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Barton, K. C. (2015). Elicitation techniques: getting people to talk about ideas they don’t usually talk about.  Theory & Research in Social Education ,  43 (2), 179-205.

Bassey, M. (1998). Action research for improving educational practice.  Teacher research and school improvement: Opening doors from the inside , 93-108.

Biesta, G., & Tedder, M. (2006). How is agency possible? Towards an ecological understanding of agency-as-achievement.  Learning lives: Learning, identity, and agency in the life course .

Blaikie, N. (2007).  Approaches to social enquiry: Advancing knowledge . Polity.

Carr, W., & Kemmis, S. (2003).  Becoming critical: education knowledge and action research . Routledge.

Clandinin, D. J., & Connelly, F. M. (2000). Narrative inquiry: Experience and story in qualitative research . San Francisco, CA: Jossy-Boss.

Collingwood, R. G. (1939). An Autobiography. Oxford: Oxford University Press.

Creswell, J. W. (2007). Qualitative inquiry and research design: Choosing among five designs . Thousand Oaks , CA: Sage.

Creswell, J. W. (2009).  Research design: Qualitative, quantitative, and mixed methods approaches  (Vol. 4). Thousand Oaks, CA: Sage.

Danielson, C. 2007. Enhancing professional practice: A framework for teaching. Alexandria, VA: Association for Supervision and Curriculum Development.

Glasersfeld, E. V. (1987).  The Construction of Knowledge, Contributions to Conceptual Semantics . Salinas, CA; Intersystems Publications.

Hooks, B. (1991). Theory as liberatory practice.  Yale JL & Feminism ,  4 , 1.

Hopkins, D. (2003).  School improvement for real . London: Routledge.

Kemmis, S., & McTaggart, R. (2000). Participatory action research. In N. Denzin & Y. Lincoln, (eds.), Handbook of Qualitative Research . London: Sage.

Kolb, D. A. (2014).  Experiential learning: Experience as the source of learning and development . Upper Saddle River, NJ: Pearson.

Koro-Ljungberg, M., Yendol-Hoppey, D., Smith, J. J., & Hayes, S. B. (2009). (E) pistemological awareness, instantiation of methods, and uninformed methodological ambiguity in qualitative research projects.  Educational Researcher ,  38 (9), 687-699.

Koshy, V. (2010). Action research for improving educational practice: A step-by-step guide. Sage.

Levin, M., & Greenwood, D. (2001). Pragmatic action research and the struggle to transform universities into learning communities.  Handbook of action research: Participative inquiry and practice , 103-113.

Lincoln, Y. S. (2001). Engaging sympathies: Relationships between action research and social constructivism. In P. Reason & H. Bradbury (eds.), Handbook of action research: Participative inquiry and practice , 124-132. London: Sage.

Macintyre, C. (2012).  The art of action research in the classroom . David Fulton Publishers.

Maher, F. A., & Tetreault, M. K. (1993). Frames of positionality: Constructing meaningful dialogues about gender and race. Anthropological Quarterly , 118-126.

McNiff, J. (2013).  Action research: Principles and practice . Routledge

Mertler, C. A. (2008).  Action research: Teachers as researchers in the classroom . Sage.

O’Dochartaigh, N. (2007).  Internet research skills: how to do your literature search and find research information online . London; Sage.

O’Leary, Z. (2004).  The essential guide to doing research . London; Sage.

Reason, P., & Bradbury, H. (Eds.). (2001). Handbook of action research: Participative inquiry and practice. Sage.

Sagor, R. (2010).  The action research guidebook: A four-stage process for educators and school teams . Corwin Press.

Said, E. W. (1997).  Beginnings: Intention and method . Granta books.

Swantz, M. L. (1996). A personal position paper on participatory research: Personal quest for living knowledge. Qualitative Inquiry, 2(1), 120-136.

Action Research Copyright © by J. Spencer Clark; Suzanne Porath; Julie Thiele; and Morgan Jobe is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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Ferrance, E. (2000) Action Research. Providence, RI. Retrieved October 6, 2018 from https://www.brown.edu/academics/education-alliance/sites/brown.edu.academics.education-alliance/files/publications/act_research.pdf

Harper, M., & Deskins, L. (2015). Using action research to assess and advocate for innovative school library design.  Knowledge Quest ,  44 (2), 25-32.  https://files.eric.ed.gov/fulltext/EJ1080082.pdf  

McNiff, J. (2002). Action research for professional development: Concise advice for new action researchers , 3 rd ed. Retrieved from https://www.jeanmcniff.com/ar-booklet.asp

Pine, G. (2009). Conducting teacher action research. Teacher Action Research: Building Knowledge Democracies (pp. 234-262) Thousand Oaks, CA. Sage Publications, Inc. Retrieved from https://www.sagepub.com/sites/default/files/upm-binaries/27031_11.pdf

Riel, M. (2010-2017). Understanding Action Research . Center for Collaborative Action Research, Pepperdine University (Last revision Jan, 2017). https://cadres.pepperdine.edu/ccar/define.html .

Additional Sources

Gorski, Paul C. (1995-2018). Teacher Action Research . Critical Multicultural Pavilion. Retrieved October 6, 2018 from https://www.edchange.org/multicultural/tar.html

Riel, M. (2018). Welcome to the open action research self paced tutorials. https://www.actionresearchtutorials.org/tutorials-1-12 This site is part of the Center for Collaborative Action Research at Pepperdine University. It includes a series of 12 videos ranging from 7-13 minutes on various aspects of action research. The site also includes a link to the Activity Master Booklet that you can access and use.

Valencia College. (2016, August 16) . Action research. Scholarship of Teaching & Learning. https://valenciacollege.edu/faculty/development/tla/actionResearch/ARP_softchalk/index.html Extensive information on how to develop and implement an action research project.

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In This Article Expand or collapse the "in this article" section Action Research

Introduction.

  • General Overviews
  • Reference Works
  • Traditional Action Research
  • Participatory Action Research
  • Feminist Participatory Action Research
  • Practitioner Centered Action Research
  • Community-Based Participatory Research
  • Action Science
  • Power and Control
  • Reflexivity
  • Relationship with Practitioners
  • Academic Rigor
  • Ethical Research
  • Challenges Gaining Approval from an IRB
  • Training and Professional Development
  • Dissemination

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Action Research by Geoffrey Maruyama , Martin Van Boekel LAST REVIEWED: 30 January 2014 LAST MODIFIED: 30 January 2014 DOI: 10.1093/obo/9780199828340-0149

Unlike many areas of psychology, “action research” does not possess a single definition or evoke a single meaning for all researchers. Most action research links back to work initiated by a group of researchers led by Kurt Lewin (see Lewin 1946 and Lewin 1951 , both cited under Definition ). Lewin is widely viewed as the “father” of action research. Lewin is certainly deserving of that recognition, for conceptually driven research done by Lewin and colleagues before and during World War II addressed a range of practical issues while also helping to develop theories of attitude change. The work was guided by Lewin’s field theory. Part of what makes Lewin’s work so compelling and what has led to different variations of action research is his focus on action research as a philosophy about research as a vehicle for creating social advancement and change. He viewed action research as collaborative and engaging practitioners and policymakers in sustainable partnerships that address critical societal issues. At about the time that Lewin and his group were developing their perspective on action research, similar work was being conducted by Bion and colleagues in the British Isles (see Rapoport 1970 , cited under Definition ), again tied to World War II and issues like personnel selection and emotional impacts of war and incarceration. That work led to creation of the Tavistock Institute of Human Relations, which has sustained a focus on action research throughout the postwar era of experimental (social) psychology. This article’s focus, however, will stay largely with Lewin and the action research traditions his writings and work created. Those include many variations of action research, most notably participatory action research and community-based participatory research. Cassell and Johnson 2006 (cited under Definition ) describe different types of action research and the epistemologies and assumptions that underlie them, which helps explain how different traditions and approaches have developed.

Lewin 1946 described action research as “a comparative research on the conditions and effects of various forms of social action, and research leading to social action” (p. 203), clearly engaged, change-oriented work. Lewin also went on to say, “Above all, it will have to include laboratory and field-experiments in social change” (p. 203). Post-positivist and constructivist researchers who draw their roots from Lewin should acknowledge his underlying positivist bent. They tend to focus more on his characterizing research objectives as being of two types: identifying general laws of behavior, and diagnosing specific situations. Much academic research has focused on identifying general laws and ignored the local conditions that shape outcomes, paying little attention to specific situations. In contrast, Lewin argued for the combining of “experts in theory,” researchers, with “experts in practice,” practitioners and others familiar with local conditions and how they can affect plans and theories, in order to understand the setting and to design studies likely to be effective. A fundamental part of action research that appeals to all variants of action research is building partnerships with practitioners, which Lewin 1946 described as “the delicate task of building productive, hard-hitting teams with practitioners . . .” (p. 211). These partnerships according to Lewin need to survive through several cycles of planning, action, and fact-finding. As action research has evolved and “split” into the streams mentioned in the initial section of this article, it has been interpreted in different ways, typically tied to how researchers interact with and share responsibility throughout the research process with practitioners ( Aguinis 1993 ).

Aguinis, H. 1993. Action research and scientific method: Presumed discrepancies and actual similarities. Journal of Applied Behavioral Science 29.4: 416–431.

DOI: 10.1177/0021886393294003

Suggests that action research is application of the scientific method and fact-finding to applied settings, done in collaboration with partners. Views action research and the traditional scientific approaches not as discrepant as often they are made out to be. Does a good job of presenting historical development of action research, including perspectives of others contrasting action research and traditional experimental research, as well as presenting his perspective.

