Fiscal Year 2008 

 

STATE HOMELAND SECURITY PROGRAM 

 

 

TRIBAL INVESTMENT JUSTIFICATION REFERENCE 
GUIDE 

 

 

 

March 2008 

U.S. DEPARTMENT OF HOMELAND SECURITY 

U.S. DEPARTMENT OF HOMELAND SECURITY 



 

CONTENTS 

 

PART I. PURPOSE......................................................................................................................................2 
PART II. SUBMISSION REQUIREMENTS..................................................................................................3 
PART III. REVIEW PROCESS, WEIGHTS, AND SCORING.......................................................................5 
PART IV. COMPLETING THE INVESTMENT JUSTIFICATION...............................................................11 
APPENDIX A. 50 MOST POPULOUS METROPOLITAN STATISTICAL AREAS...................................34 
APPENDIX B. DEFINITIONS....................................................................................................................35 
APPENDIX C. ACRONYMS.......................................................................................................................37 
APPENDIX D. TARGET CAPABILITIES AND NATIONAL PRIORITIES.................................................38 
 

Part I. 
Purpose 

 

The purpose of the Tribal Investment Justification Reference Guide is to help eligible 
tribes develop and compile their Fiscal Year 2008 (FY08) State Homeland Security 
Program (SHSP) Investment Justifications. This guide complements the FY08 SHSP 
Supplemental Guidance for Tribal Applicants, developed by the Department of 
Homeland Securitys (DHS) Federal Emergency Management Agency (FEMA). 

 

The Investment Justification is the method by which eligible tribes: 

 

 Request funding for the State Homeland Security Program (SHSP) 
 Describe specific funding and implementation approaches over the 36-month 
grant period of performance that will help enhance and sustain capabilities and 
achieve outcomes aligned with the National Preparedness Guidelines, and 
homeland security plans 


 

This guide contains specific guidance on: 

 

 Scoring criteria against which each question will be evaluated 
 Detailed steps on how to complete each question in the Investment Justification 
 Overview of the Tribal Investment Justification Worksheet 


 


 

Part II. 
Submission Requirements 

 

A. Investment Justifications 

 

Eligible tribes requesting SHSP funding must submit an Investment Justification. The 
Investment Justification may include up to 15 Investments and must account for all 
SHSP funds requested by the applicant. Per the requirements in the FY08 SHSP 
Supplemental Guidance for Tribal Applicants, at least 25 percent of the total SHSP 
award amount must be dedicated toward enhancing capabilities related to Improvised 
Explosive Devices (IEDs) and strengthening preparedness planning. Additionally, at 
least 25 percent of SHSP award funds must also be dedicated towards law enforcement 
terrorism prevention-oriented planning, organization, training, exercise, and equipment 
activities. 

 

B. State Preparedness Report 

 

The State Preparedness Report (SPR) will be used by the peer reviewers to provide 
context for the Investments outlined in the Investment Justifications of States, Territories 
Urban Areas, and eligible tribes. The State Preparedness Report will only be used as a 
reference, and will not be scored. The Investment Justifications are expected to be self-
sufficient and self-contained, and should not rely on cross-references to any planning 
information contained in other sources. 

 

Eligible tribes are not required to submit their own Preparedness Reports. The State 
Preparedness Report should represent all statewide homeland security priorities, 
including those specific to eligible tribes. Likewise, the Investment Justifications of 
eligible tribes should clearly reference support to Three-Year Targets from the State 
Preparedness Report within their Investment Justifications. Therefore, States are 
strongly encouraged to share their State Preparedness Reports with eligible tribes for 
optimal State and tribal planning purposes. 

 

C. Investment Justification Worksheet 

 

Eligible tribes must use the Tribal Investment Justification Worksheet to request SHSP 
funds. 

 

D. Grants.gov 

 

Prior to submission to Grants.gov, Eligible tribes must provide a copy of their Tribal 
Investment Justification Worksheet, which includes the tribal eligibility checklist, to the 
State in which the tribe primarily resides. After providing a copy to their State, eligible 
tribes must then submit their Tribal Investment Justification Worksheet to 
http://www.grants.gov no later than 11:59 p.m. Eastern Daylight Time, May 1, 2008. 


Please refer to Appendix E of the FY08 SHSP Supplemental Guidance for Tribal 
Applicants for additional information about submitting the Investment Justification to 
Grants.gov. 

 

E. Additional Information 

 

Additional information regarding Grants.gov requirements, the FY08 SHSP grant 
programs, funding priorities, and allowable cost information can be found in the FY08 
SHSP Supplemental Guidance for Tribal Applicants. 

 

Questions regarding the Investment Justification and the Investment Justification 
submission process should be directed to the Centralized Scheduling and Information 
Desk (CSID). CSID can be contacted at 1-800-368-6498 or askcsid@dhs.gov. CSID 
hours of operation are from 8:00 a.m. to 6:00 p.m. (EST), Monday through Friday. 

 


 

Part III. 
Review Process, Weights, and Scoring 

 

Each Investment Justification will be evaluated by a panel of peer reviewers to 
determine the anticipated effectiveness of an applicants plan to address national and 
local priorities (including the National Preparedness Guidelines and applicant-specific 
priorities), with the overall goal of managing risk and building capabilities. 

 

FEMA has defined anticipated effectiveness as: 

 The extent to which the eligible tribes Investment supports the vision of 
homeland security plans 
 The ability to successfully execute and implement the Investment to achieve the 
planned Investment outputs and outcomes 


 

For each applicant, the FY08 Investment Justification consists of an Overall section and 
up to 15 Investments. 

