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The Action Research Dissertation A Guide for Students and Faculty

• Kathryn Herr - Montclair State University, USA
• Gary L. Anderson - New York University, USA
• Description

Student who conducted action research dissertation finds it very helpful. Will use it again for the summer

Great text that introduces doctoral students to action research in relation to dissertation projects.

Recommended for any student or practitioner involved in research. Clearly set out and easy to follow. Used by all my dissertation students and for my own practice.

A superb book to guide dissertation students as they undertake their action research.

Supports students to study the different approaches within action research; exploring their own practice and that of others. (This publication has been recommended to both our Early Childhood Studies and Education in Lifelong Learning Degree programmes)

This book supports the students in the developmental stages of their research ideas and planning of their action research projects. It has also supported ongoing professional discussions between tutors and students.

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• DOI: 10.4135/9781452226644
• Corpus ID: 142757103

The Action Research Dissertation: A Guide for Students and Faculty

• Kathryn G. Herr , G. Anderson
• Published 2005
• Education, Sociology

521 Citations

Revisiting action research, the quality of an action research thesis in the social sciences, children as teacher-researcher's research partners - action research in the classroom, action research: an appropriat action research: an appropriate research methodology for improving healthcare practice, developing scholarly dispositions while becoming a participatory action researcher, the phd thesis as a threshold into action research: an invitation to educational action researchers to collaborate with supervisors and students in peripheral environments, 19 action research : a new look.

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Participatory Action Research and Information Literacy: Revising an Old New Hope for Research and Practice

Collaborative action research: the ethical challenges, integrating participatory action research into graduate geography studies: a tale of two dissertations, related papers.

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The action research dissertation: A guide for students and faculty

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The purpose of this article is to answer the following questions: What is action research? What obstacles must one overcome before doing an action research project? How can a new or inexperienced teacher begin an action research project? Why should classroom practitioners do ac­tion research? After reading this article, language teachers will be prepared to start their own action research project.

Action Research

The thesis as a bulky ‘tome’ with a traditional structure - literature review, methodology, research design, findings and conclusions - is a concept under increasing challenge. Recently, I completed a doctoral action research project based on environmental education in a primary school. However, I found that trying to force the action research process into a linear writing structure was an unsatisfactory experience. After much anxiety and considerable experimentation, I resolved the problem of ‘fit’ between action research and the traditional thesis format by creating an alternative architecture based on each of the action research cycles. While still producing a bulky ‘doorstopper’, I feel this structure is a better reflection of the way the study evolved. This paper outlines this new architecture and discusses its rationale. It also challenges other action researchers to innovate and experiment with the ways they represent their research work. License for such innovation is rapidly developing especially with the advent of digital thesis production and performative theses. I see no reason why action researchers cannot be leaders in the creation of new forms of practice about how research theses and dissertations are represented in the academy.

Andrew Johnson

This chapter excerpt describes how to use action research for a Master's Thesis. Included are a proposal form and what should be included in each chapter of a thesis.

Amy Pfeiler-Wunder

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Action Research for my Dissertation – The Do’s and the Don’ts

Published by Alvin Nicolas at August 14th, 2021 , Revised On August 29, 2023

Introduction

Action research is performed to identify solutions for a  problem , or it can be a progressive problem-solving process with a focus on reflection.

Action research can also be a part of a community of practice designed to identify issues and develop proactive solutions. Action research aims to develop appropriate guidelines that can be considered to be best practices in any discipline.

The researcher pursues an active strategy of participating in the change situation while conducting research. Action is important for the research enterprise, which differentiates action research from traditional research that takes a distant research setting approach.

Action researchers strive to study the current actions that play a critical role in any setting. This article will help introduce action research for a dissertation – the do’s and don’ts to research students so they can kickstart their action research promptly.

Struggling to get going with your dissertation? Here is an article on “ How to write a dissertation – Step by step guide .”

Definition of Action Research

Action research is a disciplined process of inquiry conducted by and for those taking action. The primary reason for engaging in action research is to assist the “actor” in improving and/or refining their actions.

Students who are required to perform action research find the process of action research extremely powerful. One of the foremost benefits of action research is that it is always relevant to the participants.

The principal consumers of any action research project’s findings are the researchers themselves, so relevance is guaranteed every time.

The Process of Action Research

Action research in education can be performed by the entire school faculty, a group of participants who share common interests, or an individual. Regardless of who participates in educational action research, the process of action research includes the following seven stages;

• Selecting a focus
• Clarifying theories
• Recognising research questions
• Data collection
• Data analysis
• Presenting Results
• Taking informed action

Advantages and Disadvantages

It is important to understand how to perform action research in education settings to establish its advantages and disadvantages. One of the key advantages of action research is that it helps researchers increase their knowledge through experience.