Cassell, C., and P. Johnson. 2006. Action research: Explaining the diversity. Human Relations 54.6: 783–814.

DOI: 10.1177/0018726706067080

This article outlines five categories of action research. Each category is discussed in terms of the underlying philosophical assumptions and the research techniques utilized. Importantly, the authors discuss the difficulties in using one set of criteria to evaluate the success of an action research approach, proposing that due to the different philosophical assumptions different criteria must be used.

Lewin, K. 1946. Action research and minority problems. Journal of Social Issues 2:34–46.

DOI: 10.1111/j.1540-4560.1946.tb02295.x

This article includes Lewin’s original definition of action research listed above, as well as addressing the different research objectives, studying general laws and diagnosing specific situations. This article also appears as chapter 13 in K. Lewin, Resolving Social Conflicts (New York: Harper, 1948), pp. 201–216. Resolving Social Conflicts also was republished in 1997 (reprinted 2000) by the American Psychological Association in a single volume along with Field Theory in Social Science .

Lewin, K. 1951. Field theory in social science: Collected theoretical papers . Edited by D. Cartwright. New York: Harper.

Papers in this volume rarely address action research directly, but lay the groundwork for it through field theory, which recognizes that behavior results from the interaction of individuals and environments, B = f(P, E). To explain and change behaviors, researchers need to develop and understand general laws and apply them to specific situations and individuals. The book is a compilation of his papers, with edits done by Dorwin (Doc) Cartwright after Lewin’s death.

Rapoport, R. N. 1970. Three dilemmas of action research. Human Relations 23:499–513.

Rapoport provides excellent historical background on the work of Bion and colleagues, which led to creation of the Tavistock Institute. Describes links between Lewin’s Group Dynamics center and Tavistock. Describes action research as a professional relationship and not service.

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Action Research

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bibliography of action research

  • David Coghlan 2  

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Action research is an approach to research which aims at both taking action and creating knowledge or theory about that action as the action unfolds. It starts with everyday experience and is concerned with the development of living knowledge. Its characteristics are that it generates practical knowledge in the pursuit of worthwhile purposes; it is participative and democratic as its participants work together in the present tense in defining the questions they wish to explore, the methodology for that exploration, and its application through cycles of action and reflection. In this vein they are agents of change and coresearchers in knowledge generation and not merely passive subjects as in traditional research. In this vein, action research can be understood as a social science of the possible as the collective action is focused on creating a desired future in whatever context the action research is located.

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bibliography of action research

Action Research As an Ethics Praxis Method

Banks, S., & Brydon-Miller, M. (2018). Ethics in participatory research for health and social well-being . Abingdon: Routledge.

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Bradbury, H., Roth, J., & Gearty, M. (2015). The practice of learning history: Local and open approaches. In H. Bradbury (Ed.), The Sage handbook of action research (3rd ed., pp. 17–30). London: Sage.

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Coghlan, D., Shani, A.B.. (Rami), & Hay, G.W. (2019). Toward a social science philosophy of organization development and change. In D.A. Noumair & A.B.. (Rami) Shani (eds.). Research in organizational change and development (Vol. 27, pp. 1–29). Bingley: Emerald.

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Heron, J., & Reason, P. (2008). Extending epistemology within a cooperative inquiry. In P. Reason & H. Bradbury (Eds.), The Sage handbook of action research (2nd ed., pp. 366–380). London: Sage.

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Pasmore, W. A. (2001). Action research in the workplace: The socio-technical perspective. In P. Reason & H. Bradbury (Eds.), The handbook of action research (pp. 38–47). London: Sage.

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Schein, E. H. (2013). Humble inquiry: The gentle art of asking instead of telling . Oakland: Berrett-Kohler.

Shani, A.B.. (Rami), & Coghlan, D. (2019). Action research in business and management: A reflective review. Action Research . https://doi.org/10.1177/1476750319852147 .

Susman, G. I., & Evered, R. D. (1978). An assessment of the scientific merits of action research. Administrative Science Quarterly, 23 , 582–601. https://doi.org/10.2307/2392581 .

Torbert, W. R., & Associates. (2004). Action inquiry . San Francisco: Jossey-Bass.

Whitney, D., & Trosten-Bloom, A. (2010). The power of appreciative inquiry: A practical guide to positive change . Oakland: Berrett-Kohler.

Williamson, G., & Bellman, L. (2012). Action research in nursing and healthcare . London: Sage.

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  • 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.

Action research Cycle

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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bibliography of action research

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.

Action research Traditional research
and findings
and seeking between variables

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

Prevent plagiarism. Run a free check.

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 September 6, 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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The action research dissertation : a guide for students and faculty

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  • Foreword Preface Acknowledgments About the Authors
  • 1. Introduction: What Is an Action Research Dissertation? The Many Faces of Action Research Toward a Definition of Action Research The Action Research Dissertation
  • 2. Action Research Traditions and Knowledge Interests The Multiple Traditions of Action Research Action Research and Organizational Development/Learning Action Science Participatory Research: The Legacy of Paulo Freire Participatory Evaluation Action Research and Community Psychology Action Research in Education The Teacher-as-Researcher Movement in Britain The Practitioner Research Movement in North America The Danger of Co-Optation Participatory Action Research with Youth: YPAR Action Research as Narrative: Self-Study and Autoethnography Arts-Based Approaches to Action Research Feminist, Post-Colonial, and Antiracist Approaches to Action Research The Knowledge Interests of Action Research Notes
  • 3. The Continuum of Positionality in Action Research Insider: Researcher Studies Own Self/Practice Insider in Collaboration With Other Insiders Insider(s) in Collaboration With Outsider(s) PAR: Reciprocal Collaboration (Insider-Outsider Teams) PAR: Outsider(s) in Collaboration With Insider(s) Outsider(s) Studies Insider(s) Multiple Positionalities The Outsider-Within Stance as a Flawed Approach to Action Research Conclusion Note
  • 4. Quality Criteria for Action Research: An Ongoing Conversation Delegitimizing Action Research: Opposition in the Academy Redefining Rigor: Criteria of Quality for Action Research Reason and Bradbury's Discussion of Validity and Choice Points Addressing Bias in Action Research Are the Findings of Action Research Generalizable? The Politics of Action Research Institutional Micropolitics The Politics of Redefining Professionalism The Politics of Knowledge The Macropolitics of Action Research Projects Note
  • 5. Designing the Plane While Flying it: Proposing and Doing the Dissertation Possibilities of a Pilot Study The Dissertation Proposal Introducing the Proposed Inquiry Situating the Study in Relevant Literature Methodological Considerations Data Analysis and Representation Where Do Action Research Questions Come From? Insider Action Research Outsider Action Research Issues of Design and Methodology Designing Insider Action Research Designing Outsider Action Research The Literature Review: Literature in Dialogue With the Data Writing the Dissertation Defending the Dissertation
  • 6. What Does an Action Research Dissertation Look Like? Lynne Mock: Carving a Dissertation Out of a PAR Project The Entry Process Creating Participatory Structures Writing the Dissertation Emphasizing the Strengths of Action Research Researcher-Initiated PAR Studies Initiating the PAR Study The Emergent Design of the PAR Process Collaborative Data Analysis Disseminating the Results: Multiple Forms of Representation and Audiences John Mark Dyke: Insider Action Research First Phase of the Work Iterative Cycles of Inquiry The Dissertation Research Gary W. Street: A Principal Cultivating Action Research Conclusion Note
  • 7. Ethical Considerations and Action Research Working with Institutional Review Process Ethics in Practice Authentic Collaboration Learning to Be Researchers Who's the Writing For? Moving Beyond Do No Harm
  • 8. Final Thoughts References Index.
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bibliography of action research

What is action research and how do we do it?

In this article, we explore the development of some different traditions of action research and provide an introductory guide to the literature., contents : what is action research ·  origins · the decline and rediscovery of action research · undertaking action research · conclusion · further reading · how to cite this article . see, also: research for practice ..

In the literature, discussion of action research tends to fall into two distinctive camps. The British tradition – especially that linked to education – tends to view action research as research-oriented toward the enhancement of direct practice. For example, Carr and Kemmis provide a classic definition:

Action research is simply a form of self-reflective enquiry undertaken by participants in social situations in order to improve the rationality and justice of their own practices, their understanding of these practices, and the situations in which the practices are carried out (Carr and Kemmis 1986: 162).

Many people are drawn to this understanding of action research because it is firmly located in the realm of the practitioner – it is tied to self-reflection. As a way of working it is very close to the notion of reflective practice coined by Donald Schön (1983).

The second tradition, perhaps more widely approached within the social welfare field – and most certainly the broader understanding in the USA is of action research as ‘the systematic collection of information that is designed to bring about social change’ (Bogdan and Biklen 1992: 223). Bogdan and Biklen continue by saying that its practitioners marshal evidence or data to expose unjust practices or environmental dangers and recommend actions for change. In many respects, for them, it is linked into traditions of citizen’s action and community organizing. The practitioner is actively involved in the cause for which the research is conducted. For others, it is such commitment is a necessary part of being a practitioner or member of a community of practice. Thus, various projects designed to enhance practice within youth work, for example, such as the detached work reported on by Goetschius and Tash (1967) could be talked of as action research.