 

Each of the 15 individual Investments contains four categories. Within these four 
categories there are a total of 13 individual Investment questions. The four categories, 
and the number of questions included in each, are detailed below: 

 

I. Baseline (includes three questions) 
II. Strategy (includes three questions) 
III. Implementation (includes four questions) 
IV. Impact (includes two questions) 


 

The Overall section and the four categories that will be used to evaluate anticipated 
effectiveness are defined as follows: 

 

.. Overall Section: Establishes context for the overall submission and outlines how 
the applicant understands their perceived risks, as well as how this 
understanding of risks influenced the applicants priorities and planning of the 
Investment Justification submission. Also outlines planned management and 
administrative costs associated with the implementation of the Investment 
Justification. 
I. Baseline category: Establishes context for and historical information related to 
the individual Investment to explain its current status. This helps to provide an 
understanding of the current state as well as future plans for the Investment. 
II. Strategy category: Ensures the Investment is aligned with homeland security 
plans, Target Capabilities and National Priorities. 
III. Implementation category: 
 Funding Plan question: Ensures the applicant has plans in place to use 
the requested funds efficiently and effectively. 







 Milestones question: Ensures the applicant has sufficient plans for 
implementing the Investment over the 36-month grant period of 
performance, including discrete tasks and timelines. 
 Project Management question: Ensures the applicant has the 
appropriate management team and skill sets in place to oversee the 
implementation and execution of the Investment. 
 Investment Challenges question: Ensures the applicant has identified 
challenges to successful implementation and execution of the Investment, 
and has proactive or anticipatory mitigation strategies to address those 
challenges. 


IV. Impact category: Ensures that the funds dedicated to the Investment will result 
in measurable, achievable outputs and outcomes aligned with target capabilities 
and program needs, and to maintain the capability level provided by the 
Investment after FY08 SHSP funds have been expended. 




 

Weights have been assigned to reinforce priority areas. While the applicants response 
to every question will not be individually scored by the peer reviewers, the peer 
reviewers will review every response for context. The following table contains the 
scoring criteria for each question and the weights that will be applied: 

 

FY08 Investment Justification Scoring Criteria and Weights 

Overall Investment Justification and Management and Administrative Costs 

Section 

Question and Scoring Criteria 

Weight 

Overall 

Overall Investment Justification Question: 

The information provided will be scored in terms of 
its contribution to setting context and its relationship 
to other questions. 

N/A 

Management and Administrative Costs 
Question: 

The information provided will be scored in terms of 
its contribution to setting context and its relationship 
to other questions. 

Individual Investments 

Section 

Question and Scoring Criteria 

Weight 

Investment 
Heading 

Tribe Name 

Response should include the eligible tribe 
submitting the Investment 

N/A 

 

Investment Name 

 

I. Baseline 

I.A. Purpose Statement 

The information provided will be scored in terms of 
its contribution to setting context and its relationship 
to other questions. 

N/A 




I.B. Description 

The information provided will be scored in terms of 
its contribution to setting context and its relationship 
to other questions. 

II. Strategy 

II. A. Homeland Security Plan 

 Explanation provides linkage between the 
Investment and homeland security plans 


15% of 
Investment 
Categories 
Score 

II. B. Target Capabilities 

 Explanation provides linkage between the 
Investment and primary Target Capability 
Explanation demonstrates how the Investment 
will support the primary Target Capability 


II.C. National Priorities 

The information provided will be scored in terms of 
its contribution to setting context and its relationship 
to other questions. 

III. Implementation 

III.A. Funding Plan 

 Explanation references appropriate activities, 
services, or products for the solution area 


 Explanation describes how the requested SHSP 
funds will be used specifically towards this 
Investment 

 

10% of 
Investment 
Categories 
Score 

III.B. Milestones 

 Each response provides a clear description of the 
milestone, its associated activity, and start and 
end dates 


 Milestones collectively present a clear sequence 
of events that will allow the Investment to reach 
its objectives for this period of performance 

10% of 
Investment 
Categories 
Score 

III.C. Project Management 

 Response describes, at a high-level, the roles 
and responsibilities of the management team, 
governance structures, and subject matter 
expertise required to manage the Investment 
 If the management team is the same as in other 
Investments, the response explains why this is 
appropriate 


25% of 
Investment 
Categories 
Score 

III.D. Investment Challenges 

Response identifies the following: 

 Investment challenge(s) 
 Mitigation strategy for each challenge listed 
 Probability of occurrence 
 Level of impact should the challenge occur 


5% of 
Investment 
Categories 
Score 

IV. Impact 

IV.A. Impact 

 Response identifies specific measurable outputs 


35% of 
Investment 




 Response identifies specific outcomes that will 
demonstrate the Investments impact on the 
applicants preparedness environment 

 Response describes how the outcomes will 
mitigate risks outlined in the Overall Investment 
Justification question 


Categories 
Score 

IV.B. Sustainability 

 Response describes how the capabilities created 
or enhanced by this Investment will be maintained 
or sustained long term, or 


 Response describes why the Investment will not 
be maintained or sustained long term 

 

Weight Total 

100% of 
Investment 
Category 
Score 




A. Scoring A. Scoring 

 

For FY08, the expected method for calculating an Investment Justifications anticipated 
effectiveness score will remain the same as FY07. An illustration of how the FY08 
anticipated effectiveness score is calculated has been provided below. Please note that 
this overview should be considered a general guideline and is subject to change. 
For FY08, the expected method for calculating an Investment Justifications anticipated 
effectiveness score will remain the same as FY07. An illustration of how the FY08 
anticipated effectiveness score is calculated has been provided below. Please note that 
this overview should be considered a general guideline and is subject to change. 

 

FY08 Anticipated Effectiveness Calculation FY08 Anticipated Effectiveness Calculation 

 

 

 

 

 

 

The individual question scores, as described and weighted in the FY08 Investment 
Justification Scoring Criteria and Weights table, comprise the Investment Categories 
Score, represented by the blue boxes. The weightings applied to the questions were 
determined by FEMA. 
The individual question scores, as described and weighted in the FY08 Investment 
Justification Scoring Criteria and Weights table, comprise the Investment Categories 
Score, represented by the blue boxes. The weightings applied to the questions were 
determined by FEMA. 

