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CHAPTER EIGHT

The Importance and Use of Learning Contracts

Myron Washington was talking to his colleague, Thelma Ramos, about a new instructional technique he had heard about at a recent professional conference. The technique was the use of learning contracts in the classroom, and Myron was curious to know if Thelma had ever used them in her teaching. Thelma said that she had been using them for a couple of years and felt they were especially helpful in stimulating learners to take more responsibility for their own learning. Myron said: "That's what the speaker was saying at the conference. I'm curious though, how do you actually employ them? I don't think I understand how they are used. Maybe you could give me some tips and pointers." Thelma said she would be glad to and offered the following information.

During the first class meeting, she introduces the importance of self-directed learning and the need to find ways of nurturing this. She then describes learning contracts and suggests that they are a particularly useful tool for enabling self-directed learning. She hands out an illustrated example of a learning

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contract and then answers any of their questions. Thelma noted that most learners find learning contracts somewhat disconcerting at first, but once they overcome such anxiety, they tend to want to use them again and again. Myron thanked Thelma for the information and decided he would incorporate contracts into his courses next semester.

Learning contracts as a tool for promoting self-directed adult learning have received increased attention and use in recent years, so it is not surprising that Myron heard about them at a conference nor that Thelma was already using them. In such institutions as New York's Empire State College, the University of South Carolina, and the many universities in various countries with non-traditional or adult education programs, learning contracts have been used to help respond to the varying needs and backgrounds of adult learners (Brockett & Hiemstra, 1985). In addition, individual instructors in a variety of settings have used learning contracts in many ways (Knowles & Associates, 1984; Knowles, 1986).

Contracts often are associated with efforts to enhance self-directed learning as Thelma pointed out for her teaching. Smith (1982) and Smith and Haverkamp (1977) have developed a process called "learning how to learn" in which self-directed learning competencies can be integrated into the design of formal courses and workshops with the expectation that greater self-direction will result. This chapter discusses the learning contract and how it can be used to promote self-directed learning and enhance the individualizing of instructional efforts.

Learning Contracts Defined

1. Learning contracts are very effective in helping adults individualize their learning experiences.

According to Lindquist (1975), learning contracts work especially well with adults since they help satisfy at least four needs: "the logistical problems of working, married adults; the strong motivation to learn what one needs or wants to learn; the concern to develop intellectual skills and lifelong

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learning habits; and the desire to individualize and personalize learning" (p. 76). Learning contracts have also been used successfully in a variety of adult education settings, ranging from basic literacy through graduate study (Bauer, 1985; Knowles, 1986; and Sisco, 1986, 1988).

Essentially, a learning contract is a written plan that describes what an individual will learn as a result of some specified learning activity. It serves as a tool for communicating learning intentions between the learner and instructor. Learning contracts can take many forms and there are a number of terms used interchangeably in reference to them, such as learning plans, study plans, performance agreements, or self-development plans. We prefer the term learning contract since it is the most common term in use today (Knowles, 1986).

A learning contract typically consists of five major elements that specify the following: (1) the knowledge, skills, attitudes, and values to be acquired by the learner (learning objectives); (2) How these objectives are to be accomplished by the learner (learning resources and strategies); (3) the target date(s) for completion; (4) what evidence will be presented to demonstrate that the objectives have been completed (evidence of accomplishment); and (5) how this evidence will be judged or validated (criteria and means for validating evidence) (Knowles, 1986). A key to successful development of a learning contract is to make the learning activities "specific enough for the student to proceed and yet sufficiently flexible to permit initiative and creativity" (Avakian, 1975, p. 54).

Learning contracts have a variety of uses in education or training settings. According to Caffarella (1983) they can: (1) provide a means for dealing with the wide differences among any group of learners; (2) enhance individual motivation for learning; (3) facilitate the development of mutual respect between the instructor and participants; (4) provide for a more individualizing instructional mode; and (5) foster the skills of self-directed learning. Learning contracts also offer an alternative way of structuring a learning experience by placing equal emphasis on the design of what will be taught (content plan) as well as how a body of content will be acquired by the learners (process plan) (Knowles, 1986).

