’ wife, both exerted influences that were readily acknowledged by him. Given the importance Knowles attached to relationships, it would be illuminating to explore in detail the impact they had on his writing. Knowles, for instance, stated at one time that it was Hulda who was his “chief source of intellectual … moral and psychic, support” (1989, p. 30). It was also she who helped ensure that what he wrote was honest and without embellishment. Jahns (1973) wrote, concerning the first (1970) edition of The Modern Practice of Adult Education, “there is both relevance and mischief in this book” (p. 72). The reference to mischief had to do with Jahns’ perception of a “mythologizing of the practice of adult education” (p. 72) due to Knowles’ reliance on the notion of andragogy. Jahns appears to have been equating andragogy with something imaginary or fictitious. A study of such reactions to Knowles’ use of the term and his associated understanding of the concept could help clarify and explain some of the patterns of acceptance or rejection of andragogy in the adult-educational world. From Knowles’ point of view, there was nothing fictitious about the term. Andragogy was alive and well. The theory and technology were clear; “andragogy” provided the identifying label for something that Knowles was daily engaged in. Knowles’ writings indicated the seriousness with which he took the concept. A matter for research would be the extent to which he imposed his paradigm on the North American adult-educational world. Related to this is the question of Knowles as writer of history and Knowles as creator of history. His exposition of andragogy in 261 the classic texts of 1970, 1973 and 1975 allowed him, in 1977, to write of andragogy as having emerged within the field of adult education. Knowles wrote a history that he himself helped create. But who were the significant others in this history and what were their roles? A thoroughgoing schema for research would certainly include the matters raised above. There is an enormous body of documentary material relating to Knowles and his impact on the field of adult education. This thesis has touched only on the books written by Knowles. There are countless other opportunities for research. Hensley, Maher and Passmore (2001) hold that the wisdom of long-time adult educators continues to be needed. Knowles has left the adult-educational world with a legacy of theoretical expositions and manuals of practice. Ongoing research based on those works can help preserve the legacy. Knowles was conscious of the contributions he had made to the world of education. He viewed himself and his writings as “part of a long stream of events, ideas, and evolving institutional forms” (1989, p. 72). He saw his vocation as one of great importance and about which he could be proud. It had its contemporary existence but reached back into the past and allowed him to leave behind “a small footprint in the sands of time” (p. 72). Knowles had a very clear vision for the future. That vision has been preserved in his writings. In revising The Adult Learner, Holton and Swanson (1998b) expressed strongly their hope of seeing Knowles’ vision move into the next century. The possibility of that happening hinges on contemporary and future educators keeping Knowles’ writings before them. The continued publication of his works will help ensure that Knowles’ legacy is preserved and not lost to future generations.
Postscript: A Brief Personal Reflection I first came across Knowles when I enrolled in the Master of Education program at Queensland University of Technology in 2002. I was struck by a number of things. Firstly, compared with many educational writers, Knowles had a straight- forward and uncomplicated style. Andragogy was a new term to me but Knowles, I felt, explained well what he understood by it and how it might be applied. 262
I became aware of a degree of polarisation in the academic world concerning Knowles’ thinking and of the strength of feeling on the part of some who disagreed with him. One comment, in particular, stood out: I just resent the smugly self-righteous way in which Knowles seems to have cornered the market in respecting and empowering adults in education. Education is as much prone to “branding” as any other product, and this is one of the more blatant brands: like most brands, however, its “unique selling proposition” is, if not spurious, at best marginal. (Atherton, 2005)
It was easy to find both supporters and detractors, but one point that impressed me was Knowles’ non-defensive manner in the face of criticisms and his readiness to change his thinking when convinced of its necessity. It seemed to me that Knowles was the sort of writer one could engage with and that it ought to be possible to map out and trace his thought. This was despite Houle’s (1996) opinion about the “fluidity” of Knowles’ theories and the difficulty involved in summarising them. My intention was to write a history of the development of Knowles’ thinking. I did not know at first whether his thought could be linked to any discernible theoretical structure. Knowles’ ideas, for instance, could have been developing in a number of different directions without any overall framework that would give them cohesion. The view of many critics suggested that that was, in fact, the case. I would have felt content to have traced the development of Knowles’ thought and to have acknowledged, if necessary, the absence of any cohesive unifying theoretical structure. That conclusion was not to be. By the end of the study I felt a tremendous sense of satisfaction in having recognised that Knowles did possess a coherent conceptual framework, that its development was traceable and that it was capable of being visually depicted. To my knowledge, no writer or researcher has represented Knowles’ thinking in any similar way. Because Knowles did not always argue his case forcefully on his first attempts, it was easy to miss the significance of some of his thoughts. For example, in the first (1973) edition of The Adult Learner, he used cautious and tentative language in discussing learning theory models and how andragogy could function as a unified model for HRD. In the initial reading of The Adult Learner, the central importance of the learning theory models was not immediately apparent. It only 263 became that way as the study of the books progressed. By 1984 the link was clearer and, by 1989, there was no doubt about what Knowles was saying. Much of the satisfaction in writing the thesis came from the progressive piecing together of Knowles’ thinking. There was a constant returning to earlier works to reread and recheck for details that may previously have been missed or misunderstood. The picture of Knowles’ thought that has emerged is the result of this constant checking and rechecking. It may not be the only picture possible but it is offered as one that makes sense, is coherent, and free of inner contradictions. In putting together a coherent picture of Knowles’ theoretical framework and of the overall development of this thought, I would like to think that those who have not previously valued his work might feel constrained to look again at his writings. For those who have acknowledged their debt to Knowles, I hope that there might be a renewed appreciation of his legacy, a deeper and clearer understanding of his thought, and strengthened resolve for allowing Knowles to accompany them into the future. 264
APPENDICES
APPENDIX A
MALCOLM SHEPHERD KNOWLES: A BRIEF BIOGRAPHY
Many adult educators in North America have written about aspects of Knowles’ life and writings and some have done so appreciatively in the form of tributes following his death in 1997. This biography draws limited content from articles by Boshier (1998), Carlson (1989), Fiorini (2003), Henschke (1997), Jarvis (1998, 2001), Lee (1998) and Long (1998). The chief source of information is Knowles himself. The Making of an Adult Educator was written by Knowles in 1989, mid-way through his retirement. The writing of this book provided Knowles with an opportunity to reflect maturely on his life’s work and to put to paper much that had not been expressed elsewhere. While not sequentially written, it helps place his life in the context of the social and academic world in which he lived. Malcolm Shepherd Knowles was born on April 24, 1913 in Livingston, Montana. His childhood was spent in Missoula, Montana and later in West Palm Beach, Florida. It was the Montana upbringing that would later allow Knowles to speak of himself as a “frontiersman” and one who relished the risks of “being part of building something new and significant” (1989, pp. 124, 139). As an adult, he would come to see himself as one making important contributions to a “field still in the process of becoming” (p. 139). By the end of his lifetime, there would be many to attest to his achievements and to the success of his work. So Jarvis (2001) would write: As a teacher, writer and leader in the field, Knowles was an innovator, responding to the needs of the field as he perceived them and, as such, he was a key figure in the growth of the theory and practice of adult education throughout the Western world in the last century. (p. 157)
Early Years Knowles’ early school experiences were highly rewarding and contributed greatly towards the development of a healthy self-concept. His father, a veterinarian, was a man of compassion, fairness and generosity (Knowles, 1989). These attributes helped the young Knowles to recognise the worth of values generally and especially 265 to see the importance of behaving in a humane, honest and authentic manner. Both parents helped nurture a positive self-concept. Knowles’ mother provided a warm and affectionate home environment; her influence extended well beyond childhood. Knowles (1989) readily acknowledged that the degree to which he possessed a tender, caring and loving character was attributable to his mother’s influence. From his mother Knowles learned the importance of example and from his father, the importance of inquiry (Knowles, 1989). Both of these may be seen as pointing the way to a future role involving a close bond between scholarship and practice.
Harvard Years Despite the close bond between scholarship and practice exhibited in Knowles’ life, he preferred to speak of himself as “practitioner” rather than as “scholar” (Knowles, 1989, pp. 33, 99). He was, nevertheless, a high academic achiever and in 1930 won a scholarship to Harvard College. It was this that enabled him to begin his undergraduate studies. Knowles’ future interest in the history of adult education would be fuelled by his general history studies at Harvard. The overall program pursued by Knowles was liberal arts. In this he was able to focus not only on history but also on philosophy, literature, political science, ethics and international law (Knowles, 1989). A hallmark of Knowles’ professional life was his preparedness to admit to seeing the truth in a critic’s comments and to adapt his viewpoint accordingly (Jarvis, 1998). Knowles (1989) recalled how the teaching style of Alfred North Whitehead showed that inquiry could be an exciting adventure. Probably of more significance was Whitehead’s interest in exploring the meaning of truth. It would be the openness and honesty in recognising the truth of a critic’s argument that would characterise so much of Knowles’ life and work (Jarvis, 2001). Knowles (1989) recorded that at Harvard he was actively involved in clubs and offered his time for volunteer service. He had developed a deep faith in people and was concerned to do what he could to help those in need. He took on the role of activities adviser to early adolescent boys in Phillips Brooks House (which was Harvard’s social service agency). With the guidance and support of Knowles, all but one of the boys finished high school and many went on to college. Significantly, Knowles would later write, “I think I learned more about human motivation and self- actualization from this experience than I could have learned from any number of 266 courses” (1989, p. 5). This learning would take on considerable importance in future years.
Between Studies Knowles obtained his bachelor’s degree from Harvard in 1934 and, in the following year, married Hulda. Together, they would write two books: How to Develop Better Leaders in 1955, and Introduction to Group Dynamics in 1959. Hulda shared many of the values of Knowles; she was a great support and encouragement to him and it was from her that he learned much about the art of nurturing (Knowles, 1989). Hulda helped frequently as proof reader and copy editor. She reinforced for Knowles the importance of absolute honesty in writing and contributed significantly to his understanding of individual human behaviour. Malcolm and Hulda had two children: Eric, born in 1941, and Barbara, born in 1946. In the early 1950s the family became involved in human relations training and group dynamics (Knowles, 1989). In the 1960s Hulda became a professional guidance counsellor and “in-house consultant” to Malcolm. In 1974 she retired and was able to accompany her husband on many of his overseas trips. Knowles wrote appreciatively of her: “Hulda has been a constant source of both psychic support and substantive assistance during most of my life” (1989, p. 32). Long (1998) notes the characteristic quality of Knowles in being more dedicated to Hulda’s welfare than to fame or respect for himself. Knowles’ undergraduate studies were completed on a full-time basis. The 1930s were the years of the Great Depression and employment prospects were not good. Knowles did, however, obtain work in 1935 administering the study component of the Massachusetts National Youth Administration work-study program (Knowles, 1989). It was not his recent studies that paved the way for this work but, rather, his experience as activities adviser to the boys of Phillips Brooks House. Around 1937, during his time at Massachusetts, Knowles began to think of himself as an adult educator (Knowles 1984b). There were two individuals who were particularly influential in this respect. Knowles had met the social philosopher, Eduard Lindeman in 1935 (Knowles, 1987), and spent many hours with him discussing adult education. Dorothy Hewitt, director of the Boston Center for Adult Education and a member of Knowles’ advisory council, was also a major contributor to his understanding of adult education (Knowles, 1984b). 267
Knowles would say in retrospect, that although there was general agreement among adult educators that adults were different from youth as learners, “there was no comprehensive theory about these differences. The literature was largely philosophical and anecdotal and at most provided miscellaneous principles or guidelines” (1984b, p. 4). He did not, in the 1930s, plan to construct such a theory but he had, without consciously intending it, entered fully into the world of adult education (Knowles, 1989). It was not for him a marginal activity. By background and disposition, he was well-suited to the work and, as it turns out, his role as adult educator became his life’s mission. Knowles’ role with the National Youth Administration led easily to his taking on responsibility as Director of Adult Education for the Boston YMCA in 1940. He continued working for the YMCA in Boston (and also in Detroit for a short stint) until 1944 when he joined the US navy (Knowles, 1989). It was during his time in the navy that he “devoured all the books in print about adult education and started trying to work out a comprehensive theory about it” (Knowles 1984b, p. 4). Knowles remained in the navy for only two years, leaving in 1946 to return to the YMCA as Director of Adult Education, this time in Chicago (Knowles, 1989). His work as director ceased when he took on a new responsibility as director of the newly-formed Adult Education Association of the United States of America in 1951. The founding and managing of this organisation was the focal point for most of Knowles’ energies in the 1950s. From 1935 through to 1959, when he retired from the Adult Education Association of the United States, Knowles was fully employed.
