Investment Justification Planning Guide

FY_2016_HSGP_IJ_PlanningGuide_REVISED021816_FINAL.pdf

FEMA Preparedness Grants: Homeland Security Grant Program (HSGP)

Investment Justification Planning Guide

OMB: 1660-0125

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U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2016

HOMELAND SECURITY GRANT PROGRAM

INVESTMENT JUSTIFICATION PLANNING GUIDE:
INSTRUCTIONS, IJ TEMPLATE AND PROJECT INFORMATION

FEBRUARY 2016

U.S. DEPARTMENT OF HOMELAND SECURITY

CONTENTS
Part I. FY 2016 HSGP Investment Justification Instructions ........................................................ 3
Key Changes for FY 2016………………………………………………………………………….….3
Application Submission Instructions………………………………………………………………....4
Overview of the Investment Justification Template and Project Worksheet…..……………… 5
General Reminders……………………………………………………………………………………..5
Fusion Centers…………………………………………………………………………………………..5
Overview of the Law Enforcement Terrorism Prevention Activities (LETPA) Funding
Minimum Calculation…………………………………………………………………………………..6
Alignment to Core Capabilities……………………………………………………………………….7
Summary of the Application Review Process……………………………………………………….7
Part II. FY 2016 HSGP Investment Justification Template .......................................................... 9
Portfolio Information…………………………………………………………………………………..9
Specific Investment Information…………………………………………………………………….10
Part III. Project Information .......................................................................................................... 12
Individual Projects…………………………………………………………………………………….12
Appendix A. Project Management Lifecycle ................................................................................ 177

THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

PART I.
FY 2016 HSGP INVESTMENT JUSTIFICATION
INSTRUCTIONS

KEY CHANGES FOR FY 2016
Urban Areas
In the Explanatory Statement accompanying the FY 2016 Appropriation for the Department of
Homeland Security (DHS), Congress expressed its intent that the Secretary fund up to eighty-five
percent (85%) of nationwide risk. In accordance with that intent, the Secretary designated twentynine (29) Urban Areas eligible for funding under the Urban Area Security Initiative (UASI). This is
an increase from the twenty-eight (28) Urban Areas eligible in FY 2015.
Controlled and Prohibited Equipment
On January 16, 2015, President Barack Obama issued Executive Order 13688, Federal Support for
Local Law Enforcement Equipment Acquisition, to identify actions that can improve federal support
for the appropriate use, acquisition, and transfer of controlled equipment by state, local, tribal, and
territorial law enforcement agencies. The Executive Order specifically prohibits certain equipment
from being purchased with Federal funds. The prohibited and controlled equipment rules have been
included in this year’s NOFO following the direction of Executive Order 13688 and apply to all
grant recipients that request controlled equipment.
Project-Based Applications
In FY 2016, there is no limit to the number of projects that may be submitted as part of the IJ
submission or the first Biannual Strategy Implementation Report submission.
Any projects not included in the application must be included in the first BSIR submission. Please
note: For FY 2017, all projects proposed for funding must be included in the application.
Countering Violent Extremism (CVE)
The Administration has placed a priority on countering violent extremism (CVE). The
Administration’s approach to Countering Violent Extremism (CVE) echoes the whole community
approach to all-hazards preparedness and emphasizes and encourages partnerships with local
community organizations, the private sector and other relevant partners. The HSGP allows a range
of CVE activities and initiatives, and the Administration strongly encourages HSGP recipients to
consider allocating grant funding to support CVE-related programs or projects. Examples of CVErelated programs or projects are provided in the FY 2016 HSGP NOFO.