Chickering (1977) and Wald (1978), testify to the crucial nature

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of the learning contract, particularly in postsecondary education settings. Chickering maintains that the power of the learning contract comes from its capacity to individualize learning activities, time, methods, and standards for evaluation. Wald believes that it captures more than any other academic process, the creativity and potential for individualizing instruction. Contracts also provide a means for addressing the particular strengths and weaknesses of each learner.

Studies by Caffarella (1982, 1983) and Kasworm (1982, 1983) have confirmed the use and effectiveness of learning contracts in formal adult education graduate study. Caffarella conducted studies using the learning contract as a means of fostering self-directed learning competence among graduate students enrolled in formal adult education course work. Kasworm studied the use of the learning contract in one of her graduate courses in adult education and concluded that it "was of value to the majority of the graduate students in their development of self-directed learning knowledge and skill" (1982, p. 127). Evidence from these studies indicated an increased competence for self-directed learning as a result of the learning contract. However, it should be pointed out in a later study Caffarella and Caffarella (1986) concluded that while learning contracts do promote certain competencies for self-directed learning, it was impossible to suggest that contracts are a major tool in enhancing self-directed learning skills.

In still another study, Sisco (1988) investigated how instructors of adults promote and facilitate competence for self-directed learning through the use of teaching strategies. Using a modified self-reporting instrument based on the Self-Directed Learning Competencies Self Appraisal Form (SDLCSAF) originally constructed by Caffarella and Caffarella (1986), it was found that the learning contract was mentioned most frequently as a strategy used by respondents to encourage and nurture self-directed learning in their students.

2. The use of the learning contract with adult learners is important in the establishment of personal ownership of and direction for learning.

We have found the learning contract to be an indispensable tool in implementing our individualizing instructional process. It helps acknowledge the collaborative role that we believe is essential in working with adults and encourages personal ownership

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and direction. We are quick to caution, however, that the learning contract is only a tool and not a means to an end. If used properly, it can help you attend to the diversity of learner needs, while at the same time providing a mechanism for learner accountability.

Using Learning Contracts in Individualizing Instruction

We view the learning contract as a key vehicle in helping adult learners accept personal responsibility for their learning. In keeping with this belief, we have incorporated the contract into our own graduate courses in adult education. While the majority of the comments in this section relate more directly to formal classroom settings, we will describe how learning contracts can be used in a variety of other instructional settings. We have used contracting in weekend workshops of a credit and noncredit nature, in intensive training sessions offered in business and industry, and in civic oriented programs in our local communities.

As was noted earlier, the contract provides a framework for each learner to indicate what will be learned as a result of some specified learning activity. We make it known during the initial meeting with learners that they will have an opportunity to assess their needs and evaluate their competency levels which will later be translated into individualized learning contracts. At this point, learners unfamiliar with our approach may be somewhat tense or anxious, so we spend some time discussing why we believe learning contracts are important. We also ask those learners with prior contracting experience to describe how they have used them. Our experience has shown that once such discussion takes place and after some reflection occurs by learners, initial anxiety generally gives way to increased confidence and commitment to the use of contracts.

3. There are many possible formats that a contract can take. We prefer one that emphasizes learning objectives, learning resources, evaluative evidence, and verification means.

Knowles (1986) provides a sourcebook that illustrates a multitude of such formats organized according to the context in which the contracting is done: In academic classroom courses, independent study, clinical courses, graduate assistantships, internships, continuing professional and management development, and in total degree programs.

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The format we use was adapted from material originally developed by Knowles (1975); it is displayed in Exhibit 2 (see also /contract.html for more information on using learning contracts). We ask learners to indicate the course number and title, their names, social security numbers (if permissible), and the instructor's name. We assume that learners will want to contract for a grade of B or better since they are in graduate school, and, in order to succeed at our respective universities, they must perform at least at that level. Thus, learners may elect to contract for either a grade of B or A depending on their inclination, and include plus or minus signs if the grading system permits it.

