FY 2012 THSGP Tribal IJ Reference Guide

U.S. DEPARTMENT OF HOMELAND SECURITY

F IS CAL YEAR 2012

TRIBAL HOMELAND S ECURITY G RANT
P ROGRAM
INVES TMENT J US TIFICATION
R EFERENCE G UIDE

F EBRUARY 2012

U.S. DEPARTMENT OF HOMELAND SECURITY

CONTENTS
Part I. FY 2012 THSGP Investment Justification Reference Guide Overview ............... 2
Overview of Investment Justification Reference Guide .........................................2
General Reminders ...............................................................................................2
Investment Justification Submission .....................................................................2
Transition from Target Capabilities to Core Capabilities .......................................3
Summary of the IJ Review and Scoring Process ..................................................3
Overview of the Scoring Calculation Process .......................................................4
Part II. FY 2012 THSGP Investment Justification ............................................................ 5
Investment Justification Information ......................................................................5
I. Background......................................................................................................5
II. Overview ..........................................................................................................6
III. Baseline ...........................................................................................................7
IV. Project Management and Milestones...............................................................8
V. Law Enforcement Terrorism Prevention Activities (LETPA) .............................9
VI. Accomplishments and Impact ..........................................................................9
Appendix A. Project Management Lifecycle.................................................................. 10

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through
https://portal.fema.gov

1

P ART I.

FY 2012 THS GP INVES TMENT J US TIFICATION
REFERENCE GUIDE OVERVIEW
O VERVIEW OF INVES TMENT J US TIFICATION R EFERENCE G UIDE
The FY 2012 Tribal Homeland Security Grant Program (THSGP) Investment Justification
(IJ) Reference Guide provides applicants with an overview of the new FY 2012 THSGP
Investment Justification (IJ) Template, clarification of IJ questions, and an overview of the
scoring criteria against which the Investment questions will be evaluated. This Guide
supplements the FY 2012 Tribal Homeland Security Grant Program (THSGP) Funding
Opportunity Announcement (FOA) and the FY 2012 THSGP IJ Template.
G ENERAL R EMINDERS
The THSGP IJ Reference Guide is only a clarification document to provide additional
information and helpful hints regarding the FY 2012 THSGP IJ Template. Eligible Tribes
are required to use the Excel-based IJ Template for their FY 2012 THSGP IJ submission.
The THSGP IJ Template can be found at http://www.fema.gov/grants or
http://www.grants.gov. The THSGP IJ Template will be submitted as an attachment with
the FY 2011 THSGP application submission in the ND Grants System.
THSGP applicants must self-certify if they meet the eligibility criteria as stated in the
Implementing Recommendations of the 9/11 Commission Act within the THSGP Eligibility
Certification Form as part of FY 2012 THSGP IJ. Any questions regarding an applicant’s
proximity to a Critical Infrastructure and Key Structures (CI/KR) site, as described in the
eligibility criteria, may be directed to the State Administrative Agency (SAA).
Due to the competitive nature of the THSGP in FY 2012, applicants that have not received
prior funding under THSGP between FY 2008 and FY 2011 will receive an extra five (5)
points for each submitted Investment to their effectiveness score which impacts allocation
determinations.
INVES TMENT J US TIFICATION S UBMIS S ION
Applying for FY 2012 THSGP funds requires a two-step process. Step 1: initial submission
to determine eligibility and Step 2: full application. Applicants are encouraged to initiate
Step 1 immediately after the FOA is published but no later than April 27, 2012. This
involves submitting a complete Standard Form 424 to grants.gov Successful completion of
this step is necessary for FEMA to determine eligibility of the applicant. Late submissions
of Step 1 to grants.gov could result in applicants missing the application deadline in Step 2.
Once FEMA has determined an applicant to be eligible, applicants can proceed to Step 2
which involves submitting the full application package via the Non Disaster (ND) Grants
system. The submission deadline for the full application package is May 4, 2012.
THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through
https://portal.fema.gov

