UNDERSTANDING TRANSFORMATION THEORY

Athabasca University
Edmonton, Alberta
Psychology 401
Learning Through Life

Terry Defoe
September 1, 2000

ABSTRACT – Theories represent varying degrees of consensus at a certain point in time among scholars in
a particular discipline. This paper, written in the year 2000 as an assignment for a psychology course on
adult learning, provides insights into concepts advocated at that time by Jack Mezirow’s Transformation
Theory. This theory puts adult learning into a social context, describing how individuals take on certain
perspectives through socialization. Those perspectives, however, are often faulty, based on
misinformation, and when tested by some sort of crisis, fail to provide the required assistance. This crisis
may be the catalyst for a process called transformative learning, which updates dysfunctional beliefs with
insights that lead to improve coping skills. References in parentheses are from Mezirow, 1991.

A THEORY ABOUT CHANGE – Transformation theory advocates the breaking up of old and inadequate
ways of thinking and perceiving the world – much as one breaks up the soil before planting a garden. As
this process continues and comes to a conclusion, there is a feeling of exhilaration as new ways of looking
at the world and the self emerge. Both personal and social change. At first scary, and then exhilarating.
The possibility of new views, a critical way of looking at the world and ourselves. Transformation brings a
sense of liberation, a feeling of being set free from that which restricts potential. The personal change of
transformative learning may eventually form the basis for social change. Changed people make for a
changed society.
PERCEPTION FORMATION - In transformation theory, learners are taught how their perceptions are
formed, and how they give meaning to events (Mezirow, 1991, p.19). They discover how their perceptions
are distorted, and how they may be changed. They are encouraged to assess their choices and
understandings through mutual dialogue and discourse (pp. 7, 225). Learners are encouraged to come to a
social reality of their own, not one lent to them by others (p.3) They are encouraged to reflect on
boundaries and assumptions (p.194) and to validate their knowledge (p.11) in a dialogic community.
CULTURAL RELATIVITY - Transformation theory proposes that when we think about and reflect on what is
presented to us, we can learn how to see things more accurately. Through reflection and dialogue on the
content and process of our problems, we can change our meaning schemes. Through a critique of
premises, we can change our meaning perspectives. Thus, when we think about and reflect on what is
presented to us, and especially when we do this with a group of like-minded people, we can see things
more accurately than ever before. In psychotherapy, clients learn how to recognize and challenge
childhood repressions, and in so doing, disarm the power of long-past events (p.89). Similarly, in
transformative learning, old ways of thinking are discovered and disarmed, through the process of
reflection and dialogue, increasing individual control and autonomy and fostering an individual’s sense of
 Understanding Transformation Theory | Terry Defoe

