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Andragogy and self-directed learning continue to be

important to our present-day understanding of adult

learning.

Andragogy and Self-Directed Learning:

Pillars of Adult Learning Theory

Sharan B. Merriam

The central question of how adults learn has occupied the attention of

scholars and practitioners since the founding of adult education as a professional

field of practice in the 1920s. Some eighty years later, we have no

single answer, no one theory or model of adult learning that explains all that

we know about adult learners, the various contexts where learning takes

place, and the process of learning itself.

What we do have is a mosaic of theories, models, sets of principles, and

explanations that, combined, compose the knowledge base of adult learning. Two

important pieces of that mosaic are andragogy and self-directed learning. Other

chapters in this volume focus on some of the newer approaches to understanding

learning; the purpose of this chapter is to revisit two of the foundational theories

of adult learning with an eye to assessing their “staying power” as important

components of our present-day understanding of adult learning.

Early Research on Adult Learning

While we have known for centuries that adults learn as part of their daily lives,

it wasn’t until the early decades of the twentieth century that learning was studied

systematically. The question that framed much of the early research on adult

learning was whether or not adults could learn. The first book to report the

results of research on this topic, Thorndike, Bregman, Tilton, and Woodyard’s



Adult Learning (1928), was published just two years after the founding of adult

education as a professional field of practice. Thorndike and others approached

adult learning from a behavioral psychological perspective. That is, people were

tested under timed conditions on various learning and memory tasks.

NEW DIRECTIONS FOR ADULT AND CONTINUING EDUCATION, no. 89, Spring 2001 © Jossey-Bass, A Publishing Unit of

John Wiley & Sons, Inc.

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4 THE NEW UPDATE ON ADULT LEARNING THEORY



Findings from much of the early research were a function of research

design. Tests of older adults against young people under timed conditions

made it appear that being younger meant being a better learner. Lorge (1944,

1947) later pointed out that adult test scores were related to previous education

and skills, not to age per se. Since older adults had less formal education

and less opportunity to develop test-taking skills, it only appeared that they

were less-capable learners. Moreover, when Lorge focused on adults’ ability to

learn rather than on the speed or rate of learning (that is, when time pressure

was removed), adults up to age seventy did as well as younger adults.

The development of intelligence tests also came during this period. As

with learning tasks, students scored well when compared to adults, as did

young adults when compared to older adults. As the measurement of intelligence

became more complex, scores indicated declines on some subtests but

not on others. Today it is recognized that adults score better on some aspects

of intelligence as they age and worse on others, resulting in a fairly stable composite

measure of intelligence until very old age (Schaie and Willis, 1986).

In addition to intelligence, other aspects of human learning such as

problem solving and cognitive development have been the focus of study by

educational psychologists since the 1950s. Much of this research has not

differentiated adults from children. When adults are included as part of the

sample, the emphasis has been on how advancing age influences the ability

to recall, to process information, and to problem solve. Generalizations from

this set of literature are difficult to make, as much of the research has been

conducted in laboratories or other artificial settings, making its applicability

to real-life situations questionable. Further, deficits and declines are often

shown to be functions of noncognitive factors such as level of education,

training, health, and speed of response (Merriam and Caffarella, 1999).

Until mid–twentieth century, adult educators relied on research in psychology

and educational psychology for an understanding of adult learning.

As described, this research was behavioristic in design, and often insights

about adult learning were extrapolated from research with children or

research that placed adults under the same conditions as children. But as part

of the drive to differentiate adult education from other forms of education,

adult educators began to consider whether adult learning could be distinguished

from learning in childhood. A new inquiry drove this effort. The

question of whether adults could learn was put to rest, and the new focus of

what was different about adult learning emerged. Thus, the drive to professionalize,

which included the need to develop a knowledge base unique to

adult education, was the context in which two of the field’s most important

theory-building efforts—andragogy and self-directed learning—emerged.

Andragogy

In 1968, Malcolm Knowles proposed “a new label and a new technology”

of adult learning to distinguish it from preadult schooling (p. 351). The

ANDRAGOGY AND SELF-DIRECTED LEARNING 5

European concept of andragogy, which he defined as “the art and science of

helping adults learn,” was contrasted with pedagogy, the art and science

of helping children learn (Knowles, 1980, p. 43). Andragogy became a rallying

point for those trying to define the field of adult education as separate

from other areas of education.

