FY 2016 THSGP NOFO Guidance

The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2016 Tribal Homeland Security Grant Program (THSGP)
NOTE: Eligible recipients who plan to apply for this funding opportunity and have not
obtained a Data Universal Numbering System (DUNS) number and/or are not currently
registered in the System for Award Management (SAM), should take immediate action to
obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may
take 4 weeks or more after the submission of a SAM registration before the registration
becomes active in SAM, then an additional 24 hours for Grants.gov to recognize the
information. Information on obtaining a DUNS number and registering in SAM is
available from Grants.gov at: http://www.grants.gov/web/grants/register.html. Detailed
information regarding DUNS and SAM is also provided in Section D of this NOFO, subsection,
Content and Form of Application Submission.
A.

Program Description
Issued By
U.S. Department of Homeland Security (DHS), Federal Emergency Management Agency
(FEMA), Grant Programs Directorate (GPD)
Catalog of Federal Domestic Assistance (CFDA) Number
97.067
CFDA Title
Homeland Security Grant Program
Notice of Funding Opportunity Title
Tribal Homeland Security Grant Program
NOFO Number
DHS-16-GPD-067-000-02
Authorizing Authority for Program
Section 2005 of the Homeland Security Act of 2002, as amended (Pub. L. No. 107-296),
(6 U.S.C. § 606)
Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 2016 (Pub. L. No. 114-113)
Program Type
New

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FY 2016 THSGP NOFO

Program Overview, Objectives, and Priorities
Overview
The Fiscal Year (FY) 2016 THSGP plays an important role in the implementation of the
National Preparedness System by supporting the building, sustainment, and delivery of
core capabilities essential to achieving the National Preparedness Goal (the Goal) of a
secure and resilient Nation. Delivering core capabilities requires the combined effort of
the whole community, rather than the exclusive effort of any single organization or level
of government. The FY 2016 THSGP’s allowable costs support efforts to build and
sustain core capabilities across the Prevention, Protection, Mitigation, Response, and
Recovery mission areas described in the Goal. The THSGP supports the Quadrennial
Homeland Security Review Mission to Strengthen National Preparedness and Resilience.
Objectives
The objective of THSGP is to implement the National Preparedness System and support
efforts that build and sustain core capabilities such as:
•
•
•
•
•
•
•

Advancing whole community approach to security and emergency management
Strengthening a state or tribal community’s emergency management program
Strengthening governance integration by working with local and regional
preparedness partners
Developing or updating emergency, response, and recovery plans
Completing the Threat and Hazard Identification and Risk Assessment (THIRA)
process
Designing and conducting exercises that engage whole community of
stakeholders and validate core capabilities
Conducting training

Priorities
The anticipated effects of the THSGP grant funds are to increase the ability of Tribes to
prevent, prepare for, protect against, and respond to acts of terrorism, to meet their
capability targets, and to otherwise reduce the overall risk to Tribes, high-risk urban
areas, states, and the Nation.
For additional information on program priorities and objectives for the FY 2016 THSGP,
refer to Appendix A – FY 2016 THSGP Priorities.
B.

Federal Award Information
Award Amounts, Important Dates, and Extensions
Available Funding for the THSGP:
Period of Performance:

$10,000,000
Thirty-six (36) months

Extensions to the period of performance are allowed. For additional information on
period of performance extensions, refer to Section H of this NOFO, Additional
Information - Extensions.
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Projected Period of Performance Start Date(s): September 1, 2016
Projected Period of Performance End Date(s):
Funding Instrument:
C.

August 31, 2019

Grant

Eligibility Information
Eligible Applicants
Directly eligible Tribes
Eligibility Criteria
In order to be eligible to receive THSGP funding, recipients must be directly eligible
Tribes. Directly eligible Tribes are Federally recognized Tribes that meet the criteria set
forth in Section 2001 of the Homeland Security Act of 2002, as amended, (6 U.S.C. §
601).
Federally recognized Tribes are those Tribes appearing on the list published by the
Secretary of the Interior pursuant to the Federally Recognized Indian Tribe List Act of
1994 (Pub. L. No. 103-454) (25 U.S.C. § 479a-1).
Per 6 U.S.C. § 601(4), a “directly eligible Tribe” is any federally recognized Indian Tribe
that meets the following criteria:
(A)

Any Indian Tribe (i)
that is located in the continental United States;
(ii)
that operates a law enforcement or emergency response agency
with the capacity to respond to calls for law enforcement or
emergency services;
(iii)
a. that is located on or near (50 miles) an international border or a
coastline bordering an ocean (including the Gulf of Mexico) or
international waters;
b. that is located within 10 miles of a system or asset included on
the prioritized critical infrastructure list established under
section 210E(a)(2) [of the Homeland Security Act of 2002, as
amended] or has such a system or asset within its territory;
c. that is located within or contiguous to one of the 50 most
populous metropolitan statistical areas in the United States; or
d. the jurisdiction of which includes not less than 1,000 square
miles of Indian country, as that term is defined in section 1151
of title 18, United States Code; and
(iv)
that certifies to the Secretary [of Homeland Security] that a State
has not provided funds under section 2003 [UASI] or 2004 [SHSP]
of [the Homeland Security Act of 2002, as amended] to the Indian
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Tribe or consortium of Indian Tribes for the purpose for which
direct funding is sought; and
(B)

A consortium of Indian Tribes, if each Tribe satisfies the requirements of
subparagraph (A).

In summary, directly eligible Tribes must meet the requirements set forth in (A) (i), and
(A) (ii), and (A) (iv). Tribes must also meet one of the requirements set forth in (A) (iii);
either (A) (iii) (a), or (A) (iii) (b), or (A) (iii) (c), or (A) (iii) (d). Finally, the requirement
in (B) may also be satisfied, if each Tribe satisfies the requirements of subparagraph (A).
In FY 2016, applicants must self-certify as to whether they meet the eligibility
requirements. Self-certification will be provided on the THSGP Eligibility Certification
Form as part of application Investment Justification (IJ). Additionally, DHS/FEMA will
verify grant recipient eligibility against this criteria. Any questions regarding an
applicant’s proximity to a Critical Infrastructure (CI) site, as described in the eligibility
criteria, may be directed to the State Administrative Agency (SAA) for the state with
which the Tribal Nation shares a border. The State Administrative Contacts List can be
found at http://www.fema.gov/media-library/assets/documents/28689?id=6363.
Other Eligibility Criteria
National Incident Management System (NIMS) Implementation
Prior to allocation of any federal preparedness awards in FY 2016, recipients must ensure
and maintain adoption and implementation of NIMS.
Emergency management and incident response activities require carefully managed
resources (personnel, teams, facilities, equipment and/or supplies) to meet incident needs.
Utilization of the standardized resource management concepts such as typing,
credentialing, and inventorying promote a strong national mutual aid capability needed to
support delivery of core capabilities. Additional information on resource management
and NIMS resource typing definitions and job titles/position qualifications is available on
FEMA’s website under NIMS Resource Management.
DHS/FEMA developed NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes, and
identifies tools which Federal Emergency Response Officials (FEROs) and emergency
managers at all levels of government may use both routinely and to facilitate
multijurisdictional coordinated responses.
Although state, local, tribal, and private sector partners—including nongovernmental
organizations—are not required to credential their personnel in accordance with these
guidelines, DHS/FEMA strongly encourages them to do so in order to leverage the
federal investment in the Federal Information Processing Standards (FIPS) 201
infrastructure and to facilitate interoperability for personnel deployed outside their home
jurisdiction. Additional information is available from the http://www.fema.gov/nimsdoctrine-supporting-guides-tools.
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Cost Share or Match
Cost share or cost match is not required under this program.
D.

Application and Submission Information
Key Dates and Times
Date Posted to Grants.gov:

February 16, 2016

Application Submission Deadline:

April 25, 2016 at 11:59:59 PM EDT

All applications must be received by the established deadline. The Non-Disaster (ND)
Grants System has a date stamp that indicates when an application is submitted.
Applicants will receive an electronic message confirming receipt of the full application.
In general, DHS/FEMA will not review applications that are not received by the deadline
or consider them for funding. DHS/FEMA may, however, extend the application
deadline on request for any applicant who can demonstrate that good cause exists to
justify extending the deadline. Good cause for an extension may include technical
problems outside of the applicant’s control that prevent submission of the application by
the deadline, or other exigent or emergency circumstances. Applicants experiencing
technical issues, must notify the respective Headquarters (HQ) Program Analyst as soon
as possible.
Anticipated Funding Selection Date:

June 29, 2016

Anticipated Award Date:

