Updated April 24, 2019
Intelligence Planning, Programming, Budgeting, and Evaluation
(IPPBE) Process
The Intelligence Community (IC) uses the Intelligence
and programs in support of warfighters. Non-DOD
Planning, Programming, Budgeting, and Evaluation
intelligence components do not receive MIP funds.
(IPPBE) process to identify requirements and allocate
The Director of National Intelligence (DNI) manages the
resources that “shape and sustain” IC capabilities through
NIP budget directly through the IPPBE process. The Under
development and execution of the National Intelligence
Secretary of Defense for Intelligence (USD(I)) manages the
Program (NIP) budget. The NIP addresses priorities
MIP, with input from the DNI thru DOD’s Planning,
described in national intelligence-related strategy
Programming, Budgeting, & Execution (PPBE) process; it
documents such as the National Intelligence Strategy (NIS)
is separate and distinct from the IPPBE process. DOD
and Consolidated Intelligence Guidance (CIG). The IPPBE
intelligence components such as NSA, NGA, and DIA
process also supports the participation of the Director of
receive both NIP and MIP funds. Thus, the DNI must
National Intelligence in the development of the Military
collaborate closely with the USD(I) to try to ensure that,
Intelligence Program (MIP).
whether managing through IPPBE or PPBE, the national
IC Directive 116, Intelligence Planning, Programming,
and military intelligence programs complement one another
Budgeting, and Evaluation System provides guidance for the
in holistically addressing IC requirements.
IPPBE process. The IPPBE process applies to all 17 IC
components (listed below).
Key Players
While each phase of the IPPBE process—planning,
IC Components
programming, budgeting and evaluation—has a designated
lead on the ODNI staff, that person (and staff) works in
DOD Components:
concert with many others in the ODNI and intelligence
National Security Agency (NSA)
components to try to ensure synchronization of effort.
National Geospatial-Intelligence Agency (NGA)
Many key players are in the DOD, such as the USD(I) and
National Reconnaissance Office (NRO)
DOD Comptroller. Others include the ADNI/Chief
Defense Intelligence Agency (DIA)
Financial Officer, Program Examiners from the Office of
U.S. Army Intelligence (G2)
Management and Budget’s (OMB) National Security
U.S. Navy Intelligence (N2)
Division, and staff on congressional authorization and
U.S. Air Force Intelligence (AF/A2)
appropriation committees, sometimes referred to as
U.S. Marine Corps Intelligence (MCISR-E)
Program Monitors, who help Congress oversee all phases
Non-DOD Components:
of the IPPBE.
Office of the Director of National Intelligence (ODNI)
DOD’s PPBE vs. IPPBE
Central Intelligence Agency (CIA)
The DOD PPBE process allocates resources within DOD,
Department of Energy (DOE) intelligence component:
mainly to the Armed Service components, to organize, train
Office of Intelligence and Counter-Intelligence (I&CI)
and equip military forces for combat and to cover all
Department of Homeland Security (DHS) intelligence
necessary support missions. For more on the PPBE, see
components: Office of Intelligence and Analysis (I&A),
CRS In Focus IF10429, Defense Primer: Planning,
and U.S. Coast Guard Intelligence (CG-2)
Programming, Budgeting and Execution (PPBE) Process,
Department of Justice (DOJ) intelligence components:
by Brendan W. McGarry and Heidi M. Peters.
Drug Enforcement Administration Office of National
Security Intelligence (DEA/ONSI), and Federal Bureau of
MIP funds, via the PPBE process, are allocated to DOD
Investigation‘s Intelligence Branch (FBI/IB)
intelligence components. Intelligence-related Component
Department of State (DOS) intelligence component:
Managers—the senior leader for intelligence in each of
Bureau of Intelligence and Research (INR)
DOD’s military intelligence components—manages the
Department of the Treasury (Treasury) intelligence
MIP resources in accordance with USD(I) guidance and
component: Office of Intelligence and Analysis (OIA)
policy. PPBE guidance is 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 funds national intelligence
permission of the DNI. NIP Program Managers exercise
capabilities and programs that support products and
daily control over resources (i.e., manpower and dollars)
services of the entire IC; (2) the Military Intelligence
associated with IC capabilities (e.g., cryptology,
Program (MIP) funds military-specific tactical capabilities
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Intelligence Planning, Programming, Budgeting, and Evaluation (IPPBE) Process
reconnaissance, and signals collection) that may span
Information Report. Together, these classified documents
several IC components.
explain and justify the details associated with each of the
NIP programs to the congressional intelligence committees.