The five assumptions underlying andragogy describe the adult learner

as someone who (1) has an independent self-concept and who can direct his

or her own learning, (2) has accumulated a reservoir of life experiences that

is a rich resource for learning, (3) has learning needs closely related to changing

social roles, (4) is problem-centered and interested in immediate application

of knowledge, and (5) is motivated to learn by internal rather than

external factors. From these assumptions, Knowles proposed a programplanning

model for designing, implementing, and evaluating educational

experiences with adults. For example, with regard to the first assumption

that as adults mature they become more independent and self-directing,

Knowles suggested that the classroom climate should be one of “adultness,”

both physically and psychologically. In an “adult” classroom, adults “feel

accepted, respected, and supported”; further, there exists “a spirit of mutuality

between teachers and students as joint inquirers” (1980, p. 47). And

because adults manage other aspects of their lives, they are capable of directing,

or at least assisting in planning, their own learning.

The 1970s and early 1980s witnessed much writing, debate, and discussion

about the validity of andragogy as a theory of adult learning. At first

the main point of contention was whether andragogy could be considered

a “theory” of adult learning. Davenport and Davenport (1985, p. 157), in

their chronicle of the debate, note that andragogy has been classified “as a

theory of adult education, theory of adult learning, theory of technology of

adult learning, method of adult education, technique of adult education,

and a set of assumptions.” Hartree (1984) questioned whether there was a

theory at all, suggesting that perhaps these were just principles of good practice,

or descriptions of “what the adult learner should be like” (p. 205).

Knowles himself came to concur that andragogy is less a theory of adult

learning than “a model of assumptions about learning or a conceptual

framework that serves as a basis for an emergent theory” (1989, p. 112).

The second area of criticism, ongoing to this day, is the extent to which

the assumptions are characteristic of adult learners only. Some adults are highly

dependent on a teacher for structure, while some children are independent,

self-directed learners. The same is true for motivation; adults may be externally

motivated to learn, as in attending training sessions to keep their job, for example,

while children may be motivated by curiosity or the internal pleasure of

learning. Even the most obvious assumption that adults have more and deeper

life experiences may or may not function positively in a learning situation.

Indeed, certain life experiences can act as barriers to learning (Merriam, Mott,

and Lee, 1996). Further, children in certain situations may have a range of

experiences qualitatively richer than some adults (Hanson, 1996).

6 THE NEW UPDATE ON ADULT LEARNING THEORY

That these assumptions were not necessarily true of all adults led

Knowles himself to revise his thinking as to whether andragogy was just for

adults and pedagogy just for children. Between 1970 and 1980 he moved from

an andragogy versus pedagogy position to representing them on a continuum

ranging from teacher-directed to student-directed learning. He acknowledged

that both approaches are appropriate with children and adults, depending on

the situation. For example, an adult who knows little or nothing about a topic

will be more dependent on the teacher for direction; at the other extreme,

children who are naturally curious and who are “very self-directing in their

learning outside of school . . . could also be more self-directed in school”

(Knowles, 1984, p. 13). This acknowledgment by Knowles resulted in andragogy

being defined more by the learning situation than by the learner.

Focusing on the teaching-learning situation seems to be the position

taken by Cyril Houle, Knowles’s mentor and author of a number of books

on adult education. For Houle (1996, pp. 29–30), “education is fundamentally

the same wherever and whenever it occurs. It deals with such basic

concerns as the nature of the learner, the goals sought, the social and physical

milieu in which instruction occurs, and the techniques of learning or

teaching used. These and other components may be combined in infinite

ways. . . . Andragogy remains as the most learner-centered of all patterns of

adult educational programming.” What is significant, Houle writes, is that

andragogy has alerted educators to the fact that they “should involve learners

in as many aspects of their education as possible and in the creation of

a climate in which they can most fruitfully learn” (p. 30).

The scholarship on andragogy since 1990 has taken two directions.

Some have analyzed the origins of the concept or its usage in different parts

of the world. Another group of scholars has critiqued andragogy for its lack

of attention to the context in which learning occurs.