No later than September 30, 2016

Other Key Dates:
Event

Suggested Deadline For
Completion

Obtaining DUNS Number
Obtaining a valid EIN
Updating SAM registration

March 18, 2016
March 18, 2016
March 18, 2016

Submit initial application in Grants.gov
Submit application in ND Grants

April 15, 2016
April 25, 2016

Address to Request Application Package
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.gov , select “Applicants” then “Apply for Grants.” In
order to obtain the application package select “Download a Grant Application Package.”
Enter the CFDA and/or the funding opportunity number located on the cover of this
NOFO, select “Download Package,” and then follow the prompts to download the
application package.
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Applicants experiencing difficulties accessing information or which have any questions
should call the Grants.gov customer support hotline at (800) 518-4726.
A hardcopy of the NOFO is not available.
In addition, the following Telephone Device for the Deaf (TDD) and/or Federal
Information Relay Service (FIRS) number available for this Notice is: (800) 462-7585.
Content and Form of Application Submission
Applying for an award under this program is a multi-step process and requires time to
complete. To ensure that an application is submitted on time applicants are advised to
start the required steps well in advance of their submission. Please review the table
above under Submission Dates and Other Key Dates and Times for estimated deadlines to
complete each of the six steps listed below. Failure of an applicant to comply with any of
the required steps before the deadline for submitting their application may disqualify their
application from funding.
The steps involved in applying for an award under this program are:
1. Applying for, updating or verifying their Data Universal Numbering System
(DUNS) Number;
2. Applying for, updating or verifying their Employer Identification Number
(EIN) Number;
3. Updating or verifying their System for Award Management (SAM)
Registration;
4. Establishing an Authorized Organizational Representative (AOR) in
Grants.gov;
5. Submitting an initial application in Grants.gov; and
6. Submitting the complete application in ND Grants system.
For additional information regarding the DUNS Number, EIN Number, SAM Number,
and AOR requirements, please see the section below entitled Unique Entity Identifier and
System for Award Management (SAM).
Unique Entity Identifier and System for Award Management (SAM)
Before applying for a DHS grant at Grants.gov, applicants must have a DUNS number,
be registered in SAM, and be approved as an AOR.
Applicants are encouraged to register early. The registration process can take
four weeks or more to be completed. Therefore, registration should be done in
sufficient time to ensure it does not impact the applicant’s ability to meet required
submission deadlines.
Obtain an Employer Identification Number (EIN)
FEMA requires both the EIN and a DUNS number prior to the issuance of a financial
assistance award and for grant award payment; both EIN and DUNS are also required to
register with SAM (see below). The EIN base for an organization is the Internal Revenue
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Service (IRS) Tax ID number, for individuals it is their social security number, (both the
EIN and social security number are nine-digit numbers). Organizations and individuals
submitting their applications must correctly differentiate the EIN from the DUNS since
both are nine-digit numbers. If these numbers are not correctly identified in the
application, a delay in the issuance of the funding award or incorrect payment to a
recipient organization may result.
Organizations applying for an EIN should plan on a minimum of two full weeks to obtain
an EIN. For assistance registering an EIN, please contact the IRS helpline. DHS/FEMA
cannot assist applicants with questions related to obtaining a current EIN.
Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number
The DUNS number must be included in the data entry field labeled "Organizational
DUNS" on the SF-424 form. Instructions for obtaining a DUNS number can be found at
the following website: http://www.grants.gov//web/grants/applicants/organizationregistration/step-1-obtain-duns-number.html.
The applicant must provide a DUNS number with their application. This number is a
required field for all subsequent steps in the application submission. Applicants should
verify they have a DUNS number, or take the steps necessary to obtain one.
Applicants can receive a DUNS number at no cost by calling the DUNS number request
line at (866) 705-5711. DHS/FEMA cannot assist applicants with questions related to
obtaining a current DUNS number.
Register with the System for Award Management (SAM)
Applicants applying for grant funds electronically through Grants.gov must register with
the Federal System for Award Management (SAM). Step-by-step instructions for
registering with SAM can be found here:
http://www.grants.gov/web/grants/applicants/organization-registration/step-2-registerwith-sam.html. All applicants must register with SAM in order to apply online. Failure
to register with the SAM will result in the application being rejected by Grants.gov
during the submissions process.
Payment under any DHS/FEMA award is contingent on the recipient’s having a current
SAM registration. The SAM registration process must be completed by the applicant. It
is imperative that the information provided by the applicant is correct and current. Please
ensure that the organization’s name, address, DUNS number and EIN are up to date in
SAM and that the DUNS number used in SAM is the same one used to apply for all other
DHS/FEMA awards.
SAM registration is a multi-step process including validating the EIN with the IRS to
obtain a Commercial and Government Entity (CAGE) code. The CAGE code is only
valid for one year after issuance and must be current at the time of application.
SAM sends notifications to the registered user via email 60, 30, and 15 days prior to
expiration of the SAM registration for the Entity. SAM registration may lapse due to
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inactivity. To update or renew Entity records(s) in SAM, applicants will need to create a
SAM User Account and link it to the migrated Entity records.
For assistance registering, please go to SAM or call 866-606-8220. DHS/FEMA cannot
assist applicants with questions related to registering in SAM or obtaining a current
CAGE code.
Authorized Organization Representative (AOR)
The next step in the registration process is creating a username and password with
Grants.gov to become an AOR. AORs will need to know the DUNS number of the
organization for which they will be submitting applications to complete this process. To
read more detailed instructions for creating a profile on Grants.gov visit:
http://www.grants.gov/web/grants/applicants/organization-registration/step-3-usernamepassword.html.
AOR Authorization
After creating a profile on Grants.gov, the E-Biz Point of Contact (POC), a representative
from the applicant organization who is the contact listed for SAM, will receive an email
to grant the AOR permission to submit applications on behalf of the organization. The EBiz POC will then log in to Grants.gov and approves an applicant as the AOR, thereby
granting permission to submit applications. To learn more about AOR Authorization
visit: http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aorauthorization.html. To track an AOR status visit:
http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aorstatus.html.
Applicants are encouraged to register early. The registration process can take four weeks
or more to be completed. Therefore, registration should be done in sufficient time to
ensure it does not j required submission deadlines. Approval as an AOR is necessary in
order to submit applications online.
Electronic Signature
Applications submitted through Grants.gov constitute a submission as electronically
signed applications. The registration and account creation with Grants.gov with E-Biz
POC approval, establishes an AOR. When submitting the application through
Grants.gov, the name of the applicant’s AOR will be inserted into the signature line of
the application. Applicants must register the individual who is able to make legally
binding commitments for the applicant organization as the AOR; this step often is
overlooked and it is crucial for valid submissions.
DHS/FEMA may not make a THSGP award to an applicant until the applicant has
complied with all applicable DUNS and SAM requirements and, if an applicant has not
fully complied with the requirements by the time DHS/FEMA is ready to make an award,
DHS/FEMA may determine that the applicant is not qualified to receive an award and use
that determination as a basis for making an award to another applicant.
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Submitting an Initial Application in Grants.gov
Applicants must submit their initial application through Grants.gov. Applicants may
need to first create a Grants.gov user profile by visiting the Get Registered section of the
Grants.gov website. Successful completion of this step is necessary for DHS/FEMA to
determine eligibility of the applicant. Applicants should complete this initial step on-line
which requires completing:
• Standard Form 424 (SF-424), Application for Federal Assistance, and
• Grants.gov (GG) Form Certification Regarding Lobbying Form.
Both forms are available in the Forms tab under SF-424 Family. The initial
application cannot be started or submitted in Grants.gov unless the applicant’s
registration in SAM is confirmed.
Application forms and instructions are available at Grants.gov by selecting Apply for
Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOFO,
select Download Application Package, and follow the prompts to download the
application package. The information submitted in Grants.gov will be retrieved by ND
Grants, which will allow DHS/FEMA to determine if an applicant is eligible.
Applicants are encouraged to submit their initial application in Grants.gov at
least ten days before the April 25, 2016 11:59:59 PM (EDT) application deadline.
For assistance applying through Grants.gov, please go to the Grant Application page,
contact [email protected], or call 800-518-4726. DHS/FEMA cannot assist
applicants with questions related to registering with Grants.gov.
Submitting the Complete Application in Non Disaster Grants System
(ND Grants)
Eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting
their complete application package in ND Grants. Applicants can register early with ND
Grants and are encouraged to begin their ND Grants registration at the time of this
announcement. Early registration will allow applicants to have adequate time to start and
complete their applications.
In ND Grants applicants will be prompted to submit all of the information contained in
the following forms. Applicants should review these forms before applying to ensure
they have included all information required:
• Standard Form 424A, Budget Information (Non-construction);
• Standard Form 424B, Standard Assurances (Non-construction); and
• Standard Form LLL, Disclosure of Lobbying Activities.
In addition, applicants must submit copies of the following in ND Grants:
• THSGP Investment Justification (OMB Control Number: 16600113/FEMA Form: 089-22) (see Appendix C – FY 2016 THSGP
Investment Justification (IJ) Outline for a description of the IJ and the IJ
submission process);
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•
•
•

Standard Form 424D, Standard Assurances (Construction) if applying for
funds to use for construction;
Standard Form 424 C Budget Information (Construction) if applying for
funds to use for construction; and
Indirect Cost Agreement, if applicable.

For assistance registering for the ND Grants system, please contact [email protected]
or (800) 865-4076.
Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their State’s
Single Point of Contact (SPOC) to comply with the State’s process under Executive
Order 12372 (see http://www.fws.gov/policy/library/rgeo12372.pdf). Name and
addresses of the SPOCs are maintained at the Office of Management and Budget’s home
page at http://www.whitehouse.gov/omb/grants_spoc to ensure currency.
Funding Restrictions
Federal funds made available through this award may only be used for the purpose set
forth in this award and must be consistent with the statutory authority for the award.
Award funds may not be used for matching funds for any other Federal award, lobbying,
or intervention in Federal regulatory or adjudicatory proceedings. In addition, federal
funds may not be used to sue the Federal government or any other government entity.
Additionally, pursuant to Executive Order 13688, DHS/FEMA has issued IB 407 which
has placed further restrictions on controlled equipment. For more information on the
Controlled Equipment List and Prohibited Equipment, see Appendix B – FY 2016
THSGP Funding Guidelines.
Emergency Operation Plan (EOP)
Recipients are required to complete one submission of their EOP for the entire period of
performance of the grant in order to comply with Comprehensive Preparedness Guide
(CPG) 101 Version 2.0, Developing and Maintaining Emergency Operations Plans.
Recipients will use the Unified Reporting Tool (URT) to report their compliance with
this reporting requirement.
Threat and Hazard Identification and Risk Assessment (THIRA)
FY 2016 THSGP award recipients must complete their THIRA using the URT once
during the entire period of performance of the grant (i.e., 36 months). FY 2015 THSGP
recipients receiving awards in FY 2016 must review, and as necessary, revise and update
their submission for the FY 2016 award. Further details on the THIRA as it relates to
THSGP Program requirements can be found in Appendix A – FY 2016 THSGP
Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition,
available at http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment.
FY 2016 Unified Reporting Tool (URT)
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The URT is DHS/FEMA’s collection mechanism for THIRA, SPR, and related
preparedness information. The FY 2016 URT includes questions related to NIMS
adoption and implementation, CPG 101v2 compliance, and other preparedness questions,
as appropriate. Information on the URT, including when recipients will receive the tool
and how to use the tool, will be sent to recipients later in 2016.
Environmental Planning and Historic Preservation (EHP) Compliance
As a federal agency, DHS/FEMA is required to consider the effects of its actions on the
environment and historic properties to ensure that all activities and programs funded by
the agency, including grants-funded projects, comply with federal EHP regulations, laws
and Executive Orders as applicable. Recipients and subrecipients proposing projects that
have the potential to impact the environment, including but not limited to construction of
communication towers, modification or renovation of existing buildings, structures and
facilities, or new construction including replacement of facilities, must participate in the
DHS/FEMA EHP review process. The EHP review process involves the submission of a
detailed project description that explains the goals and objectives of the proposed project
along with supporting documentation so that DHS/FEMA may determine whether the
proposed project has the potential to impact environmental resources and/or historic
properties. In some cases, DHS/FEMA is also required to consult with other regulatory
agencies and the public in order to complete the review process. The EHP review
process must be completed before funds are released to carry out the proposed project.
DHS/FEMA will not fund projects that are initiated without the required EHP review.
Additionally, all recipients are required to comply with DHS/FEMA EHP Policy
Guidance. This EHP Policy Guidance can be found in FP 108-023-1,
https://www.fema.gov/media-library/assets/documents/85376 , and FP 108.24.4,
Environmental Planning and Historical Preservation Policy
SAFECOM
Recipients (including subrecipients) who receive awards under THSGP that wholly or
partially provide funding for emergency communication projects and related activities
must comply with the most recent version of the SAFECOM Guidance on Emergency
Communications Grants. This guidance provides recommendations to recipients
regarding interoperable emergency communications projects, including allowable costs,
eligible activities, grants management best practices for emergency communications
grants, and information on technical standards that ensure greater interoperability. The
guidance is intended to ensure that federally-funded investments are compatible,
interoperable, and support the national goals and objectives for improving emergency
communications nationwide. Recipients (including subrecipients) investing in
broadband-related investments should review IB 386, Clarification on Use of
DHS/FEMA Public Safety Grant Funds for Broadband-Related Expenditures and
Investments, and consult their FEMA HQ Program Analyst on such Investments before
developing applications.

