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Updated May 20, 2022
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.
Source: CRS graphic based on DOD references.
McNamara established the Planning, Programming, and
Notes: CY: calendar year; FY: fiscal year cycle; Pro/Bud:
Budgeting System (PPBS) as a framework for linking
Programming/Budgeting; DPG: Defense Planning Guidance; POM:
strategic objectives with resources. In 2003, DOD renamed
Program Objective Memorandum; BES: Budget Estimate Submission.
the system PPBE in part to emphasize the need to better
manage the execution of budget authority provided by
Planning
Congress. The Deputy Secretary of Defense assists the
The Under Secretary of Defense (USD) for Policy leads the
SECDEF in the overall PPBE leadership role by managing
planning phase. The Chairman of the Joint Chiefs of Staff
the process on a day-to-day basis.
(CJCS) also plays a significant role in the process, in
accordance with responsibilities as the principal military
PPBE is a calendar-driven process that, for any fiscal year
advisor to the SECDEF under Section 151 of Title 10,
cycle, typically begins more than two years before the
United States Code (U.S.C.). The CJCS’s role is, in part, to
expected year of budget execution. Figure 1 shows when
advocate for solutions to department-wide requirements.
actions associated with a particular fiscal year cycle may
The phase involves reviewing the President’s National
occur during a calendar year. DOD sometimes makes a
Security Strategy (NSS), the SECDEF’s National Defense
distinction between the execution phase of PPBE, or
Strategy (NDS), and the CJCS’s National Military Strategy
execution review, and the execution of congressional
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Defense Primer: Planning, Programming, Budgeting, and Execution (PPBE) Process
(NMS) to align the resulting Defense Planning Guidance
USD for Acquisition and Sustainment (A&S).
(DPG) with the Administration’s policy goals and potential
Advises on PPBE matters relating to acquisition and
threats, 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
Program Objective Memorandum (POM).
USD for Personnel and Readiness (P&R). Advises on
PPBE matters related to the total force (i.e., active and
Programming
reserve military, civilian, and contract support),
The programming phase is meant to analyze anticipated
including planning, requirements, readiness, workforce
effects of present-day decisions on the future force. The
mix, personnel policies, and healthcare issues.
Director of the Cost Assessment and Program Evaluation
(CAPE) Office leads this phase. The programming phase
USD for Intelligence and Security (I&S). Advises on
begins with the heads of each component developing a
PPBE matters related to intelligence,
POM, which describes proposed resource requirements
counterintelligence, security, and other intelligence
(forces, manpower, and funding) for programs over five
activities; serves as the Director of Defense Intelligence
years. Each POM prioritizes and adjusts programs in the
(DDI) in the Office of the Director of National
FYDP, and also describes risks associated with
Intelligence (ODNI) and a key player in the Intelligence
underfunded or unfunded programs. Once each component
Community’s Intelligence Planning, Programming,
submits a POM, CAPE leads the reviews of the programs,
Budgeting, and Evaluation (IPPBE) Process.
forecasts the resource requirements for the next five years,
and updates the FYDP. As a result of program reviews, the
DOD Chief Information Officer (CIO). Participates in
SECDEF may direct the components to make changes.
the PPBE process by advising on major cyber
investments, information technology (IT) resource
Budgeting
allocations, and investment decisions, including
The DOD Comptroller leads the budgeting phase, in which
recommending whether to continue, modify, or
the components complete a Budget Estimate Submission
terminate IT investments.
(BES) for the first year of the FYDP. Using guidance from
the Office of Management and Budget (OMB), the
Selected Laws
Comptroller reviews the budget submissions for funding
and fiscal controls, phasing of the efforts over the funding
10 U.S.C. §§134, 135, 139a, 151, 153
period, and feasibility of execution within the budget year.
Weapon Systems Acquisition Reform Act of 2009 (P.L. 111-
During this phase, Comptroller analysts collaborate with
23)
component analysts to align budget requests with the
overall defense budget. As a result of budget reviews, the

SECDEF may direct the components to make changes. The
DOD Resources
final product is typically submitted to OMB in December
for inclusion in the President’s annual budget request to
DOD, Financial Management Regulation, 7000.14-R
Congress, which is usually submitted in February.
DOD Directive 7045.14, The Planning, Programming, Budgeting,
and Execution (PPBE) Process
Execution
Chairman of the Joint Chiefs of Staff Instructions (CJCSI)
During the execution phase, OSD and the components
3100.01E, 5123.01I, and 8501.01B
evaluate the obligation and expenditure of funds, as well as
program results. The purpose of execution review is to
DOD Acquisition Encyclopedia (ACQuipedia), Planning,
assess program objectives against outcomes. The
Programming, Budgeting & Execution Process (PPBE).
components assess compliance with priorities and SECDEF
guidance, performance metrics, and program results. OSD

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

Lynn M. Williams.
USD for Research and Engineering (R&E). Advises
SECDEF on PPBE matters related to DOD research,
Brendan W. McGarry, Analyst in US Defense Budget
engineering, and technology development activities and

programs; ensures approved programs can be executed
within fiscal and technical resources.
IF10429
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Defense Primer: Planning, Programming, Budgeting, and Execution (PPBE) Process


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