Kurt Lewin is generally credited as the person who coined the term ‘action research’:

The research needed for social practice can best be characterized as research for social management or social engineering. It is a type of action-research, a comparative research on the conditions and effects of various forms of social action, and research leading to social action. Research that produces nothing but books will not suffice (Lewin 1946, reproduced in Lewin 1948: 202-3)

His approach involves a spiral of steps, ‘each of which is composed of a circle of planning, action and fact-finding about the result of the action’ ( ibid. : 206). The basic cycle involves the following:

This is how Lewin describes the initial cycle:

The first step then is to examine the idea carefully in the light of the means available. Frequently more fact-finding about the situation is required. If this first period of planning is successful, two items emerge: namely, “an overall plan” of how to reach the objective and secondly, a decision in regard to the first step of action. Usually this planning has also somewhat modified the original idea. ( ibid. : 205)

The next step is ‘composed of a circle of planning, executing, and reconnaissance or fact-finding for the purpose of evaluating the results of the second step, and preparing the rational basis for planning the third step, and for perhaps modifying again the overall plan’ ( ibid. : 206). What we can see here is an approach to research that is oriented to problem-solving in social and organizational settings, and that has a form that parallels Dewey’s conception of learning from experience.

The approach, as presented, does take a fairly sequential form – and it is open to a literal interpretation. Following it can lead to practice that is ‘correct’ rather than ‘good’ – as we will see. It can also be argued that the model itself places insufficient emphasis on analysis at key points. Elliott (1991: 70), for example, believed that the basic model allows those who use it to assume that the ‘general idea’ can be fixed in advance, ‘that “reconnaissance” is merely fact-finding, and that “implementation” is a fairly straightforward process’. As might be expected there was some questioning as to whether this was ‘real’ research. There were questions around action research’s partisan nature – the fact that it served particular causes.

The decline and rediscovery of action research

Action research did suffer a decline in favour during the 1960s because of its association with radical political activism (Stringer 2007: 9). There were, and are, questions concerning its rigour, and the training of those undertaking it. However, as Bogdan and Biklen (1992: 223) point out, research is a frame of mind – ‘a perspective that people take toward objects and activities’. Once we have satisfied ourselves that the collection of information is systematic and that any interpretations made have a proper regard for satisfying truth claims, then much of the critique aimed at action research disappears. In some of Lewin’s earlier work on action research (e.g. Lewin and Grabbe 1945), there was a tension between providing a rational basis for change through research, and the recognition that individuals are constrained in their ability to change by their cultural and social perceptions, and the systems of which they are a part. Having ‘correct knowledge’ does not of itself lead to change, attention also needs to be paid to the ‘matrix of cultural and psychic forces’ through which the subject is constituted (Winter 1987: 48).

Subsequently, action research has gained a significant foothold both within the realm of community-based, and participatory action research; and as a form of practice-oriented to the improvement of educative encounters (e.g. Carr and Kemmis 1986).

Exhibit 1: Stringer on community-based action research
A fundamental premise of community-based action research is that it commences with an interest in the problems of a group, a community, or an organization. Its purpose is to assist people in extending their understanding of their situation and thus resolving problems that confront them….
Community-based action research is always enacted through an explicit set of social values. In modern, democratic social contexts, it is seen as a process of inquiry that has the following characteristics:
• It is democratic , enabling the participation of all people.
• It is equitable , acknowledging people’s equality of worth.
• It is liberating , providing freedom from oppressive, debilitating conditions.
• It is life enhancing , enabling the expression of people’s full human potential.
(Stringer 1999: 9-10)

Undertaking action research

As Thomas (2017: 154) put it, the central aim is change, ‘and the emphasis is on problem-solving in whatever way is appropriate’. It can be seen as a conversation rather more than a technique (McNiff et. al. ). It is about people ‘thinking for themselves and making their own choices, asking themselves what they should do and accepting the consequences of their own actions’ (Thomas 2009: 113).

The action research process works through three basic phases:

Look -building a picture and gathering information. When evaluating we define and describe the problem to be investigated and the context in which it is set. We also describe what all the participants (educators, group members, managers etc.) have been doing.
Think – interpreting and explaining. When evaluating we analyse and interpret the situation. We reflect on what participants have been doing. We look at areas of success and any deficiencies, issues or problems.
Act – resolving issues and problems. In evaluation we judge the worth, effectiveness, appropriateness, and outcomes of those activities. We act to formulate solutions to any problems. (Stringer 1999: 18; 43-44;160)

The use of action research to deepen and develop classroom practice has grown into a strong tradition of practice (one of the first examples being the work of Stephen Corey in 1949). For some, there is an insistence that action research must be collaborative and entail groupwork.

Action research is a form of collective self-reflective enquiry undertaken by participants in social situations in order to improve the rationality and justice of their own social or educational practices, as well as their understanding of those practices and the situations in which the practices are carried out… The approach is only action research when it is collaborative, though it is important to realise that action research of the group is achieved through the critically examined action of individual group members. (Kemmis and McTaggart 1988: 5-6)

Just why it must be collective is open to some question and debate (Webb 1996), but there is an important point here concerning the commitments and orientations of those involved in action research.

One of the legacies Kurt Lewin left us is the ‘action research spiral’ – and with it there is the danger that action research becomes little more than a procedure. It is a mistake, according to McTaggart (1996: 248) to think that following the action research spiral constitutes ‘doing action research’. He continues, ‘Action research is not a ‘method’ or a ‘procedure’ for research but a series of commitments to observe and problematize through practice a series of principles for conducting social enquiry’. It is his argument that Lewin has been misunderstood or, rather, misused. When set in historical context, while Lewin does talk about action research as a method, he is stressing a contrast between this form of interpretative practice and more traditional empirical-analytic research. The notion of a spiral may be a useful teaching device – but it is all too easy to slip into using it as the template for practice (McTaggart 1996: 249).

Further reading

This select, annotated bibliography has been designed to give a flavour of the possibilities of action research and includes some useful guides to practice. As ever, if you have suggestions about areas or specific texts for inclusion, I’d like to hear from you.

Explorations of action research

Atweh, B., Kemmis, S. and Weeks, P. (eds.) (1998) Action Research in Practice: Partnership for Social Justice in Education, London: Routledge. Presents a collection of stories from action research projects in schools and a university. The book begins with theme chapters discussing action research, social justice and partnerships in research. The case study chapters cover topics such as: school environment – how to make a school a healthier place to be; parents – how to involve them more in decision-making; students as action researchers; gender – how to promote gender equity in schools; writing up action research projects.

Carr, W. and Kemmis, S. (1986) Becoming Critical. Education, knowledge and action research , Lewes: Falmer. Influential book that provides a good account of ‘action research’ in education. Chapters on teachers, researchers and curriculum; the natural scientific view of educational theory and practice; the interpretative view of educational theory and practice; theory and practice – redefining the problem; a critical approach to theory and practice; towards a critical educational science; action research as critical education science; educational research, educational reform and the role of the profession.

Carson, T. R. and Sumara, D. J. (ed.) (1997) Action Research as a Living Practice , New York: Peter Lang. 140 pages. Book draws on a wide range of sources to develop an understanding of action research. Explores action research as a lived practice, ‘that asks the researcher to not only investigate the subject at hand but, as well, to provide some account of the way in which the investigation both shapes and is shaped by the investigator.

Dadds, M. (1995) Passionate Enquiry and School Development. A story about action research , London: Falmer. 192 + ix pages. Examines three action research studies undertaken by a teacher and how they related to work in school – how she did the research, the problems she experienced, her feelings, the impact on her feelings and ideas, and some of the outcomes. In his introduction, John Elliot comments that the book is ‘the most readable, thoughtful, and detailed study of the potential of action-research in professional education that I have read’.

Ghaye, T. and Wakefield, P. (eds.) CARN Critical Conversations. Book one: the role of the self in action , Bournemouth: Hyde Publications. 146 + xiii pages. Collection of five pieces from the Classroom Action Research Network. Chapters on: dialectical forms; graduate medical education – research’s outer limits; democratic education; managing action research; writing up.

McNiff, J. (1993) Teaching as Learning: An Action Research Approach , London: Routledge. Argues that educational knowledge is created by individual teachers as they attempt to express their own values in their professional lives. Sets out familiar action research model: identifying a problem, devising, implementing and evaluating a solution and modifying practice. Includes advice on how working in this way can aid the professional development of action researcher and practitioner.

Quigley, B. A. and Kuhne, G. W. (eds.) (1997) Creating Practical Knowledge Through Action Research, San Fransisco: Jossey Bass. Guide to action research that outlines the action research process, provides a project planner, and presents examples to show how action research can yield improvements in six different settings, including a hospital, a university and a literacy education program.

Plummer, G. and Edwards, G. (eds.) CARN Critical Conversations. Book two: dimensions of action research – people, practice and power , Bournemouth: Hyde Publications. 142 + xvii pages. Collection of five pieces from the Classroom Action Research Network. Chapters on: exchanging letters and collaborative research; diary writing; personal and professional learning – on teaching and self-knowledge; anti-racist approaches; psychodynamic group theory in action research.

Whyte, W. F. (ed.) (1991) Participatory Action Research , Newbury Park: Sage. 247 pages. Chapters explore the development of participatory action research and its relation with action science and examine its usages in various agricultural and industrial settings

Zuber-Skerritt, O. (ed.) (1996) New Directions in Action Research , London; Falmer Press. 266 + xii pages. A useful collection that explores principles and procedures for critical action research; problems and suggested solutions; and postmodernism and critical action research.

Action research guides

Coghlan, D. and Brannick, D. (2000) Doing Action Research in your own Organization, London: Sage. 128 pages. Popular introduction. Part one covers the basics of action research including the action research cycle, the role of the ‘insider’ action researcher and the complexities of undertaking action research within your own organisation. Part two looks at the implementation of the action research project (including managing internal politics and the ethics and politics of action research). New edition due late 2004.