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Pre-award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and if
they are included in the award agreement. To request pre-award costs a written request
must be included with the application, signed by the Authorized Representative of the
entity. The letter must outline what the pre-award costs are for, including a detailed
budget break-out of pre-award costs from the post-award costs, and a justification for
approval.
Direct Costs
Cost Principles
Costs charged to this award must be consistent with the Cost Principles for
Federal Awards located at 2 C.F.R. Part 200, Subpart E.
Planning
Planning related costs are allowed under this program only as described in this
NOFO.
Organization
Organization costs are allowed under this program only as described in this
NOFO.
Equipment
Equipment costs are allowed under this program only as described in this NOFO.
Training
Training related costs are allowed under this program only as described in this
NOFO.
Exercise
Exercise related costs are allowed under this program only as described in this
NOFO.
Personnel Activities
Personnel hiring, overtime, and backfill expenses are permitted under this grant in
order to perform allowable THSGP planning, training, exercise, and equipment
activities.
Travel
Domestic travel costs are allowed under this program, as provided for in this
NOFO. International travel is not an allowable cost under this program unless
approved in advance by DHS/FEMA.
Construction and Renovation
Construction and renovation costs to achieve capability targets related to
preventing, preparing for, protecting against, or responding to acts of terrorism are
allowed under this program. For construction costs to be allowed, they must be
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specifically approved by DHS/FEMA in writing prior to the use of any program
funds for construction or renovation. Limits on the total amount of grant funding
that may be used for construction or renovation may apply. See Appendix B – FY
2016 THSGP Funding Guidelines for additional details. Additionally, recipients
are required to submit a SF-424C Budget and Budget detail citing the project
costs.
Operational Overtime
Operational Overtime costs are allowed under this program only as described in
this NOFO.
Maintenance and Sustainment
Maintenance and Sustainment related costs are allowed under this program only
as described in this NOFO.
Critical Emergency Supplies
Critical emergency supply related costs are allowed under this program only as
described in this NOFO.
Secure Identification
Secure Identification project related costs are allowed under this program only as
described in this NOFO.
For additional information on allowable costs and Funding Restrictions, refer to
Appendix B – FY 2016 THSGP Funding Guidelines.
Management and Administration (M&A)
Management and administration costs are allowed. Recipients may use up to five percent
(5%) of the amount of the award for M&A. M&A activities are those defined as directly
relating to the management and administration of THSGP funds, such as financial
management and monitoring.
Indirect (Facilities & Administrative [F&A]) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With
the exception of recipients who have never received a negotiated indirect cost rate as
described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate
agreement with their cognizant federal agency to charge indirect costs to this award. A
copy of the approved rate (a fully executed, agreement negotiated with the applicant’s
cognizant federal agency) is required at the time of application, and must be provided to
DHS/FEMA before indirect costs are charged to the award.
E.

Application Review Information
Application Evaluation Criteria
FY 2016 THSGP applications will be evaluated through a three part review and selection
process:
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1. Applications will first be reviewed by a DHS/FEMA HQ Program Analyst to
ensure the applicant meets all eligibility requirements.
2. Those eligible applications will then be reviewed through a peer review process,
in which proposed investments will be individually scored. Historically, peer
reviewers have been a combination of Tribal leaders or members of a tribal entity,
federal tribal grant mangers, FEMA regional tribal liaisons, and FEMA regional
grant mangers.
3. The top scoring investments will then be reviewed through a financial risk
assessment process conducted by FEMA HQ Grants Management Specialists.
To determine eligibility, the HQ Program Analyst will review submitted applications for
completeness.
Completeness is determined by the HQ Program Analyst by confirming:
• The applicant has submitted the self-certification form stating the Tribe’s
eligibility per the Homeland Security Act of 2002, as amended;
• The information provided in the self-certification form is accurate;
• The programmatic allowability of the activities under each investment; and
• The application meets all of the administrative criteria identified in this NOFO, to
include the required submission of an IJ by the established due dates.
The peer reviewers will score each proposed investment from all eligible applicants
across four criteria listed in the investment justification template:
• Overview (description of the investment);
• Baseline (Goals/objectives/capabilities of the investment);
• Project Management and Milestones (funding amount/core capabilities/projects);
and
• Accomplishments and Impacts (outcomes).
The FEMA HQ Grants Management Specialists will conduct a financial risk assessment
using the following criteria:
• Allowability, allocability, and financial reasonableness of the proposed budget
and investment information
• Whether the recipient meets the financial and legal requirements listed in 2 C.F.R.
Part 200
Prior to making a Federal award, the Federal awarding agency is required by 31 U.S.C. §
3321 and 41 U.S.C. § 2313 to review information available through any OMB-designated
repositories of government wide eligibility qualification or financial integrity
information. Therefore application evaluation criteria may include the following risk
based considerations of the applicant: (1) financial stability; (2) quality of management
systems and ability to meet management standards; (3) history of performance in
managing Federal award; (4) reports and findings from audits; and (5) ability to
effectively implement statutory, regulatory, or other requirements.
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Review and Selection Process
Only directly eligible Tribes as defined in the Homeland Security Act of 2002, as
amended, are eligible to apply for THSGP funding. Applicants must self-certify that they
are a “directly eligible tribe” as defined at 6 U.S.C. § 601(4). See section III.A.
Eligibility Criteria, for further information. HQ Program Analysts will review each
application for eligibility and completeness based on the criteria described above.
A panel of peer reviewers will analyze and score the investments from all applications
that the Program Analysts determine to be complete and eligible. The peer reviewers will
analyze and score the anticipated effectiveness of each individual proposed investment.
Effectiveness is determined based on completeness and adherence to programmatic
guidelines.
Peer reviewers will score each investment individually using six questions to assess how
well the investments satisfy the four criteria sections in the Investment Justification
template: Overview, Baseline, Project Management and Milestones, and
Accomplishments and Impact.
The questions the reviewers will score are:
A. Overview Section of Investment
• How well are the activities of the Investment described, including any
activities that include planning, organization, equipment, training,
and/or exercises?
B. Baseline Section of Investment
• How well does this Investment identify existing capability levels and
address capability gaps?
C. Project Management and Milestones Section of Investment
• How well does the Investment support the selected core capabilities
outlined in the Goal?
• Does the budget narrative provide a clear explanation of how funds
demonstrate the need to achieve the outcomes described?
• Do the projects/activities demonstrate progress towards achieving the
Investment?
D. Accomplishments and Impact Section of Investment
• Do the outcome(s) demonstrate progress towards building the
capability gap(s) identified in the Investment?
Each of the six questions that the reviewers score is worth a maximum of five (5) points
each. Using their subject matter expertise, the peer reviewer will provide a score of 1-5
for each question. Each investment will be reviewed by no less than two peer reviewers,
who will use the following scoring scale to assess how well the information provided in
each investment answers the question being scored:
• 1 = Little to None
• 2 = Inadequate
• 3 = Adequate
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•
•

4 = Substantial
5 = Strong

To calculate the final score for each proposed investment, the scores from the six
investment questions are first normalized by taking the sum of the six (6) scores, dividing
this number by five (5), and multiplying by 100.
For example:
If, an investment received the following scores for the six questions:
Question 1: 2
Question 2: 3
Question 3: 5
Question 4: 5
Question 5: 3
Question 6: 5
The sum of the scores is 23 (the average score is 3.8). The average score, 3.8 is then
divided by five (5) with the result multiplied by 100. The normalized score is 76.67. The
investment’s final score is determined by averaging the normalized scores from all
reviewers of that investment.
Applicants who have not received funding in prior years will receive five (5) points for
each proposed investment that will be added to the normalized score for each Investment
submitted.
DHS/FEMA will use the results of the peer review process to make recommendations for
funding of eligible applicants to the Secretary of Homeland Security. All final
investment scores will then be sorted in descending order and investments will be
selected for recommendation from the highest score to lowest score until available FY
2016 THSGP funding has been exhausted. In the event of a tie during the investment
recommendation determination process, DHS/FEMA will give priority to the tribal entity
that has not received prior year funding. Final funding determinations will be made by
the Secretary of Homeland Security.
All investments selected for recommendation will also undergo a financial risk review
conducted by the HQ grants management specialist. Using their subject matter expertise,
the questions the HQ grants management specialist will assess are:
• Is the applicant on any exclusion lists as identified in the System for
Award Management (Sam.gov);
• If the applicant has received federal funding in the past, has the applicant
performed all audits required by the Single Audit Act;
• Has the applicant provided sufficient budget information and justification
as required by the NOFO;
• Are the costs proposed by the applicant in the budget information and
justification allowable and reasonable based on the criteria set forth in this
NOFO and the Cost Principles located at 2 C.F.R. Part 200, Subpart E;
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•
•
•
•

Is the budget representative of the total cost of performance of the
projects;
If indirect costs are included, has the applicant provided an approved
Indirect Cost Rate agreement;
Is the applicant delinquent on any federal debt; and
Has the applicant had substandard performance in a prior award.

Based on the outcome of this review, DHS/FEMA may determine that it will not make an
award to an applicant that poses a financial risk. DHS/FEMA may also determine that it
will make an award to an at-risk applicant, subject to additional terms and conditions as
described in 2 C.F.R. § 200.207.
Prior to making a Federal award with a total amount of Federal share greater than the
simplified acquisition threshold, currently $150,000, DHS/FEMA is required to review
and consider any information about the applicant that is in the designated integrity and
performance system accessible through SAM (currently FAPIIS).
An applicant, at its option, may review information in the designated integrity and
performance systems accessible through SAM and comment on any information about
itself that a federal awarding agency previously entered and is currently in the designated
integrity and performance system accessible through SAM.
DHS/FEMA will consider any comments by the applicant, in addition to the other
information in the designated integrity and performance system, in making a judgment
about the applicant’s integrity, business ethics, and record of performance under Federal
awards when completing the review of risk posed by applicants as described in 2 CFR
§200.205.

