Form FEMA Form 089-1 FEMA Form 089-1 HSGP Investment Justification

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency
HSGP INVESTMENT JUSTIFCATION PLANNING TEMPLATE

OMB Control Number: 1660-0125
Expiration: 4/30/2017

Paperwork Burden Disclosure Notice:
Public reporting burden for this data collection is estimated to average 1488.5 hours per response. The burden estimate includes the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and submitting this form.
This collection of information is required to obtain or retain benefits. You are not required to respond to this collection of information unless a
valid OMB control number is displayed on this form. Send comments regarding the accuracy of the burden estimate and any suggestions for
reducing the burden to: Information Collections Management, Department of Homeland Security, Federal Emergency Management Agency,
500 C Street, SW., Washington, DC 20472-3100, Paperwork Reduction Project (1660-0125) NOTE: Do not send your completed form to this
address.
The IJ Template is useful for the Portfolio and Investment Questions. For the project section, the applicant should use the Project Worksheet.
The template allows applicants to take advantage of spelling and grammar as well as character count functions available in MS Word during
the IJ development. To ensure adherence with formatting requirements, applicants are strongly encouraged to utilize these functions prior to
copying text from MS Word to the GRT. Please note that character count limits include spacing and all forms of punctuation. To simplify the
transfer of the narrative information section into the ND Grants system, it is also recommended that the applicant save a working copy of this
Form, deleting Part III and the Appendix.
PART I. PORTFOLIO INFORMATION
The portfolio provides the overall context for the investments and projects included in the application. The applicant must answer the two
portfolio questions only once.
I. A. Discuss at a broad level the principle hazards, risk and capability gaps that the following investments will be addressing.

DRAFT
DRAFT
NOT
APPROVED
FOR
USE

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

Program

M&A
Amount

M&A
Percentage

Subtotal
(Request Amount + M&A)

SHSP

$

$

%

$

UASI

$

$

%

$

Total:

$

$

%

$

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PART II. SPECIFIC INVESTMENT INFORMATION
II. A. Provide the Investment name: (100 character max)

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

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

Funding Amount

Proposed Funding Source (Select One)

$

Proposed Amount

$

DRAFT

II. D. Is this the consolidated fusion center investment? (Double-click to place an “X” in the corresponding box. Within the GRT, this will
be a drop-down menu.)
Yes

No

Please note that all fusion center-related funding requests must be consolidated into a single investment per funding source (e.g., SHSP,
UASI) in which recognized fusion centers reside. The consolidated fusion center Investment per funding source must address funding support
for the recognized fusion center (For a list of recognized fusion centers, please see http://www.dhs.gov/files/programs/gc_1301685827335.
shtm).
DRAFT
NOT
II. E. How much of this Investment will be obligated towards Law
Enforcement Terrorism Prevention Activities (LETPA):
APPROVED
FOR
$
USE

Per section 2006 of the Homeland Security Act of 2002, as amended, (6 U.S.C. § 607), FEMA is required to ensure that at least 25 percent
(25%) of grant funding appropriated for the Homeland Security Grant Program are used for law enforcement terrorism prevention activities.
FEMA meets this requirement, in part, by requiring all SHSP and UASI recipients to ensure that at least 25 percent (25%) of grant funding
appropriated for grants awarded under HSGP's authorizing statute is used for law enforcement terrorism prevention activities. The LETPA
allocation can be from SHSP, UASI or both. This requirement does not include award funds from OPSG.
II. F. Describe how the THIRA, SPR, and Capabilities Estimation influenced the development of this investment.

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PART III. PROJECT INFORMATION
All of the requested funding must be associated with specific projects. For each project several pieces of information, or attributes, must be
provided in order to submit the project for consideration in the application. The tables below list each attribute, followed by a description and a
set of instructions for the applicant to follow to provide the appropriate information.
To prepare for completing the IJ in the GRT, applicants should utilize the Project Worksheet (http://www.fema.gov/grants) to plan their
applications and to record the necessary information for each project. The Project Worksheet is divided into two tabs: `Baseline Project
Information' and `Project Implementation'. Once the applicant provides a name for a project on the `Baseline Project Information' tab, the
name will auto-populate on the `Project Implementation' tab.
The Project Worksheet provides drop-down selections for several of the project attributes. The applicant may then use the information
collected in the worksheet for rapid transfer to the GRT interface. Each project will be given a unique identifier as it is submitted via the GRT.
Recipients should keep a record of the project identifiers as they will be required to report on each project using that identifier.
INDIVIDUAL PROJECTS
III. A. Project Alignment to Core Capability Gaps
The first section of project attributes contains basic information about how the projects support or build core capabilities. All of these attributes
are required for every project. If an attribute is left blank in the GRT an error message will appear and the applicant will not be able to submit
the application.

