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Updated December 22, 2021
Defense Primer: Planning, Programming, Budgeting, and
Execution (PPBE) Process
Introduction
appropriations. (For more information, see the Execution
Planning, Programming, Budgeting, and Execution (PPBE)
section below.)
is the Department of Defense (DOD) process for allocating
resources among the armed services, defense agencies, and
PPBE Phases
other components. The annual process serves as the
The PPBE process typically produces internal documents
framework for DOD civilian and military leaders to decide
and materials for each phase. The planning phase produces
which programs and force management requirements to
the Defense Planning Guidance (DPG), which details force
fund based on strategic objectives. This product describes a
development priorities. The programming phase generates a
notional PPBE process from the perspective of the Office of
Program Objective Memorandum (POM), a funding plan
the Secretary of Defense (OSD). In practice, aspects of the
for each DOD component covering a five-year period that
process may differ based on current events or leadership
adjusts programs in the FYDP. The budgeting phase results
preferences.
in a Budget Estimate Submission (BES), which covers the
first year of the POM and converts programs into budget
DOD Directive 7045.14 states that PPBE serves as the
terms for submission to Congress.
annual resource allocation process for the department over a
multi-year planning cycle. According to the directive, the
Figure 1. DOD Resource Allocation Process (notional)
objective of the process is “to provide the DOD with the
(fiscal year cycle by calendar year and month)
most effective mix of forces, equipment, manpower, and
support attainable within fiscal constraints.” Chairman of
the Joint Chiefs of Staff Instruction 3100.01E describes the
process as the Secretary of Defense’s “institutional strategic
planning system and the primary decision-making process
for translating strategic guidance into resource allocation
decisions.”
The process is designed to produce DOD’s portion of the
President’s annual budget request to Congress, as well as
updates to the department’s five-year spending plan known
as the Future Years Defense Program (FYDP). PPBE is one
of DOD’s three main acquisition-related decision support
systems, along with the Joint Capabilities Integration and
Development System (JCIDS) for developing requirements
to address capability gaps and the Defense Acquisition
System (DAS) for managing acquisition programs.
Background
In 1961, then-Secretary of Defense (SECDEF) Robert S.

McNamara established the Planning, Programming, and
Source: CRS graphic based on DOD references.
Budgeting System (PPBS) as a framework for linking
Notes: CY: calendar year; FY: fiscal year cycle; Pro/Bud:
strategic objectives with resources. In 2003, DOD renamed
Programming/Budgeting; DPG: Defense Planning Guidance; POM:
the system PPBE in part to emphasize the need to better
Program Objective Memorandum; BES: Budget Estimate Submission.
manage the execution of budget authority provided by
Congress. The Deputy Secretary of Defense assists the
Planning
SECDEF in the overall PPBE leadership role by managing
The Under Secretary of Defense for Policy leads the
the process on a day-to-day basis.
planning phase. The Chairman of the Joint Chiefs of Staff
PPBE is a calendar-driven process that, for any fiscal year
(CJCS) also plays a significant role in the process, in
cycle, typically begins more than two years before the
accordance with responsibilities as the principal military
expected year of budget execution. Figure 1 shows when
advisor to the SECDEF under Section 151 of Title 10,
actions associated with a particular fiscal year cycle may
United States Code. The CJCS’s role is, in part, to advocate
occur during a calendar year. DOD sometimes makes a
for solutions to department-wide requirements. The phase
distinction between the execution phase of PPBE, or
involves reviewing the President’s National Security
execution review, and the execution of congressional
Strategy (NSS), the SECDEF’s National Defense Strategy
(NDS), and the CJCS’s National Military Strategy (NMS)
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Defense Primer: Planning, Programming, Budgeting, and Execution (PPBE) Process
to align the resulting Defense Planning Guidance (DPG)
 USD for Acquisition and Sustainment (A&S).
with the Administration’s policy goals and potential threats,
Advises on PPBE matters relating to acquisition and
force structure, readiness posture, and other factors.
sustainment in the DOD (including system design,
Developed with input from the CJCS, armed services, and
development, and production, and procurement of goods
combatant commanders, the DPG typically contains
and services); ensures approved programs can be
guidance on investments and divestments for the
executed within fiscal and technical resources.
components and is intended to inform a component’s
 USD for Personnel and Readiness (P&R). Advises on
Program Objective Memorandum (POM).
PPBE matters related to the total force (i.e., active and
Programming
reserve military, civilian, and contract support),
including planning, requirements, readiness, workforce
The programming phase is meant to analyze anticipated
mix, personnel policies, and health care issues.
effects of present-day decisions on the future force. The
Director of the Cost Assessment and Program Evaluation
 Deputy Chief Management Officer (CMO). Provides
(CAPE) Office leads this phase. The programming phase
administrative and managerial support on PPBE matters
begins with the heads of each component developing a
to senior governance bodies; helps organize the business
POM, which describes proposed resource requirements
operations of the department.
(forces, manpower, and funding) for programs over five

