Module 2.1 Planning, Programming, Budgeting, and Execution (PPBE) Overview Flashcards
The process used by DoD to acquire, allocate, account for, and analyze personnel and financial resources.
The Planning, Programming, Budgeting, and Execution (PPBE) process
Actions and decisions in these phases of the PPBE result in the DoD portion of the President’s Budget?
The First three phases of the PPBE: Planning, Programming, & Budgeting
Which phase of the PPBE is said to be an ongoing process of evaluation?
The Execution phase or “Execution Review”
It is the process the DoD uses to determine the dollar amounts for programs to be submitted to Congress as part of the President’s Budget
The PPBE process
Establishes the framework and provides the mechanisms for decision-making for the future.
The PPBE
It provides the opportunity to reexamine prior decisions in light of the present environment (e.g., evolving threats and changing economic conditions.
PPBE process
What is the ultimate objective of the PPBE?
Provide the entire Defense Department with the most effective mix of forces, equipment, manpower, and support attainable within fiscal constraints of the federal government.
What is PPBE?
Planning, Programming, Budgeting, and Execution. It is the process used by DoD to acquire, allocate, account for, and analyze personnel and financial resources.
Objective of the PPBE:
To provide the most effective mix of forces, equipment, manpower, and support attainable within fiscal constraints.
It has four phases. Actions and decisions of the first three phases result in DoD portion of the President’s Budget.
Planning, Programming, and Budgeting phases of the PPBE.
It has four phases. The fourth and final phase is an ongoing process of evaluation, measurement, and assessment of how well the prior two phases have met the needs of the war fighters and, if necessary, the adjustment of resources to achieve desired performance goals.
The Execution phase, more accurately titled “Execution Review”, of the PPBE.
Process DoD uses to determine the dollar amounts for programs to be submitted to Congress as part of the President’s Budget?
PPBE
It establishes the framework and provides the mechanisms for decision-making for the future, and provides the opportunity to reexamine prior decisions in light of the present environment.
PPBE
Provide support to the PPBE process as designed in DoD 7045.14
Officials on the OSD Staff
In each PPBE phase, strive to provide operational Combatant Commanders the best mix of forces, equipment, and support attainable within resource constraints.
The DoD Components
Play a major part in the planning phase of the PPBE. They have input to and/or review of every product and step of the process.
Joint Chief of Staff (JCS) and Combatant Commanders
Prepares the annual PPBE calendar of key events in consultation with USD(C) and USD(P).
D, CAPE
Provides policy direction for the PPBE.
The SECDEF
They have program execution authority and responsibility for the PPBE.
DoD Components
They provide support to the PPBE process as designated in DoDD 7045.14
Officials on the OSD Staff
The DoD _____ provide advice and information as requested by OSD to permit assessment of execution and accountability.
Components
In each PPBE phase, they strive to provide operational Combatant Commanders the best mix of forces, equipment, and support attainable within resource constraints.
The DoD Components
Key Officials and Organizations involved in the PPBE Process
- SECDEF
- DEPSECDEF
- Joint Chiefs of Staff
- Vice Chairman of the JCS
- Heads of DoD Components
- Combatant Commanders
- USD (R&E)
- USD (A&S)
- USD (C)/CFO
- Director Cost Assessment & Program Evaluation (D, CAPE)
- Defense Acquisition Board (DAB)
- Deputy’s Management Action Group (DMAG)
A) Prepare and publish: (1) DoD fiscal guidance. (2) DoD programming guidance. (3) Programmatic decision docs in coordination with the USD(C)/CFO. (4) The Future Years Defense Program (FYDP).
B) Conduct and coordinate the DoD program review.
C) Provide independent analysis and advice to the Secretary and Deputy Secretary of Defense concerning plans, programs, budgets, and capabilities in relation to U.S. defense objectives, projected threats, estimated costs, and resource constraints established in the PPBE process.
The D, CAPE
Principal adviser and assistant to the SECDEF for budgetary and fiscal matters.
The Under Secretary of Defense (Comptroller)/Chief Financial Officer (USD(C)/CFO)
Advises the SECDEF and DEPSECDEF on all PPBE matters related to financial management.
USD(C)/CFO
Analyses of force planning and programming as part of the process upon which DoD force structure, system acquisition, and other resource allocation actions are based.
USD(C)/CFO
Conducts and coordinates the budget review by evaluating the DoD Component budget submissions for financial appropriateness while maintaining the administration’s fiscal controls.
