The Adult Learner

THE ADULT LEARNER How do you tailor education to the learning needs of adults? Do they learn differently from children? How does their life experience inform their learning processes? These were the questions at the heart of Malcolm Knowles’ pioneering theory of andragogy which transformed education theory in the 1970s. The resulting principles of a self-directed, experiential, problem-centred approach to learning have been hugely influential and are still the basis of the learning practices we use today. Understanding these principles is the cornerstone of increasing motivation and enabling adult learners to achieve. The 9th edition of The Adult Learner has been revised to include: • • • • Updates to the book to reflect the very latest advancements in the field. The addition of two new chapters on diversity and inclusion in adult learning, and andragogy and the online adult learner. An updated supporting website. This website for the 9th edition of The Adult Learner will provide basic instructor aids. For each chapter, there will be a PowerPoint presentation, learning exercises, and added study questions. Revisions throughout to make it more readable and relevant to your practices. If you are a researcher, practitioner, or student in education, an adult learning practitioner, training manager, or involved in human resource development, this is the definitive book in adult learning you should not be without. Malcolm S. Knowles was one of the nation’s leading authorities on adult education and training. He was the founding executive director of the Adult Education Association and Professor of Adult and Community College Education at North Carolina State University. Elwood F. Holton III is Professor Emeritus of Human Resource Development and Adult Education in the School of Leadership and Human Resource Development at Louisiana State University. Richard A. Swanson is Professor Emeritus of Human Resource Development and Adult Education at the University of Minnesota. Petra A. Robinson is Associate Professor of Human Resource Development and Adult Education in the School of Leadership and Human Resource Development at Louisiana State University. THE ADULT LEARNER The Definitive Classic in Adult Education and Human Resource Development NINTH EDITION Malcolm S. Knowles, Elwood F. Holton III, Richard A. Swanson, and Petra A. Robinson Ninth edition published 2020 by Routledge 2 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN and by Routledge 52 Vanderbilt Avenue, New York, NY 10017 Routledge is an imprint of the Taylor & Francis Group, an informa business © 2020 Malcolm S. Knowles, Elwood F. Holton III, Richard A. Swanson and Petra A. Robinson The right of Malcolm S. Knowles, Elwood F. Holton III, Richard A. Swanson, and Petra A. Robinson to be identified as authors of this work has been asserted by them in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. First edition published by Butterworth-Heinemann, an imprint of Elsevier, 1973. Eighth edition published by Routledge, 2015. British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data Names: Knowles, Malcolm S. (Malcolm Shepherd), 1913-1997, author. | Holton, Elwood F., 1957- author. | Swanson, Richard A., 1942- author. | Robinson, Petra A., author. Title: The adult learner : the definitive classic in adult education and human resource development / Malcolm S. Knowles, Elwood F. Holton III, Richard A. Swanson and Petra A. Robinson. Description: Ninth editon. | Abingdon, Oxon ; New York, NY : Routledge, 2020. | Includes bibliographical references and index. Identifiers: LCCN 2020006041 (print) | LCCN 2020006042 (ebook) | ISBN 9780367417659 (paperback) | ISBN 9780367234256 (hardback) | ISBN 9780429299612 (ebook) Subjects: LCSH: Adult learning. | Adult education. | Training. Classification: LCC LC5225.L42 K56 2020 (print) | LCC LC5225.L42 (ebook) | DDC 374–dc23 LC record available at https://lccn.loc.gov/2020006041 LC ebook record available at https://lccn.loc.gov/2020006042 ISBN: 978-0-367-23425-6 (hbk) ISBN: 978-0-367-41765-9 (pbk) ISBN: 978-0-429-29961-2 (ebk) Typeset in Times New Roman and Franklin Gothic by River Editorial Ltd, Devon, UK Visit the companion website: www.routledge.com/cw/knowles Malcolm S. Knowles, Ph.D., the Father of Andragogy in the United States, died on 27 November 1997. Malcolm was one of the world’s leading scholar-practitioners of adult learning. In 1940, he assumed the position of Director of Adult Education at the Boston YMCA until he was drafted into the United States Navy in 1943. In 1946, he moved to Chicago to work as the Director of Adult Education at the YMCA while working on his M.A. at the University of Chicago, which he earned in 1949. From 1951 to 1959, he served as Executive Director of the Adult Education Association of the USA. In 1959, he accepted a faculty