The action research cycle can be a learning cycle focusing on systematic reflection to have an effective ability to learn.  Action research is participative in nature and helps to understand researchers and the participants of any study.

Students can find it worthwhile to mention a  dissertation in their resume that directly relates to this practice.  There are some disadvantages to this type of research, such as the fact that a conventional format cannot  write the dissertation .

Students will have to learn to employ the action research methodology to complete their dissertation papers. Another disadvantage is that the library work for action research is demanding as the data and its interpretation define the literature.

Why not take advantage of the ResearchProspect.com dissertation writing service? Your dissertation is the most important part of your degree, and for that reason, you cannot risk failing it.

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The Do’s and Don’ts

Make yourself familiar with the complexities and requirements of action research before conducting the study. This will help you in  preparing the introduction to the dissertation .

The first step is to  write a winning proposal  to establish your  research problem  and decide on the research’s  approach and direction .

Action research problems play a critical role in driving the research to a level equal to or greater than existing literature. A good action research dissertation is data-driven rather than being theory-driven.

Selecting the action  research questions is critical from the perspective of the researcher. These questions are important in research as they identify the implications of such questions in the real world.

Action research questions could emerge by researching a setting where students have relationships when they ask what research questions should be explored to address and identify the social, political, and ethical dilemmas.

Similarly, students can conduct action research in external settings by identifying problems and developing relationships to undertake a comprehensive study. It is important to have an idea of  primary research and secondary research  when writing an action-based dissertation.

The research methodology for action research is not specific as the methods are context-bound. Moreover, the methods can be changed according to the nature of the present problems in the context. There are no unique methodological characteristics of action research.

The  types of research strategies  selected will depend on the  dissertation topic and the students’ action research. The best approach is to identify these approaches at an earlier stage so they can be used to address the questions.

Moreover, students need to identify the data that needs to be explored to develop the questions. Typically, an action research dissertation involves analysing data in which patterns, insights, and new understandings are identified.

The meaning of these patterns and insights is clearly explained to ensure that high levels of reliability and validity can be maintained.

A key approach in action research dissertations should be to identify limitations and use them as an advantage. This provides the ability to produce knowledge based on ground realities while also being useful for local participants.

This article aims to help students learn about action Research for the dissertation – the dos and the don’ts. It will help them to use a systematic approach towards writing action research dissertations.

Action research is an important approach towards resolving research problems and initiating a continuous reflection and learning process for students.

One of the strengths of action research is that it enables the researcher to directly participate in the research process. Moreover, researchers can obtain knowledge that is based on ground realities.

The process of writing an action research dissertation is different as compared to conventional research. Students are recommended to read as much as possible about action research before undertaking it since it can be a difficult process.

Also Read: What Are the Different Research Methods for Dissertation?

“Improve language, structure, style, and overall quality of your work. Get help from our experienced dissertation editors to improve the quality of your paper to First Class Standard. Click here to learn more about our Dissertation, Editing and Improvement Service .”

Action Research checklist

Frequently asked questions, what is meant by action research.

Action research is a problem-solving approach where researchers, often practitioners, study real-world issues in their context. They collaboratively identify problems, implement solutions, and reflect on outcomes to enhance practices and generate insights for continuous improvement.

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Textual analysis is the method of analysing and understanding the text. We need to look carefully at the text to identify the writer’s context and message.

Discourse analysis is an essential aspect of studying a language. It is used in various disciplines of social science and humanities such as linguistic, sociolinguistics, and psycholinguistic.

Thematic analysis is commonly used for qualitative data. Researchers give preference to thematic analysis when analysing audio or video transcripts.

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Methodology

• What Is Action Research? | Definition & Examples

What Is Action Research? | Definition & Examples

Published on January 27, 2023 by Tegan George . Revised on January 12, 2024.

Table of contents

Types of action research, action research models, examples of action research, action research vs. traditional research, advantages and disadvantages of action research, other interesting articles, frequently asked questions about action research.

There are 2 common types of action research: participatory action research and practical action research.

• Participatory action research emphasizes that participants should be members of the community being studied, empowering those directly affected by outcomes of said research. In this method, participants are effectively co-researchers, with their lived experiences considered formative to the research process.
• Practical action research focuses more on how research is conducted and is designed to address and solve specific issues.

Both types of action research are more focused on increasing the capacity and ability of future practitioners than contributing to a theoretical body of knowledge.

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Action research is often reflected in 3 action research models: operational (sometimes called technical), collaboration, and critical reflection.