Science, Discipline, or Technology? The ongoing international discussion

and research on the concept of andragogy serves as a touchstone in

the continued effort to professionalize through the establishment of a scientific

discipline. Henschke (1998), citing several others, makes a point that

andragogy with its humanistic philosophical underpinnings is well suited to

democratically oriented societies. He suggests that the term can be illuminated

through an analysis of Hebrew words that expand “and are also

antecedent to the emergence of” the term. Andragogy, informed by humanism

and Hebraic language, could be defined as “a scientific discipline” that

studies everything related to learning and teaching “which would bring

adults to their full degree of humaneness” (Henschke, 1998, p. 8). In another

example of this thrust, Pastuovic (1995) explores the problems inherent in

forming a scientific system for adult education. He finds andragogy to be the

technological application of psychological and sociological knowledge, and

not in itself “a science of the system of adult education” (p. 289).

Dusan Savicevic, who introduced Knowles to the term andragogy, has

compared the concept in Europe and America. Andragogy originated in

ANDRAGOGY AND SELF-DIRECTED LEARNING 7

nineteenth-century Germany, where the educational programs of the workers’

movement sought to differentiate themselves from children and schooling

(Savicevic, 1998). In the second half of the twentieth century, andragogy

was connected with the professionalization of adult education in both

Europe and America. Out of the move to professionalize, as many as five

conceptions of andragogy can be identified (Savicevic, 1991). For example,

in some Central and Eastern European countries, where “pedagogy is an

integrating science of education,” andragogy is one of the disciplines of pedagogy

(Savicevic, 1991, p. 197); in other countries andragogy and pedagogy

are subsumed under the general science of education, and in yet other countries,

andragogy is considered an independent scientific discipline.

Today the term andragogy is used in Poland, Germany, the Netherlands,

Czechoslovakia, Russia, Yugoslavia, and other central and eastern European

countries to refer to what the British and Americans call adult education

(Draper, 1998). That is, andragogy as it has evolved in Europe is equivalent

to our North American understanding of adult education as a professional

field of practice (of which andragogy is but one prescriptive model of “how

teachers and students should behave” [Savicevic, 1991, p. 198]). Even with

these differences, Savicevic points out that both usages have several elements

in common: roots in European culture; a “philosophy of lifelong education in

which education and learning of adults is of primary importance”; increasing

professionalism where andragogy, “under different names, has found its place

in universities” as a discipline; and the emergence of professional organizations

and publications (1998, p. 116). At the heart of the enterprise, whether

it’s called andragogy or adult education, is “the understanding of the position

of a grown person in the process of education” (p. 114).

Context-Free Andragogy? The second stream of work in the 1990s

has been a critique of the psychological focus of North American andragogy

(Grace, 1996; Little, 1994; Pearson and Podeschi, 1997; Pratt, 1993). In the

1993 edition of Update on Adult Learning Theory, Pratt predicted that scholarship

on andragogy would be characterized by the “tension between

human agency and social structures as the most potent influences on adult

learning. Here, andragogy is unconditionally on the side of human agency

and the power of the individual to shed the shackles of history and circumstance

in pursuit of learning” (p. 22).

Based in humanistic psychology, Knowles’s version of andragogy presents

the individual learner as one who is autonomous, free, and growthoriented.

Critics have pointed out that there is little or no acknowledgment

that every person has been shaped by his or her culture and society, that

every person has a history, and that social institutions and structures define,

to a large extent, the learning transaction irrespective of the individual

learner. Grace (1996, p. 383) notes that andragogy was introduced into

North America in the late 1960s, “when action-oriented curricula that valued

individual experience were advocated. The individual had to keep up

and self-improvement was in vogue.” And even though Knowles promoted

8 THE NEW UPDATE ON ADULT LEARNING THEORY

andragogy for the next thirty years, he never considered “the organizational

and social impediments to adult learning; he never painted the ‘big picture.’

He chose the mechanistic over the meaningful” (Grace, 1996, p. 386). Grace

predicts that because “Knowles has reduced the adult learner to a technically

proficient droid, operating in a world where formulaic social planning

and self-directed learning mantras are the order of the day,” he “is in danger

of being left behind” (p. 391).