Graduate Years Knowles (1989) described how his masters and doctoral studies were undertaken on a part-time basis, beginning in 1946 and continuing over a 15 year period. He understood the particular needs of adult students and saw how, in varying degrees, they were not always well-met in traditional institutions. It was during his masters studies and, while teaching at YMCA’s George Williams College in Chicago, that Knowles first came in contact with Arthur Shedlin, an associate of Carl Rogers, and began to experiment with being a facilitator of learning (Knowles, 1984d). It is significant that this contact occurred prior to the publication of his first work. 268
Informal Adult Education was published in 1950, 10 years before Knowles’ first university appointment. He had become used to studying and writing whilst holding down full-time employment. Some of the difficulties involved in the balancing of tasks would ease in 1960 when a new job brought together a number of responsibilities. Knowles gained his MA degree from the University of Chicago in 1949, and his PhD degree from the same institution in 1960 (at the age of 47). Following the conferring of his doctoral degree, a new phase in employment would begin.
The Professorial Years In 1960 Malcolm Knowles became Associate Professor of Adult Education at Boston University. In 1974 he moved to North Carolina State University as Professor of Adult and Community College Education and remained there until his retirement in 1979 (Knowles, 1989). During the professorial years, Knowles gained enormously in his understanding and practice of adult education. Over half of his major writings were published in these years. In particular, three key texts appeared: The Modern Practice of Adult Education (1970), The Adult Learner (1973) and Self-Directed Learning (1975). The academic years for Knowles provided the testing ground for much of his thinking. They allowed him to experiment with different innovations but, as he pointed out later (Knowles, 1989), the process involved awkward situations with university administrators. It is clear that by 1974 Boston University had moved away from its first enthusiastic reception of Knowles in 1960 and, similarly, by 1979 when Knowles had reached the age of retirement at North Carolina State University, no attempt was made to retain him (Carlson, 1989). The problem for both universities was due, at least in part, to andragogy’s challenge to traditional university ideology. As Carlson puts it: The fact that Knowles, with the help of a tiny adult education faculty members (sic), was supervising an extraordinarily large number of dissertations and theses … did not sit well with many Boston University academics who questioned the granting of degrees for self-directed, or as they might have termed it, undirected learning. (p. 225)
Another possible reason for the reluctance of the universities to retain Knowles is that some of his values were not truly appreciated by those who 269 employed him. He did have a self-concept of being warm, loving and caring and he tried to demonstrate this even within the formal confines of academia (Knowles, 1989). Such an approach did not mean necessarily that he would sacrifice academic standards or fail to attend to his own academic standing. Jarvis (2001) refers partly to this when he writes of Knowles, When a debate convinced him that elements of his position were untenable, then with characteristic openness and honesty he always responded by changing his position, although never changing his value system. This openness and humanity characterize both his writing and his person. (p. 157) The institutions would have gained much (as Carlson, 1989, suggests below) had they tried harder to retain Knowles on staff. That they did not is an indication that even as late as 1979, adult education was still seeking to define its methods and to establish a proper working identity.
Retirement It was the period following his departure from North Carolina State University, that Knowles (1989) recorded as the time he was most free to practise and advocate as he would choose. In retirement, he served as professor emeritus of adult and community college education at North Carolina State University; as a mentor for the Fielding Institute’s external degree program in human and organisational development; as national lecturer for the Nova University Center for Higher Education; as adjunct professor of the Union Graduate School; and as a member of the Task Force on Lifelong Education of the UNESCO Institute for Education (Knowles, 1989). Essentially, Knowles was free to engage in a new career of independent consultancy. Most of his work focused on self-directed learning and, interestingly, most of the institutions seeking his advice were colleges, community colleges and universities. During this phase of his life, Knowles built on and consolidated the growth he had made in previous years. He continued to write and to publish. Knowles had not been retained by his two previous universities but the consultancy company operated by him, according to Carlson (1989), “exerted more influence on adult education in North America than either of the universities which had been prepared to dispense with his services” (p. 231). Signs of the esteem in which Knowles was held included his inductions into the Human Resources Development Hall of Fame in 1985 and into the International 270
Adult and Continuing Education Hall of Fame in 1996. In the early 1990s, the Malcolm S Knowles Award was established by the American Association for Adult and Continuing Education. Also at this time, the University of Arkansas established the Malcolm S Knowles Scholarship fund (Henschke, 1997). These developments occurred during Knowles’ lifetime. Knowles had moved to Fayetteville, Arkansas in 1991. It was there that he died on November 27, 1997, aged 84 years. Eight years prior to his death, in The Making of an Adult Educator (1989), Knowles had reflected on the contributions he had made to adult education. He readily admitted a sense of enjoyment in “building something new and significant” (p. 139) and pride in being an adult educator. Knowles’ contributions are widely acknowledged in the world of adult education in North America. Huey Long (1998) recognises this in his tribute to Knowles. He recognises as well the qualities and character of a man whose impact was felt also at the personal level and whose contribution can be seen as extending beyond that of the merely academic: “his greatest contribution was to humankind through his personal influence in the lives of the men and women who knew him” (p. 63). Boshier (1998) notes simply, “he made an enormous contribution, without rancor and with immense goodwill” (p. 64).
Conclusion Malcolm Knowles exhibited in his life a close bond between scholarship and practice in the field of adult education. His contributions to scholarship are recognised by adult educators such as Boshier (1998), Lee (1998), Henschke (1997) and Long (1998). During his professorial years, however, his teaching and practice of andragogy challenged traditional university values to the extent that “when he reached the university’s standard retirement age of 65, no groundswell developed to retain him. He was required to resign” (Carlson, 1989, p. 231). Much of Knowles’ energies went into the writing and publishing of books. The books were written by Knowles in the context of the times in which he lived. His first book, Informal Adult Education was published in 1950 and written at a time when adult educators were addressing fundamental questions. Stubblefield (1988) writes of these educators: Others – always very few in number – wrestle with the more fundamental question of what kind of education adults should have. They are concerned 271
with societal needs and purposes, and not necessarily those of institutions. Always they work to find a unifying principle – usually with a vision of the good society – to give meaning and coherence to their efforts. Beginning in the second decade of this century and extending to the early fifties a few persons addressed this fundamental question. (p. 179) Malcolm Knowles was one such person.
Figure 6 shows the major phases in Knowles’ adult life and indicates how his writing career overlapped all the phases except for his undergraduate years.
Figure 6. Major phases in Knowles’ adult life.
(1900s) 30 35 40 45 50 55 60 65 70 75 80 85 90 95 | | | | | | | | | | | | | | |
| Publishing years |
| Retirement |
| Teaching years |
| Early Work |
| Grad Years | | AB|
| | | | | | | | | | | | | | | 30 35 40 45 50 55 60 65 70 75 80 85 90 95
(1900s)
Publishing years 1950-1995 Retirement years 1979-1997 Teaching years 1960-1979 Early work years 1935-1959 Graduate years 1946-1959 Undergraduate years (AB) 1930-1934 272
APPENDIX B
GENERAL LITERATURE REVIEW
The following literature review is intended to provide a broad overview of what educators have said about Knowles and to determine whether any writers have traced the development of Knowles’ thinking over the span of his writing career and, if so, whether a history of thought lens has been used as the framework through which to view his works. This review does not deal with Knowles’ thinking topic by topic or book by book because the systematic study of the books and the delineation of the major theoretical stances within the writings are the major tasks of the research project overall. In this review, Knowles’ books are touched on only in so far as they contribute to an awareness of the understandings of others in relation to Knowles.
The Influence and Importance of Knowles The character of Malcolm Knowles is recognised widely in the world of adult education. In the memorial article, “From Pedagogy to Andragogy”, Jarvis (1998) notes the characteristic honesty and openness exhibited by Knowles in the writing of his autobiography and reflected in other aspects of his life as well. Jarvis, who has expressed his own criticisms of the ideas of Knowles, recognises clearly the ability of Knowles to take the best from the new and then to incorporate that into his own understandings. Jarvis is gracious in what he says of the character of Knowles. He is not alone: similar comments are expressed also by writers such as Lee (1998), Boshier (1998), Bell and Friends (1989), Henschke (1997), Long (1998) and Feuer and Geber (1988). Bell (cited in Anonymous, 1998), refers to Knowles as one known as much for who he was as for what he did. Bell and Friends have no hesitation in affirming Knowles’ preparedness to learn, reflect, rethink and grow. There are many scholars who are prepared to express their gratitude to Knowles. Lee (1998) cites a number of such scholars. According to Feuer and Geber (1988), Knowles sparked a revolution in adult education and training. So significant have some considered this revolution to be that it is described in terms of a paradigm shift (Sawyers, 1994; McKenzie, 1977; Thompson & Deis, 2004; Lawson, 1997). Smith (2002b) speaks of Knowles as the first to chart the rise of the adult education movement in the United States, the first to develop a statement of informal adult 273 education practice, and the first to attempt a comprehensive theory of adult education. Henschke (1997) refers to this work as “defining” and contends that by it, Knowles “put the field of adult education on the map” (¶ 11). Knowles was “perhaps ‘the’ central figure in US adult education in the second half of the twentieth century” (Smith, Introduction section, ¶ 1). When Malcolm Knowles left North Carolina State University in 1979, his influence did not end. In the 1980s, selected American university professors ranked him, along with Lindeman, as one of the two most important contributors to the field of adult education (Fisher & Podeschi, 1989). His influence continued on into the following decade: Rachal (2002) contends that between 1996 and 2002, and apart from Freire, Knowles had more journal citations in the Social Sciences Citation Index than any other key adult educator. It is Fox’s (1998) belief that “regardless of what role you play in continuing education, Malcolm Knowles has influenced your actions” (p. 5).
The Educational Context and Intellectual Background In accounting for the widespread influence of Knowles, Feuer and Geber (1988) suggest that Knowles was “in the right place at the right time” (p. 32). By 1970 many trainers and post-secondary educators were seeking to move beyond Skinner (1968) and the behaviourist approach. The field of adult education was ready for a humanistic and learner-centred focus. There had been much debate about the importance of the learner vis-à-vis program design and both adult educators and trainers saw the ideas of Knowles as a ready means for establishing their own unique identity (Feuer & Geber). Jarvis (1998) notes that it was Knowles’ use and application of the concept of andragogy that provided the identity for adult education that was so desperately needed. In the early part of the twentieth century, the progressive educational theorists (Dewey, Montessori and Neill) exerted much influence. They had made a distinction between self-directed learning and teacher-directed learning (i.e., between progressive and traditional education) and it was this distinction that Knowles took up and further developed (Friedman, 2002). Knowles’ 1970 text, The Modern Practice of Adult Education: Andragogy Versus Pedagogy was the major work that launched this theme. 274
By the 1980s there was a trend developing for HRD models to draw heavily on the ideas and thinking of Knowles. This was accompanied by a continuing application and refinement by Knowles of the ideas he launched in 1970. According to Newman (2000), it was the use of Knowles’ andragogical model that enabled industry and management to mix the personal development needs of the individual with those of the organisation and society. As in the 1970s, Knowles again appeared to be in the right place at the right time. Smith (2002a) mentions four main forces operating at different times in twentieth century North American educational debates: the liberal educators; the scientific curriculum makers; the developmental, person-centred theorists; and the social meliorists. With some allowance for overlap, he places Knowles in the third category. The literature shows that Knowles is positioned among the developmental person-centred theorists but that he has been influenced by individuals within other traditions. Knowles readily acknowledges his sources and intellectual heritage. In The Making of an Adult Educator (1989), he supplies some details. His major early influences include Lindeman, Thorndike, Overstreet, Houle and Rogers. Carlson (1989) notes that as early at 1950, Knowles had appropriated from Overstreet the concept of maturity. For Overstreet (1949), responsibility for growth in maturity rested on both the individual and the process of education. Knowles (1950) looked to adult educators as the ones who would accept the onus. Much earlier, as an undergraduate student at Harvard, Knowles had recognised the importance of wrestling philosophically with notions of truth; this was as a student under the philosopher Whitehead. The notions of change and maturity combined with the act of wrestling with fundamental issues would inform much of the development of Knowles’ subsequent work. The literature is broadly supportive of the view of Davenport (1993) who sees an eclectic Knowles: one who took the general philosophy and theoretical framework from Lindeman and then added support from adult education, progressive education, developmental psychology and humanistic psychology. It is true, as Knowles acknowledges, that both Rogers and Maslow had a profound impact on his thinking. But it was Lindeman who, for a quarter of a century, acted as the chief source of inspiration (Knowles, 1989). McKenzie (1979) observed, “Dewey begot Lindeman and Lindeman begot Knowles” (p. 258). If this sequence is added to Knowles’ 275
Christian humanitarian idealism (Jarvis, 1998), then it becomes possible for a particular intellectual structure to form, out of which would emerge concepts and themes unique to Knowles and thoroughly grounded in the ongoing process of struggling for the truth.
