Updated May 30, 2018
Intelligence Planning, Programming, Budgeting and Evaluation
Process (IPPBE)
The Intelligence Community (IC) uses IPPBE to identify
operational and tactical intelligence requirements of
requirements and allocate resources that produce IC
warfighters.
capabilities (e.g., human intelligence, signals intelligence,
Non-DOD intelligence components do not receive any MIP
and geospatial intelligence) throughout development and
funds. While the Director of National Intelligence (DNI)
execution of the National Intelligence Program (NIP) and
manages the NIP budget directly through the IPPBE
budget. The NIP addresses priorities described in national
process, the Under Secretary of Defense for Intelligence
security-related strategy documents such as the National
(USD(I)) manages the MIP and its accompanying budget
Intelligence Strategy (NIS) and Consolidated Intelligence
are managed separately ) through DOD’s Planning,
Guidance (CIG).
Programming, Budgeting, & Execution (PPBE) process.
DOD intelligence components such as NSA, NGA and DIA
IC Directive 116, Intelligence Planning, Programming,
receive both NIP and MIP funds. Thus, the DNI must
Budgeting, and Evaluation System provides guidance for the
collaborate closely with the USD(I) to try to ensure that,
IPPBE process. The IPPBE process applies to all 17 IC
whether managing through IPPBE or PPBE, the national
components.
and military intelligence programs complement one another
in holistically addressing IC requirements.
IC Components
Key Players
DOD Components:
While each phase of the IPPBE process—planning,
programming, budgeting and evaluation—has a designated
National Security Agency (NSA)
lead on the ODNI staff, that person (and his or her staff)
National Geospatial-Intelligence Agency (NGA)
works in concert with many others in the ODNI and
National Reconnaissance Office (NRO)
intelligence components to try to ensure synchronization of
Defense Intelligence Agency (DIA)
effort. Many key players are in the DOD, such as the
U.S. Army Intelligence (G2)
USD(I) and DOD Comptroller. Others include the
U.S. Navy Intelligence (N2)
ADNI/Chief Financial Officer, Program Examiners from
U.S. Air Force Intelligence (AF/A2)
the Office of Management and Budget’s (OMB) National
U.S. Marine Corps Intelligence (MCISR-E)
Security Division, and staff on congressional authorization
and appropriation committees, sometimes referred to as
Non-DOD Components:
Program Monitors, who help Congress oversee all phases
Office of the Director of National Intelligence (ODNI)
of the IPPBE.
Central Intelligence Agency (CIA)
Department of Energy (DOE) intelligence component:
DOD’s PPBE vs. IPPBE
Office of Intelligence and Counter-Intelligence (I&CI)
The DOD PPBE process allocates resources within DOD,
Department of Homeland Security (DHS) intelligence
mainly to the service components, to organize, train and
components: Office of Intelligence and Analysis (I&A) and
equip military forces for combat and to cover all necessary
U.S. Coast Guard Intelligence (CG-2)
support missions. For more on the PPBE, see CRS In Focus
Department of Justice (DOJ) intelligence components: Drug
IF 10429, Defense Planning, Programming, Budgeting and
Enforcement Agency’s Office of National Security
Execution Process (PPBE), by Lynn M. Williams.
Intelligence (DEA/ONSI) and Federal Bureau of
MIP funds are allocated to DOD components. Intelligence-
Investigation‘s National Security Branch (FBI/IB)
related Component Managers—the senior leader for
Department of State (DOS) intelligence component: Bureau
intelligence in each of DOD’s military intelligence
of Intelligence and Research (INR)
components, manages the MIP resources in accordance
Department of the Treasury (Treasury) intelligence
with USD(I) guidance and policy. PPBE guidance is
component: Office of Intelligence and Analysis (OIA)
provided in DOD Directive 7045.14.
NIP funds are allocated to separate departmental budgets
NIP and MIP
and are fenced or protected from being spent for other than
IC spending is usually understood as the sum of two
their intended purpose or from being cut without the
separate budgets: (1) the NIP, which covers IC-wide
permission of the DNI. NIP Program Managers exercise
programs, projects, and activities oriented towards the
daily control over resources (i.e., manpower and dollars)
strategic needs of decision makers, and (2) the Military
associated with IC capabilities (e.g., cryptology,
Intelligence Program (MIP), which funds defense
reconnaissance, and signals collection) that may span
intelligence programs, projects, and activities supporting
several IC components.
https://crsreports.congress.gov
Intelligence Planning, Programming, Budgeting and Evaluation Process (IPPBE)
IPPBE in Detail
In parallel, DOD submits Congressional Justification Books
(CJBs) supporting the ten MIP programs to the Congress as
Planning Phase
part of DOD’s PPBE process.