2

The application must be completed and final submission made through the ND Grants
system located at https://portal.fema.gov. If you need additional assistance registering for
the ND Grants system, please contact FEMA’s Enterprise Service Desk at (888) 457-3362.
The ND Grants system includes the following required forms and submissions:
•
•
•
•
•
•
•
•

Standard Form 424A, Budget Information (Non-construction)
Standard Form 424B, Standard Assurances (Non-construction)
Standard Form 424C, Budget Information (Construction)
Standard Form 424D, Standard Assurances (Construction)
Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has
engaged or intends to engage in lobbying activities)
Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying
FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment, Suspension
and Other Responsibility Matters; and Drug-Free Workplace Requirements
FY 2012 THSGP Investment Justification Template (Office of Management and
Budget [OMB] Control Number: 1660-0113/FEMA Form: 089-22)

Each THSGP IJ may contain up to 3 individual Investments. These Investments must
account for all THSGP funds requested by the applicant. Only the information included in
the IJ will be scored in the review process.
TRANS ITION FROM TARGET C AP ABILITIES

TO

C ORE C AP ABILITIES

Presidential Policy Directive 8: National Preparedness (PPD-8), signed on March 30, 2011,
describes the Nation’s approach to preparing for the threats and hazards that pose the
greatest risk to the security of the United States. The objective of PPD-8 is to facilitate an
integrated, all-of-Nation, risk informed, capabilities-based approach to preparedness. The
core capabilities contained in the National Preparedness Goal (NPG) are the distinct critical
elements necessary for our success. The core capabilities represent an evolution from the
Target Capabilities List (TCL). The transition from TCL to core capabilities expands the
focus to include mitigation and allows greater focus on prevention and protection activities.
Unlike prior years, for FY 2012 THSGP, applicants will be required to align each
Investment to the core capabilities within the NPG as supposed to target capabilities within
the TCL.
Files and information on PPD-8 can be found at http://www.fema.gov/ppd8. Additionally,
for a crosswalk of target capabilities to core capabilities, please refer to
http://www.fema.gov/pdf/prepared/crosswalk.pdf.
S UMMARY OF THE IJ R EVIEW AND S CORING P ROCES S
Each Investment will be reviewed by peer reviewers and receive its own score. This FY
2012 THSGP IJ Reference Guide identifies sections of the individual Investment(s) that will
be scored and what criteria reviewers will consider when scoring applicable sections. The
scoring questions that reviewers will use during the review and scoring of Investments are
derived from the “Helpful Hints and Tips” guidance.
THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through
https://portal.fema.gov

3

Reviewers will score Investments across four sections listed below:
•
•
•
•

Overview (25%)
Baseline (25%)
Project Management and Milestones (25%)
Accomplishments and Impact (25%)

After all Investments within an IJ have been scored, reviewers will provide consensusbased, constructive feedback on how applicants may be able to improve submitted
Investments and/or future application submissions.
O VERVIEW OF THE S CORING C ALCULATION P ROCES S
The three steps below provide a description of how each applicant’s individual Investment
score(s) will be calculated:
•
•
•

Reviewers score each of their assigned Investments
Reviewers scores will be added and divided by the total number of reviewers that
reviewed assigned Investments
The mean Investment score is normalized and multiplied by 100

P ARTICIP ATING IN THE P EER R EVIEW P ROCES S
Tribes are encouraged to participate as volunteer reviewers in the FY 2012 peer review
process. FEMA GPD seeks peer reviewers who are:
•
•
•

Experienced professionals, including Native American Association
leaders/members, with experience in Tribal relations as it relates to homeland
security and/or emergency management
Representative of a variety of disciplines relating to homeland security and/or
emergency management
Familiar with the peer review process

Participation in the process will provide reviewers the unique opportunity to gain insight into
the evaluation process and to learn innovative ideas being utilized by their peers. Those
interested in participating in the peer review process should contact the CSID. CSID can
be reached by phone at (800) 368-6498 or by e-mail at askcsid@fema.gov, Monday
through Friday, 9:00 a.m. – 5:30 p.m. EST.

