Updated July 9, 2021
Intelligence Planning, Programming, Budgeting, and Evaluation
(IPPBE) Process
The statutory elements of the Intelligence Community (IC)
services of the entire IC; (2) the Military Intelligence
use the Intelligence Planning, Programming, Budgeting,
Program (MIP) funds military-specific tactical capabilities
and Evaluation (IPPBE) process to identify requirements
and programs in support of warfighters. Non-DOD
and allocate resources that develop and maintain IC
intelligence components do not receive MIP funds.
capabilities through development and execution of the
The Director of National Intelligence (DNI) manages the
National Intelligence Program (NIP) budget. The NIP is
NIP budget directly through the IPPBE process. The Under
intended to support priorities described in national
Secretary of Defense for Intelligence and Security
intelligence-related strategy documents such as the National
(USD(I&S)) manages the MIP, with input from the DNI
Intelligence Strategy (NIS) and Consolidated Intelligence
through DOD’s Planning, Programming, Budgeting, and
Guidance (CIG). The IPPBE process also supports the
Execution (PPBE) process. The latter is separate and
participation of the Director of National Intelligence (DNI)
distinct from the IPPBE process. DOD intelligence
in the development of the Military Intelligence Program
components such as NSA, NGA, and DIA receive both NIP
(MIP).
and MIP funds. Thus, the DNI collaborates with the
IC Directive 116, Intelligence Planning, Programming,
USD(I&S) to try to ensure that whether managing through
Budgeting, and Evaluation System provides guidance for the
IPPBE or PPBE and, to the extent possible, the national and
IPPBE process. The IPPBE process applies to all 18 IC
military intelligence programs complement one another in
components (listed below).
holistically addressing IC requirements.
Statutory IC Elements (50 U.S.C. §3003)
Key Players
While each phase of the IPPBE process—planning,
DOD Components:
programming, budgeting, and evaluation—has a designated
National Security Agency (NSA)
lead on the ODNI staff, that person and staff work in
National Geospatial-Intelligence Agency (NGA)
concert with many others in the ODNI and intelligence
National Reconnaissance Office (NRO)
components to synchronize all IC efforts. Key players
Defense Intelligence Agency (DIA)
include:
U.S. Army Intelligence (G2)
U.S. Navy Intelligence (N2)
USD(I&S)
U.S. Air Force Intelligence (AF/A2)
U.S. Marine Corps Intelligence (MCISR-E)
Under Secretary of Defense (USD) Comptroller/Chief
U.S. Space Force Intelligence (S-2)
Financial Officer (USD(C)/CFO))
Non-DOD Components:
Assistant DNI (ADNI) and IC Chief Financial Officer
Office of the Director of National Intelligence (ODNI)
(CFO)
Central Intelligence Agency (CIA)
Department of Energy (DOE): Office of Intelligence and
Program Examiners from the Office of Management
Counter-Intelligence (I&CI)
and Budget’s (OMB) National Security Division
Department of Homeland Security (DHS): Office of
Intelligence and Analysis (I&A); and U.S. Coast Guard
Congressional authorization and appropriation
Intelligence (CG-2)
committee staff, sometimes referred to as Program
Department of Justice (DOJ): Drug Enforcement
Monitors.
Administration Office of National Security Intelligence
(DEA/ONSI); and Federal Bureau of Investigation‘s
Intelligence Branch (FBI/IB)
DOD’s PPBE vs. IPPBE
Department of State (DOS): Bureau of Intelligence and
The DOD PPBE process allocates resources within DOD,
Research (INR)
mainly to the Armed Service components, to organize, train
Department of the Treasury (Treasury): Office of
and equip military forces for combat and to cover all
Intelligence and Analysis (OIA)
necessary support missions.
MIP funds are allocated, via the PPBE process, to DOD
NIP and MIP
intelligence components. Intelligence-related Component
Managers—the senior leader for intelligence in each of
IC spending is usually understood as the sum of two
DOD’s military intelligence components—manage the MIP
separate budgets: (1) the NIP funds national intelligence
capabilities and programs that support products and
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Intelligence Planning, Programming, Budgeting, and Evaluation (IPPBE) Process
resources in accordance with USD(I&S) guidance and
The ADNI/CFO is responsible for producing the
policy. DOD Directive 7045.14 provides PPBE guidance.
Congressional Budget Justification Books (CBJBs) and the
accompanying NIP Summary of Performance and Financial
NIP funds are allocated to separate departmental budgets
Information Report. Together, these classified documents
and are fenced (i.e., protected outlay for other than their
explain and justify the details associated with each of the
intended purpose or reduction without the permission of the
NIP programs to the congressional intelligence committees.