DRAFT

The GRT will provide a list of sub-recipients from previous awards. Alternatively, the applicant will have the opportunity to add a new subrecipient to the list. The attribute of `Sub-recipient type' will be auto-populated based on the sub-recipient selection. The applicant must ensure
that 80% of the award funds are passed through to local entities.
For additional information on the NPG and Core Capabilities, please visit http://www.fema.gov/resource-management-mutual-aid.
Attribute
Name

Description

Project Name

Descriptive Identifier of the Project

Project
Description

Descriptive Narrative of the Project

Sub-Recipient
Name

Organization Name of the Subrecipient who will be executing the
project

Select the name of state agency or sub-organization receiving award funds or
create a new sub-recipient.

Recipient Type

State or Local recipient for
purposes of meeting the 80% pass
through requirement

This attribute will auto populate in the GRT based on what state agency or subrecipient is selected.

Project
Location

Zip code of the primary location of
the project

Provide the 5-digit zip code where the project will be executed. The project location
could be distinct from the sub-recipient address.

Primary Core
Capability

Primary Core Capability that the
Project will impact

Every project must support a Core Capability. Select the primary core capability
associated with this project.

Indicates whether the project will
sustain or build a core capability

Select "build" if this project focuses on starting a new capability or the intent of the
project is to close a capability gap (i.e. taking the core capability as a whole from
an SPR score 1 to a 2), or "sustain" if the purpose of the project strictly maintains
a core capability at its existing current level (i.e. the project does not move the
core capability as a whole neither up nor down from its existing SPR score).

Sustain or Build

Deployable

Shareable

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

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Application Instructions
DRAFT
Provide aNOT
title for specified project (100 character max). Title must reflect nature of
work APPROVED
to be completed under the project.
FOR
Provide aUSE
brief narrative describing the project at a high level. (1500 chars.)
Identify the NIMS typed resource if any, that is supported by this project. Refer to
the Resource Typing Library Tool at http://www.fema.gov/resource-managementmutual-aid.

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

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

Description

Application Instructions

Planning

Dollar Amount of the Project
supporting Planning

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

Organization

Dollar Amount of the Project
supporting Organization

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

Equipment

Dollar Amount of the Project
supporting Equipment

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

Training

Dollar Amount of the Project
supporting Training

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

Exercises

Dollar Amount of the Project
supporting Exercises

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

Total

Total dollar amount for the project.

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

DRAFT

III. C. Project Implementation and Management

For every project, identify the baseline for project implementation according to whether it builds on a previous investment. Not all projects will
be linked to previous investments. Next, determine the appropriate project management phase. For new projects, this will likely be the `initiate'
or `planning' phase. However, if the project builds on a previous investment, the project may be in a more advanced `execution' or `control'
phase. As the project is implemented the recipient will be expected DRAFT
to report on the progress of the project through the management phases.
Please reference Appendix A for a detailed description of the Project NOT
Management Life-cycle.
APPROVED
The applicant will then be required to provide start and end dates for FOR
the project, within the 36 month period of performance. Finally, indicate
USE
whether the activities of the project will require new construction or renovation,
retrofitting, or modification of existing structures. This project
attribute is required as some project activities may require extensive environmental review which can affect when implementation can begin.
Attribute Name

Description

Application Instructions

Does the Project
Support a Previously
Awarded Investment?

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

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

If yes, from which
year?

Fiscal Year of the previous award.

If the project is a continuation of a previous investment, select the specific
investment from the list.

If Yes, which
investment?

The previously awarded investment
that the project supports.

If the project is a continuation of a previous investment, select the specific
investment from the list.

What is the Last
Completed milestone
of the previous
investment?

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

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

Project Management
Step

The current Project Life-cycle phase Select the most applicable step. Refer to the appendices of the investment
of the previously awarded
justification guide for a discussion of the standard project management steps
investment, or the new project.
and principles.

Start Date

Start Date of the Project/Previously
Awarded Investment

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

End Date

End Date of the Project/Previously
Awarded Investment

Provide the approximate end date of the project. If the end date is the end of
the expected period of performance, provide that.

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III. C. Project Implementation and Management (continued)
Attribute Name

Description

Application Instructions

Construction
Activity

Indicates whether activities of the
project will involve construction,
renovation, retrofitting or
modifications to an existing
structure.

Select yes if the project may involve construction related activity.

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

Description

Initiate

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

Plan

Execute

Process

DRAFT

The purposes of establishing, at an early date, the
parameters of the project that is going to be worked on
as well as to try to delineate any specifics and/or any
DRAFT
peculiarities to the project as a whole and/or any
specific
NOT
phases of the project.
APPROVED
The period within the project life-cycle during which
FORthe
actual work of creating the project's deliverablesUSE
is
carried out.

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

Control

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

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

Close Out

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

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

For additional information on the Project Management Life-cycle, please visit Project Management Institute's (PMI) A Guide to the Project
Management Body of Knowledge (PMBOK Guide) at http://www.pmi.org/PMBOK-Guide-and-Standards.aspx. Specifically, applicants are
encouraged to reference Chapter three of the PMBOK Guide, The Standard for Project Management of a Project.

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