A Delineation of Themes The literature recognises the overarching dominance of andragogy as a theme in Knowles’ writings (eg Boshier, 1998; Carlson, 1989; Davenport, 1993). Fiorini (2003), in her Personal Vita of Knowles, lists a number of subject areas associated with Knowles which could be seen as reflecting his broad range of interests as follows: The Adult Education Association of the USA; adult learning; andragogy; history of adult education; humanistic psychology; informal education; learning contracts; lifelong education; and self-directed learning. Knowles’ interests were both theoretical and practical. Identifying Knowles’ theoretical concerns and perspectives as they are disclosed within the writings and giving an account of their development is the overall aim of this research. The literature (e.g., Smith, 2002b; Fox, 1998; Lee, 1998) also recognises the importance of three key texts in explicating these themes: The Modern Practice of Adult Education (1970), The Adult Learner (1973) and Self-Directed Learning (1975). Smith (2002b) makes the point that andragogy was an attempt to build a comprehensive theory of adult learning that is anchored in the characteristics of adult learners rather than in ideas about adult life situations or changes in consciousness. Despite the considerable work of Knowles, Houle (1992, p. 69), a former mentor, does not consider that Knowles should receive the prize for the best effort at building a complete and coherent framework. Fox (1998) sums up the opinions of many writers by referring to andragogy as a philosophy of education offering assumptions and principles which place the learner and the needs of the learner at the centre of the educational process. Newman (2000) reinforces the importance of the concept of learner needs for Knowles in relation to the individual, organisations and communities. According to Jarvis (2001), Knowles would want adult education to be free to respond to learner need wherever it is discovered. Of interest and significance is the remark he makes that Knowles’ model is “a free-market needs model of adult education provision … 276 and globalization has shown that his sense of future of adult education was correct” (p. 147). Despite the social dimension of need, the educational process for Knowles was so strongly individualistic that it did not inherently lead participants to agendas beyond themselves (Fisher & Podeschi, 1989). Smith (2002b) recognises that Knowles’ focus was not on social change. He maintains that the basic trajectory of Knowles’ thought remained fairly constant throughout his career. This point is echoed by writers such as Rachal (2002), Lee (1998), Delaney (1980) and others. The literature recognises some long-term or core themes in the writings of Knowles. The importance and centrality of the individual learner is one. In addition, possible sets of core themes include: learner control and learner discovery (Bell & Friends, 1989); self-actualisation, child-adult learning differences, a specialised clinical model implicit in andragogy (Tennant, 1986); and informal education as an overall organising idea (Smith, 2002b). In 1950 Knowles wrote Informal Adult Education. This was a precursor to The Modern Practice of Adult Education (1970). In the 20-year interval between the writing of the two books, Knowles shifted his emphasis from the mature mind concept he had derived from Overstreet to the Knowlesian notion of andragogy. In making a distinction between andragogy and pedagogy, he was essentially emphasising “the implications which derive from the autonomy of adults as compared with the tutelage of pupils” (Chadwick & Fielden, 1979, p. 6). In The Making of an Adult Educator (1989), Knowles openly acknowledged the evolution of his thought and the subsequent impact that that had on his writings. Many critics, however, do not recognise such developments. Rachal (2002), for instance, contends that Knowles did not substantially modify his definition of andragogy over the 27 years following the first publication of The Modern Practice of Adult Education in 1970.
Criticisms Mark Tennant (1986) has made a number of criticisms of the work of Knowles. He contends that much of the language about the individual used by Knowles is socially constructed and therefore susceptible to misinterpretation. He questions the validity of the andragogical assumptions as well as the clinical model implicit in the theory. For Tennant, the blending of elements from humanistic psychology and behavioural psychology create their own set of problems. This 277 applies especially in relation to the diagnosing of needs. He also challenges the notion that adults have both a need and an ability to be self-actualising. St Clair (2002) raises similar points. Tennant (1986) concludes that Knowles’ ideas about self-direction, self- development, meeting of needs and the learning contract have not been fully articulated. Jarvis (2001) reinforces this point and makes the additional qualifications that the relationship between contract learning and andragogy has not been spelt out and that in all of his work Knowles has tended to be descriptive rather than analytical or critical. Smith (2002c) maintains that the empirical base for the andragogical assumptions is weak. He acknowledges that the studies that have been undertaken so far have been small and that applying their findings across different cultures is problematical. Smith also argues that the tenets of humanistic psychology are so culturally bound that they do not help the cause of andragogy. Davenport (1993), like Smith, reports that some of the major 1980s studies have failed to provide strong backing for andragogy. Because of this weak research base, it is Tennant’s (1997) contention that the following notions should not be uncritically accepted: that adults are basically self-developing; that self-direction is grounded in our constitutional make-up; that self-development leads to a higher level of existence; and that adult learning is fundamentally different from child learning. Part of the problem, as argued by Smith (2002b), is that Knowles has failed both to look through the lens of a coherent conceptual system and to adequately interrogate the literature. Hartree (1984) is convinced of the need for conceptual clarity. She is adamant that Knowles’ ideas have to be philosophically and psychologically defensible if they are to be accepted. She contends that a theory of adult learning should say how adults learn, what they learn (in those situations where this differs from children) and why they learn. Davenport adds that the theory should not only explain; it should also predict. Jarvis (2001) sums up the feeling of many scholars when he says that the idea of adult education as a separate field of study cannot be sustained without a strong conceptual basis.
The Hermeneutical Problem Overall, the 1970s debates tended to focus on small pieces of the andragogy puzzle (Davenport, 1993). The criticisms took on more depth in the 1980s but, 278 nevertheless, continued to focus on particular issues. A major reason for the fragmentation was that terms were not always defined by Knowles in such a way as to avoid confusion and misunderstanding. Jarvis (2001) and Hartree (1984) refer to basic terms like “theory”, “andragogy”, “pedagogy” and “needs” as requiring understanding and explanation. Hartree argues that closer scrutiny of Knowles’ theory does not really remove the difficulties. She maintains, for instance, that when Knowles speaks of the relationship between adult and child it is not clear whether the differences are of kind or degree. As well as that, concerning the status of the andragogical assumptions themselves, she asks, “are they to be read as descriptive of the adult learner or would it be more accurate to see them as prescriptive statements” (p.205)? It is Tennant’s (1997) view that the main difficulty with the andragogical model and the learning contract is that they can be interpreted in a number of ways: as a guide to assist adult learners towards self-direction; as a process of learning for adults who are already self-directing; or as a means to reconcile individual and institutional needs. But this also raises the question about whether the model is to be understood as a theory of learning, a theory of teaching, or simply as a set of assumptions (Hartree, 1984). The further question about whether the model represents a foundational theory of adult education has mostly been answered in the negative by reviewers of Knowles’ work (Feuer & Geber, 1988). Cross (1981) summed up a number of the issues: The visibility of andragogy has heightened awareness of the need for answers to three major questions: (1) Is it useful to distinguish the learning needs of adults from those of children? If so, are we talking about dichotomous differences or continuous differences? Or both? (2) What are we really seeking: Theories of learning? Theories of teaching? Both? (3) Do we have, or can we develop, an initial framework on which successive generations of scholars can build? Does andragogy lead to researchable questions that will advance knowledge in adult education? (p. 228)
St Clair (2002) observes, “like any theoretical perspective, andragogy reflects both the context of its conception and the convictions of its creator. Illuminating this background can help educators to engage with andragogy more fully” (p. 3). Such an illumination is part of the hermeneutical process. Looking at the responses Knowles has made to criticisms is a further aid in the same process. Even so, Jarvis’ (1998) belief that Knowles always seemed committed emotionally and practically to the 279 andragogy-pedagogy distinction, despite intellectually acknowledging the over- simplification, means that the attempt to understand his thinking and to portray it accurately will not always be easy. Focusing on the whole as well as on the parts is one of the principles followed in carrying out the study. The assumptions lying behind the hermeneutical approach and details of the methodology are discussed in Chapter 2.
Responses to the Critics When Knowles revised his Modern Practice of Adult Education in 1980, he recognised the considerable debate that had taken place following publication of the 1970 edition. The new subtitle read, From Pedagogy to Andragogy but there was little sustained exploration of the meaning of andragogy in that revision. Knowles did explain that andragogy was to be seen as another set of assumptions about learners and was to be used alongside the pedagogical model of assumptions, thereby giving two alternative models. Friedman (2002) sees this development as similar in kind to the progressive educational theorists who first made the distinction between progressive and traditional education. In response to the various criticisms, a clear evolution of thought is observable. Some responses, however, would not be made. Carlson (1989) retrospectively evaluating Knowles’ work, noted that he did not challenge middle class norms or the status quo or an exploitative hierarchical society. There had also been many challenges about the use of an uncritical ideology of individualism. Speaking for Knowles, Boshier (1998) remarks, “Malcolm did what he did and can’t be responsible for not doing what he never intended to do” ( ¶ 3). Knowles did remain faithful to Whitehead’s deliberations on truth and there are many writers (such as Bell & Friends, 1989) who are prepared to recognise how he placed truth before pride: that he willingly accepted being wrong as a natural consequence of his seeking. One of the major criticisms of Knowles’ work is that it lacks a rigorous empirical research base. Knowles addressed that issue along with a number of others in The Making of an Adult Educator (1989). Details of the theory and research which provided preliminary support for his thinking were set out in the four editions of The Adult Learner. 280
Monts (2000) examined five studies which attempted to test the efficacy of andragogy but concluded that the findings were ambivalent and that there was a continuing need for research. Cyr (1999) and Rachal (2002) have reported on the literature over the last 30 years, and they give slightly different opinions. Cyr, who looked at the theoretical literature, concludes that the 1977 to 1986 literature (e.g., Brookfield, 1985; Long, 1983) is largely supportive of Knowles in relation to the characteristics of adult learners. The 1990s authors she cites (e.g., Merriam, 1996) appear also to support the 1970s and 1980s literature – but with qualifications. Rachal, who looked at the empirical record, found that most of it was in the form of dissertations. Most of the studies occurred from the mid 80s to the mid 90s, with only one occurring between 1997 and 2002. His finding is that the evidence is inconclusive: the studies have mixed results and often show no significant difference.
Published Theses and Dissertations Some published theses and dissertations have focused on Knowles but the ones most closely related to the present study have had a strong philosophical or biographical interest. In particular, Marti Sopher (2003) looked closely at the background social and philosophical context of Knowles’ times; Lindell Sawyers (1994) conducted a comparative study of the philosophies of Knowles and Freire; James Cooke (1994) produced a biographical study; and Evelyn Martin (1982) looked at the influences of Vincent, Knowles and Lindeman on the philosophical development of adult education. Prior to 1982, John Henschke (1973) had examined the contributions made by Knowles to the theory and practice of adult education and Eskridge (1978) had classified Knowles’ literary contributions (up to 1978) according to a researcher-devised taxonomy. Eskridge did not attempt to trace the historical development of those ideas. To date, a history of thought lens appears not to have been placed over the writings of Knowles.