Application Submission
To ensure adequate time to complete the full application process, applicants are encouraged to
submit their initial application in http://www.grants.gov at least ten (10) days before the application
deadline. This involves submitting a complete Standard Form 424 to http://www.grants.gov. The
Standard Form 424 will be retrieved by the Non-Disaster (ND) Grants System, which will
automatically populate the relevant data fields in the application. Successful completion of this step
is necessary for DHS/FEMA to determine eligibility of the applicant. Late submissions to
Grants.gov to complete Step 1 could result in applicants missing the application deadline in Step 2.
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

Once DHS/FEMA has determined an applicant to be eligible, applicants will receive notification for
approval to proceed to Step 2, which involves submitting the full application package via the ND
Grants system.
States, territories, and Urban Areas are required to use the web-based IJ submission module
provided by DHS/FEMA in the Grants Reporting Tool (GRT) for their HSGP submission. Please
allow enough time before (or no later than 11:59:59 p.m. EDT) April 25, 2016, to complete the IJ in
the GRT. Urban Areas should work in accordance with their respective State’s timelines and
processes identified by the State Administrative Agency (SAA) to ensure the Urban Area Investment
Justification (IJ) is submitted in compliance with and by the application deadline.
For instructions on how to log into the GRT and complete the IJ, please reference the GRT
Investment Justification Submission Technical User’s Guide located at
https://www.reporting.odp.dhs.gov/. The Guide can be accessed on the first screen once a valid
userid and password have been entered. After the application has been marked ‘complete’ in the
GRT, SAAs on behalf of applicants must upload the IJs as attachments with the application in the
ND Grants system located at https://portal.fema.gov. Please note that applicants should ensure that
the IJ accounts for all funds requested by the applicant and the total funding requested does not
exceed the funding allocations included in the FY 2016 HSGP Notice of Funding Opportunity
(NOFO).
In ND Grants, applicants will be prompted to submit all of the information contained in the
following forms:
•
Standard Form 424A, Budget Information (Non-construction)
•
Standard Form 424B, Standard Assurances (Non-construction)
•
Standard Form 424D, Standard Assurances (Construction)
•
Standard Form LLL, Disclosure of Lobbying Activities (if the recipient has engaged or
intends to engage in lobbying activities)
•
Standard Form 424C, Budget Information (Construction) if applying for grants to support
construction;
•
Investment Justification; and
•
Indirect Cost Agreement, if applicable.
If assistance is needed to register in the ND Grants system, please contact [email protected] or
(800) 865-4076.
Each state’s IJ must include at least one and up to 10 individual investments, and each investment
must include at least one project which describes the activities the state will implement with SHSP
funds. Of the up to 10 Investments, applicants are required to propose one (1) single investment in
support of a designated fusion center, as designated by the Governor of the State.
Each Urban Area’s IJ must include at least one and up to 10 individual investments, and each
investment must include at least one project, which describe the activities the Urban Area will
implement with UASI funds. If applicable, of the up to 10 Investments, Urban Areas are required to
propose one (1) single investment in support of a designated fusion center within the Urban Area. If
UASI funds are used by the SAA in support of the Urban Area, the SAA must as part of the up to 10
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

Investments under UASI, propose an investment describing how UASI funds will be used by the
SAA to directly support the Urban Area.
Lastly, applicants must ensure that the total estimated funding amounts across all investments should
not exceed the SHSP and UASI program allocations as published in the FY 2016 HSGP NOFO.

OVERVIEW OF THE IJ TEMPLATE AND PROJECT WORKSHEET
The FY 2016 HSGP IJ Template provides applicants with an optional, MS Word formatted
document, to assist in developing the first two sections of each Investment to be included as part of
the final IJ. The IJ Project Worksheet is an MS Excel document that provides the applicants with a
single table for organizing the information required for all projects.
The IJ Template and Project Worksheet are only preparatory tools. States, territories, and Urban
Areas are required to use the web-based IJ submission module provided by DHS/FEMA in the
Grants Reporting Tool (GRT) to submit their FY 2016 HSGP IJ submission. Each applicant’s
official IJ submission module is located on the GRT at https://www.reporting.odp.dhs.gov/.

GENERAL REMINDERS
The information in this Planning Guide only applies to State Homeland Security Program (SHSP)
and Urban Area Security Initiative (UASI) applicants. Therefore, this is not applicable to the
Operation Stonegarden (OPSG) program. For application instructions for the FY 2016 OPSG
Program, applicants should refer to the FY 2016 HSGP NOFO.
Applicants can register early with ND Grants and are encouraged to begin their ND Grants
registration at the time of publication of the FY 2016 NOFO. Early registration will allow applicants
to have adequate time to start and complete their application. The application must be completed and
final submission made through the ND Grants system located at https://portal.fema.gov.