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through
https://portal.fema.gov

4

PART II.

FY 2012 THS GP INVES TMENT J US TIFICATION
QUES TIONS AND HELP FUL HINTS
INVES TMENT J US TIFICATION INFORMATION
In order for an Investment to be considered complete, all questions, including the Investment
Heading, must be addressed. Responses in the Investment Justification (IJ) should be self-sufficient
and self-contained. Applicants should not rely on references to other sources of information to
explain their response.
I.

B ACKGROUND
Question

Helpful Hints and Tips

I. Background (N/S)
I.A

Provide the Tribe name

I.B

Provide the Investment name

I.C

Provide a baseline understanding of the
spectrum of terrorism and natural hazard
risks and demographics that the Tribe faces
and influenced the development of this
Investment Justification (IJ).

• Applicants are encouraged to use their Tribe name as listed in
the latest Federal Register Notice, which can be found at
http://www.bia.gov/idc/groups/xraca/documents/text/idc011463
.pdf
• Investment Name should help describe the purpose of the
Investment
• Describe the risks to the Tribal area; remember to include:
o Terrorism risks
o Natural hazard risks; and
o Risk information from your own planning processes
• Describe the demographics of the Tribal area; remember to
include:
o Population
o Geographical Location
• Potential sources of information to assist with this response
include:
o Tribal risk assessments and analyses (if available)

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through https://portal.fema.gov

5

II.

O VERVIEW
Question
II. Overview (25%)
II.A

Identify the Investment as:
If ongoing, describe the Investment’s
current state and what will be accomplished
prior to the application of FY 2012 funds.
Please note, if this Investment is marked
“New”, please move to question II.B.

II.B

Identify if this Investment focuses on
building new capabilities or the sustainment
of existing capabilities
Provide a description of this Investment,
including the planning, organization,
equipment, training, and/or exercises that
will be involved.

II.C

Helpful Hints and Tips
• If the Investment is ongoing, describe the Investment’s current
state and include accomplishments to date, using FY 2009 –
FY 2011 THSGP funding such as:
o Major milestones, purchases, training activities, or other
implementation steps that have been or will be started
and/or completed before the application of FY 2012
THSGP funds
• Confirm that the appropriate response, “Building New
Capabilities” or “Sustainment of Existing Capabilities,” from the
drop down menu has been selected
• As the FY 2012 THSGP plays an important role in the
implementation of Presidential Policy Directive – 8 (PPD-8),
applicants should demonstrate how proposed planning,
organization, equipment, training, and/or exercises-related
activities support the development and sustainment of core
capabilities outlined in the National Preparedness Goal (NPG).
• Describe how the planning, organization, equipment, training,
or exercises activities within this Investment support the Tribe
and THSGP priorities
o Examples of planning efforts include the prioritization of
needs, updating preparedness strategies, and allocating
resources
o For equipment-related projects, applicants should
reference the 21 allowable prevention, protection,
response, and recovery equipment categories and
equipment standards for FY 2012 THSGP listed on the
web-based version of the Authorized Equipment List
(AEL) at https://www.rkb.us.
o For training-related projects, applicants should address a
performance gap identified through an After Action
Report/Improvement Plan (AAR/IP) or contribute to a
building a capability that will be evaluated through an
exercise

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through https://portal.fema.gov

6

III.

B AS ELINE
Question

Helpful Hints and Tips

III. Baseline (25%)
III.A

Identify the goals and objectives that will be
supported by this Investment.
Please note, this should be linked to the allhazards risks identified in I.C.

• Applicants should demonstrate linkages between specific
projects undertaken with THSGP funds with the all-hazards
risks identified in Question I.C.
• Reviewers will reference Question I.C. to ensure the
Investment’s alignment with goals and objectives.