years. Each POM prioritizes and adjusts programs in the
USD for Intelligence and Security (I&S). Advises on
FYDP, and also describes risks associated with
PPBE matters related to intelligence,
underfunded or unfunded programs. Once each component
counterintelligence, security, and other intelligence
submits a POM, CAPE leads the reviews of the programs,
activities; serves as the Director of Defense Intelligence
forecasts the resource requirements for the next five years,
(DDI) in the Office of the Director of National
and updates the FYDP. As a result of program reviews, the
Intelligence (ODNI) and a key player in the Intelligence
Community’s Intelligence Planning, Programming,
SECDEF may direct the components to make changes.
Budgeting, and Evaluation (IPPBE) Process.
Budgeting
 DOD Chief Information Officer (CIO). Participates in
The DOD Comptroller leads the budgeting phase, in which
the PPBE process by advising on major cyber
the components complete a Budget Estimate Submission
investments, information technology (IT) resource
(BES) for the first year of the FYDP. Using guidance from
allocations, and investment decisions, including
the Office of Management and Budget (OMB), the
recommending whether to continue, modify, or
Comptroller reviews the budget submissions for funding
terminate IT investments.
and fiscal controls, phasing of the efforts over the funding
period, and feasibility of execution within the budget year.
Relevant Statutes
During this phase, Comptroller analysts collaborate with
Title 10, U.S. Code, Section 151
component analysts to align budget requests with the
overall defense budget. As a result of budget reviews, the
Title 10, U.S. Code, Chapter 9
SECDEF may direct the components to make changes. The
Weapon Systems Acquisition Reform Act of 2009
final product is typically submitted to OMB in December
for inclusion in the President’s annual budget request to

Congress, which is usually submitted in February.
DOD Resources
Execution
DOD Directive 7045.14, The Planning, Programming, Budgeting,
During the execution phase, OSD and the components
and Execution (PPBE) Process
evaluate the obligation and expenditure of funds, as well as
Chairman of the Joint Chiefs of Staff Instructions (CJCSI)
program results. The purpose of execution review is to
3100.01E and 8501.01B
assess program objectives against outcomes. The
DOD Acquisition Encyclopedia (ACQuipedia), Planning,
components assess compliance with priorities and SECDEF
Programming, Budgeting & Execution Process (PPBE).
guidance, performance metrics, and program results. OSD
staff review the assessments and recommend changes, in

coordination with the CJCS and the Joint Staff.
CRS Products
Other Key Players
CRS In Focus IF10831, Defense Primer: Future Years Defense
While each phase has a designated leader, that person and
Program (FYDP)
their staff collaborate with others during all phases of the
CRS In Focus IF10428, Intelligence Planning, Programming,
PPBE process. Examples of these players and their
Budgeting, and Evaluation (IPPBE) Process
designated roles include the following:

 USD for Research and Engineering (R&E). Advises
Acknowledgment: This primer was originally authored by
SECDEF on PPBE matters related to DOD research,
Lynn M. Williams.
engineering, and technology development activities and
programs; ensures approved programs can be executed
Brendan W. McGarry, Analyst in U.S. Defense Budget
within fiscal and technical resources.
IF10429
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Defense Primer: Planning, Programming, Budgeting, and Execution (PPBE) Process

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