 

The Comprehensive Investment Score, represented by the yellow box, assesses how 
well the individual responses collectively demonstrate the applicants vision (Baseline 
and Strategy sections, and the Impact question) for and ability to execute 
(Implementation section and the Sustainability question) the proposed Investment. 
The Comprehensive Investment Score, represented by the yellow box, assesses how 
well the individual responses collectively demonstrate the applicants vision (Baseline 
and Strategy sections, and the Impact question) for and ability to execute 
(Implementation section and the Sustainability question) the proposed Investment. 

 

Rounded Rectangle: Effectiveness Score
(100 Points) 
Effectiveness Score 
(100 Points) 
Portfolio 
Score 
(20 Points) 
Overall Investment 
Score 
(80 Points)
+ 
Impact(35%) 
Comprehensive 
Investment Score 
(20 Points)
Strategy(15%) 
Funding 
Plan 
(10%) 
Milestones(10%) 
Program 
Management 
(25%) 
Investment 
Challenges 
(5%) 
Investment 
Categories Score 
(80 Points) + 
Individual 
Investment Score 

The sum of the Investment Categories score and Comprehensive Investment score 
make up the Individual Investment Score, represented by the light green box. All 
Individual Investment Scores are used to produce one Overall Investment Score. 

 

Finally, a Portfolio Score, represented by the orange box, will be given to the 
Investment Justification submission as a whole. The purpose of this score is to 
examine how well all of the applicants Investments collectively support the applicants 
homeland security plans, whether there are overlapping requests or duplication of 
efforts, and how well the Investments collectively tie together is based on the applicants 
understanding of risk as outlined in the Overall Investment Justification question. 

 

The sum of the Overall Investment Score and Portfolio Management Score make up the 
Anticipated Effectiveness Score, represented by the dark green box. 


 

 

Part IV. 
Completing the Investment Justification 

 

This section provides detailed guidance on each question in the Investment 
Justification. It includes sections on the character limits that are applied throughout the 
Investment Justification, general considerations for completing the Investment 
Justification, and question-specific guidance. 

 

A. Character Limits 

 

There are two types of character limits that will be enforced: 

 Overall Investment character limit 
 Individual question response character limit 


 

The majority of the narrative responses will count toward an overall Investment 
character limit of 15,000 characters, rather than a character limit for each question. 
This provides the applicant with the flexibility to decide which questions require longer 
narratives or more detail than others, while staying within an overall Investment 
character limit. The Investment planning worksheets can be used to check the 
character length of responses. 

 

Questions that have shorter narrative responses (e.g., Funding Plan, Milestones), most 
of which are embedded within tables, have separate character limits for each response. 
These character-limited responses will not count toward the overall Investment 
character limit. 

 

Please note: Text exceeding the set character limits, including the 15,000 character 
overall Investment character limit, will not be reviewed by peer reviewers. 

 

The following table shows the Investment questions and their relevant character limits: 


 

Investment Questions and Character Limits 

Section 

Question 

Character Limit 

Investment 
Heading 

Tribe Name 

N/A 

Investment Name 

100 characters 

FY 2008 SHSP Funding Request 

N/A 

I. Baseline 

I.A. Purpose Statement 

1,000 characters 

I.B. Description 

2,500 characters 

II. Strategy 

II.A. Homeland Security Plan 

Part of 15,000 character 
overall limit 

II.B. Target Capabilities 

500 characters 

II.C. National Priorities 

N/A 

III. Implementation 

III.A. Funding Plan 

500 characters per 
solution area explanation 

III.B. Milestones 

500 characters per 
milestone 

III.C. Project Management 

Part of 15,000 character 
overall limit 

III.D. Investment Challenges 

100 characters per 
challenge 

500 characters per 
mitigation strategy 

IV. Impact 

IV.A. Impact 

Part of 15,000 character 
overall limit 

IV.B. Sustainability 

Part of 15,000 character 
overall limit 



 


B. General Considerations for Completing the Investment 
Justification 

 

.. Only the information included in the Tribal Investment Justification Worksheet will be 
scored in the peer review process. All other information is considered 
supplementary and contextual. As such, responses in the Investment Justification 
should be self-sufficient and self-contained. Applicants should not rely on 
references to other sources of information to explain their response. 


 

.. Applicants are encouraged to minimize the use of acronyms, proper nouns (e.g., 
names of service providers or contractors) and highly-technical terms specific to 
their Investment. If these acronyms, names, or terms must be used, they should be 
clearly defined. 


 

.. Applicants have the option of including attachments, such as organizational charts, 
when submitting their Tribal Investment Justification Worksheet to grants.gov. 


 

.. Applicants must read the FY08 SHSP Supplemental Guidance for Tribal Applicants 
prior to completing their Tribal Investment Justification Worksheet. 


 

 


C. Investment Justification Questions 

 

This section contains Investment Justification question-specific guidance describing the 
following: 

 

 Objectives: FEMAs purpose in asking the question 
 Scoring Criteria: The factors for how a question is scored 
 Response Checklist: Key pieces of information to include in the response 
 Helpful Hint: Additional consideration(s) that may be helpful to applicants 


 

This section will guide the applicant through the steps for completing the Overall section 
and each of the four Investment Justification categories in preparation for compiling 
their Investment Justification. 

 

Compilation Steps: 

 

.. Step 1: Complete the Overall section 

.. Step 2: Complete the Investment Heading information 

.. Step 3: Complete the Baseline category 

.. Step 4: Complete the Strategy category 

.. Step 5: Complete the Implementation category 

.. Step 6: Complete the Impact category 

.. Step 7: Reread the application to ensure that all responses clearly answer the 
questions in a way that is understandable to someone reading it for the first 
time 

 

Repeat Steps 2 through 7 for each Investment 


 

.. Step 1: Complete the Overall section 

 

Overall Investment Justification Question 

 

The Overall Investment Justification question sets the context for the Investment 
Justification submission as a whole. The question should be answered with respect to 
the entire Investment Justification submission, rather than for any individual 
Investment(s). The Overall Investment Justification question need only be addressed 
once for the entire tribal submission. 

