oppED-GRANTS-073018-001-cfda84.116-cid84-116T2018-1-instructions.pdf

U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Washington, D.C. 20202

FY 2018

APPLICATION FOR GRANTS UNDER THE

OPEN TEXTBOOKS PILOT PROGRAM

CFDA NO. 84.116T

Form Approved

OMB No. 1894-0006, Expiration Date 01/31/2021

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: August 29, 2018

TABLE OF CONTENTS

Page

Dear Applicant Letter …………………………………………………………………………………… 3

Competition Highlights …………………………………………………………………………………. 4

Grants.gov Submission Procedures and Tips for Applicants ………………………………………… 6

Application Transmittal Instructions …..……………………………………………………………… 10

Notice Inviting Applications (Notice) ………………………………………………………………….. 12

Authorizing Legislation ………………………………………………………………………………… 33

Government Performance and Results Act (GPRA) ………………………………………………… 34

Organization of the Application Package …………………………………………………………….. 36

Instructions for Application Package …………………………………………………………………. 38

Part I

Instructions for SF 424 Form ………………………………………………………………………… 39

Instructions for Department of Education Supplemental Information for SF 424 …………………… 41

Definitions for U.S. Department of Education Supplemental Information for the SF-424 …………… 43

Part II

Instructions for ED 524 Budget Summary Form ……………………………………………………… 48

Part III

Instructions for Completing the ED Abstract Form …………………………………………………. 51

Instructions for Completing the Project Narrative Attachment Form ………………………………. 52

Instructions for Completing the Other Attachments Form ………………………………………….. 55

Part IV:

Assurances and Certifications ………………………………………………………………………… 56

GEPA Section 427 Requirement ………………………………………………………………… 57

Instructions for Disclosure of Lobbying Activities (SF-LLL) …………………………………… 59

Application Checklist …………………………………………………………………………………… 61

Paperwork Burden Statement …………………………………………………………………………. 62

Dear Applicant Letter

Dear Applicant:

Thank you for your interest in the Open Textbooks Pilot program. This grant competition is administered by the

Office of Postsecondary Education at the U.S. Department of Education (the Department). The purpose of the

Open Textbooks Pilot program is to support projects at institutions of higher education (IHEs) that create new open textbooks or expand their use of open textbooks while maintaining or improving instruction and student learning outcomes. Applicants are encouraged to develop projects that demonstrate the greatest potential to achieve the highest level of savings for students through sustainable, expanded use of open textbooks in high-enrollment courses or in programs that prepare individuals for in-demand fields.

Please read and refer to the Notice Inviting Applications (NIA) and this application package for the grant opportunity requirements and selection criteria. Applicants should pay attention to the section entitled

“Competition Highlights,” which outlines the absolute priorities, competitive preference priority, and other program and competition details. This application package contains the instructions and forms needed to submit a complete application for the Open Textbooks Pilot program. Applicants are required to submit their application electronically using Grants.gov for the FY 2018 Open Textbooks Pilot program grant competition. Grants.gov is accessible through its portal page at:

Grants.gov Web site

For information (including dates and times) about how to submit your application electronically, please refer to the official Federal Register Notice. You are reminded that the document published in the Federal Register is the official document and that you should not rely upon any information that is inconsistent with the guidance contained within the official document.

We appreciate your interest in the Open Textbooks Pilot program and look forward to receiving your application.

Sincerely, Adam Kissel

Deputy Assistant Secretary for

Higher Education Programs

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

http://www.grants.gov/

Competition Highlights

1. Open Textbooks Pilot program applications submitted for FY 2018 must be submitted electronically using

Grants.gov. You are urged to acquaint yourself with the requirements of Grants.gov early as the registration procedures may require up to 2 weeks to complete. A more thorough discussion is included later in this application package. Grants.gov is accessible through its portal page: http://www.grants.gov. You must provide the SAME DUNS number that was used when your organization registered with the System for

Award Management (SAM). SAM replaced the Central Contractor Registry (CCR) used in years past.