Future Research It is Rachal’s (2002) contention that research on andragogy has stalled because of the current muddle of definitions. He stresses the need for consensus on the meaning of terms and maintains that researchers have an obligation to examine the validity of a theory which has had a pervasive influence in adult education over 281
30 years. Rachal does not consider that adult educators have lost interest in andragogy. For him, it is the absence of an operational definition that is the problem. The view of Jarvis (2001) is slightly different. For him, the development of research into experiential learning and lifelong learning has made redundant many of the concerns of andragogy. St Clair (2002) adds three further points: that the learning theory relating to contemporary communities of practice de-emphasises individual learners; that there is a contemporary recognition of diversity and the need for a multiplicity of practical and theoretical approaches; and that HRD practitioners have reframed the andragogical model to more fully account for contextual factors.
Conclusion Malcolm Knowles has had a major impact in the field of adult education. His intellectual sources are documented but the literature says little about the broader social and historical background. Andragogy as an overarching theme is recognised but the articulation of subordinate themes and their links with andragogy are not always clear. Concern has been expressed declaring the absence of a coherent conceptual framework and the difficulty in understanding the meaning of many terms. Although Knowles’ thinking has evolved, there is continuing uncertainty about how to understand him. There is considerable theoretical literature on adult education but limited and inconclusive empirical research on the efficacy of andragogy. Missing from the literature is a treatment of Knowles’ works that looks at the development of his thinking overall and which tries to show how the separate writings are related to each other. There is no systematic book by book study aimed at achieving a sequential disclosure of Knowles’ thought and no use of a history of thought lens to view Knowles’ writings and to plot the development of his thinking. 282
APPENDIX C
DISAGREEMENT ABOUT THE NUMBER OF BOOKS WRITTEN BY KNOWLES
As noted in Chapter 2, there has been disagreement about the number of books written by Knowles. Some commentators understand the total to be 18 (e.g., Fox, 1998; Fiorini, 2003) while others give the count as 19 (e.g., Lee, 1998; Henschke, 1997). The difficulty appears to relate to different reckonings by Knowles himself. The Making of an Adult Educator (1989) suggests 19, Designs for Adult Learning (1995), suggests both 18 and 19, and in a list of books supplied by Knowles to Sopher (2003), the count appears to be 19. In The Making of an Adult Educator (1989), Knowles stated, concerning his first and subsequent books, “My first, was published in 1950 under the title Informal Adult Education. In the thirty-seven years since then I have written 16 books and 191 articles” (p. 28). The 16 books plus Informal Adult Education (1950) and the two final works, The Making of an Adult Educator (1989) and Designs for Adult Learning (1995) bring the total works to 19. In Designs for Adult Learning (1995), Knowles wrote, “My first book, Informal Adult Education, was published in 1950, and my latest, The Making of an Adult Educator, in 1989. I have published 17 books – two of them coauthored with my wife – and have published 230 articles” (p. iii). If the final work, Designs for Adult Learning, is added to the list, the count becomes 18. On the back cover of that work, however, is a note stating that Knowles “has written eighteen other books”, presumably not counting Designs for Adult Learning. Knowles did not list his works in the 1989 and 1995 passages cited above. However, in a partial list of books supplied in 1994 by Knowles to Sopher (2003), Knowles included his 1962 history, The Adult Education Movement in the United States, and its 1977 revision, as separate entries (See Sopher, pp. 483-485). This could explain the count of 19 given in The Making of an Adult Educator (1989) and on the back cover of Designs for Adult Learning (1995). The 1962 and 1977 histories have different titles but are, in fact, different editions of the same book. This thesis accepts a count of 18 as the total number of first-edition books written, co-authored or edited by Knowles.
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APPENDIX D
POSSIBLE ALTERNATIVE METHODOLOGIES AND METHODS FOR THE RESEARCH
PROJECT
This study has aimed to analyse historically the development of thinking in the writings of Malcolm Knowles. The major tasks were to expose the thinking, to account for its development and to plot an overall narrative sequence. Using Crotty’s (1998) research process schema, and naming each of the four elements involved, the thesis so far described used hermeneutical methods as a means for comparing data within the scope of the broader literature research process or design. That process was informed by an interpretivist and historical lens or perspective, and relied for its knowledge base on a constructionist epistemology. The data were made up of the 25 works authored, co-authored, edited, reissued and revised by Knowles over the 46- year period from 1950 to 1995. Given the preceding comments, the use of alternative methodologies would have been difficult. In relation both to the main objective and to the specific objectives, the study needed to maintain the literature research design as well as the overall historical perspective. There is considerable inconsistency in the way terms are used in the literature. Many writers in the educational and social science fields use the expression “archival research” to include the literature research methodology. Mason and Bramble (1997) and Dane (1990) are among those who do. They distinguish archival research from other designs such as survey, field, historical, action, experimental and quasi-experimental research. It is clear from the design options available that this study needed to retain its archival research methodology and not be replaced by other designs. There was limited scope for the use of an alternative set of analytical methods. Traditionally, in the exposition and interpretation of religious literature, hermeneutical methods have been employed. Within the range of analytical methods available to researchers, Mason and Bramble (1997) include hermeneutical analysis, critical analysis, content analysis, historical analysis and interpretive analysis. They distinguish content analysis from hermeneutical analysis by describing the former as an interpretation of text within its existing context; and the latter as an interpretation of text within the context of its creation. Content analysis could constitute a very limited set of alternative methods. 284
Best and Kahn (1998) state that the concepts and beliefs of a writer can appropriately be determined by the use of content analysis. Dane (1990) explains that changes in content over time can be measured, as also can the relationship between author characteristics and content. Within Knowles’ writings it would have been possible to use content analysis to investigate the emergence of particular words or concepts as well as the disappearance of words and concepts over time or through the course of the different editions of texts. It would also have been possible to investigate the development of ideas through the detection of changing words associated with themes and concepts. This investigation could have been applied over the whole period of Knowles’ academic life or over the course of different editions of key texts. The overall problem with content analysis is that the procedures would have to have been applied to the writings as they currently existed; yet there remained a need to move the analysis to the context in which the writings were composed. One partial solution would have been to compare findings and word counts in relation to key historical events in North American political and social life as well as to key events in Knowles’ personal and academic life. Even so, the focus was still too narrow. The task of determining how the development of Knowles’ ideas was affected by the broad range of social, historical, biographical and intellectual factors was beyond the scope of content analysis. If content analysis were to have been adopted as the sole analytical technique, it would have required a narrowing of the research problem to meet only one of the specific research goals (that of exposing the theoretical content of Knowles’ writings). The study would also have taken on a quantitative aspect and would have required the use of computer scanning devices and software programs as well as the development of content categories and a coding system. Data collection would have remained unchanged but considerable interpretation of findings would still have been required. The internal meaning of a text cannot be known independently of the author’s intention or of the reader’s reception of the text (Scott, 1990). The production of the text and its effects on the reader continue to have bearing on interpretation. For these reasons Scott (1990) remarks, “the message an audience takes from a text will not necessarily be that which content analysts or semioticians have discovered within it” (p. 33). 285
For the analysis of free-flowing text, Ryan and Bernard (2000) supply detailed descriptions of a number of techniques and methods; however, many of the difficulties previously mentioned, including what Scott (1990) says of content analysis, might equally be applied to these methods. The use of hermeneutical methods within the framework of a literature research design had the advantages of providing a readier means for avoiding problems of method, a more satisfactory focus on author and context and a greater likelihood of meeting all of the research objectives. 286
APPENDIX E
SEQUENCE OF SIGNIFICANT NEW CONTENT OR CONCEPTUALISING IN KNOWLES’
WRITINGS FROM 1950 TO 1995
Informal Adult Education Informal adult education (1950) Learning as an internal process The ability of adults to learn Growth towards maturity as the goal of every individual Education as a means for developing individual potential People more important than things. The importance of democracy Urgent need to rebuild civilisation Leadership Principles of group-centred leadership Principles of adult teaching The teacher as facilitator, learner and leader Involvement of the learner in the teaching- learning transaction Group discussion as the basic method of adult education Promotion of adult education Practical and theoretical help for adult educators Teaching Adults in Informal Courses (1954)
How to Develop Better Teaching of leadership skills Leaders (1955) A model for leadership development Principles for supervisors Group self-training Functions of the leader as trainer
Introduction to Group The theory and technology of group Dynamics (1959) dynamics The need to adapt to change
Handbook of Adult A mapping of the field of adult education Education in the United Typology of adult learning programs States (1960) Perception of a distinctive body of knowledge and techniques beginning to emerge in adult education
287
The Leader Looks at Self- Leader self-development Development (1961) Basic knowledge hierarchy and leadership competencies Principles of learning and self-development: a beginning set of learner-focused adult learning principles Identification of learning with self-inquiry
The Adult Education Order, direction and co-ordination in adult Movement in the United education States (1962) Expanded definition of adult education Three unique characteristics of adults as learners: experience, purposes for learning, and use of time New assumptions for the education of youth Educative communities A vision of all of education becoming a unified lifelong education movement Lifelong learning as the only insurance against human obsolescence
The Leader Looks at the Four characteristics of adult-child learning Learning Climate (1965) difference: self-concept, experience, readiness to learn, and time perspective Differences related to assumptions about learning – not objective differences Proposal for a common (adult-child) approach to learning
The Professional Nurse Nurse education Looks at the Learning The need for continuing professional Climate (1966) development
The Professional Nurse Looks at Self-Development (1966)
288
Higher Adult Education in Institutions of higher adult education the United States (1969) Adult education seen as moving into the phase of an organised social system Four adult-child learning assumptions: self- concept, experience, readiness to learn, and orientation to learning. Application of the term “andragogy” to the learning assumptions Perception of lifelong learning influencing elementary and secondary education Survival of higher adult education in the universities The leadership function of American higher adult education
The Modern Practice of Subtitle, Andragogy Versus Pedagogy Adult Education (1970) No longer useful to distinguish between formal and informal courses First clear presentation of Knowles’ developed conceptual framework Andragogy as a comprehensive theory of adult learning Pedagogy defined as the “art and science of teaching children” Andragogy defined as the “art and science of helping adults learn” The theory of andragogy described in relation to the meeting of needs (individuals, institutions, society), the teaching-learning transaction (including the 16 principles of teaching and their associated conditions of learning), and the four andragogical assumptions The technology of andragogy described as a seven-step methodology for applying the theory Facilitating and counselling as specific sets of andragogical processes The counsellor as one who helps learners engage in an integrated, sequential program of lifelong learning The adult educator as change agent The adult educator as one who helps individuals identify learning as a lifelong process and acquire the skills of self- directed learning 289
Introduction to Group Dynamics (Rev. ed., 1972)
The Adult Learner (1973) Research support for the theory and technology of andragogy. Pedagogy as the “millstone” of education Pedagogy as reactive learning. Andragogy as proactive learning. Pedagogy as a content model Andragogy as a process model Tabular presentation of the andragogical and pedagogical assumptions Classification of learning theory models Mechanistic, pedagogical and andragogical models as points on a continuum A beginning model of lifelong education Taxonomy of life roles and competencies minimal list of learning skills required by youth Andragogy as a unified model for HRD
Self-Directed Learning Self-directed learning as a learner-initiated (1975) process involving five of the andragogical phases Self-directed learning not the same as learning in isolation Contract learning as a major strategy for implementing the andragogical phases Andragogy defined as “the art and science of helping adults (or, even better, maturing human beings) learn” Andragogy as self-directed learning Pedagogy as teacher-directed learning Motivation as a new andragogical assumption Procedural skills for facilitators. The development of self-directed learners as a goal of the facilitator
290
A History of the Adult Andragogy as “having emerged” Education Movement in the Andragogy as “the art and science of helping United States (Rev. ed., human beings learn” 1977) Lifelong learning as the central organising concept for all education Teachers of the future as facilitators and resource persons of self-directed lifelong learners
nd The Adult Learner (2 ed., Andragogy as adult educational “glue” 1978) Andragogy linked to lifelong learning as a “unifying theme for all of education” The origins and use of the term “Andragogy”. Core competencies for adult educators.