Discussions of andragogy in the decade of the 1990s demonstrate both

its usefulness for exploring some of the definitional and philosophical issues

related to the evolution of adult education as a scientific discipline, and its

strengths and weaknesses as a guide to practice. And it is as a guide to practice

that andragogy has had its biggest impact. As Pratt (1993, p. 21) in his

assessment of andragogy writes, “andragogy has been adopted by legions of

adult educators around the world. . . . Very likely, it will continue to be the

window through which adult educators take their first look into the world

of adult education.” However, “while andragogy may have contributed to

our understanding of adults as learners, it has done little to expand or clarify

our understanding of the process of learning,” nor has it achieved the

status of “a theory of adult learning”(Pratt, 1993, p. 21).

Self-Directed Learning (SDL)

About the same time that Knowles introduced andragogy to North American

adult educators, self-directed learning appeared as another model that

helped define adult learners as different from children. Knowles (1975) himself

contributed to the self-directed learning literature with a book explaining

the concept and outlining how to implement it through learning

contracts. And it might be recalled that the first assumption underlying

Knowles’s view of andragogy is that learners become increasingly selfdirected

as they mature. However, it was Tough (1967, 1971), building on

the work of Houle (1961), who provided the first comprehensive description

of self-directed learning as a form of study. Tough studied and described

the self-planned learning projects of sixty-six Canadians. The uncovering

and documenting of this type of learning—learning that is widespread, that

occurs as part of adults’ everyday life, and that is systematic yet does not

depend on an instructor or a classroom—generated one of the major thrusts

of research in the field of adult education.

Based on the pioneering work of Houle, Tough, and Knowles, early

research in self-directed learning was descriptive, verifying the widespread

presence of self-directed learning among adults and documenting the process

by which it occurred. Overlapping with descriptive research, and continuing

today, is work on model-building, discussions of the goals and ethics of SDL,

clarifications of the nature of self-direction, and ways of assessing self-direction

in learning. I will first summarize the literature according to the three

categories presented in Merriam and Caffarella’s 1999 review—the goals, the

ANDRAGOGY AND SELF-DIRECTED LEARNING 9

process, and the learner. This section is followed by an appraisal of the current

status of self-directed learning research.

The Goals, the Process, the Learner. Depending on the philosophical

orientation of the writer, the goals of self-directed leaning vary. Those

grounded in a humanistic philosophy posit that self-directed learning should

have as its goal the development of the learner’s capacity to be self-directed.

Knowles and Tough wrote from this perspective as do Brockett and Hiemstra

(1991). In their Personal Responsibility Orientation (PRO) model of selfdirected

learning, human nature that is “basically good . . . accepting responsibility

for one’s own learning” and being proactive drive their model (p. 26).

A second goal is the fostering of transformational learning (Brookfield,

1986, Mezirow, 1985). Transformational learning as presented by Mezirow

(see Chapter Two) posits critical reflection by the learner as central to the

process (2000). This critical reflection is an “understanding of the historical,

cultural, and biographical reasons for one’s needs, wants, and interests. . . .

Such self-knowledge is a prerequisite for autonomy in self-directed learning”

(Mezirow, 1985, p. 27). Further, it is our job as adult educators “to assist

adults to learn in a way that enhances their capability to function as selfdirected

learners” (Mezirow, 1981, p. 137).

The third goal for self-directed learning is the promotion of emancipatory

learning and social action. Just as andragogy has been critiqued for

ignoring the context of learning, so too some writers would like to see selfdirected

learning positioned more for social and political action than individual

learning. Both Brookfield (1993) and Collins (1996) call for a more

critical, political analysis of SDL. An example of this orientation is a recent

study by Andruske (2000), wherein she investigated the self-directed learning

projects of women on welfare. She found that the women became “political

change agents as they attempt[ed] to control and to initiate change in

their everyday worlds in response to oppressive external structures” (p. 11).

How one actually works through a self-directed learning experience has

generated a number of models of the process. The earliest models proposed

by Tough (1971) and Knowles (1975) are the most linear, moving from diagnosing

needs to identifying resources and instructional formats to evaluating

outcomes. Models developed in the late 1980s and the 1990s are less

linear and more interactive; in such models not only the learner but the context

of the learning and the nature of the learning itself are taken into

account. In Danis’s (1992) model, for example, learning strategies, phases of

the learning process, the content, the learner, and the environmental factors

in the context must all be taken into account in mapping the process of SDL.