appointment at Boston University as an associate professor of adult education with tenure. He spent 14 years there and wrote the first edition of The Adult Learner during this time. He became a member of the Faculty of Education at North Carolina State University in 1974 to complete his final four years of academic work prior to retirement as Professor Emeritus. He was a member of a generation that experienced the fullest range of characterbuilding 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 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. This revised ninth edition of Malcolm’s 1973 book is a testimony to his own learning journey and his personal confidence in the individual learner. We are proud to keep his legacy alive through this book as one of the leading figures in adult education in the United States. CONTENTS Notes on the authors List of figures List of tables Preface PART 1 Adult learning ix xi xii xiii 1 1 Introduction to adult learning 3 2 Exploring the world of learning theory 8 3 Andragogy: a theory of adult learning 18 4 The andragogical process model for learning 51 5 Andragogy in practice: expanding the usefulness of the andragogical model 72 The backdrop of learning and teaching theories 89 PART 2 6 Theories of learning 91 7 Theories of teaching 106 8 Adult learning within human resource development 148 PART 3 9 10 Advancements in adult learning 165 New perspectives on andragogy 167 Beyond andragogy 186 viii • Contents 11 Diversity and inclusion in the adult education classroom 211 12 Neuroscience and andragogy 227 13 Andragogy and adult online learning 239 14 Effective computer-based instruction for adults 250 PART 4 15 16 17 273 European perspectives on adult learning (contributed by John A. Henschke and Mary Cooper) 275 Andragogy: history, meaning, context, and function (contributed by Jost Reischmann) 284 The future of andragogy 293 PART 5 18 International and future perspectives on andragogy Tools and resources for implementing andragogy 307 Andragogical learner analysis using the andragogy in practice framework 309 19 Andragogy in practice inventory (contributed by Reid A. Bates) 318 20 Guidelines for using learning contracts 325 21 Competency diagnostic and planning guide for adult educators/trainers 331 Personal adult learning style inventory 337 22 Bibliography Index 349 381 NOTES ON THE AUTHORS Elwood F. Holton III, Ed.D., is Professor Emeritus of Human Resource Development and Adult Education in the School of Leadership and Human Resource Development at Louisiana State University. He served as Director of the School before his retirement. He is the author and editor of numerous books and articles on adult learning and human resource development, as well as the founding editor of Human Resource Development Review. Dr. Holton is also a past president of the Academy of Human Resource Development. He has been inducted into the International Adult and Continuing Education Hall of Fame. He is an expert on adult learning applications in public and private settings, and consults extensively with organizations in both sectors. Richard A. Swanson, Ed.D., is Professor Emeritus of Human Resource Development and Adult Education at the University of Minnesota. He has wide-ranging teaching and consulting experience, and has published extensively in the areas of learning and human resource development. He received the Distinguished Alumni Award from the University of Illinois College of Education, and has been inducted into both the International Adult and Continuing Education Hall of Fame and the Human Resource Development Scholar Hall of Fame. Dr. Swanson is a leading authority on how to develop and unleash human potential in organizations. Petra A. Robinson, Ph.D, is Associate Professor of Adult Education and Human Resource Development in the School of Leadership and Human Resource Development at Louisiana State University. Keenly interested in issues related to colorism, critical literacies, diversity and social justice, global lifelong learning, and professional development in the academy, Dr. Robinson currently teaches courses and actively presents at national and x • Notes on the authors international conferences on these topics. She has authored journal articles, book chapters, and white papers, and co-edited books on these important issues, for which she has won various university and national-level awards, including the LSU Rising Faculty Research Award, the College of Human Sciences and Education Advocate for Diversity Award, and the Commission of Professors of Adult Education Early Career Award. FIGURES 1.1 Andragogy in practice 3.1 The natural maturation toward self-direction as compared with the culturally permitted rate of growth of self-direction 5.1 Andragogy in practice model 8.1 Performance diagnosis matrix of enabling questions 