Reviewer Selection
DHS/FEMA seeks peer reviewers who meet one or more of the following criteria:
• Experienced Tribal professionals with a homeland security/emergency
management background;
• Experienced homeland security professionals, such as State
Administrative Agency (SAA) professionals, Homeland Security
Advisors, Urban Area Working Group members, emergency management
response personnel, or academics with a background in homeland
security/emergency management;
• Representative of a variety of disciplines, including homeland security,
emergency management, law enforcement, fire and rescue, etc.; and/or
• Familiar with applications for funding and the application review process.
Historically, peer reviewers have been a combination of Tribal leaders or members of a
tribal entity, federal tribal grant mangers, FEMA regional tribal liaisons, and FEMA
regional grant mangers.
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The Peer reviewer will be responsible for:
• Contributing to a transparent, uniform, and thorough process for awarding
grants;
• Providing knowledgeable, independent reviews and feedback to justify
investment scores; and
• Ensuring that each Investment is reviewed in detail for completeness and
effectiveness.
The FY 2016 peer review will be conducted remotely. Reviewers will need access to a
computer and the internet/email in order to conduct the review. The reviewers will
receive randomly assigned investments and a scoring worksheet template to complete
their reviews. The reviewer will have no less than one week to complete their review of
the assigned investments. At the conclusion of the review period, the reviewer will
submit the completed scoring worksheet back to [email protected] for final
calculation and summarization by the HQ THSGP program manager.
Participation in the review process will provide a 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
[email protected]. Representatives from Tribal Nations who are applying
for funding in FY 2016 can also be reviewers, but they will not be able to review their
own application or applications from Tribal Nations they have worked with.
For additional details on application review information, please refer to Appendix C – FY
2016 THSGP Investment Justification (IJ) Outline.
F.

Federal Award Administration Information
Notice of Award
Notification of award approval is made through the ND Grants system through an
automatic electronic mail to the awardee authorized official listed in the initial
application. The “award date” for THSGP will be the date that DHS/FEMA approves the
award. The awardee should follow the directions in the notification to confirm
acceptance of the award.
Recipients must accept their awards no later than 90 days from the award date. The
recipient shall notify the awarding agency of its intent to accept and proceed with work
under the award through the ND Grants system. Instructions on accepting or declining an
award in the ND Grants system, can be found in the ND Grants Grantee Training
Manual.
Funds will remain on hold until the recipient accepts the award through the ND Grants
system and all other conditions of award have been satisfied, or the award is otherwise
rescinded. Failure to accept the grant award within the 90 day timeframe may result in a
loss of funds.
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Administrative and National Policy Requirements
All successful applicants for all DHS grant and cooperative agreements are required to
comply with DHS Standard Administrative Terms and Conditions, which are available
online at: DHS Standard Terms and Conditions.
The applicable DHS Standard Administrative Terms and Conditions will be those in
effect at the time in which the award was made.
Before accepting the award the AOR should carefully read the award package for
instructions on administering the grant award and the terms and conditions associated
with responsibilities under federal Awards. The applicant must accept all conditions in
this NOFO as well as any Special Terms and Conditions in the Notice of Award to
receive an award under this program.
Reporting
Grant recipients are required to submit various financial and programmatic reports as a
condition of award. Future awards and funds drawdown may be withheld if these reports
are delinquent.
Federal Financial Requirements
Federal Financial Report (FFR)
Grant recipients must report obligations and expenditures ported on a quarterly basis
through the FFR (SF-425) to DHS/FEMA. Recipients must file the FFR electronically
using the Payment and Reporting Systems (PARS). A FFR must be submitted quarterly
throughout the period of performance, including partial calendar quarters, as well as for
periods where no grant award activity occurs. Future awards and fund drawdowns may
be withheld if these reports are delinquent, demonstrate lack of progress, or are
insufficient in detail.
The Federal Financial Reporting Form (FFR) is available online at:
http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/SF-425.pdf,
SF-425 OMB #00348-0061.
Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply for the FFR:
Reporting Period
October 1 – December 31
January 1 – March 31
April 1 – June 30
July 1 – September 30

Report Due Date
January 30
April 30
July 30
October 30

Financial and Compliance Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that expend
$750,000 or more from all federal funding sources during their fiscal year are required to
submit an organization-wide financial and compliance audit report. The audit must be
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performed in accordance with the requirements of Government Accountability Office’s
(GAO) Government Auditing Standards, located at
http://www.gao.gov/govaud/ybk01.htm and the requirements of Subpart F of 2 C.F.R.
Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?node=sp2.1.200.f.
For audits of fiscal years beginning prior to December 26, 2014, recipients that expend
$500,000 or more from all federal funding sources during their fiscal year are required to
submit an organization-wide financial and compliance audit report. The audit must be
performed in accordance with GAO’s Government Auditing Standards, located at
http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits of States,
Local Governments, and Nonprofit Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2012.
Program Performance Reporting Requirements
Performance Progress Report (SF-PPR)
Recipients are responsible for providing updated performance reports to DHS/FEMA
using the SF-PPR on a biannual basis. Recipients must complete the cover page of the
SF-PPR (OMB Control Number: 0970-0334) and submit it as an attachment to the ND
Grants system.
Recipients will be required to report on progress towards implementing plans described
in their application.
Program Performance Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
Reporting Period
January 1 – June 30
July 1 – December 31

Report Due Date
July 30
January 30

Biannual Strategy Implementation Reports (BSIR)
In addition to the quarterly financial and biannual performance progress reports,
recipients are responsible for completing and submitting summer and winter BSIRs. The
BSIR is due within 30 days after the end of the reporting period (July 30 for the reporting
period of January 1 through June 30 (the summer BSIR report); and January 30 for the
reporting period of July 1 through December 31 (winter BSIR report).
Closeout Reporting Requirements
DHS/FEMA will close out the grant award when it determines that all applicable
administrative actions and all required work of the THSGP award have been completed
by the recipient. This section summarizes the actions that the recipient must take to
complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the
grant’s period of performance or the expiration of an approved extension via Grant
Adjustment Notice (GAN) issued to close out the grant.

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Within 90 days of the end of the period of performance, or after expiration of a close out
extension via GAN, recipients must submit a final FFR and final progress report detailing
all accomplishments and a qualitative summary of the impact of those accomplishments
throughout the period of performance, as well as all the following documentation:
1)
2)
3)
4)

Final request for payment, if applicable;
SF-425 – Final Federal Financial Report;
SF-PPR – Final Performance Progress Report;
SF-428 – Tangible Personal Property Report – Inventory of all tangible personal
property acquired using funds from this award;
4) A qualitative narrative summary on the impact of those accomplishments
throughout the entire period of performance submitted to the respective Grant
Programs Directorate (GPD) HQ Program Analyst in a Word document; and
5) Other documents required by program guidance or terms and conditions of the
award.
If applicable, an inventory of all construction projects that used funds from this program
must be reported using the Real Property Status Report (Standard Form SF 429) available
at http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/sf-429.pdf.
Additionally, the recipient must liquidate all obligations incurred under the THSGP
award no later than 90 calendar days after the end date of the period of performance or
issuance of a Grant Amendment Notice that closes out the award, whichever comes first.
If the recipient fails to liquidate its obligations within this time period, FEMA may
disallow the costs associated with those unliquidated obligations. Recipients also are
responsible for promptly returning to DHS/FEMA the balance of any funds that have
been drawn down, but remain unliquidated.
After these reports have been reviewed and approved by DHS/FEMA, a close-out notice
will be completed to close out the grant. The notice will indicate the period of
performance as closed, list any remaining funds the recipient has not drawn down that
will be deobligated, and address requirements for record retention, and disposition and
reporting requirements for any equipment or real property purchased using THSGP grant
funding.
If DHS/FEMA has made reasonable attempts through multiple contacts to close out
awards within the required 180 days, DHS/FEMA may waive the requirement for a
particular report and administratively close the award. If this action is taken,
consideration for subsequent awards to the recipient may be impacted or restricted.
If the recipient that issues subawards, it is responsible for closing out those subawards as
described in 2 C.F.R. § 200.343. The recipient must ensure that it completes the closeout
of its subawards in time to submit all necessary documentation and information to
DHS/FEMA during the closeout of its own grant award.
G.

DHS Awarding Agency Contact Information
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Contact and Resource Information
Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource
developed by DHS/FEMA for grants stakeholders. CSID provides general information
on all DHS/FEMA grant programs and maintains a comprehensive database containing
key personnel contact information at the federal, state, and local levels. When necessary,
recipients will be directed to a federal point of contact who can answer specific
programmatic questions or concerns. CSID can be reached by phone at (800) 368-6498
or by e-mail at [email protected], Monday through Friday, 9:00 a.m. – 5:00 p.m. EST.
Grant Programs Directorate Grant Operations Division
GPD’s Grant Operations Division Business Office provides support regarding financial
matters and budgetary technical assistance. Additional guidance and information can be
obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to [email protected].
FEMA Regional Offices
DHS/FEMA Regional Offices also may provide fiscal support, including pre- and postaward administration and technical assistance such as conducting cash analysis, financial
monitoring, and audit resolution to the grant programs included in this solicitation. GPD
will provide programmatic support and technical assistance. A FEMA Regional Office
contact information is available here.
Systems Information
Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov
customer support hotline at (800) 518-4726.
Non-Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact [email protected] or (800) 865-4076.
GPD Environmental Planning and Historic Preservation (GPD EHP)
The FEMA GPD EHP Team provides guidance and information about the EHP review
process to recipients and subrecipients. All inquiries and communications about GPD
projects or the EHP review process, should be sent to [email protected]. EHP
Technical Assistance, including the EHP Screening Form, can be found at
http://www.fema.gov/media-library/assets/documents/90195.
H.