The rest of our learning contract is divided into five columns which enables each learner to indicate (1) what is to be learned (learning objectives), (2) how these objectives are to be accomplished (resources and strategies), (3) the target date for their completion, (4) what evidence will be presented to demonstrate that the objectives have been accomplished (evidence), and (5) how this evidence will be validated (verification by judges).

In completing a contract, participants may use the learning objectives provided by the instructor, develop their own, or follow some combination of both. We provide learners with a listing of suggested learning objectives which give guidance and direction to the learning experience. At the same time, however, we make it clear to learners that within parameters related to the course content they may suggest their own objectives more in line with personal needs and interests. We also encourage critical thinking and reflecting about their learning whenever it is feasible to do so, but do not discourage learners from tying their objectives to the practical needs of a current or future job.

The learning strategies and resources describe how learners will go about accomplishing each objective. Learning resources may be either human or support materials of various types. For example, a human resource would be an adult education agency administrator selected for an interview to learn about the operations of the organization. Support materials would include such things as readings, films, video tapes, and slide/tape learning kits. Learning strategies refer to the tools or techniques used in accomplishing each objective. Examples include carrying out a mini-internship within some agency, writing a research report, taking a field trip, or completing a literature review. Critical reflection about some topic would be accomplished via an

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Exhibit 2. Learning Contract Form.

___________________________________________________________________________________________

LEARNING CONTRACT FOR COURSE # ___________________: __________________________________

Student: _______________________ Soc. Sec. #: ___________________ Instructor: ______________________

___________________________________________________________________________________________

       What are        

      you going       

     to Learn       

       (objectives)       

     How are you     

     going to learn     

     it (resources     

    and strategies)     

    Target     

   date    

   for   

     completion     

    How are you    

    going to know   

       that you learned       

   it (evidence)   

   How are you    

   going to prove    

     that you learned      

   it (verification   

   by judges)  
B or A Level

(so indicate)

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interactive reading log or development of a theory log that summarizes those aspects of theory with meaning for their life or profession. In a training workshop, a participant might select certain learning kits within the company's resource center that will be studied over a subsequent several-week period.

The target date for completion of each learning objective is designed to help learners manage their own time. Rather than impose some arbitrary timeline that works best for us, we indicate to participants that since they are in a better position to judge the demands made on their time, they should be responsible for determining when various assignments are due. We, in turn, will provide feedback on their scheduling decisions to help them meet any institutionally imposed deadlines, maintain a sequence that is appropriate in our judgment, and complete activities in coordination with other learners.

The evidence that learners present to demonstrate accomplishment of each objective may take a number of different forms. For the knowledge domain, learners might prepare a written report or present an oral presentation. For the skill domain, they might prepare a demonstration or complete some type of performance exercise. For the attitude domain, learners might present a simulation game or offer a critical incident case and then ask for feedback from participants and/or observers. A participant in a one-day workshop might need to plan for subsequent on-the-job results as means of demonstrating how workshop activities meet any stated objectives. The main point we try to stress with participants is that there should be an appropriate linkage between the types of learning objectives they are pursuing and the form of evidence they select to demonstrate accomplishments.

The final task in developing a learning contract involves determining the criteria and the means for validating how the evidence will be judged as well as who or whom will do the judging. If a learning objective represents the knowledge domain, appropriate criteria might include clarity, depth, precision, and/or comprehensiveness. For skill-based objectives, more appropriate criteria might include poise, speed, flexibility, precision, and/or gracefulness. Attitudinal objectives might require judgments or feedback from outside experts.

In addition to the instructor, validators could include fellow learners, employment supervisors, faculty from other institutions,

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or experts from the community at large. It is not at all unusual that someone other than the instructor or training session facilitator will be in a better position to validate the learning evidence. For example, that workshop participant described above may want to select an immediate supervisor or a work colleague as the person best suited to determine if some new skill has been obtained. The important point for us and we believe for learners, too, is that the contract can be used as a mechanism for careful planning and execution of learning activities all the way from an assessment of need through verification that the needs have or have not been met.