DNI). NIP Program Managers exercise daily control over
In parallel, DOD submits Congressional Justification Books
resources (i.e., manpower and dollars) associated with IC
(CJBs) supporting the ten MIP programs to the Congress as
capabilities (e.g., cryptology, reconnaissance, and signals
part of DOD’s PPBE process.
collection) that may span several IC components.
Execution
IPPBE in Detail
Once Congress passes the budget and the President signs it
Planning Phase
into law, the ADNI/CFO manages the NIP budget during
program execution. Execution and performance reviews
The Assistant DNI for Requirements, Cost, and
Effectiveness (ADNI/RC&E) leads the planning phase. The
help ensure that funds are obligated in accordance with
ADNI/RC&E analyzes long-term trends, validates IC
DNI, USD(I&S), and legislative intent. Mid-year reviews
requirements, identifies gaps and shortfalls, and prioritizes
may lead to decisions that require a redistribution of funds
needs as they relate to the DNI’s policy goals. The
under specific statutory authorities to reprogram or transfer
ADNI/RC&E’s counterpart in DOD’s PPBE planning phase
funds from one activity to another. These limited authorities
is the Under Secretary of Defense for Policy.
provide budget execution flexibility to use funds for
purposes other than those originally specified by Congress.
Programming Phase
ADNI/RC&E also leads the programming phase. The
Evaluation Phase
primary objective of this phase is to provide analytically
The evaluation phase is actually a continuous process with
based, fiscally constrained options to frame DNI resource
periodic linkages to the other IPPBE phases. Its primary
allocation decisions. The RC&E’s programming
objective is to assess the effectiveness of IC programs,
counterpart in DOD’s PPBE process is the Director of Cost
activities, major initiatives, and investments. Evaluations
Assessment and Program Evaluation (CAPE).
inform current and future planning, programming,
budgeting, and execution decisions.
Programming includes the following primary activities:
Responsibility for the evaluation function is shared. For
conducting major issue studies to analyze high-impact,
example, the ADNI Policy and Strategy conducts the
IC-wide issues (e.g., common need for data-mining
program-level assessment and strategic assessments to
technology);
inform the Planning Phase. The ADNI/RC&E is responsible
developing independent cost estimates of total life-cycle
for the Strategic Evaluation Reports and for consolidating a
costs for major systems acquisitions and other programs
number of other policy-related evaluation reports. The
of interest; and
ADNI/CFO is responsible for all budgeting and execution-
producing the final CIG—the joint DNI/USD(I&S)
related evaluation activities and the performance
guidance that NIP Program Managers and MIP
measurement reports required for OMB and Congress.
Component Managers use to finalize their program and
budget submissions.
Resource Management
The IPPBE is one leg of a resource management triad that
Budgeting (and Execution) Phase
includes the IC capability requirements process and the IC
Within the IPPBE, budgeting and execution comprise one
acquisition process. It produces what its managers and
phase (unlike the PPBE) led by the ADNI/Chief Financial
overseers expect will be timely, innovative, relevant, and
Officer (ADNI/CFO). The primary objective of this phase
informed resource decisions. IPPBE comprises at least four
is to develop, defend, execute, and manage the NIP portion
fiscal year budget cycles running simultaneously. Its
of the President’s budget. The ADNI/CFO’s counterpart in
complexity is marked by numerous federal, department, and
the PPBE’s budgeting and execution phases is the USD
agency-specific timelines, missions, and priorities.
Comptroller/Chief Financial Officer (USD(C)/CFO).
Budgeting
Additional reading on this topic:
Dan Elkins, Managing Intelligence Resources, 4th ed.
Budgeting begins with the issuance of the CIG, and
guidance from OMB. With this guidance, each IC
(Dewey, AZ: DWE Press, 2014)
component produces an Intelligence Program Budget
CRS In Focus IF10524, Defense Primer: Budgeting for
Submission (IPBS) that details proposed programs and
National and Defense Intelligence, by Michael E.
budget estimates for the upcoming budget year plus four
DeVine
fiscal years (within the DOD PPBE system this is known as
CRS In Focus IF10429, Defense Primer: Planning,
the Future Years Defense Program, or FYDP).
Programming, Budgeting and Execution (PPBE)
Each NIP-funded organization submits its IPBS to NIP
Process, by Brendan W. McGarry
program managers who then consolidate these inputs for
submission to the ODNI for program and budget review.
Budget reviews produce DNI decision documents,
sometimes signed by the DNI alone, and sometimes signed
Michael E. DeVine, Analyst in Intelligence and National
by both the DNI and USD(I&S).
Security
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Intelligence Planning, Programming, Budgeting, and Evaluation (IPPBE) Process
IF10428
Disclaimer
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https://crsreports.congress.gov | IF10428 · VERSION 8 · UPDATED