Additional Information
Expanded Allowable Costs for General Purpose Equipment
THSGP allows expenditures on general purpose equipment if they align to and support
one or more core capabilities identified in the Goal and are sharable through mutual aid
agreements.
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Expanded Allowable Costs
“Guidance to State Administrative Agencies to Expedite the Expenditure of Certain
DHS/FEMA Grant Funding” issued on February 13, 2012, authorizes “expenditure on
general purpose equipment and overtime/backfill expenses for first responders engaged
in protection or prevention activities consistent with grant guidance and the Homeland
Security Act (6 USC 101 et seq.).” Examples of general purpose equipment may include:
• General purpose law enforcement vehicles
• General purpose emergency medical services (EMS) equipment and vehicles
• General purpose fire service equipment and vehicles, to include hose, pump
accessories, and foam concentrate for specialized chemical, biological,
radiological, nuclear, and explosives (CBRNE) response
• General purpose office equipment for staff 1 engaged in homeland security
program activity.
Equipment allowability is based on the Authorized Equipment List (AEL) but exceptions
may be considered on a case-by-case basis if (1) the equipment identified to be purchased
directly maps to a core capability contained within the Goal 2, and (2) the equipment’s
purpose (when operational) fall into the permitted use of funds in the 9/11 Act.
Extensions
Extensions to this program are allowed. Extensions to the initial period of performance
identified in the award will only be considered through formal, written requests to the
recipient’s respective HQ Program Analyst and must contain specific and compelling
justifications as to why an extension is required. SAAs are advised to coordinate with the
HQ Program Analyst as needed, when preparing an extension request. All extension
requests must address the following:
1) Grant program, fiscal year, and award number;
2) Reason for delay – this must include details of the legal, policy, or
operational challenges being experienced that prevent the final outlay of awarded
funds by the applicable deadline;
3) Current status of the activity/activities;
4) Approved period of performance termination date and new project completion
date;
5) Amount of funds drawn down to date;
6) Remaining available funds, both federal and non-federal;
7) Budget outlining how remaining federal and non-federal funds will be expended;
8) Plan for completion, including milestones and timeframes for achieving each
milestone and the position/person responsible for implementing the plan for
completion; and

1

This applies to all homeland security personnel, and is not limited to management and administration staff, and
costs are to be captured outside the cap on management and administration costs.
2
https://www.fema.gov/media-library/assets/documents/25959

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9) Certification that the activity/activities will be completed within the extended
period of performance without any modification to the original Statement of
Work, as described in the investment justification and approved by DHS/FEMA.
Extension requests will be granted only due to compelling legal, policy, or operational
challenges. Extension requests will only be considered for the following reasons:
•
•
•
•

Contractual commitments by the grant recipient with vendors or sub-recipients
prevent completion of the project within the existing period of performance;
The project must undergo a complex environmental review that cannot be
completed within the existing Period of Performance;
Projects are long-term by design and therefore acceleration would compromise
core programmatic goals; and
Where other special circumstances exist.

Recipients must submit all proposed extension requests to DHS/FEMA for review and
approval no later than 120 days prior to the end of the period of performance. In
accordance with GPD policy, extensions are typically granted for no more than a six
month time period.
National Preparedness
DHS/FEMA coordinates with local, state, territory, and tribal governments as well as the
private and non-profit sectors to facilitate a whole community, risk driven, and
capabilities-based approach to preparedness. This risk driven, capabilities-based
approach is grounded in the identification and assessment of risk through the Threat and
Hazard Identification and Risk Assessment (THIRA). For additional information on
THIRA, please refer to the following website: http://www.fema.gov/threat-and-hazardidentification-and-risk-assessment. Information on the National Preparedness System
can be found in the National Preparedness System Description which is posted on the
FEMA website at https://www.fema.gov/national-preparedness-system. Additional
details regarding how the National Preparedness System is supported by the THSGP can
be found in Appendix B – FY 2016 THSGP Funding Guidelines.
Payments
DHS/FEMA utilizes the Payment and Reporting System (PARS) for financial reporting,
invoicing and tracking payments. DHS/FEMA uses the Direct Deposit/Electronic Funds
Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT,
recipients must complete a Standard Form 1199A, Direct Deposit Form.
Monitoring
Recipients will be monitored on an annual and as needed basis by DHS/FEMA staff, both
programmatically and financially, to ensure that the project goals, objectives,
performance requirements, timelines, milestone completion, budgets, and other related
program criteria are being met.

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Monitoring may be accomplished through either a desk-based review or on-site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, programmatic, performance, compliance and administrative processes, policies,
activities, and other attributes of each federal assistance award and will identify areas
where technical assistance, corrective actions, and other support may be needed.
Conflict of Interest
To eliminate and reduce the impact of conflicts of interest in the subaward process,
recipients and pass-through entities must follow their own policies and procedures
regarding the elimination or reduction of conflicts of interest when making
subawards. Recipients and pass-through entities are also required to follow any
applicable state, local, or tribal statutes or regulations governing conflicts of interest in
the making of subawards.
The recipient or pass-through entity must disclose to DHS/FEMA, in writing, any real or
potential conflict of interest as defined by the federal, state, local, or tribal statutes or
regulations or their own existing policies that may arise during the administration of the
federal award. Recipients and pass-through entities must disclose any real or potential
conflicts to Program Analyst within five days of learning of the conflict of
interest. Similarly, subrecipients must disclose any real or potential conflict of interest to
the pass-through entity as required by the Recipient’s conflict of interest policies, or any
applicable state, local, or tribal statutes or regulations.
Conflicts of interest may arise during the process of DHS/FEMA making a federal award
in situations where an employee, officer, or agent, any members of his or her immediate
family, or his or her partner has a close personal relationship, a business relationship, or a
professional relationship, with an applicant, subapplicant, recipient, subrecipient, or
DHS/FEMA employees.

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Appendix A – FY 2016 THSGP Priorities
Alignment of THSGP to the National Preparedness System
The National Preparedness System is the instrument the Nation will employ to build, sustain, and
deliver core capabilities in order to achieve the National Preparedness Goal (the Goal). The Goal
is “a secure and resilient Nation with the capabilities required across the whole community to
prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose
the greatest risk.” The objective of the National Preparedness System is to facilitate an
integrated, whole community, risk informed, capabilities-based approach to preparedness. The
guidance, programs, processes, and systems that support each component of the National
Preparedness System enable a collaborative, whole community approach to national
preparedness that engages individuals, families, communities, private and nonprofit sectors,
faith-based organizations, and all levels of government (http://www.fema.gov/wholecommunity).
The FY 2016 THSGP plays an important role in the implementation of the Goal by supporting
the building, sustainment, and delivery of the core capabilities. The core capabilities are
essential for the execution of critical tasks for each of the five mission areas outlined in the
Goal. Delivering core capabilities requires the combined effort of the whole community, rather
than the exclusive effort of any single organization or level of government. The THSGP
allowable costs support efforts to build and sustain core capabilities across the Prevention,
Protection, Mitigation, Response, and Recovery mission areas described in the Goal.
Particular emphasis in THSGP will be placed on capabilities that address the greatest risks to the
security and resilience of tribal communities and the United States. Funding will support
deployable assets that can be utilized through automatic assistance and mutual aid agreements.
Using the core capabilities, FY 2016 THSGP supports the achievement of the Goal by:
• Preventing a threatened or an actual act of terrorism;
• Protecting our citizens, residents, visitors, and assets against the greatest threats
and hazards;
• Mitigating the loss of life and property by lessening the impact of future disasters.
• Responding quickly to save lives, protect property and the environment, and meet
basic human needs in the aftermath of a catastrophic incident; and/or
• Recovering through a focus on the timely restoration, strengthening, and
revitalization of infrastructure, housing, and a sustainable economy, as well as the
health, social, cultural, historic, and environmental fabric of communities affected
by a catastrophic incident.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, improved training and exercise programs,
innovation, and appropriate administrative, finance, and logistics systems.

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Appendix A – FY 2016 THSGP Priorities

To support building, sustaining, and delivering these core capabilities, recipients will use the
components of the National Preparedness System, which include: Identifying and Assessing
Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to
Deliver Capabilities; Validating Capabilities; and Reviewing and Updating.
Additional information on the National Preparedness System is available at
http://www.fema.gov/national-preparedness-system.
Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements
Threat and Hazard Identification and Risk Assessment (THIRA)
Federal investments in local, State, territorial, and tribal preparedness capabilities have
contributed to the development of a significant national-level capacity to prevent, protect against,
mitigate, respond to, and recover from emergencies and catastrophic incidents. THSGP
prescribes national capability priorities in order to prioritize and invest in key deployable
capabilities.
Knowledge of risks enables a community to make informed decisions about how to manage risk
and develop needed capabilities. Risk is the potential for an unwanted outcome resulting from
an incident, event, or occurrence, as determined by its likelihood and the associated
consequences. By considering changes to these elements, a community can understand how to
best manage and plan for its greatest risks across the full range of the threats and hazards it faces.
The THIRA is a four-step common risk assessment process that provides a comprehensive
approach for identifying and assessing risks and associated impacts. It expands on existing local,
tribal, territorial, and State Hazard Identification and Risk Assessments (HIRAs) and other risk
methodologies by broadening the factors considered in the process, incorporating the whole
community throughout the entire process, and by accounting for important community-specific
characteristics. The THIRA process helps communities identify capability targets and resource
requirements necessary to address anticipated and unanticipated risks. CPG 201, Second
Edition, a guide on how to complete a THIRA, is available at http://www.fema.gov/threat-andhazard-identification-and-risk-assessment.
In Step Four of the THIRA process, recipients should apply the results to a capability estimation
process to determine the resources needed to deliver core capabilities to the targets set in their
THIRAs. Recipients express resource requirements as a list of resources needed to successfully
manage the consequences from threats and hazards. Through the capability estimation process,
jurisdictions should identify the resources from across the whole community needed to meet
capability targets. Each recipient should decide which combination of resources is most
appropriate to achieve its capability targets. This process should consider identifying,
connecting to, and strengthening community resources by using the expertise and capability of
the whole community, individuals, communities, the private and nonprofit sectors, faith-based
organizations, and all levels of government.