• Operational (or technical) action research is usually visualized like a spiral following a series of steps, such as “planning → acting → observing → reflecting.”
• Collaboration action research is more community-based, focused on building a network of similar individuals (e.g., college professors in a given geographic area) and compiling learnings from iterated feedback cycles.
• Critical reflection action research serves to contextualize systemic processes that are already ongoing (e.g., working retroactively to analyze existing school systems by questioning why certain practices were put into place and developed the way they did).

Action research is often used in fields like education because of its iterative and flexible style.

After the information was collected, the students were asked where they thought ramps or other accessibility measures would be best utilized, and the suggestions were sent to school administrators. Example: Practical action research Science teachers at your city’s high school have been witnessing a year-over-year decline in standardized test scores in chemistry. In seeking the source of this issue, they studied how concepts are taught in depth, focusing on the methods, tools, and approaches used by each teacher.

Action research differs sharply from other types of research in that it seeks to produce actionable processes over the course of the research rather than contributing to existing knowledge or drawing conclusions from datasets. In this way, action research is formative , not summative , and is conducted in an ongoing, iterative way.

As such, action research is different in purpose, context, and significance and is a good fit for those seeking to implement systemic change.

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Action research comes with advantages and disadvantages.

• Action research is highly adaptable , allowing researchers to mold their analysis to their individual needs and implement practical individual-level changes.
• Action research provides an immediate and actionable path forward for solving entrenched issues, rather than suggesting complicated, longer-term solutions rooted in complex data.
• Done correctly, action research can be very empowering , informing social change and allowing participants to effect that change in ways meaningful to their communities.

Disadvantages

• Due to their flexibility, action research studies are plagued by very limited generalizability  and are very difficult to replicate . They are often not considered theoretically rigorous due to the power the researcher holds in drawing conclusions.
• Action research can be complicated to structure in an ethical manner . Participants may feel pressured to participate or to participate in a certain way.
• Action research is at high risk for research biases such as selection bias , social desirability bias , or other types of cognitive biases .

If you want to know more about statistics , methodology , or research bias , make sure to check out some of our other articles with explanations and examples.

• Normal distribution
• Degrees of freedom
• Null hypothesis
• Discourse analysis
• Control groups
• Mixed methods research
• Non-probability sampling
• Quantitative research
• Inclusion and exclusion criteria

Research bias

• Rosenthal effect
• Implicit bias
• Cognitive bias
• Selection bias
• Negativity bias
• Status quo bias

Action research is conducted in order to solve a particular issue immediately, while case studies are often conducted over a longer period of time and focus more on observing and analyzing a particular ongoing phenomenon.

Action research is focused on solving a problem or informing individual and community-based knowledge in a way that impacts teaching, learning, and other related processes. It is less focused on contributing theoretical input, instead producing actionable input.

Action research is particularly popular with educators as a form of systematic inquiry because it prioritizes reflection and bridges the gap between theory and practice. Educators are able to simultaneously investigate an issue as they solve it, and the method is very iterative and flexible.

A cycle of inquiry is another name for action research . It is usually visualized in a spiral shape following a series of steps, such as “planning → acting → observing → reflecting.”

Sources in this article

We strongly encourage students to use sources in their work. You can cite our article (APA Style) or take a deep dive into the articles below.

George, T. (2024, January 12). What Is Action Research? | Definition & Examples. Scribbr. Retrieved August 21, 2024, from https://www.scribbr.com/methodology/action-research/

Cohen, L., Manion, L., & Morrison, K. (2017). Research methods in education (8th edition). Routledge.

Naughton, G. M. (2001).  Action research (1st edition). Routledge.

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• Montclair State University
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• Foreward - Pat Maguire Preface Introduction: What is an Action Research Dissertation? Action Research Traditions and Knowledge Interests The Multiple Traditions of Action Research Action Research and Organizational Development/Learning Participatory Research: The Legacy of Paulo Freire Action Research in Education Emerging Approaches to Action Research The Knowledge interests of Action Research The Continuum of Positionality in Action Research Insider: Researcher Studies Own Self/Practice Insider in Collaboration with Other Insiders Insider Initiated Studies with Outsiders PAR: Reciprocal Collaboration (Insider-Outsiders Teams) PAR: Outsider Initiated Studies with Insiders Outsider(s) Studies Insider(s) Quality Criteria for Action Research: An Ongoing Conversation Delegitimizing Action Research: Opposition in the Academy Redefining Rigor: Criteria of Quality for Action Research Are the Findings of Action Research "Generalizable"? The Politics of Action Research Designing the Plane While Flying it: Proposing and Doing the Dissertation The Dissertation Proposal Where Do Action Research Questions Come from? Issues of Design and Methodology The Literature Review: Literature in Dialogue with the Data Writing the Dissertation Defending the Dissertation What does a Participatory Action Research Dissertation look like? Lynne Mock: Carving a Dissertation Out of a Participatory Action Research Project Alice McIntyre: Initiating a Participatory Action Research Group Action Research, Ethics, and the Institutional Review Board Background to the Creation of the IRB The Role of the Institutional Review Board Final Thoughts References Appendix A Index.
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The Action Research Dissertation

Learning from leading change.