Fusion Centers
Applicants are required to consolidate all fusion center related funding requests into a single
investment per funding source (e.g., SHSP, UASI) in which recognized fusion centers reside. The
consolidated fusion center Investment per funding source must address funding support for the
recognized fusion center (for a list of recognized fusion centers, please refer to
http://www.dhs.gov/files/programs/gc_1301685827335.shtm).
Recipient must coordinate with the fusion center when developing a fusion center investment prior
to submission and the investment requests must directly align to and reference any target capabilities
identified during the center’s individual 2015 Fusion Center Assessment Report. For additional
information, please refer to the FY 2016 HSGP NOFO.

OVERVIEW OF THE LAW ENFORCEMENT TERRORISM PREVENTION ACTIVITIES
(LETPA) FUNDING MINIMUM CALCULATION
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

Per section 2006 of the Homeland Security Act of 2002, as amended, (6 U.S.C. § 607), FEMA is
required to ensure that at least 25 percent (25%) of grant funding appropriated for the Homeland
Security Grant Program are used for law enforcement terrorism prevention activities. FEMA meets
this requirement, in part, by requiring all SHSP and UASI recipients to ensure that at least 25
percent (25%) of grant funding appropriated for grants awarded under HSGP’s authorizing statute is
used for law enforcement terrorism prevention activities. The LETPA allocation can be from SHSP,
UASI or both. This requirement does not include award funds from OPSG. The 25% LETPA
allocation is in addition to the 80% pass through requirement to local units of government and Tribes
referenced in the FY 2016 HSGP NOFO.
The National Prevention Framework describes those activities that should be executed upon the
discovery of intelligence or information regarding an imminent threat to the homeland, in order to
thwart an initial or follow on terrorist attack, and provides guidance to ensure the Nation is prepared
to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National
Prevention Framework are eligible for use of LETPA focused funds. In addition, where capabilities
are shared with the protection mission area, the National Protection Framework activities are also
eligible. Other terrorism prevention activities proposed for funding under LETPA must be approved
by the FEMA Administrator.

ALIGNMENT 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 (the “Goal”) are the distinct critical elements necessary for our success.
The core capabilities listed in the Goal are supported by the National Incident Management Systems
(NIMS). NIMS ensures that the whole community is using common terminology.
FY 2016 HSGP applicants will be required to align each project in each investment to one of the
core capabilities within the NPG. Applicants must also identify additional characteristics related to
the specified capability, or the assets and activities within the project that support that capability.
Resource Typing
As part of the description for each project, the applicant must identify whether the project supports a
NIMS typed resource. Applicants should refer to Resource Typing Library Tool located at
http://www.fema.gov/resource-management to select specific typed resources. Resource typing is
categorizing, by capability, the resources requested, deployed and used in incidents. Measurable
standards identifying resource capabilities and performance levels serve as the basis for categories.
Resource users at all levels use these standards to identify and inventory resources. Resource kinds
may be divided into subcategories to define more precisely the capabilities needed to meet specific
requirements.
Deployable
Identifies the availability and utility of an asset to multiple jurisdictions, regions, and the Nation;
provides information on mobility of assets in an area. An asset that is physically mobile and can be
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

used anywhere in the United States and territories via Emergency Management Assistance Compacts
or other mutual aid/assistance agreements.
Shareable
Provides information on the utility of a non-deployable shared asset in a region; identifies the asset's
ability to augment and sustain a reinforced response within a region. An asset that can be utilized as
a local, state, regional, or national capability, but is not physically deployable (i.e., fusion centers).
Building Capability/Sustaining Capability
Building refers to activities that start a new capability or increase a capability. Sustaining refers to
activities that maintain a capability at its current level. This project attribute contributes to the risk
and gap analysis of the applicant and the Federal reviewers. It will assist DHS/FEMA in measuring
progress towards National Preparedness Goal.