2. The Grants.gov site does not allow applicants to “un-submit” applications. Therefore, if you discover that changes or additions are needed once your application has been accepted and validated by the Department, you must “re-submit” the application. Please know that if the Department receives duplicate applications, we will accept and process the application with the latest “date/time received” validation.

3. The application must be received on or before the deadline date and time. Late applications will not be accepted. We suggest that you submit your application several days before the deadline. The Department must adhere to the established deadline to ensure fairness to all applicants. No changes or additions to an application will be accepted after the deadline date.

4. Grants.gov Upload Requirements:

If you submit your application electronically, you must upload any narrative sections and all other attachments to your application as files in a PDF (Portable Document) read-only, non-modifiable format. Do not upload an interactive or fillable PDF file. If you upload a file type other than a read-only, non-modifiable PDF or submit a password-protected file, we will not review that material. Please note that this could result in your application not being considered for funding because the material in question--for example, the application narrative--is critical to a meaningful review of your proposal. For that reason it is important to allow yourself adequate time to upload all material as PDF files. The Department will not convert material from other formats to PDF.

5. There are three absolute priorities and one competitive preference priority for the FY 2018 competition.

The Department will only consider applications that meet all three absolute priorities. Applicants that do not meet the absolute priorities will not move forward for review.

The Priorities are as follows:

Absolute Priorities:

1. Absolute Priority 1: Improving Collaboration and Dissemination through Consortia

Arrangements.

2. Absolute Priority 2: Addressing Gaps in the Open Textbook Marketplace and Bringing

Solutions to Scale.

3. Absolute Priority 3: Promoting Degree Completion.

Competitive Preference Priority:

1. Competitive Preference Priority 1: Using Technology-Based Strategies for Personalized

Learning and Continuous Improvement.

6. Eligibility Information:

Carefully review the eligibility information within the NIA. There are multiple subparts for the eligibility requirement.

7. Annual Performance Requirements:

If you receive a FY 2018 new grant award, you will be required to submit annual and final performance reports.

Grants.gov Submission Procedures and Tips for Applicants

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education.

Browser Support

The latest versions of Microsoft Internet Explorer (IE), Mozilla Firefox, Google Chrome, and Apple Safari are supported for use with Grants.gov. However, these web browsers undergo frequent changes and updates, so we recommend you have the latest version when using Grants.gov. Legacy versions of these web browsers may be functional, but you may experience issues.

For additional information or updates, please see the Grants.gov Browser information in the Applicant FAQs:

http://www.grants.gov/web/grants/applicants/applicant-faqs.html#browser.

ATTENTION – Workspace, Adobe Forms and PDF Files Required

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to: https://www.grants.gov/web/grants/applicants/workspace-overview.html.

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission.

The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

a. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual PDF forms in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS Number. Once it is completed, the information will transfer to the other forms.

http://www.grants.gov/web/grants/applicants/applicant-faqs.html#browser https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

3) Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the closing date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace Submission: After successfully submitting a workspace application, a Grants.gov

Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicant-training.html.

Helpful Reminders

1) REGISTER EARLY – Grants.gov registration involves many steps including registration on SAM

(www.sam.gov) which may take approximately one week to complete, but could take upwards of several weeks to complete, depending upon the completeness and accuracy of the data entered into the SAM database by an applicant. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. Please note that once your

SAM registration is active, it will take 24-48 hours for the information to be available in Grants.gov, and before you can submit an application through Grants.gov. For detailed information on the Registration Steps, please go to: http://www.grants.gov/web/grants/register.html. [Note: Your organization will need to update its

SAM registration annually.]

Primary information about SAM is available at www.sam.gov. However, to further assist you with obtaining and registering your DUNS number and TIN in SAM or updating your existing SAM account, the Department of Education has prepared a SAM.gov Tip Sheet which you can find at:

http://www2.ed.gov/fund/grant/apply/sam-faqs.html.