 

Overall Investment Justification Question: Describe your understanding of the 
spectrum of terrorism and natural hazards risks your tribal area faces. Explain how 
this understanding influenced development of this Investment Justification. (4,000 
char. max) 

 

Objectives: 

 To understand the perceived risks that are specific to the applicant 
 To comprehend how this understanding of risks influenced the applicants priorities 
and planning, and therefore the Investment Justification submission 
 To explain fund allocation strategies 


 

Scoring Criteria 

The information provided will be scored in terms of its contribution to setting 
context and relationship to other questions. 



 

Response Checklist 

In the response, please: 

.. 

Describe the risks to your tribal area; remember to include: 

 Terrorism risks as perceived by the applicant 

 Natural hazard risks as perceived by the applicant, and 
 Risk information from the applicants own planning processes 


.. 

Explain how these risk considerations and planning resulted in the 
proposed Investments in this Investment Justification submission 

.. 

Explain how funds will be allocated 



 

.. Helpful Hint .. 

Potential sources of information to assist with this response include: 

 Tribal risk assessments and analyses, including natural, man-made, and 
technological risks 




 

 

 

Management and Administrative Costs Question 

 

The Management and Administrative (M&A) Costs question encompasses all M&A 
costs incurred. The question should be answered with respect to the entire Investment 


 

Justification submission, rather than for any individual Investment(s). The M&A Costs 
question need only be addressed once for the entire tribal submission. 

 

Management & Administrative Costs Question: Provide a brief overall summary of 
planned management and administrative (M&A) expenditures that support the 
implementation of the Investments proposed in this Investment Justification. (2,500 
char. max) 

 

Objectives: 

 To understand the incurred M&A costs 
 To ensure the proposed M&A costs are appropriate for the Investment Justification 


 

Scoring Criteria 

The information provided will be scored in terms of its contribution to setting 
context and relationship to other questions. 



 

Response Checklist 

In the response, please: 

.. 

Describe the M&A costs your tribe will incur 

.. 

Explain, at a high-level, what activities will be implemented in your 
proposed Investments 



 

.. Helpful Hint .. 

Potential sources of information to assist with this response include: 

 FY08 SHSP Supplemental Guidance for Tribal Applicants 
 Title 44 of the Code of Federal Regulations 
http://www.access.gpo.gov/nara/cfr/waisidx_00/44cfrv1_00.html 




 

 

Management and Administrative Costs Table 

 

The Management and Administrative (M&A) Costs Table asks the applicant to specify 
the source of all funds directed toward M&A Costs. The table should be completed with 
respect to the entire Investment Justification submission, rather than for any individual 
Investment(s). Please indicate the percentage of funds that will be dedicated to M&A 
Costs (up to 3 percent of total requested FY08 SHSP funds), as well as which grant 
program(s) will incur these costs. The M&A Costs Table need only be completed once 
for the entire submission. 

 

End of the Overall Investment Justification and Management and Administrative 
Costs questions. Proceed to Step 2. 


Individual Investment Questions 

 

Individual Investment questions provide information regarding each Investment. There 
are 13 individual Investment questions, plus the Investment Heading. While the 
Investment Heading and Baseline questions are not individually scored, they provide 
contextual information for reviewers during their review of individually scored questions 
within the Investment. All questions, including the Investment Heading, must be 
addressed for that Investment to be considered complete. Responses must be 
specific to each individual Investment, and not to the applicants overall homeland 
security program. 

 

.. Step 2: Complete the Investment Heading information 

 

Investment Heading: 

 Tribe name 
 Investment name 
 FY08 SHSP funding request 


 

Objectives: 

 To identify the applicant and the Investment 
 To provide context on the status and phase of the Investment 


 

Scoring Criteria 

The information provided will be scored in terms of its contribution to setting 
context and relationship to other questions. 



 

Response Checklist 

In the response, please: 

.. 

Identify the eligible tribe 

.. 

Provide the Investment Name (100 char. max) 

.. 

Identify the funds requested for this Investment 



 

 

End of the Investment Heading information. Proceed to Step 3. 

 


 

.. Step 3: Complete the Baseline category 

 

 

I.A. Baseline  Purpose Statement: Describe, at a high-level, what activities will be 
implemented and what will be accomplished by this Investment. (1,000 char. max) 

 

Objectives: 

 To gain a brief, overall picture of the Investments purpose 
 To have the high-level activities of the Investment listed 


 

Scoring Criteria 

The information provided will be scored in terms of its contribution to setting 
context and relationship to other questions. 



 

Response Checklist 

In the response, please: 

.. 

Identify the goal of the Investment 

.. 

Identify the key activities of the Investment 



 

 

 

I.B. Baseline  Description: Provide a summary description of the current state of 
this Investment, its objectives, and any outcomes that will be completed prior to the 
application of FY08 SHSP funds. Include in this description whether this is a new 
Investment or an Investment in maintenance/sustainment. Describe the capability 
gap(s) that this Investment is intended to address. (2,500 char. max) 

 

Objectives: 

 To understand the Investment in terms of its objectives and the capability gap(s) it 
addresses 
 To determine the state of the Investment at the start of the 26-month FY08 award 
period of performance 


 

Scoring Criteria 

The information provided will be scored in terms of its contribution to setting 
context and relationship to other questions. 



 

Response Checklist 

In the response, please: 

.. 

Describe the Investment 

 Response should include a description of the current state 
(baseline or starting point) of the Investment at the beginning of 
the FY08 award period of performance 


.. 

Discuss Investment objectives expected to be accomplished over the 
FY08 award period of performance 



 


.. 

Include all accomplishments and outcomes to date (only relevant for 
ongoing Investments) 

 Any accomplishments to date would include major milestones, 
outcomes achieved, purchases, training, or other implementation 
steps that have been or will be started and/or completed before 
the application of FY08 SHSP funds (Refer to Question IV.A for 
guidance on and examples of what is considered an outcome) 
 If this is a new Investment, indicate that as a new Investment, 
there are no accomplishments to date 


.. 

Identify the capability gap that this Investment is intended to address 



 

 

End of the Baseline category. Proceed to Step 4. 