What Merriam and Caffarella (1999) term “instructional” models of the

process focus on what instructors can do in the formal classroom setting to foster

self-direction and student control of learning. The best known of these is

Grow’s (1991, 1994) Staged Self-Directed Learning (SSDL) model. Grow presents

a matrix whereby learners can locate themselves in terms of their readiness

for and comfort with being self-directed, and instructors can match the

10 THE NEW UPDATE ON ADULT LEARNING THEORY

learner’s stage with appropriate instructional strategies. For example, whereas

a dependent learner needs more introductory material and appreciates lecture,

drill, and immediate correction, a self-directed learner can engage in independent

projects, student-directed discussions, and discovery learning.

In addition to goals and process, the literature can be categorized according

to the learner and the extent to which self-directedness is an a priori personal

characteristic and associated with other variables such as educational level, creativity,

learning style, and so on. Two scales of self-directedness, one measuring

readiness (Guglielmino, 1997), and one measuring personal characteristics

(Oddi, 1986), have been used in a number of studies. In addition to these empirical

studies, the relationship between autonomy and self-directedness has been

explored. Candy (1991, p. 309) writes that since a learner’s autonomy is likely

to “vary from situation to situation,” educators should not assume that because

a person has been self-directed in one situation, “he or she will be able to succeed

in a new area: Orientation, support and guidance may all be required in the

first stages of a learning project.”

Current Assessment of SDL. The preceding brief overview of selfdirected

learning draws from a very broad literature base. Contributing to the

literature has been fourteen years of meetings of the annual International Symposium

on Self-Directed Learning. As the continuing existence of this conference

attests, self-directed learning remains a viable arena for theory building

related to adult learning. However, self-directed learning appears to be at a

juncture in terms of which direction research and theory building should take

in order to advance our understanding of this important dimension of adult

learning. In an attempt to address this issue, Brockett et al. (2000) conducted

a content analysis of 122 articles on self-directed learning published in fourteen

periodicals between 1980 and 1998. They found that there has been a

steady decline in the number of articles on SDL since the mid-1980s. Brockett

(2000, p. 543) comments that this indicator, along with the shift away from

“the individual adult learner toward looking at the sociopolitical context of

adult education,” might suggest that SDL has no future as a means for understanding

adult learning. However, he makes the case that rather than move

away from thirty years of scholarship on SDL, “the real challenge . . . is how to

take the study of self-direction to a new level” (p. 543). The development of

another instrument, a focus on the quality of the experience, studying how

people engage and manage their self-directed learning, and asking about the

ethical use or misuse of SDL are suggestions for this new work (Brockett, personal

communication, September 28, 2000). Merriam and Caffarella (1999)

list the following areas for investigation, all of which could expand our understanding

of adult learning through SDL:

• How some adults remain self-directed in their learning over long periods

of time


• How the process changes as learners move from novice to expert in subject

matter and learning strategies

ANDRAGOGY AND SELF-DIRECTED LEARNING 11

• How issues of power and control interact with the use of SDL in formal

settings

• Whether being self-directed as a learner has an impact on one’s instructional

and planning activities

• What the role is of public policy in SDL

• What the critical practice of SDL looks like in practice

• How contextual factors interact with the personal characteristics of selfdirected

learners

Clearly, there are numerous possibilities for how future research on selfdirected

learning might enrich adult education practice as well as contribute

to theory in adult learning.

Conclusion

This chapter began by explaining the context in which andragogy and SDL

emerged. Appearing at about the same time, andragogy and self-directed

learning were the first two attempts by adult educators to define adult education

as a unique field of practice, one that could be differentiated from learning

in general and childhood education in particular. Ironically, both have

been criticized for a blinding focus on the individual learner while ignoring

the sociohistorical context in which it occurs. However, both andragogy and

SDL have become so much a part of adult education’s identity, and have had

such an impact on practice, that relegating them to the status of historical artifact

is inconceivable. And, as we’ve seen in this chapter, today’s scholars in

both andragogy and self-directed learning are grappling with the tough issues.

A more likely scenario is that both of these “pillars” of adult learning theory

will continue to engender debate, discussion, and research, and in so doing,

further enrich our understanding of adult learning.

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SHARAN B. MERRIAM is professor of adult education at The University of Georgia,

Athens.


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