Elliot, J. (1991) Action Research for Educational Change , Buckingham: Open University Press. 163 + x pages Collection of various articles written by Elliot in which he develops his own particular interpretation of action research as a form of teacher professional development. In some ways close to a form of ‘reflective practice’. Chapter 6, ‘A practical guide to action research’ – builds a staged model on Lewin’s work and on developments by writers such as Kemmis.

Johnson, A. P. (2007) A short guide to action research 3e. Allyn and Bacon. Popular step by step guide for master’s work.

Macintyre, C. (2002) The Art of the Action Research in the Classroom , London: David Fulton. 138 pages. Includes sections on action research, the role of literature, formulating a research question, gathering data, analysing data and writing a dissertation. Useful and readable guide for students.

McNiff, J., Whitehead, J., Lomax, P. (2003) You and Your Action Research Project , London: Routledge. Practical guidance on doing an action research project.Takes the practitioner-researcher through the various stages of a project. Each section of the book is supported by case studies

Stringer, E. T. (2007) Action Research: A handbook for practitioners 3e , Newbury Park, ca.: Sage. 304 pages. Sets community-based action research in context and develops a model. Chapters on information gathering, interpretation, resolving issues; legitimacy etc. See, also Stringer’s (2003) Action Research in Education , Prentice-Hall.

Winter, R. (1989) Learning From Experience. Principles and practice in action research , Lewes: Falmer Press. 200 + 10 pages. Introduces the idea of action research; the basic process; theoretical issues; and provides six principles for the conduct of action research. Includes examples of action research. Further chapters on from principles to practice; the learner’s experience; and research topics and personal interests.

Action research in informal education

Usher, R., Bryant, I. and Johnston, R. (1997) Adult Education and the Postmodern Challenge. Learning beyond the limits , London: Routledge. 248 + xvi pages. Has some interesting chapters that relate to action research: on reflective practice; changing paradigms and traditions of research; new approaches to research; writing and learning about research.

Other references

Bogdan, R. and Biklen, S. K. (1992) Qualitative Research For Education , Boston: Allyn and Bacon.

Goetschius, G. and Tash, J. (1967) Working with the Unattached , London: Routledge and Kegan Paul.

McTaggart, R. (1996) ‘Issues for participatory action researchers’ in O. Zuber-Skerritt (ed.) New Directions in Action Research , London: Falmer Press.

McNiff, J., Lomax, P. and Whitehead, J. (2003) You and Your Action Research Project 2e. London: Routledge.

Thomas, G. (2017). How to do your Research Project. A guide for students in education and applied social sciences . 3e. London: Sage.

Acknowledgements : spiral by Michèle C. | flickr ccbyncnd2 licence

How to cite this article : Smith, M. K. (1996; 2001, 2007, 2017) What is action research and how do we do it?’, The encyclopedia of pedagogy and informal education. [ https://infed.org/mobi/action-research/ . Retrieved: insert date] .

© Mark K. Smith 1996; 2001, 2007, 2017

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  • Knowledge Base
  • Methodology
  • What Is Action Research? | Definition & Examples

What Is Action Research? | Definition & Examples

Published on 27 January 2023 by Tegan George . Revised on 21 April 2023.

Action research Cycle

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, frequently asked questions about action research.

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

  • Participatory action research emphasises 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.

Prevent plagiarism, run a free check.

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 visualised 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 contextualise systemic processes that are already ongoing (e.g., working retroactively to analyse 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 utilised, 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 standardised 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.

Action research Traditional research
and findings
and seeking between variables

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

Action research comes with advantages and disadvantages.

  • Action research is highly adaptable , allowing researchers to mould 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 generalisability  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 .

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 for 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. (2023, April 21). What Is Action Research? | Definition & Examples. Scribbr. Retrieved 3 September 2024, from https://www.scribbr.co.uk/research-methods/action-research-cycle/
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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CMAT6820: Action Research: Citing in APA format (7th edition)

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Author's name: Last name, first initial, e.g. Banks, J. A.

Date of publication: Usually just the year in parentheses, followed by a period, e.g. (2008). When including additional information for newspapers, etc., start with the year, e.g. (2009, July 16). If no date is available, use (n.d.).

Title of article: Capitalize first word of title and subtitle. Period at the end, e.g. Conjuring cut scores: How it distorts our picture of student achievement.

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Journal information: Italicize and capitalize all important words in the title. Italicize volume number. Issue number goes in parentheses (not italicized). Include beginning and ending page numbers of journal article, e.g. Journal of Research in Reading , 31 (4), 20-28 .

With the exception of web site information or DOI's (Digital Object Identifier) all citations should end with a period.

Double space all citations in Reference list. Do not increase spacing between citations. Indent second line of citation to show separation.

Why and how to cite

A good scholar cites the source of information whenever using another person's ideas, opinion or theory. A good scholar also provides citations for any facts, statistics, graphs, or drawings that are obtained from another source. Quotations of another person's actual spoken or written word, and paraphrases of another person's spoken or written words should also be cited.

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  • Basics of APA Style Created by APA--26 brief lessons, each less than two minutes long. Choose the lessons you need.
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Action Research

Action Research

J. Spencer Clark , Kansas State University Follow Suzanne Porath , Kansas State University Follow Julie Thiele , Kansas State University Follow Morgan Jobe , Kansas State University Follow

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Description

Action research is a common journey for graduate students in education and other human science fields. This book attempts to meet the needs of graduate students, in-service teachers, and any other educators interested in action research and/or self-study. The chapters of this book draw on our collective experiences as educators in a variety of educational contexts, and our roles guiding educator/researchers in various settings. All of our experiences have enabled us to question and refine our own understanding of action research as a process and means for pedagogical improvement. The primary purpose of this book is to offer clear steps and practical guidance to those who intend to carry out action research for the first time. As educators begin their action research journey, we feel it is vital to pose four questions: 1) What is action research, and how is it distinct from other educational research?; 2) When is it appropriate for an educator to conduct an action research project in their context?; 3) How does an educator conduct an action research project?; 4) What does an educator do with the data once the action research project has been conducted? We have attempted to address all four questions in the chapters of this book.

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Action Research is also available in ebook form at: https://kstatelibraries.pressbooks.pub/gradactionresearch/

Action Research can be found in the New Prairie Press Pressbooks Catalog .

Action Research, Research for Teachers, Teacher Development, Education Research

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Clark, J. Spencer; Porath, Suzanne; Thiele, Julie; and Jobe, Morgan, "Action Research" (2020). NPP eBooks . 34. https://newprairiepress.org/ebooks/34

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This guide to APA citation follows the 7 th edition of the Publication Manual of the American Psychological Association . It begins with principles, tips, and explanations to help you better understand the rules of correct attribution and citation. Then we provide examples of how to cite a variety of sources both in text and on the References page. 

Wherever necessary, we offer multiple examples depending on where a source is accessed and what information is available. For example, under newspapers, we show you how to cite whether you read the article in print, on the web, or inside of a library database, and what to do if there isn’t an author.

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Action Research in Teaching and Learning

Action Research in Teaching and Learning

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A practical, down-to-earth guide for those who work in teaching and learning in universities, this book will be indispensable reading for those who would like to carry out action research on their own practice. Lin S Norton's concept of 'pedagogical action research' has come from over twenty years' experience of carrying out such research, and more than six years of encouraging colleagues to carry out small scale studies at an institutional, national and international level.

This accessible text illustrates what might be done to improve teaching/supporting learning by carrying out action research to address such questions such as:

  • What can I do to enthuse my students?
  • What can I do to help students become more analytical?
  • How can I help students to link theory with their practice?
  • What can I do to make my lecturing style more accessible?
  • What is going wrong in my seminars when my students don't speak?

Action Research for Teaching and Learning offers readers practical advice on how to research their own practice in a higher education context. It has been written specifically to take the reader through each stage of the action research process with the ultimate goal of producing a research study which is publishable. Cognisant of the sector’s view on what is perceived to be ‘mainstream research’, the author has also written a substantial theoretical section which justifies the place of pedagogical action research in relation to reflective practice and the scholarship of teaching and learning.

TABLE OF CONTENTS

Chapter 1 | 20  pages, putting pedagogical action research into the university context: what are the pressures, chapter 2 | 15  pages, why be a reflective practitioner, chapter 3 | 14  pages, why engage with the scholarship of teaching and learning, chapter 4 | 19  pages, what is the case for pedagogical action research, chapter 5 | 18  pages, where do you start a pedagogical action research study, chapter 6 | 28  pages, what are the most suitable research methodologies, chapter 7 | 16  pages, how can you analyse qualitative data in pedagogical action research, chapter 8 | 24  pages, how can you analyse quantitative data in pedagogical action research, chapter 9 | 24  pages, how can you develop and adapt pedagogical research tools, chapter 10 | 15  pages, what are the ethical issues involved in pedagogical action research, chapter 11 | 26  pages, going public: how can you grow the influence of your findings.

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  • Published: 07 September 2024

Progress on the research and development of plague vaccines with a call to action

  • E. Diane Williamson   ORCID: orcid.org/0000-0002-0322-5972 1 ,
  • Paul B. Kilgore 2 ,
  • Emily K. Hendrix 2 ,
  • Blake H. Neil   ORCID: orcid.org/0009-0002-8091-0604 2 ,
  • Jian Sha 2 &
  • Ashok K. Chopra 2 , 3 , 4 , 5 , 6  

npj Vaccines volume  9 , Article number:  162 ( 2024 ) Cite this article

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  • Bacterial infection

There is a compelling demand for approved plague vaccines due to the endemicity of Yersinia pestis and its potential for pandemic spread. Whilst substantial progress has been made, we recommend that the global funding and health security systems should work urgently to translate some of the efficacious vaccines reviewed herein to expedite clinical development and to prevent future disastrous plague outbreaks, particularly caused by antimicrobial resistant Y. pestis strains.