.. Step 4: Complete the Strategy category 

 

II.A. Strategy  Homeland Security Plan: Explain how this Investment supports 
homeland security plans, such as the State Preparedness Report; (Part of overall 
Investment 15,000 char. max) 

 

Objectives: 

 To verify that the Investment contributes to the overall homeland security plan 


 

Scoring Criteria 

 Response provides linkage between the Investment and homeland 
security plans 




 

Response Checklist 

In the response, please: 

.. 

Reference relevant initiatives in the homeland security plan 

.. 

Identify specific, related page numbers from the State Preparedness 
Report 

.. 

Describe ways in which the Investment contributes to the progress 
toward identified targets 

 The explanation should directly link the Investment and the 
targets discussed 




 

 

 

Objective: 

 To understand how the Investment aligns to the National Preparedness Guidelines 
through the Target Capabilities 


 

II.B. Strategy  Target Capabilities: From the drop-down boxes, select one primary 
and up to four secondary Target Capabilities that this Investment supports. For the 
primary Target Capability selected, provide an explanation of how it is supported by 
this Investment. (500 char. max) 


 

Scoring Criteria 

 Explanation provides linkage between the Investment and primary Target 
Capability 
 Explanation demonstrates how the Investment will support the primary 
Target Capability 




 

 

Response Checklist 

In the response, please: 

.. 

Identify the primary Target Capability supported by selecting it from the 
drop-down list 

 Primary Target Capability should be the Target Capability that is 
most significantly and directly supported by the Investment 


.. 

Explain how the Investment supports the primary Target Capability 

.. 

Identify Secondary Target Capability(ies) supported (if any) by selecting 
them from the drop-down lists 

 Secondary Target Capabilities should include Target Capabilities 
that are directly supported by the Investment, but to a lesser 
extent than the Primary Target Capability 




 

 

.. Helpful Hints .. 

 Target Capabilities selected should be relevant to the capability gap(s) 
described in Question I.B 
 The score for this question is not dependent upon the number of Target 
Capabilities identified, although responses should be comprehensive for 
the Investment 




 

 

 

Objectives: 

 To understand how the Investment aligns to the National Preparedness Guidelines 
through the National Priorities it supports 


 

Scoring Criteria 

The information provided will be scored in terms of its contribution to setting 
context and relationship to other questions. 



 

II.C. Strategy  National Priorities: From the drop-down boxes, select the National 
Priority(ies) that this Investment supports; up to four may be selected. 


 

Response Checklist 

In the response, please: 

.. 

Select the National Priorities supported by this Investment from the 
drop-down lists 

 The Investment should directly support the selected National 
Priorities 




 

 

 

End of the Strategy category. Proceed to Step 5. 


.. Step 5: Complete the Implementation category .. Step 5: Complete the Implementation category 

 

Objective: Objective: 

 To obtain greater understanding of what the planned expenditures are and how they 
will be used to support the Investments objectives 
 To obtain greater understanding of what the planned expenditures are and how they 
will be used to support the Investments objectives 


 

Scoring Criteria 

 Explanation describes appropriate activities, services, or products for the 
solution area 


 Explanation describes how the requested SHSP funds will be used 
specifically towards this Investment 




 

Response Checklist 

In the response, please: 

.. 

Provide the total estimated costs for the Investment, regardless of 
source 

 Costs listed in the Solution Area Funding rows should include 
personnel costs associated with that solution area and grant 
program 


 For non-FY08 SHSP funding sources, in the table, provide the 
name of the funding source; if more than three non-SHSP 
sources are used, list the top two funding sources, label the third 
source as Other, and provide a sum total of all remaining 
sources in each solution area under Other 



III.A. Funding Plan: Provide the total estimated cost for the FY08 award period of 
performance for this Investment by completing the following table: 

 For each solution area that has an associated FY08 SHSP funds request, 
provide a brief summary of the planned expenditures (including personnel) 

 If this Investment uses other funding sources, identify the funding source and 
provide a brief summary of how those funds will be applied 

 (500 char. max per solution area) 


.. 

Explain the planned expenditures, including products, services, and 
activities 

 Solution area summaries should include a description of the 
personnel costs that are associated with that solution area 
 Planned expenditures should be appropriate for the purpose of 
the Investment 
 Planned expenditures should be appropriate for the solution 
area and grant program under which they are described 
 Solution area summaries should provide a level of detail 
sufficient to understand how the funding will be used; however, 
the list of planned expenditures does not need to be exhaustive. 
 Examples: 
 Planning: development of equipment distribution plan; 
production of standard operating procedure manuals 
 Organization: hiring new staff/contractor positions to 
serve as intelligence analysts (for up to two years 
under the grant) 
 Equipment: GPS tracking devices, chemical resistant 
gloves 
 Training: training for CBRNE terrorism, intelligence 
gathering, citizen and community preparedness 
 Exercises: refine search and rescue operations 
through simulated missions, CBRNE exercises that 
focus on prevention 


 Inadequate detail: Training course, interoperable 
communications equipment, CBRNE equipment, exercises 






 

 


 

 

Objectives: 

 To understand the Investments critical path for success and major milestones 
 To ensure that sufficient plans for implementing the Investment are in place 


 

Scoring Criteria 

 Each response provides a clear description of the milestone, its 
associated activity, and start and end dates 
 Milestones collectively present a clear sequence of events that will allow 
the Investment to reach its objectives for this period of performance 




 

Response Checklist 

 

In the response, please: 

.. 