SUMMARY OF THE APPLICATION REVIEW PROCESS
Review Criteria
FY 2016 HSGP applications will be evaluated through a review process for completeness, adherence
to programmatic guidelines, and anticipated effectiveness of the proposed investments. Applicants
will be required to align all IJs to at least one core capability identified in the Goal. Descriptions of
projects should be clear and concise and should include whether the project supports a NIMS typed
resource and whether assets are deployable/shareable. The grant funded activities of every project
must align to the HSGP solution areas: Planning, Organization, Exercises, Training and/or
Equipment (POETE). A project may have activities in more than one solution area.
Grant projects must be: 1) both feasible and effective at reducing the risks for which the project was
designed; and 2) able to be fully completed within the 3-year period of performance.
FEMA will use the information provided in the application and after the submission of the first
BSIR, to determine the feasibility and effectiveness of the grant project. Information that would
assist in the feasibility and effectiveness determination includes the following:
• Scope of work (purpose and objectives of the project, identification of what is
being protected, identification of core capability addressed and whether the core
capability is identified in the SPR, where applicable, as a priority);
• Desired outcomes, including expected long-term impact where applicable, and
discussion of which core capability gap it helps to close and how;
• Summary of status of planning and design accomplished to date (e.g. included in
a capital improvement plan); and
• Project schedule
Recipients are expected to conform, as applicable, with accepted engineering practices, established
codes, standards, modeling techniques, and best practices.
Review and Selection Process
To ensure the effectiveness of proposed investments and projects, all applications will undergo a
federal review. The federal review will be conducted by HQ Program Analysts. HQ Program
Analysts will use a checklist to verify compliance with all administrative and eligibility criteria
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

identified in the NOFO. Additionally using previously submitted SPR data, HQ Program Analysts
will verify alignment of the proposed investments and projects to gaps identified through the
THIRA/SPR process and national priorities identified in the NPR. IJs will be reviewed at both the
investment and project level. The IJ will receive either an approval or conditional approval. Those
IJs that are conditionally approved must be revised and must receive final approval prior to access to
full funding.
Fusion center investments will be jointly reviewed by FEMA and the DHS Office of Intelligence
and Analysis (I&A) for compliance with HSGP NOFO requirements to prioritize the alignment of
requests with results from the annual Fusion Center Assessment Program. Investments that do not
meet the requirements will be revised and must receive approval prior to accessing funds allocated
to fusion center activities.

Burden Disclosure Notice: Form 089-1
Public reporting burden for this form is estimated to average 1488.5 hours per response. The burden estimate includes the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and submitting the
form. This collection of information is required to obtain or retain benefits. You are not required to respond to this collection of
information unless it displays a valid OMB control number. Send comments regarding the accuracy of the burden estimate and any
suggestions for reducing the burden to: Information Collections Management, Department of Homeland Security, Federal Emergency
Management Agency, 500 C Street, SW, Washington, DC 20472, Paperwork Reduction Project (1660-0125) NOTE: Do not send
your completed form to this address.

PART II.
FY 2016 HSGP INVESTMENT JUSTIFICATION
PLANNING TEMPLATE
The IJ Template is useful for the Portfolio and Investment Questions. For the project section, the
applicant should use the Project Worksheet. The template allows applicants to take advantage of
spelling and grammar as well as character count functions available in MS Word during the IJ
development. To ensure adherence with formatting requirements, applicants are strongly
encouraged to utilize these functions prior to copying text from MS Word to the GRT. Please note
that character count limits include spacing and all forms of punctuation. To simplify the transfer of
the narrative information section into NDgrants, it is also recommended that the applicant save a
working copy of this document and delete pages 1-8 and pages 13-21.

PORTFOLIO INFORMATION
The portfolio provides the overall context for the investments and projects included in the
application. The applicant must answer the two portfolio questions only once.
I.A. Discuss at a broad level the principle hazards, risk and capability gaps that the following
investments will be addressing.
A 2500 character limit is allowed for this response.
Guidance for Completing this Section: Applicants should briefly describe the spectrum of all-hazard
risks the applicant faces. The description should provide the framework for all Investments provided
within the IJ. Per the Homeland Security Act of 2002, as ameneded, applicants must demonstrate how
the IJ will contribute to building and/or sustaining core capabilities and assist in preventing, preparing
for, protecting against, and responding to acts of terrorism. Applicants are also encouraged to align
their IJ with their State and Urban Area homeland security strategies and priorities.