8.2 Adult learners controlling their own learning process 9.1 Pratt’s model of high and low direction and support 9.2 Kolb’s experiential learning model 10.1 Learning-how-to-learn needs 14.1 A conceptual model of effective computer-based instruction for adults 16.1 Platon’s Erziehungslehre 16.2 Lifewide education 20.1 A typical learning contract 6 42 80 151 157 178 180 199 252 285 290 328 TABLES 3.1 3.2 4.1 5.1 5.2 6.1 6.2 7.1 7.2 7.3 7.4 9.1 9.2 9.3 10.1 10.2 10.3 10.4 10.5 18.1 18.2 18.3 19.1 20.1 Summary of Lindeman’s key assumptions about adult learners Major contributions of clinical psychologists Process elements of andragogy Changes in core andragogical principles Individual learner differences Propounders and interpreters of learning theory World views or metaphysical systems Summary of Hilgard’s principles Gagné’s eight distinctive types of learning The role of the teacher A comparison of assumptions about human nature and behavior by leaders in management and education Grow’s stages in learning autonomy Kolb’s model with suggested learning strategies Characteristics and skills of motivating instructors Individual learner differences Representative learning style systems Levinson’s life task developmental model Erikson’s stages of identity development Loevinger’s stages of ego development Andragogical learner analysis Andragogical learner analysis for adult basic education case Andragogical learner analysis for management development case API version 4 scoring key Evidence of accomplishment of objectives – examples 22 27 52 73 86 92 95 107 113 123 145 170 181 183 188 195 204 204 205 311 313 315 324 329 PREFACE Welcome to the newest edition of The Adult Learner. It is an honor for us to join with Malcolm Knowles in this updated and revised ninth edition. The Adult Learner has stood as a core work on adult learning for over 40 years. Our goal is for it to remain a classic in the field of adult learning and human resource development. We approached the task of continuing to update this classic book with care and thoughtfulness. In shaping this revision, we thought it was still important to preserve Malcolm’s works and thoughts as close to their original form as possible. At the same time, we heard reader feedback loudly and clearly that it was time to give the book a fresh, updated feel. So, while we have preserved all of Malcom’s core material, we have also tried to make it more accessible and readable. We also welcome a new author to the team. Dr. Petra A. Robinson, Associate Professor of Adult Education and Human Resource Development at Louisiana State University, has graciously accepted our invitation to lend her expertise to keep Malcolm’s work alive and relevant. She brings a unique voice to our discussions of diversity and inclusion in adult learning, technology and the adult learner, and international applications of andragogy. Her energy and enthusiasm for andragogical adult learning will help make this and future editions even more powerful. Highlights of the ninth edition include: a new chapter on diversity and inclusion in the adult education classroom; a new chapter on andragogy and adult online learning; publication of a new assessment tool, the andragogy in practice inventory; and an expanded and strengthened section of tools and resources for applying andragogy. In addition, we have prepared a set of PowerPoint slides for each chapter, which will be available on the supporting website to anyone adopting the book for classroom use. The slides now include an andragogical instructional activity to use in the xiv • Preface classroom for each chapter to further engage students. We hope you will agree that we have only improved upon the very successful eighth edition. Each of the five parts of The Adult Learner have their own style. While the voices are varied, the messages are harmonious. The messages of lifelong learning, faith in the human spirit, and the role that adult learning professionals play in the adult learning process comes through chapter by chapter. Our hope is that this new edition of The Adult Learner, and its potential to advance adult learning wherever it is practiced, is realized and that Malcolm Knowles’ vision continues to thrive in this new century. We would like to thank several colleagues for their help at various points in this effort. John Henschke, Jost Reischmann, and Reid Bates all contributed their work to this expanded edition. Finally, thanks to our families who continue to believe that our work is important and worth the sacrifices. Elwood F. Holton III Louisiana State University Richard A. Swanson University of Minnesota Petra A. Robinson Louisiana State University PART 1 ADULT LEARNING 1 INTRODUCTION TO ADULT LEARNING In the early 1970s, when andragogy and the concept that adults and children learn differently was first introduced