Identify the Investment milestones for the FY08 award period of 
performance 

 While space is provided for up to 10 milestones, not all 10 must 
be completed; only list as many milestones as are necessary to 
effectively represent the high-level activities for the Investment 


 Milestones should be specific to this Investment, and should 
include those that will be completed during the FY08 award 
period of performance 

 The description of each activity should provide a level of detail 
that provides more insight into planned accomplishments: 
 Appropriate level of detail: obtain support and feedback from 
first-responder stakeholders; complete training on newly 
purchased GPS trackers; integrate communications systems 
across fire/police departments and hospitals; complete EOC 
construction plan 
 Inadequate detail: stakeholder engagement; training; 
exercises 






III.B. Milestones: Provide descriptions for up to 10 milestones and the associated key 
activities that lead to the milestone event over the FY08 award period of performance. 
Start dates should reflect the start of the associated key activities and end dates 
should reflect when the milestone event will occur. Sustainment Investments must 
identify at least one milestone to describe maintenance and sustainment activities 
associated with the Investment. (500 char. max per milestone)


.. 

Milestones should illustrate a sequence of events that build upon each 
other; for example: 

 Milestone #1: Five subject matter experts on search and 
rescue activities identified 
 Activity #1: Identify subject matter experts on search and 
rescue activities 


 Milestone #2: Training materials for search and rescue 
activities developed 
 Activity #2: Work with subject matter experts to develop 
training materials for search and rescue activities 


 Milestone #3: Search and rescue training sessions completed 
 Activity #3: Deliver search and rescue training to 
emergency response personnel 


 Milestone #4: Simulated exercises on new search and rescue 
activities completed 
 Activity #4: Conduct exercises on new search and 
rescue activities in simulated environment; etc. 




Milestones should be linked to the objectives of the Investment (as 
described in Question I.B) 

.. 

Identify the planned start date for the key activities associated with the 
milestone, as well as the planned end date for when the milestone will 
occur 

 Activities should not start prior to the FY08 grant award date, 
and milestones should not extend past the end of the FY08 
award period of performance (36-months from award date) 




 

 

.. Helpful Hints .. 

 In developing these milestones, it is important to refer back to the funding 
table in Question III.A to make sure that milestones reasonably account 
for the costs presented in the funding table 


 The score for this question is not dependent upon the number of 
milestones listed, however, responses must include at least one 
milestone 



 

 

 


III.C. Project Management: Describe the management team roles and 
responsibilities, governance structures, and subject matter expertise specifically 
required for this Investment. (Part of overall Investment 15,000 char. max) 

 

 

 

 

 

 

 

Objective: 

 To verify that the appropriate management team and skill sets are in place to 
successfully implement and oversee the execution of the Investment 
 To verify that roles and responsibilities are clearly defined in a way in which conflicts 
can be efficiently and effectively addressed and decisions can be made 


 

Scoring Criteria 

 Response describes, at a high-level, the roles and responsibilities of the 
management team, governance structures, and subject matter expertise 
required to manage the Investment 
 If the management team is the same as in other Investments, the 
response explains why this is appropriate 




 

 

Response Checklist 

In the response, please: 

.. 

Identify the roles, responsibilities, and authority of the project manager 

.. 

Identify other operational roles and subject matter expertise necessary 
for the management of the Investment, and the responsibilities 
associated with each role 

 Operational roles and responsibilities described should be 
specific and necessary to the successful implementation of this 
discrete Investment; they should not be a description of the 
organizational structure of the homeland security agency 
 If the project manager or project management plan is identical 
for all Investments, indicate this in the response and explain why 
it is appropriate for the manager/plan to be the same for each 
Investment 
 Subject matter expertise may include: 
 Homeland security-related subject matters (e.g., biohazard, 
search and rescue, specialized training) 
 Project-related administrative functions, necessary for the 
implementation of the Investment (e.g., accounting, 
procurement) 






 

 


 

Objectives: 

 To verify that project-related implementation and execution challenges have been 
identified 
 To ensure that ongoing or anticipatory mitigation strategies are in place to prevent or 
address Investment challenges, thereby maximizing potential Investment success 


 

Scoring Criteria 

Response identifies the following: 

 Investment challenge(s) 
 Mitigation strategy for each challenge listed 
 Probability of occurrence 
 Level of impact should the challenge occur 




 

Response Checklist 

In the response, please: 

.. 

Identify the Investment challenge(s) 

 At least one challenge should be identified 
 Even if a challenge has already been or is currently being 
mitigated, describe the challenge and the mitigation strategy 
being used 
 Even if the Investment has a low chance of realizing a 
challenge, or if challenges will have a low impact, those 
challenges must still be identified and described 


 Challenges should be specific to the implementation and 
execution of this Investment; possible areas where challenges 
may occur include (but are not limited to): Schedule, Costs, 
Feasibility, Dependencies and interoperability between this 
Investment and others, Management, Organizational and 
change management, Technology, Strategy, Project resource 
availability 


 Some specific examples of challenges may include: schedule 
delays, cost overruns, inability to continue due to dependency on 
another related Investment, changes in overall strategy or 
priorities 

.. 

Identify a mitigation strategy for each challenge listed 

.. 

Indicate the probability of occurrence 

.. 

Indicate the level of impact should the challenge occur 



III.D. Investment Challenges: List and describe up to three potential challenges to 
effective implementation of this Investment over the entire FY08 award period of 
performance. For each identified challenge, provide a brief description of how the 
challenge will be mitigated, and indicate a probability of occurrence (high, medium, 
low), and level of impact should it occur (high, medium, low). (100 char. max per 
Challenge; 500 char. max per Mitigation Strategy) 


 

 

.. Helpful Hint .. 

The score for this question is not dependent upon the number of challenges 
listed, although responses should be comprehensive for the Investment. 



 

End of the Implementation category. Proceed to Step 6. 


IV.A. Impact: What outputs and outcomes will indicate that this Investment is 
successful at the end of the FY08 award period of performance? (Part of overall 
Investment 15,000 char. max) 

.. Step 6: Complete the Impact category 

 

Objectives: 

 To determine the effect that the Investment will have on the applicants homeland 
security program and capability levels 


 

Scoring Criteria 



 Response identifies specific measurable outputs 


 Response identifies specific outcomes that will demonstrate the 
Investments impact on the applicants preparedness environment 

 Response describes how the outcomes will mitigate risks outlined in the 
Overall Investment Justification question 



 

Response Checklist 

In the response, please: 

.. 

