[Note: A later version of this chapter is in Merriam, S. B. (Ed.). (1993). An update on adult learning theory (New Directions for Adult and Continuing Education, No. 57). San Francisco: Jossey-Bass.]

The adult learning theories or models of three scholars that have not been adequately researched are described and analyzed in terms of their potential for increasing our knowledge of adult learning.

Three Underdeveloped Models for Adult Learning

Roger Hiemstra

As shown in other chapters, there have been many efforts to construct theories or models that provide some explanation of how and why adults learn. Some have been more successful than others. A few have drawn considerable attention in terms of being referenced or discussed in the literature several times since they were first introduced. However, these latter "theories" have not been thoroughly tested or developed by various researchers and, subsequently, have remained primarily associated with their originators.

In this chapter I discuss three such "theories," including their origin, the original underlying assumptions or purposes, and contributions made to our understanding of adult learning. I also describe a few instances where further research on them has been conducted. In addition, I speculate on why each has retained some "popularity" and suggest something about their potential usefulness.

Chain of Response (COR)/Characteristics of Adults as Learners (CAL)

K. Patricia Cross, although not trained nor making her career in adult education, made a significant impact on the field with several publications during the seventies to early eighties. Some of her initial work was with the Commission on Non-Traditional Study. She was involved with several publications which provided some foundational support for various US efforts to develop adult non-traditional study opportunities (Cross, 1971, 1976; Cross, Valley, and Associates, 1974; Gould and Cross, 1972).

Cross' most important publication was her 1981 Adults as Learners. This book was designed to synthesize much of the information available regarding adult learning and served as a primary text for several years in many North American graduate courses related to adult learning. She popularized some information about barriers to adult learning, studies of participation, and developmental stages. She also introduced two conceptual frameworks to describe various aspects of adult learning and to stimulate related research.

The first of these she dubbed the COR (Chain-of-Response) model. It pertains to adult participation in learning: "[this is] the rough beginning of a conceptual framework designed to identify the relevant variables and hypothesize their interrelationships" (Cross, 1981, p. 124). Reynolds (1986) described how Cross delineated some common elements of earlier participation models for the COR model: (a) motivation to participate is the result of an individual's perception of both positive and negative forces; (b) certain personality types are difficult to attract to education because of low self-esteem; (c) there is congruence between participation and anticipated learning outcomes; (d) higher order needs for achievement and self-actualization cannot be fulfilled until lower-order needs for security and safety are met; and (e) expectations of reward are important to motivation.

Arrows show one or two-way relationships among seven elements of the model, including (a) self-evaluation, which was interrelated with (b) attitudes about education, (c) importance of making and meeting goals, which was affected by (d) life transactions, with "c" also interrelated with (e) opportunities and barriers, which was affected by (f) information about the environment, with "e" also impacting on (g) participation, and "g" impacting back on "c." Cross believed the model should not be viewed as linear, although her two-dimensional depiction is linear visually. As Merriam and Caffarella (1991, p. 237) note, it is "also a reciprocal model in that participation in adult education [point] (G) can affect how one feels about education (B) and oneself as a learner (A)."

She called her second model the CAL (Characteristics of Adults as Learners) Conceptual Framework: "I offer the following model as a tentative framework to accommodate current knowledge about what we know about adults as learners, in the hope that it may suggest ideas for further research and for implementation" (1981, p. 234). Her purpose was to describe some differences between adults and children so alternative teaching strategies could be developed.

The model's visual depiction shows two classes of variables. The first is titled personal characteristics, including variables labelled Physiological/Aging, Sociocultural/Life Phases, and Psychological/Developmental Stages. The second is labelled situational characteristics, including variables titled Part-Time Learning Versus Full-Time Learning and Voluntary Learning Versus Compulsory Learning.

The personal characteristics are depicted as continuous in nature with before and after arrows used to enhance this visual image. The situational variables are intended to show primarily dichotomous relationships. Cross included a second figure with three continua depicting each characteristic's continuous nature.

She also detailed information about the personal and situational characteristics, and wove in some available research information. Included were examples of how people might exhibit certain characteristics. She concluded by discussing some implications in terms of current or needed research. Referring to these two models and other research described in the publication, she noted, "I hope and believe that many of the questions educators have about adult learning will be illuminated by the research reported in this book, but I hope even more strongly that readers will be helped to formulate new questions and to think in new ways about the future of the learning society" (1981, p. 249).

