U.S. DEPARTMENT OF HOMELAND SECURITY FISCAL YEAR 2012 TRIBAL HOMELAND SECURITY GRANT PROGRAM INVESTMENT JUSTIFICATION REFERENCE GUIDE FEBRUARY 2012 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 PART I. FY 2012 THSGP INVESTMENT JUSTIFICATION REFERENCE GUIDE OVERVIEW OVERVIEW OF INVESTMENT JUSTIFICATION REFERENCE GUIDE 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. GENERAL REMINDERS 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. INVESTMENT JUSTIFICATION SUBMISSION 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 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. TRANSITION FROM TARGET CAPABILITIES TO CORE CAPABILITIES 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. SUMMARY OF THE IJ REVIEW AND SCORING PROCESS 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. 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 consensus- based, constructive feedback on how applicants may be able to improve submitted Investments and/or future application submissions. OVERVIEW OF THE SCORING CALCULATION PROCESS 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 PARTICIPATING IN THE PEER REVIEW PROCESS 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. PART II. FY 2012 THSGP INVESTMENT JUSTIFICATION QUESTIONS AND HELPFUL HINTS INVESTMENT JUSTIFICATION 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. BACKGROUND Question Helpful Hints and Tips I. Background (N/S) I.A Provide the Tribe name • 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 I.B Provide the Investment name • Investment Name should help describe the purpose of the Investment 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). • 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) II. OVERVIEW Question Helpful Hints and Tips 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. • 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 II.B Identify if this Investment focuses on building new capabilities or the sustainment of existing capabilities • Confirm that the appropriate response, “Building New Capabilities” or “Sustainment of Existing Capabilities,” from the drop down menu has been selected II.C Provide a description of this Investment, including the planning, organization, equipment, training, and/or exercises that will be involved. • 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 III. BASELINE 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 all- hazards 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. • 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 III.C Explain the capability gap(s) that this Investment is intended to address. Please note, this should be linked to the all- hazards risks identified in I.C. • 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 IV. PROJECT MANAGEMENT AND MILESTONES Question Helpful Hints and Tips IV. Project Management and Milestones (25%) IV.A Provide the proposed FY 2012 THSGP funding amount for this Investment. • 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 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. • Confirm that M&A costs entered does not exceed 5 percent (5%) of the total proposed funding amount IV.C 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. • 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 IV.D Provide the proposed funding amount to be obligated from this Investment towards the primary Planning, Organization, Equipment, Training, and Exercises (POETE) Solution Area. • 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 IV.E 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. • 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.” IV.F 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: • 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 - Project Name - Funding Amount - Project Management Process - Start Month/Year - End Month/Year IV.G Does this Investment require new construction or renovation, retrofitting, or modification of existing structures? • Confirm that the appropriate response, “Yes” or “No,” from the drop down menu has been selected V. LAW ENFORCEMENT TERRORISM PREVENTION ACTIVITIES (LETPA) Question Helpful Hints and Tips V. Law Enforcement Terrorism Prevention Activities (N/S) V.A 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 VI. ACCOMPLISHMENTS AND IMPACT 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. • 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 VI.B Identify the mission areas that are supported by this Investment: • 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. APPENDIX A. PROJECT MANAGEMENT LIFECYCLE The main steps and processes of the Project Management Lifecycle are summarized in the below table: Steps Description Process Initiate The authorization to begin work or resume work on any particular activity. Involves preparing for, assembling resources and getting work started. May apply to any level, e.g. program, project, phase, activity, task. Plan 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. 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. Execute The period within the project lifecycle during which the actual work of creating the project’s deliverables is carried out. 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.