I.B. Identify the amount and percentage of funding that will be allocated for Management and
Administration expenditures.
Note: The Total M&A Amount and Total M&A Percentage will not be automatically calculated in
the table below. The GRT will automatically calculate the total when applicants transfer their
answers. The total M&A percentage may not exceed five percent (5%) of the allocated funding.
Please note that M&A should be calculated at the portfolio level per funding source (e.g., SHSP,
UASI) and not at the individual Investment level.
Request
Amount

Program
SHSP
UASI
Total:

$
$
$

M&A
Amount
$
$
$

Subtotal
(Request Amount +

M&A
Percentage
%
%
%

$
$
$

SPECIFIC INVESTMENT INFORMATION
The applicant must answer the following questions for every investment.
II.A

Provide the FY 2016 Investment name: (100 character max)

II.B

Provide the applicant name: (State/territory or Urban Area) (100 character max)

II.C What is the funding source for this investment: Each investment must identify a unique
programmatic funding source. If a project will use multiple sources of funding, separate the
amounts of funding from each source under different investments. If UASI funds are used by the
SAA in support of the Urban Area, the SAA must, as part of the up to 10 UASI investments, propose
an investment describing how UASI funds will be used by the SAA to directly support the Urban
Area.
Funding Source
Proposed Funding Source (Select
One)
FY 2015 Proposed Amount

Funding Amount
SHSP or UASI

$
$

II.D Is this the consolidated fusion center investment? (Double-click to place an “X” in the
corresponding box. Within the GRT, this will be a drop-down menu.)
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

Yes

Please note that all fusion center-related funding requests must be consolidated into a single
investment per funding source (e.g., SHSP, UASI) in which recognized fusion centers reside. The
consolidated fusion center Investment per funding source must address funding support for the
recognized fusion center (For a list of recognized fusion centers, please see
http://www.dhs.gov/files/programs/gc_1301685827335.shtm).
II.E How much of this Investment will be obligated towards Law Enforcement Terrorism
Prevention Activities (LETPA):
$
Per section 2006 of the Homeland Security Act of 2002, as amended, (6 U.S.C. § 607), FEMA is
required to ensure that at least 25 percent (25%) of grant funding appropriated for the Homeland
Security Grant Program are used for law enforcement terrorism prevention activities. FEMA meets
this requirement, in part, by requiring all SHSP and UASI recipients to ensure that at least 25
percent (25%) of grant funding appropriated for grants awarded under HSGP’s authorizing statute is
used for law enforcement terrorism prevention activities. The LETPA allocation can be from SHSP,
UASI or both. This requirement does not include award funds from OPSG.
II.F Describe how the THIRA, SPR, and Capabilities Estimation influenced the development
of this investment.
A 2500 character limit is allowed for this response.
Guidance for Completing this Section:
At a high level, applicants should identify the relevant portions of their THIRA, SPR and Capability
Estimation that the majority of the activities within this investment will address. The applicant should
use page numbers and identify specific sections of the THIRA to aid the reviewer in the analysis of the
response provided.
Then applicants must identify how the proposed investment will address one of the capability gaps
identified in the most recent SPR. The specific capability gap and its priority as found in the SPR must
be noted in the IJ. The applicant should then specifically describe why those proposed activities outlined
within the IJ are a priority for the applicant.

PART III.
PROJECT INFORMATION
All of the requested funding must be associated with specific projects. For each project several
pieces of information, or attributes, must be provided in order to submit the project for consideration
in the application. The tables below list each attribute, followed by a description and a set of
instructions for the applicant to follow to provide the appropriate information.
To prepare for completing the IJ in the GRT, applicants should utilize the Project Worksheet
(fema.gov/grants) to plan their applications and to record the necessary information for each project.
The Project Worksheet is divided into two tabs: ‘Baseline Project Information’ and ‘Project
Implementation’. Once the applicant provides a name for a project on the ‘Baseline Project
Information’ tab, the name will auto-populate on the ‘Project Implementation’ tab.
The Project Worksheet provides dropdown selections for several of the project attributes. The
applicant may then use the information collected in the worksheet for rapid transfer to the GRT
interface. Each project will be given a unique identifier as it is submitted via the GRT. Recipients
should keep a record of the project identifiers as they will be required to report on each project using
that identifier.