Contributions to Understanding Adult Learning. One of the things Cross attempted to accomplish was to synthesize the work of several adult education scholars. For example, she believed that some "of the assumptions of andragogy can be incorporated into [the] CAL construct" (1981, p. 238). These included such notions as readiness and self-concept. The CAL framework also provided a means for thinking about the ever-changing adult in terms of developmental stages.

Many aspects of what is known about participation were included in the COR model. Others have used such information in their own research. For example, Beaudin (1982) reviewed literature on student retention and described the COR model as a means for understanding participation. Reynolds (1986) sought to refine the COR model and explain who participates in learning activities by examining measures of self-actualization and self-directed readiness among adult community college students. However, Cross believed that the psychological aspects of her COR model were the most important: "If adult educators wish to understand why some adults fail to participate in learning opportunities, they need to begin at the beginning of the COR model -- with an understanding of attitudes toward self and education" (1981, p. 130).

Educators can use such models to stimulate various research projects. In essence, many interrelationships in the COR model become potential researchable areas. For example, we need to know more about how people formulate and use goals in relation to attitudes about education. Are there other personal or situational characteristics that need to be identified? Perhaps it will be possible with future researchers to create self-diagnostic procedures whereby learners can better understand the forces that she suggest impact on learning efforts.

Proficiency Theory of Adult Learning

Alan B. Knox, Adult Education Professor at the University of Wisconsin, has long been interested in various aspects of adult learning. A 1958 doctoral graduate of Syracuse University, he has been writing about adults as learners for nearly 40 years. His 1977 and 1986 books, for example, provided comprehensive information regarding both adult learning and teaching adults.

Knox also developed the inaugural issue of New Directions for Continuing Education (1979), and served as the sourcebook's Editor-in-Chief for several years. In this issue he dealt extensively with what he called practitioner proficiency: "It has become increasingly important that continuing education practitioners understand major areas of proficiency which contribute to their effectiveness, along with ways to acquire and use such proficiencies" (p. 1). Knox believed that to be successful, continuing educators need to develop deliberate strategies for increasing personal proficiency.

He identified some major areas of proficiency to be woven into strategies for helping adults learn, including understanding the field of continuing education, understanding adults as learners, having a positive attitude toward lifelong learning, and obtaining effective interpersonal relationship skills. He also outlined specific areas of proficiency for administrators, teachers, counselors, and policy makers.

One of the first times in published material that Knox referred to ideas about proficiency as part of a theory was in 1980: "Proficiency theory provides a parsimonious explanation of the teaching-learning transaction for adults in all its variety, and contains generalizations regarding human learning ... as well as generalizations that are especially important for adults with various characteristics, such as learning ability, age, and experience" (Knox, 1980, p. 382). He defined proficiency as "the capability to perform satisfactorily if given the opportunity," with performance referring to some combination of attitude, knowledge, and skill (1980, p. 378).

He began to talk about the need for teachers and learners to understand discrepancies that might exist between current and desired proficiencies. He believed that using needs assessment and evaluation activities in examining proficiencies was necessary: "an understanding of discrepancies between current and desired proficiencies help to explain motives of adult learners and enables those who help adults learn to do so responsively and effectively" (Knox, 1986, p. 16).

Knox believed that proficiency-oriented learning has potential for helping adults achieve at the highest possible level. In comparing proficiency ideas with competency-based approaches, he noted "whereas competency-based preparatory education emphasizes achievement of minimal standards of performance in educational tasks, proficiency-oriented continuing education emphasizes achievement of optimal standards of proficiency related to adult life roles" (Knox, 1986, p. 16). This idea of promoting excellence or optimal learning remains an attractive feature of his theory.

Contributions to Understanding Adult Learning. Merriam and Caffarella (1991, p. 255) suggest that proficiency theory contains several interactive components: "the general [societal] environment, past and current [personal] characteristics, performance, aspiration, self, discrepancies, specific [learning] environments, learning activity, and the teacher's role." Knox (1985, p. 252) indicates how the theory might be useful: "[the theory] suggests fundamental relationships among essential aspects of adult learning and teaching which constitute an interrelated set of guidelines for helping adults learn, with an emphasis on motivation."