• Publisher Myers Education Press
• Published 7th August 2023
• ISBN 9781975505035
• Language English
• Pages 225 pp.
• Size 6" x 9"
•     Request Exam Copy

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• Published 23rd August 2023
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2024 SPE Outstanding Book Award Honorable Mention The idea of the doctorate is undergoing a transformation as experts explore the nature of “doctorateness” and its relevance for current organizational and societal challenges. The professional practice doctorate has emerged as a highly useful framework to address these challenges and it necessarily requires a distinctive approach to the doctoral dissertation. The Action Research Dissertation: Learning from Leading Change shares a framework for the action research dissertation, outlining the specific ways in which action research fosters the development of scholar-leaders. It offers both doctoral students who are practitioners in applied fields, and the faculty who guide them in their doctoral research, a comprehensive and applied approach to action research that focuses on facilitating and leading change in organizations, as well as ways to address how to translate the findings of this work into a rigorous, dissertation research study. Throughout the book, the authors explicitly address the connection between the parallel and mutually-reinforcing processes of taking action and conducting research, offering rich insights, tools, and case examples that outline specifically how to use action research to both guide a change effort and generate useful insights to contribute to theory-building. This is an essential book for a variety of readers, including professional practice doctoral students, faculty directing the studies of those students, program administrators, professional development coordinators, and many others. Perfect for courses such as:  Introduction to Action Research, Action Research, Applied Research, Qualitative Research, Mixed Methods Research, and Case Study Research

“Watkins, Nicolaides, and Gilbertson offer a refreshing and accessible take on the history, theory, and practice of action research. They excel at the difficult balancing act that many action researchers experience – successfully weaving reflection, action, and theory to provide a praxis-informed account. This is not only grounded in the authors’ years of experience in organization action research, but in the evidence they have systematically reflected on and analyzed from their EdD program. This book The Action Research Dissertation: Learning from Leading Change provides the necessary building blocks for any doctoral student or emerging action researcher interested in making a transformative change in their organization.” Giovanni Dazzo, co-author of "Critical Participatory Inquiry: An Interdisciplinary Introduction and Guide." Assistant Professor, Mary Frances Early College of Education, University of Georgia

“Based on a decade of innovative development and reflective refinement, Watkins, Gilbertson, and Nicolaides provide an essential guide to a much-needed contemporary action research dissertation process that ambitiously engages doctoral students in leading change while conducting relevant research. The work The Action Research Dissertation: Learning from Leading Change as presented is grounded in principles of purpose, mutuality, and rigorous integrity but is also highly practical and problem-based. It offers rich examples to navigate the challenges of using such an approach. Through this process, students document impactful results of learning and change at the individual, group, and system levels. Foremost is the learning we hope for through doctoral education—that of scholar-leaders propelled beyond their study to create change and knowledge in many contexts.” Lorilee R. Sandmann, Professor Emerita, University of Georgia

“Karen Watkins, Aliki Nicolaides and Erica Gilbertson provide guidance for conducting Action Research that is both academically based and very readable in terms of practice. The book The Action Research Dissertation: Learning from Leading Change is relevant for doctoral students (particularly students in professional practice doctoral programs) and practitioners in organizations in need of addressing real world problems. It builds on both the classic literature on action research and learning integrated into the contemporary literature relevant to the process. This book begins with a thorough description of the foundations of action research and then presents the specific components of initiating and conducting the process. Their focus is on using theory effectively. In doing so it presents specific practices for each step in the process in a way that offers very specific ways of addressing the complexity of conducting action research in today’s world of rapid change that is occurring while the research is being conducted. This includes practices through which participants in the research assess the type of challenges they are studying and learning from each other’s perspectives. The authors draw on both individual, team and organizational learning theory and other academic frameworks integrating them into leading and participating in the research process. They take the reader through the process step by step in each chapter, beginning with choosing and recruiting participants for the action learning team, bringing the team together, managing the team through critical and challenging aspects of the process, addressing ethical and validity issues and how to effectively present their findings from the research. Examples used throughout the book are from a range of institutional settings, business, education, health care and others. This book brings action research into the current time of the 21st century for learning through inquiry in times of continuous change. It is about leading through effective inquiry.” Lyle Yorks, Professor Emeritus, Adult Learning & Leadership Program, Teachers College, Columbia University

“Watkins, Gilbertson, and Nicolaides give us a practical and resource-rich approach suited to action researchers entering the field.” Hilary Bradbury, Ph.D., editor in chief, Action Research journal and curator, Foundation AR+