identity (p.71). Many of our dearly-held premises are indeed culturally relative. Others, are “wrong and
pathogenic.” (p.90) Transformation generates its own reinforcement (p.193).
LEARNING THEORY Most learning theories are concerned primarily with the extension of knowledge (pp.
4,62). Some define learning in terms of behavior change. They typically do not deal adequately with the
social dimension of learning (p.4). Transformation theory is an eclectic theory that integrates material from
several academic disciplines and scholars. In transformation theory, an individual’s cultural environment
and socialization are factored in, often seen as limiting life’s options and choices (p.4). Reflection on the
content, and processes of an individual’s problem-solving ability may result in changes in meaning schemes.
Reflection on the premises underlying problem-solving may result in the transformation of meaning
perspectives (pp. 6, 117). Educators have tremendous power to foster emancipatory learning. They also
have the power to discourage it. Educators can challenge their students’ present views so as to help them
uncover distortions and misinformation. They can assist students in determining their real needs – what
they would want to do with their lives if circumstances permitted. They can help students negotiate the
difficult transitions associated with transformative learning. (p.217)
Learners are encouraged to come to a social reality of their own, not one lent to them by others. (p.3).
They are encouraged to reflect on boundaries and assumptions (p.194) and to validate their knowledge
(p.11) in a dialogic community. Adult educators are compassionate critics (p.135) who encourage learners
to step out of their own cultural orientation. Educators propose new meaning perspectives that learners
may try out in a variety of life situations. (p.56). Educators model the kinds of transformations that they
themselves advocate. (p.206). They do not accede to the learner’s anxieties. (p.55).
SOCIAL CONTEXT -- According to transformation theory, socialization exerts a powerful tacit – and often
negative – effect on learning. The antithesis of intentional learning (p.61), socialization produces
dependence (p.69). Fundamental assumptions are not critiqued. There is inappropriate dependence on
external authority (p.87). Social forces are taken for granted, or considered beyond human control.
Individuals resist that which is new and different (p.115). Awareness is exchanged for the avoidance of
anxiety (p.63). Growth potential is limited (p.115). Disconfirming evidence is rejected (p.123).
Interpretations become self-fulfilling prophecies (p.50).
OPTING OUT -- Some individuals use psychological mechanisms of self-deception in order to avoid
transformation (p.63). Some who refuse to change are “self-centered, conservative charlatans, who
distort reality in a socially advantageous manner.” (Fiske & Talyor, 1984; in Mezirow, p.122).
Transformation theory is important in a world in which the power of irrational thought and propaganda
has too often sought to silence reflective thought and dialogue.
A THEORY ABOUT UNDERSTANDING. Transformation theory explains how individuals understand their
world. It outlines the tacit and largely unintentional acquisition of information full of distortions and
misleading information mediated through socialization and cultural norms. This understanding,
unfortunately, is subject to distortion. As individuals move from childhood into adulthood, they construct
meaning schemes (understandings about the events and information of day-to-day life) which help them
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understand that which they encounter. They also construct meaning perspectives (general orientations to
the world and to themselves – including values and beliefs) -- basic understandings on a fundamental level.
New information that fits well with existing meaning schemes and perspectives is assimilated and
understood. That which doesn’t fit causes anxiety and is avoided. This kind of comfortable thinking often
leads to a narrow-minded and parochial view of the world. Individuals may not be aware of pressure –
from many sources – to accept the status quo and not “upset the apple cart.” Meaning schemes and
meaning perspectives seem to reflect the way things really are. Most of the time they serve adequately.
RATIONAL DISCOURSE -- In transformation theory, adult development involves movement towards more
developmentally progressive meaning schemes or perspectives (p.193) which are “more inclusive, more
discriminating, more integrative of experience, based on more information, free from coercion, and open
to other points of view.” (p.71) Learners are taught how their perceptions are formed, and how they give
meaning to events (p.19). They discover how their perceptions are distorted, and how they may be
changed. They are encouraged to assess their choices and understandings through mutual dialogue and
discourse (pp. 7, 225). Optimal conditions for rational discourse include the availability of accurate
information; freedom from self-deception; the ability to judge arguments objectively; openness to
alternative points of view; equal opportunity to participate in discussion; and a realization that judgments
are provisional (pp. 76, 77).
TYPES OF LEARNING - In transformation theory, there are three types of learning – instrumental,
communicative, and emancipatory. Instrumental learning has to do with controlling and manipulating the
environment (preface, xv) through correctly assessing alternatives, using hypotheses (p.5). In
communicative learning – learning to understand the meaning of what is being communicated –
individuals reason through metaphor rather than hypotheses. Individuals draw upon their own experience
to explain the experiences of others (p.85). In emancipatory learning – learning to understand oneself and
one’s own perspectives – meaning perspectives are transformed through reflection and dialogue.
Compare emancipatory learning with Maslow’s “peak experiences” , etc. Traditional learning theories
make instrumental learning the model for all types of learning (p.80).
TEN STEPS - Transformation theory proposes a ten-step progression in perspective transformation.
1. A disorienting dilemma. 2. Self examination, often accompanied by feelings of guilt or shame. 3. Critical
assessment of previously-held assumptions. 4. Realization that others have traveled the same path. 5.
Exploration of new options. 6. Plotting a new course of action. 7. Gathering of skills needed to make the
change possible. 8. Trying out new roles 9 Gaining a sense of comfort in new roles. 10. Reintegration as
new perspectives are lived out every day (p.168).
MARGINALITY =-Marginal situations foster transformative learning (p.194). Being gay, living in poverty,
living with a physical disability, living outside of mainstream society, may lead to a transformation of
thought, to critical assessments of the way things are. Social movements (e.g., the women’s movement,
the peace and ecology movements) may also encourage emancipatory learning (p.72). Identifying with a
cause larger than the self is a powerful encouragement to transformative change, (p.194) as is the support