The Modern Practice of New subtitle, From Pedagogy to Andragogy Adult Education (Rev. ed., Pedagogy as ideology 1980) Andragogy as “another model of assumptions”
rd The Adult Learner (3 ed., Definition of HRD 1984) A model for creating lifelong learning resource systems Andragogical phases adapted to form a lifelong learning process Skills for self-directed learning The need to know as a new andragogical assumption Ideology as a critical factor in distinguishing between andragogy and pedagogy Leaders as controlling or releasing
Andragogy in Action (1984) Andragogical case studies Andragogy and pedagogy as “parallel” models Pleasure and humanness included among the characteristics of a healthy psychological climate Andragogy as an evolving and flexible model for a new educational world 291
Using Learning Contracts Links between contract learning and the (1986) andragogical assumptions Contract learning not suitable for all situations Andragogy as a comprehensive theoretical framework that included self-directed and lifelong learning
The Making of an Adult Knowles’ reflections on his life Educator (1989) Knowles’ philosophy Andragogy as a “general theory about learning” Learning contracts not essential for self- directed learners “Straight indoctrination” sometimes appropriate Some people incapable of becoming self- directed learners Adult illiteracy as adult education’s new “millstone” Continuous, self-directed, lifelong learning as the highest competence of future citizens
The Adult Learner (4th ed., 1990)
A History of the Adult Education Movement in the United States (reissue, 1994)
Designs for Adult Learning Course outlines and designs (1995)
Note. References to lifelong learning are shown in bold print. A blank space next to a book title indicates that no significant new conceptualising occurred in that book. 292
APPENDIX F
BACKGROUND TO THE WRITING OF INFORMAL ADULT EDUCATION
In 1950 Knowles published his first book, Informal Adult Education. In the field of adult education, the period 1920 to 1950 was a time of intellectual ferment (Stubblefield, 1988; Knowles, 1977). This appendix sets out some of the background concerns that had bearing on Knowles’ thinking as he approached the writing task. It draws on Knowles’ personal recollections and on his accounts of the history of the period as well as on selected secondary sources. The aim is to allow contextual factors to become apparent and thereby to establish the background in which Knowles began his writing career.
The Broad Background Knowles came to the task of writing Informal Adult Education (1950) with a number of developing convictions and in the context of the broader evolution of thought that was occurring in the educational world of North America. The field of adult education was not unanimously defined but there was an active intellectual climate with new and diverse ideas circulating. Neither the ideas of Knowles, nor his steps as an adult educator, were set in advance. He was exposed to people and events “by happenstance” (as he would say in 1989) but it was his particular genius to “take the best from the new and incorporate it into his understanding of what was happening” (Jarvis, 1998, p. 23). In the period between the end of World War I and the 1950s, the work of adult education theorists in the United States focused on society’s unmet learning needs (Stubblefield, 1988). There was, among the early theorists, a search for a unifying principle. Stubblefield identifies three traditions involved in this search: the diffusion of knowledge and culture; liberal education; and social education. All three worked on the assumption that “learning in adulthood could no longer be left to chance” (Stubblefield, 1988, p. 173). The issues, according to Stubblefield (1988), included the nature of adult education; aims to be accomplished; content and methods; and the relationship of adult education to society. These were the common concerns. The traditions were ways of viewing the concerns. Knowles began his writing at a time when the traditions were being established – and Stubblefield argues that all subsequent adult 293 education has been conducted within or in reaction to these traditions. A conception common to all three was the notion of education as a continuous process through life. It was certainly Dewey’s (1916) conviction that education was a process of growth continuous through life. But this idea did not begin with Dewey. Grattan (1955) points out that education had been regarded by Plato as a lifelong process and that Plato had further held that there were some subjects that could be studied profitably only by mature men and women and, as well, that it was the state that should be the educator, and not merely the supporter of education. In subsequent years, Knowles would come to build on these ideas. Reflecting on the history of education, Knowles (1989) contended that by the time modern public schooling had emerged, few educators had retained any real awareness of the ideas of Plato. He saw schools as adopting a pedagogical model based more on the medieval monastic education of boys than on the ancient antecedents. He was, however, deeply impressed by the efforts of Benjamin Franklin whom he regarded as North America’s “first patron saint of adult education” and “first visible role model of the concept that learning is a lifelong process” (p. 63). Underlying this praise was the conviction that the American compulsion towards self-improvement and continuing education bore the clear imprint of Franklin’s influence. The chief expressions of the adult education compulsion that emerged by the 1920s and 1930s in North America are listed by Kett (1994) as follows: private study; mutual improvement; mechanics institutes; lyceums; chautauquas and women’s clubs; university extension; evening colleges; correspondence schools; adult institutes; corporate training programs; and community college adult classes. Together these expressions helped build an adult education culture marked by the extent of its spread across the country and characterised further by its voluntarism, its new forms and methods and its movement away from general knowledge to areas such as citizenship and Americanisation, public affairs, vocational education and health (Knowles, 1977). Importantly, government had become increasingly involved in the development of adult educational opportunities but the difficulty – of which Knowles would later become aware – was, as Kett (1994) observed, that “adult education had achieved a status at once vast and marginal. Its marginality was the product of several factors, not the least being its self-conscious detachment from established 294 institutions of education” (p. 401). Adult educators were not concerned with the status of degrees or diplomas. Their focus was on small, spontaneous settings and the provision of immediately useful types of knowledge (Kett, 1994). That focus would change in the period following World War II.
The Great Depression Malcolm Knowles began his undergraduate studies at Harvard in 1930. This was the beginning of the Great Depression. Employment was hard to find and the attention of many educators began to focus on the needs of those aged 16 to 25 (Kett, 1994). Significantly, as Kett points out, adult education became more civic and therapeutic, rather than intellectual and individual: it became a way to assist people to feel better about themselves and their communities. Despite, or perhaps because of, the increased interest in education, many adult educators scaled down their expectations of the public’s capacity for serious intellectual exchange and even for serious reading. The need to address illiteracy and lack of commitment to learning was recognised by adult educators and this concern was carried over into the war years and the immediate post-war period (Kett, 1994). Knowles entered the academic world at a time of great change. He would look back from a future vantage point to see the entire period 1921 to 1961 as an era moving from crisis to crisis: the dislocation of World War I, the 10 years of prosperity following the war, the 10 years of the Great Depression, the further dislocation of World War II and the forward rush of technological and economic expansion (Knowles, 1977). He regarded all of this as creating a need for massive re- education and training. It was the Depression that very early on settled some issues. The reality of poverty, the need for social services and Knowles’ own experience of the importance of human motivation and self-actualisation led easily to the development of an attitude of concern for the quality of people and their lives over the quality of what they produced (Knowles, 1989). This concern would remain with him throughout his life and would inform much of what he subsequently wrote and did. It was during this period, also, that Knowles determined that experience might be more important in employment situations than academic qualifications. He had become exposed to some of the “rebels from the lockstep curricula of academia” (1989, p. 9). These 295 rebels, and others, would lead him to question some of the accepted wisdom and to begin the process of making his own distinctive contributions.
Exposure to New Ideas: Some Clear Sources In The Making of an Adult Educator (1989), Knowles recorded details of his intellectual sources. In 1935, he had come across the work of Thorndike, Bregman, Tilton and Woodyard (1928). Their text, Adult Learning, directly challenged some of the prevailing opinions about adult learning and pointed straight to the possible enormous increase in the capacity of the individual to learn. According to Kett (1994), the preponderance of opinion among psychologists between 1890 and the late 1920s (e.g., Hollingworth, 1927) did not support such a view. The prevailing belief was that new ideas had to be acquired before the age of 25 (Kett, 1994). Hollingworth made clear his belief that mental decline began prior to the age of 30 in Mental Growth and Decline which he published in 1927. Against this view, Thorndike et al. (1928) established that adults up to the age of 45 were not too old to learn. They presented evidence to suggest that adults over the age of 55 did experience a decline in their ability to learn but they were reluctant to make any direct link between ageing and learning capacity: at some point up to the age of 90, “the inner developmental forces which make the ability to learn wax give place in most persons to other inner influences which make it wane. But the time of their onset and the course they pursue is not known” (p. 131). Knowles’ curiosity about adult learners was aroused. In 1935 he read Eduard Lindeman’s The Meaning of Adult Education (1926b). It was this text that he would later describe as being his “chief source of inspiration and ideas for a quarter of a century” (Knowles, 1989, p. 8). Engaging with Lindeman helped Knowles to explore the meaning of adult education, its broad social aims, the unique qualities that adults bring to their learning and the methods most appropriate for them. So indebted to his mentor was Knowles that Lindeman is described as “the prophet of modern adult educational theory” (p. 8). One of the most significant points made by Lindeman (1926b) and one that would have a major impact on the subsequent thinking of Knowles was the conviction that life’s meaning resides in the goals that people set for themselves. Lindeman held that individuals did not need to study subjects per se; they needed rather to look at the goals they had set for themselves and how they might overcome 296 obstacles to their self-fulfilment. In this context the teacher would function as an informal learning guide. It was from Lindeman that Knowles discovered the importance of adults defining their own goals, choosing their own methods and resources (including the experiences they brought to their learning) and organising the learning around life-tasks or problems. These points constituted the seeds of a future foundational theory of adult education (Knowles, 1989). Lindeman had declared, “adult education calls for a new kind of text-book as well as a new type of teacher” (p. 122). The challenge would not be lost on Knowles. Lindeman (1926b) maintained that adult educators required an accurate understanding of the adult learner. But adult education could have only one unifying principle: “helping individuals understand and respond intelligently to their situation” (Stubblefield, 1988, p. 152). Lindeman’s view was that adult education had to be functional: to serve the ends of both individual development and social change. For Lindeman, as for Dewey (1916), that would require growth in the ability to experiment and in the acceptance of responsibilities for self, for others and for the environment. An educated person would certainly be one who had the ability to use knowledge for social purposes. Lindeman’s (1929) methodological concerns led him to hold that, in practice, adult education ought not to be based on external authority. There should be no imposition of content, no conferring of degrees and no pursuing of ulterior forms of reward. Adult educators had the responsibility of responding to the motivations of adults and of determining from them the appropriate content. For Lindeman, the method needed to involve co-operative learning and, in this, the role of personal experience was vital, hence the importance of both small groups and discussions as methodological tools. Following from this was the corollary that the teacher needed to be stimulator, guide and facilitator. It becomes clear that the practical bent of Knowles in his writings is directly linked to the early and formative influences on him of Lindeman. The 1930s and 1940s were a time of growing preoccupation with methodology in adult education (Kett, 1994). The particular focus was on informality and maximum participation by students. Knowles was developing his own strong commitment in this direction and sought out such works as Hewitt and Mather’s Adult Education: A Dynamic for Democracy (1937), and Sheffield’s Creative Discussion (1936). These works provided additional practical guidelines and helped 297 reinforce the importance of adult education for the saving of democracy (Knowles, 1989). Hewitt and Mather were particularly important. Their work served as a “how- to-do-it manual” (Knowles, 1984b, p. 3). They did not profess to have determined final answers or best methods but presented their work as a “report of progress” (p. vi) and looked to a time when others would achieve greater things. Their attitude of humility in presenting ideas and experiences would later be emulated by Knowles. Hewitt and Mather’s book, along with Lindeman’s (1926b) The Meaning of Adult Education, would be read by Knowles periodically for inspiration and reinforcement (Knowles, 1984b).