Content includes material subject to Crown Copyright © 2024.This is an open access article under the Open Government License ( http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/ ).

Epidemiology of plague

Plague, caused by the gram-negative bacterium Yersinia pestis , is notorious for its involvement in three of the seven deadliest pandemics recorded in global history, including the recent COVID-19 pandemic. The three historic plague pandemics, the most infamous of which was the Black Death of the Middle Ages, collectively caused an estimated 200 million deaths 1 , 2 . Unfortunately, plague is still an endemic disease in parts of the world, with outbreaks being reported to the WHO from over 33 countries including Madagascar, Democratic Republic of the Congo (DRC), India, China, Peru, and occasionally, the south-western USA 3 . In these regions, disease is maintained by the existence of infected animal (mostly rodent) reservoirs of Y. pestis 4 , 5 .

Transmission to humans is predominantly promoted by flea bite; those fleas having fed on infected rodents (Fig. 1 ). However, Y. pestis is an obligate parasite and even if the rat population is reduced, the organism can infect mice, prairie dogs, rabbits, and members of the cat family, including the domestic cat 4 , 5 , 6 .

figure 1

The figure depicts various routes for the flea-vectored transmission of plague to man. The figure is reproduced from Williamson and Westlake (2019) 8 with permission (License 5753521304382, Oxford University Press).

Infection through flea bite causes bubonic plague, which if undiagnosed, can develop into a septicemic infection or secondary pneumonic plague. Pneumonic plague is highly contagious requiring prompt antibiotic therapy for survival, as the mortality rate approaches 100% if untreated 6 , 7 , 8 . In pneumonic plague, Y. pestis can be transmitted to healthy individuals who are in close contact by respiratory droplets, establishing further cases of primary pneumonic plague, leading to disease outbreaks which may transform into epidemics and pandemics 6 .

With this epidemiology, poor living conditions augment the endemicity of plague, which requires close contact with a rodent population. However, in endemic regions such as Madagascar, the lack of an approved vaccine means that outbreaks have to be controlled by antibiotic therapy, administered to the patients and those in immediate contact with the infected individuals. Whilst timely antibiotic therapy is effective in treating the infection, case fatality rates still reached up to 8.6% during the 2017 Madagascar outbreak despite aggressive antibiotic therapy 9 . Additionally, there is a demonstrable risk of the development of antibiotic resistance. Indeed, antimicrobial resistant (AMR) Y. pestis strains have been identified in Peru and Madagascar 10 , 11 . Therefore, there is a clear need for a safe, effective, and licensed vaccine for use in endemic regions to control or prevent infection, as well as to protect military and civilians at large from potential biothreat attacks.

Emergence of Yersinia pestis as a dangerous pathogen

Y. pestis has evolved from the relatively mild gastrointestinal Y. pseudotuberculosis (notably serotype 1b) between 1500 and 20,000 years ago 12 , although archaeological evidence has suggested that the plague-causing bacterium existed long before previous estimates 13 .

The evolution of Y. pestis has resulted in the inactivation of genes required for an enteric lifestyle and by the acquisition of plasmids encoding new virulence factor-encoding genes 14 . In common with other pathogenic yersiniae ( e.g., Y. pseudotuberculosis and Y. enterocolitica ), Y. pestis possesses a 70-kilobase (kb) virulence plasmid designated as pYV/pCD1 that carries a Type III secretion system (TTSS) operon 15 , 16 . However, Y. pestis has acquired two additional unique plasmids, including a 9.5-kb pPCP1/pPla/pPst encoding a bacterial surface-bound protease (plasminogen activator, Pla), which has potent fibrinolytic activity 1 . In addition, this plasmid possesses pesticin and coagulase encoding genes which enable bacterial transmission from the flea 17 . The other 100–110 kb pFra/pMT1 plasmid 18 codes for two important proteins, Fraction 1 (F1) antigen and a phospholipase D known as murine toxin. The F1 antigen forms a polymeric anti-phagocytic capsule around the bacteria 18 whilst murine toxin has a role in preserving Y. pestis in the flea gut 19 . During its evolution from enteric to flea-vectored pathogen, Y. pestis has lost intestinal adhesin and invasin genes, but has retained the heme locus and possesses a number of chromosomal-encoded genes such as the ph6/psa fimbrial and attachment-invasion locus ( ail ) which promote colonization to the host cells 19 , 20 , 21 .

Evasion of host responses

In the process of acquiring a new mechanism of infection, Y . pestis has also activated genes which enable the pathogen to evade the defenses of its successive hosts. In purified or recombinant forms, some of these encoded gene products have provided vaccine targets and are therefore summarized here.

Y. pestis can survive and grow in the flea’s (most notably the rat flea Xenopsylla cheopis ) foregut, leading to ‘blockage’ of the flea. The proper functioning of the bacterial hemin storage system is thought to play an important role in the formation of this blockage 19 , which during the flea bite, results in the regurgitation of a dense bolus of bacteria 5 into a new host. Y. pestis expresses other genes in the flea gut such as a ‘murine’ toxin with phospholipase D activity 20 and a lipopolysaccharide (LPS) core modification locus, which together are required for biofilm formation and blockage of the flea 20 , 21 , 22 . However, transcriptional analysis of Y. pestis in the flea gut has identified a wide range of additional genes, such as insecticidal-like toxin genes, which are differentially regulated such that bacteria regurgitated into a new host have increased resistance to innate immune effectors 23 .

Upon infection of a new mammalian host, the plague bacilli are vulnerable to phagocytosis by polymorphonuclear leukocytes (PMNs or neutrophils) and/or monocytes. The bacteria may be killed within PMNs, but can persist within monocytes and express various virulence determinants, allowing Y. pestis growth and eventual release from the monocytes 24 . The fibrillar adhesin pH6 antigen is induced by low phagosomal pH (4.5) 25 and promotes bacterial adhesion to host cells, thereby enhancing resistance to phagocytosis 26 . Secretion of the F1 antigen with capsule formation is triggered by a temperature shift from 28 °C in the flea to 37 °C in humans or other mammals. The F1 capsule also plays a key role in avoiding phagocytosis 27 . However, non-capsulated Y. pestis retains its full capability to cause pneumonic infection in animals, while having reduced virulence during bubonic infection 28 .

The dominant anti-host effects are due to a temperature shift induction of the TTSS carried on the virulence plasmid pYV/pCD1. TTSS effectors, historically called Yersinia outer membrane proteins (Yops), have cytotoxic and phagocyte regulatory effects, are secreted through an injectosome after Y. pestis makes contact with the host cell, and are delivered into target cells 15 . The function of many of the Yops has been delineated for this well-characterized secretion system, and serves as a paradigm for other bacterial TTSS’s 15 . For example, the YopE protein is a cytotoxin and the YopH protein is a tyrosine phosphatase with anti-phagocytic activity 29 . The V (or Low calcium response V, LcrV) antigen plays a pivotal role by orchestrating intracellular Yop low calcium response protein G (LcrG) elaboration of the injectosome and then itself being delivered through this needle-like structure to be assembled as a pentamer at the tip 30 . Additionally, V antigen secreted from Y. pestis exerts a local immunomodulatory effect in the host by down-regulating the production of interferon-γ (IFNγ) and tumor necrosis factor-α (TNFα) 31 , 32 .

Plasminogen activator (Pla) is another major virulence factor in Y. pestis . Pla is an outer membrane-located protease, which breaks down the physical barriers of connective tissue in the host, thus promoting the systemic dissemination of the bolus of Y. pestis injected by the flea. The requirement for Pla has driven the selection in Y. pestis of the “rough” phenotype of LPS, which lacks an O antigen 33 , 34 , a rare phenomenon amongst gram-negative bacteria which has possibly resulted from the bacterium’s transmission through the flea, but which is necessary for Pla to be functional 35 , 36 . Inactivation of the O-antigens on Y. pestis LPS exposes the LPS core, so that Y. pestis can interact with C-type lectin receptors on host macrophages, promoting its uptake, and thus accelerating bacterial dissemination in the host 37 . Our study has also shown that the Δ pla mutant is unable to survive efficiently in murine and human macrophages, unlike the wild-type Y. pestis 38 .

The bacteria disseminate from the site of primary infection into draining regional lymph nodes. Within the lymph node, further growth of the bacteria accompanied by a massive inflammatory reaction leads to lymphadenopathy and the formation of buboes, typically in the groin or axillae. In the bubo, bacteria are predominantly extracellular, mainly due to the TTSS which is highly expressed in the lymph node 39 . An ability to proliferate in the bubo 40 is enabled by the efficient and abundant iron acquisition systems possessed by Y. pestis 41 .

Eventually, the bacteria are disseminated by the lymphatic system, gain access to the blood stream, and colonize pulmonary tissues, which may lead to development of the pneumonic form of the disease. When left untreated, pneumonic plague induces an overwhelming septicemia which triggers septic shock in the host. However, the precise mechanisms that lead to the death of the host have not been identified but involve multi-organ failure, during which the systemic induction of nitric oxide synthase may contribute, as seen with other gram-negative septicemias 42 .

Whilst pigmentation ( pgm )-negative strains of Y. pestis are usually avirulent and attenuated, the risk of reversion to virulence was highlighted by the fatal case of a laboratory worker who was unknowingly suffering from hemochromatosis and was exposed to the attenuated pgm - Y. pestis laboratory strain KIM. This individual developed plague and died, presumably due to his hemochromatosis-induced iron overload condition providing the infecting KIM strain, attenuated through defects in its iron acquisition ability, with sufficient iron to render it virulent 43 .

