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1 [1] (September 22, 2016)

handle is hein.crs/crsmthmbbyq0001 and id is 1 raw text is: SCongressional Research Service ~~Info rming te Iceislative debate s n~ce 1914 September 22, 2016 Defense Primer: Planning, Programming, Budgeting and Execution Process (PPBE) Introduction The Planning, Programming, Budgeting, and Execution (PPBE) process is one leg of a triad that makes up the Defense Acquisition System (DAS), and serves as the primary mechanism for the Secretary of Defense to request, allocate, track and expend funds within the Department of Defense (DOD). The other two components of the DAS are the Acquisition process, which manages the development and procurement of DOD systems, and the Joint Capability Integration Development System (JCIDS), which is responsible for the requirements process. PPBE comprises five different fiscal year budget cycles at any given point in time (see Figure 1), and is further complicated by numerous federal, department, and agency-specific timelines, missions and priorities. In 1961, then-Secretary of Defense Robert S. McNamara created the Planning, Programming and Budgeting System (PPBS) to allocate DOD resources; the last revision to the process took place in 2003 and was renamed PPBE. Since then, the PPBE process has remained the system by which DOD manages its funding. On an annual basis, the military services (Army, Navy, Marine Corps and Air Force) and defense agencies submit to the Secretary of Defense (SECDEF) a Program Objective Memorandum (POM) that plans a five-year funding period. The Deputy SECDEF (DEPSECDEF) manages the PPBE on a day-to-day basis and provides overall leadership and oversight. The annual PPBE process provides the overall planning direction, develops the DOD POM, and creates a Budget Estimate Submission (BES) for years one and two of the POM. Planning The first phase of the PPBE is planning, which involves reviewing all current policy documents and objectives to ensure the resulting Defense Planning Guidance (DPG) aligns with the President's and the SECDEF's policy goals. The Under Secretary of Defense for Policy (USD(P)) leads the planning phase. The Chairman of the Joint Chiefs of Staff (CJCS) also plays a significant role in accordance with his 10 U.S.C. § 151 responsibilities as the principal military advisor to the SECDEF. The CJCS's role is to advise the SECDEF, be the joint warfighter advocate, and prioritize requirements within warfare capability areas. Documents such as the Quadrennial Defense Review, the National Security Strategy and the National Military Strategy provide input into the planning phase to try to ensure that threats, long-term strategy, larger force structure/readiness concerns and cost effectiveness are addressed in the planning phase. Programming The Director of the Cost Assessment and Program Evaluation Office (CAPE) leads the second phase - the programming phase, which begins with creation of the POM. The POM describes the proposed budget for forces, manpower, and funding. It also describes associated risks where needs are not funded. Once each military service submits to CAPE its requests in the POM, CAPE forecasts the resource requirements of each of the military services for the coming five years, called the Future Years Defense Program (FYDP). This phase analyzes for the SECDEF and the President the anticipated effects of the POM on forces, manpower, and funding in future years based on present-day decisions. Budgeting The Under Secretary of Defense (Comptroller)/Chief Financial Officer leads the budgeting phase in which the military services complete their budget estimates for the first year of the five-year POM. Under guidance from the Office of Management and Budget (OMB), the Comptroller reviews the budget submissions to ensure: appropriate funding and fiscal controls, phasing of the effort over the funding period, and whether it can be realistically executed in the requested budget year. This phase includes a back- and-forth dialogue between the Comptroller and the military services to help inform the Comptroller's decision- making as he or she constructs the unified defense budget. Resource Management Decisions (RMDs), signed by the SECDEF, document program and budget decisions. The military services update their budgets to comply with RMDs. The final product is submitted to OMB each December for inclusion in the President's annual budget request to Congress, which is usually released in February. The RMD is the DOD's input to the Presidential Budget Request (PBR). Execution The military services (and defense agencies) manage the execution phase that spends funds. They also conduct ongoing reviews, to determine two things: 1. Whether the appropriated funds are being obligated and expended in accordance with the approved budget; and 2. Whether the funds are achieving the desired effect. www crs.gov 17-5700 S

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