USD(C)/CFO
Conducts program execution and performance reviews
USD(C)/CFO
Prepares and publishes budget decision documents in coordination with Director, CAPE.
USD(C)/CFO
Prepares the DoD budget submission to the Office of Management and Budget (OMB).
USD(C)/CFO
Serves as the conduit within DoD for the Defense portion of the President’s Budget
USD(C)/CFO
Presents and justifies the DoD budget to the Congress.
USD(C)/CFO
Advises the SECDEF and DEPSECDEF on overall financial management, accounting policy, and systems.
USD(C)/CFO
Advises the SECDEF and DEPSECDEF on budget formulation and execution, contract audit administration, and finance and accounting operations.
USD(C)/CFO
Has oversight responsibility for the Defense Finance and Accounting Service (DFAS) and the Defense Contract Audit Agency (DCAA).
USD(C)/CFO
Maintains the Comptroller Information System
USD(C)/CFO
Advise the SECDEF and DEPSECDEF on auditability of DoD financial statements.
USD(C)/CFO
Conducts and coordinates the planning phase of the PPBE
USD(P)
Prepares, coordinates, and publishes planning guidance for the employment and development of the force.
USD(P)
Leads DoD-wide efforts for the National Defense Strategy, including development of the defense strategy.
USD(P)
Reviews defense planning scenarios and national plans to determine the demands that might be placed on the DoD, identify shortfalls, and guidance resource allocations based on strategic analysis when appropriate.
USD(P)
Advises the SECDEF and DEPSECDEF concerning plans, programs, capabilities, and budgets to meet U.S. objectives and counter projected threats and on the degree to which the DoD program supports the defense strategy.
USD(P)
Advises the SECDEF and DEPSECDEF on all PPBE matters related to acquisition, technology, logistics, installations, equipment, and environment function.
USD(A&S)
Ensures approved programs are fiscally and technically executable within available resources within the Defense Acquisition System process.
USD(A&S)
Assists in development of resource planning goals, programming objectives, and related guidance.
USD(A&S)
Advises the SECDEF and DEPSECDEF on all PPBE matters related to technology, research, and engineering.
USD(R&E)
Serves as the Chief Technology Officer for the Department of Defense
USD(R&E)
Provides advice and assistance in developing policies for rapid technology transition.
USD(R&E)
Prepares and publishes DoD fiscal guidance; programming guidance; programming decision documents; and Future Years Defense Programs (FYDP.)
Director, Cost Assessment and Program Evaluation (D, CAPE)
Conducts and coordinate the DoD program review.
D, CAPE
Provide independent analysis and advice to the SECDEF and DEPSECDEF on plans, programs, budgets, and capabilities of U.S. defense objectives.
D, CAPE
Leads analytical efforts in support of the NDS and provide cost estimates for NDS initiatives
D, CAPE
Prepares the annual PPBE calendar of key events in consultation with USD(C) and USD(P).
D, CAPE
Chaired by the USD(A&S), this board oversees development and production of major weapon systems. The board represents an important link between PPBE and the acquisition process by assuring that requirements for new systems are consistent with DoD long-range strategy and that system funding is accomplished within PPBE.
The Defense Acquisition Board
PSA and advisor to the Secretary and Deputy Secretary of Defense for Total Force management; National Guard and Reserve Component affairs; health affairs; readiness and training; military and civilian personnel requirements; language; education of dependents; equal opportunity; morale, welfare, and recreation; and quality-of-life matters
The Under Secretary of Defense for Personnel and Readiness (USD(P&R))
PSA and advisor to the Secretary and Deputy Secretary of Defense regarding intelligence, counterintelligence, security, sensitive activities, and other intelligence-related matters.
The Under Secretary of Defense for Intelligence and Security (USD(I&S))
PSA and advisor to the Secretary and Deputy Secretary of Defense for budgetary and fiscal matters, including financial management, accounting policy and systems; budget formulation and execution; contract audit administration and organization; the Managers’ Internal Control Program; and general management improvement programs.
The Under Secretary of Defense (Comptroller) /Chief Financial Officer (USD(C) CFO)
PSA and advisor to the Secretary and Deputy Secretary of Defense on all acquisition and sustainment, and other related matters in the Department of Defense.
The Under Secretary of Defense for Acquisition, and Sustainment (USD(A&S)
PSA and advisor to the Secretary and Deputy Secretary of Defense on all research and engineering, and other related matters in the Department.