Part 1—Laying the Foundation 1: Beginning Your Action Research Journey 2: The Nature of Action Research for Changing Systems 3: The Scholar-Leader—Leading Change in Action Research Part 2—Scaffolding the Study 4: Developing the Theoretical Framework 5: Intervention in Action Research 6: Evidencing the Action Research Problem 7: Designing Action Research Studies 8: Facilitating the Action Research Team Part 3—Securing the Study 9: Telling the Action Research Story 10: Ethical Standards and Dilemmas in Action Research 11: Common Challenges in Action Research 12: Concluding our Action Research Journey Appendix A - The University of Georgia Action Research Doctorate Appendix B - Sample Action Research Dissertation Abstracts About the Authors Index

Karen E. Watkins

Dr. Karen E. Watkins is Professor of Learning, Leadership and Organizational Development in the College of Education at The University of Georgia. She holds a PhD from the University of Texas at Austin and an M.A. from the University of Wisconsin. Karen’s scholarly interests include organizational learning assessment, informal and incidental learning, action learning, action research, and action science. Watkins & Marsick developed and validated the Dimensions of the Learning Organization Questionnaire (1997) used in over 100 published studies. Watkins is the author or co-author of numerous articles and chapters, and nine books. With Victoria Marsick, she recently completed work on a forthcoming book entitled Rethinking Workplace Learning and Development . Named Scholar of the Year by the Academy of Human Resource Development in 1999, she was inducted into the International Adult and Continuing Education Hall of Fame in 2003 and the Academy of Human Resource Development Scholar Hall of Fame in 2014. She consults with many organizations including work with OECD on schools as learning organizations and with the World Health Organization on evaluating learning and development among immunization staff. She was one of the founding presidents of the Academy of Human Resource Development and is currently on the Board of Trustees of the Geneva Learning Foundation in Switzerland.

Erica Gilbertson

Dr. Erica Gilbertson is the Director of Organizational Impact for the Georgia Leadership Institute for School Improvement. She holds an EdD from The University of Georgia (UGA) where she recently conducted an action research study dissertation in the Learning, Leadership and Organization Development program. She also holds an M.A. in Educational Studies from the University of Michigan. From 2012-2021 Erica served as a public service faculty member in UGA’s Office of School Engagement where she led school-university partnership programs. Prior to UGA, she directed both federal and foundation education grants that supported K–12 school improvement and redesign initiatives, worked as the communications manager at the Stanford University Graduate School of Education, and taught high school English. Erica has co-authored eight published scholarly articles/book chapters and given more than 20 presentations at regional/national academic conferences. Her scholarly interests include action research, school leadership, new teacher support, social network theory, professional development schools, and boundary-spanning leadership.

Aliki Nicolaides

Aliki Nicolaides Ed.D, is Professor of Adult Learning and Leadership at the University of Georgia in the program of Learning, Leadership & Organization Development. Her research centers on exploring the intra-active dynamics of learning that generate personal and societal transformation. She accomplishes this by focusing her research on the role that learning plays in activating the vital potential that connects self and society. Her desire for creating tools and scaffolds that grow individual and collective capacity for both inquiry and action is central to her approach to teaching and mentoring the next generation of scholars and leaders of change Dr. Nicolaides is co-founder of the Generative Learning and Complexity Laboratory (GLCL) that brings together scholars and practitioners of learning and complexity science to reimagine learning and development through the lens of generative knowing and complexity learning. The results of her scholarship are shaping a new philosophical strand of adult learning, what she describes as Generative Knowing: ways of being and becoming that liberate potential creatively in her first solo book. Dr. Nicolaides is a founding steward and current Director of the International Transformative Learning Association.

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The Action Research Dissertation: A Guide for Students and Faculty 2nd Edition, Kindle Edition

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About the author.

Gary L. Anderson is a professor in the Department of Administration, Leadership, and Technology in the Steinhardt School of Culture, Education, and Human Development, New York University. He is a former teacher and high school principal. He has written numerous articles on action research with co-author Kathryn Herr as well as articles and books on educational policy and leadership. He is the author of Advocacy Leadership: Toward a Post-reform Agenda (Routledge).

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Applications for New Awards; Special Education Dissertation Research Fellowship Program

A Notice by the Education Department on 08/15/2024

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• Document Details Published Content - Document Details Agency Department of Education Document Citation 89 FR 66372 Document Number 2024-18271 Document Type Notice Pages 66372-66375 (4 pages) Publication Date 08/15/2024 Published Content - Document Details
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Department of Education

Institute of Education Sciences, Department of Education.

The Department of Education (Department) is issuing a notice inviting applications for new awards for fiscal year (FY) 2025 for the Special Education Dissertation Research Fellowship Program.