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The outputs of the process serve as the foundation for recipients to work with whole community
partners to develop strategies to reduce resource requirements through mitigation and protection
activities, sustain current strengths in investments where capabilities have already been built,
obtain required resources from whole community partners or borrow resources through mutual
aid to address requirements, and build new capabilities through grants and investments. THSGP
recipients should consider all resources available to them, including local and state support, bond
initiatives, mutual aid, and federal grants, as appropriate, to support building and sustaining
capabilities.
Data from the State Hazard Mitigation Plan, Fusions Centers, and other sources of threat and risk
data should be considered when developing a tribal THIRA. Ultimately, a THSGP recipient may
find that it can address capability needs through existing or new mutual aid agreements with
neighboring communities or satisfy resource requirements through the private sector or other
means in order to build and sustain capabilities.
Risk-informed planning, such as that based on the THIRA output is consistent with and expands
on nationally accepted emergency management standards. These standards use risk assessments
such as hazard mitigation plans as the basis for planning across the mission areas. A continuous
cycle of identifying and assessing risk, estimating capabilities, implementing strategic plans, and
incorporating the results into future THIRAs allows tribes to identify and understand changes to
its risk landscape. It also provides the means to communicate and educate individuals, families,
businesses, organizations, community leaders, and senior officials on the risks facing a
community and the required capabilities to address them. THSGP recipients must also ensure
that regional plans (e.g., emergency operations plans, local/tribal/regional/state catastrophic
plans, etc.) incorporate the desired outcomes from the THIRA in order to address the roles,
responsibilities, strategies, and procedures necessary to deliver the core capabilities, and achieve
secure and resilient communities.
Reporting
FY 2016 THSGP recipients are required to complete a THIRA using the URT once during the
grant period of performance and submit a copy of the completed THIRA to the respective FEMA
Region. THIRA documents shall be in alignment with CPG 201, Second Edition. Recipients are
authorized to use THSGP grant funds for costs associated with developing and completing the
THIRA (see Appendix B – FY 2016 THSGP Funding Guidelines). THSGP recipients are
responsible for sharing the results from their THIRA with the applicable FEMA Regional
Federal Preparedness Coordinator (FPC).
Building and Sustaining Core Capabilities
FY 2016 THSGP focuses on the development and sustainment of core capabilities as outlined in
the Goal. Capabilities are the means to accomplish a mission, function, or objective based on the
performance of related tasks, under specified conditions, to target levels of performance. The
most essential capabilities are the core capabilities identified in the Goal.
Working together, individuals, tribal government officials, and elected leaders can develop plans
to allocate resources effectively and reduce risk. For these plans to be effective, those involved
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must consider methods to reduce and manage risk as well as how to sustain appropriate levels of
capability and address potential shortfalls in order to achieve the Goal.
Achieving the Goal will require participation and resources from the whole community. Not all
capabilities can be addressed in a given local, tribal, state, or federal funding cycle, nor can
funding be expected to flow from any one source. Officials must prioritize the achievement of
certain capabilities to most effectively ensure their security and resilience while understanding
the effects of not addressing other identified needs. Building and sustaining capabilities will
include a combination of organizational resources, equipment, training, and education.
Consideration must also be given to finding, connecting to, and strengthening community
resources by using the expertise and capacity of individuals, communities, private and nonprofit
sectors, faith-based organizations, and all levels of government. Jurisdictions must also use
mutual aid agreements to fill needs and work with partners to develop regional capabilities.
Ultimately, a jurisdiction may need to rely on other levels of government or partners to address a
particular need. This expectation should be communicated well before an event occurs when the
capabilities are most urgently needed.
As these issues are considered in light of the eligible activities, the results of an effective THIRA
must inform jurisdictions’ preparedness planning efforts. This risk picture will provide an
understanding of potential consequences from the range of threats and hazards a community
faces daily as well as those infrequent events that would stress the core capabilities of a
jurisdiction. Coupled with the desired outcomes and capability targets established by a
community, this combined perspective is crucial to enabling all levels of government, including
tribal nations, to effectively estimate the level of capabilities required to manage its greatest
risks.
Files and information on the National Preparedness System and the Goal can be found at
http://www.fema.gov/national-preparedness-system.
National Incident Management System (NIMS) Implementation
Recipients receiving THSGP funding are required to implement the National Incident
Management System (NIMS). NIMS uses a systematic approach to integrate the best existing
processes and methods into a unified national framework for incident management. Incident
management refers to how incidents are managed across all homeland security activities,
including prevention, protection, and response, mitigation, and recovery. FY 2016 THSGP
recipients must utilize standardized resource management concepts such as typing,
credentialing, and inventorying resources that facilitates the effective identification, dispatch,
deployment, tracking and recovery of their resources.
Reporting
Recipients will use the URT to report NIMS implementation.
Planning to Deliver Capabilities
Recipients shall develop and maintain, jurisdiction-wide, all threats and hazards Emergency
Operating Plans (EOPs) consistent with CPG 101 v.2. Recipients must submit an EOP once
during the period of performance.
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Reporting
Recipients report EOP compliance with CPG 101 v2 in the URT.
Validating Capabilities
Recipients should develop long-term training and exercise priorities that examine, validate and/or
address the capability targets identified through their annual THIRA and any associated
preparedness assessments. Recipients should also review and consider areas for improvement
identified from real-world events and exercises, and national areas for improvement identified in
the most recent National Preparedness Report when developing exercise priorities.
Recipients are encouraged to develop a Multi-year Training and Exercise Plan (TEP). The TEP
should consider the risks and capability requirements described in the THIRA along with the
guidance provided by elected and appointed officials to identify and set training and exercise
program priorities and develop a multi-year schedule of exercise events and supporting training
activities to meet those priorities. A TEP that is developed from a Training and Exercise
Planning Workshop (TEPW) provides a roadmap to accomplish the multi-year priorities
identified by elected and appointed officials and whole community stakeholders. These priorities
help curriculum and exercise planners design and develop a progressive program of training and
exercises that build, sustain, and deliver core capabilities. Information related to TEPs and
TEPWs can be found on the Homeland Security Exercise and Evaluation Program (HSEEP)
website at https://www.fema.gov/exercise.
Exercises implemented with grant funds should evaluate the performance of capability against the
level of capabilities required. Guidance related to exercise evaluation and the implementation of
improvements is defined in the HSEEP located at https://www.fema.gov/exercise.
All recipients are encouraged to develop and maintain a progressive exercise program, consistent
to the extent practical, with HSEEP and in support of the National Exercise Program (NEP) The
NEP is critical to our Nation’s ability to test and validate core capabilities. Grant recipients are
highly encouraged to nominate exercises into the NEP. For additional information on the NEP,
please refer to http://www.fema.gov/national-exercise-program.
A progressive, multi-year exercise program enables organizations to participate in a series of
increasingly complex exercises, with each successive exercise building upon the previous one
until mastery is achieved while also taking into account prior lessons learned. Regardless of the
exercise type, each exercise within the progressive series is linked to a set of common program
priorities and designed to test associated capabilities.
Reporting
In order to report on grant-funded exercises, recipients can either submit one After Action
Report/Improvement Plan (AAR/IP) from the progressive exercise program conducted within the
THSGP Period of Performance; or submit individual AAR/IPs for each THSGP-funded
exercise. AAR/IPs should be submitted to [email protected], no later than 90 days after
completion of the exercise. In accordance with HSEEP guidance recipients are reminded of the
importance of implementing corrective actions iteratively throughout the progressive exercise
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cycle. Recipients are encouraged to use the HSEEP AAR/IP template located at
https://www.fema.gov/exercise and utilize the Corrective Action Program (CAP) System at
https://hseep.dhs.gov/caps/, as a means to track the implementation of corrective actions listed in
the AAR/IP.
Countering Violent Extremism
Cases of U.S.-based individuals traveling or attempting to travel overseas to join transnational
terrorist organizations such as al Qaeda, al Shabaab, and ISIL, combined with the threat posed by
homegrown extremists who carry out violent attacks inside the United States in support of a
variety of ideologies, illustrate the need for programs and initiatives aimed at preventing or
stopping the radicalization processes that can lead to violence. 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 approach begins with the premise that wellinformed and well-equipped families, communities, and local institutions are the best defense
against organizations and ideologies that use or advocate violence to achieve their ends and
recognizes that federal financial assistance programs can be an effective tool for supporting those
locally based efforts.
The Tribal Homeland Security Grant Program allows a range of CVE activities and initiatives,
and the Administration strongly encourages THSGP recipients to consider allocating grant
funding to support CVE-related programs or projects, in particular those that:
•

Assist tribal governments with the development of community-based engagement
plans to supplement efforts to build safer, stronger, and more resilient communities.
Engagement plans may involve, for example, the determination of roles and
responsibilities for government agencies, community organizations, employers,
families and others in recognizing and responding to radicalization within a
community and the development of strategies for preventing and protecting against
the recruitment or incitement to violence of targeted individuals;

•

Support the incubation of local public-private partnerships and educational efforts to
address violent extremism, including the development of programs and curricula for
law enforcement, community organizations, educators and other appropriate parties
on the identification of indicators of radicalization to violence and strategies for
effective interdiction;

•

Assist local community groups in the development of CVE programs addressing
prevention, intervention and diversion efforts, including training on roles of law
enforcement and how to effectively partner with law enforcement;

•

Develop and promote training for law enforcement executives and frontline officers
on potential behaviors and indicators of violent extremism and how to appropriately
analyze and report them; officer engagement and partnership with diverse
communities; and intervention strategies; and
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•

Support community and law enforcement engagement strategies and approaches such
as roundtable events; town hall meetings; the development of online platforms that
improve connections between communities and local officials; funding for existing
and expansion of community relations efforts, support for the development of
community engagement plans and joint projects to increase the awareness of violent
extremist threats and community mitigation solutions.

Detailed descriptions of the Administration’s CVE objectives, as well as additional program
descriptions, guidance and resources for grant recipients can be found at:
• http://www.dhs.gov/topic/countering-violent-extremism
• http://www.dhs.gov/publication/cve-best-practices
Additional Considerations
Strengthening Governance Integration
DHS/FEMA preparedness grant programs are intended to support the core capabilities across the
five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are
necessary to prepare for incidents that pose the greatest risk to the Nation’s security. Each
program reflects the Department’s intent to build and sustain an integrated network of national
capabilities across all levels of government and the whole community. Disparate governance
structures must be integrated and refined to ensure resources are targeted to support the most
critical needs of a community based on risk driven, capabilities-based planning. Strong and
inclusive governance systems better ensure that disparate funding streams are coordinated and
applied for maximum impact.
DHS/FEMA requires that all governance processes that guide the allocation of preparedness
grant funds adhere to the following guiding principles:
• Coordination of Investments – resources must be allocated to address the most critical
capability needs.
• Transparency – stakeholders must be provided visibility on how preparedness grant
funds are allocated and distributed, and for what purpose.
• Substantive Local Involvement – the tools and processes that are used to inform the
critical priorities, which DHS/FEMA grants support must include local government
representatives. At the State, Tribal, and regional levels, local risk assessments must be
included in the overarching analysis to ensure that the threats and hazards of most
concern to the jurisdiction are accounted for.
• Flexibility with Accountability – recognition of unique preparedness gaps at the Tribal
level, as well as maintaining and sustaining existing capabilities.
• Support of Regional Coordination – recognition of inter/intra-state partnerships and
dependencies at the state, Tribal, and regional level, and within metropolitan areas.
Improving Cybersecurity Capabilities
When requesting funds for cybersecurity, applicants are encouraged to propose projects that
would aid in implementation of all or part of the Framework for Improving Critical Infrastructure
Cybersecurity (“The Framework”) developed by the National Institute of Standards and
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Technology (NIST). The Framework gathers existing international standards and practices to
help organizations understand, communicate, and manage their cyber risks. For organizations
that do not know where to start with developing a cybersecurity program, the Framework
provides initial guidance. For organizations with more advanced practices, the Framework offers
a way to improve their programs, such as better communication with their leadership and
suppliers about management of cyber risks.
The Department of Homeland Security's Critical Infrastructure Cyber Community C³ Voluntary
Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. Additional information on the Critical
Infrastructure Cyber Community C³ Voluntary Program can be found at www.dhs.gov/ccubedvp.
The Department of Homeland Security’s Enhanced Cybersecurity Services (ECS) program is an
example of a resource that assists in protecting U.S.-based public and private entities and
combines key elements of capabilities under the “Detect” and “Protect” functions to deliver an
impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS
offers intrusion prevention and analysis services that help U.S.-based companies and state, local,
tribal, and territorial governments defend their computer systems against unauthorized access,
exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat
indicators from sensitive and classified Government Furnished Information (GFI). DHS then
shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in
turn use the indicators to block certain types of malicious traffic from entering a company’s
networks. Groups interested in subscribing to ECS must contract directly with a CSP in order to
receive services. Please visit http://www.dhs.gov/enhanced-cybersecurity-services for a current
list of ECS CSP points of contact.