The Under Secretary of Defense for Research and Engineering (USD(R&E)
PSA and an advisor to the Secretary and Deputy Secretary of Defense with the mission of managing enterprise business operations and shared services of the DoD.
The Chief Management Officer (CMO)
Takes precedence in the Department after the SECDEF and DEPSECDEF, and has the authority to direct the secretaries of the military departments and the heads of all other elements of the Department with regard to matters for which he has responsibility.
The CMO
Acts as Chairman of the Joint Requirements Oversight Council (JROC)
The Vice Chairman of the Joint Chiefs of Staff (VCJCS)
Provide support to the PPBE process as designed in DoD 7045.14
Officials on the OSD Staff
Provide advice and information as requested by OSD to permit assessment of execution and accountability.
The DoD Components
In each PPBE phase, strive to provide operational Combatant Commanders the best mix of forces, equipment, and support attainable within resource constraints.
The DoD Components
Assisted by the OSD staff, they exercise centralized control of Executive policy direction. They concentrate on major decisions, define planning goals, and allocate resources to support these objectives, including joint, DoD-wide, cross-service, and cross-command programs.
The SECDEF and DEPSECDEF
Play a major part in the planning phase of the PPBE. They have input to and/or review of every product and step of the process.
Joint Chief of Staff (JCS) and Combatant Commanders
Develop the National Military Strategy from which the Defense Planning Guidance (DPG) is developed.
The Joint Staff
Prepares an Integrated Priority List (IPL) of resource requirements that are prioritized across service and functional lines.
Each Combatant Commander,
Each Combatant Commander prepares the Integrated Priority List (IPL) of resource requirements that will be submitted to:
- The SECDEF
- The DEPSECDEF
- The Chairman of the Joint Chiefs of Staff (CJCS), and
- The military department responsible for providing program and budget support to the Combatant Command involved.
Serves as the Vice Chairman of the Defense Acquisition Board and the Chairman of the Joint Requirements Oversight Council (JROC), which reviews long-range defense strategy for CJCS and evaluates the requirements for new weapons systems.
The Vice Chairman of the Joint Chiefs of Staff
Develop and execute the program and budgets necessary to achieve national objectives in accordance with DoD 7045.14 and provide the day-to-day management of the resources under their respective control.
Heads of the DoD Components
What are the three (3) DoD Security Strategies?
- National Defense Strategy
- National Military Strategy
- Strategy for Homeland Defense and Civil Support
Is developed by the Chairman of the JCS (CJCS) to address objectives in the DoD Strategic Plan that require a military response. The CJCS serves as the advisor to the President, the National Security Council, and the SECDEF
The National Military Strategy (NMS)
The CJCS recommends _______, which contains recommended national ____ objectives; recommended fiscally constrained forces levels; Military strategy and force options; and a risk assessment of the recommended strategy, forces, and military options. These recommendations represent the CJCS plan to accomplish the direction and goals contained in the National Security Strategy and DoD Strategy Plan.
The National Military Strategy (NMS)
Prepared by the Secretary of Defense to focus on demands on the Department of Defense concerning direct threats to the United States and support of civil authorities. This also addresses sharing expertise and technology between military and civil authorities and sharing international lessons and experience with the Federal, state, and local authorities.
The Strategy for Homeland Defense and Civil Support (SHD&CS)
He provides Policy direction while placing program execution authority and responsibility with the DoD components.
The Secretary of Defense (SECDEF)
The three (3) DoD Decision Systems
- PPBE (DEPSECDEF oversight)
- Joint Capabilities Integration & Development System (JCIDS) (VJCS & JROC Oversight)
- Defense Acquisition System (DAS) (USD(A&S) & Milestone Decision Authority (MDA) Oversight
A systematic method established by the Joint Chiefs of Staff to assess gaps in military joint war fighting capabilities and to recommend solutions to resolve these gaps.
The Joint Capabilities Integration and Development System (JCIDS)
To ensure effective integration of the capabilities identification and acquisition processes, the ______ was developed in close coordination with revisions to the acquisition regulations (the DoD 5000 series).
The JCIDS Guidance (CJCS Instruction 5123.01H)
The management process by which the Department of Defense acquires weapon system and automated information systems
The Defense Acquisition System (DAS)
The process provides for decisions on future programs and permits prior decisions to be examined and analyzed from the viewpoint of the current environment (threats, political, economic, technological, and available resources), and for the time period being addressed.