in the United States by Malcolm Knowles, the idea was groundbreaking and sparked a great deal of research and controversy. Since the earliest days, adult educators have debated the essence of andragogy. Spurred in large part by the need for a defining theory within the field of adult education (AE), andragogy has been extensively analyzed and critiqued. It has been alternately described as a set of guidelines (Merriam, 1993), a philosophy (Pratt, 1993), a set of assumptions (Brookfield, 1986), and a theory (Knowles, 1989). The disparity of these positions is indicative of the complex nature of adult learning. Regardless of what it is called, “andragogy is an honest attempt to focus on the learner. In this sense, it does provide an alternative to the methodologycentered instructional design perspective” (Feur and Gerber, 1988, p. 3). Merriam et al. (2007), in explaining the complexity and present condition of adult learning theory, offer the following: It is doubtful that a phenomenon as complex as adult learning will ever be explained by a single theory, model, or set of principles. Instead, we have a case of the proverbial elephant being described differently depending on who is talking and on which part of the animal is examined. In the first half of this century, psychologists took the lead in explaining learning behavior; from the 1960s onward, adult educators began formulating their own ideas about adult learning and, in particular, about how it might differ from learning in childhood. Both of these approaches are still operative. Where we are headed, it seems, is toward a multifaceted understanding of adult learning, reflecting the inherent richness and complexity of the phenomenon. (p. 83) 4 • Adult learning Despite years of critique, debate, and challenge, the core principles of adult learning advanced by andragogy have endured (Davenport and Davenport, 1985; Hartree, 1984; Pratt, 1988). Few adult learning scholars would disagree with the observation that Knowles’ ideas sparked a revolution in AE and workplace learning (Feur and Gerber, 1988). Brookfield (1986), positing a similar view, asserts that andragogy is the “single most popular idea in the education and training of adults.” Adult educators, particularly beginning ones, find these core principles invaluable in the practical challenge of shaping the learning process for adults. It is beyond the scope of this introductory book to address all the dimensions of the theoretical debate raised in academic circles. Our position is that andragogy presents core principles of adult learning that in turn enable those designing and conducting adult learning to build more effective learning processes for adults. It is a transactional model that speaks to the characteristics of the learning transaction, not to the esoteric goals and aims of that transaction. Thus, andragogy is applicable to any adult learning transaction, from community education to human resource development (HRD) in organizations. Care must be taken to avoid confusing core principles of the adult learning transaction with the goals and purposes for which the learning event is being conducted. They are conceptually distinct, though as a practical matter may at times overlap. Critiques of andragogy point to missing elements that keep it from being a defining theory of the discipline of adult education (Davenport and Davenport, 1985; Grace, 1996; Hartree, 1984), not of adult learning. Grace (1996), for example, criticizes andragogy for focusing solely on the individual, and not operating from a critical social agenda or debating the relationship of AE to society. This criticism reflects the goals and purposes of the discipline of AE. Human resource development in organizations has a different set of goals and purposes, which andragogy also does not embrace. Community health educators have yet another set of goals and purposes that are not embraced. We see the strength of andragogy as a set of core adult learning principles that apply to all adult learning situations. The goals and purposes for which the learning is offered are a separate issue. Adult education professionals should develop and debate models of adult learning separately from models of the goals and purposes of their respective fields that foster adult learning. Human resource development, for example, embraces organizational performance as one of its core goals, whereas AE focuses more on individual growth. Introduction to adult learning • 5 It is important to note that these core principles are incomplete in terms of learning decisions. Figure 1.1 graphically shows that andragogy is a core set of adult learning principles. The six principles of andragogy are: (1) the learner’s need to know; (2) self-concept of the learner; (3) prior experience of the learner; (4) readiness to learn; (5) orientation