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and encouragement of friends and associates (p.185). Transformative learning is associated with formal
schooling that emphasizes abstract thought (p.144).
Transformative learning is discouraged by the anxiety that is often aroused when meaning schemes or
meaning perspectives are challenged. Also, certain social realities, such as the market economy, political
bureaucracy, professional organizations, and the like, may discourage transformative learning by
“corrupting the process of seeking mutual understanding through rationally settling validity claims (p.71).”
Some groups make a critique of assumptions very costly for group members (p.181, 195). The
transformation process and rational dialogue in groups will be hindered if group members possess an
unquestioning, “organic” loyalty to the group rather than a “contractual” or provisional loyalty or if
members indulge in “groupthink” in order to protect a leader from conflict or to present an appearance of
unanimity (p.195).
DISORIENTING DILEMMA -- Acquisition of skills regarding intentional, reflective, self-directed learning, may
begin with a disorienting dilemma (a personal life crisis, perhaps the loss of a loved one, or a divorce, etc).
An individual’s views and values are – perhaps for the first time – severely challenged, (p.168) resulting in
disorientation and anxiety. Old beliefs are found to be deficient. The sense of self is diminished. For some,
this is a critical juncture – either continue on in wrong understandings, or gain a more accurate
understanding of what’s going on. Not everyone has the courage to accept a needed change in
perspective. But, sometimes because of the crisis, individuals have little choice but to seek help.
Reflective thought is possible at any time in adulthood, but (pp.156, 177) psychologists have found that the
transition into the autonomy crisis – and perspective transformation – typically occurs between 35 and 55
years of age, and its duration may extend from 5 to 20 years. There will always be some – and it doesn’t
seem to be related to their age – who are willing to consider that which is new and different.
FALSE CONSCIOUSNESS - Unscrupulous individuals are more than willing to distort reality in a personally
advantageous manner (pp.130, 131). In this case, ideology becomes “false consciousness” by reducing
complex social processes to simple, apparently natural and stable states of affairs. Purportedly universal
ideas or interests mask private interests, social contradictions are glossed over, and alternatives are
suppressed.
OLDER ADULTS - Mezirow argues that older people tend to become more integrated in their thinking as
the years go by (p.7). “For me,” writes Bateson, “the moral question is which of my premises I shall be
dogmatic about.” (p.90) Rather than positing a decrement of learning or memory performance as an adult
ages, therefore, transformation theory suggestss that age involves changes reflecting qualitatively
different dimensions of context awareness, focus, goal awareness, critical reflectivity, and greater
integration of the cognitive dimensions of learning (p.7). Older adults often move to a more mature level
of cognitive differentiation that involves (a) greater awareness of context (especially awareness of
psychological factors and individual and collective goals), (b) more analysis of premises, and (c) integration
of logic and feelings. These qualitative changes are often misunderstood by youth-oriented developmental
models and research methods, which attribute changes in older adults to loss of cognitive function.
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DIALOGIC COMMUNITIES - Mezirow spends much time describing the importance of dialogic communities
in which reflection and free discussion of ideas can take place in the absence of coercion (p.63). Liberal arts
institutions are comfortable, nonthreatening places in which to try out new ideas (p.144). A lack of
coercion is very important in fostering transformative learning.
RATIONAL DISCOURSE - Many individuals cling to their comfortable meaning perspectives and refuse to let
themselves be convinced that their views are wrong, or distorted. Some people will not enter into what
Mezirow calls “rational discourse” (p.199). Free, full adult participation in critical discourse and resulting
action clearly requires prior education through which one has learned to assess evidence effectively, make
and understand relevant arguments, develop critical judgment, and engage in critical reflection. Such
participation also implies a reasonable minimal level of safety, mental and physical health, shelter, and
employment opportunity, as well as acceptance of others with different perspectives and social
cooperation.
AN ORTHOGENETIC PROCESS - Our human need to make and transform meaning appears to be
orthogenetic in nature –that is, imitating patterns of biological development, (p.193) defined by Loder
(1981, in Mezirow, p.163) as “the tendency of a living organism, personality, society or symbol system to
unfold in a given direction with relative disregard for the constraints of the environment.” (p.129)
BREAKING FREE -- Transformative learning assists individuals in the often-painful process of breaking free
from distortions, misunderstandings, and oppressions, and, in so doing, gaining new control and
autonomy. Transformative learning seeks to create more responsible, reflective, and autonomous adults
(pp. 155, 156). Each transformation of a meaning scheme or perspective makes more efficient use of
energy and generates its own reinforcement because the resulting behavioral pattern is better integrated
and more open to new ideas, which provides for greater adaptational efficiency. Transformations enable
individuals to make more efficient use of their cognitive resources and that they generate their own
reinforcement. (p.193).