Early vaccines

The early use of an inactivated whole cell vaccine for plague by Haffkine between 1897 and 1935 successfully curtailed plague outbreaks in India. This was the first demonstration that components of Y. pestis , even when inactivated, could be immunogenic. Haffkine’s heat-killed whole cell (KWC) vaccine was administered to the human population in an estimated 24 million doses 44 (Table 1 ).

During the 1990s, there were several commercial suppliers of the KWC vaccine against plague. Subsequently, plague vaccine USP (United States Pharmacopeia; 1939–1999), containing formaldehyde-killed bacteria, was manufactured by Cutter Laboratories, USA. In 1994, the manufacturing was transferred to Greer Laboratories Inc., USA. In 1999, the production of this vaccine was discontinued largely because of severe side effects and its protection against bubonic but limited efficacy against pneumonic plague 45 , 46 , 47 , 48 , 49 , 50 , 51 , 52 . An alternative heat-killed (KWC) vaccine was also manufactured by the Commonwealth Serum Laboratories (CSL, Australia) 53 and until November 2005, was licensed for clinical use in Australia. Additionally, a Y. pestis isolate (EV76-NIIEG Y. pestis ) 54 , which is attenuated due to deletion of the pigmentation locus ( pgm ), has been used as a vaccine for many years and is licensed for use in China and Russia specifically 55 where plague is endemic. The vaccine can be administered by various routes; however, the vaccine is fully virulent under iron-overload conditions, i.e ., in individuals with hemochromatosis 56 , 57 (Table 1 ).

Virulence factors as vaccine antigens

The seminal observation in 1956 by Bacon and Burrows that Pasteurella pestis (now Y. pestis ) could be anti-phagocytic in the absence of capsule, led to the identification of a new virulence antigen, which they named the V antigen 58 . This paved the way for subsequent research to the present day on the immunogenic and protective potential of this and other virulence factors of Y. pestis 59 , 60 . Building on the observation that the F1 antigen-containing Cutter KWC vaccine needed the addition of a recombinant V (rV) antigen to fully protect mice against pneumonic plague 61 , Williamson, et al. demonstrated the synergistic effect of F1 and V in combination. Whilst vaccines lacking the V antigen may protect against bubonic plague, several groups showed that the inclusion of the V antigen was an essential requirement for protection against pneumonic plague 61 , 62 .

Much work has been carried out to determine the protective potential of other antigens derived from Y. pestis in native or recombinant form in addition to F1 and V, such as Pla, a protein constituent of the injectisome known as Yersinia secretory factor F (YscF), and a range of other Yops, and their various combinations 63 , 64 , 65 , 66 , 67 . Whilst some of these imparted partial protective efficacy and are useful adjuncts in some vaccine formulations (see below), to date F1 and V remain the key proteins which individually have protective efficacy, but which in combination, are consistently synergistic and, therefore, form the core building blocks of most vaccine approaches.

Vaccines for plague

Currently, there are more than 21 candidate vaccines in the preclinical phase 3 . Below, we have reviewed the pre-clinical candidates (Tables 1 – 5 ) and subsequently those that are in early clinical development with a timeline (Fig. 2 ). The pre-clinical candidates can be broadly categorised as subunit, live attenuated, vectored (bacterial or viral), DNA, or messenger RNA (mRNA).

figure 2

*Adjuvant not specified. Ages of study participants ranges from 18 to 55 years. All vaccines were given in 2–3 doses intramuscularly over a range of 6 months. The EV 76 NIIEG vaccine was given 1–4 times at intervals of 1–3 months. ?data not published; !data not conclusive.

Many groups have now shown that immunization with the F1 and V subunit antigens provides a high degree of protection against infection caused by Y. pestis in a range of animal models 68 , 69 , 70 , 71 , 72 , 73 , 74 , 75 , 76 , 77 , 78 . The use of F1 and V in combination (F1 + V) or as a genetic fusion (F1-V) has the advantage that protection can be maintained against acapsular (F1-negative) Y. pestis strains which still retain virulence 79 . Many different formulations have been researched with a view to finding one that provides comprehensive protection with the least number of doses, is stable, and maintains immunogenicity when escalated up the species from mice to humans. These candidate vaccines which have been studied in much more detail are summarized in Table 2 .

Adjuvants used in preclinical rF1V vaccine development studies include the toll-like receptor 5 (TLR5) ligand flagellin and protollin 73 , 74 , 75 . Packaged in a polyanhydride nanoparticle with cyclic dinucleotide and delivered as a single dose intranasally, rF1V protected mice against pneumonic plague 76 . A truncated form of rV (rV10) has also been shown to be protective, as has rV10 in manganese silicate nanoparticles 71 , 77 . Similarly, the peptidoglycan-free outer membrane vesicles (OMV) with a phage lytic system has been demonstrated to be efficacious 78 , as have microvesicles derived from human commensal gut bacteria for immunization with V antigen 80 or OMV’s from Y. pseudotuberculosis 81 . A dry formulation of rF1+rV delivered on calcium phosphate-decorated microparticles demonstrated enhanced immunogenicity and efficacy 82 .

A study has shown that the polymeric form of F1 led to rapid protective humoral immune response by activating innate-like B1b cells 83 (Table 2 ), and further observations suggested that this activation was unaffected by the presence of the V antigen in an admixture of F1 and V 83 . Recent research has evaluated the impact of the administration of synthetic immunomodulating peptides on the survival of mice and guinea pigs subsequently exposed to virulent Y. pestis 84 . Administered in three doses prior to animal challenge, two immunomodulators were found to have a positive impact on survival; these were an azoximer bromide (polyoxidonium) and rIFNγ 84 . Another study has shown that co-formulation of the rF1-V vaccine with recombinant human (rhIL2) and/or recombinant murine GM-CSF in alhydrogel enhanced immunogenicity and efficacy against a lethal aerosol challenge in mice 85 .

In April 2024, the Russian state regulator granted a marketing authorization 86 for a single sub-cutaneous dose microencapsulated molecular plague vaccine (PMMM) comprising 25–30 µg each of rF1 and rV in 4–6 mg polylactide, with the excipients polyvinyl alcohol, alhydrogel, polyvinyl pyrrolidine, polysorbate in phosphate buffered saline and containing 30–60 µg thiomersal.

Live attenuated

The live attenuated vaccine (LAV) strain EV76-NIIEG has been used for human vaccination in Russia and China for many years to prevent or curtail outbreaks of plague 3 . Recently, the experimental evaluation of polyoxidonium co-administered with EV76 in a murine model has been shown to improve efficacy 87 .

In addition to the live vaccine strain EV76, various deletion mutants of Y. pestis CO92 have been demonstrated to be efficacious in rodent models of pneumonic plague 88 , 89 , 90 , 91 (Table 3 ). Among these, LMA and LMP mutants (deleted for genes encoding Braun lipoprotein [Lpp], methylacyl transferase B [MsbB], and either Attachment-invasion locus [Ail] or Plasminogen-activating protease [Pla], were of note, as they triggered robust humoral and cell-mediated immune responses in mice and were eliminated from the animals within 12–24 h 88 , 89 , 90 , 91 . Importantly, these mutants remained avirulent under iron-overload conditions 56 . Further, a heterologous prime-boost strategy using one dose each of LMA or LMP and replication-defective adenovius5-based three component vaccine containing genes for YscF, F1, and LcrV (Ad5-YFV) administered in any order was highly efficacious with complete protection in mice in a pneumonic plague model 56 providing safety and combined benefits of subunit and live-attenuated vaccines (Table 5 ). Likewise, EV76 vaccine deleted for Pla 92 has shown promise. Recent work has also addressed the possibility of further attenuation of Y. pestis to serve as a vaccine 93 . The two most protective vaccine candidates were Y. pestis CO92 mutants that were either cured for the pgm locus and the pPst plasmid or deleted for the yscN gene. These mutants completely protected BALB/c mice against subcutaneous and aerosol challenge with Y. pestis 93 , 94 , 95 (Table 3 ).

Since the potential to harness rDNA technology to produce vaccines in the 1980s, many more candidate plague vaccines have been pursued 45 , 46 , 52 , 96 , 97 , 98 , 99 , 100 , 101 , 102 , 103 , 104 , 105 , 106 , 107 , 108 , 109 , 110 , 111 , 112 , 113 , 114 , 115 , 116 , including the use of attenuated bacterial or viral vectors to deliver antigens derived from Y. pestis . Vectors being evaluated include: Salmonella , Yersinia pseudotuberculosis , Lactobacillus , adenovirus, vesicular stomatitis virus, and vaccinia virus. Some of these well-studied vaccine candidates have been summarized in Table 4 .

A common advantage of these vectors is that because they are live, but replication-deficient, only 1 or 2 doses of vaccine may be required to achieve protective immunity. A second advantage is that these vectored vaccines can be multivalent, expressing antigens from different pathogens and can deliver these antigens intracellularly, mimicking infection and inducing appropriate immunity. All of these vaccine vectors require an in vivo promoter to switch on the expression of a heterogenous antigen(s) to induce an immune response. The efficiency of the promoter and the molecular size of the expressed protein-encoding genes, together with need for post-transcriptional modifications such as glycosylation, determine the level and potency of the expressed vaccine antigens. Potential disadvantages of live vaccine vectors are the necessity of stable attenuation, the risk of use in immunocompromised individuals, the possibility of inducing immunity, or pre-existing immunity to the vector itself; however, the latter can be overcome by modification of the vector or by employing a heterologous prime-boost approach to prevent reduced responses on repeated use of the same vector 99 , 100 as we have recently shown 52 . Further, our study in non-human primates showed that inducing pre-existing antibodies to Ad5 did not alter protective immune responses in a pneumonic plague model 114 .