Thus, instructors can use techniques or instruments designed to gain knowledge about any of the components. For example, suggestions for analyzing aspects of a learning environment are available (Hiemstra, 1991). Engaging learners in conversations, promoting self-reflection, and asking learners to develop learning plans that show how proficiencies will be increased are other possible techniques.

In my courses I ask learners to carry out self-assessments on various knowledge areas and personal characteristics. I also ask learners to complete learning contracts and provide them proficiency models against which they might compare their own needs and aspirations. Such a planning activity typically provides learners with basic information about current proficiencies and serves to guide their future learning efforts. Future research on using such techniques will refine our knowledge about Knox's model and proficiency areas.

The Theory of Margin

Howard Y. McClusky, a Professor of Educational Psychology and Adult Education at the University of Michigan from 1924 until his death in 1982, looked at adult learning through the eyes of a person trained in experimental psychology. He was long concerned with finding ways to help adults maintain a productive posture in meeting the requirements of living. Early in his career he worked primarily with young adults. Then as he himself aged, his concerns shifted to adults at later ages (Hiemstra, 1981). He focused primarily on adults in retirement his last fifteen years.

He introduced the Theory of Margin 30 years ago (McClusky, 1963). He felt the theory was relevant for understanding adults' physical and mental well-being, especially during their later years when various demands or pressures might increase. McClusky believed adulthood involved continuous growth, change, and integration, in which constant effort must be made to wisely use the energy available for meeting normal living responsibilities. However, because people have less than perfect control over many aspects of life, they must always be prepared to meet unpredictable crises or problems.

Margin was conceived of as a formula expressing a ratio or relationship between the "load" (of living) and the "power" (to carry the load). According to McClusky (1970, p. 27), load is "the self and social demands required by a person to maintain a minimal level of autonomy.... [Power is] the resources, i.e. [sic] abilities, possessions, position, allies, etc. [sic], which a person can command in coping with load [sic]. In this formula for margin (M), he placed designations of load (L) in the numerator and designations of power (P) in the denominator (M = L/P).

He further divided load into two groups of interacting elements, one external and one internal. The external load consists of tasks involved in normal life requirements (family, work, community responsibilities, and so forth). Internal load consists of life expectancies developed by people themselves, such as aspirations, desires, and future expectations. Power consists of a combination of such external resources and capacity as family support, social abilities, and economic abilities. It also includes various internally acquired or accumulated skills and experiences contributing to effective performance, such as resiliency, coping skills, and personality.

Thus, a person's performance will be a function of various load dimensions and values, as well as a capacity to carry the load. Margin can be increased by reducing load or increasing power. McClusky (1963) suggested that surplus power is always needed to provide enough margin or cushion to meet various load requirements and life emergencies.

Contributions to Understanding Adult Learning. For most adults, grasping what McClusky developed is an epiphany in terms of their own life circumstances. Finding ways of balancing the demands on life with goals or interests requires maintaining some sort of balance or margin. Thus, instructors should help learners discover aspects of the Theory of Margin.

The theory also can serve as a guide to explain some of what is happening throughout life. McClusky (1963) believed the value of the theory was its usefulness in describing varying amounts of Margin that could be involved in adult adjustment. Such value is directly observable when applying the theory to learning activities by adults in their later years. This is when radical changes in the load-power ratio may take place due to declining financial resources, death of a spouse, and so forth. In McClusky's (1970, p. 146) words, "In the light of our theory therefore [sic], a necessary condition for learning is access to and/or [sic] the activation of a Margin of Power that may be available for application to the processes which the learning situation requires."

Thus, a crucial element for meeting learning or other life demands is the ratio between load and power: "Whatever the load and whatever the power (up to a practical level), the crucial element is the surplus or margin of power in excess of load. It is this margin that confers autonomy on the individual, gives him [sic] an opportunity to examine a range of options, and enables him [sic] to reinvest his [sic] psychological capital in growth and development" (McClusky, n.d., p. 330). Frequently, learning during the adult years provides surplus power and becomes a major force in achieving various goals.