2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes

Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully to Grants.gov before 4:30:00 p.m. Washington, DC time on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov. This

DUNS number is typically the same number used when your organization registered with the SAM.

If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

3) VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on time and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned.

Once the Department of Education receives your application from Grants.gov, an Agency Tracking https://www.grants.gov/web/grants/applicants/applicant-training.html http://www.sam.gov/ http://www.grants.gov/web/grants/register.html http://www.sam.gov/ http://www2.ed.gov/fund/grant/apply/sam-faqs.html

Number (PR/award number) will be assigned to your application and will be available for viewing on

Grants.gov’s Track My Application link.

If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the deadline date, your application is late. If your application has a status of “Received” it is still awaiting validation by

Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with

Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site:

http://www.grants.gov/web/grants/applicants/encountering-error-messages.html. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Software Tip Sheet at:

http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer

Support at 1-800-518-4726 or email at: mailto:support@grants.gov or access the Grants.gov Self-Service

Knowledge Base web portal at: https://grants-portal.psc.gov/Welcome.aspx?pt=Grants

If electronic submission is required, you must submit an electronic application before 4:30:00 p.m. Washington, DC time, unless you follow the procedures in the Federal Register notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions. If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register notice and get a hard copy application postmarked by midnight on the deadline date. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please go to http://www.grants.gov/web/grants/support.html for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Applicant FAQs found at this Grants.gov link:

http://www.grants.gov/web/grants/applicants/applicant-faqs.html as well as additional information on Workspace at https://www.grants.gov/web/grants/applicants/applicant-faqs.html#workspace.

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you may want to consider following the instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the requirement that applicants only include read-only, flattened .PDF files in their application:

http://www.grants.gov/web/grants/applicants/encountering-error-messages.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants http://www.grants.gov/web/grants/support.html http://www.grants.gov/web/grants/applicants/applicant-faqs.html https://www.grants.gov/web/grants/applicants/applicant-faqs.html#workspace

Ensure that you attach .PDF files only for any attachments to your application, and they must be in a read-only, flattened format. PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will not accept any attachments that contain files within a file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or are password protected files will not be read.

Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name.

When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded file names must be fewer than 50 characters, and, in general, applicants should not use any special characters. However, Grants.gov does allow for the following

UTF-8 characters when naming your attachments: A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant application package with all attachments is less than 5 MB. Therefore, you may want to check the total size of your package before submission.

01/2018

Application Transmittal Instructions

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the application procedures as described in the Federal Register notice announcing the grant competition.

This program requires the electronic submission of applications; specific requirements and waiver instructions can be found in the Federal Register notice.

According to the instructions found in the Federal Register notice, those requesting and qualifying for an exception to the electronic submission requirement may submit an application by mail, commercial carrier, or hand delivery.

If you want to apply for a grant and be considered for funding, you must meet the following deadline requirements:

Applications Submitted Electronically

You must submit your grant application through the Internet using the software provided on the

Grants.gov Web site (http://www.grants.gov) by 4:30:00 p.m. (Washington, D.C. time) on or before the deadline date.

If you submit your application through the Internet via the Grants.gov Web site, you will receive an automatic acknowledgement when we receive your application.

For more information on using Grants.gov, please refer to the “Notice Inviting Applications” that was published in the Federal Register or visit http://www.grants.gov.

Submission of Paper Applications by Mail:

If you qualify for an exception to the electronic submission requirement, you may submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier). You must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address:

Application Control Center

Attention: (CFDA Number 84.116T)

LBJ Basement Level 1

400 Maryland Avenue, S.W.

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the following:

(1) A legibly dated U.S. Postal Service postmark.

(2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.

(3) A dated shipping label, invoice, or receipt from a commercial carrier.

(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing:

(1) A private metered postmark.