A substantial amount of research has been devoted to the development of Y. pseudotuberculosis as a vaccine for plague by deleting three essential virulence factors (High Pathogenicity Island, pH6 antigen, and YopK toxin) and by the insertion of the caf operon into the chromosome, allowing the production of an F1 pseudocapsule 101 , 102 , 103 , 104 . A Y. pseudotuberculosis construct (VTnF1) modified to maximize stability was immunogenic and efficacious against pneumonic plague in mice after a single oral dose 102 , and generated humoral and cell-mediated immune responses 103 . Subsequently, the VTnF1 vaccine has been shown to be effective in mice after subcutaneous injection and protects fully against injected (10 4 LD 50 ) or 80% of animals against aerosolized (3300 LD 50 ) Y. pestis CO92 104 (Table 4 ).

Likewise, outer membrane vesicles (OMV) produced from a mutated version of Y. pseudotuberculosis expressing V and a modified version of LPS have been shown to be protective in mice against pneumonic plague 105 (Table 4 ).

There has also been substantial research investment in Salmonella Typhi as a vaccine vector, particularly with its potential as an oral vaccine for plague. Early studies showed that the successful carriage by S . Typhimurium of the F1-encoding plasmid resulted in F1 protein secretion by S . Typhimurium, with visualization of the capsule surrounding the bacteria 106 . However, whilst immunogenicity and efficacy were achieved, sustaining the vector in vivo to retain plasmids with sufficient gene expression over time without causing salmonellosis, has been an enduring challenge 107 , 108 . More recently, combinations of F1, Psn (pesticin receptor), and V antigen delivered orally to mice using mutant strains of S . Typhimurium have provided 100% protection against subcutaneous challenge with 570 LD 50 of Y. pestis CO92, but only 40-60% efficacy against 50 LD 50 of aerosolized Y. pestis CO92 109 . Moreover, S . Typhimurium deleted for the genes lpp and msbB and used to express F1, LcrV, a combination of F1 and LcrV, and a combination of YscF and YopD, protected mice against Y. pestis CO92 infection in a pneumonic plague model 45 , 110 .

Expression of genes encoding F1 and LcrV of Y. pestis and protective antigen (PA) of Bacillus anthracis in a Francisella tularensis LVS vaccine strain provided protection to mice against all three Tier-1 select agents, raising the prospect of a polyvalent biodefense vaccine 111 (Table 4 ).

Bacteriophage T4 serves as an excellent nanoparticle platform to deliver plague immunogens (F1 and V as well as PA antigen of B. anthracis ). Both mice and rats immunized with T4 phages without any adjuvant and harboring Y. pestis and B. anthracis immunogens were protective against pneumonic plague and lethal toxin intoxication when administered sequentially or simultaneously 112 (Table 4 ).

Recent preclinical studies have shown that vaccination of mice with Ad5-YFV provided complete protection to mice in a pneumonic plague model when challenge occurred with the F1-minus strain of Y. pestis CO92 113 . This is when compared to animals that were vaccinated with the monovalent, Ad5-LcrV-based vaccine, and challenged with the F1-minus strain of Y. pestis CO92 where anti-F1-antibodies were rendered ineffective 113 . This Ad5-YFV vaccine resulted in robust humoral and cell-mediated immune responses 114 . The above vaccine also provided 100% protection to Cynomolgus macaques at a very high challenge dose of Y. pestis CO92 administered by the aerosol route 114 (Tables 4 and 5 ). An earlier version of Ad5-based vaccine harbored genes for F1 and LcrV and was shown to be protective in a murine pneumonic plague model 115 , 116 .

A chimpanzee adenovirus vector (ChAdOX1) vaccine expressing F1 and V has been developed by the Oxford Vaccine Group. The ChAdOX1 vector is a replication-deficient adenoviral vector based on the simian adenovirus type Y25, originally chosen to avoid pre-existing adenovirus immunity in the human population 117 . The phase 1 clinical trial started on this ChAdOX1 plague vaccine in 2021 118 (Fig. 2 ).

DNA-based plague vaccines comprising F1 and LcrV have also been tested and found to be immunogenic and protective (Table 4 ). In an earlier study, we have shown that mice immunized with plasmid vectors containing genes for F1, LcrV, with a gene for LT (heat-labile enterotoxin as an adjuvant) were protective against pneumonic plague 45 . In this report, mice were immunized with recombinant plasmids coated with 1.6-μm gold particles and shot with the gene gun on the ears. The animals were immunized on days 0 and 3 months before intranasal challenge after 8 months following the last boost with Y. pestis CO92 45 .

A DNA vaccine designed to protect against both anthrax and plague was evaluated in mice 119 . DNA constructs comprising fusions of V with a truncated anthrax lethal factor (LF) or LF with F1 or V alone, were coated to gold nanoparticles and delivered by gene gun to A/J mice and were shown to protect fully against challenge 21days later wth aerosolized B. anthracis and to 80% against aerosolised Y. pestis 119 .

More recently, mRNA technology has been extended to produce candidate plague vaccines. An mRNA vaccine expressing a circularly permutated form of F1 delivered in lipid nanoparticles (LNP) protected (100%) of mice against bubonic disease after only a single dose 120 , whilst a self-amplifying mRNA LNP vaccine expressing both F1 and V was immunogenic in 2 doses and also protected outbred mice against a recent clinical isolate of Y. pestis from Madagascar in a bubonic plague model 121 . Both of these vaccines induced humoral and cell-mediated immune responses (Table 4 ) and show promise for future development, allowing a very flexible platform into which additional or modified RNA could be added, if needed. Furthermore, rapid advances in large scale manufacturing and formulation achieved for mRNA vaccines for SARS-CoV-2 are now readily transferrable to the plague application 122 .

Translation to clinical development

Some vaccine approaches discussed above have transitioned to early clinical development (Fig. 2 ). Currently, a formulation of recombinant F1V (rF1V) in alum, supplemented with CpG 1018 is in Phase 2 clinical trial (Dynavax, USA) 3 . This form of CpG has already been incorporated in a Hepatitis B vaccine and approved by the FDA for clinical use in adults 123 . Also in phase 2 clinical trial is a formulation of native F1 with rV in alum (Lanzhou Institute and Jiangsu Provincial CDC, China) 3 . The third subunit vaccine currently in Phase 1 clinical trial comprises rF1V adjuvanted with flagellin (National Institute of Allergy and Infectious Diseases, USA) 3 , 124 .

The EV76-NIIEG vaccine is still approved only in China and Russia where it is in Phase 4 clinical trial. Since 2002, there have been vaccination campaigns with EV76 in 16-18 provinces of Mongolia by the National Centre for Zoonotic Diseases, Ulaanbaatar, Mongolia 3 . In a vaccination campaign report from plague-endemic foci in Mongolia, an adverse event rate of 7.3% with a 5.6% breakthrough in protection has been reported 3 . In October 2023, there was an ongoing campaign with EV76 in Mongolia in response to an outbreak of plague 3 .

Strategies to gain evidence of vaccine efficacy

As with nearly all clinical prophylaxes or therapies, the pathway to regulatory approval is time-consuming, expensive and difficult, requiring evidence (direct, indirect or deduced) of human efficacy. This is especially challenging for vaccines against Tier-1 select agents such as Y. pestis , as human challenge studies are unethical. Further, due to the endemic nature of the disease, the number of infected patients is not large enough to draw meaningful conclusions on vaccine efficacy. Here we review the strategies available to demonstrate vaccine efficacy for plague.

Animal data to support licensing

Because of the pathogenicity of Y. pestis , its potential for epidemic spread, and the unpredictable nature and size of regional plague outbreaks, the feasibility of Phase 3 trials, whether preventive or reactive in nature, is under discussion 3 . Even in Madagascar, where the plague season is well known, the number of cases involved varies, so a Phase 3 trial may not be sufficiently powered, unless successive seasons are used. Pathways to licensure may therefore comprise the scrutiny of immunogenicity and efficacy data generated in animal models under Good Laboratory Practice (GLP) using the FDA’s Animal rule 125 with the human immunogenicity data generated in clinical trials ( i.e . immunobridging) 126 (Fig. 3 ).

figure 3

The figure depicts the use of percentage survival in vaccinated animals, which correlates with an immunological readout(s), to compare with the same immunological readout determined in a clinical trial, to predict vaccine efficacy in human.

Evidence of efficacy could then be gained post-licensure. There is precedent for this with the Marketing Authorization under exceptional circumstances of an Ebola vaccine by the European Medicines Agency on the basis of human serum antibody data 127 . The FDA also has an accelerated approval pathway but cautions that the bar for approval of a vaccine for the pneumonic indication would be set higher than for the bubonic indication 3 .

Immunobridging from animal models to human

The vaccine approaches reviewed here have predominantly been screened in mice (outbred as well as inbred) 128 , with some in Brown Norway rats 112 , 129 and a few in NHPs 48 , 68 , 69 , 114 , 130 all of which are authentic models for plague and evaluate both antibody and cell-mediated immunity 131 . The most consistent NHP model is the cynomolgus macaque 3 , 114 . However, increasing diversity in response occurs with escalation up to NHPs and the human population 132 . Table 5 summarises the studies which have been performed in NHPs to determine the efficacy of vaccines which are in preclinical development.