The Assistant DNI for Systems and Resources Analysis
(ADNI/SRA) leads the planning phase. The ADNI/SRA
Execution:
analyzes long-term trends, validates IC requirements,
Once Congress enacts the budget and the President signs it
identifies gaps and shortfalls, and prioritizes needs as they
into law, the ADNI/CFO manages the NIP budget during
relate to the DNI’s policy goals. The ADNI/SRA’s
the execution phase. Execution and performance reviews
counterpart in the DOD PPBE planning phase is the Under
help ensure that funds are obligated in accordance with
Secretary of Defense for Policy.
DNI, USD(I), and legislative intent. Mid-year reviews may
lead to decisions that require a redistribution of funds under
Programming Phase
specific statutory authorities to reprogram or transfer funds
ADNI/SRA also leads the programming phase. The primary
from one activity to another. These limited authorities
objective of this phase is to provide analytically based,
provide budget execution flexibility to use funds for
fiscally constrained options to frame DNI resource
purposes other than those originally specified by Congress.
decisions. The SRA’s programming counterpart in DOD’s
PPBE process is the Director of Cost and Program
Evaluation is an Iterative Process
Evaluation (CAPE).
Evaluation is a continuous process with several periodic
entry points throughout the other IPPBE phases. Its primary
Programming includes the following primary activities:
objective is to assess the effectiveness of IC programs,
Conducting major issue studies to analyze high-impact,
activities, major initiatives, and investments. Evaluations
cross-IC issues (e.g., common need for data-mining
inform current and future planning, programming,
technology);
budgeting, and execution decisions.
Developing independent cost estimates that provide total
life-cycle cost estimates for major systems acquisitions
Responsibility for the evaluation function is shared. For
and other programs of interest;
example, the ADNI Policy and Strategy conducts the
Producing the final CIG—the joint DNI/USD(I)
program-level assessment and strategic assessments to
guidance used by NIP Program Managers and MIP
inform the Planning Phase. The ADNI/SRA is responsible
Component Managers to finalize their program and
for the Strategic Evaluation Reports and for consolidating a
budget submissions.
number of other policy-related evaluation reports. The
ADNI/CFO is responsible for all budgeting and execution-
Budgeting (and Execution) Phase
related evaluation activities and the performance
Budgeting and execution comprise one phase (unlike the
measurement reports required for OMB and Congress.
PPBE) led by the ADNI/Chief Financial Officer
(ADNI/CFO). The primary objective of this phase is to
Final Thoughts
develop, defend, execute, and manage the NIP portion of
The IPPBE is just one leg of a resource management triad
the President’s budget. The ADNI/CFO’s counterpart in the
that also includes the IC capability requirements process
PPBE’s budgeting and execution phases is the USD
and the IC acquisition process. It produces what its
Comptroller/Chief Financial Officer (USD(C)/CFO).
managers and overseers hope will be timely, innovative,
Budgeting:
relevant, and informed resource decisions. IPPBE
comprises at least four different fiscal year budget cycles
The budgeting phase begins with the issuance of the CIG,
running simultaneously at any given point in time, and is
and guidance from OMB. With this guidance, each IC
further complicated by numerous federal, department, and
component produces an Intelligence Program Budget
Submission (IPBS) that details proposed programs and
agency-specific timelines, missions, and priorities.
budget estimates for the upcoming budget year plus four
Additional reading on this topic:
fiscal years (within the DOD PPBE system this is known as
Dan Elkins, Managing Intelligence Resources, 4th ed.
the Future Years Defense Program or FYDP).
(Dewey, AZ: DWE Press, 2014).
CRS In Focus IF10470, The Director of National
Each NIP-funded organization submits its IPBS to NIP
Intelligence (DNI), by Michael E. DeVine.
program managers who then consolidate these inputs for
submission to the ODNI for program and budget review.
CRS In Focus IF10831, Defense Primer: Future Years
Budget reviews produce DNI decision documents,
Defense Program (FYDP), by Lynn M. Williams and
sometimes signed by the DNI alone (called a DDD, or 3D),
Heidi M. Peters.
and sometimes signed by both the DNI and USD(I) (these
are known as 5Ds).
(Note: This In Focus was originally written by former CRS
Analyst Anne Daugherty Miles.)
The ADNI/CFO is responsible for producing the
Congressional Budget Justification Books (CBJBs) and the
accompanying NIP Summary of Performance and Financial
Michael E. DeVine, Analyst in Intelligence and National
Information Report. Together, these classified documents
Security
explain and justify the details associated with each of the 14
IF10428
NIP programs to the congressional intelligence committees.
https://crsreports.congress.gov
Intelligence Planning, Programming, Budgeting and Evaluation Process (IPPBE)
Disclaimer
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https://crsreports.congress.gov | IF10428 · VERSION 6 · UPDATED