III.B

Describe existing capability levels that
address the identified goals/objectives and
what will be in place to support the
Investment prior to the use of FY 2012
funds.

III.C

Explain the capability gap(s) that this
Investment is intended to address.
Please note, this should be linked to the allhazards risks identified in I.C.

• Applicants should provide a clear description of existing
capability levels that will support identified goals and objectives
in Question III.A.
• If the Investment is ongoing, describe the Investment’s current
state and include accomplishments to date, using any funding
they may have received (e.g., Federal or Non-Federal) such
as:
o Major milestones, purchases, training activities, or other
implementation steps that have been or will be started
and/or completed before the application of FY 2012
THSGP funds
• Applicants should describe gaps between existing capabilities,
as identified in Question III.B. and desired capability as
outlined in Question III.A.
• Applicants should also demonstrate how this Investment will
bridge identified capability gap(s) and address vulnerabilities
• Where appropriate, applicants should quantify where capability
gaps exist that may hinder their ability to successfully improve
and play a critical role in helping communities in all stages of a
disaster preparation, response, and long-term recovery
• Applicants should also specify what they would require to
building safe, secure, and resilient communities

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through https://portal.fema.gov

7

IV.

P ROJ ECT MANAGEMENT AND MILES TONES
Question
IV. Project Management and Milestones (25%)
IV.A

Provide the proposed FY 2012 THSGP
funding amount for this Investment.

IV.B

Identify the amount and percentage of
funding that will be dedicated to
Management and Administration (M&A)
expenditures.
Please note, M&A cannot exceed 5 percent
(5%) of the total award amount.
Identify the NPG core capabilities that are
supported by this Investment. For each of
the selected core capabilities, provide the
proposed funding amount to be obligated
from this Investment.

IV.C

IV.D

IV.E

IV.F

IV.G

Provide the proposed funding amount to be
obligated from this Investment towards the
primary Planning, Organization, Equipment,
Training, and Exercises (POETE) Solution
Area.
Each grantee must submit a detailed
budget narrative, in addition to SF-424A,
explaining related costs and expenses as a
part of the application. This budget
narrative should be detailed and should
serve to: (1) explain how the costs were
estimated, and (2) justify the needs for the
costs incurred to the measurable
achievement outcomes as stated in the
Investment Justification.
Identify up to ten projects/activities, with
start and end dates, which will be
implemented over the 24 month period of
performance. Provide the following
information:
- Project Name
- Funding Amount
- Project Management Process
- Start Month/Year
- End Month/Year
Does this Investment require new
construction or renovation, retrofitting, or
modification of existing structures?

Helpful Hints and Tips

• Confirm that the correct amount of proposed funding for this
Investment has been entered
• Funding in Questions IV.C. and IV.D. must add up to this Total
Proposed Funding Amount
• Confirm that M&A costs entered does not exceed 5 percent
(5%) of the total proposed funding amount

• Core capabilities selected should be relevant to the capability
gap(s) described in Question III.C. The score for this question
is not dependent upon the number of core capabilities
identified, although responses should be comprehensive for
the Investment
• Detailed descriptions for each NPG core capability can be
found within the NPG at http://www.fema.gov/ppd8.
Additionally, for a crosswalk of target capabilities to core
capabilities, please refer to
http://www.fema.gov/pdf/prepared/crosswalk.pdf
• Planned expenditures should be appropriate for the Solution
Area and grant program in which they are described; however,
the list of planned expenditures does not have to be
exhaustive
• Describe in the solution area summaries how the funding will
be used towards the planned expenditures, including products,
services, and activities
o Example: “For the purpose of this Investment, our planned
expenditures will include the purchase of lumber, insulation,
construction tools, roofing and plumbing materials, concrete,
and windows. Estimated personnel expenses for procuring the
equipment have been included in the estimated equipment
cost. Purchasing this equipment will be critical to achieving the
primary objective of building the house.”
• The projects/activities should demonstrate progress towards
achieving the Investment within the FY 2012 THSGP period of
performance (October 1, 2012 – September 30, 2014)
• Please reference Appendix A of this FY 2012 THSGP IJ
Reference Guide for a detailed description of the Project
Management Lifecycle

• Confirm that the appropriate response, “Yes” or “No,” from the
drop down menu has been selected

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through https://portal.fema.gov

8

V.