INDIVIDUAL PROJECTS
III.A. Project Alignment to Core Capability Gaps
The first section of project attributes contains basic information about how the projects support or
build core capabilities. All of these attributes are required for every project. If an attribute is left
blank in the GRT an error message will appear and the applicant will not be able to submit the
application.
The GRT will provide a list of sub-recipients from previous awards. Alternatively, the applicant will
have the opportunity to add a new sub-recipient to the list. The attribute of ‘Sub-recipient type’ will
be auto-populated based on the sub-recipient selection. The applicant must ensure that 80% of the
award funds are passed through to local entities.
For additional information on the NPG and Core Capabilities, please visit
http://www.fema.gov/pdf/prepared/npg.pdf.

Attribute
Name

Description

Project
Name

Descriptive Identifier of the
Project

Project
Description

Descriptive Narrative of the
Project

SubRecipient
Name

Organization Name of the
Sub-recipient who will be
executing the project
State or Local recipient for
purposes of meeting the 80%
pass through requirement

Recipient
Type
Project
Location

Zip code of the primary
location of the project

Primary
Core
Capability

Primary Core Capability that
the Project will impact

Sustain or
Build

Indicates whether the project
will sustain or build a core
capability

Deployable

Shareable

Indicates if the assets or
activities of the project are
deployable to other states.
Indicates if the assets or
activities of the project are
shareable within the state or
with other states because the
activities assets are not
physically deployable.

Application Instructions
Provide a title for specified project (100 character
max). Title must reflect nature of work to be
completed under the project.
Provide a brief narrative describing the project at a
high level. (1500 chars.) Identify the NIMS typed
resource if any, that is supported by this project.
Refer to the Resource Typing Library Tool at
http://www.fema.gov/resource-management.
Select the name of state agency or suborganization receiving award funds or create a
new sub-recipient.
This attribute will auto populate in the GRT based
on what state agency or sub-recipient is selected.
Provide the 5-digit zip code where the project will
be executed. The project location could be distinct
from the sub-recipient address.
Every project must support a Core Capability.
Select the primary core capability associated with
this project.
Select "build" if this project focuses on starting a
new capability or the intent of the project is to
close a capability gap (i.e. taking the core
capability as a whole from an SPR score 1 to a 2),
or "sustain" if the purpose of the project strictly
maintains a core capability at its existing current
level (i.e. the project does not move the core
capability as a whole neither up nor down from its
existing SPR score).
Is the core capability supported by this project
deployable to other jurisdictions? (Yes/No)

Is the core capability supported by this project
shareable with other jurisdictions? (Yes/No)

III.B. Project Alignment to Solution Areas
The grant funded activities of every project must align to the HSGP solution areas: Planning,
Organization, Exercises, Training and/or Equipment (POETE). A project may have activities in
more than one solution area. For the POETE funding amounts the GRT will automatically calculate
the Total Amount as you enter funding amounts. For additional information on the allowable cost
categories, please refer to the FY 2016 HSGP NOFO.
Attribute
Name

Description

Application Instructions

Planning

Dollar Amount of the Project
supporting Planning

Identify the amount of funds in the project that
will be for planning activities.

Organization

Dollar Amount of the Project
supporting Organization

Identify the amount of funds in the project that
will be for organization activities.

Equipment

Dollar Amount of the Project
supporting Equipment

Identify the amount of funds in the project that
will be for the purchase of equipment.

Training

Dollar Amount of the Project
supporting Training

Identify the amount of funds in the project that
will be for training activities.

Exercises

Dollar Amount of the Project
supporting Exercises

Identify the amount of funds in the project that
will be for exercise activities.

Total

Total dollar amount for the
project.