Other Possible Sources The intellectual climate was such that many ideas were circulating and scholars shared overlapping concerns. Sources were not always clear. In the early 1940s, Mortimer Adler had argued for a distinction between education and schooling and between adults and children. These distinctions did not rely on any empirical evidence but were based on philosophical categories which referred back to the thinking of Plato and Aristotle (Adler & Van Doren, 1988). The distinctions bore a striking affinity to some of the notions that Knowles would later develop but there was no acknowledgement on the part of Knowles that he was aware of Adler’s thought. Adler maintained that schools should give to children the skills of learning and the wish to learn, so that in adult life they would want to go on learning and would have the skills to do so. He made the point that in adult education, all participants were equal: all were mature people talking to one another. Education was, among other things, “the process whereby a man helps himself or another to become what he can be” and “an interior transformation of a person’s mind and character” (Adler & Van Doren, pp. 59, 234). Stubblefield (1988) notes that in 1940, Lindeman had made clear his debt to Dewey. In the future, Knowles would refer only occasionally to Dewey but, as in the case of Adler’s work, some of the similarities of thought remain striking. The scholars of the day were contributing to the melting pot of ideas and generally were not afraid to embrace a common ownership of themes. Certainly, there were distinctive lines of argument and, for some of these, there existed the possibility of demonstrating intellectual lineage. But even if a direct link could not be shown conclusively, an indirect one might be argued (Fisher & Podeschi, 1989). 298
In 1946 Alvin Johnson’s The Clock of History was published. Knowles (1989) acknowledged reading the work but did not comment on the contents of the book nor on how Johnson may have influenced him. Johnson did have an association with Dewey many years earlier in 1919 when establishing the New School for Social Research (Stubblefield, 1988). The New School attempted to provide opportunities for continued learning by mature adults and whilst under Johnson’s leadership advocated strongly the cause of adult education. According to Nathaniel Peffer (1926), the New School had “no set and unvarying curriculum, no formal entrance requirements, no examinations, no credits, no degrees, no prescribed and fixed method of instruction” (p. 61). For Johnson, the adult student was less interested in certainties and more interested in invention and discovery. He was prepared to allow for the vocational and recreational needs of the learner but held strongly to the view that issues crucial to the welfare of society could not be ignored (Moreland & Goldenstein, 1985). In particular, he was committed to furthering the ideals of a democratic society: Liberal democracy is dependent, as no other system, on education … continuing throughout active life…. Democratic liberalism has always needed adult education for its inner development. It needs education far more now, as a defense against injurious influences of alien provenance. (Johnson, 1946, pp. 10, 133)
So important was this aim that Johnson regarded unrestricted freedom of thought and investigation as essential to learning. Plato’s view that the State should take responsibility for education could lead easily to the use of education for totalitarian purposes. Johnson’s insistence that learning be continuous throughout life was not only because of its benefit to the individual but also to ensure that the collective judgment of the people not be subverted (Moreland & Goldenstein, 1985).
The Graduate Years In 1946 Malcolm Knowles entered the graduate program of adult education at the University of Chicago. He did this under the terms of the 1944 Servicemen’s Readjustment Act, commonly known as the “GI Bill” (Kett, 1994). This Act provided limited financial assistance for the education of veterans prior to their re- entry into the work force. During the war, military personnel had started using off- duty hours to take college-level courses. Following the war, the GI Bill helped to 299 make college education a normal expectation for those who were returning. Millions responded; and Kett (1994) observes that there were few adult educators who expected so many to do so. He says, “in effect, the war experience contributed to making the growth of collegiate enrollments self-sustaining” (p. 407). Knowles entered the graduate program conscious of the new demands being placed on colleges and universities. The 1947 President’s Commission on Higher Education saw both types of institution as being best equipped to take on the task of post-war adult education (Grattan, 1955). However, much of the earlier intellectual ferment had challenged traditional methods and Knowles’ own presence in a university ensured that he remained exposed to the continuing eagerness of adults to learn and to the urgency of the methods problem. Through his academic mentor, Houle, Knowles became aware of the practices of education in the ancient world. He felt that his own stance in following intuitions rather than prescribed doctrines was reinforced by what he had learned of ancient cultures. But this did not rule out the value of scholarship. He was deeply impressed by Houle’s mix of scholarship and humility, and records with gratitude the inscriptions Houle wrote in the books he would give to Knowles: “To Malcolm Knowles, from whom I have learned so much” (Knowles, 1989, p. 13).
Building the Theory Specific acknowledgement was made by Knowles (1989) of three works that contributed significantly to the development of his thinking, and especially to his theoretical framework: Nathaniel Cantor’s Dynamics of Learning (1946), Dewey’s Experience and Education (1947) and Kurt Lewin’s Resolving Social Conflicts (1948). These texts helped clarify (respectively) notions of learner-centred education and learners’ ego-involvement; the value of experience in the learning process; and the ideas of field theory and social force effects on learning. Importantly, Dewey’s work provided a theoretical justification for emphasising the experience of learners. More than 10 years after reading Eduard Lindeman’s The Meaning of Adult Education (1926b), Knowles was able to begin building on the methods of his “first real mentor” (Knowles, 1989, p. 8). His master’s thesis aimed to analyse contemporary practices in program planning and teaching in adult education. Not only was he concerned for scholarship and style, but of particular significance for later was his concern for interpretation. The writing process involved for him the 300 asking of four questions directed to different hypothetical readers: “Is this clear and down to earth enough for you? … Is this sophisticated and operational enough for you? … Is this relevant to volunteer training? … Is this scholarly enough for you?” (Knowles, p. 28). These concerns would remain evident in all that Knowles would subsequently write. Knowles was greatly influenced by the thought of Overstreet and especially by his concept of maturity. Although Overstreet developed this concept fully in his book The Mature Mind, published in 1949, his earlier thought was known to Knowles. Stubblefield (1988) states that as early as 1927 Overstreet had maintained (drawing on the pre-published work of Thorndike), that adults did have the ability and the motivation to learn. His perception of adults, however, was that many did not ever come to possess psychological maturity: “Not all adults are adult. Many who look grown-up on the outside may be childish on the inside” (Overstreet, 1949, p. 19). He expected, however, that with the right sort of help, adults should be able to enter this stage: maturity ought not to be out of their reach. Responsibility for achieving maturity would be a shared one. Overstreet (1949) contended that adults had an obligation to grow up but he also saw education as playing a part in that growth. This was especially so in relation to self- understanding. Adulthood for him was the most significant stage of life and the only life stage in which psychological maturity was possible. He had drawn his ideas from what was currently known about psychological age, arrested development, conditioned response, individual uniqueness and the capacity of adults to learn. These areas provided the insights into human nature he needed to form the mature mind concept. It is Stubblefield’s (1988) belief that this integration of findings from the social sciences into a single concept represented an achievement of considerable importance: it constituted a unifying principle that had applicability to all levels of education and which, in the case of adult education, supplied a meta-goal toward which all programs could be directed. Knowles would not be blind to the possibilities offered by the concept. Knowles would also have seen the challenge in Overstreet’s (1949) comments towards the end of The Mature Mind: Education in the adult years … should be the kind of education that sets out to do a noble thing: to take us as adults, in this newly arrived time of our life and help us to move beyond the routines of a half-baked adulthood into the 301
creative surprises of an adulthood that is truly maturing. As yet we have no such education. (pp. 284-285)
A Coalescing of Concerns Grattan (1955), a recognised historian, was only the second person to produce a major work on the history of North American adult education (Stubblefield & Keane, 1994). In dealing with some unresolved issues of the time, Grattan maintained that adult education was still fighting for a recognised place in both the community and the educational world; few of those engaged in adult education were specifically trained for the task and the nature of the training itself was far from clear. Overstreet was a philosopher who had made adult education the sphere of his philosophical work (Stubblefield, 1988). He had challenged the preoccupation of contemporary adult educators with method because he did not consider that adult education should be too narrowly conceived. Adult education for him was anything that had to do with connecting adults to knowledge (Stubblefield). Grattan (1955) was concerned about the potential narrowness and sounded a warning from Whitehead: “Some of the major disasters of mankind have been produced by the narrowness of men with a good methodology” (Whitehead, 1929, p. 12). Whitehead had accused contemporary scientific method of being “obscurantist”. He defined this term as “the refusal to speculate freely on the limitations of traditional methods” (p. 43) and argued that such speculation had an important role to play in countering “intertial resistance” to new ideas. Knowles had been exposed to the thinking of Whitehead during his undergraduate years. It is possible that Whitehead’s thought would have constituted for Knowles an underlying basis for responding to the challenges of Overstreet and Lindeman. Grattan’s (1955) concluding thoughts brought together concerns about both democracy and maturity: And what, oh what, is a mature man? … Is there really a pattern of the mature democratic man, as there is alleged to be one of the Soviet man, and if so, who defined him and who planned his planners, and what was their purpose? (p. 299) At the time at which Grattan wrote this, Knowles was already putting his thoughts together. Democracy and maturity would feature strongly in his first major work. 302
The writing of Informal Adult Education did not occur in a vacuum. The years leading up to 1950 provided conceptual material for what would later become a coherent theoretical framework. The various positions that Knowles adopted in the text were influenced by the issues, problems and concerns that were being debated. In many instances, these influences can be traced back to their sources (e.g., Lindeman, 1926b; Overstreet, 1949; Thorndike et al., 1928) but there are other influences that cannot quite so easily be traced (such as the possibility of influences from Adler and Johnson). In his 1950 work Knowles brought the overarching theme of informal adult education to bear on his thinking. This was his first major step towards the development of a unifying principle in adult education and a clear indication that the challenges issued by Lindeman (1926b) and Overstreet (1949) should not go unheeded.
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APPENDIX G
THE AGE OF ADULT EDUCATION: BACKGROUND TO THE WORKS OF 1954 TO 1959
In the period 1951 to 1959, Knowles continued to develop the foundational thinking expressed in Informal Adult Education (1950). During this time he was greatly influenced by the theories of Kurt Lewin. His involvement in the running of human relations training sessions and his experiences as Executive Director of the Adult Education Association of the United States of America had a significant impact on his thinking. The 1950s was a time of major growth in adult education and the period when institutions began to recognise differences between adults and youths as learners. It was in this context that Knowles continued to develop the themes begun in 1950 and started to think about a comprehensive theory of adult learning. This was the period in which Knowles laid the groundwork for the theory that would begin to emerge in the 1960s.
The Age of Adult Education Following World War II, the United States “entered the age of adult education” (Stubblefield & Keane, 1994, p. 251). The early post-war years witnessed the emergence of the knowledge economy and the movement of America into post- industrial society. America was becoming “the learning society” (Kett, 1994, p. 404). From a 1962 vantage point, Knowles would come to view the entire period, 1921 to 1961, as “the era of greatest expansion and innovation in adult education to date” (1962, p. 76). It was, however, within the latter decade of this era that the most significant growth occurred. The 1950s was a period marked by the growing prestige of higher education among all age groups. It was a time of increased demand for a degreed workforce and of increasing provision for vocational content within higher education courses (Kett, 1994; Stubblefield & Keane, 1994). A consequence of these developments for those in the workforce was that continuing education became a condition for maintaining occupational competence.
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Post-War Growth in Adult Education Enrolments In 1950, Knowles had expressed his conviction that adults retained the ability to learn. The enormous increase in enrolments in institutions of higher learning after World War II confirmed his thinking. In the period up to 1951, nearly 8 million veterans enrolled in courses in higher education, public schools and vocational schools. Two million of these were in universities and colleges (Stubblefield & Keane, 1994). Knowles (1962) estimated that by 1955, there were over 49 million participants in all forms of adult education. This estimate was a 69% increase over enrolments for the previous 5 years. The initial post-war enrolments demonstrated that adults had both academic ability and scholarly intent (Stubblefield & Keane, 1994). Up to this time, educators had frequently underestimated the seriousness of adult students and were “astounded and discomfitted by the eagerness of veterans to enroll in colleges, for such enthusiasm for college did not conform to their association of adult education with avocational fun and games” (Kett, 1994, p. xvii). The growth in enrolments directly challenged a number of preconceptions. It had been assumed by many practitioners in the early 1950s that adult educational interests bore little resemblance to those of younger students; that career choice began in adolescence and terminated by the mid-20s; and that colleges and universities were suitable mainly for the small proportion of the population who were interested in liberal education or advanced professional studies (Kett, 1994).