There are various ways an instructor can unknowingly generate excess "load" for a learner. If an instructor assumes a traditional, authoritarian attitude, learners may feel frustrated or that their opinions are being ignored. An instructor may seem disorganized or have distracting mannerisms that serve to discourage the learner. If inappropriate assignments are given or any evaluation guidelines are unclear, some adults will have difficulties. Thus, if an instructor pays little attention to creating an effective learning environment, some adults will experience increased loads due to distracting physical, social, or psychological features (Hiemstra and Sisco, 1990).

Margin theory also can be used as a research framework. For example, Baum (1978) studied widowhood and used Margin theory as a conceptual framework. Gessner (1979) used margin as a theoretical framework for studying nurses' participation in continuing education. Gleit (1976) used the theory to look at potential restrictions to participation in continuing education. Garrison (1986), James (1986), Mikolaj (1983), and Stevenson (1982) have attempted to measure aspects of power and load.

Finally, Margin theory can be used as a basis for practical applications. Main (1979) conceptualized a teaching and learning model based on power and load notions. Hiemstra (1981) proposed a framework for planning educational programs based on load and power imbalances, including examples for how it could be used.

Why Have These Theories Remained Popular?

Although the theories or models described in this chapter have not been fully developed, each has retained some "popularity" or utility in terms of being cited in the literature or being used as a basis for some research. One reason for their staying power is the charisma and prolific writing reputation of their originators. McClusky was an enormously popular and admired teacher, leader, and author. He was highly respected, held in high esteem, and many people simply believed what he said about adults and learning. However, his theory does not specifically address the actual function and features of learning, so empirical testing has been difficult.

Knox, too, has a charisma that attracts much respect. His visibility as a national leader, editor, and author have added "weight" to his conceptualizing efforts. Unfortunately, as Merriam and Caffarella (1991, pp. 255-256) note, "Knox's theory is not well known by adult educators, perhaps because its publication has been in sources outside the field of adult education.... Its emphasis on performance ... [limits] its application to learning ... [and how] one tracks the interaction of ten components ... to arrive at an explanation of how adults learn is far from clear."

Cross made a rapid and large impact on adult education with her many publications over a relatively short period. The popularity of her 1981 book also helped to lend credence to the conceptual work she presented. Unfortunately, the variables she described seem too broadly defined and await more refinement through future research.

There is considerable utility in their models and theories. Adult educators can see "practical" applications in what these three authors propose. For example, students can be helped to use their ideas in promoting personal change. Some people when they understand what Cross, Knox, or McClusky have described can immediately begin applying the concepts to their own situation. Thus, there is value in having these models accomplish such ends even if they are not fully developed.

What is Their Potential?

As theoretical models or frameworks, each idea presented in this chapter has potential value. Each attempts to organize existing knowledge pertaining to adult involvement with learning into a visible or usable framework. As such, each provides a foundation for further testing and refinement.

For example, a better understanding of the interrelationship among various participation factors is possible through more work with the COR model. There is much more about proficiencies that needs to be understood and why not use Knox's Proficiency Theory as a starting point. Although there have been several attempts to research aspects of Margin Theory, continued work can only serve to enhance some of the legacy McClusky left behind.

As Brookfield (1992) has noted, there are four criteria that must be met for a theory to be taken seriously: (a) the distinction, separateness, and discreteness of whatever phenomenon is being described; (b) the extent to which the phenomenon is grounded in observable and documented evidence; (c) the comprehensiveness of all aspects of the phenomenon; and (d) the extent to which the phenomenon can be examined for accuracy and validity by researchers other than the originator. Future researchers and practitioners can examine all four frameworks or theories in light of these criteria. Hopefully, publication of this issue will stimulate such future study and enhance the viability and usefulness of these models as theory to better guide work with adult learners.

References

Baum, J. "An Exploration of Widowhood: Implications for Adult Educators." In Proceedings of the Annual Adult Education Research Conference. San Antonio, Texas, 1978.

Beaudin, B. Retaining Adult Students. Overview. ERIC Fact Sheet No. 12. Columbus, Ohio: ERIC Clearinghouse on Adult, Career, and Vocational Education, 1982. (ED 237 800)

Brookfield, S. "Developing Criteria for Formal Theory Building in Adult Education." Adult Education Quarterly, 1992, 42, 79-93.