Immune correlates of protection and surrogate markers of efficacy

Many researchers have now shown that antibody titers to the F1 and V proteins correlate with protection against bubonic and pneumonic plague in a range of animal models 66 , 68 , 69 , but the induction of cell-mediated immunity (CMI) 131 , 132 and particularly a balanced Th1/Th2 response 56 , 93 , 103 , 133 , 134 provides an optimal strategy for protection. The observation, inter alia , that mice immunized with the rF1-V vaccine and depleted of TNFα and IFNγ just prior to challenge, had poor survival compared with immunized controls which were not depleted 135 indicated key roles for these Th1 cytokines in the development of protective immunity and these cumulative data have spurred the formulation of vaccine candidates which induce appropriately balanced immunity.

To enable effective immunobridging of animal data to human, it is preferable that researchers and developers use similar approaches to the measurement of antibody and cell-mediated responses 3 , 126 , 132 . The assay of specific antibody titers by quantitative ELISA (including the species-agnostic BRIDGE ELISA) 69 is clearly important and provides a convenient surrogate marker of efficacy in the clinic.

Of equal importance is to assess cell-mediated immunity by ex vivo recall assay on animal tissue or human whole blood samples (by ELIspot or by flow cytometry) 8 , 103 , 136 to determine the establishment of immune memory, and hence the need and spacing of booster doses. The ability also to assay for the induction of functional antibodies has been facilitated by the development of neutralizing monoclonal antibodies, particularly to V, enabling the development of competitive ELISAs 82 , 137 , 138 , 139 , which may be important aids in the down-selection of promising candidates in research. There is also ongoing effort to establish human reference serum for plague to provide an international standard as a reference point for serological surrogate markers of efficacy and thus to enable vaccine development 140 .

The WHO has published a draft target product profile (TPP) for a future plague vaccine, which sets out the qualifying criteria in terms of schedule, administration route, presentation, target efficacies in reactive and preventive modes, stability, and coverage, which would be applied to any plague vaccine candidate 141 .

Future prospects

As highlighted in this review, there are some very promising vaccine candidates in the development pipeline with the potential to prevent plague in vulnerable populations. Here, we have also highlighted the epidemic potential of this disease and of Y. pestis , which in the absence of an approved vaccine, remains a serious biothreat. Seasonal outbreaks in Madagascar and other endemic regions cause fatalities every year. The potential for climate change to enhance this human vulnerability to plague in endemic regions or beyond is also being closely monoitored 142 , 143 . Climate change has already affected other zoonoses by extending the vector species to cause outbreaks of chikungunya and zika viruses in Central and South America 144 , 145 .

Aside from the difficulties of achieving statistically valid evidence of human efficacy, candidate vaccines may also fail because their manufacturing cannot be achieved at scale due to expense or feasibility. Thus, these promising candidate vaccines for plague are vulnerable to languish in the ‘valley of death’ without sustained and sufficient funding for clinical development and manufacturing at scale. Post COVID-19, the WHO has recently commented that ‘despite some recent progress, public heath vaccines are not available in all global regions and vaccines which have been prioritized by the WHO are not being developed or fully invested in, due to limited profit potential.’ 146 The Immunization Agenda 2030 endorsed by the WHO has a goal to reduce the incidence of, or to prevent, epidemics caused by vector-borne diseases by 2030 147 . These goals seem particularly relevant to plague prevention.

To date, there has been a significant investment in time and money in the research and early development of new plague vaccines. It is to be hoped that all the R&D activity on plague vaccines, which emerged after the decline in use of KWC vaccines, will be sustained and together with the regulatory pathways currently being mapped out, will lead to the approval of some new, safe, and fully efficacious vaccines to reduce disease prevalence. We recommend that global funding and health security systems take ambitious action to realize the potential of this investment in an approved vaccine(s) for plague.

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Acknowledgements

E.D.W. would like to thank Prof. Tim Atkins, Prof. Riccardo d’Elia and Dr. Tom Laws for their review of the draft. Funding through the NIH (AI064389, AI153524 and AI071634) awarded to A.K.C. is gratefully acknowledged. Funding for PBK through an NIH T32 AI179595 postdoctoral fellowship in the Antimicrobial Resistance Training Program of the Texas Medical Center (AMR-TPT) is also acknowledged.

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E.D.W. and A.K.C contributed equally to the preparation of the manuscript. All authors have read and approved the manuscript. P.B.K., E.K.H., B.H.N., and J.S. performed literature search, prepared tables and Fig. 2 and edited the review.

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Williamson, E.D., Kilgore, P.B., Hendrix, E.K. et al. Progress on the research and development of plague vaccines with a call to action. npj Vaccines 9 , 162 (2024). https://doi.org/10.1038/s41541-024-00958-1

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bibliography of action research

COMMENTS

  1. References

    References. Barton, K. C. (2015). Elicitation techniques: getting people to talk about ideas they don't usually talk about. Theory & Research in Social Education , 43 (2), 179-205. Bassey, M. (1998). Action research for improving educational practice.

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    This site is part of the Center for Collaborative Action Research at Pepperdine University. It includes a series of 12 videos ranging from 7-13 minutes on various aspects of action research. The site also includes a link to the Activity Master Booklet that you can access and use. Valencia College. (2016, August 16). Action research.

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    Unlike many areas of psychology, "action research" does not possess a single definition or evoke a single meaning for all researchers. Most action research links back to work initiated by a group of researchers led by Kurt Lewin (see Lewin 1946 and Lewin 1951, both cited under Definition). Lewin is widely viewed as the "father" of ...

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    Abstract. Action research is an approach to research which aims at both taking action and creating knowledge or theory about that action as the action unfolds. It starts with everyday experience and is concerned with the development of living knowledge. Its characteristics are that it generates practical knowledge in the pursuit of worthwhile ...

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    tioners. Examples of action research projects undertaken by healthcare practitioners in a range of situations are provided later in this chapter. The development of action research: a brief background Whether the reader is a novice or is progressing with an action research project, it would be useful to be aware of how action research has devel-

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    What Is Action Research? | Definition & Examples

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    Comprehensive overview of the theoretical, conceptual, and applied/practical presentations of action research as it is found and conducted solely in educational settings The Wiley Handbook of Action Research in Education is the first book to offer theoretical, conceptual, and applied/practical presentations of action research as it is found and conducted solely in educational settings ...

  9. Towards a Definition of Action Research: a Note and Bibliography

    Action research simultaneously assists in practical problem-solving and expands scientific knowledge, as well as enhances the competencies of the respective actors, being performed collaboratively in an immediate situation using data feedback in a cyclical process aiming at an increased understanding of a given social situation, primarily applicable for the understanding of change processes in ...

  10. Towards a definition of action research: A note and bibliography

    Download Citation | Towards a definition of action research: A note and bibliography | Action research simultaneously assists in practical problem-solving and expands scientific knowledge, as well ...

  11. The action research dissertation : a guide for students and faculty

    The first edition of The Action Research Dissertation: A Guide for Students and Faculty was a first-of-its-kind reference, distilling the authors' decades of action research experience into a handy guide for graduate students. The Second Edition continues to provide an accessible roadmap that honors the complexity of action research, while ...

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    Since its first publication, Action Research: Principles and Practice has become a key text in its field. This new updated edition clearly describes and explains the practices of action research and its underlying values, and introduces important new ideas, including: all professionals should be reflective practitioners;

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    Action research is a research method that aims to simultaneously investigate and solve an issue. In other words, as its name suggests, action research conducts research and takes action at the same time. It was first coined as a term in 1944 by MIT professor Kurt Lewin. A highly interactive method, action research is often used in the social ...

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    professional development strategy through humanistic action research", Business Ethics: a European Review , 11 (3), 233-243, Blackwell Publishing: Oxford.

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    Specific goals of this handbook are to help educators do the following: Define and explain Action Research. Demonstrate an understanding of how to use the recursive nature of Action Research to improve their teaching of instructional literacy. Provide examples of the Action Research process in action.

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    Action research (AR) is a methodical process of self-inquiry accomplished by practitioners to unravel work-related problems. This paper analyzed the action research reports (ARRs) in terms of ...

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    An action research bibliography. An annotated bibliography on action research, including qualitative research and program evaluation . This is a resource file which supports the regular public program "areol" (action research and evaluation on line) offered twice a year beginning in mid-February and mid-July.

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    Journal information: Italicize and capitalize all important words in the title. Italicize volume number. Issue number goes in parentheses (not italicized). Include beginning and ending page numbers of journal article, e.g. Journal of Research in Reading, 31(4), 20-28.

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    Action research is a common journey for graduate students in education and other human science fields. This book attempts to meet the needs of graduate students, in-service teachers, and any other educators interested in action research and/or self-study. The chapters of this book draw on our collective experiences as educators in a variety of educational contexts, and our roles guiding ...

  21. Research Guides: APA Style Guidelines: In-text Citations & References

    This guide to APA citation follows the 7 th edition of the Publication Manual of the American Psychological Association. It begins with principles, tips, and explanations to help you better understand the rules of correct attribution and citation. Then we provide examples of how to cite a variety of sources both in text and on the References page.

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    Explanation: The content of the Research + Activism Bibliography is kept as a group library in the Zotero bibliography manager, and then pulled into this WordPress site through the ZotPress plug-in. Showing the bibliography on our WordPress site allows us to organize and narrate tagged categories to create what amounts to a conceptual map. But search capabilities are simpler.

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    Action Research for Teaching and Learning offers readers practical advice on how to research their own practice in a higher education context. It has been written specifically to take the reader through each stage of the action research process with the ultimate goal of producing a research study which is publishable.

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    Recent research has evaluated the impact of the administration of synthetic immunomodulating peptides on the survival of mice and guinea pigs subsequently exposed to virulent Y. pestis 84.