Application Package Available: August 29, 2024.

Deadline for Transmittal of Applications: November 14, 2024.

For the addresses for obtaining and submitting an application, please refer to our Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on December 7, 2022 ( 87 FR 75045 ) and available at www.federalregister.gov/​documents/​2022/​12/​07/​2022-26554/​common-instructions-for-applicants-to-department-of-education-discretionary-grant-programs .

Courtney Pollack. Telephone: 202-987-0999. Email: [email protected] .

If you are deaf, hard of hearing, or have a speech disability and wish to access telecommunications relay services, please dial 7-1-1.

Purpose of Program: In awarding research training grant programs, the Institute of Education Sciences (IES) aims to prepare individuals to conduct rigorous and relevant education and special education research that advances knowledge within the field and addresses issues important to education policymakers and practitioners.

Assistance Listing Number: 84.324G.

OMB Control Number: 4040-0001.

Competition in This Notice: The IES National Center for Special Education Research (NCSER) is announcing one competition: Special Education Dissertation Research Fellowship Program (ALN 84.324G). Under the Dissertation program, doctoral students will receive support for conducting their dissertation and participating in related training with guidance from a sponsor at their institution. NCSER will consider only applications that address one or more of the following topics:

• Education Systems
• Education Technologies
• Low-Incidence Disabilities
• Postsecondary Education

Multiple Submissions: You may submit applications to more than one of the FY 2025 research and research training grant programs offered through the Department, including those offered through IES as well as those offered through other offices and programs within the Department. You may submit multiple applications to the grant program announced here as long as they specify different doctoral students and dissertation research. However, you may submit a given application only once for the IES FY 2025 grant competitions, meaning you may not submit the same application or similar applications to multiple grant programs within IES, to multiple topics within a grant competition, or multiple times within the same topic. If you submit multiple similar applications, IES will determine whether and which applications will be accepted for review and/or will be eligible for funding. In addition, if you submit the same or similar application to IES and to another funding entity within or external to the Department and receive funding for the non-IES application prior to IES scientific peer review of applications, you must withdraw the same or similar application submitted to IES, or IES may otherwise determine you are ineligible to receive an award. If reviews are happening concurrently, IES staff will consult with the other potential funder to determine the degree of overlap and which entity will provide funding if both applications are being considered for funding.

Exemption from Proposed Rulemaking: Under section 191 of the ( print page 66373) Education Sciences Reform Act, 20 U.S.C. 9581 , IES is not subject to section 437(d) of the General Education Provisions Act, 20 U.S.C. 1232(d) , and is therefore not required to offer interested parties the opportunity to comment on matters relating to grants.

Program Authority: 20 U.S.C. 9501 et seq.

Note: Projects will be awarded and must be operated in a manner consistent with the nondiscrimination requirements contained in Federal civil rights laws.

Applicable Regulations: (a) The Education Department General Administrative Regulations in 34 CFR parts 77 , 81 , 82 , 84 , 86 , 97 , 98 , and 99 . In addition, the regulations in 34 CFR part 75 are applicable, except for the provisions in 34 CFR 75.100 , 75.101(b) , 75.102 , 75.103 , 75.105 , 75.109(a) , 75.200 , 75.201 , 75.209 , 75.210 , 75.211 , 75.217(a)-(c) , 75.219 , 75.220 , 75.221 , 75.222 , 75.230 , 75.250(a) , and 75.708 . (b) The Office of Management and Budget (OMB) Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement) in 2 CFR part 180 , as adopted and amended as regulations of the Department in 2 CFR part 3485 . (c) The Guidance for Federal Financial Assistance in 2 CFR part 200 , as adopted and amended as regulations of the Department in 2 CFR part 3474 .

Note: The open licensing requirement in 2 CFR 3474.20 does not apply to this competition.

Note: The Department will implement the provisions in the OMB final rule OMB Guidance for Federal Financial Assistance, which amends 2 CFR parts 25 , 170 , 175 , 176 , 180 , 182 , 183 , 184 , and 200 , on October 1, 2024. Grant applicants that anticipate a performance period start date on or after October 1, 2024 should follow the provisions in the OMB Guidance for Federal Financial Assistance ( 89 FR 30046 ) when preparing an application. For more information about these updated regulations please visit: www.cfo.gov/​resources/​uniform-guidance/​ .

Type of Awards: Discretionary grants.

Fiscal Information: Although Congress has not yet enacted an appropriation for FY 2025, IES is inviting applications for this competition now so that applicants can have adequate time to prepare their applications. The actual level of funding, if any, depends on final congressional action. IES may announce additional competitions later in 2024.

Estimated Range of Awards: Up to $50,000 for the entire project period of 1 year.