to learning; and (6) motivation to learn. These principles are listed in the center of the model. As you will see in this and subsequent chapters, there are a variety of other factors that affect adult learning in any particular situation, and may cause adults to behave more or less closely to the core principles. Shown in the two outer rings of the model, they include individual learner and situational differences, and goals and purposes for learning. Andragogy works best in practice when it is adapted to fit the uniqueness of the learners and the learning situation. We see this not as a weakness of the principles, but as a strength. Their strength is that these core principles apply to all adult learning situations, as long as they are considered in concert with other factors that are present in the situation. This ninth edition of The Adult Learner provides a journey from theory to practice in adult learning. Figure 1.1 provides a snapshot summary of considerations within the journey in displaying the six core adult learning principles surrounded by the context of individual and situational differences, and the goals and purposes of learning. The following chapters will reveal the substance and subtleties of this holistic model of andragogy in practice. PLAN FOR THE BOOK The first part of the book, “Adult Learning” (Chapters 1–5), presents the introduction to the book and adult learning (Chapters 1 and 2), the andragogical perspective on adult learning (Chapters 3 and 4), and the presentation of the andragogy in practice model (Chapter 5). Part 2, “The Backdrop of Learning and Teaching Theories” (Chapters 6–8), presents theories of learning in Chapter 6 and theories of teaching in Chapter 7. Chapter 8 presents principles for adult learning within human resource development. Part 3, “Advancements in Adult Learning” (Chapters 9–14), explores new perspectives on andragogy (Chapter 9), beyond andragogy (Chapter 10), diversity and inclusion in the adult education classroom (Chapter 11), and neuroscience and andragogy (Chapter 12). Chapter 13, “Andragogy and Adult Online Learning,” and Chapter 14, “Effective Computer-Based 6 • Adult learning Goals and purposes for learning Individual and situational differences Andragogy: Core adult learning principles 3 Prior experience of the learner • resource • mental models 4 Readiness to learn • life-related • developmental task 5 Orientation to learning • problem-centered • contextual Societal growth Subject matter differences 2 Self-concept of the learner • autonomous • self-directing Situational differences Institutional growth 1 Learners need to know • why • what • how 6 Motivation to learn • intrinsic value • personal payoff Individual learner differences Individual growth Figure 1.1 Andragogy in practice Source: Knowles et al. (1998) Instruction for Adults,” extend andragogy into the realm of adult learning using technology. Part 4, “International and Future Perspectives on Andragogy” (Chapters 15–17), looks beyond the boundaries of geography, context, culture, and time. Specific topics include European perspectives on adult learning (Chapter 15), andragogy: history, meaning, context, and function (Chapter 16), and the future Introduction to adult learning • 7 of andragogy (Chapter 17). Chapter 17 offers a research agenda for andragogy using quantitative and qualitative methods. Part 5, “Tools and Resources for Implementing Andragogy” (Chapters 18– 22), offers a new toolkit for facilitators of andragogical adult learning. Chapter 18, “Andragogical Learner Analysis Using the Andragogy in Practice Framework,” covers a methodology for assessing learning situations and learners using the andragogy in practice framework. Two case studies are included. Chapter 19, “Andragogy in Practice Inventory,” releases the newest version of the API, a research-based assessment instrument. Chapter 20 offers Knowles’ time-tested guidelines for the use of learning contracts. Chapters 21 and 22 cover two self-development tools, the competency diagnostic and planning guide for adult educators/trainers (Chapter 21) and the personal adult learning style inventory (Chapter 22). REFLECTION QUESTIONS 1.1 What are your general thoughts on how humans learn? 1.2 Based on personal experience, what key factors are related to adult learning? 1.3 Why is andragogy in practice (Figure 1.1) presented as a holistic learning model? 1.4 If you understood more about how adults learn, how would you use this information in your day-to-day life? 1.5 If you understood more about how adults learn, how would you use this information in your work as an educator/teacher/trainer? BIBLIOGRAPHY Adams-Webber, J. R. Personal Construct Theory: Concepts and Application. New York: Wiley-Interscience, 1979. Akande, J. O., and Jegede, P. 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