LAW E NFORCEMENT TERRORIS M P REVENTION ACTIVITIES (LETP A)
Question
Helpful Hints and Tips

V. Law Enforcement Terrorism Prevention Activities (N/S)
V.A

VI.

If applicable, provide the proposed funding
amount that is expected to be obligated
towards Law Enforcement Terrorism
Prevention Activities (LETPA).
Please note, at least 25 percent (25%) of
the total amount awarded to recipient must
be dedicated towards LETPA.

• For specific funding minimum requirements, please refer to
Appendix B – “Funding Guidelines” of the FY 2012 THSGP
Funding Opportunity Announcement

ACCOMP LIS HMENTS AND IMP ACT
Question

Helpful Hints and Tips

VI. Accomplishments and Impact (25%)
VI.A

Describe the outcomes that will be achieved
as a result of this Investment. The
outcomes should demonstrate
improvements towards building capabilities
described in Section III, Baseline.

VI.B

Identify the mission areas that are
supported by this Investment:

• Applicants should provide a description of the anticipated
outcomes that will be achieved during the FY 2012 THSGP
period of performance
• Applicants should indicate how the implementation of the
Investment will continue to fill capability gaps beyond the
period of performance
• Applicants should demonstrate how accomplishments will
demonstrate progress toward the overall objective of the
Investment and bridge capability gap(s) as outlined in Question
III.A
• Applicants should describe how successful maintenance and
sustainment of the capabilities identified within the Investment
will be supported to achieve long-term continuity
• The Investment should directly support at least one of the
mission areas provided
• Information related to the mission areas can be found within
the National Preparedness Goal at http://www.fema.gov/ppd8.

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through https://portal.fema.gov

9

AP P ENDIX A.
P ROJ ECT MANAGEMENT LIFECYCLE
The main steps and processes of the Project Management Lifecycle are summarized in the
below table:
Steps

Description
The authorization to begin work or
resume work on any particular
activity.

Initiate

The purposes of establishing, at an
early date, the parameters of the
project that is going to be worked
on as well as to try to delineate any
specifics and/or any peculiarities to
the project as a whole and/or any
specific phases of the project.
The period within the project
lifecycle during which the actual
work of creating the project’s
deliverables is carried out.

Plan

Execute

Process
Involves preparing for, assembling
resources and getting work started.
May apply to any level, e.g. program,
project, phase, activity, task.
Involves working out and extending
the theoretical, practical, and/or useful
application of an idea, concept, or
preliminary design. This also involves
a plan for moving a project concept to
a viable project.
Involves directing, accomplishing,
managing, and completing all phases
and aspects of work for a given
project.

Control

A mechanism which reacts to the
current project status in order to
ensure accomplishment of project
objectives. This involves planning,
measuring, monitoring, and taking
corrective action based on the
results of the monitoring.

Involves exercising corrective action
as necessary to yield a required
outcome consequent upon monitoring
performance. Or, the process of
comparing actual performance with
planned performance, analyzing
variances, evaluating possible
alternatives, and taking appropriate
correct action as needed.

Close Out

The completion of all work on a
project. Can also refer to
completion of a phase of the
project.

Involves formally terminating and
concluding all tasks, activities, and
component parts of a particular
project, or phase of a project.

THE FY 2012 THSGP REFERENCE GUIDE IS A CLARIFICATION DOCUMENT ONLY
Final FY 2012 THSGP IJ Submission should use the THSGP IJ Template and be submitted through
https://portal.fema.gov

10