A New Awareness of the Characteristics of Adults as Learners The enormous growth in community colleges in the 1950s; the increase in participation of adult and part-time students in both formal and informal courses; and the overall increase in enrolments of adults in institutions of higher learning led to a greater awareness of the needs of adult as learners. The University of Oklahoma and Columbia University both pioneered adult degree programs which attempted to recognise the differences between adults and youths as learners (Stubblefield & Keane, 1994). In 1950, Knowles had not clearly articulated his thinking about the differences between adults and children as learners. By the latter part of the decade, he would be viewing history with an openness to such a perspective and in his text, 305
The Adult Education Movement in the United States (1962), he would be referring to “the unique characteristics of adults as learners” (p. 89). According to Knowles (1962), the institutions of higher learning were, themselves, recognising such unique characteristics. Firstly, there were attempts by university adult educators to identify and integrate the prior self-education of adults into new areas of learning. Secondly, these efforts were accompanied by programs built around the real-life problems of individuals and society, rather than around traditional academic subjects. Thirdly, there was an increasing use of group discussion, role-playing, co-operative projects, case studies and other highly participatory techniques. Knowles saw in these developments a tendency towards the evolution of a broader and uniquely adult curriculum and methodology. He argued that the creation of new institutional forms such as the continuing education centre, the training laboratory, the community college, the co-ordinated course, and the college of general studies were part of this evolution. He felt justified in concluding that “by 1960 adult education had become quite different from youth education in both form and substance” (1962, p. 256). That did not mean, however, that the institutions fully recognised the implications of what had happened: Few universities had yet taken cognizance in their policy and administrative structures of the fact that in the last few years their constituency had shifted from one composed primarily of full-time youthful students to one composed predominantly of part-time adult students. (1962, p. 84) It was Knowles’ intention in the years leading up to 1960 to attempt to bring to the field of adult education a sense of cohesion and unity of purpose.
The Adult Education Association of the United States of America In 1951 Knowles became Administrative Co-ordinator (later, Executive Director) of the newly-formed Adult Education Association of the United States of America. His involvement in the Association, at this level, meant that he did little thinking about adult learning theory (Knowles, 1989). The new organisation aimed to give direction to the field of adult education and to unify the profession (Stubblefield & Keane, 1994). Grattan had stated in 1955 that leaders were needed to give cohesion to the highly-fragmented field of adult education “where the whole has such a striking tendency to be less than the sum of its parts” (p. 308). Knowles 306 entered the Association at a formative time and aimed to bring to the field the cohesion that Grattan sought. In his role as Executive Director of the Adult Education Association, Knowles was greatly influenced by the participative management theories of Kurt Lewin and leaders of NTL (Knowles, 1989). He found it necessary to resist attempts by some in the Association to limit membership only to certified adult education professionals. His intention was to engage all workers in the profession and to make the local community the focus of adult education (Stubblefield & Keane, 1994). Knowles had a vision of the Adult Education Association’s membership being “the engine for a vital and growing adult education movement in the United States” (Knowles, 1989, p. 16). Under his direction, membership reached a peak of over 13,000 in 1955. This figure would decline to 3,500 in 1961 (Knowles, 1962). In 1959, however, when he resigned from the Association, Knowles was satisfied that he had accomplished his mission. If there was one regret he had, it was that he could have been more proactive in advancing the voice of adult educators in public policy- making decisions. Knowles learned much during his time with the Adult Education Association – and he was prepared to acknowledge the debt. Some of what he had learned led to his conviction that learning by doing may be more important than learning through formal courses. He had made this point in relation to his earlier days at Harvard (Knowles, 1989) and again, concerning his time with the Association, he would say later that he had “learned more of what adult education is all about in this country (and in the world) than is taught in all the graduate courses combined” (1989, p. 16). 307
APPENDIX H
KNOWLES’ 1962 DEFINITION OF ADULT EDUCATION
In his 1962 work, The Adult Education Movement in the United States, Knowles defined “adult education” as follows:
The term “adult education” is used to convey three meanings. In its broadest meaning it describes the process by which men and women continue learning after their formal schooling is completed. In this sense it includes all forms of experience – reading, listening, traveling, and conversing – that are engaged in by mature people for the purpose of learning. In its more technical meaning, “adult education” describes a set of organized activities for mature men and women carried on by a wide variety of institutions for the accomplishment of specific educational objectives. In this sense it encompasses organized classes, study groups, lecture series, workshops, conferences, planned reading programs, guided discussions, workshops, and correspondence courses. In this book the phrase “the program of adult education” will be used to convey this meaning. A third meaning combines all the processes and activities of adult education into the idea of a movement or field. In this sense “adult education” brings together into a definable social system all the individuals, institutions, and associations concerned with the education of adults and portrays them as working toward such common goals as the improvement of the methods and materials of adult learning, the extension of opportunities for adults to learn, and the advancement of the general level of our culture. In this book the phrases “adult education movement” and “the field of adult education” will be used to convey this meaning.
Note. From The Adult Education Movement in the United States (pp. vi-vii), by M. S. Knowles, 1962, New York: Holt, Rinehart & Winston. Copyright 1962 by Wadsworth, a division of Thomson Learning. Reprinted with permission. 308
APPENDIX I
KNOWLES’ TREATMENT OF ANDRAGOGY IN 1969
The extract below is the text of Knowles’ discussion of andragogy in Higher Adult Education in the United States: The Current Picture, Trends, and Issues (1969):
Clearly the field of higher adult education – and, for that matter, the entire field of adult education – is in a state of ferment over curriculum theory and instructional technology. American adult education theorists are dipping heavily into theoretical works by European adult educators, especially German and Yugoslavian, which have accumulated since the late nineteenth century under the label andragogy. Derived from the stem of the Greek word for mature male, Aner (Andros), this label distinguishes the study of adult learning and teaching from the study of youth learning and teaching symbolized by the label pedagogy. There is developing, accordingly, a coherent and comprehensive theory of adult learning and a differentiated technology of adult education. At this time andragogical theory is largely speculative, but it is being increasingly subjected to empirical research. The four main sets of assumptions on which current andragogical theory is based have to do with differences between children (sic) and youth as to (1) self-concept, (2) experience, (3) readiness to learn, and (4) orientation to learning. Under the first assumption, as a person matures his self-concept moves from that of a dependent personality toward that of a self-directed organism. Accordingly, mature people learn best in educational situations where the students and teacher have a relationship of mutual responsibility for diagnosing learning needs, formulating objectives, and planning, conducting, and evaluating learning experiences. Secondly, since the mature person has accumulated a substantial reservoir of experience, he has a broader foundation on which to build, and he is himself a richer resource for learning than when he was younger. The adult, therefore, learns best through methods and techniques that use his experience. Hence there is a marked shift in adult education away from the transmittal techniques of lecture and assigned 309 reading toward the action-learning techniques of community projects, case method, critical incident process, discussion, simulation exercises, and the like. Thirdly, the mature person confronts a set of developmental tasks different from those of youth; youth’s developmental tasks concern preparing and becoming, i.e., self-identity, whereas the adult’s developmental tasks concern performance in the changing roles of worker, spouse, parent, and responsible citizen. At any point in time an adult is prepared to learn what is required by his developmental tasks at that time; accordingly, a mature person learns best in a curriculum sequenced to coincide with his developmental tasks. In the fourth place, the mature person approaches learning with a time perspective different from that of youth. The adult intends to apply immediately what he learns, whereas the youth intends to postpone application of most of his learning. As a result, the youth approaches learning in a subject-centered frame of mind, while the adult brings a problem-centered frame of mind. Accordingly, the mature person learns best through activities organized around immediate life problems, rather than around logical subject development.
Note. From Higher Adult Education in the United States: The Current Picture, Trends, and Issues (pp. 28-30), by M. S. Knowles, 1969, Washington, DC: American Council on Education. Copyright 1969 by the American Council on Education. Reprinted with permission. 310
APPENDIX J
SUPERIOR CONDITIONS OF LEARNING AND PRINCIPLES OF TEACHING
In The Modern Practice of Adult Education (1970), Knowles listed the superior conditions of learning (those which were more conducive to growth and development than others) and the superior principles of teaching (those which stipulated a strong helping role for the teacher) as follows:
Conditions of Learning Principles of Teaching
The learners feel a need to 1 The teacher exposes students to new possibilities learn. for self-fulfillment.
2 The teacher helps each student clarify his own aspirations for improved behavior.
3 The teacher helps each student diagnose the gap between his aspiration and his present level of performance.
4 The teacher helps the students identify the life problems they experience because of the gaps in their personal equipment.
The learning environment 5 The teacher provides physical conditions that are is characterized by comfortable … and conducive to interaction. physical comfort, mutual trust and respect, mutual helpfulness, freedom of expression, and acceptance of differences.
6 The teacher accepts each student as a person of worth and respects his feelings and ideas.
7 The teacher seeks to build relationships of mutual trust and helpfulness among the students by encouraging cooperative activities and refraining from competitiveness and judgmentalness.
8 The teacher exposes his own feelings and contributes his resources as a colearner in the spirit of mutual inquiry.
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Conditions of Learning Principles of Teaching
The learners perceive the 9 The teacher involves the students in a mutual goals of a learning process of formulating learning objectives in experience to be their which the needs of the students, of the institution, goals. of the teacher, of the subject matter, and of the society are taken into account.
The learners accept a 10 The teacher shares his thinking about options share of the responsibility available in the designing of learning experiences for planning and operating and the selection of materials and methods and a learning experience, and involves the students in deciding among these therefore have a feeling of options jointly. commitment toward it.
The learners participate 11 The teacher helps the students to organize actively in the learning themselves (project groups, learning-teaching process. teams, independent study, etc.) to share responsibility in the process of mutual inquiry.
The learning process is 12 The teacher helps the student exploit their own related to and makes use experiences as resources for learning through the of the experience of the use of such techniques as discussion, role-playing, learners. case method, etc.
13 The teacher gears the presentation of his own resources to the levels of experience of his particular students.
14 The teacher helps the students to apply new learnings to their experience, and thus to make the learnings more meaningful and integrated.
The learners have a sense 15 The teacher involves the students in developing of progress toward their mutually acceptable criteria and methods for goals. measuring progress toward the learning objectives.
16 The teacher helps the students develop and apply procedures for self-evaluation according to these criteria.
Note. From The Modern Practice of Adult Education: Andragogy Versus Pedagogy (pp. 52-53), by M. S. Knowles, 1970, New York: Association Press. Copyright 1988 by Pearson Education. Reprinted with permission. 312
APPENDIX K
COMPETENCY DEVELOPMENT FOR LIFE ROLES
In 1973, as part of his work towards building a model of lifelong education, Knowles set out a taxonomy of life roles and their required competencies as follows:
Roles Competencies Learner Reading, writing, computing, perceiving, conceptualizing, evaluating, imagining, inquiring Being a self (with Self-analyzing, sensing, goal-building, objectivising, value- unique self-identity) clarifying, expressing Friend Loving, empathizing, listening, collaborating, sharing, helping, giving feedback, supporting Citizen Caring, participating, leading, decision-making, acting, “conscientizing,” discussing, having perspective (historical and cultural) Family member Maintaining health, planning, managing, helping, sharing, buying, saving, loving, taking responsibility Worker Career planning, technical skills, using supervision, giving supervision, getting along with people, cooperating, planning, delegating, managing Leisure-time user Knowing resources, appreciating the arts and humanities, performing, playing, relaxing, reflecting, planning, risking
Note. From The Adult Learner: A Neglected Species (p. 161), by M. S. Knowles, 1973, Houston, TX: Gulf Publishing. Copyright 1973 by Elsevier. Reprinted with permission. 313
APPENDIX L
PROCEDURAL QUESTIONS FOR IMPLEMENTING THE ANDRAGOGICAL PHASES
In his 1975 work, Self-Directed Learning, Knowles set out as follows the questions a facilitator of learning (as resource guide) would need to ask in order effectively to implement the seven phases of the andragogical process:
1. Climate setting. How can I most quickly get the learners to become acquainted with one another as persons and as mutual resources for learning? How can I help them to gain an understanding of the concept of self-directed learning? How can I provide them with a simple preliminary experience in practising the skills of self-directed learning? How can I help them to understand my role as a facilitator and resource to self-directed learners and ensure that they will feel comfortable in relating to me this way? How can I present myself to them as a human being so that they may trust me? How can I provide them with a short but meaningful experience in working together collaboratively? How can I create an atmosphere characterized by both mutual caring and support and intellectual rigor?