(2) A mail receipt that is not dated by the U.S. Postal Service.

If your application is postmarked after the application deadline date, we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, you should check with your local post office.

Submission of Paper Applications by Hand Delivery:

If you qualify for an exception to the electronic submission requirement, you (or a courier service) may deliver your paper application to the Department by hand. You must deliver the original and two copies of your application by hand, on or before the application deadline date, to the Department at the following address:

Application Control Center

Attention: (CFDA Number 84.116T)

550 12th Street, S.W.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the

Department--

(1) You must indicate on the envelope—and, if not provided by the Department, in Item 11 of the SF 424—the

CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and

(2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification within 15 business days from the application deadline date, you should call the

U.S. Department of Education Application Control Center at (202) 245-6288.

Late Applications

If your application is late, we will notify you that we will not consider the application.

Notice Inviting Applications

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Fund for the Improvement of

Postsecondary Education -- Open Textbooks Pilot Program

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

SUMMARY: The Department of Education is issuing a notice inviting applications for new awards for fiscal year (FY) 2018 for the Open Textbooks

Pilot program conducted under the Fund for the Improvement of Postsecondary

Education (FIPSE), Catalog of Federal Domestic Assistance (CFDA) number

84.116T.

DATES:

Applications Available: July 30, 2018.

Deadline for Transmittal of Applications: August 29, 2018.

ADDRESSES: For the addresses for obtaining and submitting an application, please refer to our Common Instructions for Applicants to Department of

Education Discretionary Grant Programs, published in the Federal Register on

February 12, 2018 (83 FR 6003) and available at www.gpo.gov/fdsys/pkg/FR-

2018-02-12/pdf/2018-02558.pdf.

FOR FURTHER INFORMATION CONTACT: Stacey Slijepcevic, U.S. Department of

Education, 400 Maryland Avenue, SW, room 268-32, Washington, DC 20202.

Telephone: (202) 453-6150. Email: stacey.slijepcevic@ed.gov.

If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-800-

877-8339.

SUPPLEMENTARY INFORMATION:

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The Open Textbooks Pilot program supports projects at institutions of higher education (IHEs) that create new open textbooks (as defined in this notice) or expand their use of open textbooks while maintaining or improving instruction and student learning outcomes.

Applicants are encouraged to develop projects that demonstrate the greatest potential to achieve the highest level of savings for students through sustainable, expanded use of open textbooks in high-enrollment courses (as defined in this notice) or in programs that prepare individuals for in-demand fields.

Background: The growth in college textbook costs is a key component of the overall increase in the cost of attending college. The cost of college textbooks increased 88 percent between 2006 and 2016.

In the 2016-17 academic year, the average college student budget for books and supplies was

$1,263 for students attending 4-year institutions and $1,458 for students attending 2-year institutions.

Increasing textbook costs introduce an additional barrier to college access and completion, particularly for low-income students. In recent years, the development of open textbooks has emerged as a potential solution to increasing college textbook costs. While open textbooks often support general education or introductory courses, the

Department seeks to promote degree completion by supporting the development of open textbooks for courses at different levels within an academic

1Bureau of Labor Statistics, U.S. Department of Labor, The Economics Daily, College tuition and fees increase 63 percent since January

2006 (https://www.bls.gov/opub/ted/2016/college-tuition-and-fees-increase-63-percent-since-january-2006.htm).

2 National Center of Education Statistics, 2017 Digest of Education Statistics, (https://nces.ed.gov/programs/digest/d17/tables/dt17_330.40.asp?current=yes) https://www.bls.gov/opub/ted/2016/college-tuition-and-fees-increase-63-percent-since-january-2006.htm https://nces.ed.gov/programs/digest/d17/tables/dt17_330.40.asp?current=yes program. Therefore, this pilot program emphasizes the expansion of the use of existing open textbooks developed for general education or introductory courses, and the development of open textbooks for several required courses in one or more high-enrollment majors to ensure that students will benefit from cost savings throughout their programs.