CONCLUSION –Many of our dearly-held premises are culturally relative, others are just plain wrong and
pathogenic (p.90). Transformation theory presents us with a whole new way of looking at the world that
gets us thinking and sets us on the road to change. When we think about and reflect on what is presented
to us, working with a group of like-minded people, we can see things even more accurately.

COUNTERING IRRATIONAL THOUGHT “True believers” or zealots abandon reflective critique and critical
dialogue in favor of blind deference to group codes, norms, authority, or ideology (p.191). Transformation
theory is important in a world in which the power of irrational thought and propaganda has too often been
used to silence reflective thought and dialogue. Mezirow’s transformation theory assists individuals in
recalibrating their ideological dials. Transformation theory helps individuals understand themselves. It
provides resources that pull back the curtain on irrational thinking and provides assistance to those who
are seeking improved, more resilient, coping skills. Many individuals understand intuitively that something

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is amiss but draw a blank in terms of knowing where to turn for help. Transformation theory turns a
seemingly insurmountable problem into an opportunity to improve an individual’s quality of life (p.179).

GLOSSARY OF TERMS

abduction • drawing upon our own experience to explain that of another person
adult development • movement toward more progressive meaning perspectives that are more
inclusive of other points of view.
adult education • assisting adults in understanding common limitations of meaning schemes
and meaning perspectives
• assisting adults to reflect on these entities and to make changes, if
necessary.
andragogy • helping adults to be self-directed learners, reducing their dependence on
the educator and on untested information.
argumentation • the process of testing validity claims.
backsliding • when a learner, who has gained insight resulting in a transformed meaning
scheme, and is moving in the direction of a transformed meaning
perspective, fails to achieve this expected change because of the influence
of previous meaning schemes or perspectives.
communicative action • spoken or written communication, through which individuals come to
understand common experience and work together to achieve goals.
communicative • actively and rationally working through meanings and purposes rather than
competence accepting social realities as defined by others
• movement towards self-directed learning and adult development.
communicative learning • learning to understand others
comprehension • understanding an experience, using categories gained through language.
consensual validation • establishing the meaning of statements, especially in the area of
communication
conation • how intensely an individual would like to do something.
construal • projecting of tacit understanding of how things are supposed to be onto
objects and events, in the context of meaning schemes and meaning
perspectives
constructs • (Kelley, 1955, 1963) templates that individuals create and apply to their
realities, changed as expectations are confirmed or denied.
• Cf. meaning perspectives
cultural codes • culturally-specific principles that are the basis of status and lay out
guidelines for communication practices;
• principles underlying social norms.
dialectic- • the logic of premise reflection: relevant presuppositions are identified and
presuppositional logic critiqued and through which meaning perspectives may be transformed
disorienting dilemma • unusual events challenge an individual’s normal method of dealing with
events or ideas.
• individuals question their most deeply held beliefs.
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• Individuals may experience an attack on their sense of self.