4. Learners typically need some initial guidance from the instructor if they are to  make good use of the contract as a learning resource.

We introduce participants to the learning contract by following four steps. In step one, as noted in Chapter Six, we provide learners with a number of handouts related to the learning experience or similar materials compiled in a workbook or study guide. These materials typically consist of the syllabus, bibliography, guidelines for developing learning contracts, a needs assessment form, and related readings. We ask participants to familiarize themselves with these materials and we try to answer any related questions or clarify any confusing points. Learners are also asked to consider what competencies (knowledge, skills, attitudes, values) they wish to develop in concert with the course content.

In step two, participants develop a first draft of their learning contract. We encourage them to develop this draft as soon as possible so we can provide feedback or answer additional questions that arise. In a one-day training session, this frequently involves setting aside time toward the end of the day where participants develop a personal contract for follow-up learning activities beyond that day. In something like a week-long workshop, learners frequently can complete contracts to steer their activities as early as the beginning of the second day. In a semester-long graduate course, we recommend that they wait until the general direction for the learning experience has been established (perhaps after 10-15 hours of time together) and specific topics for group as well as individual study are determined. Thus, in a typical 15 week course, we ask learners to have an initial draft completed by the fourth to seventh session.

In the third step learners typically share their preliminary

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contracts with a small group of colleagues (usually three to four) who serve as consultants. The purpose of this step is to receive feedback as to the clarity of each learning objective, appropriateness of the learning strategies and resources selected, relevance of the suggested evidence, and whether the criteria and means for validating the evidence is clear and convincing. Our own experience has been that this step is crucial in the development of a learning contract as peers can be very helpful and can present some insights different from those we suggest.

In the fourth and final step, participants turn in their learning contracts to us, typically updated after receiving feedback from peers. We look them over, seek clarification as needed, offer suggestions, negotiate alternatives if appropriate, and then return them for a final draft. Occasionally we will provide ideas on alternative or supplemental learning resources, ask them to cut back on their planned activities, or ask them to take on additional tasks if we believe they need such advice. Once this is completed, we ask each participant to keep a copy for personal reference and give us a copy for our own files.

5. Learning contracts are important tools in helping learners specify what they intend to learn; at the same time, they should be flexible to accommodate changes in plans or ideas.

In fact, one of the central features of the learning contract is its inherent flexibility. Perhaps because of its legalistic feel or tone, we have found that learners often get the idea they may not change their learning contract once it has been put in final form. In order to counter this view, we periodically remind participants that they may renegotiate their learning contract at any time up until the end of the learning experience if plans or ideas change. Thus, from our experience, a learning contract should be specific enough to enable learners to accomplish their learning intentions, yet flexible enough so that new insights or revelations may be easily incorporated into the learning mix.

Some Related Issues

There are a number of other issues in using learning contracts that must be addressed, including alternative approaches to contracting, how to deal with learners involved in contracting for

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the first time, whether to link grading to learning contracts, and how to deal with institutional requirements.

Learning contracts are employed most often within institutions of higher education. They are used in a range of delivery modes including correspondence courses and independent study, external degree programs, clinical placements, and continuing professional development programs, to name only a few. The learning contract is also being used more and more often in academic classroom courses.

However, learning contracts are increasingly being used in other agencies and institutions, including training programs in business and industry, staff development programs in governmental circles, and continuing professional education programs in a variety of health-related organizations. Knowles (1986) reports that learning contracts are even being used in elementary and secondary schools, and he speculates that they are probably being used in some form in voluntary organizations as well. Thus, alternative ways of designing or thinking about contracts are increasing.

For example, in the case of a highly technical subject such as nuclear physics where learners are newcomers to the discipline, it is often necessary for the instructor to prepare the learning objectives for participants to follow. In addition, in such a situation, the types of learning activities might be planned by the instructor. But even within this situation, learners could be given some opportunity to decide what resources and strategies to use in meeting the desired proficiency level (see /montreal.html for a description of various aspects of the learning process where learners can assume some control).