The Planning, Programming, and Budgeting Inter-relationship and generic timeline
The process is modified by each Secretary of Defense slightly to meet their decision making style. As a result, the names of the guidance documents and resource decision documents, and the timing of submissions and review, may change from year to year.
Key element in the SECDEF Planning Process, it contains fiscally constrained programmatic guidance for use by the Military Departments and Defense Agencies in developing the Program Objective Memoranda and Budget Estimates. It contains specific guidance on particular issues of major importance. It also provides performance measures to be used in evaluating the execution of the programmatic guidance.
Defense Planning Guidance
Focuses attention on capabilities needed by Defense while tailoring the guidance to fit within the resources available to meet the defense goals
SECDEF Planning Process
What is the purpose of the planning phase of the PPBE?
To define the military role and posture of the United States and DoD in accordance with the National Security Strategy (NSS) and in light of threats (e.g., hostile powers and terrorism) and other factors such as economic, technological, and resources.
What are the initial documents considered in the PPBE cycle?
- The National Defense Strategy (NDS)
- The National Military Strategy
- Other guidance to the force, and
- The Military Departments’ Long-Range Plans
It is the final document of the planning phase.
The Defense Planning Guidance (DPG)
Promulgates Defense Policy, strategy, force planning, resource planning, and fiscal guidance
The Defense Planning Guidance (DPG)
As part of the Defense Planning Guidance, the fiscal, force, and resource planning guidance, reflect ______ ______ and the SECDEF’s management _______.
Economic constraint …….priorities.
The ______s and the budget estimates are to be prepared on the basis of the Defense Planning Guidance, and the integrated program/budget review in the fall of the year examines the extend to which the DPG is being accomplished.
Program Objective Memorandums (POMs)
The Program Objective Memorandums (POMs) and the _______ are to be prepared on the basis of the Defense Planning Guidance, and the integrated program/budget review in the fall of the year examines the extend to which the DPG is being accomplished.
Budget Estimates
The decisions associated with all phases of the PPBE process shall be reflected in _______.
The FYDP
(1) Defining the national defense strategy necessary to help maintain national security and support U.S. foreign policy. (2) Planning the integrated and balanced military forces necessary to accomplish that strategy.
(3) Defining the policy framework, needed to manage DoD resources.
(4) Providing decision options to the SECDEF to help assess the role of national defense in the formulation of a national security policy and related decisions.
(5) Discussing planning goals and programming objectives, milestones, progress, issues, and problems with the SECDEF, and remedial plans and actions.
The Planning phase focus
Resourcing phase
Programming
Budgeting
Executing
Which phase is this?
“The DoD Components shall develop proposed programs consistent with the planning guidance, programming guidance, and fiscal guidance. These programs shall reflect systematic analysis of missions and objectives to be achieved, alternative methods of accomplishing them, and the effective allocation of the resources.”
Programming
What phase does this relate to?
“The CJCS shall analyze the programs and provide a risk assessment based on the capability of the composite force level and support program for the U.S. Armed Forces to execute the strategy approved during the planning phase. A program review is conducted; any changes to Component programs are published in decision documents. ”
Programming
The DoD Components shall develop and submit detailed _________ for their programs in accordance with fiscal and joint programming guidelines and DoD 7000.14-R (Reference (h)).
Budget estimates
A ________ shall be conducted in coordination with a program review and with participation by the OMB. Budgetary determinations shall be issued in decision documents.
Budget review
Prepare and publish budget decision documents in coordination with D, CAPE
The USD (C)/CFO
Prepare and publish budget decision documents in coordination with USD(C)/CFO
D, CAPE
Who oversees formulation, justification, and submission of the DoD Budget and serves as the advisor to the Secretary of Defense on all financial issues?
The Under Secretary of Defense (Comptroller) and Chief Financial Officer (USD(C)/CFO)
Provides recommendations to the SECDEF and DEPSECDEF, in coordination with the CJCS as appropriate, regarding DoD equities in the processes of other Federal agencies prior to the submittal of agency budgets to OMB to maximize program cost-sharing opportunities
USD(P)
Section 941 of the 2017 NDAA
Replaced the QDR and Defense Strategy Review
Chief Technology Officer
USD (R&E)
He is the chairman of the JROC and co-chairman of the DAB
Vice Chairman of the Joint Chiefs of Staff
The highest-level board and JCIDS owner.
JROC
Duties include:
(a) Conducting JCIDS activities
(b) Providing validation of capability requirements
JROC