Automatically generated by the GRT from the
sum of the POETE cost categories.

III.C. Project Implementation and Management
For every project, identify the baseline for project implementation according to whether it builds on
a previous investment. Not all projects will be linked to previous investments. Next, determine the
appropriate project management phase. For new projects, this will likely be the ‘initiate’ or
‘planning’ phase. However, if the project builds on a previous investment, the project may be in a
more advanced ‘execution’ or ‘control’ phase. As the project is implemented the recipient will be
expected to report on the progress of the project through the management phases. Please reference
Appendix A for a detailed description of the Project Management Lifecycle.
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov or the ND Grants System
Please transfer all responses completed in this worksheet to the IJ Submission module in the
Grants Reporting Tool at https://www.reporting.odp.dhs.gov/

The applicant will then be required to provide start and end dates for the project, within the 36
month period of performance. Finally, indicate whether the activities of the project will require new
construction or renovation, retrofitting, or modification of existing structures. This project attribute
is required as some project activities may require extensive environmental review which can affect
when implementation can begin.
Attribute
Name

Description

Application Instructions

Does the Project
Support a
Previously
Awarded
Investment?

Indicates if the project is
related to an investment
awarded in a previous
year.

Select yes if the current project is a continuation
of an existing investment that has used grant funds
for implementation from previous DHS/FEMA
awards.

If yes, from
which year?

Fiscal Year of the
previous award.

If Yes, which
investment?

The previously awarded
investment that the
project supports.

What is the Last
Completed
milestone of the
previous
investment?

A description of the last
completed milestone
from the previously
awarded investment.

Please refer to the investment identified above and
then identify the last completed milestone from
that investment. (250 char.)

Project
Management
Step

The current Project
Lifecycle phase of the
previously awarded
investment, or the new
project.

Select the most applicable step. Refer to the
appendices of the investment justification guide
for a discussion of the standard project
management steps and principles.

Start Date

Start Date of the
Project/Previously
Awarded Investment

End Date

End Date of the
Project/Previously
Awarded Investment

If the project is a continuation of a previous
investment, select the award year of that
investment. If not, proceed to the Project
Management Step question.
If the project is a continuation of a previous
investment, select the specific investment from the
list.

Provide the approximate start date of the project,
based on the expected notification of an award. If
the project is a continuation of a previous
investment, provide the approximate start date of
that investment.
Provide the approximate end date of the project. If
the end date is the end of the expected period of
performance, provide that.

Construction
Activity

Indicates whether
activities of the project
will involve construction, Select yes if the project may involve construction
renovation, retrofitting or related activity.
modifications to an
existing structure.

APPENDIX A.
PROJECT MANAGEMENT LIFECYCLE
The standard definition of a project is a temporary endeavor with a defined beginning and end
(usually time-constrained, and often constrained by funding or deliverables), undertaken to meet
unique goals and objectives, typically to bring about beneficial change or added value. Applying this
standard to projects using preparedness grant funds, a project is a related set of activities and
purchases supporting the building or sustaining of core capabilities, and is associated with a single
entity responsible for execution.
This approach will allow DHS/FEMA and recipients to categorize the grant funded project as a
discrete unit for post-award management, reporting, and monitoring purposes. The main steps and
processes of the Project Management Lifecycle are summarized in this table:
Steps
Initiate

Plan

Execute

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

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.
For additional information on the Project Management Lifecycle, please visit Project Management
Institute’s (PMI) A Guide to the Project Management Body of Knowledge (PMBOK Guide) at
http://www.pmi.org/PMBOK-Guide-and-Standards.aspx. Specifically, applicants are encouraged to
reference Chapter three of the PMBOK Guide, The Standard for Project Management of a Project.
THIS GUIDE MAY NOT BE SUBMITTED TO http://www.grants.gov
Please transfer all responses completed in this worksheet to the IJ Submission module in the Grants
Reporting Tool at https://www.reporting.odp.dhs.gov.

File Type	application/pdf
File Title	FY 2016 HSGP Investment Justification Planning Guide
Author	Miriam Yohannes Montgomery
File Modified	2016-02-18
File Created	2016-02-18