Or take the case when the goal is to develop precise motor skills--for example, the skills needed to carry out a particular surgical procedure. Here, the instructor would retain considerable control over what is to be learned, how it will be learned, as well as how the learners could demonstrate competence. However, even in this case, the instructor and learners might mutually agree on the pace and sequence of learning, as well as interaction activity among learners or between the instructor and learners.

A highly structured apprenticeship program where the instructor is required by government regulation to follow a prescribed curriculum provides another example. In this situation, the instructor would likely need to be quite directive, for example, in selecting

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the instructional topics and methods of evaluation. But even here, a good deal of negotiation between the instructor and learners could be instituted in terms of demonstrating mastery of content, the nature of the learning resources used, and the style of presentation.

6. Using a learning contract is not an all-or-nothing proposition.

Learning contracts can be used successfully in nearly every instructional situation, provided that you have considered how much responsibility learners can assume in determining what they will accomplish. In some cases, an approach that provides for complete choice by learners may be warranted. In other cases, an approach calling for a more limited selection may be the best course of action. Whatever the situation, we recommend that every attempt be made to place at least some responsibility for learning squarely on the learners' shoulders so that the skills of self-directed learning can be encouraged.

Another problem you may encounter in using learning contracts is the initial anxiety and confusion some learners feel when first exposed to the process. We have found this to be a very normal reaction and have come to expect it. Chief among the reasons why learners often feel uneasy at first is their prior educational experiences where their role usually was to be a passive receiver of the information transmitted and a submissive executor of the instructor's directives.

7. One of the most effective techniques for dealing with initial learner hesitancy is simply to spend time discussing self-directed and contract learning.

One of the hardest things in life is to give up something that has been reinforced many times over. In our dealings with adult learners, this is especially difficult when they are asked, often for the first time, to assume the role of a self-directing learner. We explain that, in this role, they share responsibility for determining what will be learned as well as showing how their learning will be evaluated. An important tool we use to promote this shared responsibility is, of course, the learning contract.

Another approach is to involve learners who have had some prior experience with learning contracts. We ask these individuals to share their experiences. Typically, they mention the initial anxiety and confusion they felt when first introduced to the idea, how they became more comfortable with the process, and how it has made

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their learning more relevant and meaningful. We have found this kind of peer testimony to be worth much more than what we could ever hope to attain through our own words.

Another helpful technique is to provide, in the workbook that learners use, an example of a completed learning contract using simulated information. Or, after removing each learner's name to maintain confidentiality, we distribute sample contracts during our first session so that participants can get an idea of what a learning contract looks like. We also mention that individual learners may borrow a copy or two for use as a model in developing their own contracts.

When introducing contracting, we also note that even though a suggested format is provided, learners may choose another style more to their liking. These can and have taken many forms, including outlines, narrative descriptions, concept maps, and audiotapes. We tend to accept most any format as long as the submitted product communicates the intention clearly enough so we can provide feedback.

An additional technique that has worked very well is the scheduling of individual conferences with learners. We have found this helps us get to know each learner better and to find out what is of particular interest in relation to the course. At this meeting, we try to provide both psychological support and information about resources, as well as clarification of the contracting process.

Although initial learner anxiety and confusion are typical with contract learning, we believe that this is a good thing. It often places the learner in a "zone of discomfort" that is necessary for critical learning to occur. Once learners have worked through their initial fears and concerns, our experience has shown that they often become quite excited about carrying out their own plans. Often, by the second or third course or workshop in which contracting has been used, learner excitement and creativity have become so contagious that the best we can do is stay out of the way. We feel this is the true essence of self-directed learning, and it is one of the main reasons why we enjoy working with adults.

8. In a formal credit-bearing setting, it is appropriate and helpful for learners to link the grades they will be given with learning contracts.