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Appendix B – FY 2016 THSGP Funding Guidelines
Recipients must comply with all applicable requirements of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R.
Part 200.
In administering the THSGP grant award, the Tribe must comply with the following general
requirements:
1. THSGP Priorities
THSGP aligns to all mission areas outlined in the Goal. Applicants must align
proposed funding to at least one or more Goal core capabilities within the IJ
Template.
2. Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and
administration of THSGP funds, such as financial management and monitoring.
Recipients may use up to five percent (5%) of the amount of the award for M&A and
sub-recipients may use up to five percent (5%) of the amount they receive for M&A.
3. Indirect Costs
Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414.
With the exception of recipients who have never received a negotiated indirect cost
rate as described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect
cost rate agreement with their cognizant federal agency to charge indirect costs to this
award. A copy of the approved rate (a fully executed, agreement negotiated with the
applicant’s cognizant federal agency) is required at the time of application and must
be provided to FEMA before indirect costs are charged to the award.
4. Allowable Costs
The following pages outline global allowable costs guidance applicable to THSGP.
Allowable activities made in support of the THSGP priorities as well as other
capability-enhancing projects must fall into the categories of planning, organization,
equipment, training, or exercises. Additional detail about each of these allowable
expense categories, as well as sections on additional activities including explicitly
unallowable costs is provided. In general, recipients should consult their FEMA HQ
Program Analyst prior to implementing any investment to ensure that it clearly meets
the allowable expense criteria established by the guidance.
Planning Activities
Planning efforts can include the prioritizing of needs, building capabilities, updating
preparedness strategies, allocating resources, and delivering preparedness programs
(including implementing national initiatives, such as America’s PrepareAthon! The
America’s PrepareAthon! website, http://www.ready.gov/prepare, includes
customizable promotional materials and easy-to-use resources)
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across disciplines (e.g., law enforcement, fire, EMS, health care systems, public
health, behavioral health, public works, rural water associations, agriculture,
information technology, emergency communications, and the general public,
including people with disabilities) and levels of government. Planning provides a
methodical way to engage the whole community in thinking through the life cycle of
potential crises, determining required capabilities, and establishing a framework for
roles and responsibilities. Planning must include participation from all stakeholders
in the community who are able to contribute critical perspectives and may have a role
in executing the plan. Planning should be flexible enough to address incidents of
varying types and magnitudes.
Planning activities should focus on the Prevention, Protection, Mitigation, Response,
and Recovery mission areas outlined in the Goal. All jurisdictions are encouraged to
work through Citizen Corps Whole Community Councils, nongovernmental entities,
and the general public in planning activities. Tribes are encouraged to include
disciplines responsible for the health, safety, education, and care of infants and
children and those responsible for integrating the accessibility and functional needs of
children and adults with disabilities. Recipients must use the CPG 101v.2:
Developing and Maintaining State, Territorial, Tribal, and Local Government
Emergency Plans in order to develop robust and effective plans. For additional
information, please see
http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf.
Information on Citizen Corps Whole Community Councils and CERT programs can
be found at: http://www.ready.gov/citizen-corps for Citizen Corps Whole Community
Councils and at http://www.fema.gov/community-emergency-response-teams for
CERT Programs.
Other preparedness activities include Youth Preparedness programs that support
practitioners as they create and run programs in their communities. Resources are
available at www.ready.gov/youth-preparedness. The Youth Preparedness Catalogue.
The catalogue describes national, regional, and state-level programs.
http://www.fema.gov/media-library/assets/documents/94775. For more information
on the Council please visit: www.ready.gov/youth-preparedness-council.
The National Disaster Recovery Framework (NDRF) provides an overarching
interagency coordination structure for the recovery phase for incidents covered under
the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended
(Pub. L. No. 100-707) (the “Stafford Act”) and significant non-Stafford Act incidents.
The NDRF is a guide that promotes effective recovery and is a tool that can be used
to efficiently direct pre-disaster recovery planning activities. For more information
on the NDRF see http://www.fema.gov/pdf/recoveryframework/ndrf.pdf.
Continuity of Operations
DHS/FEMA is designated as the Department of Homeland Security's lead agency for
managing the nation's Continuity Program. To support this role, FEMA provides
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direction and guidance to assist in developing capabilities for continuing the federal
and state, territorial, tribal, and local (STTL) government jurisdictions and private
sector organizations' essential functions across a broad spectrum of emergencies.
National Security Presidential Directive 51, National Security Presidential Directive
20, the National Continuity Policy Implementation Plan (NCPIP), the Federal
Continuity Directive 1(FCD 1), and Continuity Guidance Circular 1 (CGC 1), and
CGC 2 outline the following overarching continuity requirements for agencies and
organizations and provide guidance, methodology, and checklists. For additional
information on continuity programs, guidance, and directives, visit
http://www.fema.gov/guidance-directives and http://www.fema.gov/continuityoperations or contact the respective Regional Continuity Manager.
Organization Activities
Recipients may use grant funds for organization activities, including:
•
•

Paying salaries and benefits for personnel, including individuals employed to
serve as qualified intelligence analysts
Utilization of standardized resource management concepts such as typing,
inventorying, organizing, and tracking to facilitate the dispatch, deployment,
and recovery of resources before, during, and after an incident

Equipment Activities
The 21 allowable prevention, protection, mitigation, response, and recovery
equipment categories and equipment standards for THSGP are listed on the webbased version of the Authorized Equipment List (AEL) available at
https://www.fema.gov/authorized-equipment-list. Unless otherwise stated, equipment
must meet all mandatory regulatory and/or DHS-adopted standards to be eligible for
purchase using these funds. In addition, agencies will be responsible for obtaining
and maintaining all necessary certifications and licenses for the requested equipment.
Recipients should analyze the cost benefits of purchasing versus leasing equipment,
especially high cost items and those subject to rapid technical advances. Large
equipment purchases must be identified and explained. For more information
regarding property management standards for equipment, please reference 2 C.F.R.
Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316.
Controlled Equipment
Grant funds may be used for the purchase of Controlled Equipment, however,
because of the nature of the equipment and the potential impact on the community,
there are additional and specific requirements in order to acquire this equipment.
Refer to Information Bulletin 407 Use of Grant Funds for Controlled Equipment for
the complete Controlled Equipment List, information regarding the Controlled
Equipment Request Form, and a description of the specific requirements for acquiring
controlled equipment with DHS/FEMA grant funds. For additional information on
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controlled equipment refer to Executive Order (EO) 13688 Federal Support for Local
Law Enforcement Equipment Acquisition, and the Recommendations Pursuant to
Executive Order 13688.
Requirements for Small Unmanned Aircraft System
All requests to purchase Small Unmanned Aircraft System (SUAS) with FEMA grant
funding must also include the policies and procedures in place to safeguard
individuals’ privacy, civil rights, and civil liberties of the jurisdiction that will
purchase, take title to, or otherwise use the SUAS equipment, see Presidential
Memorandum: Promoting Economic Competitiveness While Safeguarding Privacy,
Civil Rights, and Civil Liberties, in Domestic Use of Unmanned Aircraft Systems,
issued February 20, 2015.
Prohibited Equipment
Grant funds may not be used for the purchase of Prohibited Equipment. Refer to
Information Bulletin 407 Use of Grant Funds for Controlled Equipment for the
complete Prohibited Equipment List. For additional information on Prohibited
Equipment see Executive Order (EO) 13688 Federal Support for Local Law
Enforcement Equipment Acquisition, and the Recommendations Pursuant to
Executive Order 13688.
Training Activities
Tribes are strongly encouraged to use THSGP funds to develop and/or maintain a
homeland security training program. Allowable training-related costs under THSGP
include the establishment, support, conduct, and attendance of training specifically
identified under the THSGP and/or in conjunction with emergency preparedness
training by other Federal agencies (e.g., the Department of Health and Human
Services, and the Department of Transportation).
Training conducted using THSGP funds should address a performance gap identified
through an assessment or contribute to building a capability that will be evaluated
through a formal exercise. Exercises should be used to provide the opportunity to
demonstrate and validate skills learned in training, as well as to identify training gaps.
Any training or training gaps evaluated though a formal exercise, including those for
vulnerable populations including children, the elderly, pregnant women, and
individuals with disabilities or access and functional needs should be identified in the
AAR/IP.
All training and exercises conducted with THSGP funds should support the
development and testing of the jurisdiction’s Emergency Operations Plan (EOP)
components or specific annexes, consistent with the priorities in the National
Preparedness System. Recipients are encouraged to use existing training rather than
developing new courses.