Describe the tangible outcomes that will indicate the Investment has 
been successful 

 Outcomes described should demonstrate progress toward the 
overall objective of the Investment, and include outcomes 
expected during the FY08 award period of performance as well 
as those expected at the conclusion of the FY08 award period of 
performance 


.. 

Identify measurable outputs that lead to the outcomes described 

.. 

Describe how these outcomes will mitigate the risks that were outlined 
in the Overall Investment Justification question 



 

 


 

.. Helpful Hints .. 

 Output  Outputs are the goods and services produced by using 
Investment resources. Outputs can be represented in units of 
quantifiable products, such as the number of portable radios purchased, 
or as activities performed, such as exercises and training courses. 
Additional sample outputs have been listed below: 
o number of people trained 
o quantity of medications available 
o number of agencies served by an interoperable gateway 


 Outcome  Outcomes describe the intended impact of the Investment 
on the preparedness environment (i.e., the changes resulting from the 
outputs). This often includes the ways in which the Investment has 
enhanced or developed the agencys capability or capacity to serve the 
public. Sample outcomes include: 
o increased ability to administer medications in the event of an 
emergency 
o increased operational coordination among responders 
o cost savings to the jurisdictions 




 Example - Mass Prophylaxis: An Investment seeking to prepare for 
the distribution of mass prophylaxis in the event of a terrorist attack  
Measurable outputs may include the number of points of dispensing 
(PODs), the number of personnel to staff the PODs, and the specific 
emergency plans developed to manage receipt, staging, storage and 
dispensing operations. Resulting outcomes can include an increase in 
the number of people who will receive medications, and an increase in 
the number of counties with acceptable capabilities. 
 The Target Capabilities List (TCL) and the performance and 
preventative measures associated with critical tasks included within 
may be a useful reference when developing measurable outputs. 
Specific performance and preventative measures for each area can be 
found starting in the Common Target Capabilities Section of the TCL. 




 

 


IV.B. Sustainability: What is the long-term approach to sustaining the capabilities 
created or enhanced by this Investment, or explain why this Investment will not be 
sustained? (Part of overall Investment 15,000 char. max) 

 

 

Objectives: 

 To understand how the Investments impact on capability levels will be sustained 
beyond the end of the FY08 award period of performance 


 

 

Scoring Criteria 

 Response describes how the capabilities developed by this Investment 
will be maintained/sustained long-term, or 
 Response describes why the Investment will not be maintained/sustained 
long-term 




 

Response Checklist 

In the response, please: 

.. 

Describe plans for maintaining the capabilities developed by the 
Investment, including: 

 Any additional sources of funding to be used, if necessary 
 Future plans or milestones for sustaining the Investment, if any 




 

 

.. Helpful Hints .. 

 Response should reference the impact discussed in Question IV.A and 
how it will be sustained 


 Response should also reference the capability gaps addressed in 
Questions I.B and how this progress will be sustained 



 

End of the Impact category. Proceed to Step 7. 

 

.. Step 7: Reread the Investment to ensure that all responses clearly answer the 
questions in a way that is understandable to someone reading it for the first time 

 

Repeat Steps 2 through 7 for each Investment 

 


D. Additional References 

 

Additional sources of information that may be considered while developing the 
Investment Justification include: 

 FY08 SHSP materials (http://www.fema.gov/grants) 
 FEMA Headquarters Program Analysts (reached via CSID at 1-800-368-6498) 
 Appendix A of the FY08 SHSP Tribal Investment Justification Reference Guide 
(metropolitan statistical areas) 


 

As outlined in section 1151 of title 18 US Code, Indian country is defined as: 


Except as otherwise provided in sections 1154 and 1156 of this title, the term 
Indian country, as used in this chapter, means (a) all land within the limits of any 
Indian reservation under the jurisdiction of the United States Government, 
notwithstanding the issuance of any patent, and, including rights-of-way running 
through the reservation, (b) all dependent Indian communities within the borders 
of the United States whether within the original or subsequently acquired territory 
thereof, and whether within or without the limits of a state, and (c) all Indian 
allotments, the Indian titles to which have not been extinguished, including rights-
of-way running through the same. 


Appendix A. 
50 MOST POPULOUS METROPOLITAN STATISTICAL 
AREAS 

 

Metropolitan Statistical Area (listed alphabetically) 

Allentown-Bethlehem-Easton 

Portland-Vancouver-Beaverton 

Atlanta-Sandy Springs-Marietta 

Providence-New Bedford-Fall River 

Austin-Round Rock 

Riverside-San Bernardino-Ontario 

Bakersfield 

Sacramento--Arden-Arcade--Roseville 

Baltimore-Towson 

Salt Lake City 

Boston-Cambridge-Quincy 

San Antonio 

Charlotte-Gastonia-Concord 

San Diego-Carlsbad-San Marcos 

Chicago-Naperville-Joliet 

San Francisco-San Jose-Bay Area 

Cincinnati-Middletown 

San Juan-Caguas-Guaynabo 

Cleveland-Elyria-Mentor 

Santa Ana-Anaheim-Irvine 

Columbus 

Seattle-Tacoma-Bellevue 

Dallas-Fort Worth-Arlington 

St. Louis 

Denver-Aurora 

Tampa-St. Petersburg-Clearwater 

Detroit-Warren-Livonia 

Virginia Beach-Norfolk-Newport News 

Fort Lauderdale-Broward-Palm Beach 

Washington-Arlington-Alexandria 

Fresno, CA 

 

Honolulu, HI 

 

Houston-Sugar Land-Baytown 

 

Indianapolis-Carmel 

 

Jacksonville 

 

Kansas City 

 

Las Vegas-Paradise 

 

Los Angeles-Long Beach-Glendale 

 

Memphis 

 

Miami-Miami Beach-Kendall 

 

Milwaukee-Waukesha-West Allis 

 

Minneapolis-St. Paul-Bloomington 

 

New Orleans-Metairie-Kenner 

 

New York-Long Island 

 

Oklahoma City 

 