Linking grades to learning contracts may be a

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problem for some instructors, but it is something that we have done for many years now with consistent success. As noted earlier in the chapter, we assume that such learners will want to receive a grade of B or A if they are using contracts in a graduate course. Thus, rather than kept in suspense, learners find it comforting to have some idea of what grade they are working toward.

We also note that achieving the grade learners contract for is tied to satisfactory completion of all their described assignments or a renegotiation of the assignments at some later date in the learning experience. We also mention to learners early in a learning experience that, as instructors, we retain the right to assign a grade that we feel reflects the quality of the work presented. We then spend some time talking about the issue of quality and responding to the questions of participants about this issue, the nature of our expectations, quantity of material expected, and even such minute detail as stylistic guidelines to be used in their writing efforts. If it seems appropriate, we talk about what a grade of A or grade of B might mean in terms of the number of hours they should invest in the learning experience.

Even given this candid discussion about our and learner expectations, there will be times when a lower grade than originally contracted for is warranted. Occasionally, it will make the most sense to simply give the learner an incomplete grade and ask for more or higher quality work to be submitted before the incomplete can be removed. In addition, we realize that some instructors feel very strongly about retaining the right of issuing a grade based on evaluated performance rather than tying it to a contract.

9. A decision to use contracting should be based on a careful analysis of both your own philosophy and your institution's policies regarding evaluation or grading.

Some educational agencies or institutions will have certain requirements, policies, or administrative constraints that inhibit the use of learning contracts. For example, some large corporations may require trainers to use a preplanned training package. In this case, opportunities to use learning contracts may be severely limited or even may not be possible; in such instances some discussion about the value of learner responsibility and possibilities for learner choices should be integrated into the instructional flow.

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The philosophy of a particular institution or agency could be such that an instructor encounters difficulties using learning contracts. For example, in a vocational center, the prevailing instructional philosophy might be tied to behavioral objectives and the expected instructional might be teacher-directed. If you teach in this kind of setting and do not have the option to use learning contracts, you could nevertheless use a modified learning agreement between yourself and the learners as a substitute.

We have not encountered any difficulties in using learning contracts in our own institutions. However, a few colleagues have raised questions about what we were doing. Inevitably, these questions were based on a reaction to learners who had a contracting experience with us, then, in turn, asked those instructors if they could use a contract in their courses. Rather than seeing such questions as threats, we have viewed them as opportunities to respond to colleagues proactively. For example, we have met with colleagues over coffee or tea and discussed the use of learning contracts as a way of increasing self-directedness in our learners. Once we begin such dialogues, the conversational tone typically has changes from anxiety about, to acceptance of, our approach--in some case even enthusiasm for it.

Constraints regarding contracting are often more self-imposed than otherwise. In view of this, we recommend that you conduct an "instructional audit" of your agency or institution to determine how firm the instructional policies and practices are. Our bet is that you will find considerable freedom and toleration for the approach you believe is best, including contract learning.

Does Contracting Make a Difference?

It should come as no surprise that we believe contracting does make a difference. But we are not alone. Knowles (1986, p. 46), for example, believes that learning contracts have a number of practical benefits:

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At the same time there are some limitations with contract learning. For example, in certain situations where the content is totally new to learners, a more directed approach would probably be better, at least initially. Learning contracts can also cause problems for instructors who have a more "authoritarian" personality as well as those learners who are similarly disposed. Finally, learning contracts appear to work best in agencies or institutions that support the idea of increasing learners competence for self-directed learning.

Nevertheless, we are confident that contract learning affords the greatest flexibility for instructors and learners, alike. This has been substantiated in our own experience as well as through research of others. Yet the process of adaptation will  probably vary

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according to an instructor's experience. In many ways, novice instructors may find our approach easier to apply in their own situations than experienced instructors, in that the beginning teacher or trainer usually is eager to try various means to ensure success and is willing to experiment with new ideas or techniques, whereas the experienced instructor may be set in ways learned from years before. We of course hope that this book will provide the motivation and means for teachers and trainers of all levels of experience to try new ideas and approaches for helping learners achieve their highest potential.

_______________________________

January 1, 2010

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