There is also a shortage of open textbooks to support instruction in career and technical education, where it is equally important to help students reduce costs. Technical textbooks are among the more expensive books that students must purchase, and they often must be updated frequently to keep pace with changing technologies, which adds to the costs associated with these books. Because of the frequent updates, students are prevented from relying on lower-cost used books. To ensure that students in career and technical education programs have access to low-cost textbooks that are up-to-date, the Department encourages the development of open textbooks that would support students enrolled in high-enrollment programs (as defined in this notice) for career and technical education associate degrees, or career and technical education associate degree programs designed to meet the needs of in-demand occupations and industries (as defined in this notice.

Priorities: This notice includes three absolute priorities and one competitive preference priority.

We are establishing these priorities for the FY 2018 grant competition and any subsequent year in which we make awards from the list of unfunded applications from this competition in accordance with section 437(d)(1) of the General Education Provisions Act (GEPA), 20 U.S.C. 1232(d)(1).

Absolute Priorities: These priorities are absolute priorities. Under 34

CFR 75.105(c)(3) we consider only applications that meet all three of these priorities.

These priorities are:

Absolute Priority 1 -- Improving Collaboration and Dissemination through Consortia Arrangements.

An eligible applicant must propose to lead and carry out a consortium project that leverages the expertise and resources of at least three IHEs, including the lead applicant, and that engages employers or workforce stakeholders (as defined in this notice) and/or nonprofit or community organizations, as appropriate, to participate in the project. These entities are described below under Eligible Applicants. Applicants must explain how the members of the consortium will work in partnership to develop and implement open textbooks that: (a) reduce the cost of college for large numbers of students by reducing textbook costs and (b) contain content that aligns student learning objectives with the skills or knowledge required by large numbers of students (at a given institution or nationally) as part of a degree pathway, or in the case of a career and technical postsecondary program, meet industry standards in in-demand industry sectors or occupations (as defined in this notice).

Absolute Priority 2 –- Addressing Gaps in the Open Textbook Marketplace and Bringing Solutions to Scale.

An applicant must address the issue of gaps in the open textbook marketplace and of how to bring market solutions to scale. An applicant must propose a comprehensive plan to: (a) identify and assess existing open educational resources in the credential pathway or the subject area or areas proposed, before creating new ones; (b) focus on the creation and expansion of education and training materials that can be taken to scale, within and beyond the participating consortium members, to reach a broad range of students participating in high-enrollment courses or preparing for in-demand occupations (as defined in this notice); (c) create protocols to review any open textbooks created or adapted through the project for accuracy, rigor, and accessibility for students with disabilities; and (d) disseminate information about the results of the project to other IHEs, including promoting the adoption of any open textbooks created or adapted through the project.

Note: Grant funds may be used for professional development to help build capacity and expand the use of open textbooks for any faculty and staff members at IHEs.

Absolute Priority 3 -- Promoting Degree Completion.

An applicant must propose to build upon existing open textbook materials and/or develop new open textbooks for (a) multiple courses at different levels in a program’s course sequence and that are typically required for individuals majoring in one or more high-enrollment programs and/or (b) several courses along the pathway to an associate degree in one or more career and technical education field(s).

The applicant must include plans for: (a) promoting and tracking the use of open textbooks in postsecondary courses, including an estimate of the projected cost savings for students; (b) assessing the impact of open textbooks on instruction and student learning outcomes, and (c) updating the open textbooks beyond the funded period.

Competitive Preference Priority: This priority is a competitive preference priority. Under 34 CFR 75.105(c)(2)(i) we award up to an additional 10 points to an application, depending on how well the application meets this priority.

This priority is:

Competitive Preference Priority -- Using Technology-Based Strategies for Personalized Learning and Continuous Improvement (up to 10 points).