2. Planning. At what points shall I decide what procedures to use, and at what points shall I present optional procedures for them to decide about? On what ethical basis shall I make this decision, and how will I explain it to them and invite their modification or veto? What mechanism will I propose for involving them in the decision-making process – consensus or voting by the total group, delegation of responsibility to subgroups, or delegation to an elected steering committee?
314
3. Diagnosing needs for learning. How shall we construct a model of the competencies (or content objectives, if you prefer) this particular learning experience should be concerned with? If I start with a model I have constructed, how can I present it so that they will feel free to change it or build upon it? If I start with their suggestions for a model, how can I introduce my own ideas or the requirements from the outer environment without denigrating their contributions? How can I assure that they will have a sense of ownership of the model finally agreed upon? How can I make it possible for them realistically and nonthreateningly to assess the gaps between their present level of development of the competencies and the level required by the model?
4. Setting goals. How can I help them translate diagnosed needs into learning objectives that are clear, feasible, at appropriate levels of specificity or generality, personally meaningful, and measurable as to accomplishment? How can I suggest changes constructively?
5. Designing a learning plan. What guidelines for designing a learning plan will I propose? What optional models of plans will I present? What kinds of help will I give particular learners in designing their plans? How will I expose them to resources and strategies for using resources that they may not know about or may not have thought of? What mechanisms (e.g., consultation teams) can I suggest to facilitate their helping one another in designing their plans?
6. Engaging in learning activities. Which learning activities shall I take responsibility for to meet objectives that are common to all (or most) of their learning plans, which activities should be the responsibility of subgroups, and which should be individual inquiry projects? How can I make myself available to subgroups and individuals as a consultant and resource as they plan and carry out their learning activities? What is my responsibility for assuring quality performance of the learning activities? 315
7. Evaluating learning outcomes. What should be my role in feeding data to the learners regarding my perceptions of the accomplishment of their learning objectives? How can I do it so as not to create a dissonance with the learners’ self-directedness? What is my responsibility for making judgments about the adequacy of the evidence of accomplishment of the learners’ objectives and the adequacy of their criteria and means for validating their evidence? How can I present these judgments in such a way that they will enhance rather than diminish the learners’ self-concepts as self-directed persons?
Note. From Self-Directed Learning: A Guide for Learners and Teachers (pp. 34-37), by M. S. Knowles, 1975, New York: Cambridge Adult Education Co. Copyright 1988 by Pearson Education. Reprinted with permission. 316
APPENDIX M
THE ROOTS OF ANDRAGOGY – AN INTEGRATIVE CONCEPT
The extract below is the text of Knowles’ discussion of the history of the use of the term “andragogy” in The Adult Learner: A Neglected Species (2nd ed., 1978):
Attempts to bring the isolated concepts, insights and research findings regarding adult learning together into an integrated framework began as early as 1949, with the publication of Harry Overstreet’s The Mature Mind, and continued with my own Informal Adult Education in 1950, Edmund Brunner’s Overview of Research in Adult Education in 1954, J.R. Kidd’s How Adults Learn in 1959, J.R. Gibb’s chapter on “Learning Theory in Adult Education” in the Handbook of Adult Education in the U.S. in 1960, and Harry L. Miller’s Teaching and Learning in Adult Education in 1964. But these turned out to be more descriptive listings of concepts and principles than comprehensive, coherent, and integrated theoretical frameworks. What was needed was an integrative and differentiating concept. Such a concept had been evolving in Europe for some time – the concept of a unified theory of adult learning for which the label andragogy had been coined to differentiate it from the theory of youth learning, pedagogy. I was first introduced to the concept and the label in 1967 by a Yugoslavian adult educator, Dusan Savicevic, and introduced them into our American literature with my article “Androgogy, Not Pedagogy,” in Adult Leadership in April, 1968. (Note my misspelling of the word until I was corrected through correspondence with the publishers of Merriam- Webster dictionaries). Since this label has now become widely adopted in our literature, it may be worthwhile to trace the history of its use. A Dutch adult educator, Ger van Enckevort, has made an exhaustive study of the origins and use of the term andragogy, and I shall merely summarize his findings.* The term (Andragogik) was first coined, so far as he could discover, by a German grammar school teacher, Alexander Kapp, in 1833. Kapp used the word in a description of the educational theory of the Greek philosopher Plato, although Plato never used the term himself. A few years later the better-known German philosopher Johan Friedrich Herbart acknowledged the term by strongly opposing its use. Van 317
Enckevort observes that “the great philosopher had more influence than the simple teacher, and so the word was forgotten and disappeared for nearly a hundred years.” Van Enckevort found the term being used again in 1921 by the German social scientist Eugen Rosenstock, who taught at the Academy of Labor in Frankfort. In a report to the Academy in 1921 he expressed the opinion that adult education required special teachers, special methods, and a special philosophy. “It is not enough to translate the insights of education theory [or pedagogy] to the situation of adults … the teachers should be professionals who could cooperate with the pupils; only such a teacher can be, in contrast to a “pedagogue,” an “andragogue.” Incidentally, Rosenstock believed that he invented the term until 1962, when he was informed of its earlier use by Kapp and Herbart. Van Enckevort reports that Rosenstock used the term on a number of occasions, and that it was picked up by some of his colleagues, but that it did not receive general recognition. The Dutch scholar next finds the term being used by a Swiss psychiatrist, Heinrich Hanselmann, in a book published in 1951, Andragogy: Nature, Possibilities and Boundaries of Adult Education, which dealt with the nonmedical treatment or reeducation of adults. Only six years later, in 1957, a German teacher, Franz Poggeler, published a book entitled Introduction to Andragogy: Basic Issues in Adult Education. About this time the term started being used in other than German- speaking countries. In 1956 M. Ogrizovic published a dissertation in Yugoslavia on “penological andragogy” and in 1959 a book entitled Problems of Andragogy. Soon other leading Yugoslavian adult educators, including Samolovcev, Filipovic, and Savicevic, began speaking and writing about andragogy, and faculties of andragogy offering doctorates in adult education were established at the universities of Zagreb and Belgrade in Yugoslavia and the universities of Budapest and Debrecen in Hungary. Andragogy started being used in the Netherlands by Professor T.T. ten Have in his lectures in 1954, and in 1959 he published the outlines for a science of andragogy. Since 1966 the University of Amsterdam has had a doctorate for andragogues, and in 1970 a department of pedagogical and andragogical sciences was established in the faculty of social sciences. In the current Dutch literature a distinction is made among “andragogy,” which is any intentional and professionally guided activity that aims at a change in adult persons; “andragogics,” which is the background of methodological and ideological systems that govern the actual process 318 of andragogy; and “andragology,” which is the scientific study of both andragogy and andragogics. During the past decade andragogy has come into increasing use by adult educators in France (Bertrand Schwartz), England (J.A. Simpson), Venezuela (Felix Adam), and Canada (a Bachelor of Andragogy degree program was established at Concordia University in Montreal in 1973). In this country, to date four major expositions of the theory of andragogy and its implications for practice have appeared; [Knowles, 1970; Ingalls and Arceri, 1972; Knowles, 1973 and 1975] a number of articles have appeared in periodicals reporting on applications of the andragogical framework to social work education, management training, and other spheres; and an increasing volume of research on hypotheses derived from andragogical theory is being reported. There is growing evidence, too, that the use of andragogical theory is making a difference in the way programs of adult education are being organized and operated, in the way teachers of adults are being trained, and in the way adults are being helped to learn. There is even evidence that concepts of andragogy are beginning to make an impact on the theory and practice of elementary, secondary, and collegiate education. The field of adult education has long sought a glue to bind its diverse institutions, clienteles, and activities into some sense of unity; perhaps andragogy will give it at least a unifying theory. And, extended in its application to the concept lifelong education, perhaps andragogy will provide a unifying theme for all of education. “Andragogy” is not yet a word that appears in any dictionary. But apparently its time is coming.
*Ger van Enckevort, “Andragology: A New Science,” Nederlands Centrum Voor Volksontwikkeling, Amersfoort, The Netherlands, April, 1971 (mimeographed.)
Note. From The Adult Learner: A Neglected Species (2nd ed., pp. 48-51), by M. S. Knowles, 1978, Houston, TX: Gulf Publishing. Copyright 1978 by Elsevier. Reprinted with permission. 319
APPENDIX N
THE SKILLS OF SELF-DIRECTED LEARNING
In the 1984 revision of The Adult Learner: A Neglected Species (3rd ed.), Knowles set out a list of skills of self-directed learning which conformed with the needs of contract learning. The skills were as follows:
1. The ability to develop and be in touch with curiosities. Perhaps another way to describe this skill would be “the ability to engage in divergent thinking”. 2. The ability to perceive one’s self objectively and accept feedback about one’s performance nondefensively. 3. The ability to diagnose one’s learning needs in the light of models of competencies required for performing life roles. 4. The ability to formulate learning objectives in terms that describe performance outcomes. 5. The ability to identify human, material, and experiential resources for accomplishing various kinds of learning objectives. 6. The ability to design a plan of strategies for making use of appropriate learning resources effectively. 7. The ability to carry out a learning plan systematically and sequentially. This skill is the beginning of the ability to engage in convergent thinking. 8. The ability to collect evidence of the accomplishment of learning objectives and have it validated through performance.
Note. From The Adult Learner: A Neglected Species (3rd ed., p. 184), by M. S. Knowles, 1984, Houston, TX: Gulf Publishing. Copyright 1984 by Elsevier. Reprinted with permission. 320
APPENDIX O
THE BENEFITS AND LIMITATIONS OF CONTRACT LEARNING
In Using Learning Contracts (1986), Knowles listed the benefits and limitations of contract learning as follows:
Contract learning yields many practical benefits:
It gets the learners more ego-involved in their own learning; it “turns them on” to learning. Once they pass through the stage of confusion and anxiety that they typically experience as they start to do it for the first time, they get excited about carrying out their own plans. In my experience, learners will invest more energy in learning what they have been involved in planning than I would dare to require of them as a didactic teacher.
It causes them to make use of a much wider variety of resources for learning, such as peers, other people in the institution and community, field experiences, and the like, thus lessening the load typically carried by instructors who see themselves as the only resources available.
It sharpens learners’ skills of self-directed learning, thus giving them a tool that will enhance their ability to learn from their experience and their environment for the rest of their lives.
It increases the accountability of the program by providing more functional and validated evidence of the learning outcomes.
It provides a more functional way of structuring learning – a process structure in the place of the traditional content-transmission structure.
It replaces the conventional teacher-imposed discipline with self-discipline in the learning process.
It provides a way for the learner to obtain continual feedback about progress being made toward accomplishing learning goals.
It is more cost-effective than traditional teacher-directed learning, in that the learner is less dependent on exclusive use of the resources of instructors and takes some of the responsibility for directing the learning off their shoulders. Contract learning adds to the quality of learning because it involves learners in taking responsibility, with the help of a mentor or resource person, for planning 321 and carrying out their own learning. A basic law of human nature is at work here: People tend to feel committed to a decision or activity in proportion to the extent that they feel they have participated in making the decision or planning the activity. The reverse is even more true: People tend to feel uncommitted to a decision or activity in proportion to the extent that they feel the decision or activity is being imposed on them by others. But contract learning also has some limitations:
It is not suitable for all situations, such as those involving development of psychomotor or interpersonal skills and those involving the acquisition of content with which learners are totally unfamiliar.
It poses special problems for learners who have dependent personalities.
It requires a reorientation to learning by learners who are highly self-directing in all other aspects of their lives.
It is most effective when there is strong institutional support for it – a characteristic not present in many traditional institutions.
It requires that teachers redefine their roles and adopt a different system of psychic rewards.
Note. From Using Learning Contracts: Practical Approaches to Individualizing and Structuring Learning (pp. 46-47), by M. S. Knowles, 1986, San Francisco: Jossey- Bass. Copyright 1986 by Jossey-Bass. Reprinted with permission. 322
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