Cross, K. P. Beyond the Open Door: New Students to Higher Education. San Francisco: Jossey-Bass, 1971.

Cross, K. P. Accent on Learning. San Francisco: Jossey-Bass, 1976.

Cross, K. P. Adults as Learners: Increasing Participation and Facilitating Learning. San Francisco: Jossey-Bass, 1981.

Cross, K. P., Valley, J. R., and Associates. Planning Non-Traditional Programs. San Francisco: Jossey-Bass, 1974.

Garrison, D. R. "An Analysis and Reformulation of McClusky's Concept of Margin for Predicting Adult Dropout." In Proceedings of the Annual Adult Education Research Conference. Syracuse, N.Y.: Syracuse University, 1986.

Gessner, B. A. "Margin and its Relationship to Nurse's Participation in Continuing Professional Education." Unpublished doctoral dissertation, University of Wisconsin-Madison, 1979.

Gleit, C. J. "Effects of Family Composition on the North Carolina Nursing Force and their Participation in Continuing Education Programs." Unpublished doctoral dissertation, North Carolina State University at Raleigh, 1976.

Gould, S. B., and Cross, K. P. (eds.) Exploration in Non-Traditional Study. San Francisco: Jossey-Bass, 1972.

Hiemstra, R. "The Contributions of Howard Yale McClusky to an Evolving Discipline of Educational Gerontology." Educational Gerontology, 1981, 6, 209-226.

Hiemstra, R. (ed.). Creating Environments for Effective Adult Learning. New Directions for Adult and Continuing Education, no. 50, San Francisco: Jossey-Bass, 1991.

Hiemstra, R., and Sisco, B. Individualizing Instruction. San Francisco: Jossey-Bass, 1990.

James, J. M. "Instructor-Generated Load: An Inquiry Based on McClusky's Concept of Margin." Unpublished doctoral dissertation, University of Wyoming, 1986.

Knox, A. B. Adult Development and Learning. San Francisco: Jossey-Bass, 1977.

Knox, A. B. (ed.) Enhancing Proficiencies of Continuing Educators. New Directions for Continuing Education, no. 1, San Francisco: Jossey-Bass, 1979.

Knox, A. B. "Proficiency Theory of Adult Learning." Contemporary Educational Psychology, 1980, 5, 378-404.

Knox, A. B. "Adult Learning and Proficiency." In D. Kleiber and M. Maehr (eds), Advances in Motivation and Achievement. Vol. 4: Motivation in Adulthood. Greenwood, Conn.: JAI Press, 1985.

Knox, A. B. Helping Adults Learn. San Francisco: Jossey-Bass, 1986.

Main, K. "The Power-Load-Margin Formula of Howard Y. McClusky as the Basis for a Model of Teaching." Adult Education, 1979, 30, 19-33.

McClusky, H. Y. "Education for Aging: The Scope of the Field and Perspectives for the Future." In S. M. Grabowski and W. D. Mason (eds.), Learning for Aging. Washington, DC: Adult Education Association of the U.S.A., n.d.

McClusky, H. Y. "The Course of the Adult Life Span." In W. C. Hallenbeck (ed.), Psychology of Adults. Chicago: Adult Education Association of the U.S.A., 1963.

McClusky, H. Y. "An Approach to a Differential Psychology of the Adult Potential." In S. M. Grabowski (ed.), Adult Learning and Instruction. Syracuse, N. Y.: ERIC Clearinghouse on Adult Education, 1970. (ED 045 867)

Merriam, S. B., and Caffarella, R. S. Learning in Adulthood. San Francisco: Jossey-Bass, 1991.

Mikolaj, E. "The Intrapersonal Role Conflicts of Adult Women Undergraduate Students." In Proceedings of the Annual Adult Education Research Conference. Raleigh, North Carolina, 1983.

Reynolds, M. M. "The Self-Direction and Motivational Orientations of Adult Part-Time Students at a Community College." Unpublished doctoral dissertation, Syracuse University, 1986.

Stevenson, J. "Construction of a Scale to Measure Load, Power, and Margin in Life." Nursing Research, 1982, 31 (4), 222-225.

Roger Hiemstra is professor of adult learning and instructional design at Syracuse University, Syracuse, NY.

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