To meet this priority, an applicant must propose a project that focuses on improving instruction and student learning outcomes by integrating technology-based strategies, such as artificial intelligence and adaptive learning, with the open textbooks proposed for development to provide personalized learning experiences. These technologies must be capable of supporting ongoing electronic assessments that enable students to monitor their own learning mastery and/or allow instructors to monitor the individual performance of each student in the classes or courses for which the applicant proposes to develop open textbooks.

Waiver of Proposed Rulemaking: Under the Administrative Procedure Act (5

U.S.C. 553), the Department generally offers interested parties the opportunity to comment on proposed priorities, definitions, and other requirements. Section 437(d)(1) of GEPA, however, allows the Secretary to exempt from rulemaking requirements regulations governing the first grant competition under a new or substantially revised program authority. This is the first grant competition for this program under new or substantially revised authority and therefore qualifies for this exemption. In order to ensure timely grant awards, the Secretary has decided to forgo public comment on the priorities, definitions, and other requirements under section

437(d)(1) of GEPA. These priorities, definitions, and requirements will apply to the FY 2018 grant competition and any subsequent year in which we make awards from the list of unfunded applications from this competition.

Definitions

Open textbook means a textbook that is licensed under a worldwide, non-exclusive, royalty-free, perpetual, and irrevocable license to the public to exercise any of the rights under copyright conditioned only on the requirement that attribution be given as directed by the copyright owner.

An open textbook resides in the public domain or has been released under a license that permits their free use, reuse, modification, and sharing with others.

High-enrollment courses means courses that are required for an associate or bachelor’s degree at the IHE, that either: (1) have student enrollments above the average enrollment of courses at the institution or

(2) have higher than average enrollments nationally as compared to other academic or career and technical education courses.

High-enrollment program means a degree program or career and technical education postsecondary program at the IHE that either: (1) has student enrollments above the average enrollment for programs at the institution or

(2) has higher than average enrollments nationally as compared to other academic or career and technical education programs.

Workforce stakeholder means an individual or organization with an interest in the employability of others either for self-interest or the interest of other employers.

In-demand industry sector means an industry sector that has a substantial current or potential impact (including through jobs that lead to economic self- sufficiency and opportunities for advancement) on the State, regional, or local economy, as appropriate, and that contributes to the growth or stability of other supporting businesses, or the growth of other industry sectors.

In-demand occupation means an occupation that currently has or is projected to have a number of positions (including positions that lead to economic self-sufficiency and opportunities for advancement) in an industry sector so as to have a significant impact on the State, regional, or local economy, as appropriate.

Sector partner means a member of a workforce collaborative, convened by or acting in partnership with a State board or local board, that organizes key stakeholders interconnected by labor markets, technologies, and worker skill needs into a working group that focuses on shared goals and resource needs.

Program Authority: 20 U.S.C. 1138-1138d.

Applicable Regulations: (a) The Education Department General

Administrative Regulations in 34 CFR parts 75, 77, 79, 81, 82, 84, 86, 97, 98, and 99. (b) The Office of Management and Budget Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement) in 2 CFR part

180, as adopted and amended as regulations of the Department in 2 CFR part

3485. (c) The Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards in 2 CFR part 200, as adopted and amended as regulations of the Department in 2 CFR part 3474.

Note: The regulations in 34 CFR part 79 apply to all applicants except federally recognized Indian Tribes.

Note: The regulations in 34 CFR part 86 apply to IHEs only.

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: $4,950,000

Contingent upon the availability of funds and the quality of applications, we may make additional awards in subsequent years from the list of unfunded applications for this competition.

Estimated Range of Awards: $1,500,000-$4,950,000.

Estimated Average Size of Awards: $2,475,000.

Maximum Award: We will not make an award exceeding $4,950,000 for a single budget period of 48 months.

Estimated Number of Awards: 1-3.

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

Project Period: Up to 48 months.