• Individuals may respond either by trying to ignore it, or by asking
fundamental questions about their experience.
emancipatory learning • freedom from old meaning schemes and meaning perspectives that used to
limit options and reduce personal control over life; achieved through
reflection and dialogue
epistemic premise • distorted assumptions about the nature and use of knowledge.
distortions
executive agency • the ability to make decisions apart from cultural expectations.
grounding • (Habermas, 1984, 1987) applying validity criteria to knowledge
hermeneutics • the science of interpretation and explanation.
horizons of expectation • (Popper, 1962) the sum total of our expectations – our personal frame of
reference
hypothetical-deductive • the logic of instrumental learning; hypothetical courses of action are
logic formulated, action is based on the most plausible hypothesis.
• testing of hypothetical meaning schemes, developing predictions that will
enable an action to be done more effectively.
instrumental learning • learning to control and manipulate our environment
intentional learning • self-directedness in learning
interpretation • putting meaning schemes to use as understanding is sought
• the process of validating our assumptions; drawing inferences from or
explaining something.
• subject to error and often based on incorrect information.
language • symbolic signs with no direct connection to the objects and events of the
real world.
• common meaning perspectives regarding the meanings of words
learning • using prior interpretations to construct new or revised interpretations of
the meaning of experience so as to guide our behavior or feelings.
• making or revising interpretations in a new context; applying knowledge
from prior thought to construct meaning in a new environment.
• five interacting contexts: (1) meaning perspective (2) communication
process (3) line of action [motivation] (4) self-concept, and (5) external
environment.
lifeworld • (Wildermeersch & Leirman, 1988) the world of everyday life; the daily
universe of social activity that we take for granted, made up of
unquestioned assumptions and shared culturally-based beliefs.
line of action • intention, purpose, and desire to accomplish something.
meaning • to construe or interpret experience – to give coherence to an experience.
meaning perspective • groups of related meaning schemes that guide perception, comprehension
and remembering.
• personal paradigms or frameworks for classifying experiences.
• pre-rational, tacit expectations that sort out perceptions and cognition.

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• expectations that form, limit, and often distort thoughts, beliefs, and
feelings.
• expectations that determine the how, what, when, and why of learning.
• meaning perspectives determines.
meaning scheme • specific knowledge, beliefs, value judgments, or feelings involved in
making interpretations and initiated by interpretations, which influence
the way we define, understand, and act
• based on earlier, often unreflective, interpretations.
• manifestations of meaning perspectives; turn general expectations into
specific beliefs or behaviors.
• may relate to how to do something (instrumental) or to the
understanding of what others mean (communicative) or to
understanding the self.
• easier to criticize and change than meaning perspectives
memory • the process of recognizing and reinterpreting previously learned
experiences.
• accuracy of memory depends on how well original experiences are
integrated into past learning.
• experiences that fit best with our meaning perspectives are more likely to
be remembered.
metaphorical abductive • in communicative learning and problem solving, making sense of the
logic unknown by comparing it to previous experience.
mindfulness • (Langer, 1989) intentionally making distinctions in knowledge and
creating categories of knowledge
• Cf. “reflective action” in transformation theory
mindlessness • habitual action; relying on pre-formed categories of knowledge.
• rigid and rule-governed behavior
paradigm • (Kuhn, 1962) describes the general point of view which determines what
scientists notice, how they study phenomena, that which affects their
beliefs, their values and their attitudes.
• Cf. meaning perspective
perception • learning that occurs prior to the use of language in the formation of
(prereflective learning) categories
• tacit review and interpretations based on prior experiences
praxis • (Freire, 1970 a, b)living out a purpose in a creative way
premise reflection • critical review of the prereflective stages of awareness so as to determine
meaning and possibly transform meaning perspectives.
process reflection • examining how information is perceived
rationality • achieving mutual understanding by weighing evidence and assessing the
strength and validity of supporting arguments for a meaning scheme
rather than appealing to authority, tradition, or brute force.
real interests • what an individual would do if they had more knowledge, greater
freedom, and less distorted meaning perspectives.
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reflection • intentionally critiquing the validity of assumptions,

• seeking to identify and correct distortions in process, content, or
premises;
• a crucial aspect of intentional learning, problem solving, and validity
testing.
reflective action • making decisions or taking action based on insights gained from
reflection.
retroactive reflection • removing oneself from a situation so as to see more critically what has
been happening.
schema • an organized representation of an event, organized and projected
through meaning perspectives, that serves as a norm for expectations.
socialization • informal or tacit learning of social norms from parents, friends, significant
others.
symbolic models • means of understanding internalized through socialization.
• projection of these models enables perception.
tacit learning • lack of awareness of the processes by which we come to possess
knowledge.
transformative learning • transformation of meaning schemes through content and process
reflection and the transformation of meaning perspectives through
premise reflection.
validity testing • finding reason to question ideas – either new or old.
• justification of assumptions by validation through critical discourse;
influenced by meaning perspectives. Cf. Dewey (1933): “reflection.”

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