Orlando-Kissimmee 

 

Philadelphia-Camden-Wilmington 

 

Phoenix-Mesa-Scottsdale 

 

Newark-Edison NJ-PA 

 

Pittsburgh 

 




Appendix B. 
DEFINITIONS 

 

 

Definitions 

Term 

Definition 

FY08 Award Period of 
Performance 

The three-year (36-month) period of grant 
implementation, beginning at the time of grant award 

Governance Structure 

The organizational configuration for management of an 
Investment 

Impact 

The (positive) effect that an Investment has on the 
population and geographic area(s) 

Initiative 

The statewide, cross-jurisdictional aggregation, at the 
programmatic level, of related projects geared towards 
achieving a common State Homeland Security 
goal/objective, National Priority, and/or Target Capability. 
An Initiative may be comprised of projects that span one 
or more National Priorities and Target Capabilities 

Investment 

The targeted application of FY08 SHSP funding, at the 
operational level, towards the achievement of 
preparedness goals and initiatives of the State 
Preparedness Report 

Investment Challenge 

Project risk, or an uncertain event or condition that, if it 
occurs, has a negative effect on achieving an 
Investments objectives 

Investment 
Justification 

The FY08 grant application by which eligible tribes 
request FY08 SHSPP funding. The Investment 
Justification is composed of descriptions of up to 15 
Investments as well as the overall risk context and the 
tribal area profile, to facilitate effective management of 
the homeland security program and to meet strategic 
goals and objectives 

Milestone 

A significant point or event in the Investment 

Outcome 

The impact of the investment on the preparedness 
environment. This often includes the ways in which the 
investment has enhanced or developed a capability or 
capacity (e.g., increase in the number of people that can 
receive medical attention in the event of an emergency, 
initiative implementation). 




Output 

The end product or result of using Investment resources. 
This can be represented in specific quantitative units 
(e.g., the number of people trained, the number of 
available supplies) or it can be planning documents and 
other tangible products. 

Planned Expenditures 

The products, services, and/or activities on which funding 
will be spent 

Portfolio Management 

The centralized management of one or more 
Investments, which includes identifying, prioritizing, 
authorizing, managing, and controlling the Investments to 
achieve specific strategic homeland security objectives 

Role 

A defined function to be performed by a project team 
member, such as coordinator, manager, operator, trainer 

Strategic Goal 

A strategic goal is a target that the applicant wants to 
achieve regarding an improved level of capability. These 
goals will help the applicant achieve its vision, focus on 
the long-term, and increase its preparedness 

Strategic Objective 

A strategic objective is a specific statement of desired 
achievement that supports a strategic goal, and sets a 
target level of performance over time expressed as a 
tangible, measurable objective, against which actual 
achievement can be compared 

Three-Year Targets 

Discrete outcomes that the State would like to achieve, 
with tribal cooperation, within a three-year timeframe to 
build specific aspects of either the Target Capabilities or 
the other factors that comprise the National or State 
Priority 




Appendix C. 
ACRONYMS 

 

Acronyms 

Acronym 

Definition 

CBRNE 

Chemical, biological, radiological, nuclear, and explosive 

CCP 

Citizen Corps Program 

CSID 

Centralized Scheduling and Information Desk 

DHS 

U.S. Department of Homeland Security 

EMPG 

Emergency Management Performance Grant 

EOC 

Emergency operations center 

FEMA 

Federal Emergency Management Agency 

GPD 

Grants Program Directorate 

GPS 

Global positioning system 

GRT 

Grants Reporting Tool 

HSGP 

Homeland Security Grant Program 

LETPP 

Law Enforcement Terrorism Prevention Program 

M&A 

Management and administration 

MMRS 

Metropolitan Medical Response System 

NPR 

Nationwide Plan Review 

POETE 

Planning, organization, equipment, training, and exercises

SAA 

State Administrative Agency 

SHSP 

State Homeland Security Program 

TCL 

Target Capabilities List 

UASI 

Urban Areas Security Initiative 



 


Appendix D. 
TARGET CAPABILITIES AND NATIONAL PRIORITIES 

Target Capabilities 

Common Capabilities 

Planning 

Communications 

Community Preparedness and 

Participation 

Risk Management 

Intelligence and Information Sharing and 

Dissemination 

 

Prevent Mission Capabilities 

Information Gathering and Recognition of 

Indicators and Warning 

Intelligence Analysis and Production 

Counter-Terror Investigation and Law 

Enforcement 

CBRNE Detection 

 

Protect Mission Capabilities 

Critical Infrastructure Protection 

Food and Agriculture Safety and Defense 

Epidemiological Surveillance and 

Investigation 

Laboratory Testing 

Respond Mission Capabilities 

On-Site Incident Management 

Emergency Operations Center 

Management 

Critical Resource Logistics and 

Distribution 

Volunteer Management and Donations 

Responder Safety and Health 

Emergency Public Safety and Security 

Animal Disease Emergency Support 

Environmental Health 

Explosive Device Response Operations 

Fire Incident Response Support 

WMD and Hazardous Materials 

Response and Decontamination 

Citizen Evacuation and Shelter-in-Place 

Isolation and Quarantine 

Search and Rescue (Land-Based) 

Emergency Public Information and 

Warning 

Emergency Triage and Pre-Hospital 

Treatment 

Medical Surge 

Medical Supplies Management and 

Distribution 

Mass Prophylaxis 

Mass Care (Sheltering, Feeding and 

Related Services) 

Fatality Management 

 

Recover Mission Capabilities 

Structural Damage Assessment 

Restoration of Lifelines 

Economic and Community Recovery 



 

National Priorities 

 Expand regional collaboration 

 Implement the National Incident Management System and the National Response 
Plan 

 Implement the National Infrastructure Protection Plan 

 Strengthen information sharing and collaboration capabilities 

 Strengthen communications capabilities 

 Strengthen CBRNE detection, response, and decontamination capabilities 

 Strengthen medical surge and mass prophylaxis capabilities 

 Strengthen planning and citizen preparedness capabilities