III. Eligibility Information

1. Eligible Applicants: Eligible applicants are IHEs as defined in section 101 of the Higher Education Act of 1965, as amended (HEA) (20 U.S.C.

1001), that:

(a) Lead the activities of a consortium that is comprised of at least:

i. Three IHEs as defined in section 101 of the HEA, including the lead applicant;

ii. An educational technology or electronic curriculum design expert

(which may include such experts that are employed by one or more of the consortium institutions); and

iii. An advisory group of at least five employers, workforce organizations, or sector partners (as defined in this notice); and

(b) Have demonstrated experience in the development and implementation of open educational resources.

2. Cost Sharing or Matching: This program does not require cost sharing or matching.

3. Subgrantees: Under 34 CFR 75.708(b) and (c) a grantee under this competition may award subgrants--to directly carry out project activities described in its application--to entities listed in the grant application.

IV. Application and Submission Information

1. Application Submission Instructions: For information on how to submit an application please refer to our Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the

Federal Register on February 12, 2018 (83 FR 6003), and available at www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02558.pdf.

2. Submission of Proprietary Information: Given the types of projects that may be proposed in applications for the Open Textbook Pilot, your application may include business information that you consider proprietary.

In 34 CFR 5.11 we define “business information” and describe the process we use in determining whether any of that information is proprietary and, thus, protected from disclosure under Exemption 4 of the Freedom of Information

Act (5 U.S.C. 552, as amended).

Because we plan to make successful applications available to the public, you may wish to request confidentiality of business information.

Consistent with Executive Order 12600, please designate in your application any information that you believe is exempt from disclosure under

Exemption 4. In the appropriate Appendix section of your application, under

“Other Attachments Form,” please list the page number or numbers on which we can find this information. For additional information please see 34 CFR

5.11(c).

3. Intergovernmental Review: This competition is subject to Executive

Order 12372 and the regulations in 34 CFR part 79. However, under 34 CFR

79.8(a), we waive intergovernmental review in order to make awards by the end of FY 2018.

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

5. Recommended Page Limit: The application narrative is where you, the applicant, address the selection criteria that reviewers use to evaluate your application. We recommend that you (1) limit the application narrative to no more than 60 pages and (2) use the following standards:

A “page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and both sides.

Double space all text in the application narrative, including titles, headings, footnotes, quotations, references, and captions.

Use a readable 12-point font such as Times New Roman, Courier, Courier New, or Arial.

The recommended 60 page limit applies only to the application narrative and does not apply to Part I, the cover sheet; Part II, the budget section, including the narrative budget justification; Part IV, the assurances and certifications; or the one-page abstract, the resumes, the bibliography, or the letters of support.

V. Application Review Information

1. Selection Criteria: The selection criteria for this competition are from 34 CFR 75.210. The maximum score for all of the selection criteria is 100 points. The maximum score for each criterion is included in parentheses following the title of the specific selection criterion. Each criterion also includes the factors that reviewers will consider in determining the extent to which an applicant meets the criterion.

Points awarded under the competitive preference priority are in addition to any points an applicant earns for all of the selection criteria in this notice. The maximum score that an application may receive under the competitive preference priority and the selection criteria is 110. The selection criteria are as follows:

a. Significance (up to 20 points).

The Secretary considers the significance of the proposed project. In determining the significance of the proposed project, the Secretary considers the following factors:

(1) The extent to which the proposed project is likely to build local capacity to provide, improve, or expand services that address the needs of the target population.

(2) The potential replicability of the proposed project or strategies, including, as appropriate, the potential for implementation in a variety of settings.

b. Quality of the Project Design (up to 15 points).

The Secretary considers the quality of the design of the proposed project.

In determining the quality of the design of the proposed project, the

Secretary considers the following factors:

(1) The extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified and measurable.

(2) The extent to which the design of the proposed project is appropriate to, and will successfully address, the needs of the target population or other identified needs.