Estimated Number of Awards: The number of awards will depend on the quality of the applications received and the availability of funds.

IES may waive any of the following limits on awards in the special case that the peer review process results in a tie between two or more grant applications, making it impossible to adhere to the limits without funding only some of the equally ranked applications. In that case, IES may make a larger number of awards to include all applications of the same rank.

IES intends to fund up to eight grants. However, should funding be available, IES may consider making additional awards to high-quality applications that remain unfunded after eight awards are made.

Note: The Department is not bound by any estimates in this notice.

Project Period: Up to 1 year.

1. Eligible Applicants: Eligible applicants are institutions of higher education in the United States and its territories that confer doctoral degrees.

2. a. Cost Sharing or Matching: The competition in this notice does not require cost sharing or matching.

b. Indirect Cost Rate Information: Under 34 CFR 75.562(c)(2) , indirect cost reimbursement on a training grant is limited to the recipient's actual indirect costs, as determined by its negotiated indirect cost rate agreement, or 8 percent of a modified total direct cost base, whichever amount is less. For more information regarding indirect costs, or to obtain a negotiated indirect cost rate, please see www2.ed.gov/​about/​offices/​list/​ocfo/​intro.html .

3. Subgrantees: A grantee under this competition may not award subgrants to entities to directly carry out project activities described in its application.

1. Application Submission Instructions: Applicants are required to follow the Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on December 7, 2022 ( 87 FR 75045 ) and available at https://www.federalregister.gov/​documents/​2022/​12/​07/​2022-26554/​common-instructions-for-applicants-to-department-of-education-discretionary-grant-programs , which contain requirements and information on how to submit an application.

2. Other Information: Information regarding program and application requirements can be found in the currently available IES Application Submission Guide and in the Request for Applications (RFA), which will be available on or before August 29, 2024, on the IES website at: https://ies.ed.gov/​funding/​ . The application package will also be available on or before August 29, 2024.

3. Content and Form of Application Submission: Requirements concerning the content of an application are contained in the RFA. The forms that must be submitted are in the application package.

4. Submission Dates and Times: The deadline date for transmittal of applications is November 14, 2024.

We do not consider an application that does not comply with the deadline requirements.

5. Intergovernmental Review: This competition is not subject to Executive Order 12372 and the regulations in 34 CFR part 79 .

6. Funding Restrictions: We reference regulations outlining funding restrictions in the Applicable Regulations section of this notice.

1. Selection Criteria: For all of its grant competitions, IES uses selection criteria based on a peer review process that has been approved by the National Board for Education Sciences. The Peer Review Procedures for Grant Applications can be found on the IES website at https://ies.ed.gov/​director/​sro/​application_​review.asp .

Peer reviewers will be asked to evaluate the significance of the application, quality of the research plan, quality of the career plan, and quality of the management plan. These criteria will be described in greater detail in the RFA.

Applications must include budgets no higher than the maximum award as set out in the RFA. IES will not make an award exceeding the maximum award amount as set out in the RFA.

2. Review and Selection Process: We remind potential applicants that in reviewing applications in any discretionary grant competition, IES may consider, under 34 CFR 75.217(d)(3) , the past performance of the applicant in carrying out a previous award, such as the applicant's use of funds, achievement of project objectives, compliance with the IES policy regarding public access to research, and compliance with grant conditions. IES may also consider whether the applicant failed to submit a timely performance report or submitted a report of unacceptable quality.

In addition, in making a competitive grant award, IES requires various ( print page 66374) assurances including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department ( 34 CFR 100.4 , 104.5 , 106.4 , 108.8 , and 110.23 ).

3. Risk Assessment and Specific Conditions: Consistent with 2 CFR 200.206 , before awarding grants under this competition, the Department conducts a review of the risks posed by applicants. Under 2 CFR 200.208 , IES may impose specific conditions and, under 2 CFR 3474.10 , in appropriate circumstances, high-risk conditions on a grant if the applicant or grantee is not financially stable; has a history of unsatisfactory performance; has a financial or other management system that does not meet the standards in 2 CFR part 200, subpart D ; has not fulfilled the conditions of a prior grant; or is otherwise not responsible.

4. Integrity and Performance System: If you are selected under this competition to receive an award that over the course of the project period may exceed the simplified acquisition threshold (currently $250,000), under 2 CFR 200.206(a)(2) we must make a judgment about your integrity, business ethics, and record of performance under Federal awards—that is, the risk posed by you as an applicant—before we make an award. In doing so, we must consider any information about you that is in the integrity and performance system (currently referred to as the Federal Awardee Performance and Integrity Information System (FAPIIS)), accessible through the System for Award Management. You may review and comment on any information about yourself that a Federal agency previously entered and that is currently in FAPIIS.