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When developing new courses, recipients are encouraged to apply the Analysis
Design Development and Implementation Evaluation (ADDIE) model of instruction
design (https://www.firstrespondertraining.gov/content.do).
DHS/FEMA supports and encourages the coordination of all emergency preparedness
training towards the achievement of the Goal. To this end, DHS/FEMA supports the
establishment of a Tribal Training Point of Contact (TTPOC). The role of the tribal
Training POC is to coordinate the tribes’ training needs and activities with
DHS/FEMA and DHS/FEMA’s federal training partners, and holds the same
authority and roles that State Training Points of Contact serve within State
Administrative Agencies nationwide. DHS/FEMA will coordinate with Tribal
Training Officers (TTO) as it relates to FEMA training when notified by recipients.
Per FEMA Grant Programs Directorate’s Policy FP 207-008-064-1 issued on
September 9, 2013, States, territories, tribal entities and Urban Areas are no longer
required to request approval from FEMA for personnel to attend non-FEMA training
as long as the training is coordinated with and approved by the State, territory, tribal
or Urban Area Training Point of Contact (TPOC) and falls within the FEMA mission
scope and the jurisdiction’s EOP. For additional information on training course
review and approval requirements please refer to FEMA Grant Programs Directorate
Policy FP 207-008-064-1, Review and Approval Requirements for Training Courses
Funded Through Preparedness Grants, issued on September 9, 2013. The Policy can
be accessed at http://www.fema.gov/media-library/assets/documents/34856.
Personnel Activities
Personnel hiring, overtime, and backfill expenses are permitted under this grant in
order to perform allowable THSGP planning, training, exercise, and equipment
activities.
Not more than 50 percent (50%) of total THSGP funds may be used for personnel
activities as directed by the Homeland Security Act of 2002, as amended by the
Personnel Reimbursement for Intelligence Cooperation and Enhancement (PRICE) of
Homeland Security Act (Pub. L. No. 110-412) (6 U.S.C. §609(b)(2)(A)). This cap
may be waived per 6 U.S.C. § 609(b)(2)(B). For further details, THSGP recipients
should refer to IB 358 or contact their FEMA HQ Program Analyst.
THSGP funds may not be used to support the hiring of any personnel for the purposes
of fulfilling traditional public safety duties or to supplant traditional public safety
positions and responsibilities.
Construction and Renovation
Construction projects are only permitted where they will assist the recipient to
achieve target capabilities related to preventing, preparing for, protecting against, or
responding to acts of terrorism, including through the alteration or remodeling of
existing buildings for the purpose of making them secure against acts of terrorism.
THSGP funding may not be used for construction and renovation projects without
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prior written approval from FEMA. All recipients of THSGP program funds must
request and receive approval from FEMA before any THSGP Program funds are used
for any construction or renovation. Additionally, recipients are required to submit a
SF-424C Budget and Budget detail citing the project costs. The total cost of any
construction or renovation paid for using THSGP Program funds may not exceed the
greater amount of $1,000,000 or 15 percent (15%) of the THSGP award.
For the purposes of the limitations on funding levels only, communications towers are
not considered construction. When applying for construction funds, including
communications towers, at the time of application, recipients must submit evidence of
approved zoning ordinances, architectural plans, any other locally required planning
permits, and a notice of federal interest.
When applying for funds to construct communication towers, recipients and
subrecipients must submit evidence that the FCC’s Section 106 review process has
been completed and submit all documentation resulting from that review to GPD
prior to submitting materials for EHP review. Recipients and subrecipients are also
encouraged to have completed as many steps as possible for a successful EHP review
in support of their proposal for funding (e.g., coordination with their Tribal Historic
Preservation Office to identify potential historic preservation issues and to discuss the
potential for project effects; compliance with all state and EHP laws and
requirements). Projects for which an Environmental Assessment (EA) is needed, as
defined in 44 C.F.R. § 10.8, must also be identified to the FEMA HQ Program
Analyst within six months of the award. Completed EHP review materials for
construction and communication tower projects must be submitted no later than 12
months before the end of the period of performance. EHP review materials should be
sent to [email protected].
THSGP recipients using funds for construction projects must comply with the DavisBacon Act (40 U.S.C. §§ 3141 et seq.). Grant recipients must ensure that their
contractors or subcontractors for construction projects pay workers no less than the
prevailing wages for laborers and mechanics employed on projects of a character
similar to the contract work in the civil subdivision of the State in which the work is
to be performed. Additional information regarding compliance with the Davis-Bacon
Act, including Department of Labor (DOL) wage determinations, is available from
the following website: http://www.dol.gov/whd/govcontracts/dbra.htm.
Other Allowable Costs
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are allowable under all active and
future grant awards, unless otherwise noted.
THSGP grant funds are intended to support the Goal and fund projects that build and
sustain the capabilities necessary to prevent, protect against, mitigate the effects of,
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respond to, and recover from those threats that pose the greatest risk to the security of
the Nation. In order to provide recipients the ability to meet this objective, the policy
set forth in GPD’s IB 379a (Guidance to State Administrative Agencies to Expedite
the Expenditure of Certain DHS/FEMA Grant Funding) allows for the expansion of
eligible maintenance and sustainment costs which must be in 1) direct support of
existing capabilities; (2) must be an otherwise allowable expenditure under the
applicable grant program; (3) be tied to one of the core capabilities in the five mission
areas contained within the Goal, and (4) shareable through the Emergency
Management Assistance Compact. Additionally, eligible costs may be in support of
equipment, training, and critical resources that have previously been purchased with
either federal grant or any other source of funding other than DHS/FEMA
preparedness grant program dollars.
Additional guidance is provided in FEMA Policy FP 205-402-125-1, Maintenance
Contracts and Warranty Coverage Funded by Preparedness Grants, located at:
http://www.fema.gov/media-library/assets/documents/32474.
Critical Emergency Supplies
In furtherance of DHS’s mission, critical emergency supplies, such as shelf stable
food products, water, and basic medical supplies are an allowable expense under
THSGP. Prior to allocating grant funds for stockpiling purposes, each Tribe must
have FEMA’s approval of a five-year viable inventory management plan, an effective
distribution strategy and related sustainment costs if planned grant expenditure is over
$100,000.
The inventory management plan and distribution strategy, to include sustainment
costs, will be developed and monitored by FEMA GPD with the assistance of the
FEMA Logistics Management Directorate (LMD). GPD will coordinate with LMD
and the respective FEMA Region to provide program oversight and technical
assistance as it relates to the purchase of critical emergency supplies under THSGP.
GPD and LMD will establish guidelines and requirements for the purchase of these
supplies under THSGP and monitor development and status of the Tribe’s inventory
management plan and distribution strategy. Linkages between specific projects
undertaken with THSGP funds and strategic goals and objectives will be highlighted
through regular required reporting mechanisms.
If grant expenditures exceed the minimum threshold, the five-year inventory
management plan will be developed and monitored by FEMA GPD with the
assistance of the FEMA LMD.
Secure Identification
In addition to the expenditures outlined above, THSGP funds may be used to support
the development and production of enhanced tribal documents (e.g., Enhanced Tribal
Cards [ETCs]) designed to meet the requirements of the Western Hemisphere Travel
Initiative (WHTI). More information on the WHTI may be found at

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Appendix B-FY 2016 THSGP Funding Guidelines

http://www.dhs.gov/files/programs/gc_1200693579776.shtm and
http://www.getyouhome.gov/html/eng_map.html.
When completing the IJ Template, please refer to the Goal at for a list of the core
capabilities that best fit the proposed activities and costs. For additional assistance in
determining the core capabilities that fit the proposed WHTI project, please contact
the CSID by phone at (800) 368-6498 or by e-mail at [email protected], Monday
through Friday, 9:00 a.m. – 5:00 p.m. EST.

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Appendix B-FY 2016 THSGP Funding Guidelines

Appendix C – FY 2016 THSGP Investment Justification (IJ) Outline
Tribes should use the Excel 2003-based THSGP IJ Template (OMB Control Number: 16600113) for their THSGP application submission. If using a more recent version of Excel (e.g.,
Excel 2007) applicants should save the final version of the IJ in the Excel 2003 format before
submitting. The THSGP IJ Template can be found at http://www.fema.gov/grants or
http://www.grants.gov.
When applying for THSGP funding, it is recommended that Tribes use the name of the Tribe as
listed in the Federal Register. Applicants can also contact the CSID to confirm the Tribe name
as listed in the Federal Register.
Additional tips and helpful hints on how to complete the IJ Template can also be found in the
THSGP Reference Guide at http://www.fema.gov/grants.
After the THSGP IJ Template has been completed in Excel, please upload the IJ Template as an
attachment with the other required application materials (see Section D within the NOFO) to
http://www.grants.gov.

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Appendix C – FY 2016 THSGP Investment Justification (IJ) Outline

THSGP Investment Justification Outline
Que stion
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).
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 2016 funds.
Please note, if this Investment is marked “New”, please move to
question II.B.
II.B
II.C

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.

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.
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
2016 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.

Response

Scoring Crite ria

Short title (100 char. max.)
Short title (100 char. max.)
N/S

Narrative
(2500 char. max.)

New, Ongoing
Narrative
(1500 char. max.)

N/S

Building, Sustainment
Narrative
(1500 char. max.)

The response provides a detailed
description and clear understanding
of various activities that will be
supported by this Investment.

Narrative
(1500 char. max.)

N/S

Narrative
(1500 char. max.)
Narrative
(1500 char. max.)

The response provides a clear
understanding of existing capability
levels and what capability gap(s) the
Investment will address.

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Appendix C – FY 2016 THSGP Investment Justification (IJ) Outline

IV. Project Manage me nt and Milestone s (25%)
IV.A Provide the proposed FY 2016 THSGP funding amount for this Investment.

Amount

N/S

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 five percent (5%)of the total award
amount.

Amount/Percentage

N/S

IV.C Identify the National Preparedness Goal (NPG) core capabilities that are
supported by this Investment. For each of the selected NPG core
capabilities, provide the proposed funding amount to be obligated from this
Investment.

Select all that apply and Amount

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.
IV.E Each grantee must submit a detailed budget narrative, in addition to SF424A, 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.
IV.F Identify up to ten projects/activities, with start and end dates, which will be
implemented over the 36 month period of performance (September 1, 2016 August 31, 2019). Provide the following information:
- 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?

Planning, Organization,
Equipment, Training, Exercise

Narrative
(1500 char. max.)

Short title (100 char. max.)
Amount
Initiate, Plan, Execute, Control,
Close Out
Month/Year
Month/Year

The response provides a clear
demonstration and a comprehensive
understanding of how the Investment
supports identified National
Preparedness Goal core capabilities
and primary POETE Solution Area.

The response provides a clear
explanation of how the funds will be
utilized and demonstrates the need to
achieve the outcomes.

The response also provides a clear
description of projects/activities that
will demonstrate progress towards
achieving the Investment.

No/Yes

N/S

Narrative
(1500 char. max.)

The response provides a clear
description of how the outcomes will
be achieved during the FY 2016
THSGP period of performance. The
response also describes how
accomplishments will bridge
capability gap(s) outlined in Section
III, Baseline.

Select all that apply

N/S

V. Accomplishme nts and Impact (25%)
V.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.

V.B Identify the mission areas that are supported by this Investment:

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Appendix C – FY 2016 THSGP Investment Justification (IJ) Outline