(3) The extent to which the proposed project is designed to build capacity and yield results that will extend beyond the period of Federal financial assistance.

c. Quality of Project Services (up to 15 points).

The Secretary considers the quality of the services to be provided by the proposed project. In determining the quality of the services to be provided by the proposed project, the Secretary considers the quality and sufficiency of strategies for ensuring equal access and treatment for eligible project participants who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability. In addition, the Secretary considers the following factors:

(1) The likelihood that the services to be provided by the proposed project will lead to improvements in the achievement of students as measured against rigorous academic standards.

(2) The extent to which the services to be provided by the proposed project involve the collaboration of appropriate partners for maximizing the effectiveness of project services.

(3) The extent to which the training or professional development services to be provided by the proposed project are of sufficient quality, intensity, and duration to lead to improvements in practice among the recipients of those services.

d. Quality of Project Personnel (up to 5 points).

The Secretary considers the quality of the personnel who will carry out the proposed project. In determining the quality of project personnel, the

Secretary considers the extent to which the applicant encourages applications for employment from persons who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability. In addition, the Secretary considers the following factors:

(1) The qualifications, including relevant training and experience, of the project director or principal investigator.

(2) The qualifications, including relevant training and experience, of key project personnel.

e. Adequacy of Resources (up to 25 points).

The Secretary considers the adequacy of resources for the proposed project. In determining the adequacy of resources for the proposed project, the Secretary considers the following factors:

(1) The relevance and demonstrated commitment of each partner in the proposed project to the implementation and success of the project.

(2) The extent to which the costs are reasonable in relation to the objectives, design, and potential significance of the proposed project.

f. Quality of the Management Plan (up to 10 points).

The Secretary considers the quality of the management plan for the proposed project. In determining the quality of the management plan for the proposed project, the Secretary considers the following factors:

(1) The adequacy of the management plan to achieve the objectives of the proposed project on time and within budget, including clearly defined responsibilities, timelines, and milestones for accomplishing project tasks.

(2) The extent to which the time commitments of the project director and principal investigator and other key project personnel are appropriate and adequate to meet the objectives of the proposed project.

g. Quality of the Project Evaluation (up to 10 points).

The Secretary considers the quality of the evaluation to be conducted of the proposed project. In determining the quality of the evaluation, the

Secretary considers the following factors:

(1) The extent to which the methods of evaluation are thorough, feasible, and appropriate to the goals, objectives, and outcomes of the proposed project.

(2) The extent to which the methods of evaluation include the use of objective performance measures that are clearly related to the intended outcomes of the project and will produce quantitative and qualitative data to the extent possible.

2. Review and Selection Process: We remind potential applicants that in reviewing applications in any discretionary grant competition, the

Secretary may consider, under 34 CFR 75.217(d)(3), the past performance of the applicant in carrying out a previous award, such as the applicant’s use of funds, achievement of project objectives, and compliance with grant conditions. The Secretary may also consider whether the applicant failed to submit a timely performance report or submitted a report of unacceptable quality.

In addition, in making a competitive grant award, the Secretary requires various assurances, including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving

Federal financial assistance from the Department (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

For this competition, a panel of external reviewers will read, prepare a written evaluation of, and score all eligible applications using the selection criteria and the competitive preference priority, if applicable, provided in this notice. The individual scores of the reviewers will be added and the sum divided by the number of reviewers to determine the peer review score. The Department may use more than one tier of reviews in evaluating grantees. The Department will prepare a rank order of applications based solely on the evaluation of their quality according to the selection criteria and competitive preference priority points.

In the event there are two or more applications with the same final score in the rank order listing, and there are insufficient funds to fully support each of these applications, the Department will apply the following procedure to determine which application or applications will receive an award:

First Tiebreaker: The first tiebreaker shall be the highest average score for the selection criterion of “Significance.” If a tie remains, the second tiebreaker shall be…