Please note that, if the total value of your currently active grants, cooperative agreements, and procurement contracts from the Federal Government exceeds $10,000,000, the reporting requirements in 2 CFR part 200, Appendix XII , require you to report certain integrity information to FAPIIS semiannually. Please review the requirements in 2 CFR part 200, Appendix XII , if this grant plus all the other Federal funds you receive exceed $10,000,000.

5. In General: In accordance with the OMB's guidance located at 2 CFR part 200 , all applicable Federal laws, and relevant Executive guidance, the Department will review and consider applications for funding pursuant to this notice inviting applications in accordance with:

(a) Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications ( 2 CFR 200.205 );

(b) Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense Authorization Act of 2019 ( Pub. L. 115-232 ) ( 2 CFR 200.216 );

(c) Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States ( 2 CFR 200.322 ); and

(d) Terminating agreements in whole or in part to the greatest extent authorized by law if an award no longer effectuates the program goals or agency priorities ( 2 CFR 200.340 ).

1. Award Notices: If your application is successful, we notify your U.S. Representative and U.S. Senators and send you a Grant Award Notification (GAN); or we may send you an email containing a link to access an electronic version of your GAN. We also may notify you informally.

If your application is not evaluated or not selected for funding, we notify you.

2. Administrative and National Policy Requirements: We identify administrative and national policy requirements in the application package and reference these and other requirements in the Applicable Regulations section of this notice.

We reference the regulations outlining the terms and conditions of an award in the Applicable Regulations section of this notice and include these and other specific conditions in the GAN. The GAN also incorporates your approved application as part of your binding commitments under the grant.

3. Grant Administration: Applicants should budget for an annual meeting of four days for project directors to be held in Washington, DC.

4. Reporting: (a) If you apply for a grant under the competition announced in this notice, you must ensure that you have in place the necessary processes and systems to comply with the reporting requirements in 2 CFR part 170 should you receive funding under the competition. This does not apply if you have an exception under 2 CFR 170.110(b) .

(b) At the end of your project period, you must submit a final performance report, including financial information, as directed by IES. If you receive a multiyear award, you must submit an annual performance report that provides the most current performance and financial expenditure information as directed by IES under 34 CFR 75.118 . IES may also require more frequent performance reports under 34 CFR 75.720(c) . For specific requirements on reporting, please go to www.ed.gov/​fund/​grant/​apply/​appforms/​appforms.html .

5. Performance Measures: To evaluate the overall success of its special education research grant programs, IES annually assesses the percentage of projects that result in peer-reviewed publications, the number of newly developed or modified interventions with evidence of promise for improving learner education outcomes, and the number of IES-supported interventions with evidence of efficacy in improving learner education outcomes. School readiness outcomes include pre-reading, reading, pre-writing, early mathematics, early science, and social-emotional skills that prepare young children for school. Developmental outcomes for infants and toddlers (birth to age three) include cognitive, communicative, linguistic, social, emotional, adaptive, functional, or physical development. Student academic outcomes include learning and achievement in academic content areas, such as reading, writing, math, and science, as well as outcomes that reflect students' successful progression through the education system, such as course and grade completion; high school graduation; and postsecondary enrollment, progress, and completion. Social and behavioral competencies include social and emotional skills, attitudes, and behaviors that are important to academic and post-academic success. Functional outcomes include behaviors and skills that learners need to participate in developmentally appropriate routines and activities. Transition outcomes include transition to employment, independent living, and postsecondary education. Employment and earnings outcomes include hours of employment, job stability, and wages and benefits, and may be measured in addition to student academic outcomes.

6. Continuation Awards: There is no option for a continuation award under this competition.

Accessible Format: On request to the program contact person listed in FOR FURTHER INFORMATION CONTACT , as well as in the RFA and application package, individuals with disabilities can obtain this document and a copy of the RFA in an accessible format. The Department will provide the requestor with an accessible format that may include Rich Text Format (RTF) or text format (txt), a thumb drive, an MP3 file, braille, large print, audiotape, compact disc, or other accessible format. ( print page 66375)

Electronic Access to This Document: The official version of this document is the document published in the Federal Register . You may access the official edition of the Federal Register and the Code of Federal Regulations at www.govinfo.gov . At this site you can view this document, as well as all other Department documents published in the Federal Register , in text or Portable Document Format (PDF). To use PDF you must have Adobe Acrobat Reader, which is available free at the site.

You may also access Department documents published in the Federal Register by using the article search feature at www.federalregister.gov . Specifically, through the advanced search feature at this site, you can limit your search to documents published by the Department.

Matthew Soldner,

Acting Director, Institute of Education Sciences.

[ FR Doc. 2024-18271 Filed 8-14-24; 8:45 am]

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