IPPBE in Detail
In parallel, DOD submits Congressional Justification Books
Planning Phase
(CJBs) supporting the ten MIP programs to the Congress as
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 passes 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
program execution. 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
Programming Phase
lead to decisions that require a redistribution of funds under
ADNI/SRA also leads the programming phase. The primary
specific statutory authorities to reprogram or transfer funds
objective of this phase is to provide analytically-based,
from one activity to another. These limited authorities
fiscally-constrained options to frame DNI resource
provide budget execution flexibility to use funds for
decisions. The SRA’s programming counterpart in DOD’s
purposes other than those originally specified by Congress.
PPBE process is the Director of Cost Assessment and
Evaluation Phase
Program Evaluation (CAPE).
The evaluation phase is actually a continuous process with
Programming includes the following primary activities:
several, periodic, direct linkages to the other IPPBE phases.
Its primary objective is to assess the effectiveness of IC
conducting major issue studies to analyze high-impact,
programs, activities, major initiatives, and investments.
IC-wide issues (e.g., common need for data-mining
Evaluations inform current and future planning,
technology);
programming, budgeting, and execution decisions.
developing independent cost estimates of total life-cycle
costs for major systems acquisitions and other programs
Responsibility for the evaluation function is shared. For
of interest; and
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
Within the IPPBE, budgeting and execution comprise one
measurement reports required for OMB and Congress.
phase (unlike the PPBE) led by the ADNI/Chief Financial
Officer (ADNI/CFO). The primary objective of this phase
Resource Management
is to develop, defend, execute, and manage the NIP portion
The IPPBE is just one leg of a resource management triad
of the President’s budget. The ADNI/CFO’s counterpart in
that includes the IC capability requirements process and the
the PPBE’s budgeting and execution phases is the USD
IC acquisition process. It produces what its managers and
Comptroller/Chief Financial Officer (USD(C)/CFO).
overseers expect will be timely, innovative, relevant, and
informed resource decisions. IPPBE comprises at least four
Budgeting
different fiscal year budget cycles running simultaneously,
Budgeting begins with the issuance of the CIG, and
and is further complicated by numerous federal,
guidance from OMB. With this guidance, each IC
department, and agency-specific timelines, missions, and
component produces an Intelligence Program Budget
priorities.
Submission (IPBS) that details proposed programs and
budget estimates for the upcoming budget year plus four
Additional reading on this topic:
fiscal years (within the DOD PPBE system this is known
Dan Elkins, Managing Intelligence Resources, 4th ed.
as the Future Years Defense Program or FYDP).
(Dewey, AZ: DWE Press, 2014)
Each NIP-funded organization submits its IPBS to NIP
CRS In Focus IF10524, Defense Primer: Budgeting for
program managers who then consolidate these inputs for
National and Defense Intelligence, by Michael E.
submission to the ODNI for program and budget review.
DeVine
Budget reviews produce DNI decision documents,
CRS In Focus IF10831, Defense Primer: Future Years
sometimes signed by the DNI alone (called a DDD, or 3D),
Defense Program (FYDP), by Brendan W. McGarry and
and sometimes signed by both the DNI and USD(I) (these
Heidi M. Peters
are known as 5Ds).
Michael E. DeVine, Analyst in Intelligence and National
The ADNI/CFO is responsible for producing the
Security
Congressional Budget Justification Books (CBJBs) and the
accompanying NIP Summary of Performance and Financial
IF10428
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Intelligence Planning, Programming, Budgeting, and Evaluation (IPPBE) Process
Disclaimer
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